Wkplce_Violence,_C&R,_&_Ethics,_etc.pdf

DEPARTMENT OF HEALTH & HUMAN SERVICES

{& MEMORANDUM

AUG - B 2013

All Abcrdccn Arcl Civil Service Enrployees and Cotnnrission Corps OlTicers

All Contractos. Voluntccrs and Othcr Providcrs

Acting Area Director

Counesy and llcspcct in the Workplace Policy

Aberdeen Area Indian Heallh SeMce Fed€ral Bulldlng, Room 309 1,|5 4u Ave- SE Absrdeen, SD 57401

DATE:

TO:

FROM:

STJBJECT:

'l'hc sirrgle most inrportant lhing rve crn ofl'er our patietlts, ctlstolrlet's artd coworken is courtesy and respect in oul daily intetrctioos.

No nlatter whot yourjob titlc. grade, duties or responsibilities att. yottr nurrlber olle .iob is to perfor.nt those duties arrd responsibilit ics in a ntanner thal is consistcnt with the stnndards of couduct outlined in the Dcpartnrent's Staudards ofConduct, StlbpaA C - Coltduct on the Job, 73.735-30 | Cotlnesy atld consideration lbr others. I'his Srrbpart rcads as follows:

(a) An ernployee,s conduct o|r thcjob is, in all respects, ol'conccnt.to thc Federal covernntenl.' ' Courreiy, consideratiort, ond prontptrrcss ilr dealing rvith the public nttts( be shown in corrying out ollicial rcsponsitrilities, and actions which deny the dignity of individuals or oonduclwhich is disrtspectl.trl to othcfs nusl rccogtlizc that illatlcntion to ntstlers of conrrnon couttcsy cnn advcr.scly a ffcct thc qunlity ofservioc lhe l)epntlntcnt is responsible for providing.

(b) Ofequal inlporlancc is the rcqttircntent that coLtrtcsy is shown i|| daily internctiorr with' ' "oruoik"rs.

Enrployccs shall bc Politc ro and considerate ot'otlrcr cltrployces and shall lespect theiI needs and conccnts in lho rYolk environment.

I ex;rect each individrral rvho rvorks lbr the Aberdeen Area ll-lS to adhcre to tlrcs€ reqtriremeuts. I expect each sUpervisor attd/or nlanagcr to hold thcir sltbordinates rcsponsible fbi nrceting this standarci aucl taking nppropriate conective itction whcr individuals violate it. I fllso expect nranagenlcnt to lakc nppt.opriate corrective action rvhen litsl line supervisors fail to cxercise their strpervisoty rcsponsibi litics.

While I am enrphasizittg only onc ol"lhe scotions ttndcr Sttbparl C, I expect each sttpervisor nnd nanager to beconre lhnr iliar rvith thc entire subpart, I also exPeol eflclt sttpet visor to assttre that anyonc over wholll they exercise sttPervisory qontrol is k|rowledgeablc ofartd adhere to all asDcct; ofthe Standsr.4s ofCond'ct. You may access a copy ol'the t IllS Standards ofConduct by follorving tltis link: httn://ethics.od.nih.qov/larvrcg/hhs'rcsid'std.htmtl30 |

Page 2, Counesyand Respcct in tlrc Workplacc Policy

I am issuirrg this poticy memomndum to &nlouslrate ttly co|l)mifinent to assurhlg cou]tesy' rEspect and dignity irr tlrc work place. Ereryolte fiom patients, clients, cqstoners and ernplolees hnve tlrc riSh to expect a professionnl environment w|refl tlrcy *alk through the dools of any Aberdeen Area IHS facility.

Tltis nternoradum is to be distibtrted "desk to desk" wiltr srpqvison nssuring ut each ernplolee, officer' contractor and/or vo lunteer has knowledgc of it and irr itials a copy of the ntemomndu m. Ch ief Execut ive officer atrd Division Dircctors 8rE to assure that dris nrernorandum is posed irr appropiate places in plain sight ofanlone entering tlteir wort ata.

ll'you hnre questioru or trcd:usistlte, ;<x ntty contuo llle RgSiottal Human Rcsource Officq Ernplopc /Latior Relatirxsstriffby cal ling (605) 226-7 553'

Ron Cornelius

HHS Residual Standards of Conduct

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

CFR Part 73). Subsequently, HHS published the Supplemental Standards of Ethical,Conduct for Emplovees of DHHS which covers ethics rules and regulations. Therefore, only the following suUparts and sections of the HHS Slandards 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, 5t2t2000.1

S 73.735€01 - Courtesv and consideration for others

S 73.735-302 - Support of deoartment orosrams

S 73.735-305 - Conduct in Federal buildinqs

S 73.735-306 - Sexual harassment

S 73.735-508lel - Government decisions Outeide Official channels

S 73.735{05 - Advice and guidance on conflicts matters

Subpart L - Disciplinarv Acfion (Q 23.735-l20ll

S 73.735-301 Courtesy and consideration for others

(a) An employee's conduct on the job is, in all respects, of concern to the Federal government.

bourtesy, 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 be avoided. Employees must recognize that inattention to matters of common courtesy can adversely affect the quality of service the Department is responsible for providing. Where appropriate, courtesy to the public should be included in the standards for employee performance.

(b) Of equal importance is the requirement that courtesy be shown in day-by-day.interaction with co-w6rters. empldyees shall be polite to and considerate of other employees, and shall respect their needs and concerns in the work environment.

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 isa part of recognized public policy. An employee may, therefore, properly make an address explaining and interpreting such a program, citing its achievements, defending 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 io'influence, i 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 reque^st, as a representative of the Department on pending legislation or proposals before Congressional Com.mittees; or (2)

Assisting Congressional Committees in drafting bills or reports on request, when it is clear that the employe! 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 ifficiat Ouiies and responsibilities and shall comply with those directives. This includes carrying out proper orders from officials authorized.to give them.

(d) Employees are required to assist the Inspector General and other investigative officials in the ierforrance of their duties or functions. This requirement includes the giving of statements or evidence to investigators of the 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 duty ioi me Coverhment, 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 Government-owned or leased property or while on duty for ini: eoverhmbnt 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 section do not preclude: (1) Aclivities necessiiated by an employee's lawenforcement duties; (2) Participation in Federally sponsored fund-raising activities conducte-d pursuant to Executive Order 10927, or similar HHS approved activities; or

(3) BJying a lottery ticket at an authorized State loftery outlet for a lottery authorized by State law and conducted by an agency of a State within that State.

(d) General Services Administration regulations on "Conduct on Federal Property" apply to all irbperty under the control of the General Services Administration, and they are also applicable to all buitainjs and space under the control of this Department. These regulations prohibit, among other things,-gambling, Ueing intoxicated, and possession, distribution, or use of narcotic or dangerous drug's oi the pr6misesl The GSA regulations are found in Subpart 101-20.3 of the GSA Regulations, 41 CFR'101-20.3.

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 contact 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.)

$ 73.735-508(e) Other prohibitions.

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 decision outside official channels

S 73.735€05 Advice and guidance on conflicts matters.

(a) Whenever an employee has a question 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. lf a supervisor who is consulted determines that the matter warrants further consideration, he or she may, in conjunction 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 information that may be helpful in reviewing the problem.

(b) Upon receiving the submission of an employee or a supervisor, the defuty ethics counselor will deveiop any additional information about the matter as necessary, and will confer with 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 shali be brought to the attention of the Department 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 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 i violation oi potential violation of the standards of this subpart or other law has occurred or may occur, and that the employee involved shall take one oI more of the steps set forth in

S 231.735-904 io resolve the problem and notify the employee and his or her supervisor in writing; or (S; OeciOe that, although no vlolation of this subpart or other law has occurred, the nature of the matter is such that the employee should periodically report any additional information that would require reconsideration of the initial submission.

Subpart L - Disciplinary Action (S 73.735-1201)

S 73.735-1201 General provisions.

(a) Violations of the regulations contained in the Part may be cause for disciplinary action which could be in addition lo any penalty prescribed by law. (For a lisl 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 aclions are taken, applicable laws, regulations, and policies must be followed. [46 FR 7369, Jan. 23, 1981, as amended at 53 FR 4409, Feb. 16, 1 9881

Subpart M-Reporting Violations

S 73.735-1301 Responsibility for reporting possible criminal violations. An employee who has information which he or she ieasonably 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, shall immediately report such information to his or her supervisor, any management official, or directly to the Office of the Inspector General. Offenses covered by the preceding sentence include, but are not limited to, bribery, fraud, perjury, conflict of interest, misuse of funds, equipment, or facilities, and other conduct by a government officer or employee, grantee, contractor or other person which is prohibited by title 18 of the United States Code. Employees and supervisors should iefer to chapter 5-10 of the Department's General Administration Manual for procedures 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 taken under this Part. When a statute applies specifically to a particular offense, either wholly or in part, the statute is cited. Neither the list of offenses nor the statutory citations are alFinclusive. The "Code of Ethics for Government Service" is not cited because of its general applicability but is published in its entirety in Appendix B.

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'leive, failure to adhere to the rules and regulations for requesting and obtaining leave, or improper use of sick leave.

Deliberate insubordination or refusal tO carry out lawful 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 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 eguipment when it is provided or ignoring signs, posted rules or regulations, or written or verbal safety instructions.

Unauthorized use, possession, or distribution of alcoholic beverages (5 U.S.C. 7352) or controlled substances (e.g., 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, (b1 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.

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

Deceit or inte*erence in a Civil Service examination (18 U.S.C. 1917) or in connection with a Government personnel action.

Fraud or false statements in a Government matter. (18 U.S.C. 1001 through 1003')

Supervisory failure to initiate disciplinary or corective action when the facts are known and disciplinary or corrective action is warranted.

Empioyment of a member of an organization that advooates the overthrow of our constitutional form of government. (5 U.S.C. 731 1; 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 attempted 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.)

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

Deliberate falsifying oi official time and attendance records; improper use of official travel or forging, counte*eiting, or othepise falsifying official Government travel records or documents. (18 U.S.C. 508.)

False record entries or false reports of money or securities. (18 U'S.C' 2073') Loss or misuse of or damage to Government property or endangering persons or

Government property through carelessness or by willful malicious conduct.

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

Misuse of penalty (postal) privilege. (18 U.S.C. 1719') Failure to iafegu-aiO administratively confidential, financial, and trade secrets information.

q

4.

o.

8.

o

7.

10.

11.

12.

13.

14.

15.

2.

4.

7.

8.

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].)

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 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 classified information, confidential, or security and investigative information. (1S 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. ViolationsoflBU.S.C.Chapterl'1:Bribery,Grafl,andConflictsoflnterest,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 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 c-onflicl 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 and209.)

c. Acting as the agent of a foreign principal registered under the Foreign Agents

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

2. Engaging, directly or indirectly, in a financial transaction as a result of or primarily 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 paythan 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.

S. Tb'aching, 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. Reprisentation before 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 any gratuity or share in any such claim in consideration for assistance given) or as an agent or ittorney for anyone before any department, agency, court, or otheruise in connection with any proceeding, application, request for a ruling, or claim on any other particular mafter in wfrlch tne UniteO St-ates is a paity or has a direct and substantial interest. (18 U.S'C' 205.)

(Note: This section notwithstandhg, an employee may, if not in-consistent with the performance of his or her official duties, act without compensation as an agent or attorney ior another person who is the subject of any disciplinary or other adminiskative proceeding or as an agenr or attorney for oneis 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,"

2. Activities prohibited by 18 U.S.C. Chapter29, including:

Section 594, "lntimidation of voters."

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 601, ,,Deprivation of employment or other beneflt 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.

1 . Commission of a prohibited personnel practice (as defined in 5 u.s.c. 23021b1u-111); that is, any employee who has authority to take, direct others to take, recommend, or approve any pLr"onnei action, shall not, wiih 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 uniess 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 abitity, aptitude, or general qualifications of such individual or (2) an evaluation of the Character, loyalty, or suitability of such individual'

c. Coerce the political activity of

-any person (including the providing of any political contribution or service) oriake 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 competition or the requirements for any position) for the purpose of improving or injuring the prospects of any particular person for employment'

g. Ai,point, 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. 3110) when the civilian position is in the Department or under his or her iurisdiction or control.

h. Take or fajl to take a personnel action with respect to any employee or applicant for employment as a reprisal for the laMul 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 fiil to take any personnel action when the taklng of or failure to take such action violates any law, rule, or regulation implementing, or directly concerning the merit system principles (as set forth in 5 U.S'C' 2301), [53 FR4410, Feb. 16, 1988]

Updated:2/15/13

STAi{DARDS OF ETHICAL CONDUCT

2635.101 Baslc oblig.tion of public servlce'

(a) pubtic sevice is I public husL Each employee has a responsibility to the United States Government and its iltizens to ptace toyalti to the Constitution, iams and ethical principles above ptivate gain. To ensure that every iitizen can'trave c6mpiete confidence in the intagdty of the Federsl Government, each employee shall respect 8nd adhere to ths principl;s of ethical co.dud set forth in this sedion, 8s wetl as the implemenling standards contained in this part and in supplemental agency requlations.

(b) Genemt ptnctPles. The tottowing general prlnciples apply to every employee and mayform-the basis for the standards contsined in this part. Wh€re a situation is not covered by the standards set tonh In lnls pan. emPpyoes shall apply the principles sei brth in this seaion in determining whether their conduc{ is proper'

(1) Public s€rvice is a public lrust, requiring employees to place loyalty to the constitution, he laws and elhical principles above private gain.

(2) Employe€s 6hall not hold tinancial interests that confllct with the conscientious performance ofduty.

(3) Employees shall not engage in fMnciallransac-tions uging nonpubl'rc Govemment informstion orallo , the improper use of sucft information to further any ptivale interest.

(4) An employee shall not, except as permitted by subpart B of this part. solicit or accept any gift or olher item of mirnetary vatire trom any persori or entity seekhi offiisl adion from, doing business with,. of conducling aclivities regulatei by the emptoyie's agerrcy, or itrose interests may be subsiaotially affeded by tt|e performance or nonperfomance of the emplo'€e's duties.

(5) Employees shai put forfh hone€t effod in the pelbmance of their dulies-

(6) Employees shall not knowingly make unaulhorized commitments or promises of any kind PurPorting lo bind ihe

Gorr€mmenl, O) Employees shall not use public offce for Private gain.

(8) Employees shallac-t impartially and not give pr€ferential lreatmsnt lo any private organization ot individual.

(9) Emptoyees ehall protect and conservE Fedoral property and shall not use it for other lhan authorized activities.

(10) Employees shall not ong8ge in outslde ernpbyment or activities, including seeking or negotiating for employmenl, that conflict with offdal Govemment dutaes and respon$Dll €s.

(11) Employees shall disdose waste, fraud, abu3e, and conuption to aPpropriate authoriiies'

(12) Employees shalt sstisfy in good faith their obligations as ciiizens, including alliust linancial obligations, especially ti'roie*iuch as feder€|, State, or local taxes---{hat are imposed by law.

(13) Employees shafl adhere to all laws and regulalions lhat provide equal oPportunily for 8ll Americans regardless of race, color, religion, ssx, national origin, age, or handicap.

( 14) Emptoyees shatl endeavor lo avoid any aclions creating the app€arance that lhey are violating lhe law or the itt ic"t itan'aaros set forth in this psrl. \Meiher partiarlar cirtumstan@s creale an aPpearanc€ that lhe law or the€e itand"rO" h"ve Ueen violsted sh;ll be determin;d ftom the perspective of a reasonable person with knowledge of the relevant facls,

(c) Rerated sf€tutos. ln additlon to the standards of ethical conducl set forth in this part, thero-8re conllicl of intet€st

;tatutes that Drohlbit cerlain conducl. Criminal conflicl of interest statules ofgeneral applicability to all employees, 18

U.S.C. 201, 203, 205, 208, and 209, are summarized in lhe appropriale cubparts o{ this.parl and must b€ taken.lnto consideration In determining wh€ther conduc{ is poper. Citatlons to other g€nsrally sppllcabla slaiute3..Ttaif 9 t9 emdoyee conduct are set forth in subpart I and employees are furthef cautioned thst lhere may De aoomonal staiutdry and regulatory reslrictions applicable to them gonsrally or as employoes o{ tholr sp3cmc agencles. Becauso an empioyce le bnsidired to be on notica of lhe requkements of any stalute, an employae shollld notrely upon any descriition or synopsis ofs statutory restrlc,tion, but should refar to the stlatute itsBlf snd obtaln ths advice ofsn agsnoy ethics otrclal as needed.

,{.&- DEPARTMf,NT OF IIEALTII & HUMAN SERVICES Public H€atth Seryice

Gr€at Plains Area Indian Heslth Selvice Foderal Building, Room 309 Aberdeen, SD 57401

U.S. DEPARTMENT OF HEALTH AND HUMAN SERY'CES

STA'VDARDS OF CONDUCT

STAA'DARDS OF ETHICAL CONDUCT

S'JPPLEMENTAL STATVDARDS OF ETHICAL CONDUCT

EM PLOYEE CERTIFICATIO N

I have b*n provided a copy of the IJ.S. Depaftment of Health and Human seryices standards of conduct regutations whlch apply to all lndian Health Servrce Ofticers and Employees (5 CFR Part 2635), I have been advised that the Aberdeen Area Oepity Emics Counselor is Acting HR Officer, Patricia Tomhave-Dodge who can be reached at ffi5'226'7553 if I have any questions-

I understand that it is my responsibility to read and familiarize myself with the rcgulatory contenb. t understand that I may discuss guestions or concems related to my responsibilities, conduct and financial interests with this individual or hislher designated rcpr*entative.

Employee Slgnature Date

PLEASE PRINT OR TYPE:

Employee Name:

Titlo:

Locatlon:

CODE OF FEDERAL REGULATIONS

TITLE 5

CHAPTER XLV - DEPARTMENT OF HEALTH AND HUI/IAN SERVICES

PART5501-suPPLEMENTALSTANDARDSoFETHIGALcoNDUcTFoREMPLoYEESoFTHE

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Sec.

5501.101 General.

5501j02 Deslgnation of HHS components as separate agencies'

SEO1.103 Glfts from federatty recognlzeO lndlan trlbes oiAlaska Natlve vlllages or reglonal or village corporations.

5501.104 proniuiteo financial interesis appllcable to employees ot the Food and Drug Administration'

550.1.105 Exemption tor otherwlse disquaiifying financial interests derived from Indian orAlaska Native birthrights.

5501.106 outsido employment and other outside activities'

5501.107 Teaching, speaking and writing by special Government employees in the Public Health Servlce'

550 1.108 Exception to the prohibition aglalnsiassisting in the prosecution of claims against' or actlng as an agent o..

",,orn"y-f"rorel the Govern;ent, applicable only to employees assigned to federally recognizeo indlan tribes or Alaska Native villages or regional or village corporations pursuant to the Intergovernmental Personnel Act'

5501 .109 prohibiled outsroe aiivlties appllcable to omployess of the National Institutes of Health-

SSO1.,l.1O prohibited financiaf inierests appttcable to se;ioiemployees of the N ational Inslitutes of H ealth'

5501.1 l1 Awards tendBred to emPloyees ofthe National lnstitutes of Health'

5501.112 One-year disqUalificatiOn oiemployees ofihe Nalional Institutes of Healthtrom certain matters involvlng an award donor.

AuTHoR|TY:5U.s.c.301,7301,7353;5U.s.c.App.(Eth|csinGovemmentAcloflgTS)i25U.S.c.

45ol(l'); 42 u.si. iro; i.o. ltr:att,- iq FR 15159' 3 cFR' 1989 comp' p' 215' as modifi€d by E.o-. 127gi,55FR42547,3 cFR"l990 comp'' p' 306; 5 CFR 2635'105'

2635.203, 2635.403' 2635.802' 2635.803' souRCE:61 FR 39763, July 30, 1996; 70 FR 5543, FebrusIv 3,2005; and 70 FR 51559' AugustSl'

2005; unless olherwiss noted.

5 5501,101 Genoral.

(a) Purpose. The regulations in this part apply to smployees of the Department of Health and Human

Services(HHS)ano"uppt"'entt.r'eStanoardsofEthica|conductforEmp|oyeesoftheExecutive Branch contained in 5 cFR itizass. ln addition to 5 CFR part2635 and this. part' employees are requlred to comply with imPlementing guidanca and procedures issued by HHS components in accordance with 5 CFR zOSS.IOS(c)' Employees are also subiect to the executive bran-ch-wide tinancial disclosure regutalions at b'Cfn pui zAs+, the Employee Respons ib-ilities and. conduct regulations at 5 CFR part 735' and the HH6 regulations regatding conduct at 45 cFR part 73'

(b) Appttcability. The regulations in this part apply to individu6ls who a re "em ployoes" within the meaning of 5 cFR 2635.102(h). rhe iegutations thus-apply to special Government employees, except to the exrent they are specificatty excLded from cerlain provislons, and to uniformed servics officers in the

Public Health Service Commissioned Corps on active duty'

5 CFR S 5501, Unofficial Compllation 8/31/05 Page 1 of 18

(c) Detinitions, unless a term ls otherwise defined in ihis part, the definltions set forth in 5 cFR parts

2635 and 2640 apply to ierms In thls part. In addition, for purposes of this part:

(1) Federatly recognlzad lndian tribe or Alaska Native village or regional or vlllage corporction msans any Indian tribe, bana, nation, or olher organlzed group or community' including any

Alaska Native village orregional or village corpofation as defined in or established pursuant to the Alaska Native Claims Settlement Act,43 U.S'C, 160l et seq" which ls recognized as eligible forthe special programs and services provided bythe United States to Indians bscause of their status as lndians.

(2|signiticanttyregutatodorganizatlonmeansanorganizationforwhichthgsa|esofproducts relulated uy tni Food anJ Drug Administratlon (FDA) constitute ten percent or moro of annual gross sales in the organizatioJs prevlous fiscal year; whgre an organization does not have a rscord of sales of FDi-regutated products, it will be deemed to be significantly regulated lf its operations aro predomina;tely in fields regulated by FoA' or if its research' development' or oiher buslness activities are reasonably expected to result in the development of products that are regulated bY FDA'

S 5501.102 Designation ofHHS comPonents as separate agencies'

(a) Separate agency componenls of HHS. Pursuant to 5 CFR 2635'203(a)' each of the lwelve component; of HHs listed below is dosignated as an agency separats from each,of the other eleven listei components and, lor employses of that component, as an agency distincl lrom the remainder of HHS. How6ver, tnE componlnts listed below are not deemed to be separate agencies for purposes of applying any piouision ol 5 CFR part 2635 of this part to employees of the remainder of

H HS:

(1) Adminlskation on Aging;

(2) Administtation for Children and Familios:

(3) Agency for Healthcare Research and Quality;

i+l Agency lor Toxic Subslances and Disease Registry;

(51 Centers for Disease Control and Prevention;

(6) Centers for Medicare and Medicaid Services:

(7', Food and Drug Administrationi

(s) Health Resources and Services Adminlstration;

(9) Indian H€alth Service;

(10) National Institutes ol Hsalth;

(1 1) Program SuPPort Csnler; and it Zi SuUltance nbuse and Mental Health Services Administration'

(b) Detinitions-

(1) Emptoyee of a component includes, in addition to employees actually within a component' an employee of the Office of the General Counsel whose regularly assigned duti€s and responsibitities princtpatly involve the provision of legal services to the re16vant component with respect to substantive programmatio issues' (2') Remalnder of nxs mea'i" umptoye"s in the Offica of the Secretary and staff Divlslons' employees of the Office of the General Counsel with Department-wide responsibility, and any

H H'S em ployee not In one of the 12 com ponents designated as seParate agencies In paragraph

(a) of this section.

(c) Applicabtlity of separate agency designations The deslgnations in paragraph (a) of this section idgntify an employee's'agency' for purposes of:

(1) Delermtning when p"r"on is a piohibited source within the meanlng of 5 cFR 2635.203(d)for purPoses oI aPPlYing:

Crn S SSOt. Unoftlclst Compllsllon Page 2 of l8

0)Theregu|ationsatsubpartBofscFRpart263Sgoverninggiftsfromoutsidesources:and Ail The regulatlons at S 5501 '1OO requiring prlor a pproval of outslde employment and other outslde aotlvities; and (iil) The regulations at S 5501.111 governing the receipt of awards by employees of the

National Instltutes of Health; and (2|oetermIningwhatherteaching.speak|ngorwritingrslatestotheemp|oyee,sofficiaIdutioswithin the meaning of 5 CFR 2635.807(aX2Xi).

g55o'.103Gl'ts']omf9der8||y.ecognEedlnd|anlribesorA|a6kaNat|vevi|lagosorrsg|ona|ol village corporatlons '

(a) Trlbal or Alaska Native gifts, In addition to the gifts whlch come within the exceptions set forth In 5 cFR 2635.204, and subjectto allprovistons of 5 cFR 2635.201 through 2635.205' an employee may acceptunso|icitedgiftsofnativgartwork,crafts,orotheritemsrepresgntativeoftraditionaInative cu|lurofromfedera||yrecognized|ndiantribesorA|askaNativevi||agesorregionaIorvi||age corporations, provided that tie aggregate mark6t value of individual gitts received from any one tribs o, ulll"gu under the authority of this paragraph shall not exceed $200 In a calendar year'

(b)Limitatjonsonuseofexception,|fth6donor|satribeorvi|lagethathasinterestslhst-maybe subsfantially affected by th€ performance or nonperformance of an smployeo's otficial duties' the employee may accept the giits authorlz€d by paragraph- (a) of this ssction only- whete there is a wfitten finding by tno agenci designee that acceptance of the gift is in the agency's inlerost and will not viofate any ot ttre limilations o; the use of exceptions contained in 5 cFR 2635.202(c).

S 5501.104 Prohiblted financial Interests aPpllcable to employees of ths Food and Orug

Adminlstiatlon.

(a)

(b)

Genel?ll prohibition. Except as Permitted by paragraph (b) ol thls section' no employea or spouse or minor child of an amployee, oiher than spuoiat Government employee or the spouse or minor child of a special Government employee, of lhe Food and D rug Adminlstration shall have a financial interest in a significantly regulated organizalion.

Exceptlons. Notwithstanding the prohibition in paragraph (a) ot this section:

(1) An emPloys€ or spouse or minor child of an employoe may have a flnancial interest' such.as p"n"ion'o, oiher emPloyee benefit, arising from emPloyment with a signlficantly regulatod organizalion.

NoTEToPARAGRAPH(bX1):FDAemp|oyeeswhofi|epub|icorconfidentia|.financ|al dlsclosure ,"pon" pror"ni io d cFR part 2634, as opposed to spouses and minor children of such employees, are generally prohiLiteo undsr S 5501'106(c)(3) from engaging in current employment with a signiflcanUy regulaled organization'

(2) An employee who is not required to file a publlc or confidential financial disclosure report pursuant io 5 CFR part 2634, or lhe sPous€ or minor child of such emPloyee' msy hold a iinancial interest in a significantly regulated organlzation if:

tit The total cost or value, measuied at the iime of acquisition' of the combined interests of the employoe and ths employee's spouse and minorchildren in the rggulated olganizalion is equal to or less than thl de mlnimis exemption limit for matters Involving parties estab|ished by 5 cFR 2640'202(a) or $15,000, wh|chever is greater (the phrase.time of acouisllion" sha mean thB date on which the employee actually acquired the financial

S Cf n S SSOt, Unotficlal Compllation tnterest-or on which the finanoial Interest became imputed to the employee undsr l8 U.S.C. 208-whelher by purchass, 9ift, bequest, marrlage, or otherwise' except that with respect to a flnancial Intersst thatwas acquired prlor to the employee's entranc,e on duty as an emp|oyee of the Food and Drug Administrat|on, the .time ol acquis|tion" sha|| be deem€d to be the date on which the employeo entered on duty);

(ii) The holdlng, if it represents an equity Interest, constitutes less than 1 percenl of the tolal outstanding equity of the organization; and (lil) The total holdlngsin significinfly regulat6d organizalons accou nt for less than 50 percent of the total vaiue of lhe combined investment portfollos of the employee and the employee's gpouse and minor chlldren'

(3) An emPloyee or spouse or minor child of an employeo may have an interest in a signiflcantly regulated organlzation that constitutes any interest in a publicly kaded or publicly. availablo inJeshent fund (e.g., a mutual fund), or a wid€ty held pension or simllar fund, which, in the litsraturs it distributes to prospectiv€ and current investors or partlclPants, does not Indicate the obloctiveorpracticeofconcen|ratingitslnvestmentsinsignificant|yr€gu|atedorganizat|ons, if tire employee neither exercises conirol nor has the ability to sxercise conlrol over the financial interests held in the tund'

(4) In cases involving excaptional clrcumstances, the Commlssion€r or the Commissioneds designee may grant a wriiten exception to permit an employee, or the spouse or m.inor chlld of an einptoyee, to trotd a financial Interest in a slgnificantly regulated organization based upon a detemination that the application of ths prohibitlon in paragraph (a) of this. section is not necessaryto ensuro public confidence In the impartiality or objectivlty with which HHS pfograms are administered or to avold a violation of part 2635 of this title'

NoTEToPARAGRAPH(b):w|threspecttoanyexceptedfinanci6|ints-rest,employessare romindedo'theirobIigationsunder5CFRpar|2635.andsPecifica||ytheirob|igation.undefsubpart Dofpart2635todisqua|ifythemse|vesfrompart|cipatinginanyparticu|armatterinwhichthey.thek

"pouse" orn.inorchildren have a financial int6r€st arising from publicly traded sscurilio-. that excseds the de minimis thresholds sPecified in the regulatory exemption at 5 CFR 2640 202 orJrom non-fubliclytraded securities thaiare not covered byths regulatory exemption. Furthermore, the agency may prohibit or restrict an individuat employeqfrom acquiring or holding any financial intersst or a clais offinancial inleregts based on the agency's determination that the inlerest creatss a substantial conflict with the employee's duti€s, within the moanlng of 5 CFR 2635'403'

(c) Repoding and divastilure. For purposos ol detormining the divestiture period specified in 5 CFR

2635.403(d), as apptied to finan;ial interests prohibited under paragraph (a) of this sectlon,.lhe "dat€ divsstaturo is first directed- means the dat6 on whlch the new entrant public or confidential financial disclosurs report required by part 2634 of fhis title or any report required by 5 5502'106(c) ot this cha pter i9 due.

s5501.105 Eremptlon forotherwise disqua llfylng tinanclal Interests derlved from Indlan orAlaska

Native birthrlghts.

(a)Under18U.s.c,2os(bx4).anemp|oyeewhootherwisewou|dbedisqua|ifiedmayparticipateina particu|armatterwheretheotherw.ise.disquatifyingfinancia|interestthatwou|dbeaffectedresu|ts solely from the interest of the employee, or lhs employe€'s spouse or minor ch.ild' in.birthrights:

if) 'tn "n

Indlan tribe, bano, naiion, or other organized group or community' including any Alaska

Natlve vlllago corporation as defined in orLstablished pursuant to lhe Alaska Nativa claims

Settlement Act, which is recognized as eligible lor the special programs and services provided by ths Unitsd States to Indlans because of their status as Indians:

5 CFR S 5501, U

PagB 4 of 18

(2) In an Indian allotment the title to which is held In trust by the United states or which is inalienable by the allottee without the consent of the United slates; or

(3) tn an Indian claims fund held In trust or admlnistered by tho U nited states'

(b) The exemplion describad in paragraph (a) of this soction appliss only itthe Particular m€tter does not involve the Indian allotmeni or c-laims iind or lhe Indian tribe' band' nation' organized group or community, or Alasl<a Native village corporation as a specific party or parties'

5 5501.106 Outslde employment and other outslde actlvities'

(a) Applicabitity. This section does not apply to gpeclal Governm€nt employees'

(b) Oefinitions. For purposos ofthis sectlon:

(1 ) Compansaitioi has the meaning 8et forth in 5 CFR 2635'807(a)(zxiii)' iri Coniultativa sorv/oes means th-e provlsion of personal sorvices by an employee' including the rendering of advico or consultatlon, which requires advanced knowledge in a field of science or learning cuslomarity acquireo uy a course of speciatize instruclion and study in an Institulion of higher -ducation' hospital, or other simllar facility'

(3)Professionalsevic""'""n"th"provisionofpersona|servicesbyanemp|oyee'includingthe Ienderingofadviceorconsu||ation,whichinvo|Vesthgskil|sofaprofessionasdefinedin5CFR 2636.305(bX1).

(c) Prohihited outside omployment and actlvlties-

(1) Prohibited """ot n"" ,'f,, preparatlon of grant.apptications or contrdct proposa/s' An employee shall not pro;ide "ontult"ti"" or prolessional services' for compensation' to or on b€ha|fofanyotherp"_'"ontoprepare'orassistinthepreparationof,any.grant.app|ication' contract proposal, p,ograt report' or other document intanded for submission to HHs'

(21 prohibfted "rptoyr",itin nis+unded activittes. An employee shall not, for compensation, engage in "tptoyt"nl, "" defined in 5 cFR 2635'603(a)' with respect to a Particular activlty funded by an HHS g;nf, contract, cooPerative agreement' €oope.rativs research and devglopmont agrgement, or other tunding mechanism authorized by statute'

(3) Prohlbited outsldo acliiiie's appticaAb to employees of the Food and Drug Administration' An emptoyee or tne rooi anJDi,ig nd.rnirtr"tion wh,o, is r€quired to file a public or confidential financial disclosure report pursuant to 5 CFR part 2634 shall not:

(i) Engage in tny .-"if-Lrnpfoy"d business activity for which the sal€ or promotion ol FDA- ' ' ,"gi.,t;'t"d products is expected to constitute ten percenl or more ot annual gross salss or reven ues; or

(li) Engage In employment' as defined in .5 CFR 2635'603(a)' whether or not for compensation, rriilh a signiflcantly regulated organization, as defined In s 5501 .1 01 (cX2), unless the employment moots eilher of the following exceptions:

(A) Ttre emptoi'meniconsists or the ptactice of medlcine dentistry' veterinary medicins' pnarmacy, nursing, or similar practices' provided that the employment does not involvo substanti-al unrelated. non-professional duties, such as personnel management' oontracting and Purchasing responsibilities (otherthan normal'ouGof-stock" requisitioning), and does not involve employment by a medlcal product manufacturer in the conduct of blomedical research; or

(B) The employment primarily involves manual or unskilled labor or utillzes talents' skills, or tnterests in areai unrslated to ihe substantive programmatic activiliss of the FDA, such as clerical work, retail sales' servica Industry iobs' building trades' mainlenance, or similar servicas'

(4) Prohlbited outside practice of law applicabte to attorneys in the office of the General counsel' s Cfn 5 ssOt, Unofficisl ComPllatlon 8t31t05 Pag€ 5 of 18

(i) An emPtoyee who serves as an attorney in or under the supervision of the Office of tha

GeneraIcounseIortheofficeofcounseItotheInspectorGeneraIsha||notenga96inany outslde practlce of law that might rsquire ths attorney to:

(A) A88en a lsgal position that is or appears to be in contlict with the interests of the

Departmenl of Health and Human services' the client to which the altorney owes a Professional resPon6ibility; or

(B) Intrt?c(Grlt etatuie; ragulation or rule adminislered or issu€d by the Departmont'

(ii) Eiceptions. Nothing In this section prav€nts an emnloVee. fr11'..-

(A) Acting, wilh or without compensatlon' as an agent or attorney lor' or- olnerwlse representlng, the employee's parents, spouse' child ' or any person for whom or for any…