NIH Fellows Handbook

Standards of Ethical Conduct

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Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain.

Effective February 3, 1993, the Standards of Ethical Conduct for Employees of the Executive Branch at 5 CFR Part 2635 replaced the many individual agency standards of conduct regulations with a uniform set of standards applicable to all employees of the Executive Branch.

Because they are intended to answer questions about the ethical conduct of more than a million individuals employed by more than 100 different Federal agencies, the new Standards of Ethical Conduct are detailed. They contain many examples and will readily answer most ethical questions you will have. The following overview has been prepared by the Office of Government Ethics to give employees enough familiarity with the contents of the regulations to recognize ethical issues when they arise and to assist in looking up relevant provisions in the regulations. Because the overview provides only a shorthand reference to lengthier provisions, you must refer to the regulations themselves in resolving ethical issues that actually arise or may seek the advice of an ICD Deputy Ethics Counselor. Your ICD Executive Officer can assist you in identifying your ICD Deputy Ethics Counselor and can provide you with a copy of the complete regulations.

Gifts from Outside Sources

How do I know when I may not accept a gift?

With some exceptions mentioned later, you may not ask for or accept a gift from anyone who is giving the gift to you because of your Government job. Ask yourself if the gift would have been offered if you were not working for the Government. If the answer is no, then the gift is being offered because of your Government position and you cannot accept it.

Also, you may not ask for or accept a gift from people or organizations who do business with or seek to do business with your agency, who seek some official action by your agency, or who have activities regulated by your agency. Gifts from these people or groups are prohibited whether or not you deal with them when doing your job. You must also turn down a gift from someone who has interests that may be significantly affected by you when you are doing your job.

• What about accepting a cup of coffee?
  
  A cup of coffee is alright. It is such a modest refreshment that it is not considered a gift. So you may accept it without worrying about who is giving it or why. Other inexpensive food and refreshment items such as donuts or soda may also be accepted. There are some other items as well that are not considered gifts, such as greeting cards and bank loans at commercial rates. But remember that the definition of a gift is very broad. Generally, anything that has monetary value is considered a gift. So if you have a question about a gift, ask your ICD Deputy Ethics Counselor.
  
  
• May I accept a lunch?

  It depends. Meals are gifts. If the person who wants to pay for your lunch is regulated by, does business with, or seeks official action by your agency or is affected by the job you do, or if the meal is offered because of your position, then the rule on gifts applies. However, you may be able to accept a lunch or other meal under an exception for gifts valued at $20 or less. But you may not go to lunch too many times as the guest of the same person because there is a $50 per year limit on gifts from any one source. One other thing to remember: If you are a procurement official, you may not accept a lunch or any other gift from a competing contractor that is worth more than $10.
  
  

• Can the $20 exception be used for any stuff other than lunch?

  Yes, but no cash! The $20 exception may be used to accept any gift that is not worth more than $20. A pocket calculator, for example, could cost from $5 to $100 or more. So you have to be sure that the value of the gift is not greater than $20.

  There are some other things you should keep in mind before you use the $20 exception. The rule allows you to accept gifts worth $20 or less on a single occasion. That means if several gifts are given at the same time, their total value cannot exceed $20. Again remember, there is a $50 per year limit on gifts from the same source.

  There are other exceptions that would allow you to accept gifts that would otherwise be prohibited, such as the "friends and family" exception for gifts based on personal relationships. Other examples are special discounts available through your agency credit union and gifts that result from an outside job when they are not given because of your Government position. All of the exceptions are subject to certain limits, and some have conditions that must be met. Before using an exception, the best course to follow is to ask your ICD Deputy Ethics Counselor about it. Your ICD Deputy Ethics Counselor can also tell you how you may properly dispose of a gift that you have received but are not allowed to keep.

  Some Things That May Be Accepted

  • Alex may keep a pen worth $15 that is given to him by a person whose license application he has processed.
    
    
  • Janine may accept a tennis racket from her brother on her birthday even though he works for a company that does business with her agency, as long as he, not his company, paid for the gift.
    
    
  • Louise may accept two $8 tickets to a craft show that are offered to her by a company that has applied to her agency for a grant.

Gifts Between Employees

• What about gifts to the boss?

  With a few exceptions, the general rule is that you cannot give, make a donation to, or ask for contributions for a gift to your official superior. An official superior includes your immediate boss and anyone above your boss in the chain of command in your agency. Also, an employee cannot accept a gift from another employee who earns less pay, unless the person giving the gift is not a subordinate and the gift is based on a strictly personal relationship.
  
  

• When can I give my boss a gift?

  There are certain circumstances in which gift giving is permitted. For example, you may give your boss a gift on an occasion when gifts are traditionally given or exchanged, such as a birthday. At those times gifts valued at $10 or less but not cash are permitted.

  You may contribute a nominal amount for or bring food that will be shared in the office among several employees including your boss. You can also invite your boss to your home for a meal or a party. If your boss invites you to his or her home, you can take the same type of gift for your boss that you would normally take to anyone else's home for a similar occasion.

  You may also give your boss a gift on a special, infrequent occasion of personal significance such as marriage, illness, birth, or adoption. And you may give your boss a gift on an occasion that ends your employee-boss relationship, such as retirement, resignation, or transfer.

  For these special, infrequent occasions, employees are also allowed to ask for contributions of nominal amounts from fellow employees on a strictly voluntary basis for a group gift.

  And remember that gift giving is strictly up to you. A boss may never pressure you to give a gift or contribute to a group gift.

  Some Gifts Permitted Between Employees

  • Nadia may collect small voluntary contributions from other persons in her office in order to buy a cake to celebrate the birthday of her supervisor or a coworker.
    
    
  • Clarissa may participate in the exchange of gifts in the office holiday grab bag by buying and contributing a tape cassette worth $10.
    
    
  • Kailash may collect contributions to purchase a fishing rod and tackle box for his boss when his boss retires and may suggest a specific but normal amount, provided that he tells his coworkers that they are free to contribute less or nothing at all.
    
    
  • Ralph may bring a jar of macadamia nuts to his boss when he returns from his vacation in Hawaii.

Conflicting Financial Interests

• Suppose I don't own any shares of stock. Do I still have to think about financial conflicts of interest?

  You might. A Federal criminal law says that you cannot take official action in your job on matters that will have an effect on your own personal financial interests. Stock in a company that would be affected by your job is only one example of something that could give you such an interest. For instance, you could not act on something that would enable you personally to share in some grant or contract issued by the Government because you would have a financial interest in those matters.

  You also must be concerned about the financial interests of your spouse, your minor children, and certain outside organizations like those that employ you. You should be concerned if anything you are asked to work on would affect them. If you are an officer or director in an outside organization, you may not act on a particular matter that would affect that organization even if you do not receive compensation for your service. If you think you do have a conflict, you should discuss it with your supervisor or your ICD Deputy Ethics Counselor.

  Some Conflicts To Avoid

  • Rachel's husband works for a contractor that does business with her agency and receives a bonus based on the success of the contact. Rachel may not participate in the evaluation of the contractor's performance under the contract.
    
    
  • Carlo is an officer in a neighborhood improvement organization that has applied to his agency for a rehab loan. Carlo may not work on his agency's review of the organization's application.
    
    
  • Helen's husband owns a janitorial service company that does business with the Government. Helen cannot act on a proposal by the company to provide services to her agency.

• People talk about "improper appearances" and "a lack of impartiality." What exactly do they mean?

  Think of it as a question of fairness. Suppose you went to a baseball game and you found out that the umpire was the uncle of a player on one of the teams. Most people would say that the umpire should not work that game because there would be a strong appearance that he might not make the calls fairly and impartially.

  A similar rule applies to you when you are doing your job. You should not act on a matter if a reasonable person who knew the circumstance of the situation could legitimately question your fairness. For example, your fairness might reasonably be questioned if you were to work on a project that could directly benefit a relative. The rule lists a number of such "covered relationships" with people and organizations that could pose a question of an "improper appearance."

  If you have a situation that you think might raise such a concern, then you should talk to your ICD Deputy Ethics Counselor. He or she will be able to tell you whether or not there is an appearance problem and give you advice on how to deal with it.

  Some Situations Where Fairness May Be Questioned

  • Marvin's handling of a consumer complaint that has been submitted to his agency by his brother-in-law would raise a question about his impartiality.
    
    
  • After 20 years with the same company, Pam accepts a job with the Government. For 1 year, she should consider whether her fairness would be questioned if she were to act on matters that specifically involved her former employer.
    
    
  • Roy's working on an investigation of a company that is being represented by his brother would raise question about his impartiality.

Seeking Outside Employment

• Suppose I'm looking for a part-time job to earn more money. Is there any problem with this?

  No, but there are rules that may apply to you if you are looking for a job, whether it is on a part-time basis or whether you are looking to leave the Government for a full-time position. First, you need to know whether the person or company that you are thinking about working for could be affected by projects and other matters you work on for the Government. If the prospective employer could not be affected by the Government project, then certain rules do not apply. If the project could affect your prospective employer, then you may need to stop working on that project.

  Another thing to keep in mind is that these rules may apply to you sooner than you think. Depending on the circumstances and who the prospective employer is, even sending out a letter and resume could trigger the requirement that you avoid working on any project that could affect that prospective employer.

  Talk with your ICD Deputy Ethics Counselor before you look for a job, whether full or part time. He or she can advise you about the rules on seeking employment. At DHHS, all employees are required to obtain prior permission before engaging in any outside activity of a professional or consultative nature. The ICD Deputy Ethics Counselor can also tell you about those things you will not be able to do for your new employer.

  Looking For A Job

  • A company that is regulated by Todd's agency has asked him if he would like to talk about possible employment. Unless he responds by rejecting the invitation, Todd is seeking employment with that company and cannot work on matters that would affect it.
    
    
  • Bernie has told a private company that he needs some more time to think about the company's job offer. As long as the offer is pending, Bernie cannot work on matters that will affect that company.
    
    
  • Diane has written to the personnel office of a company that her agency regulates requesting that they send her a job application form. She has not begun seeking employment by simply asking for an application, and she may work on matter affecting that company until she submits the application.
    
    
  • More than 2 months have passed without a response of any kind since Claudia sent an unsolicited letter and resume to a company that is a party to a proceeding before her agency. Because of this length of time, Claudia is no longer considered to be seeking employment with the company.

Misuse of Position

• Suppose a friend asks me to help her with a complaint that she made to my agency about a problem that she is having with a finance company. Is it alright if I get the consumer affairs office to act more quickly on her problem?

  The rule says that you cannot use your position with the Government for your own personal gain or for the benefit of others. This includes family, friends, neighbors, or others. In this case, you would be using the access you have to the consumer affairs office because of your Government job to obtain special treatment for your friend. You may also be violating a criminal law if you act as a spokesperson on behalf of your friend to your agency. But you could find out if there is anyone who routinely takes calls from the public about the status of their complaints and provide that information to your friend.
  
  

• At lunch some of my coworkers were talking about developing some specifications for a project that my agency will soon be putting out for bids. A friend of mine works for a company that is in the business and it might help him if he knew about what's coming along. Is it alright to tell him about the project without discussing the specifications?

  That depends on whether the project itself is public information. You cannot use (or allow someone else to use) nonpublic information to benefit yourself or some other person. If information about the project has not been made known to the public and is not authorized to be made known upon request, then it is nonpublic information and cannot be disclosed. It makes no difference that you heard about it at the lunch table and not as a result of your official duties. If the fact that the agency is going to pursue the project is public, you can certainly make sure your friend knows when the agency publishes or makes available information about the project.
  
  

• May I use the photocopier at work to make copies of a flyer for a bake sale at my child's school?

  No. The rule says that you must conserve and protect Government property and that you cannot use Government property or allow its use other than for authorized purposes. It makes no difference whether you gain personally or whether the group you are helping is nonprofit. You may not use the photocopying machine, or any other Government property, including supplies, computers, telephones, mail, records, or Government vehicles for purposes other than doing your job.
  
  

• Suppose my boss asks me to help him do some work connected with some outside groups he belongs to. If I have free time during the day, is that something that I may do?

  Official time at work is to be used for the performance of official duties. So the answer is no, unless there is some other specific authority which allows you to use your time at work for other purposes.

  Some Things That Cannot Be Done With Government Time, Information, And Resources

  • Karen may not keep her personal directory of addresses of family and friends on her computer at work.
    
    
  • Ken cannot tell his friend to sell his stock in a company that Ken knows is under investigation by his agency.
    
    
  • Joyce, who works as a real estate broker in the evening and on weekends, may not make or take calls at her Government office to or from potential real estate clients.
    
    
  • Ahmad cannot use agency letterhead for a letter of recommendation for his brother-in-law for a job with an office supply company.

Outside Activities

• What about activities off the job, on my own time?

  It depends on what you do and who you do it for. The rule says that you cannot engage in outside employment or any outside activity if it conflicts with the official duties of your Government job. There could be a conflict because of a law or agency regulation or because doing the outside activity would disqualify you from performing a significant amount of your Government duties. Also, you should check with your ICD Deputy Ethics Counselor to see whether or not you need agency approval before you engage in an outside activity.
  
  

• Suppose I teach the course on beginner swimming in the physical education department at the community college. Is that alright?

  There are restrictions that apply to outside teaching, speaking, and writing. Generally, if the activity relates to your official duties, the rule is that you cannot be paid for it. However, even if the course does relate to your work, there is an exception for teaching a course in the regular program of certain educational institutions that would allow you to teach the community college course.
  
  
  

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