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themail archives

Government Ethics and Values

Thorn Pozen
Special Counsel and D.C. EThics Counselor
Office of the Attorney General
for the District of Columbia

(202) 727-0872
thorn.pozen@dc.gov

Introduction
Overview

• Know Rules:
  • General Standards
  • Conflicts of Interest
  • Gifts
  • Political Activity
  • Donations to the District
• Know Who to Ask:
  • Office Contact
  • General Counsel
  • Office of Campaign Finance
• Understand Concept of Public Trust

Why?

• Ethics Rules Have Penalties
  • Criminal
  • Administrative
• What Is Public Trust?
  • Private Sector -- For Profit
  • Public Sector -- Public Service

General Standards

• A government employee may not:
  • Use his or her public office for private/non-public gain
    • Using office for personal gain
    • Using office for gain of private organizations
  • Make a government decision outside official channels
  • Impede government efficiency or economy
  • Give preferential treatment
  • Lose or give the appearance of losing complete independence or impartiality
  • Affect adversely the confidence of the public in the government

Conflicts of Interest

• Two Types of Conflicts
  • Actual Conflicts
  • Apparent Conflicts
• Criminal Statues May Apply

Actual Conflicts

• Conflict Problem Caused by Outside Influence
  • Must be clear why employee reached the decision
  • Must not be seen as being swayed by personal interest, personal gain, or gain to family or friends
• District Employee May Not Wear Two Hats on the Same Matter

Actual Conflists
Perfect Storm Analysis

• Problem Arises When Multiple Factors Come Together at the Same Time and Same Place
• What Are Factors?
  • Relationship with non-government individual or organization
    • Financial Relationship or Significant Volunteer Activity
    • Relationship of Spouse, Significant Other, Member of Household Is Imputed to Employee
• Organization with which employee has relationship comes before employee or employee's office for official action

Apparent Conflicts
Impartiality Rule

• Not Self, Spouse, Significant Other, or Member of Household
• But Still a Problem If:
  • A reasonable peron
  • With knowledge of the relevant facts
  • Could question an employee's impartiality in working for the government on a particular matter

Conflicts of Interest
Remedies

• Disclosure
• Recusal (Screening)
• Reassignment
• Divestment

Conflicts of Interest
Outside Employment/Activities

• An employee must make sure that any second job does not conflict with the far, impartial, and objective performance of the employee's government job
• Four Issues of Concern
  • Tour of Duty Conflicts
  • Significant Interference with District Job
  • Use of Government Resources
  • Outside Service With Organization Likely to Come Before the employee in Official Capacity (Conflict)

Conflicts of Interest
Financial Disclosure
OCF Form 62

• Form 62 -- Senior government employees, most elected officials, and all agency heads must file
  • OCF to request names of filers from agency directors
  • Forms also due in May

Gifts
From Outside Sources

• An employee may not solicit or accept a "Gift" (anything of value) from a "Prohibited Source"
  • A person or entity regulated by the District
  • A person or entity doing, or seeking, business with the District, or
  • A person or entity who or which could be affected by the employee performing his or her official responsibilities

Gifts
Exceptions

• An employee may accept:
  • A gift from a Non-Prohibited Source, unless:
    • Gift is given because of the employee's position
    • Gift would show or could lead to preferential treatment
    • Gift might affect adversely the confidence of the public in the intergrity of the government
  • A gift in the context of a bona fide personal relationship (viewed very narrowly)
  • Food incidental to meeting or event
    • But no free lunch
  • Offers, such a bank loans, offered to the public

Political Activity
Hatch Act

• The Hatch Act covers most District employees and restricts partisan political activity
• Under the Hatch Act, an employee May Not: (among other things)
  • Solicit, accept, or receive political contributions (on or off duty)
  • Engage in partisan political activity while on duty
  • Engage in political activity in any government office, while wearing an official uniform, or using a government vehicle
  • Be a candidate for public office in a partisan election
  • Wear a partisan political button on duty
• An employee May (on his or her own time): (among other things)
  • Attend and be active at political rallies and meetings
  • Contribute money to political candidates and organizations
  • Distribute campaign literature and make campaign speeches
  • Join and be an active member of a political party or club
• See www.osc.gov for further information

Donations to the District

• Donations Are Not Gifts
• Employees May Not Accept Donations Without Approval

Questions