Ethics: Investigations and Discipline Presented

Transcript:Ethics: Investigations and Discipline Presented:
Ethics: Investigations and Discipline Presented by: Jeff Rosenblum, Assistant General Counsel Labor, Employment and Administration Section Federal Deposit Insurance Corporation Jill Weissman, General Counsel Criminal Division U.S. Department of Justice Overview The Players The Rules The Process Real-Life Situations and Case Law The Players The Players Agency Ethics Official Provides prospective advice Training Contact person Liaison with OGE Post-violation The Players Employee Management Agency Counsel or Employee Relations The Players Investigative Entities Office of Inspector General (OIG) Office of Special Counsel (OSC) Office of Professional Responsibility (OPR) The Rules The Rules Standards of Ethical Conduct for Executive Branch Employees Criminal Statutes Hatch Act Rules of Professional Conduct Agency-Specific Policies and Other Sources Standards of Conduct Impartiality/Appearance (502) Misuse of Position/Resources (Subpart G) Gifts (Subparts B and C) General Provisions (Subpart A) Public service is a public trust Satisfy all just financial obligations Honest effort in performance of duties Gambling (5 C.F.R. § 735.201) Criminal Statutes 18 U.S. Code Conflicts of Interest (§ 208) Post-Employment (§ 207) Bribery and Illegal Gratuities (§ 201) Third-party Representation (§ 203/§ 205) Hatch Act Government resources (§ 734.306) Running for office (§ 734.207 and § 734.304) Fundraising (§ 734.303) Social Media Hatch Act Modernization Act of 2012 Rules of Professional Conduct Unauthorized practice of law (Model Rule 5.5) Communication with person represented by counsel (Model Rule 4.2) Candor to the tribunal (Model Rule 3.3) Agency-Specific Policies and Other Sources Procurement Integrity Act Computer Use Policies Supplemental Ethics Regulations Executive Order EO 12674 Principles of Ethical Conduct EO 13770 Ethics Commitments by Executive Branch Appointees Emoluments Clause The Process The Process Advice and/or Training Allegation of Wrongdoing Referral Discipline The Process Investigation Management OPR Rules of Professional Responsibility OIG Criminal or Serious Administrative Misconduct OSC Hatch Act The Process Discipline Agency-imposed Merit Systems Protection Board In 2018, OGE reported that there were 1077 disciplinary actions resulting from ethics violations, including: 623 for misuse of position 348 for violations of any of the ”general provisions” in Subpart A 18 for violations of § 208 24 for impartiality violations Criminal Prosecution In 2018, 56 referrals were made for criminal violations, only 3 accepted for prosecution Real-Life Situations and Case Law Real-Life Situations and Case Law Gifts Sher v. Dep’t of Veterans Affairs, 97 M.S.P.R. 232 (Sept. 16, 2004) (demotion and suspension for accepting drug samples for personal use) Phillips v. Dep’t of Homeland Sec., MSPB DC-0752-10-0686-I-3 (Sept. 3,