ethicAttachments-new.pdf

Ethics Attachments

l. Memo dated 09/03/2015, Mandatory Seasonal Influenza Immunizations for Civilian Health Care Personnel Working in Indian Health Service Health Care Facilities.

2. Memo dated 0611211995, Violence in the Workplace.

3. Memo dated 06/01/1995, Workplace Violence.

4. Memo dated 10106/2017, Courtesy and Respect in the Workplace Policy.

5. 45 CFR Part 73, HHS Residual Standards of Conduct, updated 05 l20l20l 5.

6. 5 CFRPart2635.l01, StandardsofEthical ConductFor loyees ofTheExecutive

Branch, Basic obligation of public service, as amended at 8l FR 81641' effective

0110112017.

7.5CFRPart5501.10l-5501-l0s,SupplementalStandardsofEthicalConductFor Employees ofThe Departrnent of Health and Human Services, dated 1012612005.

8. Additional Contractors Responsibilities.

Indian Health Manual (lHM) - Special General Memorandum 15-03

Special General Memorandum 15-03

DEPARTMENT OF HEALTH AND HUI\i]AN SERVICES Public Health Service lndian Health Service Rockville MD 20852

SGM No. 15-03

September 3, 2015

TO:

FROM:

SUBJECT: Mandatory Seasonal Influenza lmmunizations for Civilian Health Care Personnel Working in lndian Health Service Health Care Facilities

The purpose of this Special General Memorandum is to add seasonal influenza immunization to the list of required vaccinations for civilian health care personnel working in Indian Health Service (lHS) health care facilities. Influenza vaccination for health care facility staff and licensed independent practitioners is a major p in the is an important of co fection control p als wh are contaglous day s or symptoms o , and t viduals can infe hout re contaglous

All Civil Service employees, contract staff, temporary employees, students, and volunteers, who work in an

IHS health care facility, must receive a seasonal influenza vaccination by October 31 of each year or have on file a valid medical exemption for vaccination signed by a licensed Independent practitioner. he united ic Health service (PHS) are already iequired to o za immun lvlanual circular - commissioned

Corps Perso C26.1 Ins HS Readiness Standards)

1. lndivlduals with a valid medical exemption for vaccination will be required to wear a mask provided by tHS during the influenza season (November 1 through Malch 31) and during other periods of increased influenza activity as defined by the Centers for Disease Control and Prevention andior

State oublic health authorities

2 All employees, contract staff, temporary employees, students, and volunteers, must be provided access to influenza vaccinations at no charge.

I am counting on the full support of all members of the IHS community to implement this new requirement system wioe] Thank you foryour continued support and cooperation to further protect the health of the oatients we serve.

All Employees

Deputy Director lRobeft G McSwainl Robert G. Mcswain

Indian Health Service (HQ) 5600 Fishers Lane, Rockville, MD 20857 - Find a Mail Stop (/headq uarters/#mail stoPs) https://www.ihs.gov/ihm/index cfm?module-dsp-ihm-sgm-main&sgm:ihm-sgm-l 503 6t812017

Public Health Service

Memorandum

Received

JUN 16 1995

JUN 12. 1995

FROM:

SUBJECT:

TO:

A::i:taI Secretary for Health

Violence in the Workplace

PHS Agency Heads Acting Surgeon General Deputy Assistant Secretaries for Health PHS Agency Executive Officers PHS Staff Otfice Directors PHS Regional Health Administrators

The news media remind us almost daily that we live in an environment that is becoming increasingly more viotent Many of our employees have been exposed to violence or threats of violence in their daily lives, and a significant number are concerned about the potentialfor violence in the workplace. Forthese reasons, I believe it is important to set forth PHS policy on this subject

Emp|oyeesshal|beprotectedasfu||yaSpossib|efromassau|ts,thre.ats,intimidation,andharassment wniie jt the wort site Thus, it is esjential that we make clear to all PHS employees that violence, threats of violence, intimidating and otherwise similar disruptive behavior are unacceptable conduct that-will not

U" iof"t"i"O This polily also applies to contractors who are not employees but who work in PHS facilities

In order to minimize the potential for violence in the workplace and to ensure that prompt corrective action can be taken when it does occur, anyone working in PHs facilities, who witnesses or becomes aware of threats or acts of violence fror "ny iortc" must immediately report what he/she has observed or learned io appropriate agency officials, as set forth below, and/or law enforcement Employees are

"r.""Jrp!lt"o to-cooperate fuliy in any subsequent investigations

We do ployees to place themselves at unnecessary Personal risk in dangerous situations; howeve them io make

Immediate contact With an agency officiaI who can respond appropriately, sUch aS a SUpervisor, securtt, officer. EEO or human resource offlcials

In turn. officials receiving these reports are required to immediately and appropriately act upon them' lf anyone observes a violent act or a threat posing imminent danger, his/her immediate response should be to call 91 1 . lmmediatety thereafter, he/she should inform his/her supervisor and the approprrate secur(y offlce.

PIeasedistribUtetheattachedpo|icystatementtoalIemp|oyeesinyourorganizationandensurethatthe issue of workplace viotence and thii policy are discussed in staff meetings so that any questions or co rmptemenr cy can be promptly a The implem co PHS Work Prevention Program for me' and su managers o support this i;itiatrv inuing basis force' comprised of representatives of a variety of disciplines from all PHS agencies, has been convened for this purpose. The task force will develop a plan of action to address this critical issue in detail

Our intention is to make the workPlace safe where dignity, respect, and fairness are basic human rights. pHS employees, who commit or threaten to commit violent acts or acts of intimidation against aiyone in the workplace, will be disciplined in accordance with governing policies and procedures for adiressing employee misconduct and/or referred for action as appropriate under local and state law.

Co ective Bargaining Officials should provide a copy of the PHS Policy statement and this memorandum to recognized unions. Any obligation to negotiate must be satisfied before distributing or implementing the policy within existing bargaining units.

lPhi ip R. Lee, M D.l Phillip R, Lee, M.D.

Attachment

U,S, PUBLIC HEALTH SERVICE

POLICY STATEMENT ON VIOLENCE IN THE WORKPLACE

Threatening, intimrdating, violent or similar disruptive b rkplace is unacceptable conducl tt is ihe potiCy of the PuSlic Heatth Service (PHS) that t tolerance for such acts PHS will tat<e apiropriate action necessary to ensure that every work environment: free from threatening behavior and violence.

Date: JUN 12 1995 lPhi ip R. Lee, M.D.l Phillip R Lee, M.D.

Assistant SecretarY {or Health

2,tJ( )?'- DE'ARTMENT oF HEALTH AND HUtvtAN sERVtcES Public Health Service lndian Health Service Rockville lvlD 20857 sGtvr 95-4

JUN 1 , 1995

TO

FROM:

SUBJECT:

I am fully committed to ensuring that the ent for all Indian Health Service oyees iJ""nny, itt" and secure froir acts or nce' To accomplish this' I am e a zeto i"r"r"""J p"iifv on Workplace Violence lies equally to the behavior of al s' contractors and others with whom we work ourworkenvironmentmustbefree{romallformsofvio|enceandactsofintimidation,inc|uding harassment, threats, altercatlons, or assault You are reminded that such conduct by IHS employees will not be tolerated and known incidents should be reported immediately to management otficials l expect ali employees to act in a manner that is respectful and courteous to the public, as well as to fellow emPloyees.

The IHS is not a high-risk environment for WPV, but environments where the risks for violence may be hi thrs position to heighten wareness and to assrst In facilities To enforce thi policy through Agency ma violent acts or acts of intimidation in the workplace for addressing employee misconduct In addition, i and legal authorities for possible action ovide a coPY of this memorand d ementing WPV PoltcY l encou eet loP a strong labor-managemen prevent WPV

I u a work environment that is sa for many of us' so awareness an e any questlons or need

AS

lMichael H. Truiillo, M D-l l\ilichael H. Trujillo, M D, M P H Assistant Surgeon General lndian Health Service EmPloyees

Director

Workplace Violence

DEPARTMf,NT OF HEALTII & HUMAN SERYICES

MEMORANDUM

Great Plains Afea Indian Health Service Federal Building, Room 309 1 15 4'h Ave SE Aberdeen, SD 57401

DATE: ocT 06 20lf

FROM: Ron Comelius, Area Director

SUBJECT: Courtesy and Respect in the Workplace Policy

TO: All Great Plains Are a, Civil Service Employees, Commission Corps Officers, Contractors, Volunteers and Other Providers.

The single most important thing we can offer ow patients, customers and coworkers is courtesy and respect in our daily interactions.

No matter what your job title, grade, duties or responsibilities are' your number one job is to perform those duties and responsibilities in a manner that is consistent with the stardards ofconduct outlined in the Department's Standard ofConduct, Subpart C -conduct on the Job, 73.735-301 Courtesy and consideration for others. This Subpart reads as follows:

(a) An employee's conduct on the job is, in all respects, of concem to the Federal' Government. Courtesy, consideration, and promptness in dealing with the public must be shown in carrying out official responsibilities, and actions which deny the dignity of individuals or conduct which is disrespectful to others must recognrze that inattention to matters ofcommon courtesy can adversely affect the quality of service the Department is responsible for providing'

(b) ofequal importance is the requirement that courtesy is shown in daily interaction

*ith "o*o.kers.

Employees shall be polite to and considerate of other employees and shall respect their needs and concems in the work environment'

I expect each individual who works for the Great Plains Area IHS to adhere to these

,"quir.*"ntr. I expect each supervisor and/or manager to hold their subordinates responsible for meiting this standard and taking appropriate corrective action when individuals violate it. i also expect management to take appropriate corrective action whenfirstlinesupervisorsfailtoexercisetheirsupervisoryresponsibilities.

While I am emphasizing only one ofthe sections under Subpart C, I expect each srferui.o, urrd manageito become familiar ect each suoeruisor to assure that anyone over whom is knowledgeable ofand adhere to all aspects this link:

may access

I am issuing this policy memorandum to demonstrate my comrnitment to assuring

.ou.t"ry,.ip.", -d digniry in the work place Everyone fiom patients' clients' crx omen and employces have the right to expcct a professional environment when thcy walk ttuough the doors of any Great Plains Area IHS facility.

This memorandwr is to be distribut€d 'tesk to desk" with supervisors assuring that each employee, offrcer, contract and/or volunte€r has knowledge of it and initials a copy of the memorandum. Chief Exccutive Officer and Division Directors are to assure that this memorandum is posted in appropriate places in plain sight of anyone entering their work alea

Ifyou have questions or need assistancg you may contact the Regional Human Resource

Officer, Employee/Labor Relations staffby calling (605) 226-7553, (n4 'f Ron Comelius Area Director

HHS Residual Standards of Conduct

These Standards were published in a booklet entitled "Standards of Conduct" on March 30, 1989 (45

CFR Part 73) Since then the Office for Government Ethics (OGE) published the ethics regulations, 5

C.F.R. Parts 2600 to 264'1, applicable to all Executive Branch employees in 1992

The regulations became effective on February 3, 1993. Subsequently' HHS published the supplemental standards of Ethical conduct For Employees Of The Department Of Health And

Human Services (HHS), 5 C.F.R Part 5501 And Supplemental Financial Disclosure Requirements

For Employees Of HHS, 5 C.F.R Part 5502 which supplement the OGE ethics rules and regulations.

Therefore, only the following subparts and sections of the HHS Standards of Conduct remain in effect. fpleaseconsult with ihe Office of General Counsel prior to taking any action based on any of these subparUsections. Revised by OGC Ethics Division' 5i19120151 others

S

E 73.735-306 -- Sexual harassment

S 73.735-30't Courtesy and consideration for othe6' ects, of concern to the Federal government' he public must be shown in carrying out of individuals or conduct which is recognize that inattention to matters of of service the Department is responsible for providing'Whereappropriate,courtesytothepub|icshouldbeinc|udedinthestandardsfor employee performance.

(b) of equal importance is the requirement that courtesy_be. shown in day-by-day interaction.with co-

*6rX"o.'erpf oyees shall be poliie to and considerate of other employees, and shall respect lheir needs and concerns in the work environment.

HHS Standards of Conduct - Page 1 of 11

S 73.735-302 Support of department programs.

(a) When a Department program is based on law, Executive Order or regulation, every employee has a positive obligation to make it function as efficiently and economically as possible and to support it as long as it is a part of recognized public policy. An employee may, therefore, properly make an address explaining and interpreting such a program, citing its achievements, defendlng it against uninformed or unjust criticism, or soliciting views for improving it.

(b) An employee shall not, either directly or indirectly, use appropriated funds to influence, or attempt to influence, a Member of Congress to favor or oppose legislation. However, when authorized by his or her supervisor, an employee is not prohibited from: (1) Testifying, on request, as a representative of the Department on pending legislation or proposals before Congressional Committees; or (2)

Assisting Congressional Committees in drafting bills or reports on request, when it is clearthat ihe employee is serving solely as a technical expert under the direction of committee leadership.

(c) All employees shall be familiar with regulations and published instructions that relate to their ofiiciat duties and responsibilities and shall comply with those directives. This includes carryrng out proper orders from offtcials authorized to give them

(d) Employees are required to assist the Inspector General and other investigative officials in the performance of their duties or functions. This requirement includes the giving of statements or evidence to investigators ofthe Inspector General's office or other HHS investigators authorized to conduct investigations into potential violations

S 73.735-305 Conduct in Federal buildings.

(a) An employee shall not participate while on Government-owned or leased property or while on irJtv tor tne dovernment, 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.

(b) An employee shall not while in or on Governmenfowned or leased property or while on duty for ihe Government solicit alms and contributions, engage in commercial soliciting and vending, display or distribute commercial advertisements, or collect private debts'

(c) The prohibitions in paragraphs (a) and (b) of this se uder (1 iJcessiiateo by an employ6e's law enforcement duties in Fed d fund-raising aclivities conducted pursuant to Executive similar activities; o-r (3) Buying a lottery ticket at an authorized State lottery outlet for a lottery authorized by

State law and conducted by an agency of a State within that State n "Conduct on Federal Property" apply to a Administration, and they are also applicable to all rtment. These regulations prohibit, among other on, distribution, or use of narcotic or dangerous found in Subpart 101-20 3 of the GSA Regulations'

41 CFR 101-20.3.

HHS Standards of Conduct - Page 2 ol 1'l

S 73.735-306 Sexual harassment.

Sexual harassment is deliberate unsolicited verbal comments, gestures, or physical contact of a sexual nature which are unwelcome. Sexual harassment is unacceptable conduct and is expressly prohibited. In addition, supervisors and managers are prohibited from taking or promising personnel actions in exchange for sexual favors, or failing to take an action because an employee or applicant for employment, refuses to engage in sexual conduct. This same prohibition applies to relationships between Department personnel who take or recommend action on a grant or contract and the grantee or contractor. Those employees who wish to file a complaint of sexual harassment should conlact the Office of Equal Employment Opportunity (EEO) within their respective agencies for guidance. (Time frames for pursuing a charge alleging sexual harassment are the same as for any other complaint based on allegations of sex discrimination.)

S73.735-508(e) Otherprohibitions.

Employees shall avoid any action whether or not specifically prohibited by this part, which might result in or create the appearance of:

(e) Making a Government decisron outside official channels

S 73.735-805 Advice and guidance on conflicts matters.

(a) Whenever an employee has a question about the appropriate course of conduct to be followed in a mafter that may involve an actual or apparent conflict of interest, he or she should immediately consult wrth his or her supervisor or a deputy ethics counselor, or both. lf a supervisor who is consulted determines that the matter warrants further consideration, he or she may, in coniunction with the employee, submit the details of the matter, in writing, to the appropriate deputy ethics counselor. These details should include a description of:

(1) The activity, relationship, or interest giving rise to the question posed by the employee;

(2) The duties or official responsibilities of the employee(s) involved;

(3) The nature ofthe actual or apparent conflict of interest; and

(4) Any other informatton that may be helpful in reviewing the problem.

(b) Upon receiving the submission of an employee or a supervisor, the deputy ethics counselor will develop any additional information about the matter as necessary, and will confer wrth the

Departmeni Ethics Counselor as appropriate. The Department Ethics Counselor and the head of the principal operating component or his or her designee will be informed of any serious violation of the standards of this subpart or any other conflict of interest law. Questions of first impression or other unusual matters shall be brought to the attention ofthe Department Ethics Counselor and the head of the principal operating component or his or her designee.

(c) on the basis of all informatron gathered including, where appropriate, the advice of the

Department Ethics Counselor, the deputy ethics counselor will

(1) Decide that there is no violation or potential violation of the standards of this subpart or any other law and so notify the employee and his or her supervisor in writing; or

(2) Decide that a violation or potential violation of the standards of this subpart or other law has oicuned or may occur, and that the employee involved shall take one or more of the steps set forth in S 731.735-904 to resolve the problem and notify the employee and his or her supervisor in writing;

or

(3) Decide that, although no violation of this subpart or other law has occurred, the nature of the

HHS Standards of Conduct - Page 3 of 11 matter is such that the employee should periodically report any additional information that would require reconsideration of the initial submission.

Subpart F -- Political Activity and USPHS Officers - (SS 73'735-601 '- S73 735-603)

S73.735-601 Applicability.

(a) All employees in the Executive Branch ofthe Federal Government' including non-career employees, are subject to basic political activity restrictions in subchapter lll of chapter 73 of title 5, United States Code (the former Hatch Act) and Civil Service Rule lV. Employees are individually responsible for refraining from prohibited political activity. lgnorance of a prohibition does not excuse a violation. This subpart summarizes provisions of law and regulation concerning political activity of employees. The Federal Personnel Manual and other publications ofthe Office of Personnel

Management contain more detailed information on this subject These may be reviewed in

Depaiment personnel offices, or will be made available by the Ethics Counselor, or the deputy counselor for the employee's organizational component.

(b) The secretary and under secretary are exempt from the prohibitions concerning active participation in potiticat management pt are other officials of the bepariment, except the Inspector Ge l, who are appointed by the

President by and with the advice and termine policies to be pursued by the United States in the nationwide ad laws

(c) Intermittent employees are subject to the restrictions when in active duty status only and for the entire 24 hours of any day of actual employment.

(d) Employees on leave, on leave without pay, or on furlough even though an employee's resignation has been Lccepted, are subject to the restrictions. Separated employees who have received a lump-ill resign their position if nominated or elected

(e) Employees are accountable for political activity by another person acting as their agent or under ihe employee's direction or control, if they are thus accomplishing indirectly what they may not lawfully do directly and openly

(f) Though officers in the Public Health service commissioned corps are not subject to the iestrictio-ns in Subchapter lll of Chapter 73 of Title 5, United States Code, the provisions of this subpart apply to them.

S73.735-602 Permrssible activities.

ovides that employees have the right to vote as

Isubjects and candidates Generally, however, in political management or political campaigns ith an election or affect its results There are some

HHS Standards of Conduct - Page 4 of 1 1

(1) Employees may engage in political activity in connection with any question not specifically identified with a national or State political party. They also may engage in political activity in connection with an election, if none of the candidates represents a party any of whose candidates for presidential elector received votes at the last preceding election at which presidential electors were selected,

(2) An exception relates to political campaigns within, or in communities adjacent to, the District of Columbia, or in communities the majority of whose voters are employees of the Federal government.

Communrties to which the exception applies are specifically designated by the Office of Personnel Management. Information regarding the localities and the conditions under which the exceptions are granted may be obtained from personnel offices or the Department Counselor or deputy counselors.

(b) A covered employee is permitted to:

(1) Register and vote in any election;

(2) Express his or her opinion as an individual citizen privately and publicly on political subjects and candidates;

(3) Display a political picture, sticker, badge or button;

(4) Participate in the nonpartisan activities of a civic, community, social, labor, or professional organization, or of a similar organization;

(5iBe a member of a political party or other political organization and participate in its activities to the extent consistent with law;

(6) Attend a political convention, rally, fund raising function; or other political gathering;

(7) Sign a political petition as an individual citizen;

(8) Make a financial contribution to a political party organization;

iS; f"te an active part, as an independent candidate, or support of an independent candidate, in a partisan election in localities identified as permissible for such activities by the Office of Personnel

Management;

(10) T;ke an active part, as a candidate or in support of a candidate, in a nonpartisan election;

il 1j Be potiticaly aciive with a ot speciflcally identified with a political party, such as a amen approval of a municipal ordinance or any other question or ilar ch

(12) Serve asan election judge or clerk, or in a si o perform nonpartisan duties as prescribed by State or local law; and itS; Otnerwise participate fully in public affairs, except as prohibited by law, in a manner.which does not'materially compromise hiS or her efficiency or integrity as an employee or the neutrality, efficrency, or integrity of his or her agency.

component may prohibit or limit the participation of an is or her component in an activity permitted by paragraph (b) of i vity would interfere with the efficient performance of official duties, or create a conflict or apparent conflict of interest.

S73.735-603 Prohibited activities.

(a) The following are prohibited activities:

(1) Serving as an officer of a political party, a member of a national, state or local committee of a potiticat pJrty, an officer or member of a committee of a partisan political club, or being a candidate a political party orga litical club;

ng, receiving, Collecti disbursing, or accounting for r 6iher funds for a pa purpose or in connection with a

HHS Standards of Conduct - Page 5 of 11 partisan election;

(4) Organizing, selling tickets to, seeking support for, or actively participating in a fund-raising activity of, a political party or political club;

(5) Taking an active part in managing the political party campaign of a candidate for public office or ooiitical officei

(6) Being a candidate for, or campaigning for, an elective public office, except as permitted in s73.735-602(b)(e);

(7) Taking an active part in an organized solicitation of votes in support of or in opposition to a candidate for public office or political party otfice;

(8) Acting as recorder, watcher, challenger, or similar officer at the polls on behalf of a political party or candidate in a partisan election;

(9) Driving voters to the polls on behalf of a political paty or a candidate in a partisan election;

(10) Endorsing or opposing a candidate in a partisan election in a political advertisement, a broadcast, campaign literature, or similar material;

(11) Serving as a delegate, alternate, or proxy to a political party convention;

itzi nOOressing a State or national convention or caucus, or a rally or similar gathering of a political party, in support of or in opposition to a candidate for public or political party office, or on a partisan political question; and itS) tnitiating or circulating a nominating petition for a candidate in a partisan election.

(b) In addition, certain political activities are prohibited by Federal criminal law:

(1) Ofiicers and employees may not directly or indirectly solicit or receive, or be in any way involved in soliciting or receiving, any assessment, subscription or contributlon for any political purpose whatever from another officer or employee. This prohibition extends to one who acts as a mere agent or messenger for the purpose of turning the contribution over to a political organization. 18 u.s.c.602.

(2) All persons, whether employees or not, are prohibited from soliciting in any manner, or receiving i "ontiibrtion of, money or a thing of value, in any room or building occupied in the discharge of official duties by any officer or employee of the United States. 18 U.S.C. 603. This prohibition extends to tne iending of a letter soliciting political contributions for delivery in a Government building.

(3) No;fficer or employee may directly or indirectly give to any other officer, employee or person an ine service of the United Statei, any money or other thing of value to be applied to the promotion of any political objective. 18 U.S.C.607 (4f discrimination for giving or withholding any contribution.for any political purpose and discrimination based on political influence or recommendations is prohibited'

(c) Various other laws prohibit certain activities in connection with political campaigns and elections

They include:

(1 ) lntimidating, threa iZ) Using official auth n any administiative positio ishment' or connection deral funds (18 U.S.C. 595).

, or any benefit from Federal funds, in return for

"J;;iii::i:ff'll,,"'ttd;f r3mrederarrerieror

(5) Soliciting, assessing, or receiving subscriptions or contributions for political purpose from anyone on Federal relief or work relief (18 U.S.C. 604)

HHS Standards of Conduct - Page 6 of 11

Subpart L -- Disciplinary Action ($ 73.735-1201')

S 73.735-1201 General provisions.

(a) Violations of the regulations con-tained in the Part may be cause for disciplinary action which could be in addition to any penalty prescribed by law. (For a list of some offenses for which disciplinary action may be taken and "The Code of Ethics for Government Service," the violation of which may also result in disciplinary action, see Appendixes A and B of this Part)

(b) The type of disciplinary action to be taken must be determined in relation to the specific violation.

Those responsible for recommending and for taking disciplinary action must apply judgment to each case, taking into account the general objectives of meeting any requirements of law, deterring similar offenses by the employee and other employees, and maintaining high standards of employee conduct and public confidence, Some types of disciplinary action which may be considered are:

(1) Admonishment

(2) Written reprimand

(3) Reassignment

(4) Suspension

(5) Demotion

(6) Removal

(c) suspension, demotion, and removal are adverse actions; and when such actions are taken, applicable laws, regulations, and policies must be followed. [46 FR 7369' Jan. 23' 1981' as amended at 53 FR 4409, Feb. 16, 19881

Su bpa rt M--Reporting Violations s 73.735-1301 Responsibility for reporting possible cflminal violations. An employee who has information which he or she reasonably believes indicates a possible offense against the United states by an employee of the Department, or any other individual working on behalf of the

Department, sh;ll immediately report such information toiis o sor, any management official, or directly to the offlce ofthe Inspector General. offen by the preceding sentence include, but are not limited to, bribery, fraud, perjury, terest, misuse of funds, equipment, or facilities, and other conduct by a government officer or employee' ctor o.oth"r. p.rton which is prohibited by title 18 of the United States Code Employ isors should refer to chapter 5-10 of the Department's General Administration Manual regarding the reporting and handling of such information.

APPENDIX A TO PART 73--LIST OF SOME OFFENSES FOR WHICH

DISCIPLINARY ACTION MAY BE TAKEN

Following is a list of some offenses for which disciplinary action may be take.n under this Part When a statutJapplies specifically to a particular offensr , either wholly or in part, the statute.is cited

Neither the iist of offenses nor the statutory citations are all-inclusive. The "Code of Ethics for

Couernment Service,'is not cited because of its general applicability but is published in its entirety in

Appendix B.

HHS Standards of Conduct - Page 7 of 1 1

A. Concerning Efficiency of Operations in General.

1. Engaging in wasteful actions or behavior in the performance of assigned duties;

conducting non-Government business during official work hours; or participating in a strike (18 U.S.C. 1918), work stoppage, slowdown, sickout, or other similar action.

2. Absence without leave, failure to adhere to the rules and regulations for requesting and obtaining leave, or improper use of sick leave.

3. Deliberate insubordination or refusal to carry out lawful orders or assignments given.

4. Disruotive behavior. such as:

a. Inflicting or threatening or attempting to inflict bodily injury on another (except for necessary defense of self or others) while on the job or on Federal premises.

b. Discourtesy, disreputable conduct, or use of insulting, abusive or obscene language to or about other individuals while on the job.

Sexual harassment of employees or members of the public.

Failure to observe precautions for safety, such as failure to use safety equipment when it is provided or ignoring signs, posted rules or regulations, or written or verbal safety instructions.

Unauthorized use, possession, or distributton of alcoholic beverages (5 U.S.C. 7352) o( controlled substances (e.9., hallucinogens, such as LSD; stimulants, such as cocaine and amphetamines; sedatives, such as barbiturates; narcotics and other drugs or substances, such as hashish and other cannabis substances).

Unauthorized gambling; or canvassing, soliciting, or peddling on Government premises.

Failure to carry or show proper identification or credentials as required by competent authority; misuse of identification cards or investigative or identification credentials or badges.

Failure to disclose (i.e., report) information, when such disclosure is not specifically prohibited by law or Executive order, that involves (a) violation of law, rule, or regulation,

(b) mismanagement or gross waste of funds or abuse of authority, or (c) posing a substantial and specific danger to public health or safety; failure to cooperate in an official Department inquiry.

Failure to payjust debts, including taxes to and loans from governmental sources.

Deceit or interference in a civil service examination (18 U.S.C. 1917) or in connection with a Government personnel action.

Fraud orfalse statements in a Government matter. (18 U.S C 1001 through 1003 ) supervisory failure to initiate disciplinary or corrective action when the facts are known and disciplinary or corrective action is warranted.

Employment of a member of an organization that advocates the overthrow of our constrtutional form of government. (5 U.S C 7311; 50 U S.C. 784.)

B. Concerning Government Funds, Property, Documents, and Records

1 . Actual or attempted embezzlement or theft of Government or personal money or property either directly or through use of Government documents, automated equipment, or other means; actual or atte;pted embezzlement or theft of the money or property of another person in the possession of an employee by reason of his or her employment. (18 u.S.C.

641 and 654.)

2. Failure to account for public money. (18 U.S.C 643 )

3. Deliberate falsifying oi official time and attendance records; improper use of official travel or forging, counierf;iting, or otherwise falsifying official Government travel records or documenls. (18 U.S.C- 508.)

4. False record entries or false reports of money or securities (18 U S C 2073 ) 5'LossormisuseofordamagetoGovernmentpropertyorendangeringpersonsor

Government property through carelessness or by willful malicious conduct'

7.

5.

o.

d.

9.

10.

11.

12.

13.

14.

15.

HHS Standards of Conduct - Page 8 of I 1

6. Mutilating, destroying, or concealing public records. (18 U.S.C. 2071.)

7. Misuse of penalty (postal) privilege. (18 U.S.C. 1719.)

8. Failure to safeguard administratrvely confidential, financial, and trade secrets information.

9. Unauthorized use of documents presented or used to procure the payment of money from or by the Government. (18 U.S.C. 285.)

10. Unauthorized use of a Government vehicle; serious or repeated violations of traffic regulations while driving a Government vehicle or a vehicle rented or leased for official Government purposes; reckless driving or improper operation of any Government owned, rented, or leased motor vehicle. (31 U.S.C. 1349[b].)

11. Violations of the Privacy Act, including:

a. Willful prohibited disclosure of individually identifiable information in violation of 5

U.S.C. 552a.

b. Willfully maintaining a system of records without meeting the notice requirements of the Privacy Act as required by 5 U.S.C. 552a.

12. Violation of regulations concerning the release of classifled information, confldential, or security and investigative information. (18 U.S.C. 798 and 1905; 21 U.S.C. 331j; and 50 u.s.c. 783.)

C. Concerning Conflicts of Interest and Related Unethical Conduct:

1. Violations of 18 U.S.C. Chapter 11: Bribery, Graft, and Conflicts of Interest, including:

a. Having a direct or indirect flnancial interest (includes employee ownership of stocks, bonds, or partnership interests in an entity or employment of the employee' his or her spouse, or dependent child) that conflicts with one's Government duties because such entity is either regulated by, has or seeks to do business with the agency' or has any other particular matter with or pending before the agency that may give rise to either an actual conflict or the appearance thereof. (18 U.S.c. 208.)

b. Bribery of a public official; soliciting or accepting directly or indirectly anything of monetary value, including gifts, gratuities, favors, entertainment' or loans either as compensation for governmental services or from individuals who are seeking contractual or other business or financial relations with the Department, are conducting operations or activities that are regulated by the Department, or have interests that may be substantially affected by the performance or nonperformance of the employee's official duties; receiving salary or any contribution to or supplementation of salary from a private source as compensation for services for the

Government. (18 U.S.C. 201 and 209 ) c, Acting as the agent of a foreign principal registered under the Foreign Agents

Registration Act. (18 U.S.C. 219.)

2. Engaging, directly or indirectly, in a financial transaction as a result of or primarlly relying on information that is obtained through one's official duties and would not be available were the employee not an employee of the Federal Government'

3. Soliciting a contribution from another employee for a gift to an official superior, making a donation as a gift to an official superior, or accepting a gift from an employee receiving less pay than oneself, (5 U.S C. 7351 )

4. Engaging, without required permission, in outside activities that result in or create the appearance of a conflict of interest.

5. Teaching, lecturing, or writing that depends in specific information obtained as a result of one's Government employment when that information is not otherwise available to the

Public.

6. Failure to obtain required clearance of an official speech or article'

7. Lobbying with appropriated funds (18 U,S.C 1913 )

8. Represe-ntation befoie a Federal agency (other than in the proper discharge of one's official duties) as an agent or attorney in a claim against the United States (or receiving

HHS Standards of Conduct - Page 9 of 1 1 any gratuity or share in any such claim in consideration for assistance given) or as an agent or attorney for anyone before any department, agency, court, or otherwise in connection with any proceeding, application, request for a ruling, or claim on any other particular matter in which the United States is a party or has a direct and substantial interest. (18 U.S.C. 205.) (Note: This section notlvithstanding, an employee may, if not in-consistent with the performance of his or her official duties, act without compensation as an agent or attorney for another person who is the subject of any disciplinary or other administrative proceeding or as an agent or attorney for one's parent, spouse, child, or any person or estate for whom or which he or she serves as personal fiduciary except in those matters in which the employee has participated personally and substantially.)

D. Concerning Prohibited Political and Election Activities.

1. Activities prohibited by 5 U.S.C. Chapter 73, Subchapter lll, including:

a. Section 7323, "Political contributions; prohibition."

b. Section 7324, "lnfluencing elections; taking part in political campaigns; prohibitions;

exceptions."

Activities prohibited by 18 U.S,C. Chapter2g, including:

a. Section 594, "lntimidation of voters."

b. Section 597, "Expenditures to influence voting."

Section 598, "Coercion by means of relief appropriations."

Section 600, "Promise of employment or other benefit for political activity."

Section 60'1, "Deprivation of employment or other benefit for political contribution."

Section 602. "Solicitation of political contributions-" Section 604. "Solicitation from persons on relief."

Section 606, "lntimidation to secure political conkibutions."

E. Concerning Prohibited Personnel Practices.

1. Commission of a prohibited personnel practice (as defined in 5 U.S.C.2302[b] [1-11]);

that is, any employee who has authority to take, direct others to take, recommend, or approve any personnel action, shall not, with respect to such authority, commit any of the following practices:

a. Discriminate for or against any employee or applicant for employment on the basis of race, color, religion, sex, national origin, age, handicapping condition' marital status, or political affiliation.

b. Solicit or consider any recommendation or statement, oral or written, with respect to any individual who requests or is under consideration for any personnel action unless such recommendation or statement is based on the personal knowledge or records of the person furnishing it and consists of (1) an evaluation of the work performance ability, aptitude, or general qualifications of such individual or (2) an evaluation ofthe character, loyalty, or suitability of such individual

c. Coerce the political activity of any person (including the providing of any political contribution or seNice) or take any action against any employee or applicant for employment as a reprisal for the refusal of any person to engage in such political activity.

d. Deceive or willfully obstruct any person with respect to such person's right to compete for emPloyment.

e. Influence any person to withdraw from competition for any position for the purpose of improving or injuring the prospects of any other person for employment

f. Grant any preference or advantage not authorized by law, rule, or regulation to any employee or applicant for employment (including defining the scope or manner of c.

i t.

n, HHS Standards of Conduct - Page 10 of I 1 competition or the requirements for any position) for the purpose of improving or in.iuring the prospects of any particular person for employment.

g. Appoint, employ, promote, advance, or advocate for appointment, employment, pro-motion, or advancement, in or to a civilian position any individual who is a relative (as defined in 5 U.S.C. 31 10) when the civilian position is in the Department or under his or her jurisdiction or control.

h. Take or fail to take a personnel action with respect to any employee or applicant for employment as a reprisal for the lawful disclosure of information.

i. Take or fail to take any personnel action against an employee or applicant for employment as a reprisal for the exercise of any appeal right granted by any law, rule, or regulation (including HHS Instructions and issuances).

j. Discriminate for or against any employee or applicant for employment on the basis of conduct that does not adversely affect the performance of the employee or applicant or the performance of others (except criminal conviction in determining suit-ability or fitness).

k. Take or fail to take any personnel action when the taking of or failure to take such action violales any law, rule, or regulation implementing, or directly concerning the merit system principles (as set forth in 5 U.S.C, 2301).

[53 FR 4410, Feb. 16, 1988]

UDdated: 5/20/15

HHS Standards of Conduct - Page 1 1 of 11

Subpart A-Gcneral Provisions

PART 2635-STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES

OF THf, EXECUTIVE BRANCH

SUBPART A-GENERAL PRO\ISIONS

S 2635.f01 Basic obligation ofpublic service.

(a) Public service is a public lrust. Each employee has a responsibility to the United States

Government and its citizens to place loyalty to the Constitution, laws and ethical principles above private gain. To ensure that every citizen can have complete confidence in the integrity ofthe Federal Government, each employee shall respect and adhere to the principles ofethical conduct set forth in this section, as well as the implementing standards contained in this part and in supplemental agency regulations.

(b) General principles. The following general principles apply to every employee and may form the basis for the standards contained in this part. Where a situation is not covered by the standards set forth in this part, employees shall apply the principles set forth in this section in determining whether their conduct is proper.

(l) Public service is a public trust, requiring employees to place loyalty to the

Constitution, the laws and ethical principles above private gain.

(2) Employees shall not hold financial interests that conflict with the conscientious performance ofduty

(3) Employees shall not engage in financial transactions using nonpublic Govemment information or allow the improper use of such information to further any private interest.

(4) An employee shall not, except as permitted by subpart B ofthis part, solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee's agency, or whose interests may be substantially affected by the performance or nonperformance ofthe employee's duties.

(5) Employees shall put forth honest effort in the performance oftheir duties.

(6) Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government.

(7) Employees shall not use public office for private gatn.

Codificd in 5 C.F.R. Part 2635

As amendcd at 8l FR 81641 (effective January 1,2017)

Subpart A-General Provisions

Employees shall act impartially and not give preferential treatment to any private organization or individual.

Employees shallprotect and conserve Federal property and shall not use it for other than authorized activities.

(10) Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official Government duties and responsib ilities.

(l l) Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.

(12) Employees shall satisfo in good faith their obligations as citizens, including all j ust financial obligations, especially those-such as Federal, State, or local taxes-that are imposed by law.

( I 3) Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex' national origin, age, or handicap.

(14) Employees shall endeavor to avoid any actions creating the appearance that they are' vioiating the law or the ethical standards set forth in this part. Whether particular circumstances create an appearance that the law or these standards have been violated shall be determined from the perspective ofa reasonable person with knowledge of the relevant facts.

(c) Related statutes.In addition to the standards ofethical conduct set forth in this part, there are conflict of interest statutes that prohibit certain conduct. criminal conflict of interest statutes ofgeneral applicability to all employees, l8 U S.C. 201,203,205'208' and209' are summarized in the appropriate subparts of this part and must be taken into consideration in determining whether conduct is proper. Citations to other generally applicable statutes relating to employee conduct are set forth in subpart I and employees aii furthe. cautioned that there may be additional statutory and regulatory restrictions applicable to them generally or as employees of their specific agencies. Because an employee is considered to be on notice of the requirements of any statute, an employee should not rely upon any description or synopsis ofa statutory restriction, but should refer to the statute itselfand obtain the advice ofan agency ethics official as needed.

S 2635.102 Definitions.

The definitions listed below are used throughout this part. Additional definitions appear in the subparts or sections ofsubparts to which they apply For purposes ofthis part:

Codified in 5 C.F R Parl2635

As amendcd at 8l FR 81641 (ellectivc January 1,2017)

(8)

(e)

CODE OF FEDERAL REGULATIONS

TITLE 5

CHAPTER XLV - DEPARTMENT OF HEALTH AND HUMAN SERVICES

PART 5501 - SU PP LEM ENTAL STAN DARDS OF ETH ICAL CON DUCT FOR EM PLOYEES OF TH E

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Sec.

5501.101 General.

5501.102 Designation of HHS components as separate agencies.

5501 .103 Gifts f rom federally recognized Indian tribes or Alaska Native villages or regional or village co rpo ration s.

5501.104 Prohibited financial interests applicable to employees of the Food and Drug Administration.

5501.105 Exemption for otherwise disqualifying financial interests derived from Indian or Alaska Native birthrights.

5501.106 Outside employment and other outside activities.

5501.107 Teaching, speakin g a n d writing by special Govern ment employees in the Public Health Service.

5501 .108 Exception to the prohibition against assisting in the prosecution of claims against, or acting as an agent or attorney before, the Government, applicable only to employees assigned to federally recognized Indian tribes or Alaska Native villages or regionalor village corporations pursuant to the Interg overn m en tal PersonnelAct.

5501 .109 Prohibited outside activities applicable to employees of the National Institutes of Health.

5501.110 Prohibited financial interests ap plicab le to sen ior emp loyees of the Nationa I Institutesof Health.

5501.111 Awards tendered to employees of the National Institutes of Health.

5501 .112 One-year disqu alif ication of employeesof theNational Institutesof Health from certain matters involving an award donor.

AUTHORITY: 5 U.S.C. 301, 7301, 7353; 5 U.S.C. App (Ethics in Government Act of '1978); 25 U.S.C.

450i(I\; 42 U.S.C. 216; E.O. 12674,54 FR 15159, 3 CFR' 1989 Comp,, p 215, as modified by E.O. 12731,55FR 42547,3 CFR, l990Comp,p.306; 5 CFR 2635 105'

2635.203, 2635.403, 2635.802, 2635.803.

SOURGE:61 FR 39763, July 30, 1996; 70 FR 5543, February 3,2005: and 70 FR 51559' August 31'

2005 | unless…