ethic-baa-sca.pdf

Ethics Attrchmcnb

I . Memo daed 09/03/2015, Mandarory Scasonal Inllueoza Imnuniz*ions for Civiliatr Health Care Personnel Working in Indian Hcalth Service Health Care Facilities'

2. Memo dated 061171995, Violence in the Workplace.

3. Memo d*ed 06/01/t995, Workplace Violence.

4, Merno dated 10/062017, Courtesy and Respect in the Workplace Policy.

5, 45 CFR Pafl ?3, HHS Residual Standards of Conduct updarcd 05 D0n0l5.

6.5CFRPart2635.10l,standardsofEthicalConductForEmployeesofTheExccutive Brmch, Basic obligation of public service, as amended at tl FR 81641' efrective

0llnn0t7.

7.5CFRPart550l,l0l-5501-loE,supplernentalstandardsofEthicalConductFor Empfoyces of The Departncnt of Hcalth ond Hurnan Serviccs , dated rcn6n005 '

t. Additional Contracton Responsibilities-

Indian Health Manual (lHM) - Special General Memorandum l5-03

Special General Memorandum 15-03

DEPARTMENT OF HEALTH AND HUMAN SERVICES Public Health Service lndian Health Service Rockville MD 20852

SGM No. 15-03

Seotember 3. 2015

TO:

FROM:

All Employees

Deputy Director

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

The purpose of this Special Genelal Memorandum is to add seasonal Inffuenza immunization to the list ot required' vaccinations for civilian health care personnel working.in Indian Health Servic€ (lHS) health care facilities. Influenza vaccinalion for health care facility s tf and licensed independent practilioners is a major pati€nt sabty isslJ€ i is an imporlant prog.ams. lndavidua are contaglous of influenza appear, viduals can infe

All Civil Service employe€S. conlract staff, temporary employees, students, and volunteers' who work in an

IHS health care tacitity, must receive a seasonal inf,uenza vaccination by October 31 of each year or have onlile a valid medicai exemption for vaccination signed by a licensed Independent practOniteoStatesPub|icHea|thseNice(PHS)area|ready requiimmunizetion(perManua|circu|ar.commissioned Coip 6'1 Instruction E PHS Readiness Standards)

1. lndivlduals with a vatid medical exemption for vaccination will be required lo wear a mask provided by iis curing the influenza season (November 1-through-March 31) and during otler periods oI increasedinfluenza activity as defined by the Centers for Disease Control and Prevention and/or

State Public health authorities

2A||employees.contractsrat|'temporaryemp|oyees'students,andVo|unteers'mustbeprovided access to influenza vaccinations at no charge'

I am counting on the full support of all members of the IHS communig to implement this. new requirement

;;;;;;: inanX you tdi Vouicontinueo support and cooperation to turther protect the health of the patients we serve.

lRobeft G Mcswainl Robert G. McSwain

IndianHealthservice(HQ).5500FishersLane'Rockville,MD20857-FindaMailStop (/headouaners/#mailstoPs)

STtI' CO:{\ECTE D {/tororthnt'to'ieln?d||/} httos://www. ihs.sov/ihm/i ndex.cfm?module=dsp-ihm-sgm-main&sgm=ihm-s gm- I 503 6t8l20r'7

DEPARTMENT OF T.{EALTH ANB HUMAN SERVIC€S

Public Heallh Service

Memorandum

Received

JUN 16 1995

JUN 12, 1995

FROM:

SUBJECT:

TO:

A::i:taq Secretary tor Health

Violence in the Workglace

PHS Agency Heads Acting Surgeon General Deputy Assistant Secretaries for Health PHS Agency Executive Officers PHS Staff Otf ice Directors PHS Regional Health Admrnistrators

The news media remind us almost daily ihat we live in an environmenl that is beComing increasingly more vtolent Many of our employees have been exposed to violence or threats of violence in their daily lives, and a significant number are concemed about the potential lor violence in the workplace. For these reasons. I believe it is important to set forth PHS policy on this subject.

Employees shall be protected as fully as possible from assaults, dation' whiie jt the wort site Thus. it is essential that we make clear to oyees ts of violence, intimidating and otherwise similar disruptive behavio table c

Ue toterateO This poliiy 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 promPl conective action can be taken when it does occur, anyone working In PHS facilities, lvho witnesses or becomes aware of threats or acts of violence ftom any aource must immediately report \ /hat he/she has observed or learned to appropriate agency offcials, as set forth below, and/or law enfo Employees are also exp;cted tJcooperate fulty in any subsequent investigations ployees lo place themselves al unnecessary personal risk in dangerous situations, them to make rmmediate Contact with an agency ofncial who ctn resp.nd apptopnately, such as a supervisor, se.urity officer. EEO or human resource ollicials

In lurn, officials receiving these reports are requlred to immediately and approPrialely act uPon them-tf anyone observes a violent act or a threat posing imminent danger, his/her immediate response should be to call 911 lmmedtately thereafrer, he/she should inform his/her supervisot and the appropriate secuflty office.

please distribute the attached policy statement to all employees in your organization and ensure that the issue of workplace violence and this policy are discussed in staff meetings so that any questions. or conserns abou( rmplementat|on ot the poticy can be promp y addfessed The implemenidlion of a c PHS Workplace Violence P;evention Program :s a prtority for me' and all employees' smanagersa|eexpectedtosupportthisinitjatrveonacontinuingbas.sAFHstaskforce' comprised of representatives of a variety of disciplines from all PHS agencies, has been convened for this purpose. The task frorce will develop a plan of action to address this critical issue in detail.

Our intention is to make the workplac6 safe where dignity, respect, and faimess are basic human rights. PHS employees, who commit or threaten to commit violent ac13 or acts of intimidation ageinst anyone in the workplace, will be disciplined in accordance with governing policles and procedurcs tor addressing employee misconduct and/or referred for action as appropriate under local and stale law.

Collective Bargalning Officials should provide a copy of the PHS policy statement and this memorandum to recognized unions. Any obligation to negotiate must be satisfied betore distributing or imPlementing the policy within existing bargaining units.

m fip R. Lee, MD.l Phillip R. Lee, M,D.

Attachment

U,S. PUBLIC HEALTH SERVICE

POLICY STATEUENT OI{ VIOLEI{CE IN THE WORKPLACE

Threatening, intimdating, violent or similar disruPtiv rkPlace is con-duct rt is ttre potiiy of tre Pu6ic Health Sorvice (PHS) th tolerance PHS will take appropriate action necessary to ensure that e work ?nvi from threatening behavior and violence.

Date: JUN 12 1995 lPhi ip R. Lee. M.D.I Phillip R Lee, M.D, Assistant Secretary for Health

DEPARTMENT OF HEALTH AND HUIVAN SERVICES Public Health Service lndian Health Service Rockville lvlD 20857 sGM 95-4

JUN 1 , 1995

TO,

FROM:

lndian Health Service Employees

Director

SUBJECT: WorkPlaceViolence

I am fully committed to ensuring that the ent lth Service ( iJ"altflv- t"t", and secure fro-m acts or nce this l am es t;le;;n; policy on Workptace Violence lies havior of all contractors and others with whom we work.

ourworkenvironmenrmustbefreefromal|formsofvio|enceandactsofintimidation.inc|uding harassment,threats,a|tercat|ons,orassaultYouareremindedthatsuchconductbylHsemp|oyeeswll| not be tolerated and known incidents should be reported immediately to management otficials . I expect

"lr"'proy"".toactinamannerlhatisrespectfu|andcoudeoustothepub|ic,aswe||astofel|owemployees.

Agency ls not immune us w0rk in than in the traditional n9 l have takBn dlent IHS statf threaten verni Procedu'eg duct to local Pdlice and legal authorities for possible aclion ovide a coPY of this memorand ementing WPV Pollcy l encou eI loP a strong labor-managemen orevent WPV.

ironment that is us, so awareness ions or need tMichael H. Truiillo, M D.l Michael H. Trujillo, M D' M P H Assistant Surgeon General

DEPARTMENT OF HEALTH& IIUMAN SERYICES

MEMORANDUM

Great Plairu Area Indian Health Service Federal Buildlng, Room 309 115 4h Ave SE Aberdeen, SD 57401

DATE: ocT 06 20lf

FROM: Ron Comelius, Area Director

SUBJECT: Courtesy and Resp€ct in the Workplace Policy

TO: All Grear Plains Area, Civil Service Employees, Commission Corps Officers, Contractors, Volunteers and Other Providers.

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

No matler what your job title, gmde, duties or responsibilities are' your number one job is to perform those duties and responsibilities in a manner that is consistent with the starrdards of conduct outlined in the Department's Standard of Conduct, Subpart C -conduct on the Job, 73.735-301 Courtesy and consideration for others. This Subpart rcads as follows:

(a)Anemployee'sconductonthejobis,inallrespects,ofconcemtotheFederal Y Publi" Y eny me o tnttt that inattention to matters of oolnmon courtesy can adversely affect the quality of service the Department is responsible for providing'

(b)ofequalimportanceistherequirementthatcourtesyisshownindailyinteraction' ' *itt .o*ort .rs. Employees ;hall be polite to and considerate of other employees and shall respect theii needs and concems in the wo* environment' se n rndividuals violate it. I also expect managt ion

*i." i*t fi". supervisors fail to exercise their supervisory responsibilities' ons under SubPart C, I exPect each th lhc cn re subpan l also cxpect each rvisory control is Condugt' You maY access this link:

I am issuing this policy memorandum to demonsEate my commrtment to assunng

;;;;-;"ra;a iigniry in the work place Evetvone from patients' clients' custonen aDd €Eplopos havc the right o cnpccr a prcfessional cnvironmat ubco thcy walt through thc fun of any Grtat Plains Arca IHS &cility.

This memonndun is to be distsibutod "dcsk to de*'witl srpcrvirors assuring thrt cach cmployeg offrccr, contract and/or rcluntccr has koowledge of it and initials a copy of thc mcmoradum. Chief Elrccuive Officcr d Divirion Dirccton are to assurc thd this memcandum is posted in appropdab places in plain sigh of anyonc cntcdng thcir work arca"

Ifyou bavc qucstions or nccd assirtncc you mry cooEc't thc RcgionEl Human Rcsoutc Ofrccr, Eoployce/Lrbor Relatioos aaffby calling (505) 2267553, I^G Ron Corneliw Arca Direcbr

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. Parls 2600 to 2641, 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 Employoes Of HHS, 5 C.F.R Part 5502 which supplement the OGE ethics rules and regulalions.

Therefore, only the following subparts and sections of the HHS Standards of Conduct remain in effect. [Please consult with the Office of General Counsel prior to taking any action based on any of these subparusections. Revised by OGC Ethics Division, 5/192015.1 others s

Q 73.735-305 -- Sexual harassment e Olticial channcls

.": 7 3.735-13041

S 73.735-301 Courtesy and consideration for others'

(a) duci on the iob is, in all b; n. and PromPtness in d oul off and actions which den iisrespectfu to others must be avoided' Ertlployei ..,------,.,^.- ol

;";;;; courtesy can adversety affect the qtlality of service the Department is responsible for providing. Wheri appropriate, c'ourtesy to the public should be included in the standards for employee performance.

irement that courtesy be shown in day-by-day interaction with co-to and considerate of other employees, and shall respect their vironment.

HHS Standards of Conduct - Page 1 of 11

S 73.735-302 Support of department programs.

(a) When a Departmenl program is based on law, Executive Order or regulation, every employee has a positive obligation lo make it function as efiiciently 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, defendrng it against uninformed or unjust criticism, or soliciting views tor improving it.

(b) An emptoyee shall not, either directly or indirectly, use approptiated funds to influence, or atlempt io influence, a Member of Congress to favor or oppose legislation. However, when authorized by his or her supelisor, an employee is not prohibited ftom: (1) Testitying, 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 the 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 thal relate to their otiiciat duiiej and responsibilities and shall comply with those directives. This includes carrytng out proper orders from offlcials authorized lo give them.

to assisl lhe Inspec estigative officials in the or functions. This re ving ot statements or the Inspector Gene nvestigators authorized to conduct investigations into potential violations

S 73.735-305 Conduct in Federal buildings.

(a) An employee shall not participate while on Go or I

Outy for tne dovernment, in any gambling activity rati conducting a lottery or pool, in a game for money sel rs slip or ticket.

(b) An employee shall not while in or on Government-owned or leased property or while on duty for ine Oovernmint solicit alms and contributions, engage in commercial soliciting and vending, display or distribute commercial advertisements, or collect private debts' is section do not preclude: (1) Activities uties; (2) Participation in Federally sponsored utive Order 10927' or similar HHS approved zed State lottery outlet for a lonery authorized by within that State

"Conduct on Federal Property" apply to all

Administration, and they are also applicable to all rtment. These regulations prohibit' among other distribution' or use of narcotic or dangerous nd in Subpart 101-20.3 of the GSA Regulations'

41 CFR 101-20.3.

HHS Stanclards of Conduct - Page 2 of 1 1

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, supervisoE 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 lo relationships between Departmenl p€rsonnel who take or recommend action on a grant or contract and the grantee or contractor. Those employees who wish lo tile a complaint of sexual harassment should contact the Otfice ot Equal Employment Opportunity (EEO) within their respective agencies for guidance. Oime frames for pursuing a charge alleging sexual harassment are the same as for any other complaint based on allegations of sex discrimination.)

S 73.73s-508(e) Othe. prohibitions.

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

(e) Making a Government decision outside ofiicial channels

S 73.735.805 Advice and guidance on conflicts matters'

(a) Whenever an employee has a queslion about the appropriate course of conduct to be followed in a matter that may involve an actual or apparent conflict of interest, he or she should immediately consult with his or her Supervisor Or a deputy ethics counselor, or both. lt a supeNisor who is consulted determines that the matter wanants further consideration, he oa 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:

to the question posed by the employee;

loyee(s) involved;

interest; and iewing the Problem.

or a supervisor, the deputy ethics counselor will r as necessary, and will confer wilh the Department Ethics Counselor and the head of the ee will be informed of any serious violation of the terest law. Questions of first impression or other unusual matters shall be brought to the attentaon of lhe Oepartment Ethics Counselor and the head of the principal operating component or his or her designee.

(c) on the basis of all information gathered including, where appropriate, the advice of lhe bepartment Ethics Counselor, the deputy ethics counselor will:

(1) Decide that there is no violaiion or potential v ds of this subpart or any other law and so notify the employee and his or her su r of ti subPart or other law has t involved shall take one or more of the steps set forth t otify the employee and his or her supervisor in wriling:

ii; oecioe tnat, although no violation of this subpart or other law has occurred, the nature of the

HHS Standards ot Conduct ' Page 3 of 1 1 matter is such that the employee should periodically report any additional infotmation that would require reconsideration of the initial submission.

Subpart F - Political Activity and USPHS Officers - {SS 73.735'601 - $73.735-603}

S73.735-601 Applicability.

(a) All employees in the Executive Branch of the Federal Government, including non-career-imptoyees, 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 ftom prohibited political activity. lgnorance o{ a prohibition does not excuse a violation. This subpadsummarizes provisions of law and regulalion conceming political activity of employees. The Federal Personnel Manual and other publications ofthe offic8 of Personnel

Management contain more detailed information on this subiect. These may be revie$red in

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

t from the prohibitions concerning active lso exemol are other officials of the r General, who are appoinled bY the

€ Senale, and who determine policies to be inistration of Federal laws.

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

(d) Emolovees on leave, on leave without pay' oron furlough even though an on irlsG'en iccepted, are subject to the restrictions. separated employees who p-he restriction during the Pen not return to Federal employment during that e of absence to work with a politicel candidale' te for office wiih the unde.standing that they will resign their position if nominated or elected.

(e)Emp|oyeesareaccountab|eforpoliticalactivitybyanotherpersonac|ingastheiragentorunder the employee,s directaon or

"ontrot,'it ttt"y are thui accomplishing indirectly what they may not lawfulty do direclly and openlY.

(fl Though officers in the Public Health Service Commissioned Corps are not subiect to the.

reslrictions in subchaptef ttr oicnapter 73 of rifle 5, united states code, the provisions of this subpart aPPIY to them

S73.735-602 Permissible activities' t lo vote as lly, however, I camPalgns here are some

HHS Standards of Conduct - Page 4 of 11

(1) Employees may engage in political activity in connection with any question nol 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 recoived votes at ihe last preceding election at which presidential electors were selected,

(2) An exception relates io political campaigns within, or in communities adiacenl to, the District of

Columbia, or in communities the majority of whose voters are employees of lhe Federal govemment.

Communities to which the exception applies are specifically designated by the Office of Personnel

Management. Information regarding the tocalities and the condilions under which the exceptions are grantjd may be obtained from personnel otfices or the Department Counselor ot deputy counselors.

(b) A covered employee is p€rmitled t0:

(1) Register and vote in any election;

iZi grire*t his or her opinion as an individual citizen privately and publicly on politcal subjects and candidates;

n;

ic, community, social, labor, or professional al organization and participate in its activilies to the exient consistent with law;

function: or other political gathering;

ization:

support ot an independent candidate, in a such activities by the Office of Personnel

Management;

iioiil-r".^ "aive part, as a candidate.or in support of.a candidl-"t1,?19i].p,"-1':tfl:'::lfi' ii;i ;;;t.dly aciive in connection with a question which.'"loJ,te9-'l:1lv-'*.T,L1,Y:1:

l,liiirl-r iirtv, r,j"nii

.on.tttrtional amenclment. referendum, approval of a municipal ordinance or any oiher question or issue of a similar characteri iizl 6"r" rJ"n election judge or clork, or in a similer position to perform nonpartisan duties as prescrib€d by State or local law; and ii5iffi;1!"-;;i"pai" trriv in puotic-atrairs, e cept as prohib'11-flll1,.lf1r1tinerwhich does

Hffi#;]iruil#;; h6 i"r efficienry or integrity'as an emptoyee or rhe neurralitv, efficiency, or integrity of his or her agoncy.

)of terest'

S73.735-603 Prohibited activities.

(a) The following are prohibited activities:

(1)ServingaSanof'icerofapolitica|party'amemberofanationa|,stateor|oca|committeeofa political party, an officer or memdeioia com.inee of a partisan political club, or being a candidate g a political party orga litical clubi r,ngi;;uitig, iorre-cti disbursing' or accounting for or- 6iner fundi for a pa purpose or in connection with a

HHS Standards of Conduct - Page 5 of 11 parlisan 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 aclive part in managing the political party campaign of a candidate tor public office or political office;

(6) Being a candidate for, or campaigning for, an elective public office, except as permitted in s73.735-602(b)(9);

(7) Taking an active part in an organized solicilation 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;

(1 1) Serving as a delegate, alternate, or prory to a political party convention;

(12) Addressing 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

(13) Initiating or circulating a nominating petition for a candidate in a partisan election.

(b) In addition, certain political aclivities 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 contribution for any political purpose whatever trom another officer or employee, This prohibition extends to one who acts as a mere agent or messenger for ihe purpose of tuming 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 contiibution 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. 1E U.S.C. 603. This prohibition exlends to tne iending of a letter soliciting political contributtons for delivery in a Government building.

(3) No-officer or employee may directly or indifectly give to any other officer, employee or person in ihe service of the UhitdO Statei, any money or other thing of value to be applied to the promotion of any political objective, 18 U.S.C. 607.

(+f tiiscriminatibn for giving or withholding any contribution tor any political purpose and iiscrimination based on political influence or recommendations is prohibited'

(c) Various other laws prohibit cerlain activlties in connection with poliHcal campaigns and elections.

They include:

ers in a Fod n any or by ishment, or connection deral funds (18 U.S.C' 595).

, or any benefit from Federal funds, in return for n, or any benefit derived from Federal relief or or political activity (18 U.S.C' 601).

(5) Soliciting, assessing, or receiving subscriptions or contributions for political purpose from anyone dn FeOeral ielief or work relief (18 U.S.C' 604)

HHS Standards of Conduct - Page 6 of 11

Subpart L -- Disciplinary Action (S 73.735-12011

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 Elhics for Government Service," the violation of which may also result in disciplinary aciion, gee Appendixes A and B of this Part).

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

Those responsible for recommending and tor taking disciplinary action must apply judgment to each case, taking into account the gene.al objectives of me€ting any requitements of law, deterring similar otfenses by the employee and other employees, and maintaining high standards of employee conducl 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 acfons are taken, ippticabrc laws, regulations, and policies must be followed. [46 FR 7369' Jan 23' 1981' as amended at 53 FR 4409, Feb. 16, 19881

Subpart M-RePorting Violations

S 73.735-1301 Responsibility for reporting ons An employee who has information which he or she reasonably be ble offense against the United

States by an empl working on behalf of the

Departmlnt, stratt gement otficial, or directlY ng sentence include, of funds' equ other conduct by a govt onractor

;; hibited by title til orlne United stales code Employ nd supervisors ino of the Department's General Administration Manual ooedures regarding the reporting and handling of such information'

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

DISCIPLINARY ACTION MAY BE TAKEN

of some ofienses fo action Part When specifically to a parti r wholl cited offenses nor the sta all-incl s for

Government 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 11

A. Conceming Eficiency of Operations in General.

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.

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

Deliberate insubordination or refusal to carry out law'ul orders or assignments given, Disruptive 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 premis€s.

b. Discourtesy, disreputable conduct, ot 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 tor safety, such as failure to use safety equipment when it is provided or ignoring signs, posted rules or regulations, or written or v€rbal safety instructions.

Unauthorized use, possession, or distribution of alcoholic beverages (5 U.S.C. 7352) ol controlled substances (e.9., hallucinogens, such as LSD; stimulants, such as cocaine and amphetamines; sedatives, such as barbiturales: 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 of identification credenlials or badges.

10. 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 iubstantiat and specific danger to public health or safety; failure to cooperale in an official Department inquiry.

1 1 . Failure to pay just debts, including taxes to and loans from governmental sources.

12. Deceit or interference in a Civil Service examination (18 U.S.C. 1917) or in connection with a Govemmenl personnel action

13. Fraud or false statements in a Govemment maner. (18 U.S.C. '1001 through 1003,)

14. Supervisory failure to initiate disciplinary or corrective action when the facts are known ana, disciplinary or corlective action is warranted t S. Employment oi a member of an organizationlhat advocates the overthrow of our constitutional 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 Govemment or personal money or property eiiner directty or tnrough use of Government documents, automated equipment, or other r""nt;

""trit or atte;Pted emb€zzlement 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 )

5. O.fi[ot" t"lsifiing oi officiat timsand endance records; improper use.of otficial travel- ;;";!ilg, counierfiiting, or olherwise fatsifying official Government travel records or documenls. (18 U S.C. 508.)

+ FaLe recora entries or false reports of money or securities' (18 U S'C 2073 )

S. t_osior mlsuse of or damage to Govemment property or endangering persons or- Ooulint"nt property throu-gh carelessness or by willful malicious conduct' z.

4.

q

6.

8.

o

HHS Standards of Conducl - Page 8 of 1 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 administratively confidential, financial, and trade secrets infomation.

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

1 1. Violations of the Privacy Act, including:

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

U.S.C.552a.

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

12. Violation of regulations concerning the release of classified information, confidential, or security and investigative information. (18 U.S.C. 798 and 1905; 21 U.S.C- 331i; 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 financial interest (includes employee ownership of stocks, bonds, or partnership inlerests 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 oI seeks to do business with the agency, or has any oiher particulrr matter with or pending before the agency that may give rise lo 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 monetiary va|ue, inc|uding gifts' gratuities, |avors, entertainment. or loans ei|her as compen;auon for governmental services or from individuals who are seeking contractualorotherbusinessorfinancialrelationswiththeDepartment,are conductingoperationsoractivitiesthgtareregu|atedby|heDepartment,orhave intereststhatmaybesubstantia||yaffectedbytheperformanceornonperformanceof the employee's official duties; receiving salary or any contribution to or supp|ementationofSa|aryfromaprivatesourceascompensationforseNicesforthe Government. (16 U S.C. 201 and 209 ) c'Actingastheagentofaforeignprincipa|registeredundertheForeignAgents n Act (18 U.S.C. 219 )

2. En cfly or indirec y, in a fnancial transaction as a result of or primarily relying on thit is obtainei through one's official duties and would not be available were the employee not an employee of the Federal Government'

3. Soliciting a contribution fiom anoiher employee for a gift to€n official superior, making a- Jonatio,i as a gift to an ofticial superior, or accepting a gift from an employee receiving less pay than oneself. (5 U.S C. 7351 .)

4.Engaginguiredpermission,inoutsideactivitiesthatresultinorcreatethe appearan ict of interest

5. Teaching r wiiting tnat depends in specitic information obtained as a result of one,s Government employm6nt when that information is not otherwise available lo the

Public.

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

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

g. Representation o"roi" r"o"ral agency (other than in the proper discharge of one's official duties) as "n "!ent or attomiey iri 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 attomey for anyone before any departrnent, agency, @urt, 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 notwithstanding, an employee may, if nol in-consistent with the pertormance of his or her official duties, acl without compensation as an agent or attorney for anolher person who is the subject of any disciplinary or olher administrative proceeding or as an agent or attorney for one's parenl, 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, "lntluencing elections; taking part in political campaigns; prohibitions;

exceptions."

2. Activities prohibited by 18 U.S.C, Chaptezg, including:

a. Section 594, "lntimidation of voters."

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

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

Section 600, "Promise of employm€nt or other benefit for political actavity " Section 601, "Deprivatron 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 contributions."

E. Concerning Prohibited Personnel Practices.

o.

e.

L s.

h.

1. Commission of a prohibited personnel practice (as defined in 5 U S.C. 2302lbl 11-1 1D;

that is, any employee who has authority to take, direct othets to take, recommend' or approve ahy pers;nnel action, shall not, with respect to such authority' commit any of the following practices:

a. Disc-riminate for or against any employee or apPlicant for employment on the basis of race, color, religion, sex, national o gin, age, handicapping condition' marital slatus, or political affiliation.

b. Soiicit or consider any recommendation or statement, oral or written, with respect to any individual who requests or is under consideratjon for any personnel aclion unless su;h 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 of the character, loyalty, or suitability of such individual

q. oy person any action e refusal o activitY d'Deceiveorwi||fu||yobstructanypersonwithrespec|tosuchperson'srightto comPete for emPloyment.

e. Influence any pers6n to withdraw from comp€tition for any position for lhe purpose of improving or injuring the prospects of a

f. Grant an-y pretiren-e or advantage not to any employee or applicant for employment er of

HHS Standards of Conduct - Page 10 of 1 1 competition or the requiroments for any position) for the purpose of improving or injuring the prospects of any particular person for employment.

g. Appoint, employ, promol€, advanc€, or advocate for appointnent, employmeni, plo-motion, or advancement, in or to a civilian position any individual who is a relative (as defined in 5 U.S.C, 3110) 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, ruls, or regulaiion (including HHS lnstructions and issuances).

j. Discriminate for or against any employee or applicant for employment on the basis of conduct that doas not adversely affect the performanco 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 aclion when lhe taking of or failure to take such action violates any law, rule, or regulation implementing, or directly concemlng the merit system principles (as set forth in 5 U.S.C. 2301).

[53 FR 4410, Feb. 16, 19881

Updated: t2415

HHS standards of Conduct - Page 1 1 of 11

(a)

(b)

SubDart A-Gcneral Provisions

PART 2635-STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES

OF THE EXECUTIVE BRANCH

SU BPART A-GENERAL PROVISIONS

$ 2635.f01 Basic obligatioo of public service.

Public sertice is a public trust. Each employee has a responsibility to the United States

Govemment and its citizens to place loyalty to the Constitution, laws and ethical principles above private gain. To ensure thal 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.

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 fodh 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.

@ 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 funher 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 nray be substantially affected by the performance or nonperformance ofthe employee's duties

(5) Employees shall put fonh honest effort in the performance oftheir duties'

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

(7) Employees shall not use public ofnce for private gain'

Codiflcd in 5 C.F.R. Pan 2635

As amendcd at 8l FR E 1641 (effective January l, 2017)

SubDan n--4eneral Provisions

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

(9) Employees shall protect and conserve Federal propcrty and shall not use il 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 responsibilities.

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

(12) Employees shall satisf, in good faith their obligations as citizens, including alljust financial obligations, especially those-such as Federal, State, or local taxes-thal are imposed by law.

( l3) Employees shall adhere to all laws and regulations that provide equal opponunity for all Americans regardless ofrace, color, religion, sex, national origin, age, or handicap,

(14) Employees shall endeavor to avoid any actions creating the appearance that they are violating the law orthe ethical standards set forth in this part. Whether panicular circumstalces create an appearance that the law or these standards have been violated shall be determined from the persp€ctive ofa reasonable person with knowledge of the relevanl facts.

(c) Related srstules. In addition to the standards ofethical conduct set forth in this part, there are conflict of interest statutes that prohibit certain conduct. Criminal conflict ofinterest statutes of general applicability to all employees, I 8 U.S.C. 201,203,205,208, and 209, 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 are further cautioned that there may be additional statutory and regulatory restrictions applicable to them generally or as employees oftheir specific agencies. Because an employee is considered to be on notice ofthe requirements ofany statute, an employee should not rely upon any description or synopsis ofa statulory restriction, but should refer to the statute itselfand obtain the advice ofan agency ethics official as needed.

$ 2635.102 Definitions.

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

Codificd in 5 C.F,R Part 2635

As amendcd at 8l FR 81641 (effectivc January l' 2017)

CODE OF FEOERAL REGULATIONS

TITLE 5

CHAPTER XLV - DEPARTTIENT OF HEALTH AND HUMAN SERVICES

PART 5501 - SUPPLEMENTAL STAT{DARDS OF ETHICAL CONDUCT FOR EMPLOYEES OF THE

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Sec.

5501.101 G6neral.

5501.102 Designation of HHS components as separate agencies.

5501.103 Gifts from ledsrally recognized Indian tribes or Alaska Native villages or regional or village c0rporatlons,

5501.104 Prohibitod financial interests applicablo to employsesof theFood and Drug Administration.

5S01.105 Exemption for otherwl6e disqualitying financial interests deriv6d from Indian or Aleska Native birthrighls.

5501.106 Outside employment and other outside activities

5501 .107 Teaching, speaking and writing by special Govelnment 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 attotney before, the Govetnmsnt, applicable only to emPloyees assigned to f€derally recognized Indian tribss or Alaska Nativs villages or regionalor village corporations pursuant to the Intgrg overn men tal PersonnelAct.

550l .109 prohibated outside actlvities applicable to employees of the Natlon€l Institules of Health.

SS01.110 prohibiGd financial intErests applicable to senior smp loy€€s of the National Institut6s of Health-

5501.'1 11 Awards tendered to employoes of the National Institutes of Health.

5501.112 One-year disqualif ication of employees of the N ational Institutesof Health ftom csrtain matters invo lving an award donor.

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

asoi(f); 42 U.S.C, 216; E-O 12674,54 FR 15159, 3 CFR, 1989 Comp , p 215, as modified by E.O. 12731,55 FR 42547' 3 CFR, 1990 Comp . p 306; 5 CFR 2635 105'

2635.203, 2635.403, 2635.802, 2035,803.

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

2005 | unless olherwiso noted.

5 5501.101 Gen ersl.

(a) Purpose. The regulations in this part apply to employees rtment of Health and Human

Services (HHS) and supplemont the Standards of Ethical Employees of the Exacutive

Branch contained in 5 cFR part 2635. In addition to 5 CF and this part, employees are requiredtocomp|ywithimp|ementingguidanceandprocedurgsis6uedbyHHscomponentsin accordance with 5 CFR Z6'SS.ros1c1.

-mployees are also subjsct to the executive branch'wide linanciat disctosure regutations at 5 CFR part 2634, lhe Employee Respons ib ilities and conduct regu|ationsat5cFRpartT35,andtheHHsr€gu|ationsregardingconductat45cFRPartT3.

(b)Appticability.TheregU|ationsinthispanapp|ytoindividuaIswhoare,employees"withinthemeaning oiiCfn 2635.102(h). The regulations ihus apply to sP€cial Govemment employees' excapttothe extent they are specifically exciuded from cert/ain provisions, and to uniformed service olfica.s in the

Public Hoalth Service Commissioned Corps on activo duty'

S Cf n 59 5501-5502, unofficiBl Com pilstion 10t261o5 Page 1 of 22

(c) Definitions. Unless a term is otherwise dstined in this part, the detinitions set forth in 5 CFR parts 2635 and 2640 apply to terms in this part, In addition, for purposes of this part:

(1) Faderally recogniz€d lndian tibe ot Alaska Native village or regional or village coryorclion m€ans any Indlan trib€, band, nation. or other organized group or community, including any Alaska Native village or regionalor villago corporation as defined in or established pursuant to the Alaska Native Claims Settlement Act, 43 U.S.C. 1601 e( seg., which is rscognized as elig ible lor the special p rog ra ms and services provided by the U nited Slates to Indians becauso of their status as Indians.

(2\ Significantly regulated otganization moans an organization for which the sales of products regulated by the Food and Drug Administrgtion (FDA) constitute ten percsnt or more of annual gross sales in the organization's previous fiscal year; where an organization doas not have a record of sales of FDA-regulatad products, it wlll be deemed io be significantly regulated if itE operations are predominately in fields rogulated by FDA, or if its r€search, devolopment, or other busrness activities are reasonably 6xpected to result in the developmont of products thal are regulated by FDA.

I5501.102 Designation ofHHS components as Beparate agoncies,

(a) Separale agency components ot HHS. Pursuant to 5 CFR 2035.203(a), each of the twelve co mpo ne nts of H HS listed below is designatod as an agency sepa rate from sach ot the olher eleven listed compononts and, for employees of that component, as an agency distinct from the remainder of HHS. However, the components listed below are not deemed to be separat€ agencies for purposes ol applying any provision of 5 CFR parl 2635 or this part to employees of lhe remainder of

HHS:

(1) Administration on Aging;

(2\ Administration lor Children and Families;

(3) Agency for Healthcar€ Research and QuElity:

(4) Agency for Toxic Substances and Oisease Registry;

(5) Centers tor Disease Contfol and Prevenlion;

(6) Centers for Medicare and Medicaid Services;

(7) Food and Drug Administration;

(8) Health Resources and Ssrvices Administration:

(9) Indian Hsalth S€rvice;

(10) National Institutes of Healthi

(11) Program Support Centert and (1 2) Substance Abuse and lvlental Health Services Administration.

(b) Definitions-

(1) Employee of a component includes, in addition to employses actually within a component, an employee of the Otfice of the Gsneral Counsel whose regularly assigned duties and responsibilities principally involve the provlsion of legal services to the relevant component with respect to substantivs programmatic issues.

(21 R€maindsr of HHS means employees in the Office of the Secretary and Staff Divisions, employees of the Otfice of the General Counsel with DeparlmenLwide responsibility, and any HHS employee not in one of the 1 2 compon€nts designated as separato agenci€s in paragraph

(a) of this section.

(c) Applicability of sep€rate agency designatlons.