There are a number of ethics restrictions that apply to new appointees and to individuals who are leaving or have left Government.

ROLE OF THE OFFICE OF GOVERNMENT ETHICS

The U. S. Office of Government Ethics (OGE) provides overall policy leadership for executive branch departments and agencies in the conduct of their ethics programs. OGE reviews public financial disclosure reports of executive branch Presidential appointees requiring Senate confirmation and certain White House officials to determine if any entries on the forms may give rise to potential or actual violations of applicable laws or regulations and to recommend any appropriate corrective action. OGE also provides advice on other ethics matters for new Presidential appointees, SES appointees, and Schedule C employees.

AGENCY ETHICS PROGRAMS

Each agency head has primary responsibility for administering that agency's ethics program. He/she appoints a Designated Agency Ethics Official (DAEO) and an Alternate DAEO who, along with their supporting ethics officials, administer the agency's ethics program. The ethics program consists generally of the following:

• Liaison with the Office of Government Ethics;

• Reviewing financial disclosure reports;

• Initiating and maintaining ethics education and training programs;

• Providing counseling and advisory services; and

• Monitoring administrative actions and sanctions for ethics violations.

The ethics regulations outline 14 basic principles of ethical conduct for executive branch personnel and provide uniform rules in various areas. These "Standards of Ethical Conduct for Employees of the Executive Branch," are found at 5 CFR Part 2635.
[TOP]

CURRENT EMPLOYEES LOOKING FOR A JOB

A criminal conflict of interest law prohibits executive branch employees generally from working in their Government jobs on matters that would affect the financial interest of someone with whom they are discussing possible employment [18 U.S.C. 208]. The Standards of Ethical Conduct for Executive Branch Employees [5 CFR Part 2635] have a similar rule that applies even before employment discussions begin, and may apply even when an employee has only sent a resume to a prospective employer. Participation in some procurement matters can subject employees to special additional requirements relating to private employment contracts.

Employees should also be careful not to misuse Government resources (such as official time, the services of other employees, equipment, supplies, and restricted information) in connection with job-seeking. After an employee has accepted a job outside the Government, he/she must continue to refrain from working on matters in his/her Government job that would affect the financial interest of the prospective employer.

If an agency offers outplacement services to all its employees, departing noncareer employees may use these services. However, an agency may not establish outplacement services for noncareer employees only. [See Appendix C, Question 6, for additional information.]
[TOP]

POST EMPLOYMENT ETHICS RESTRICTIONS

There are certain limitations on employment after Government service. Some parts of a criminal law apply to all former executive branch employees, while other parts restrict only former senior officials or those with specified duties [18 U.S.C. 207]. Agency ethics officials are also available to provide more specific advice on post employment restrictions before and after Government service. A summary of these restrictions may be accessed in DAEO gram DO-00-006, February 17, 2000, and the pamphlet, Understanding the Revolving Door, at the Office of Government Ethics website (www.usoge.gov).
[TOP]

CLINTON ADMINISTRATION SENIOR APPOINTEE PLEDGE
[Note: pledge requirement revoked by E.O. 13184, effective at noon, 1-20-01]

In addition to the general post employment ethics restrictions, President Clinton by Executive Order 12834, dated January 20, 1993, required every "senior appointee" to sign a contractual ethics pledge. Some of the post employment restrictions in the criminal law become more restrictive under this pledge. With certain exceptions, senior appointees are full-time, noncareer employees in the executive branch who are appointed by the President, the Vice-President, or an agency head and who are paid at an Executive Schedule rate or equivalent. Employees whose basic pay is below that for SES level 5 are not subject to the pledge. Under these restrictions:

• Senior appointees are barred for five years from lobbying any employee of their former agency.

• If they served as a senior appointee in the Executive Office of the President, the 5-year ban also extends to any other agency for which they have had personal and substantial responsibility as a senior appointee.

PROTECTING FEDERAL RECORDS AND OTHER DOCUMENTS FROM UNAUTHORIZED REMOVAL

National Archives and Records Administration (NARA) guidance reminds heads of Federal agencies that official records must remain in the custody of the agency. [See NARA Bulletin 2000-03, dated May 16, 2000, (www.nara.gov)] Federal officials should be aware that there are criminal penalties for the unlawful removal or destruction of Federal records [18 U.S.C. 2071] and the unlawful disclosure of national security information [18 U.S.C. 793, 794, and 798]. Departing Federal officials should contact their agency records officer if they have questions about maintaining and disposing of records and extra copies of records.

Agency records officers should have copies of Personal Papers of Executive Branch Officials and Agency Recordkeeping Requirements, two NARA publications that address records creation and maintenance procedures and distinguishing between records and personal documentary materials. These publications are available on the NARA web site at www.nara.gov/records/index.html. NARA records management regulations address the identification and protection of Federal records and are also accessible from www.nara.gov/records/index.html [36 CFR Chapter XII, Subchapter B].
[TOP]

THE LOBBYING DISCLOSURE ACT

Public Law 104-65 [2 U.S.C.1602] requires certain executive branch officials to disclose contacts with lobbyists. The Act also imposes disclosure and registration requirements on lobbyists concerning their lobbying activities and contacts with regard to their clients. In addition, the Act provides that an organization that engages in lobbying activities is not eligible to receive Federal funds that constitute an award, grant, or loan. Executive branch officials covered by the lobbying disclosure requirements include:

1. the President;
2. the Vice President;
3. any officer or employee, or any other individual functioning in the capacity of such an officer or employee, in the Executive Office of the President;
4. any officer or employee serving in a position in level I, II, III, IV, or V of the Executive Schedule, as designated by statute or Executive order;
5. any member of the uniformed services whose pay grade is at or above 0-7 under section 201 of title 37, United States Code;
6. any member or employee serving in a position of a confidential, policy-determining, policy-making, or policy-advocating character described in section 7511(b)(2)(B) of title 5, United States Code.

Generally, the Act applies to Presidential appointees (PAS) and Schedule C employees, but does not apply to members of the SES (unless they meet the criteria in C or D, above). If you have any questions about who is considered a lobbyist, how you should respond to contacts from lobbyists, and what your responsibilities are under the Act, you should contact your agency General Counsel.
[TOP]