Ethics

Public service is a public trust.

Governors

Governors Ethics

Postal Service Governors are considered to be “special government employees” (SGE). An SGE is an officer or employee “who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed one hundred and thirty days during any period of three hundred and sixty-five consecutive days.” 18 U.S.C. § 202. Congress created the SGE category in 1962 to allow the Federal government to obtain the expertise it needs, while allowing those experts to continue their private professional lives. As a result, some of the ethics statutes and regulations apply differently to SGEs than they do to regular executive branch employees, and some provisions do not apply at all. If a Governor no longer qualifies as an SGE by regularly exceeding 130 days of service in a 365-day period, then the ethics statutes and regulations will apply to the Governor in the same manner as they apply to regular employees.

Below is a synopsis of the ethics statutes, regulations, and provisions that are most pertinent to Postal Service Governors.

United States Constitution

Emoluments Clause of the United States Constitution, Article I, § 9, cl. 8

This provision applies to Governors in the same manner that it applies to regular employees. A Governor is prohibited from receiving payments from a foreign government, or a political subdivision of a foreign government, including a public university or commercial enterprise owned or operated by a foreign government, even if such payments are related to the Governor’s outside employment. This prohibition does not apply to a foreign privately-owned corporation or an international organization.

Criminal Statutes

This statute applies to Governors in the same manner that it applies to regular employees. A Governor is prohibited from soliciting or accepting bribes or anything of value from anyone in connection with his or her service on the Postal Service Board of Governors.

A regular employee is prohibited from representing a person or business entity, with or without compensation, before the Federal Government under 18 U.S.C. § 203 and 18 U.S.C. § 205. A Governor that serves 60 days or less is only prohibited from outside representational activities before the Federal government about matters that he or she personally participated in as a Governor. A Governor that serves more than 60 days has an additional restriction from participating in any outside representational activities before the Postal Service. If a Governor no longer meets the definition of an SGE, these statutes will apply to the Governor in the same manner that they apply to regular employees.

18 U.S.C. § 207 (a)(1) (Permanent Bar)

This section of the statute applies to Governors in the same manner that it applies to regular employees. Under this provision, a Governor is prohibited from communicating, interfacing, or meeting with the Federal government or the Postal Service on behalf of a business entity about a postal contract, agreement, pilot project, or initiative involving that business entity that the Governor personally and substantially participated in a postal capacity for the lifetime of that contract, agreement, pilot project, or initiative.

18 U.S.C. § 207 (a)(2) (Two-Year Bar)

This section of the statute applies to Governors in the same manner that it applies to regular employees. Under this provision, a Governor is prohibited for two years after his or her service as a Governor ends from communicating, interfacing, or meeting with the Federal government or the Postal Service on behalf of a business entity about a postal contract, agreement, pilot project, or initiative involving that business entity that was under the Governor’s supervision during the last twelve months of his or her service as a Governor.

18 U.S.C. § 207 (c) (One-Year Bar) and 18 U.S.C. § 207 (f) (Permanent Bar)

These sections of the statute do not apply to Governors because the salary threshold for a senior employee is not met.

This statute applies to Governors in the same manner that it applies to regular employees. Under this statute, a Governor is prohibited from voting on or deciding on a postal contract, pilot project, initiative, or agreement if it would affect the Governor’s financial interests or the financial interests of the Governor’s spouse, minor child, general partner, any organization in which the Governor is serving as an officer, director, trustee, general partner, or employee, or any organization with which the Governor is negotiating or has any arrangement concerning prospective employment.

This statute does not apply to a Governor as long as he or she continues to meet the definition of an SGE.

This statute applies to Governors in the same manner that it applies to regular employees, except that SGEs may qualify for an exemption. A Governor is prohibited from serving as an agent of a foreign principal registered under the Foreign Agents Registration Act, unless the Postal Service certifies that this employment is in the national interest.

This statute applies to Governors in the same manner that it applies to regular employees. A Governor is prohibited from engaging in grassroots lobbying activities while on duty or using postal funds for such purpose. For example, a Governor could not use postal funds to urge private citizens to communicate with Congress about an issue.

Other Statutes

This statute applies to Governors in the same manner that it applies to regular employees. A Governor is prohibited from employing, promoting, or advancing a relative in the Postal Service. A Governor is also prohibited from advocating for the employment, promotion, or advancement of a relative in the Postal Service.

For Governors who serve fewer than 130 days in a 365-day period (and therefore meet the definition of SGEs), this statute applies only while on duty, on postal property, or in a postal vehicle. Specifically, a Governor may not engage in partisan political activity while he or she is on duty, in a postal building, on Federal government property, or in a postal vehicle. If a Governor no longer meets the definition of an SGE, the statue will apply to the Governor in the same manner that it applies to regular employees.

Standards of Ethical Conduct for Employees of the Executive Branch

Standards of Ethical Conduct for Employees of the United States Postal Service

These regulations apply to Governors in the same manner that they apply to regular employees. A Governor is prohibited from soliciting or coercing a gift from a postal customer, vendor, or supplier. A Governor is also generally prohibited from accepting a gift from a postal customer, vendor, or supplier given because of the Governor’s official postal position. There are several exceptions to this provision.

These regulations apply to Governors in the same manner that they apply to regular employees. A Governor is generally prohibited from giving a gift to a higher paid postal employee. Likewise, a Governor is generally prohibited from receiving a gift from a subordinate employee. There are several exceptions to this provision.

These regulations apply to Governors in the same manner that they apply to regular employees. A Governor may not vote on or decide on a postal contract, agreement, pilot project, or initiative involving a business entity if it would affect the financial interests of a household member or if any of the following individuals own the business entity or represent the business entity:

  • A household member;
  • A close relative;
  • An organization (other than a political party) in which the Governor is an active participant;
  • The employer, future employer, or business partner of the Governor’s parent, spouse, or dependent child;
  • A former employer or business partner (within the last year);
  • A person with whom the Governor has or seeks a business relationship

The test is whether a reasonable person would question a Governor’s ability to remain impartial due to the relationship implicated here.

These regulations apply to Governors in the same manner that they apply to regular employees. A Governor is prohibited from voting on or deciding on a contract, agreement, initiative, pilot project, or other matter if it would affect the financial interests of any organization with which the Governor is negotiating or has any arrangement concerning prospective employment.

These regulations apply to Governors in the same manner that they apply to regular employees. A Governor is prohibited from using his or her postal position for his or her own private gain or for the private gain of friends, relatives, or anyone with whom the Governor is affiliated outside of the Postal Service.

A Governor is prohibited from using confidential, nonpublic postal information to engage in a financial transaction. A Governor is also prohibited from allowing someone else to use confidential, nonpublic postal information to engage in a financial transaction. A Governor may not make any unauthorized disclosure of such information. “Nonpublic postal information” is any information gained through postal employment which has not been made available to the general public.

A Governor must use postal property, including postal vehicles, only for official postal business.

While on duty, a Governor’s time should only be spent on postal business. A Governor may not encourage, direct, or request a subordinate postal employee to use postal time to perform activities other than postal duties.

Some of the below provisions apply differently to SGEs than regular employees.

This regulation applies to Governors in a more limited fashion than it applies to regular employees. Regular employees are prohibited from serving as expert witnesses, other than on behalf of the government, in any proceeding in which the United States is a party or has a substantial interest. 5 C.F.R. § 2635.805. A Governor is prohibited from serving as an expert witness, other than on behalf of the government, in any proceeding concerning matters in which he or she has personally participated in an official capacity, or in which the Postal Service is a party or has a substantial interest. If a Governor no longer meets the definition of an SGE, this regulation will apply to the Governor in the same manner that it applies to regular employees.

A regular employee is generally prohibited from receiving outside compensation to teach, speak, or write about subject matter related to the employee’s postal duties. This regulation applies to Governors in a more limited fashion than it applies to regular employees. Unlike a regular employee, a Governor may receive outside compensation for teaching, speaking, and writing opportunities involving general postal subject matter, and ongoing or announced postal policy, programs, or operations. A Governor that serves 60 days or less is restricted from receiving outside compensation for teaching, speaking, or writing about matters involving an outside party in which the Governor personally participated. If a Governor serves more than 60 days, there is an additional restriction from receiving compensation from an outside source about any matter that could come before the Governor. If a Governor no longer meets the definition of an SGE, this regulation will apply to the Governor in the same manner that it applies to regular employees.

With regard to charitable fundraising in an official capacity, this regulation applies to Governors in the same manner as it does to regular employees. A Governor may participate in fundraising while on official duty only if the fundraising is done in accordance with a statute, Executive Order, regulation, or otherwise as determined by the Postal Service. Generally, the only permissible fundraising in which an individual employee may engage while on official duty is in accordance with the Combined Federal Campaign.

With regard to charitable fundraising in a personal capacity, this regulation applies to Governors in a more limited fashion than it applies to regular employees. A Governor may not use his or her official title, position, or authority in connection with any personal fundraising activity. A Governor also may not solicit funds from any subordinate employee for any personal fundraising activity. Unlike regular employees, who are prohibited from soliciting from any person or organization known to the employee to be a "prohibited source" under the gifts provisions in the Standards of Conduct, a Governor may not personally solicit funds from a person or organization whose interests may be affected substantially by the performance of the Governor’s official duties. If a Governor no longer meets the definition of an SGE, this regulation will apply to the Governor in the same manner that it applies to regular employees. This means that the Governor would be prohibited from soliciting funds from a person or entity doing business with the Postal Service, seeking to do business with the Postal Service, or substantially affected by the performance or nonperformance of the Governor’s postal duties.

Supplemental Standards of Ethical Conduct for Employees of the United States Postal Service

5 C.F.R. § 7001

These regulations apply to Governors in the same manner that they apply to regular employees. The regulations also contain particular provisions that only apply to Governors.

A Governor may not be employed by or engage in business activities with any person or business entity that:

  • Owns a mail transportation contract to L’Enfant Plaza or postal facility that has the same first three digits of its ZIP code as the ZIP code 20260;
  • Has a contract with the Postal Service and is seeking advice about postal operations and procedures;
  • Operates a commercial mail receiving agency registered with the Postal Service; or
  • Delivers mailable matter (e.g., FedEx, UPS, Amazon, DHL)

A Governor may not engage in sales activity while on postal property.

A Governor may not own a mail delivery contract. A Governor may not serve as an agent to someone who owns a mail delivery contract.

A Governor, his or her spouse, and his or her minor children also may not own any financial interest in a postal competitor (e.g., FedEx, UPS, Amazon, DHL) or in a publicly-traded entity engaged primarily in the business of leasing real property to the Postal Service (“postal lessor”).

If a Governor has investment authority over an entity in which he or she serves as an officer, director, trustee, general partner, or employee of the entity, the Governor also may not exercise that authority to purchase or maintain a financial interest in a postal competitor or postal lessor.

Financial Disclosure

All Governors are required to file a financial disclosure report each year. Financial disclosure reporting helps the Postal Service to identify any possible financial conflicts of interest. Each Governor will be notified in advance of when to file as well as which report to file.

Helpful Resources

The Postal Service’s Ethics and Legal Compliance Team:

Ethics Helpline: (202) 268-6346
Ethics Email: ethics.help@usps.gov

The Office of Government Ethics’ Website (The agency responsible for the Standards of Ethical Conduct for Employees of the Executive Branch)

The Office of Special Counsel’s Website (The agency responsible for investigating and enforcing Hatch Act violations)

The Postal Service’s Office of Inspector General (The agency responsible for investigating employee internal waste, fraud, and abuse)

The Postal Service’s Inspection Service (The agency responsible for investigating mail theft and other postal-related crimes committed by customers)