1 Government Ethics Laws and Rules for VA Researchers Office of General Counsel Professional Staff Group III JUN12 Department of Veterans Affairs 2 TRAINING TOPICS INTRODUCTION CONFLICT OF INTEREST ID: 759266
Download Presentation The PPT/PDF document "JUN12 Department of Veterans Affairs" is the property of its rightful owner. Permission is granted to download and print the materials on this web site for personal, non-commercial use only, and to display it on your personal computer provided you do not modify the materials and that you retain all copyright notices contained in the materials. By downloading content from our website, you accept the terms of this agreement.
Slide1
JUN12
Department of Veterans Affairs
1
Government Ethics Laws and Rules for VA Researchers
Office of General Counsel
Professional Staff Group III
Slide2JUN12
Department of Veterans Affairs
2
TRAINING TOPICS
INTRODUCTION
CONFLICT OF INTEREST
GIFTS
MISUSE OF GOVERNMENT RESOURCES
TRAVEL RULES
OUTSIDE ACTIVITIES
POST GOVERNMENT EMPLOYMENT
Slide3JUN12
Department of Veterans Affairs
3
Why Attend Training?
Memorandum from Under Secretary for Health dated 30 January 2006
Requires annual Government ethics training for:
All part-time and full-time physicians
All part-time and full-time pharmacists
All researchers – including scientists, nurses and other allied health personnel whose research could result in new pharmaceuticals and/or medical devices
All part-time and full-time physicians in training
VHA will work with OGC to fulfill this requirement
Slide4JUN12
Department of Veterans Affairs
4
Why Follow the Rules?
Public service is a public trust
Employees must place loyalty to the Constitution, the laws and ethical principles above private gain
Maintain public’s confidence in VA and the Federal Government
Slide5JUN12
Department of Veterans Affairs
5
Why Get Ethics Advice?
Avoid penalties – Safe Harbor
Imprisonment
Civil fines
Removal from Federal employment
Other administrative punishment
Be able to explain your actions
Supervisor or IG
Congress or media
Caveats:
Get advice in writing
Tell the whole story truthfully
Slide6JUN12
Department of Veterans Affairs
6
The Rules
Conflict of interest laws
18 U.S.C. §§ 201-209
Standards of Ethical Conduct for Employees of the Executive Branch
5 C.F.R. Part 2635
14 General Principles
5 C.F.R. § 2635.101(b)
Slide7JUN12
Department of Veterans Affairs
7
Conflict of Interest Laws
Criminal statutes – create prohibitions
No official participation in certain matters that affect employees’ outside financial interests
No bribery
No representing non-Government parties in matters in which Government is a party or has a substantial interest
No supplementation of Government salary by non-Government entity
Slide8JUN12
Department of Veterans Affairs
8
Standards of Ethical Conduct
Promulgated by Office of Government Ethics pursuant to two Executive Orders
Provide Government-wide guidance for standards of ethical conduct
Ensure that every citizen can have complete confidence in the integrity of Federal Government
Slide9JUN12
Department of Veterans Affairs
9
The 14 General Principles
Apply to every employee of the Executive Branch
Foundation principles
Two predominant concepts:
Do Not Use Your Public Office for Private Gain
Do Not Give Unauthorized Preferential Treatment to Any Private Organization or Individual
Slide10JUN12
Department of Veterans Affairs
10
Hypothetical #1
Dr. Rich Stocker, VA researcher and clinician, has an idea for a new use of a drug manufactured by BigDrugCo. He wants BigDrugCo to fund a VA study under a Basic Science CRADA.
Dr. Stocker holds $14,000 worth
of BigDrugCo
shares and his 12-year old daughter holds $10,000– any problem?
Slide11Financial Conflict of Interest
Federal Government employees are prohibited from participating personally and substantially as part of official duties in a particular matter that has a direct and predictable effect on their financial interests or the financial interest of their spouse, minor child, outside employer, or certain others. 18 U.S.C. § 208
JUN12
Department of Veterans Affairs
11
Slide12Financial Conflict of Interest
JUN12
Department of Veterans Affairs
12
Slide13JUN12
Department of Veterans Affairs
13
What to Do When Faced WithConflict of Interest
Seek advice from a VA Government Ethics official who will determine if conflict exists and help to resolve
Resolve conflict:
Recusal – do not participate
Exemption or exception might apply
Reassignment
Divestiture
Waiver
Slide14JUN12
Department of Veterans Affairs
14
Conflict Exemptions
Exemption
for employee’s financial interest in a particular matter where interest is:
$15,000 or less in a publicly traded company
$25,000 or less in a nonparty or matter of general applicability
$50,000 or less for sector fund (aggregating similar funds)
Slide15Conflict of Interest 208 (b) – Waiver
18 U.S.C. § 208(a) – It is a crime to have a conflict of interest in your official duties18 U.S.C. § 208(b) – It is not a crime to have a COI in your official duties, if you get a waiver first.
JUN12
Department of Veterans Affairs
15
Slide16Conflict of Interest 208 (b) – Waiver
Waiver given by the official responsible for your appointment (VAMC Director). You must: Request a waiver in writing; Fully disclose the financial interest; Receive written determination;That the interest is not so substantial as to be likely to affect the integrity of the service the Government may expect.
JUN12
Department of Veterans Affairs
16
Slide17Conflict of Interest 208 (b) – Waiver
At VA – ask Regional Counsel for referral to ethics attorney/Deputy Ethics Official You will work with Ethics official to:Draft the request for waiverEnsure waiver determination is factually accurateEthics official will:Draft the determination with your inputConsult with Office of Government Ethics Provide concurrenceNew and expedited process is in place.
JUN12
Department of Veterans Affairs
17
Slide18JUN12
Department of Veterans Affairs
18
Conflict of Interest
Dr. Stocker (hypothetical #1) is facing a conflict of interest
Particular matter (study agreement)
Personal and substantial participation
Direct and predictable effect on his financial interest.
Falls outside exemption
Aggregate value of stock held by him and his minor daughter exceeds $15,000
Recuse, choose to sell, or seek waiver
Slide19JUN12
Department of Veterans Affairs
19
Conflict of Interest
Do the laws and rules of conflict of interest apply to researchers at VA under a Without Compensation (WOC) appointment?
Slide20JUN12
Department of Veterans Affairs
20
Conflict of Interest
Yes – a researcher under a WOC appointment is considered a VA employee subject to all of the laws and rules of Government Ethics.
May a VA researcher conduct further VA research on a licensed invention owned solely, and patented by, VA?
Slide21Conflict of Interest
Yes.May a VA researcher conduct VA research on a licensed invention owned and patented by the VA researcher (i.e. royalty flowing from non-Federal entity)?
JUN12
Department of Veterans Affairs
21
Slide22JUN12
Department of Veterans Affairs
22
Conflict of Interest
No
The Government-employee researcher may not participate (conduct research) in a particular matter (licensed invention) that will have a direct and predictable effect on his own financial interest
A waiver of the criminal conflict of interest should be sought under 208(b)
Slide23Conflict of Interest
May a VA researcher conduct further VA research on his invention owned jointly by VA and the university-affiliate and licensed by the university if VA researcheris solely VA employee or VA WOC?holds in-name-only appointment at Univ?is salaried employee of university?
JUN12
Department of Veterans Affairs
23
Slide24Conflict of Interest
VA employee-inventor entitled to future inventor’s royalties has a disqualifying financial interest in the invention.Gray area – point at which the disqualifying financial interest arisesAt time of invention?At time of patent?At time of license?At time of royalty flow?
JUN12
Department of Veterans Affairs
24
Slide25Conflict of Interest
Prudent course – if want to conduct further research into your invention or into area that could affect your invention, first obtain 208 waiverIf royalty is already flowing, MUST obtain 208 prior to further research
JUN12
Department of Veterans Affairs
25
Slide26JUN12
Department of Veterans Affairs
26
Conflict of Interest
What if a VA researcher starts his own company to license an invention owned by VA?
May he continue to research the invention at VA?
Slide27JUN12
Department of Veterans Affairs
27
Conflict of Interest
No
The VA researcher may not continue to research the invention without a 208 waiver
Likelihood of one in this circumstance is very small.
Can he consult for a company that is licensing his invention (under a license with the university affiliate) if he
holds no ownership
interest in the company and is
not
researching the invention at VA?
Slide28JUN12
Department of Veterans Affairs
28
Conflict of Interest
Yes. The VA researcher may consult for the licensee under the facts – may not use government time, facilities or equipment
Must maintain clear delineation between VA job and consulting job – cannot be paid by another to do his government job (18 U.S.C. §209)
Seek advice – each factual situation is different
Slide29Conflict of Interest
May a VA employee who is a consultant or in a speaker’s bureau for a pharmaceutical company conduct VA research that benefits that pharmaceutical company?
JUN12
Department of Veterans Affairs
29
Slide30Conflict of Interest
No.The VA researcher is prohibited from participating in a matter that could affect his financial interest. His financial interest is consulting fees. He affects the ability or willingness of the pharmaceutical company to continue to hire him as a consultant or speaker by conducting the research. 18 U.S.C. § 208
JUN12
Department of Veterans Affairs
30
Slide31JUN12
Department of Veterans Affairs
31
Conflict of Interest
Can the VA researcher who is also a University-affiliate employee, request that part of his VA research be contracted to:
himself at the University?
his spouse at the University?
another University employee?
Slide32Conflict of Interest
VA DAP will be considered a university“employee” if has university appointmentand receives disqualifying“compensation” from university
JUN12
Department of Veterans Affairs
32
Slide33Conflict of Interest
Disqualifying “compensation” – benefits of significant monetary value:WagesSalaryOther taxable benefits:University contributions to life insuranceDisability insuranceRetirement plansSubsidized tuition benefits for employee/family
JUN12
Department of Veterans Affairs
33
Slide34Conflict of Interest
Faculty perks of minimal value not considered “compensation”:Parking permitsLibrary accessAdmissions to artistic and athletic eventsAccess to online university resourcesOffice spaceRoyalty payments
JUN12
Department of Veterans Affairs
34
Slide35JUN12
Department of Veterans Affairs
35
Conflict of Interest
VHA Handbook 1660.03
Conflict of Interest issues raised by contracting with University-affiliate under certain situations
Certain contracts authorized by statute
Scarce medical specialist services
Health care resource sharing
Enhanced use lease
Intergovernmental Personnel Act
Slide36JUN12
Department of Veterans Affairs
36
Conflict of Interest
Conflict of Interest issues raised
Sole source allowed – no need to bid
Physician and manager DAPs have financial interest in the University
Conflict of interest law prohibits participation in matters that will affect your financial interest or financial interest of your employer (i.e. the University)
Rules for these contracts spelled out in VHA Handbook 1660.03
Slide37JUN12
Department of Veterans Affairs
37
Conflict of Interest
VA physician/clinician DAP shall not:
Draft specifications or solicitations
Act as COTR
Negotiate any part of the contract
Evaluate bids or proposal
Select or recommend the contractor
Review, certify or approve the contract itself
Evaluate contractor performance
Review time and attendance for contract administration purposes
Slide38JUN12
Department of Veterans Affairs
38
Conflict of Interest
VA physician/clinician DAP may:
Supervise professional service to ensure quality of care
Develop workload projections
Develop specific research task
Provide direct patient care within VA responsibilities
Perform oversight of professional service
Participate in a matter where neither University nor employee has financial interest
Slide39JUN12
Department of Veterans Affairs
39
Conflict of Interest
VA researcher DAP who is university employee may not recommend that his research be contracted to himself, his spouse or any other University employee
VA researcher may request contracting officer procure certain service not available within VA
Request must not be for a specific entity or researcher, etc.
Slide40Conflict of Interest
May VA researcher seek an NIH or other Federal grant for himself as a university researcher on behalf of his university research?
JUN12
Department of Veterans Affairs
40
Slide41Conflict of Interest
Federal employees are prohibited from representing another, with or without compensation, before a Federal Executive branch agency or Federal court in matters where the U.S. is a party or has a substantial interest 18 U.S.C. §§ 203 and 205
JUN12
Department of Veterans Affairs
41
Slide42Conflict of Interest
VA employees may not represent university before Federal agencies including VAGrant application may indicate VA employee is PIVA PI may sign grant application indicating undertakes responsibilities as PI
JUN12
Department of Veterans Affairs
42
Slide43Conflict of Interest
Non-Federal employee who is university employee must sign and advocate grant application ALTERNATIVELY VA employee could seek grant through NPC instead of through UniversityDepends on capability of NPC
JUN12
Department of Veterans Affairs
43
Slide44Conflict of Interest
VA DAPs applying for NIH grant through university must have MOU between university and VAMOU in general defines VA DAP’s work distribution between VA and university
JUN12
Department of Veterans Affairs
44
Slide45Conflict of Interest
VA signatory of MOU: may not earn disqualifying “compensation” from university may not plan to earn university salary under NIH grant that will fall under MOUResearch conducted at university and research conducted at VA under the grant must be distinguishable
JUN12
Department of Veterans Affairs
45
Slide46Conflict of Interest
Federal employees are prohibited from receiving any salary or contribution to or supplementation of salary from any source other than the United States as compensation for services as a Government employee. 18 U.S.C. § 209
JUN12
Department of Veterans Affairs
46
Slide47Conflict of Interest
You may work for both the University and VA, but NOT at the same moment in timeNeed strict accounting of timeNeed to use VA computer systems and email when on VA timeBe aware of need to segregate VA research from non-VA researchData issues – authority to give VA data to others
JUN12
Department of Veterans Affairs
47
Slide48JUN12
Department of Veterans Affairs
48
Conflict of Interest
Seeking employment
Once you have started seeking employment with a prospective employer, you may not take any official action that could affect the financial interest of that prospective employer.
18 U.S.C. § 208
5 C.F.R. § 2635.604
Slide49JUN12
Department of Veterans Affairs
49
Hypothetical #2
Dr. Pepper Tide has an idea for a VA basic research study involving a drug already on the market. She contacts the pharmaceutical company to discuss the possibility of it funding her research. The company suggests that they continue discussions over dinner at an upscale restaurant – at the company’s expense. Can she dine?
Slide50JUN12
Department of Veterans Affairs
50
Gifts From Outside Source
RULE
: You may not directly or indirectly solicit or accept a gift given:
by a prohibited source; or
because of your official position.
5 C.F.R. 2635.202(a)
Examples of prohibited sources:
VA contractors Veterans
Patients Vendors
Pharmaceutical Co. Veterans Service Organizations
Slide51JUN12
Department of Veterans Affairs
51
Gifts From Outside Sources
Is it a Gift?
“Gift” is an item of monetary value, including any gratuity, favor, service, discount, entertainment, or hospitality
5 C.F.R. § 2635.203
Slide52JUN12
Department of Veterans Affairs
52
Gifts From Outside Sources
Not a “gift”
Loans or discounts available to the general public
Greeting cards and plaques of little intrinsic value
Modest food or refreshments
Coffee and donuts – not a meal
Slide53JUN12
Department of Veterans Affairs
53
Gifts From Outside Sources
Exceptions to Prohibited Gifts
Unsolicited gift from prohibited source with value of less than $20
No more than $50 per year from one source
Gifts based on personal relationship
Gifts based on spouse employment
Always acceptable to refuse a gift!
Slide54JUN12
Department of Veterans Affairs
54
Gifts from Outside Source
Offered dinner to Dr. Tide is a gift
Pharmaceutical company is prohibited source
Dr. Tide may attend dinner if value is under $20 – pizza anyone?
Dr. Tide may pay her own way
Okay to refuse a gift
Appearances might indicate refusal as safer option
Drug samples are gifts
Slide55JUN12
Department of Veterans Affairs
55
Hypothetical #3
While discussing possible research with Dr. Tide, the pharmaceutical company invites Dr. Tide to attend (for free) a
local
conference that it is sponsoring and would like Dr. Tide to then stick around and talk to company executives about marketing strategies.
Slide56JUN12
Department of Veterans Affairs
56
Non-Federal Travel Support
As a VA employee, you may not solicit or accept reimbursement for official travel and related expenses from any source other than the Government
except…
Slide57JUN12
Department of Veterans Affairs
57
Non-Federal Travel Support
EXCEPTION: an unsolicited offer of travel support from a non-Government entity for attendance at a meeting or similar function that has been appropriately approved by your Supervisor and Ethics Counsel.
31 U.S.C. § 1353
Slide58JUN12
Department of Veterans Affairs
58
Non-Federal Travel Support
Your Supervisor must agree:
it is in VA’s interest that you attend
Travel relates to your official duties
Non-Federal source must not be disqualified by conflict of interest
Approval must include review by an appropriate ethics official
Use VA Form 0893
Slide59JUN12
Department of Veterans Affairs
59
May Dr. Tide Attend Conference?
Gift to VA of cost of conference if she attends in official capacity
Authority to accept gift under 31 U.S.C. § 1353 only if employee is in travel status
Facts indicate Dr. Tide not in travel status
Authority to accept gift under 5 U.S.C. §4111 only if donor is tax-exempt 501(c)(3) organization
General gift acceptance authority – difficult to use
Slide60JUN12
Department of Veterans Affairs
60
May Dr. Tide Attend the Conference?
May Dr. Tide attend off-duty?Only Agency Officials with delegated authority may approve acceptance of non-Federal entity offers of free attendance at a conference, seminar, etc. that you are attending in your personal capacity.If:The offer was unsolicitedYour Supervisor articulates how attendance is in VA’s interest because it will further VA’s programs and operations 5 C.F.R. § 2635.204(g)(2)
Slide61JUN12
Department of Veterans Affairs
61
Gifts from Outside Sources
Supervisor must agree that Dr. Tide is attending in personal capacity, but attendance is in VA’s interest because it furthers VA’s programs and operations – policy decision.
Supervisor may choose to allow Dr. Tide to attend on excused absence
Supervisor may determine that “sticking around to discuss marketing strategies” is not part of conference, is not in VA’s interest and will not be allowed on excused absence
Permissible on own time
Slide62Gifts from Outside Sources
What if Dr. Tide is a VA-University dual-appointed personnel (DAP), and the University offers to pay her attendance at a conference in Las Vegas on a medical topic in her field of expertise. She wants to attend and represent both the University and VA. She submits a VA Form 0893 for acceptance of the gift of travel from the University. Any problems? Is answer different if she plans to present her university research at the conference?
JUN12
Department of Veterans Affairs
62
Slide63Gifts from Outside Sources
By using VA Form 0893, Dr. Tide and her supervisor are indicating that she is traveling on official duty. She must have a travel authorization through FedTraveler.She may not travel in an Authorized Absence status because that is not an official duty status.
JUN12
Department of Veterans Affairs
63
Slide64Gifts from Outside Sources
A Federal employee shall use official time in an honest effort to perform official duties 5 CFR 2635.705A Federal employee shall not use or permit the use of his Government position/title/authority to imply VA sanction or endorsement of his personal activities or those of another 5 CFR 2635.702
JUN12
Department of Veterans Affairs
64
Slide65Gifts from Outside Sources
Dr. Tide may not represent University while on official VA dutyWhether she may attend in official capacity is a programmatic decision, but plans to present University research is evidence that trip does not further VA programs and operations, but is rather for benefit of University
JUN12
Department of Veterans Affairs
65
Slide66Gifts from Outside Sources
What if the VA NPC offers to pay for Dr. Tide’s official travel to conference in Las Vegas?No problem provided:She travels in official duty statusWith travel authorizationTo a meeting, training or other conferenceUses VA Form 0893 for advance review of gift
JUN12
Department of Veterans Affairs
66
Slide67JUN12
Department of Veterans Affairs
67
Hypothetical #4
Dr. Rogers, VA clinician and researcher has a little side internet business selling diet supplements. On his website, he uses ads that endorse his product by quoting himself and ascribing the quote to “Dr. Rogers, Chief of Internal Medicine, VAMC
Smallville
.” He also likes to photocopy his business pamphlets and invoices at VA.
Problems?
Slide68JUN12
Department of Veterans Affairs
68
Misuse of Position
You must avoid improper use of your official title to state or imply official endorsement or sanction of any non-Federal entity, its products, services, or activities.
Outside the performance of your official duties, your official title may be used only in limited purposes such as providing biographical information.
Slide69JUN12
Department of Veterans Affairs
69
Use of Government Resources
Employees shall protect and conserve Federal property and shall not use it for other than authorized purposes.
5 C.F.R. § 2635.101(b)(9)
Supervisor may authorize use of copier, email, telephone and the like if of little additional expense to VA
Never allowed to use Government resources for personal commercial activity
Slide70JUN12
Department of Veterans Affairs
70
Hypothetical #5
Dr. Rogers, when performing certain procedures, takes an “extra” tissue sample for “his” research. He stores the tissue in his VA lab. He keeps a log, including personally identifiable information of patients.
Any problems?
Slide71JUN12
Department of Veterans Affairs
71
Hypothetical #5, cont’d.
Non-ethics issues raised
Only VA approved research may be performed at VA
Creation of illegal database under the Privacy Act, 5 U.S.C. § 552a
Storage of VA data must be in accordance with VA Handbook 6500
VA rules on tissue banking
Proper Informed Consent and HIPAA authorization
Might be violating terms of CRADA – research outside scope of Protocol
Slide72JUN12
Department of Veterans Affairs
72
Hypothetical #5, cont’d.
Ethics Issues
Misuse of Government resources
Must protect non-public information
Cannot use non-public information for personal business, teaching, speaking or writing
Possible use of public office for private gain
Possible violation of conflict of interest
Slide73JUN12
Department of Veterans Affairs
73
Outside Activities
RULE
: You shall not engage in outside employment or any other outside activity that conflicts with your official duties:
If the activity is prohibited by law or regulation, or
You would have to recuse yourself from performing official duties to the degree of materially impairing your performance
Slide74JUN12
Department of Veterans Affairs
74
Hypothetical #6
Dr. Luna, VA clinician and researcher, wants the VA nonprofit to hire him to work under a WOC appointment back at VA doing the same research he does during his official duty hours.
Slide75JUN12
Department of Veterans Affairs
75
Outside Activities
Because one cannot distinguish Dr. Luna’s official duties from his NPC duties, Dr. Luna would run afoul of 18 U.S.C § 209 that prohibits a government employee from being paid by another for performing his official government duties.
Slide76JUN12
Department of Veterans Affairs
76
Hypothetical #7
Dr. Mello, VA clinician and researcher is invited to speak at a university conference on diabetes. Dr. Mello has been asked to discuss his VA clinical and VA research experiences in a particular area of diabetes.
May Dr. Mello receive an honorarium for this talk?
Slide77JUN12
Department of Veterans Affairs
77
Outside Activities
Teaching, Speaking and Writing
RULE: You may not accept compensation, including honoraria, from a non-Federal source for teaching, speaking or writing that relates to your official duties. 5 C.F.R. § 2635.807
Slide78JUN12
Department of Veterans Affairs
78
Outside Activities Teaching, Speaking and Writing
Teaching, speaking or writing relates to official duties when
:
Activity is undertaken as part of employee’s official duties.
Invitation is extended because of:
position rather than expertise on the subject matter or
by person whose interests may be affected by your official duties.
Slide79JUN12
Department of Veterans Affairs
79
Outside Activities Teaching, Speaking and Writing
Teaching, speaking or writing relates to official duties when the content
:
Includes non-public information
Deals in significant part with
matter to which you were assigned during the past one-year period or
with ongoing policy, program or operation
Slide80JUN12
Department of Veterans Affairs
80
Outside Activities Teaching, Speaking and Writing
Dr. Mello may not receive honorarium for speaking related to his official VA duties.
May Dr. Mello receive compensation for speaking as a guest lecturer at a non-VA affiliated community college class on the medical profession as a career? The presentation will be made during non-duty hours.
Slide81JUN12
Department of Veterans Affairs
81
Outside Activities Teaching, Speaking and Writing
Yes. This presentation does not relate to Dr. Mello’s official duties so he may receive compensation.
May Dr. Mello, on his own time, be compensated for writing or updating a textbook on the treatment of diabetes?
Slide82JUN12
Department of Veterans Affairs
82
Outside Activities Teaching, Speaking and Writing
Yes, provided the book does not focus on VA research, programs, or specific VA patients, but rather conveys scientific knowledge gleaned from the scientific community as a whole. The book may include treatments or research of diabetes that although occurring at VA, are known to the public.
Slide83JUN12
Department of Veterans Affairs
83
Post-Government Employment
Former Federal employee is prohibited from representing another before Government agencies or courts with intent to influence:
On a specific party matter in which employee participated personally and substantially as part of his official duties
On a specific party matter under employee’s official responsibility during last year of Government service
Other matters spelled out in 5 C.F.R. Part 2641
Slide84JUN12
Department of Veterans Affairs
84
Post-Government Employment
Representational prohibitions
Not prohibited by post-Government rules from working for a particular company
Very fact driven
SEEK ADVICE from an Ethics Official before you start looking for employment outside the Government
Slide85JUN12
Department of Veterans Affairs
85
Advice and Guidance
WHAT TO KNOW
:
When in doubt
, ask for advice before taking any action!
WHERE TO GO FOR ADVICE
: Contact the Designated Agency Ethics Official (DAEO), Alternate DAEO, in the Office of General Counsel, Regional Counsel, and/or their staff ethics officials with questions.
Slide86JUN12
Department of Veterans Affairs
86
USEFUL CONTACT INFORMATION
VA Ethics Officials
:
Walter A. Hall
, Assistant General Counsel
Designated Agency Ethics Official (DAEO)
Ren
é
e L.
Szybala
, Associate General Counsel
Alternate DAEO
Contact Regional Counsel for referral to an ethics attorney/Deputy Ethics Official
VACO Deputy Ethics Officials
:
Jane Gutcher, Jonathan Gurland, Chris Britt
Office of General Counsel (023)
Tel: (202) 461-7694
Fax: (202) 273-6403
Slide8714 General Principles
5 C.F.R. § 2635.101(b) - Principles of Ethical ConductThe following general principles apply to every employee and may form the basis for the standards contained in this part. Where a situation is not covered by the standards set forth in this part, employees shall apply the principles set forth in this section in determining whether their conduct is proper.
JUN12
Department of Veterans Affairs
87
Slide8814 General Principles
Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain. Employees shall not hold financial interests that conflict with the conscientious performance of duty.Employees shall not engage in financial transactions using nonpublic Government information or allow the improper use of such information to further any private interest.
JUN12
Department of Veterans Affairs
88
Slide8914 General Principles
An employee shall not, except as permitted by subpart B of this part, solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee's agency, or whose interests may be substantially affected by the performance or nonperformance of the employee's duties.Employees shall put forth honest effort in the performance of their duties.Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government.
JUN12
Department of Veterans Affairs
89
Slide9014 General Principles
Employees shall not use public office for private gain.Employees shall act impartially and not give preferential treatment to any private organization or individual.Employees shall protect and conserve Federal property and shall not use it for other than authorized activities.Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official Government duties and responsibilities.
JUN12
Department of Veterans Affairs
90
Slide9114 General Principles
Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.Employees shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those--such as Federal, State, or local taxes--that are imposed by law.Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap.
JUN12
Department of Veterans Affairs
91
Slide9214 General Principles
Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the ethical standards set forth in this part. Whether particular circumstances create an appearance that the law or these standards have been violated shall be determined from the perspective of a reasonable person with knowledge of the relevant facts.
JUN12
Department of Veterans Affairs
92