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Chapter 18 II Implementing Guidance and Procedures, Electronic-District Personnel Manual

Chapter Summary

Procedures on filing grievances and initiating corrective and adverse actions.

This publication includes the Chapter.

 

Contents

Subpart 1. General Information 

1.1 Statutory and Regulatory Authorities
1.2 Mayoral Policy
1.3 Scope of Chapter
1.4 Authority and Responsibilities
1.5 Issuance and Approval of Agency Procedures
1.6 Interpretation and Advisory Services
1.7 Reviewing Statements and Reporting Conflicts of Interest
1.8 Disciplinary and Other Remedial Action
1.9 Post-Employment Restrictions

 

Subpart 2. General Prohibitions Regarding Employee Conduct 

2.1 General
2.2 Gifts, Entertainment, and Favors
2.3 Reporting Corrupt or Other Criminal Activity or Conflicts of Interest
2.4 Outside Employment
2.5 Engaging in Outside Employment While in a Leave Status
2.6 Financial Interests
2.7 Use of Government Property
2.8 Misuse of Information
2.9 Indebtedness
2.10 Gambling, Betting, and Lotteries
2.11 General Conduct Prejudicial to the Government
2.12 Miscellaneous Statutory Provisions

 

Subpart 3. Procedures Governing Statements of Employment and Financial Interests 

3.1 General
3.2 Employees Required to Submit Statements
3.3 Employees Not Required To Submit Statements
3.4 Supervisory Notification To Employees Required To File
3.5 Employee Requests for Review of Designation
3.6 Time and Place for Submission of Statements
3.7 Supplementary Statements
3.8 Interests of Employee's Relatives
3.9 Information Not Known by Employees
3.10 Information Not Required To Be Reported
3.11 Information Required To Be Reported in the Statement and Supplementary Statement of Employment and Financial Interests
3.12 Confidentiality and Retention of Employee Statements
3.13 Restrictions on the Disclosure of Information from Employee Statements
3.14 Effect of Employee Statements on Other Requirements

 

Appendix A. Excerpts from Statutes Governing Conduct of District Employees 

A.1 General
A.2 Bribery and Graft
A.3 Conflicts of Interest
A.4 Disclosure of Confidential Information
A.5 Misuse of Franking Privilege
A.6 Deceit in Examinations and Personnel Actions
A.7 Fraud and False Statements
A.8 Mutilating or Destroying Public Records
A.9 Embezzlement and Theft
A.10 Taking or Using Papers Related to Claims
A.11 Restrictions of Political Activity
A.12 Deprivation of Employment or Other Benefit for Political Contribution
A.13 Acting as Agent for Foreign Principal
A.14 Standards of Conduct

Appendix B. DC Form 35 - Confidential Statement of Employment and Financial Interests  [PDF]

 

Subpart 1. General Information 

1.1 Statutory and Regulatory Authorities

A. Statutory authority. The basic statutory authority for this chapter is DC Official Code § 1-618.01 et seq.

B. Regulatory authority. The basic regulatory authority for Part II of this chapter is Chapter 18 of the D.C. personnel regulations, published at 33 DCR 6794 (October 31, 1986), and amended at 35 DCR 764 (February 5, 1988), 36 DCR 3860 (June 2, 1989), 40 DCR 8358 (December 3, 1993), 48 DCR 3074 (April 6, 2001), and 48 DCR 9639 (October 19, 2001). These regulations and any amendments are reprinted in Part I of this chapter of the District Personnel Manual (DPM).

 

1.2 Mayoral Policy

"Employees of the District government shall at all times maintain a high level of ethical conduct in connection with the performance of official duties, and shall refrain from taking, ordering, or participating in any official action which would adversely affect the confidence of the public in the integrity of the District government." (Chapter 18, § 1800.1 of the DC personnel regulations.)

"The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by employees is essential to assure the proper performance of government business and the maintenance of confidence by citizens in their government. The avoidance of misconduct and conflicts of interest on the part of employees is indispensable to the maintenance of these standards. To accord with these concepts, this chapter sets forth the regulations prescribing standards of conduct and the requirements for reporting outside employment and financial interests for District government employees." (Chapter 18, § 1800.2 of the DC personnel regulations.)

"No employee of the District government shall engage in outside employment or private business activity or have any direct or indirect financial interest that conflicts or would appear to conflict with the fair, impartial and objective performance of officially assigned duties and responsibilities." (DC Official Code § 1-618.02.)

 

1.3 Scope of Chapter

A. Coverage. This chapter applies to all District government employees.

B. Informational material. This chapter provides procedural and guidance material regarding prohibitions and requirements imposed by criminal and civil laws of the United States and the District of Columbia. Reference to these statutes, however, is designed for informational purposes only and in no way constitutes an interpretation or construction that is binding on the DC Office of Personnel (DCOP) or the District government. The DCOP does not purport to refer to or to enumerate in this chapter procedural and guidance material to every restriction or requirement imposed by statute or regulation. The omission of the reference to any such restriction or requirement in no way alters the legal effect of that restriction or requirement on an agency or on a District government employee.

C. Relationship to each agency's responsibility for taking disciplinary action. The guidance material in this chapter applies primarily to situations where the actions or judgment of an employee may be or appear to be compromised by his or her private or personal activities or relationships. Therefore, the material provided herein is not intended to define the limit of agency responsibilities in this area, nor to define or limit the circumstances under which an agency may act to remove, demote, or reassign to another position any employee whose conduct or capacity is such that his or her removal, demotion, or reassignment may be warranted. Chapter 16 of the DC personnel regulations includes provisions for initiating disciplinary action pursuant to that chapter, in addition to those described here.

 

1.4 Authority and Responsibilities

A. DC Office of Personnel. DC Official Code § 1-618.01(b) requires the Mayor to issue regulations governing the ethical conduct of all District government employees. The DCOP is responsible for issuing procedures and instructions applicable to agencies under the personnel authority of the Mayor to implement the standards and other requirements of Chapter 18 of the DC personnel regulations; approving agency procedures; reviewing these procedures from time to time, and recommending from time to time such measures as may appear necessary to ensure the maintenance of high ethical standards within the District government.

B. Agencies. Each subordinate and independent agency of the District government may prescribe additional standards of ethical conduct and reporting requirements that are appropriate to the particular functions and activities of the agency and which are not inconsistent with law and Chapter 18 of the DC personnel regulations. Each subordinate and independent agency is responsible for enforcing the law and Chapter 18 of the DC personnel regulations, establishing additional agency requirements, notifying employees of any additional standards approved, and providing interpretation and advice to employees. Additional standards of conduct and reporting requirements prescribed by an agency must be approved by the DCOP and the DC Ethics Counselor prior to implementation. Each request for approval of additional standards shall be submitted in writing to the Director of Personnel and the DC Ethics Counselor, setting forth the need for the additional standards of conduct and reporting requirements based on the duties and responsibilities of the positions and the functions of that office.

C. District of Columbia Board of Elections and Ethics. Enforcement of the provisions of Chapter 18 of the DC personnel regulations for the following persons shall be the responsibility of the DC Board of Elections and Ethics:

The Mayor, the Chairman and each member of the Council of the District of Columbia, the President and each member of the Board of Education, members of boards and commissions as provided in DC Official Code § 1-1106.02(a), employees in the Executive Service, and persons appointed under the authority of DC Official Code §§ 1-609.01 through 1-609.03 and paid at a rate of DS-13 or above in the District Schedule (DS) or comparable compensation or designated in DC Official Code § 1-609.08 (statutory officeholders).

D. District government employees. The primary responsibility for the maintenance of high standards of ethical conduct in the District government must rest with each employee. The effectiveness of any regulation or standard of conduct depends on the full cooperation of and the exercise of sound judgment by the individual employee.

 

1.5 Issuance and Approval of Agency Procedures

A. DCOP approval. Additional agency standards of ethical conduct and reporting requirements are subject to approval by the Director of Personnel. The DCOP reviews agency procedures for conformance with law and Chapter 18 of the DC personnel regulations. The DCOP, as part of the approval process, reserves the right to allow an agency to develop procedures to further supplement its regulations in order to carry out the spirit and the letter of the requirements. Each agency desiring to establish additional standards of conduct and/or reporting requirements that are appropriate to the particular functions and activities of that agency and are not inconsistent with law or Chapter 18 of the DC personnel regulations, shall submit the following information to the DCOP:

1. Three (3) copies of the proposed additional standards of conduct and/or reporting requirements;

2. An explanation as to why the additional standards of conduct and/or reporting requirements are necessary;

3. A list of positions by title, series, and grade and incumbent that would be impacted by the additional requirements;

4. The total number of positions affected by the additional standards and/or reporting requirements.

B. Information to employees. Full awareness of the standards and requirements on the part of employees and citizens who deal with these employees is fundamental to the effective execution of the mayoral policy in the area of ethical employee conduct. Each agency is required to ensure the availability of advisory services to each employee as discussed in section 1.6 of these procedures, and to have available for employees to review, on request, copies of laws, regulations, instructions, orders, approved agency standards of conduct and reporting requirements, and advisory opinions on employee conduct and financial disclosure which may be applicable to agency employees.

 

1.6 Interpretation and Advisory Services

A. Ethics counselor. DC Official Code § 1-618.03 requires that the Mayor appoint an ethics counselor for the District of Columbia and that each agency head designate an agency employee who has appropriate experience, preferably legal, and in whom he or she has complete personal confidence, to be the ethics counselor for the agency and to serve as the agency's designee to the DC Ethics Counselor on matters discussed in this chapter. The Ethics Counselor for the District of Columbia, along with the agency head, should make the counselor responsible for coordination of the agency's advisory services.

B. Availability of advisory services. The DCOP recommends that each agency take positive steps to make its employees aware of the availability of advisory services on various requirements and restrictions, including those matters discussed in this chapter. Agencies should encourage their personnel to utilize the interpretation and advisory services of ethics counselors whenever questions arise on the applicability of requirements and restrictions to individual situations. At a minimum, each agency must notify its employees of the availability of advisory services and of how and where these services are available.

 

1.7 Reviewing Statements and Reporting Conflicts of Interest

Each agency is required to establish a system for the review of statements of employment and financial interests submitted in accordance with the instructions in subpart 3 of this chapter. Each agency is required to design its system of review so that it is effective in disclosing conflicts or apparent conflicts of interest on the part of employees. The system must provide that, when a statement submitted under subpart 3 or information from other sources indicates a conflict or the appearance of a conflict between the interest of an employee and the performance of his or her services for the government, and, when the conflict is not resolved at a lower level in the agency, the information on the conflict or apparent conflict must be reported to the agency head through the supervisor of the employee. As applicable, the employee concerned must be provided an opportunity for a hearing.

 

1.8 Disciplinary and Other Remedial Action

A. General. Violation of the law or Chapter 18 of the DC personnel regulations by an employee may result in disciplinary action. Any disciplinary action taken may be in addition to any penalties prescribed by law, and in accordance with applicable laws and regulations, particularly DC Official Code § 1-616.51 et seq. and Chapter 16 of the DC personnel regulations.

B. Real or apparent conflicts of interest. When, after an investigation and or consideration of the explanation of the employee, an agency head decides that appropriate action is required, he or she must take immediate action to end a real or apparent conflict of interest, or take preventive action to forestall a potential conflict. Agency action may include, but is not limited to, changing assigned duties, requiring the employee to divest himself of a conflicting interest, taking disciplinary action, disqualifying or accepting the self-disqualification of the employee for a particular assignment, or referring the matter to the Inspector General or appropriate law enforcement officers in accordance with Chapter 31 of this manual.

C. Effect on other requirements. Remedial action, whether disciplinary or otherwise, must be effected in accordance with any applicable laws and regulations, particularly DC Official Code § 1-616.51 et seq. and Chapter 16 of this manual.

 

1.9 Post-Employment Restrictions

There are certain statutory restrictions which apply to prior employees, such as provided in § 1814 of the DC personnel regulations and which are set forth in full text in paragraph A.3 of appendix A, and mentioned in appendix B.

 

Subpart 2. General Prohibitions Regarding Employee Conduct 

2.1 General

A District employee shall avoid action, whether or not specifically prohibited by this chapter, which might result in, or create the appearance of:

(1) Using public office for private gain;

(2) Giving preferential treatment to any person;

(3) Impeding government efficiency or economy;

(4) Losing complete independence or impartiality;

(5) Making a government decision outside official channels; or

(6) Affecting adversely the confidence of the public in the integrity of government (§ 1803.1 of Chapter 18 of the DC personnel regulations).

 

2.2 Gifts, Entertainment, and Favors

A. From persons. Except as noted in paragraph B below, a District employee shall not solicit or accept, either directly of through the intercession of others, any gift, gratuity, favor, loan, entertainment, or other like thing of value from a person who singularly or in concert with others:

1. Has, or is seeking to obtain, contractual or other business or financial relations with the District government;

2. Conducts operations or activities that are subject to regulation by the District government; or

3. Has interests that may be favorably affected by the performance or non-performance of the employee's official duty (§ 1803.2 of Chapter 18 of the DC personnel regulations).

B. Exceptions. The restrictions set forth in paragraph A above do not apply to:

1. Obvious personal relationships such as those that exist between an employee and his or her parents, children, or spouse, when the circumstances make it clear that the motivating factor in these relationships is the individual's close family ties rather than the business of the persons concerned;

2. The acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or while on an inspection tour where an employee may properly be in attendance;

3. The acceptance of loans from banks or other financial institutions on customary terms to finance proper and usual activities of employees such as the acquisition of a car, home, appliance, etc;

4. The acceptance of unsolicited advertising or promotional items such as pens, pencils, note pads, calendars, and like items of nominal intrinsic value; or

5. The acceptance of a voluntary gift of nominal value or of a cash donation in a nominal amount which is presented on a special occasion such as marriage, illness, or retirement.

C. To superiors. A District employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself or herself. This, however, does not prohibit the presentation or acceptance of a voluntary gift of nominal value or of a cash donation in a nominal amount when given on a special, infrequent occasion such as marriage, illness, or retirement. Under this section, the term "nominal" means an individual cash donation of no more than $10 or an individual voluntary gift of no more than $10 in market value.

D. From a foreign government. The US Constitution (Article I, Section 9) prohibits an employee from accepting a gift, present, decoration, or similar items from a foreign government without the consent of Congress. Congress has set forth in 5 USC 7342 the terms for the receipt and disposition of such foreign gifts and decorations. This statute in turn has been implemented by regulations issued by the State Department in title 22, part 3 of the Code of Federal Regulations.

 

2.3 Reporting Corrupt or Other Criminal Activity or Conflicts of Interest

A. Reporting of misconduct. An employee shall report directly and without undue delay to his or her agency head and to the Office of the Inspector General of the District of Columbia any information concerning conduct which he or she knows, or should reasonably know, involves corrupt or other criminal activity, or conflict of interest on the part of another District employee, which concerns that person's employment or office, or on the part of a person dealing with the District government, which concerns that person's dealings with the District government. An agency head who has such information concerning an employee's conduct shall immediately report such information to the Office of Inspector General of the District of Columbia.

B. Obstructive or retaliatory action. An employee shall not interfere with or obstruct an investigation by a District or federal agency of misconduct by another District employee or by a person dealing with the District. No coercive, harassment, or retaliatory action shall be taken against an employee acting in good faith under paragraph E above.

 

2.4 Outside Employment

A. Incompatible activities. A District government employee may not engage in any outside employment or other activity that is not compatible with the full and proper discharge of his or her duties and responsibilities as a government employee. Activities or actions that are not compatible with government employment include, but are not limited to (§ 1804 of the DC personnel regulations) :

1. Engaging in any outside employment, private business activity, or other interest which may interfere with the employee's ability to perform his or her job, or which may impair the efficient operation of the District of Columbia government;

2. Using government time or resources for other than official business, or government approved or sponsored activities, except that a District employee may spend a reasonable amount of government time and resources on such projects, reports, and studies as may be considered in aid of other government jurisdictions (local, state, or federal), provided the work so performed is within the scope of the individual's regular assignments as a District employee;

3. Ordering, directing, or requesting subordinate officers or employees to perform during regular working hours any personal services not related to official District government functions and activities;

4. Maintaining financial or economic interest in, or serving (with or without compensation) as an officer or director of, an outside entity if there is any likelihood that such entity might be involved in an official government action or decision taken or recommended by the employee;

5. Engaging in any outside employment, private business activity, or interest that permits an employee, or others, to capitalize on his or her official title or position;

6. Divulging any official government information to any unauthorized person or in advance of the time prescribed for its authorized issuance, or otherwise making use of or permitting others to make use of information not available to the general public;

7. Engaging in any outside employment, private business activity, or other interest that might impair an employee's mental or physical capacity to such an extent that he or she can no longer carry out his or her duties and responsibilities as a government employee in a proper and efficient manner;

8. Serving in a representative capacity or as an agent or attorney for any outside entity involving any matter before the District of Columbia;

9. Engaging in any outside employment, private business activity, or other interest that is in violation of federal or District law (§ 1804.1 of Chapter 18 of the DC personnel regulations).

B. Indirect activities. A District employee may not do indirectly what he or she may not do directly under the foregoing restrictions.

C. Special government employees. A special government employee (see Appendix A) shall be subject to paragraph A(8) above only in relation to a particular matter involving specific parties in which he or she has at any time participated personally and substantially as a government employee or special government employee, or which is pending before the department or agency in which he or she is serving or by which he or she is employed.

D. Additional compensation for services. An employee shall not receive any salary or anything of monetary value from any source other than the District government as pay for his or her services to the government of the District of Columbia (18 USC 209).

 

E. Teaching Activities

1. Any teaching activity engaged in by a District employee which is not performed for or on behalf of the District government shall be regarded in the same manner as any other outside employment and thus subject to the same conditions imposed by this chapter. All such nonofficial teaching activities, whether carried out for compensation or not, must be performed outside of regular working hours or while the employee is on annual leave or leave without pay.

2. No District employee may accept a supplement to his or her regular government salary from any private source for teaching activities performed during his or her regular tour of duty, nor for any other service he or she may render to the District government, unless he or she is covered by the statutory exception relating to "special government employee."

3. Nothing in this section shall be construed as prohibiting a District employee from engaging in teaching activities during official duty hours when such function is a part of the employee's regular assignment, or when it is performed primarily for the benefit of District employees, even though non-government as well as government interests may be involved, provided supplementary compensation is not accepted.

 

F. Writing for Publication

1. Except as noted in paragraph 2 below, a District employee is not prohibited from writing or editing articles, pamphlets, books, or similar items for publication, provided such activity is performed outside of regular working hours, or while the employee is on annual leave or leave without pay.

2. A District employee may not submit for publication any article, pamphlet, book, or similar item which pertains to the District government, its functions, its officers, or its employees, if it contains official information not otherwise available to the general public which the employee has access to only by reason of his or her District government employment, unless:

a. He or she has acquired, in writing, the prior approval of the head of the agency in which he or she is employed; or

b. Such writing or editing constitutes a regular and ongoing part of his or her daily assignment, and is thus subject to administrative review before final issuance.

G. Consultative activities. The rendering of consultative or advisory services which are not related to an employee's official duties and responsibilities is to be viewed in the same light as other non-governmental activities and thus subject to the same prohibitions.

 

H. Speaking Engagements

1. A District employee may not accept an invitation to speak before any group or gathering (public or private) as an official representative of the District government without first obtaining the approval of his or her agency head, or that of another duly authorized official. Moreover, approval to engage in such activity may not be extended, unless :

a. The speaking engagement is considered to be official government business relating to agency functions or activities for which appropriated funds are made available;

b. The invitation to engage in such activity is submitted through official channels rather than being directed to a specific person in his or her capacity as a private citizen;

c. The subject matter identified is closely related to the official duties and responsibilities of the employee whose services as a speaker have been requested, or who is otherwise asked to respond to the invitation;

d. The acceptance of such invitation will not subsequently cause a District employee or the District government to be in violation of any of the provisions set forth in part I of this chapter.

2. When it has been determined that a proposed speaking engagement is in keeping with official government business, and is not otherwise in violation of this chapter, the employee designated to act for or on behalf of the District government in such matter:

a. Shall be considered in a duty status for the entire period of time that he or she is so engaged, for which reason the employee may not accept any compensation or honorarium except from the District government;

b. May use his or her title for identification purposes and to otherwise indicate that he or she is representing the District government in an official capacity;

c. May be reimbursed for travel expenses and related subsistence costs by (1) the District government in accordance with the Regulations Governing Travel and related Expenses; (ii) a source outside the District government provided that any such reimbursement does not exceed an amount allowable under the Regulations Governing Travel and related Expenses; or (iii) any combination of (i) and (ii) that does not exceed an amount allowable under the Regulations Governing Travel and Related Expenses.

3. Speaking engagements that do not pertain to official government business are subject to the same provisions as apply to other non-governmental activities. For this reason, an employee who accepts an outside speaking engagement:

a. May not be carried in a duty status, but may be granted annual leave or leave without pay if the activity takes place during regular working hours;

b. May not indicate in any manner that his or her statements or actions reflect the official policies or position of the District government or those of any of its officials;

c. Must restrict the use of his or her official title to that of identification only;

d. May accept compensation or an honorarium for such activity, if otherwise not in conflict with the law or regulation; and

e. May accept assistance, financial or otherwise, from non-government sources for travel costs, subsistence, clerical, or other expenses properly associated with such activity.

I. Limitation on use of official data. The information used by an employee engaging in any activity under paragraphs E, except as provided in section 2.4(E)(3), F, G, or H above, shall not draw on official data or ideas which have not become part of the body of public information, except nonpublic information that has been made available on request for use in such capacity, or unless the agency head gives written authorization for use on the basis that its use is in the public interest. In addition, if the employee receives compensation or anything of monetary value for engaging in such activity, the subject matter shall not be devoted substantially to the responsibilities, programs, or operations of his or her agency, to his or her official duties or responsibility, or to information obtained from his or her government employment.

J. Limitation on prohibitions. Regulations in Part I of this chapter do not preclude an employee from:

1. Receiving bona fide reimbursement, unless prohibited by law, for actual expenses for travel and such other necessary subsistence as is compatible with law and regulations and for which no government payment or reimbursement is made (but this does not allow an employee to be reimbursed for excessive personal living expenses, gifts or entertainment, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by the Regulations Governing Travel and Related Expenses and the Comptroller General's Decision (B?128527, 46 Comp. Gen. 689));

2. Participating in the activities of national or state political parties not proscribed by law;

3. Participating in the affairs of or acceptance of an award for a meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit educational or recreational, public service, or civic organization; or

4. Engaging in outside employment permitted under chapter 18 of the DC personnel regulations.

 

2.5 Engaging in Outside Employment While in A Leave Status

A. Conditions to be met by employee. A District employee may not engage in any kind of outside employment, private business venture, or other financial undertaking, whether or not for compensation :

1. During regular working hours unless the employee is on annual leave or leave without pay which has been approved in advance in accordance with applicable leave regulations; or

2. While on sick leave for all or part of a regularly scheduled workday, nor during the entire 24-hour period of any regularly scheduled workday thereafter until the employee has returned from sick leave and performed at least one full tour of duty.

B. Purpose of restrictions. The purpose of paragraph A(2) above is to restrict a District employee from engaging in any of the aforementioned non-governmental activities while on sick leave. Proper application of the regulation does not mean, however, that a District employee is prohibited from engaging in any outside activity not otherwise in conflict with law or regulation on any non-workday. This is true because an employee is not considered to be in a sick leave status on a non-workday. Thus an employee whose tour of duty is scheduled to run from 8:15 a.m. to 4:45 p.m., Monday through Friday, may properly engage in a non-governmental activity between midnight Friday and midnight Sunday even though he or she requested and was subsequently placed in a sick leave status on Friday. Said employee may not, however, engage in any non-governmental activity prior to midnight Friday and after midnight Sunday, and such restriction shall continue during the entire 24-hour period of any workday until the employee has returned from sick leave and performed at least one full tour of duty.

 

2.6 Financial Interests

A. Prohibited activities.

1. No District employee, or any member of his or her immediate family, may knowingly acquire any stocks, bonds, commodities, real estate, or other property, whether held individually or in concert with others, the possession of which could unduly influence or give the appearance of unduly influencing the employee in the conduct of his or her official duties and responsibilities as an employee of the District government (§ 1805.1 of Chapter 18 of the DC personnel regulations).

2. No District employee, or any member of his or her immediate family, may acquire an interest in or operate any business or commercial enterprise which is in any way related, directly or indirectly, to the employee's official duties, or which might otherwise be involved in an official action taken or recommended by the employee, or which is in any way related to matters over which the employee could wield any influence, official or otherwise (§ 1805.2 of Chapter 18 of the DC personnel regulations).

3. A District employee who is called upon to act for or on behalf of the District government in a matter relating to or involving a non-governmental entity in which he or she or a member of his or her immediate family has a financial interest, shall make this fact known to his or her immediate supervisor, in writing, at the earliest possible moment. The head of the employing District agency shall subsequently determine whether or not the employee must divest himself or herself of such interest, or merely disqualify himself or herself from taking part in any official decision or action involving the matter (§ 1805.3 of Chapter 18 of the DC personnel regulations).

B. Limitation on prohibitions. The standards in this section do not preclude an employee from having a financial interest or engaging in financial transactions to the same extent as a private citizen not employed by the government so long as the interest or transaction is consistent with appropriate requirements and restrictions.

 

2.7 Use of Government Property

Section 1806.1 of Chapter 18 of the DC personnel regulations states that a District employee shall not use, or permit the use of government property, equipment, or material of any kind, including that acquired through lease, for other than officially approved purposes. An employee has a positive duty to protect and conserve government property, including such equipment, supplies, materials, and other items as may be issued or entrusted to him or her. Nothing in law or regulation, however, shall serve to prohibit:

1. The acceptance of any material, article, or service which is available as part of any District government program property being dispensed or provided free to District residents or visitors to the District;

2. The use of District facilities by recognized employee groups for authorized off-duty training or meeting purposes;

3. The use of government facilities or equipment under circumstances which do not increase the maintenance costs of such resources; for example, the use of existing library materials or government-purchased books is not prohibited; or

4. The temporary loan of office equipment such as computer laptops, hand held computers, reference books or similar equipment, provided that the District employee who would make use of such items :

a. Properly substantiates his or her need for same in writing;

b. Acquires the prior approval of his or her supervisor;

c. Limits their use to his or her own residence and then for such purposes as will be considered of benefit to the District government; and

d. Duly notes the loan of such items on the agency's personal property records.

 

2.8 Misuse of Information

Except as discussed in section 2.4 of this subpart, an employee may not directly or indirectly use or allow the use of official information obtained through or in connection with his or her government employment which has not been made available to the general public, for the purpose of furthering a private interest.

 

2.9 Indebtedness

District employees should pay every just financial obligation in a proper and timely manner, especially one imposed by law such as federal, state, or local taxes. A just financial obligation means one acknowledged by the employee or reduced to judgment by a court, or one imposed by law such as federal, state, or local taxes, and in a proper and timely manner means in a manner which does not, under the circumstances, reflect adversely on the District government as his or her employer. In the event of dispute between an employee and an alleged creditor, the DCOP or employing agency is not obligated to determine the validity or amount of the disputed debt.

 

2.10 Gambling, Betting and Lotteries

A District employee shall not participate, while on government-owned or leased property or while on duty for the government, in any gambling activity, including the operation of a gambling device, in conducting a lottery or pool, in a game for money or property, or in selling or purchasing a numbers slip or ticket, except for those lawful activities sponsored by the DC Lottery and Charitable Games Control Board or necessitated by an employee's agency--approved law enforcement duties.

 

2.11 General Conduct Prejudicial to the Government

A District employee is prohibited from engaging in criminal, dishonest, or other conduct that causes discredit to the District government. Violations under this section impose a maximum penalty of removal from District government service.

Any disciplinary and other remedial action taken must be in accordance with applicable laws and regulations, particularly DC Official Code § 1-616.51 et seq. and Chapter 16 of the DC personnel regulations.

 

2.12 Miscellaneous Statutory Provisions

A. Requirement. Each employee has a positive duty to become acquainted with federal and District statutes and regulations that relate to his or her ethical and other conduct as a District employee. Each employee should be particularly acquainted with § 1809.1 of Chapter 18 of the DC personnel regulations and appendix A of this chapter. The following is a list of the basic statutory provisions:

1. The prohibition against bribery of public officials (18 USC 201);

2. The prohibition against receiving compensation for claims, contracts, etc. (18 USC 203);

3. The prohibition against prosecuting claims against and other matters affecting the government (18 USC 205);

4. The prohibition against prosecuting claims involving matters connected with former duties-post employment conflict of interest (18 USC 207);

5. The prohibition against an employee or special government employee acting or participating in any matter in which he or she, his or her immediate family, his or her partner, or an organization with which he or she is connected or is seeking employment has a financial interest (18 USC 208);

6. The prohibition against an employee receiving salaries or contributions from other than government services (18 USC 209);

7. The prohibition against acceptance or solicitation to obtain public office (18 USC 211);

8. The prohibition against disloyalty and striking (18 USC 1918);

9. The prohibition against the misuse of franking privilege (18 USC 1719);

10. The prohibition against outside employment or private business activity which would conflict or appear to conflict with the performance of duties. This section also deals with having a direct or indirect financial interest in a matter that conflicts or appears to conflict with the performance of duties (DC Official Code § 1-618.02);

11. The prohibition against fraud and false statement (18 USC 1001);

12. The prohibition against mutilating or destroying public records (18 USC 2071);

13. The prohibition against embezzlement and theft of government money, property, or records (18 USC 641);

14. The prohibition against failure to account for public money (18 USC 643);

 

Subpart 3. Procedures Governing Statements of Employment and Financial Insterests

3.1 General

A. It should be noted that the federal conflict of interest laws, i.e., 18 USC 202 et seq., apply to all District of Columbia government employees. On the other hand, DC Official Code § 1-1106.01 (Conflict of Interest), applies only to those persons who are required to file financial statements with the DC Board of Elections and Ethics under DC Official Code § 1-1106.02. Such financial statements are different from those required by DC Official Code § 1-618.01. This subpart, namely, sections 3.2 through 3.13, will address the procedures and requirements of DC Official Code § 1-618.01 only.

B. Form and contents of statements. An employee required to furnish a statement of employment and financial interests will submit such statement on DC Form 35, a copy of which is contained in Appendix B. A copy of the form, which includes the conflict of interest instructions, shall be furnished to the employee. Agencies may reproduce the form for their use.

 

3.2 Employees Required To Submit Statements

A. Except as provided in section 3.3 of this subpart, each agency will require statements of employment and financial interests from employees performing policy-making, contracting or purchasing functions or functions in which meaningful decisions are made respecting private organizations. These are employees whose work may involve, for example, monitoring projects involving contractors, overseeing the work of contractors, administering or monitoring grants or subsidies, regulating or auditing private or other non-District enterprises, or other activities when a decision or action has an economic impact on the interests of a non-District enterprise.

 

B. Agency Determinations and Review

1. On or before April 15th of each year, each agency head shall designate the employees required to submit a confidential statement of employment and financial interests. Employees will be required to submit statements if the agency determines that the duties and responsibilities of their positions would require them to report outside employment and financial interests in order to avoid involvement in possible conflict-of-interest situations and carry out the purpose of law and regulation.

2. Each agency head or his or her designee shall review each employee's confidential statement of employment and financial interests and each supplementary statement and, on or before June 15th of each year, shall certify or otherwise report to the DC Ethics Counselor, indicating whether or not persons designated have filed the required statements, and if not, shall provide a list of those employees who have failed to submit the required statements. Any remedial action ordered or taken shall be consistent with the provisions of § 1801 of this chapter.

3. A person who is providing services to a District agency without compensation under the provisions of Chapter 35 of these regulations, § 4000 (Utilization of Voluntary Services) shall be required to submit a confidential statement of employment and financial interests if the agency head determines that the volunteer's assignment is comparable to a position covered by this chapter requiring the submission of a confidential statement of employment and financial interests.

 

C. Required Agency Lists

1. Each agency shall maintain a list of positions identified under this section.

2. Each agency head shall maintain a list of designated employees required to submit a confidential statement of employment and financial interests by name, position, and grade level. The agency head shall supply this list to the DC Ethics Counselor on or before April 30th of each year.

3. Agency heads are responsible for ensuring that employees who are appointed, transferred, promoted, reassigned, or detailed to positions identified submit statements not later than ten (10) days from the effective date of the personnel action.


3.3 Employees Not Required to Submit Statements

An agency may exclude employees from the reporting requirements in paragraph 3.2(A) of this subpart when the agency determines that the duties and responsibilities of their positions are such that the likelihood of involvement in conflict-of-interest situations is remote or are at a level of responsibility that reporting is unnecessary because of the degree of supervision and review that exists over the incumbents (including the consideration of the inconsequential effect on the integrity of the government).


3.4 Supervisory Notification to Employees Required to File

The supervisor of an employee who has been designated by the agency head to submit a confidential statement of employment and financial interests shall inform the designated employee, in writing, of the following:

(a) That he or she has been designated;

(b) That he or she may request a review of the designation by the agency head within ten (10) days; after which he or she may appeal to the DC Ethics Counselor within fifteen (15) days; and

(c) That no statement shall be required pending a review or appeal.

 

3.5 Employee Requests for Review of Designation

A. An employee who has been notified in writing of his or her designation to file a confidential statement of employment and financial interests who believes that his or her position has been improperly designated by the agency head may submit a written request for review to the agency head within ten (10) days of receipt of the written notification of the designation.

B. The agency head shall make a redetermination, in writing, within fifteen (15) days of receipt of the request; and the agency head's redetermination denying requested relief shall be appealable, in writing, within fifteen (15) days of receipt of the notice of denial, to the DC Ethics Counselor.

C. No confidential statement of employment and financial interests shall be required to be filed pending a review by the agency head or a decision by the DC Ethics Counselor. The decision of the DC Ethics Counselor respecting the designation shall be in writing and shall be final.

D. An employee's failure or refusal to file such statement of employment and financial interests within ten (10) days of the receipt of the decision of the DC Ethics Counselor shall be grounds for adverse action.

 

3.6 Time and Place for Submission of Statements

A. A designated employee is required to submit a statement of employment and financial interests to the agency head or his or her designee no later than May 15th of each year, even if no significant changes have occurred regarding his or her outside employment or financial interests, and:

1. Ten (10) days from the initial effective date that he or she is appointed, transferred, promoted, or detailed to a position that is subject to the reporting requirements; or

2. Ten (10) days after the position is determined to be covered by the reporting requirements.

B. Notwithstanding the filing of an initial or annual statement, each employee must at all times avoid acquiring a financial interest that could, or taking any action that would, result in a violation of the conflict of interest provisions of law or regulation.

C. Each employee designated to submit an annual statement shall notify his or her immediate supervisor in writing immediately whenever an assignment is given the employee which may directly or indirectly affect any person or entity identified by the employee pursuant to section 3.11 of this subpart. Upon such notification, the supervisor may reassign the matter in the event of a conflict of interest or the appearance of a conflict of interest when, in the discretion of the supervisor, a reassignment is warranted under the circumstances. This notification shall be in addition to the requirements under subpart 2, section 2.6(3).

D. While assigned to a position so identified, an employee must keep the information on the statement current with respect to all categories and must obtain prior approval from the agency head or his or her designee before engaging in any additional outside employment or business activities.

 

3.7 Supplementary Statements

Changes in, or additions to, the information in an initial or annual statement of employment and financial interests must be reported in a supplementary statement within ten (10) days after the occurrence of such change, which includes the employee's commencement or cessation of business activity regarding persons or entities engaged in doing business with the District of Columbia or regulated by any agency of the District government, or when such persons or entities commence to do business with the District of Columbia or a regulated agency, and the employee's commencement of previously unreported outside employment, acquisition of financial or real property interest, or agreement of indebtedness.

 

3.8 Interests of Employee's Relatives

The interests of a spouse, minor child, or other member of an employee's immediate household are considered to be the interests of the employee. For the purpose of this subpart, the term "member of an employee's immediate household" means the employee's spouse and blood relations who are full-time residents of the employee's household, and the employee's minor children, irrespective of residence.

 

3.9 Information Not Known By Employees

If any information required to be included on a statement of employment and financial interests or supplementary statement, including holdings placed in trust, is not known in detail by the employee but is known by another person, the employee is required to request that other person to submit information on his or her behalf.

 

3.10 Information Not Required to Be Reported

An employee is not required to submit in a statement of employment and financial interests or supplementary statement any information about the employee's connection with or interest in a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization, or a similar organization not conducted as a business enterprise. For this purpose, educational and other institutions doing research and development or related work involving grants of money from or contracts with the government are considered business enterprises and are required to be included in an employee's statement of employment and financial interest.

 

3.11 Information Required to be Reported in the Statement and Supplementary Statement of Employment and Financial Interests

A. Employment and Financial Interests. Each designated employee shall provide the following information pertaining to employment and financial interests:

1. The names and addresses of all corporations, companies, firms, or other business enterprises, partnerships, nonprofit organizations, and educational or other institutions in any of the following circumstances: with which he or she is connected as an employee, officer, owner, director, member, trustee, partner, advisor, or consultant; in which he or she has a continuing financial interest, through a pension or retirement plan, shared income, or other arrangement as a result of any current or prior employment or business or professional association; or in which he or she has any financial interest through the ownership of stock, stock options, bonds, securities, or other arrangement, including trusts;

2. The position held in the organization (employee, officer, owner, director, member, trustee, partner, advisor, or consultant); and

3. The nature of the financial interest, that is, through a pension or retirement plan, shared income, or other arrangement as a result of any current or prior employment or business or professional association, or through the ownership of stock, stock options, bonds, securities, or other arrangement, including trusts.

B. Creditors. Each designated employee shall provide the following information pertaining to creditors:

1. The names and addresses of his or her creditors other than those to whom he or she may be indebted by reason of a mortgage on property which he or she occupies as a personal residence or to whom he or she may be indebted for current and ordinary household and living expenses such as household furnishings, automobile, education, vacation, and similar expenses; and

2. The character of the indebtedness, for example, personal loan, note, or security.

C. Real Property. Each designated employee shall provide the following information pertaining to interest in real property:

1. List of his or her interest in real property or rights in lands, other than property which he or she occupies as a personal residence;

2. The nature of the interest, for example, ownership, mortgage, lien, investment, or trust;

3. Type of property, for example, residence, hotel, apartment, farm, or undeveloped land; and

4. Address of the property (if rural, give RFD, county, and state).

D. Business activity with the District government. Each designated employee shall expressly indicate whether any person or entity identified is (a) engaged in doing business with the District government or (b) regulated by any agency of the District government, except as to any licensing requirement under Title 47, Chapter 28 of the DC Official Code. If any change occurs regarding such persons or entities after the filing of an annual statement, the employee shall furnish the updated information by submission of a supplementary statement within ten (10) days of the commencement or cessation of the business activity or the regulatory function. A person or entity shall be deemed to be doing business with the District government if a contract or agreement has been formally entered into for supplying goods or services, including contracts for construction, to the District, or for extending a lease hold interest to the benefit of the District.

E. Information supplied by others. If any information is to be supplied by other persons, for example, a trustee, attorney, accountant, or relative, the employee shall indicate the following information:

1. The name and address of each other person;

2. The date on which the information was requested by the employee to be supplied; and

3. The nature of the subject matter involved.

F. Non applicable information. In responding to the requests for information required under paragraphs A through E, the employee shall write "none," if applicable.

G. Certification of statement. The employee shall sign and date the confidential statement of employment and financial interests and certify the following:

1. That he or she has received and read the instructions and the prohibitions pertaining to conflicts of interest as they relate to his or her employment;

2. That, to the best of his or her knowledge and belief, he or she has no outside employment or other business interest other than the interests specifically listed and identified in accordance with paragraphs A through F; and

3. That the statements he or she provided are true, complete, and correct to the best of his or her knowledge and belief.

H. Supplementary information. In accordance with section 3.7 of this subpart, each employee shall submit a supplementary statement disclosing any additional financial interests not previously disclosed in the employee's annual statement within ten (10) days of his or her commencement of any previously unreported outside employment, acquisition of financial or real property interests, or agreement of indebtedness, in the same manner and to the same extent as specified for the submission of annual statements required by this section.

When an employee identifies a person or entity in accordance with paragraph D above as either not engaged in doing business with the District government or not regulated by any agency of the District government and thereafter the person or entity commences either to do business with or to become subject to regulation by the District, the employee, within ten (10) days of the commencement of the business or regulatory function, shall notify in writing his or her immediate supervisor and submit a supplementary statement identifying the change in status.

 

3.12 Confidentiality and Retention of Employee Statements

A. Confidentiality. An agency must hold each statement of employment and financial interests and each supplementary statement in strictest
confidence. To ensure this confidentiality, each statement must be reviewed only by the agency head or his or her designee. The agency head or his or her designee are responsible for maintaining the statements in confidence, and must not allow access to, or information to be disclosed from, a statement for any reason other than to carry out the purpose of Chapter 18 of the regulations. An agency is not permitted to disclose information from a statement except as the DC Ethics Counselor or the agency head determines is authorized in accordance with section 3.13 of this subpart.

B. Retention. Confidential statements of employment and financial interests shall be retained in limited access files under the control of the agency head for no less than three (3) years. Thereafter, the reports shall be retained for at least two (2) additional years, either in limited access files under the control of the agency head or transferred to the appropriate record retention center outside the agency.


3.13 Restrictions on the Disclosure of Information from Employee Statements

Confidential statements of employment and financial interests, and each supplemental statement, are considered official personnel records and shall not be made available except as authorized by Chapter 31 of the DC personnel regulations.


3.14 Effect of Employee Statements on Other Requirements

The statements of employment and financial interests and supplementary statements required of employees are in addition to, and not in substitution for or in derogation of, any similar requirement imposed by law, order, or regulation.

 

Appendix A. Excerpts from Statutes Governing Conduct of District Employees

A.1 General

There are far too many statutes pertaining to employee conduct to attempt to quote from all. Consequently, only the more relevant statutes of general applicability are quoted in part in this appendix. Since these are summary statements, the actual text of the applicable statutes should be referred to before any action is taken.

 

A.2 Bribery and Graft

Bribery of public officials and witnesses. (18 USC § 201).

(a) For the purpose of this section:

(1) The term "public official" means Member of Congress, Delegate, or Resident Commissioner, either before or after such official has qualified, or an officer or employee or person acting for or on behalf of the United States, or any department, agency or branch of government thereof, including the District of Columbia, in any official function, under or by authority of any such department, agency, or branch of government, or a juror;

(2) The term "person who has been selected to be a public official" means any person who has been nominated or appointed to be a public official, or has been officially informed that such person will be so nominated or appointed; and

(3) The term "official act" means any decision or action on any question, matter, cause, suit, proceeding or controversy, which may at any time be pending, or which may by law be brought before any public official, in such official's official capacity, or in such official's place of trust or profit.

(b) Whoever:

(1) directly or indirectly, corruptly gives, offers or promises anything of value to any public official or person who has been selected to be a public official, or offers or promises any public official or any person who has been selected to be a public official to give anything of value to any other person or entity, with intent-

(A) To influence any official act; or

(B) To influence such public official or person who has been selected to be a public official to commit or aid in committing, or collude in, or allow, any fraud, or make opportunity for the commission of any fraud, on the United States; or

(C) To induce such public official or such person who has been selected to be a public official to do or omit to do any act in violation of the lawful duty of such official or person;

(2) Being a public official or person selected to be a public official, directly or indirectly, corruptly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally or for any other person or entity, in return for:

(A) Being influenced in his the performance of any official act;

(B) Being influenced to commit or aid in committing, or to collude in, or allow, any fraud, or make opportunity for the commission of any fraud, on the United States; or

(C) Being induced to do or omit to do any act in violation of the official duty of such official or person;

(3) Directly or indirectly, corruptly gives, offers, or promises anything of value to any person, or offers or promises such person to give anything of value to any other person or entity, with intent to influence the testimony under oath or affirmation of such first-mentioned person as a witness upon a trial, hearing, or other proceeding, before any court, any committee of either House or both Houses of Congress, or any agency, commission, or officer authorized by the laws of the United States to hear evidence or take testimony, or with intent to influence such person to absent himself therefrom;

(4) Directly or indirectly, corruptly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally or for any other person or entity in return for being influenced in testimony under oath or affirmation as a witness upon any such trial, hearing, or other proceeding, or in return for absenting himself therefrom;

Shall be fined under this title or not more than three times the monetary equivalent of the thing of value, whichever is greater, or imprisoned for not more than fifteen years, or both, and may be disqualified from holding any office of honor, trust, or profit under the United States.

(c) Whoever:

(1) Otherwise than as provided by law for the proper discharge of official duty:

(A) Directly or indirectly gives, offers, or promises anything of value to any public official, former public official, or person selected to be a public official, for or because of any official act performed or to be performed by such public official, former public official, or person selected to be a public official; or

(B) Being a public official, former public official, or person selected to be a public official, otherwise than as provided by law for the proper discharge of official duty, directly or indirectly demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally for or because of any official act performed or to be performed by such official or person;

(2) Directly or indirectly, gives, offers, or promises anything of value to any person, for or because of the testimony under oath or affirmation given or to be given by such person as a witness upon a trial, hearing, or other proceeding, before any court, any committee of either House or both Houses of Congress, or any agency, commission, or officer authorized by the laws of the United States to hear evidence or take testimony, or for or because of such person's absence therefrom;

(3) Directly or indirectly, demands, seeks, receives, accepts, or agrees to receive or accept anything of value personally for or because of the testimony under oath or affirmation given or to be given by such person as a witness upon any such trial, hearing, or other proceeding, or for or because of such person's absence therefrom;

Shall be fined under this title or imprisoned for not more than two years, or both.

(d) Paragraphs (3) and (4) of subsection (b) and paragraphs (2) and (3) of subsection (c) shall not be construed to prohibit the payment or receipt of witness fees provided by law, or the payment, by the party upon whose behalf a witness is called and receipt by a witness, of the reasonable cost of travel and subsistence incurred and the reasonable value of time lost in attendance at any such trial, hearing, or proceeding, or, in the case of expert witnesses, a reasonable fee for time spent in the preparation of such opinion, and in appearing and testifying. (18 USC § 201).

 

A.3 Conflicts of Interest

A. Definitions. (18 USC 202).

(1) Special government employee. For the purposes of this section the term special government employee means an officer or employee of the District of Columbia, who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed one hundred and thirty (130) days during any period of three hundred and sixty-five (365) consecutive days, temporary duties either on a full-time or intermittent basis.

(2) Official responsibility. For the purposes of paragraphs C and D below, the term "official responsibility" means the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, and either personally or through subordinates, to approve, disapprove, or otherwise direct government action. (18 USC 202).

B. Compensation to Members of Congress, officers, and others in matters affecting the government. (18 USC 203). (a) Whoever, otherwise than as provided by law for the proper discharge of official duties, directly or indirectly:

(1) Demands, seeks, receives, accepts, or agrees to receive or accept any compensation for any representational services, as agent or attorney or otherwise, rendered or to be rendered either personally or by another, at a time when such person is an officer or employee of the District of Columbia, in relation to any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the District of Columbia is a party or has a direct and substantial interest, before any department, agency, court, officer, or commission; or

(2) Knowingly gives, promises, or offers any compensation for any such representational services rendered or to be rendered at a time when the person to whom the compensation is given, promised, or offered, is or was an officer or employee of the District of Columbia;

Shall be subject to the penalties set forth in section 216 of this title.

(c) A special government employee shall be subject to subsection (b) only in relation to a particular matter involving a specific party or parties:

(1) In which such employee has at any time participated personally and substantially as a government employee or as a special government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise; or

(2) Which is pending in the department or agency of the government in which such employee is serving except that paragraph (2) of this subsection shall not apply in the case of a special government employee who has served in such department or agency no more than sixty days during the immediately preceding period of three hundred and sixty-five consecutive days. (18 USC 203).

C. Activities of officers and employees in claims against and other matters affecting the government. (18 USC 205). (b) Whoever, being an officer or employee of the District of Columbia or an officer or employee of the Office of the United States Attorney for the District of Columbia, otherwise than in the proper discharge of official duties: (1) acts as agent or attorney for prosecuting any claim against the District of Columbia, or receives any gratuity, or any share of or interest in any such claim in consideration of assistance in the prosecution of such claim; or (2) acts as agent or attorney for anyone before any department, agency, court, officer, or commission in connection with any covered matter in which the District of Columbia is a party or has a direct and substantial interest;

Shall be subject to the penalties set forth in section 216 of this title.

(c) A special government employee shall be subject to subsection (b) only in relation to a covered matter involving a specific party or parties: (1) in which he has at any time participated personally and substantially as a government employee or special government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise; or (2) which is pending in the department or agency of the government in which he is serving. Paragraph (2) shall not apply in the case of a special government employee who has served in such department or agency no more than sixty days during the immediately preceding period of three hundred and sixty-five consecutive days.

(d) (1) Nothing in subsection (b) prevents an officer or employee, if not inconsistent with the faithful performance of that officer's or employee's duties, from acting without compensation as agent or attorney for, or otherwise representing: (A) any person who is the subject of disciplinary, loyalty, or other personnel administration proceedings in connection with those proceedings; or (B) except as provided in paragraph (2), any cooperative, voluntary, professional, recreational, or similar organization or group not established or operated for profit, if a majority of the organization's or group's members are current officers or employees of the United States or of the District of Columbia, or their spouses or dependent children. (2) Paragraph (1)(B) does not apply with respect to a covered matter that: (A) is a claim under subsection (a)(1) or (b)(1); (B) is a judicial or administrative proceeding where the organization or group is a party; or (C) involves a grant, contract, or other agreement (including a request for any such grant, contract, or agreement) providing for the disbursement of Federal funds to the organization or group.

(e) Nothing in subsection (b) prevents an officer or employee, including a special government employee, from acting, with or without compensation, as agent or attorney for, or otherwise representing, his parents, spouse, child, or any person for whom, or for any estate for which, he is serving as guardian, executor, administrator, trustee, or other personal fiduciary except: (1) in those matters in which he has participated personally and substantially as a government employee or special government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or (2) in those matters which are the subject of his official responsibility, subject to approval by the government official responsible for appointment to his position.

(f) Nothing in subsection (b) prevents a special government employee from acting as agent or attorney for another person in the performance of work under a grant by, or a contract with or for the benefit of, the United States if the head of the department or agency concerned with the grant or contract certifies in writing that the national interest so requires and publishes such certification in the Federal Register.

(g) Nothing in this section prevents an officer or employee from giving testimony under oath or from making statements required to be made under penalty for perjury or contempt.

(h) For the purpose of this section, the term "covered matter" means any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest, or other particular matter. (18 USC 205).

D. Restrictions on former officers, employees, and elected officials of the executive and legislative branches. (18 USC 207). (a) Restrictions on all officers and employees of the executive branch and certain other agencies.

(1) Permanent restrictions on representation on particular matters. Any person who is an officer or employee (including any special government employee) of the executive branch of the United States (including any independent agency of the United States), or of the District of Columbia, and who, after the termination of his or her service or employment with the United States or the District of Columbia, knowingly makes, with the intent to influence, any communication to or appearance before any officer or employee of any department, agency, court, or court-martial of the United States or the District of Columbia, on behalf of any other person (except the United States or the District of Columbia) in connection with a particular matter: (A) in which the United States or the District of Columbia is a party or has a direct and substantial interest, (B) in which the person participated personally and substantially as such officer or employee, and (C) which involved a specific party or specific parties at the time of such participation, shall be punished as provided in section 216 of this title.

(2) Two-year restrictions concerning particular matters under official responsibility. Any person subject to the restrictions contained in paragraph (1) who, within 2 years after the termination of his or her service or employment with the United States or the District of Columbia, knowingly makes, with the intent to influence, any communication to or appearance before any officer or employee of any department, agency, court, or court-martial of the United States or the District of Columbia, on behalf of any other person (except the United States or the District of Columbia), in connection with a particular matter: (A) in which the United States or the District of Columbia is a party or has a direct and substantial interest, (B) which such person knows or reasonably should know was actually pending under his or her official responsibility as such officer or employee within a period of 1 year before the termination of his or her service or employment with the United States or the District of Columbia, and (C) which involved a specific party or specific parties at the time it was so pending, shall be punished as provided in section 216 of this title.

(3) Clarification of restrictions. The restrictions contained in paragraphs (1) and (2) shall apply: (A) in the case of an officer or employee of the executive branch of the United States (including any independent agency), only with respect to communications to or appearances before any officer or employee of any department, agency, court, or court-martial of the United States on behalf of any other person (except the United States), and only with respect to a matter in which the United States is a party or has a direct and substantial interest; and (B) in the case of an officer or employee of the District of Columbia, only with respect to communications to or appearances before any officer or employee of any department, agency, or court of the District of Columbia on behalf of any other person (except the District of Columbia), and only with respect to a matter in which the District of Columbia is a party or has a direct and substantial interest. (18 USC 207).

E. Acts affecting a personal financial interest. (18 U.S.C. 208). (a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the United States government, … or an officer or employee of the District of Columbia, including a special government employee, participates personally and substantially as a government officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, general partner, organization in which he is serving as officer, director, trustee, general partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest:

Shall be subject to the penalties set forth in section 216 of this title.

(b) Subsection (a) shall not apply: (1) if the officer or employee first advises the government official responsible for appointment to his or her position of the nature and circumstances of the judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the government may expect from such officer or employee; (2) if, by regulation issued by the Director of the Office of Government Ethics, applicable to all or a portion of all officers and employees covered by this section, and published in the Federal Register, the financial interest has been exempted from the requirements of subsection (a) as being too remote or too inconsequential to affect the integrity of the services of the government officers or employees to which such regulation applies. (18 USC 208).

F. Salary of government officials and employees payable only by United States. (18 USC 209). (a) Whoever receives any salary, or any contribution to or supplementation of salary, as compensation for his services as an officer or employee of the executive branch of the United States government, of any independent agency of the United States, or of the District of Columbia, from any source other than the government of the United States, except as may be contributed out of the treasury of any State, county, or municipality; or Whoever, whether an individual, partnership, association, corporation, or other organization pays, or makes any contribution to, or in any way supplements the salary of, any such officer or employee under circumstances which would make its receipt a violation of this subsection:

Shall be subject to the penalties set forth in section 216 of this title.

(b) Nothing herein prevents an officer or employee of the executive branch of the United States government, or of any independent agency of the United States, or of the District of Columbia, from continuing to participate in a bona fide pension, retirement, group life, health or accident insurance, profit-sharing, stock bonus, or other employee welfare or benefit plan maintained by a former employer.

(c) This section does not apply to a special government employee or to an officer or employee of the government serving without compensation, whether or not he is a special government employee, or to any person paying, contributing to, or supplementing his salary as such.

(d) This section does not prohibit payment or acceptance of contributions, awards, or other expenses under the terms of chapter 41 of title 5.

(e) This section does not prohibit the payment of actual relocation expenses incident to participation, or the acceptance of same by a participant in an executive exchange or fellowship program in an executive agency: Provided, that such program has been established by statute or Executive order of the President, offers appointments not to exceed three hundred and sixty-five days, and permits no extensions in excess of ninety additional days or, in the case of participants in overseas assignments, in excess of three hundred and sixty-five days. (18 USC 209).

G. Acceptance or solicitation to obtain appointive public office. (18 USC 211). Whoever solicits or receives, either as a political contribution, or for personal emolument, any money or thing of value, in consideration of the promise of support or use of influence in obtaining for any person any appointive office or place under the United States, shall be fined under this title or imprisoned not more than one year, or both.

Whoever solicits or receives any thing of value in consideration of aiding a person to obtain employment under the United States either by referring his name to an executive department or agency of the United States or by requiring the payment of a fee because such person has secured such employment shall be fined under this title, or imprisoned not more than one year, or both. (18 USC 211).

H. DC Official Code provision. No employee of the District government shall engage in outside employment or private business activity or have any direct or indirect financial interest that conflicts or would appear to conflict with the fair, impartial and objective performance of officially assigned duties and responsibilities. (DC Official Code § 1-618.02)

 

A.4 Disclosure of Confidential Information

Whoever, being an officer or employee of the United States or of any department or agency thereof, … publishes, divulges, discloses, or makes known in any manner or to any extent not authorized by law any information coming to him in the course of his employment or official duties or by reason of any examination or investigation made by, or return, report or record made to or filed with, such department or agency or officer or employee thereof, which information concerns or relates to the trade secrets, processes, operations, style of work, or apparatus, or to the identity, confidential statistical data, amount or source of any income, profits, losses, or expenditures of any person, firm, partnership, corporation, or association; or permits any income return or copy thereof or any book containing any abstract or particulars thereof to be seen or examined by any person except as provided by law; shall be fined under this title, or imprisoned not more than one year, or both; and shall be removed from office or employment. (18 USC 1905).

 

A.5 Misuse of Franking Privilege

Whoever makes use of any official envelope, label, or endorsement authorized by law, to avoid the payment of postage or registry fee on his private letter, packet, package, or other matter in the mail, shall be fined under this title. (18 USC 1719).

 

A.6 Deceit in Examinations and Personnel Actions

Whoever, being … in the public service, willfully and corruptly: (1) defeats, deceives, or obstructs an individual in respect of his right of examination according to the rules prescribed … under title 5 for the administration of the competitive service … ; (2) falsely marks, grades, estimates, or reports on the examination or proper standing of an individual examined; (3) makes a false representation concerning the mark, grade, estimate, or report on the examination or proper standing of an individual examined, or concerning the individual examined; or (4) furnishes to an individual any special or secret information for the purpose of improving or injuring the prospects or chances of an individual examined, or to be examined, being appointed, employed, or promoted; shall, for each offense, be fined under this title not less than $100 or imprisoned not less than ten days nor more than one year, or both. (18 USC 1917).

 

A.7 Fraud and False Statements

(a) Except as otherwise provided in this section, whoever, in any matter within the jurisdiction of the executive, legislative, or judicial branch of the government of the United States, knowingly and willfully: (1) falsifies, conceals, or covers up by any trick, scheme, or device a material fact; (2) makes any materially false, fictitious, or fraudulent statement or representation; or (3) makes or uses any false writing or document knowing the same to contain any materially false, fictitious, or fraudulent statement or entry; shall be fined under this title or imprisoned not more than 5 years, or both. (18 USC 1001).

 

A.8 Mutilating or Destroying Public Records

(b) Whoever, having the custody of any such record, proceeding, map, book, document, paper, or other thing, willfully and unlawfully conceals, removes, mutilates, obliterates, falsifies, or destroys the same, shall be fined under this title or imprisoned not more than three years, or both; and shall forfeit his office and be disqualified from holding any office under the United States. (18 USC 2071(b)).

 

A.9 Embezzlement and Theft

A. Public money, property, or records. (18 USC 641). Whoever embezzles, steals, purloins, or knowingly converts to his use or the use of another, or without authority, sells, conveys or disposes of any record, voucher, money, or thing of value of the United States or of any department or agency thereof, or any property made or being made under contract for the United States or any department or agency thereof; or whoever receives, conceals, or retains the same with intent to convert it to his use or gain, knowing it to have been embezzled, stolen, purloined or converted: Shall be fined under this title or imprisoned not more than ten years, or both; but if the value of such property does not exceed the sum of $1,000, he shall be fined under this title or imprisoned not more than one year, or both. The word "value" means face, par, or market value, or cost price, either wholesale or retail, whichever is greater. (18 USC 641).

B. Accounting generally for public money. (18 USC 643). Whoever, being an officer, employee or agent of the United States or of any department or agency thereof, having received public money which he is not authorized to retain as salary, pay, or emolument, fails to render his accounts for the same as provided by law is guilty of embezzlement, and shall be fined under this title or in a sum equal to the amount of the money embezzled, whichever is greater, or imprisoned not more than ten years, or both; but if the amount embezzled does not exceed $1,000, he shall be fined under this title or imprisoned not more than one year, or both. (18 USC 643).


A.10 Taking or Using Papers Related to Claims

Whoever, without authority, takes and carries away from the place where it was filed, deposited, or kept by authority of the United States, any certificate, affidavit, deposition, statement of facts, power of attorney, receipt, voucher, assignment, or other document, record, file, or paper prepared, fitted, or intended to be used or presented to procure the payment of money from or by the United States or any officer, employee, or agent thereof, or the allowance or payment of the whole or any part of any claim, account, or demand against the United States, … or whoever presents, uses, or attempts to use any such document, record, file, or paper so taken and carried away, to procure the payment of any money from or by the United States, or any officer, employee, or agent thereof, …shall be fined under this title or imprisoned not more than five years, or both. (18 USC 285).


A.11 Restrictions on Political Activity

A District of Columbia government employee shall not (1) use his official authority or influence for the purpose of interfering with or affecting the result of an election; or (2) take an active part in partisan political management or in partisan political campaigns. (Title 5, subchapter II, chapter 73 of the United States Code)


A.12 Deprivation of Employment or Other Benefit for Political Contribution

(a) Whoever, directly or indirectly, knowingly causes or attempts to cause any person to make a contribution of a thing of value (including services) for the benefit of any candidate or any political party, by means of the denial or deprivation, or the threat of the denial or deprivation, of: (1) any employment, position, or work in or for any agency or other entity of the government of the United States, a State, or a political subdivision of a State, or any compensation or benefit of such employment, position, or work; or (2) any payment or benefit of a program of the United States, a State, or a political subdivision of a State; if such employment, position, work, compensation, payment, or benefit is provided for or made possible in whole or in part by an Act of Congress, shall be fined under this title, or imprisoned not more than one year, or both. (b) As used in this section: (1) the term "candidate" means an individual who seeks nomination for election, or election, to Federal, State, or local office, whether or not such individual is elected, and, for purposes of this paragraph, an individual shall be deemed to seek nomination for election, or election, to Federal, State, or local office, if he has (A) taken the action necessary under the law of a State to qualify himself for nomination for election, or election, or (B) received contributions or made expenditures, or has given his consent for any other person to receive contributions or make expenditures, with a view to bringing about his nomination for election, or election, to such office; (2) the term "election" means (A) a general, special primary, or runoff election, (B) a convention or caucus of a political party held to nominate a candidate, (C) a primary election held for the selection of delegates to a nominating convention of a political party, (D) a primary election held for the expression of a preference for the nomination of persons for election to the office of President, and (E) the election of delegates to a constitutional convention for proposing amendments to the Constitution of the United States or of any State; and (3) the term "State" means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, or any territory or possession of the United States. (18 USC 601).


A.13 Acting as Agent for Foreign Principal

(a) Whoever, being a public official, is or acts as an agent of a foreign principal required to register under the Foreign Agents Registration Act of 1938 … shall be fined under this title or imprisoned for not more than two years, or both.

(b) Nothing in this section shall apply to the employment of any agent of a foreign principal as a special government employee in any case in which the head of the employing agency certifies that such employment is required in the national interest. (18 USC 219).

 

A.14 Standards of Conduct

Each employee of the District government must at all times maintain a high level of ethical conduct in connection with the performance of official duties, and shall refrain from taking, ordering or participating in any official action which would adversely affect the confidence of the public in the integrity of the District government. (DC Official Code § 1-618.01(a)).

Appendix B. DC Form 35 - Confidential Statement of Employment and Financial Interests [PDF]