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Assignment: Applying Ethical Decision-Making Models to Guerrilla Government
As mentioned in previous weeks, Cooper’s ethical decision-making model and Waldo’s Map of Ethical Obligations assist responsible public administrators in assessing and addressing the ethical dilemmas that they will confront during their careers. Public administrators must consider all underlying factors of a dilemma and the potential solutions in order to ensure the most proper outcome. Sometimes the chosen outcome may involve actions that serve to work against the wishes of superiors in the organization.
For this Assignment, review the case study in the text, “Guerrilla Government in EPA’s Seattle Regional Office.” Identify an ethical issue within this case study. Consider the competing obligations and responsibilities that these individuals faced and how they determined whether their actions were right. Also, think about the impact of guerrilla government on the political appointees, organization, and public policy.
The Assignment (3 page paper in APA format): Your paper should include the following:
•A description of the ethical issue you identified in the “Guerrilla Government in EPA’s Seattle Regional Office” case study
•A description of the issues the political appointees faced in this case and an explanation of federal ethics law violations
•An explanation of why you think the career employees were motivated to use guerrilla tactics as a solution despite the risks to their careers (e.g., competing obligations) and whether their choice of guerrilla action was ethical
•An explanation of how these actions affected the organization and public policy
•A description of the actions leaders within the EPA might have taken to manage guerrilla government and an explanation of how those actions might have changed the outcome of the situation
•An evaluation of the potential lessons for public administrators and the importance of these lessons
O’Leary, R. (2014). The ethics of dissent: Managing guerrilla government (2nd ed.). Washington, DC: CQ Press.
•Chapter 3, “Guerrilla Government in EPA’s Seattle Regional Office” •“Second Interlude: More Stories of Guerrilla Government”
https://bookshelf.vitalsource.com/books/9781483315461/epubcfi/6/20[;vnd.vst.idref=ch03]!/4/2@0:0
•Chapter 6, “Managing Guerrilla Government: Ethical Crusaders or Insubordinate Renegades?”
https://bookshelf.vitalsource.com/books/9781483315461/epubcfi/6/26[;vnd.vst.idref=ch06]!/4/2@0:0
United States Office of Government Ethics
https://www2.oge.gov/web/oge.nsf
An Ethics Pamphlet for
Executive Branch Employees
April
2
000
A
B
ri
e
f
W
ra
p
o
n
E
th
ic
s
2
3
Introduction T
his pamphlet provides a
brief overview of the
rules of ethical conduct
that all employees should know
and follow. The pamphlet
covers only the highlights of
these ethics rules which are
called “ethics” rules. It
answers everyday questions
and provides examples of
common situations that
employees face. It does not
describe each specific rule of
conduct or cover unusual
circumstances. If you have a
question that is not answered
here, you should discuss it with
your supervisor or with an
ethics official at your agency.
Public service is a public trust.
As Federal employees, each of
us must always place loyalty to
high ethical standards above
private gain. Understanding
and observing ethics rules is an
essential element in fulfilling
that trust.
April 2000
4
Contents
Fourteen Principles of Conduct
5
Gifts from Outside Sources
7
Gifts Between Employees
9
Conflicting Financial Interests
11
Impartiality in Performing Of ficial Duties
12
Seeking Other Employment
13
Misuse of Position
15
Outside Activities
17
Restrictions on Former Employees
19
Special Categories of Employees 20
5
(1) Public service is a public
trust, requiring employees to
place loyalty to the Constitution,
the laws and ethical principles
above private gain.
(2) Employees shall not hold
financial interests that conflict
with the conscientious perfor-
mance of duty.
(3) Employees shall not engage
in financial transactions using
nonpublic Government informa-
tion or allow the improper use of
such information to further any
private interest.
(4) An employee shall not, except
as permitted by the Standards of
Ethical Conduct, solicit or accept
any gift or other item of monetary
value from any person or entity
seeking official action from,
doing business with, or conduct-
ing activities regulated by the
employee’s agency, or whose
interests may be substantially
affected by the performance or
nonperformance of the
employee’s duties.
Fourteen Principles of Ethical Conduct
for Federal Employees
These principles form the basis for the standards of ethical conduct regulation (5 C.F.R. part 2
6
35) that is
discussed and illustrated by examples on the following pages. A violation of these rules could result in disciplin-
ary action or, for certain offenses, even prosecution under related criminal statutes on conflict of interest. So you
should become familiar with the rules, and talk to your agency ethics officials if you have any questions or need
more information. Your agency will also conduct periodic ethics training that may benefit you.
(5) Employees shall put forth
honest effort in the performance
of their duties.
(6) Employees shall not know-
ingly make unauthorized
commitments or promises of any
kind purporting to bind the
Government.
(7) Employees shall not use
public office for private gain.
(8) Employees shall act
impartially and not give
preferential treatment to any
private organization or individual.
(9) Employees shall protect and
conserve Federal property and
shall not use it for other than
authorized activities.
(10) Employees shall not engage
in outside employment or
activities, including seeking or
negotiating for employment, that
conflict with official Government
duties and responsibilities.
(11) Employees shall disclose
waste, fraud, abuse, and corrup-
tion to appropriate authorities.
(12) Employees shall satisfy in
good faith their obligations as
citizens, including all financial
obligations, especially those —
such as Federal, State, or local
taxes — that are imposed by law.
(13) Employees shall adhere to
all laws and regulations that
provide equal opportunity for all
Americans regardless of race,
color, religion, sex, national
origin, age, or handicap.
(14) Employees shall endeavor
to avoid any actions creating the
appearance that they are violating
the law or the ethical standards set
forth in the Standards of Ethical
Conduct. Whether particular
circumstances create an appear-
ance that the law or these
standards have been violated shall
be determined from the perspec-
tive of a reasonable person with
knowledge of the relevant facts.
(Executive Order 12674)
6
7
Gifts from
Outside
Sources
When can I accept a gift?
G
enerally, anything that
has monetary value is
considered a gift. With
some exceptions mentioned later,
you may not accept a gift from
anyone who is giving the gift to
you because of your Government
position. Ask yourself if the gift
would have been offered if you
were not working for the Govern-
ment. If the answer is no, then
the gift is being offered because
of your Government position and
you cannot accept it.
Also, you may not accept a gift
from people or organizations who
are “prohibited sources” –- those
who do business with, or seek to
do business with your agency,
who seek some official action by
your agency, or who have
activities regulated by your
agency. Gifts from these people
or groups are prohibited, whether
or not you deal with them when
doing your job. You must also
turn down a gift from those who
have interests that may be
significantly affected by your
official duties, as they are also
considered “prohibited sources.”
What about accepting a cup of
coffee?
A cup of coffee is all right. It is
such a modest refreshment that it
is not considered a gift. So you
may accept it without worrying
about who is
giving it or why.
Other inexpensive
food and
refreshment
items such as
donuts or
soda may also
be accepted. There are some
other items as well that are not
considered gifts, such as greeting
cards, and bank loans at com-
mercial rates, publicly available
discounts, certain contest prizes,
and things for which you pay fair
value. But remember that the
definition of a gift is very broad.
If you have a question about a
gift, ask your ethics official.
May I accept a lunch?
Meals are gifts. If the person
who wants to pay for your lunch
is a “prohibited source” or if the
meal is offered because of your
position, then the rule on not
accepting gifts applies. How-
ever, you may be able to accept a
lunch or other meal under an
exception for gifts valued at $
20
or less. But you may not go to
lunch on a frequent
basis as the guest
of the same
person,
because
there is a
8
dinners or other events that your
agency approves for you to
attend. All of the exceptions are
subject to certain limits and
some have conditions that must
be met. For example, you cannot
accept a gift for an official act,
because of a criminal statute
(18 USC 201). Before using an
exception, the best course to
follow is to ask your ethics
official about it. Your ethics
official can also tell you how you
may properly dispose of a gift
that you have received but are
not allowed to keep.
Some Things That May be
Accepted
• Alex may keep a pen worth
$15 that is given to him by
a person whose license
application he has
processed.
• Janine may accept a tennis
racket from her brother on
her birthday, even though he
works for a company that
does business with her
agency, as long as he,
not his company, paid for
the gift.
• Louise may accept two $8
tickets to a craft show that
are offered to her by a
company that has applied to
her agency for a grant.
$50 per year limit on gifts from
any one source.
Can the $20 exception be used
for any thing other than lunch?
Yes, but no cash! The $20
exception may be used to accept
any gift that is not worth more
than $20. If you don’t know the
actual value of an item, you may
make a reasonable estimate.
There are some other things you
should keep in mind before you
use the $20 exception. First, it
allows you to accept, but not to
ask for, something worth $20 or
less. Second, the rule allows you
to accept gifts worth $20 or less
on a single occasion. That means
if several gifts are given at the
same time, their total value
cannot exceed $20. Again
remember, there is a $50 per year
limit on gifts from the same
source.
There are other exceptions that
would allow you to accept (but
not to ask for) gifts, that would
otherwise be prohibited, such as
the “friends and family” excep-
tion for gifts based on personal
relationships. Other examples
are special discounts (such as
from your agency credit union),
gifts that result from an outside
job for you or your spouse when
they are not given because of
your Government position,
achievement awards, and certain
9
Gifts
Between
Employees
shared in the office among
several employees including
your boss, or you could bring
food to share. You can also
invite your boss to your home
for a meal or a party. If your
boss invites you to his or her
home, you can take the same
type of gift for your boss that
you would normally take to
anyone else’s home for a
similar occasion.
You may also give your boss
a gift on a special, infrequent
occasion of personal signifi-
cance, such as marriage,
illness, birth or adoption. And
you may give your boss a gift
on an occasion that ends your
employee-boss relationship,
such as retirement, resignation
or transfer.
For these special, infrequent
occasions, employees are also
allowed to ask for contribu-
tions of nominal amounts
from fellow employees on a
strictly voluntary basis for a
group gift.
Remember that gift giving is
strictly voluntary. A boss
may never pressure you to
give a gift or contribute to a
group gift.
What about gifts to the boss?
W
ith a few exceptions,
the general rule is
that you cannot give,
make a donation to, or ask for
contributions for, a gift to your
official superior. An official
superior includes your immediate
boss and anyone above your boss
in the chain of command in your
agency. Also, an employee
cannot accept a gift from another
employee who earns less pay,
unless the person giving the gift
is not a subordinate and the gift is
based on a strictly personal
relationship.
When can I give my boss a gift?
You may give your
boss a gift on an
occasion when gifts
are traditionally given
or exchanged,
such as a birthday
or Christmas, or
after a vacation
trip. At those
times, gifts
valued at $10 or
less – but not cash –
are permitted.
You may contribute a nominal
amount for food that will be
10
Some Gifts Permitted
Between Employees
• Nadia may collect small
voluntary contributions
from other persons in her
office in order to buy a cake
to celebrate the birthday
of her supervisor or a
co-worker.
• Clarissa may participate
in the exchange of gifts in
the office holiday grab bag
by buying and contributing
a tape cassette worth $10.
• Kailash may collect
contributions to purchase a
fishing rod and tackle box
for his boss when his boss
retires, and may suggest a
specific, but nominal
amount, provided that he
makes it clear to his co-
workers that they are free
to contribute less or nothing
at all.
• Ralph may bring a jar of
macadamia nuts to his boss
when he returns from his
vacation in Hawaii.
11
steps can be taken to prevent
the conflict. This might include
not working on the Government
matter, selling stocks, or
obtaining a special waiver
from your agency, if legally
permitted.
Some Conflicts to Avoid
• Rachel’s husband works
for a contractor that does
business with her agency
and receives a bonus,
based on the success of
the contract. Rachel may
not participate in the
evaluation of the
contractor’s performance
under the contract.
• Carlo is an officer in a
neighborhood improve-
ment organization that has
applied to his agency for a
rehab loan. Carlo may not
work on his agency’s
review of the organiza-
tion’s application.
• Helen’s husband owns a
janitorial service company
that does business with the
Government. Helen
cannot act on a proposal
by the company to provide
services to her agency.
Conflicting
Financial
Interests
Suppose I don’t own any
shares of stock. Do I still
have to think about financial
conflicts of interest?
Y
ou might. A federal
criminal law
(18 USC 208) says
that you cannot work on
Government matters that will
have an effect on your own
personal financial interests.
Stock in a company that would
be affected by your job is only
one example of something that
could give you such an interest.
For instance, you could not act
on something that would enable
you personally to share in some
grant or contract issued by the
Government, because you
would have a financial interest
in those matters.
You also must be concerned
about the financial interests of
your spouse, your minor
children, and outside persons or
businesses that employ you.
You should be concerned if
anything you are asked to work
on would affect them. Also, if
you are an officer or director in
an outside organization, you
may not act on a Government
matter that would affect that
organization. If you think you
do have a conflict, you should
discuss it with your supervisor
or your ethics official, so that
12
Some Situations
Where Fairness May
be Questioned
• Marvin’s handling of a
consumer complaint that
has been submitted to his
agency by his business
associate, or by a close
friend, would raise a
question about his
impartiality.
• After 20 years with the
same company, Pam
accepts a job with the
Government. For one year,
she should consider
whether her fairness would
be questioned if she were to
act on matters that specifi-
cally involve her former
employer.
• Roy’s work on an
investigation of a company
that is being represented by
his brother would raise a
question about his
impartiality.
• Susan should have
concerns about reviewing
grant applications to her
agency if one of the appli-
cants for a particular grant
is an outside organization
where her father serves on
the board of directors.
Impartiality
in Performing
Official Duties
What is meant by “improper
appearances” and “a lack of
impartiality?”
T
hink of it as a question of
fairness. Suppose you
went to a baseball game and
you found out that the umpire was
the uncle of a player on one of the
teams. Most people would say that
the umpire should not work that
game, because there would be a
strong appearance that he might
not make the calls fairly and
impartially.
A similar rule applies to you when
you are doing your job. You should
not act on a matter if a reasonable
person who knew the circum-
stances of the situation could
legitimately question your fairness.
For example, your fairness might
reasonably be questioned if you
were to work on a project that
could directly benefit a relative.
The rule lists a number of such
“covered relationships” with
people and organizations that
could pose a question of an
“improper appearance.”
If you have a situation that you
think might raise such a concern,
then you should talk to an ethics
official at your agency. He or she
will be able to tell you whether or
not there is an appearance problem
and give you advice on how to
deal with it.
13
Seeking
Other
Employment
These rules may apply to you
sooner than you think. Depend-
ing on the circumstances and the
type of prospective employer,
even sending out a letter and
resume could trigger the require-
ment under the Standards of
Conduct regulation that you
avoid working on any project
that could affect that prospective
employer. If you are actually
discussing a position with a
potential employer, you may be
restricted by a criminal statute
(18 USC 208) from working on
Government matters that affect
that employer.
Talk with an ethics official
before you look for a job,
whether full or part-time. He
or she can advise you about the
rules on seeking employment.
If you are thinking of looking
for a part-time job, your ethics
official can also tell you whether
or not your agency has specific
rules that apply to certain kinds
of outside employment or that
require you to obtain permission
before you take a part-time job.
The ethics official can also tell
you about those things you will
not be able to do for your new
employer.
Suppose I’m looking for a
part-time job to earn more
money. Is there any problem
with this?
N
o, but there are rules
that may apply to you
if you are looking for a
job, whether it is on a part-time
basis or whether you are
planning to leave the Govern-
ment for a full-time position.
First, you need to know whether
the person or company that you
are thinking about working for
could be affected by projects
and other matters you work on
for the Government. If the
prospective employer could not
be affected by the Government
project, then the rules do not
apply. If the project could affect
your prospective employer, then
you may need to stop working
on that project, before you begin
making any contacts with him.
14
Looking for a Job
• A company that is regulated
by Todd’s agency has asked
him if he would like to talk
about possible employment.
Unless he responds by rejecting
the invitation, Todd is seeking
employment with that company
and cannot work on Govern-
ment matters that would
affect it.
• Bernie has told a private
company that he needs some
more time to think about the
company’s job offer. As long as
the offer is pending, Bernie
cannot work on Government
matters that will affect that
company.
• Diane has written to the
personnel office of a company
that her agency regulates,
requesting only that they send
her a job application form.
She has not begun seeking
employment by simply asking
for an application, and she
may work on matters affecting
that company until she submits
the application.
• More than two months have
passed without a response of
any kind since Claudia sent an
unsolicited letter and resume
to a company that is a party to
a proceeding before her
agency. Because of this length
of time, Claudia is no longer
considered to be seeking
employment with the company.
15
business, and it might help
him if he knew about what’s
coming along. Can I tell him
about the project, without
discussing the specifications?
That depends on whether the
project itself is public informa-
tion. You cannot use (or allow
someone else to use) non-public
information to benefit yourself or
some other person. If informa-
tion about the project has not
been made known to the public
and is not authorized to be made
known upon request, then it is
nonpublic information and
cannot be disclosed. It makes no
difference that you heard about it
at the lunch table and not as a
result of your official duties. If
the fact that the agency is going
to pursue the project is public,
you can certainly make sure your
friend knows when the agency
publishes or makes available
information about the project.
May I use the photocopier at
work to make copies of a flyer
for a bake sale at my child’s
school?
No. You must conserve and
protect Government property
and you cannot use Government
property or allow its use, other
than for authorized purposes.
It makes no difference whether
you gain personally or whether
the group you are helping is
Misuse of
Position
Suppose a friend asks me
to help her with a complaint
that she made to my agency
about a problem that she is
having with a finance company.
Is it all right if I ask
the consumer affairs office
to act more quickly on
her problem?
Y
ou cannot use your
position with the
Government for your
own personal gain or for the
benefit of others. This includes
family, friends, neighbors, and
persons or organizations that you
are affiliated with outside the
Government. In this case, you
would be using the access you
have to the consumer affairs
office because of your Govern-
ment job to obtain special
treatment for your friend. You
may also be violating a criminal
law (18 USC 205) if you act as a
spokesperson on behalf of your
friend to any Federal agency.
But you could find out if there is
anyone who routinely takes calls
from the public about the status
of their complaints and provide
that information to your friend.
At lunch, some of my co-
workers were talking about
developing some specifications
for a project that my agency
will soon be putting out for
bids. A friend of mine works
for a company that is in the
16
Some Things That
Cannot Be Done with
Government Time,
Information and
Resources
• Ken cannot tell his
friend to sell his stock in a
company that Ken knows is
under investigation by his
agency, unless that
information is available to
the public.
• Joyce, who works as a
real estate broker in the
evenings and on weekends,
may not make or take calls
at her Government office
to or from potential real
estate clients.
• Ahmad cannot use
agency letterhead for a
letter of recommendation
for his brother-in-law for
a job with an office supply
company. Letters of
recommendation on
agency letterhead are
permitted only when
recommending someone
who worked for you in the
Federal Government or
who is seeking Federal
employment.
• An agency employee cannot
use her official title or refer
to her Government position
in a book jacket endorsement
of a novel that she likes or
in a newspaper’s review of
the book.
nonprofit. You may not use the
photocopying machine, or any
other Government property,
including supplies, computers,
telephones, mail, records or
Government vehicles for pur-
poses other than doing your job
(unless your agency has rules
permitting some types of inciden-
tal use).
Suppose my boss asks me to
help him do some work con-
nected with some outside
groups he belongs to. If I have
free time during the day, is that
something that I may do?
Official time at work is to be
used for the performance of
official duties. So the answer is
no, unless there is some other
specific authority which allows
you to use your time at work for
other purposes.
17
Outside
Activities
What about activities off the
job, on my own time?
ou cannot engage in
outside employment or
any outside activity if it
conflicts with your Government
job. It could be prohibited by a
law or regulation that applies to
your agency, or it might present a
conflict because the outside
activity would disqualify you
from performing a significant
amount of your Government
duties. Also, you should check
with your agency ethics official
to see whether or not you need
agency approval before you
engage in an outside activity.
Suppose I teach the course
on beginner swimming in the
physical education department
at the community college. Is
that alright?
There are restrictions that apply
to outside teaching, speaking and
writing. Generally, if the activity
relates to your official duties,
the rule is that you cannot be
paid for it. However, even
if the course does relate to
your work, there is an
exception for teaching a
course in the regular program
of certain educational institu-
tions that would allow you to
teach the community college
course.
If your Government job requires
you to deal with the community
college or in any way affects the
college’s financial interests, you
should check with your ethics
official first before you accept
the teaching position. And note
that high-ranking non-career
employees are subject to
additional restrictions on outside
earned income. Check with your
agency ethics official for those
rules.
What about fundraising?
There are rules that apply to
fundraising as a private indi-
vidual. Basically you can
engage in private fundraising
outside the workplace as long as
you do not ask for a contribution
from a subordinate or from
someone who is regulated by,
does business with, or seeks
official action by your agency,
or has interests that may be
substantially affected by you
when you do your job. Also,
you cannot use your title,
position, or authority, or Govern-
ment time or equipment, to
further the fundraising effort.
And you must avoid any action
that would violate any of the
other conduct rules. Fundraising
in your official capacity is highly
restricted by other laws and
rules, so you should always ask
your ethics official first before
engaging in that activity.
18
Some Things That Can and Can’t Be Done off the Job
• Carter’s agency requires
prior approval of outside
activities, including
service as an officer or
director of an organiza-
tion. With his agency’s
approval, Carter may
serve as an officer of an
association. Of course, he
may still have to disqualify
himself from working on
official matters that could
affect that association.
• Victoria may work as a
part-time salesperson with
a clothing store in the
local shopping center so
long as her official duties
do not affect the company
that owns the chain of
clothing stores.
• Yolanda may not use her
job title or position with a
Federal law enforcement
agency to raise funds for
the police officers’
association in her
county. But she could do
it on her own time, as a
private citizen and not in
a Government uniform.
• George, who processes
Medicare claims, may
not be paid for teaching
a one-day seminar for a
senior citizens’group on
the Medicare program
and how to fill out
Medicare claims.
• Ian works for the
Department of Agriculture.
Because of a criminal
statute (18 USC 205), he
cannot call the IRS on
behalf of a neighbor (even
if he will not be paid by
her), to ask for reduction of
a penalty assessed against
her for late payment.
19
wants you to do before you take
that job.
Some Things That Can
and Can’t Be Done After
Leaving a Government
Job
• Walter may accept a job
as a compliance officer
with a company that is
regulated by his former
agency. Walter may have
some limitations in commu-
nicating with his former
agency on his company’s
behalf. For example, if he
had served his former
agency as a “senior”
employee, he would be
restricted for one year from
any communication to that
agency, but he could help
his new employer “ behind
the scenes.”
• Rudolf may not represent
his new private employer in
a dispute with the Govern-
ment over a security
services contract that he
reviewed while working for
the Government.
• For two years, Zenia may
not represent her new
employer before her former
agency regarding investiga-
tions conducted by her
subordinates during her
last year of Government
service.
Restrictions
on Former
Employees
Suppose I take a job in the
private sector. Am I subject
to any rules after I leave the
Government?
T
here is a Federal statute
(18 USC 207) known as
the post-employment
law that applies to all former
employees after they leave the
Government. In general, this
law does not prohibit you from
working for any particular
employer. It may, however,
restrict the kinds of things that
you do for that employer,
depending on what you worked
on or were responsible for
when you were with the
Government. Some additional
rules apply to high-level
officials and employees who
were involved in procurement.
The ethics official of your
former Government agency is
available to provide more
specific guidance on these
restrictions and to answer any
specific questions that might
come up in your new employ-
ment, and you should contact
him or her in order to be sure
that you perform the duties of
your new employment in a
lawful manner. It is a good
idea to ask about these rules
when you are asking about
seeking employment. You
will want to know if you are
permitted to do the work your
prospective new employer
20
Special
Categories of
Employees
T
his pamphlet does not
describe how the rules
may apply differently
for “special Government
employees” (SGE), employees
involved with procurement,
senior officials, or non-career
political appointees. Employ-
ees who believe they fit within
one of these groups should ask
their agency ethics officials for
information on the ethics rules
that are specific to them.
The U.S. Office of Government Ethics
www.usoge.gov
