Request for Ethics Approval to Engage in Outside Employment and Activities (DI-7010)

FREQUENTLY ASKED QUESTIONS (FAQs)

For Employees                                       For Supervisors

 

A. FAQs for Employees Requesting Authorization

 
 

B. FAQs for Supervisors Reviewing an Employee's Request for Authorization

 
 

A. FAQs for Employees Requesting Authorization

 

 
Before engaging in an outside employment/activity, in a personal capacity, involving the provision of personal services (paid or unpaid) with a prohibited source.  This includes, but is not limited to, personal services as an officer, director, employee, agent, attorney, consultant, contractor, general partner, trustee, teacher, or speaker.  It also includes writing done under an arrangement with another person for production or publication of the written product.  
 
You do not need to submit a DI-7010 for participation in the activities of a nonprofit charitable, religious, professional, social, fraternal, educational, recreational, public service, or civic organization unless the participation involves the provision of professional services or advice for compensation other than reimbursement for actual expenses.
 
For USGS employees –  You must obtain written approval from the USGS Deputy Ethics Counselor before engaging in any outside employment in a personal capacity (see FAQ No. 10).  By policy, USGS has limited this to employment that relates to a USGS employee’s official duties or the USGS mission.  The nonprofit organization exception noted above also applies to USGS employees. 
 
 
Prior to beginning your outside employment/activity, you must submit the DI-7010 to, and receive approval from, the ethics team servicing your Bureau/Office.
 
 
Advanced approval is not required for any outside employment/activity with a person or entity that is not a “prohibited source.”  Additionally, advanced approval is not required if your outside activity is with a prohibited source that is a nonprofit charitable, religious, professional, social, fraternal, educational, recreational, public service, or civic organization unless the participation involves the provision of professional services or advice for compensation other than reimbursement for actual expenses.
 
For USGS employees – Unless the outside employment/activity relates to your USGS duties or the USGS mission, you do not require advanced approval.  The nonprofit organization exception noted above also applies to USGS employees.   
 
 
“Personal capacity” means an individual is not acting on behalf of the Government.  The individual is acting on their own time and using their own resources. 
 
“Official capacity” means the individual is carrying out their official duties and acting on behalf of the Government, typically their Bureau/Office or the Department.  The individual is acting on Government time, using Federal resources. 
 
 
“Employment” means any form of non-Federal business relationship involving the provision of personal services by the employee in a personal capacity, with or without compensation.  It includes, but is not limited to, personal services as an officer, director, employee, agent, attorney, consultant, contractor, general partner, trustee, teacher, or speaker.  It also includes writing done under an arrangement with another person for production or publication of the written product. 
 
It does not, however, include participation in the activities of a nonprofit charitable, religious, professional, social, fraternal, educational, recreational, public service, or civic organization unless the participation involves the provision of professional services or advice for compensation other than reimbursement for actual expenses.
 
 
The term “activity” is not defined separately from the term “employment” in the Department’s supplemental ethics regulations.  In application, however, these two terms are used interchangeably and mean any form of non-Federal business relationship involving the provision of personal services by the employee in a personal capacity, with or without compensation.  It includes, but is not limited to, personal services as an officer, director, employee, agent, attorney, consultant, contractor, general partner, trustee, teacher, or speaker.  It also includes writing done under an arrangement with another person for production or publication of the written product. 
 
It does not include participation in the activities of a nonprofit charitable, religious, professional, social, fraternal, educational, recreational, public service, or civic organization unless the participation involves the provision of professional services or advice for compensation other than reimbursement for actual expenses.
   
 
A prohibited source is any person, company, or organization that (a) is seeking official action by your “agency”; (b) does/seeks to do business with your “agency”; (c) conducts activities that are regulated by your “agency”; or (d) has interests that might be affected by the performance or nonperformance of your official duties.  It also includes an organization a majority of whose members are described in (a)-(d) (e.g., a trade organization).
 
The term “agency” means the Department in entirety, to include all Bureaus/Office or, if you are an employee of one of the separate agency components designated in the Department’s supplemental ethics regulations, that particular component.  The following eleven components of the Department are designated as separate agency components:  (1) Bureau of Indian Affairs (which includes the Bureau of Indian Education); (2) Bureau of Land Management; (3) Bureau of Reclamation; (4) Bureau of Ocean Energy Management; (5) Bureau of Safety and Environmental Energy; (6) National Indian Gaming Commission; (7) National Park Service; (8) Office of Surface Mining Reclamation and Enforcement; (9) Office of Special Trustee for American Indians; (10) U.S. Fish and Wildlife Service; and (11) U.S. Geological Survey. 
 
If you are not sure if a particular person, company or organization is a prohibited source for you, then contact the ethics team servicing your Bureau/Office for assistance.
 
 
In general, except for USGS employees, if your outside employment/activity is with a “prohibited source,” you must first complete the DI-7010 and then submit the form to your supervisor for their review and signature.  In the case of USGS employees, if your outside employment/activity relates to your USGS duties or the USGS mission, regardless of whether it is with a prohibited source, you also must complete the DI-7010 and then submit the form to your supervisor for their review and signature.  After the DI-7010 is signed by your supervisor, you should submit your form to the ethics team servicing your Bureau/Office.
 
You should include the following materials, to the extent they are available:
a. A copy of your official Bureau/Office or Department position description highlighting your major duties/functions; 
 
b. Documentation that describes the position you are proposing to accept (e.g., a vacancy announcement, a summary of expected responsibilities, articles of incorporation and bylaws if a board of director position, etc.); or
 
c. Any other relevant material, to include outside entity contact information/web address.
 
 
Due to the sensitive nature of the work USGS has historically performed, the USGS organic statute imposes additional restrictions on the outside activities of USGS employees.  The Department’s supplemental ethics regulations implement these providing that, notwithstanding the requirement for prior approval of outside employment with a prohibited source, USGS employees must obtain advanced written approval from the USGS Deputy Ethics Counselor before engaging in any outside “employment,” which by policy has been limited to “employment” that relates to a USGS employee’s official duties or the USGS mission.   
 
Please note, however, that the definition of “employment” does not include participation in the activities of a nonprofit charitable, religious, professional, social, fraternal, educational, recreational, public service, or civic organization unless the participation involves the provision of professional services or advice for compensation other than reimbursement for actual expenses. 
 
 
Yes, the following additional restrictions are applicable:
 
a. USGS employees are prohibited from executing surveys or examinations for private parties or corporations.  This restriction has been interpreted to also apply to private consulting to the extent it is related to an employee’s USGS job duties or the USGS mission.
 
b. BLM employees may not engage in outside employment as a real estate agent or realty specialist.  BLM employees are not required to cancel a real estate license but may maintain the license on an inactive basis.
 
c. AS-IA/BIA/BIE employees may not hold a position on a tribal election board or on a tribal school board which oversees BIA schools.  However, an eligible person employed in AS-IA/BIA/BIE may become a candidate for office in or be appointed as a representative of their local tribe so long as they have obtained prior approval from the Deputy Assistant Secretary for Indian Affairs. 
 
 
You should consider whether there is any relationship or overlap between the duties you will be performing in your outside employment/activity vis-à-vis the duties you perform in your Bureau/Office or Department position or the programs and functions of your Bureau/Office or the Department (e.g., consider all of your official assignments and projects).  You should also assess whether the outside person/entity has any interest in any official matter(s) involving your Bureau/Office or the Department in general taking into consideration the duties of your colleagues and others in your Bureau/Office or the Department (e.g., person/entity is regulated; has or seeks business; has or seeks a lease, permit, or other benefits, etc.).  
 
 
Compensation means wages, salaries, honoraria, commissions, professional fees and any other form of compensation (to include reimbursement) for personal services other than salary, benefits and allowances paid by the Federal Government. 
 
 
Generally, all outside employment/activity must be performed during off-duty hours or while on annual leave or leave without pay.  Unless authorized by law or regulations, official time can only be used to perform official duties.    
 
 
Employees are prohibited from using government equipment or resources except for purposes authorized by law or regulations.  In very limited circumstances, Departmental policy permits the personal use of government office equipment.  Please refer to 410 DM 2, Limited Personal Use of Government Office Equipment and Library Collections Policy, for information on the prohibited and permissible limited personal uses of Departmental equipment and resources. 
 
 
Yes, depending on the type of financial disclosure report your file and the amount you earned as noted below: 
 
a. OGE Form 278e Filers:  You must report the source of any non-Federal compensation that exceeded $200 during the reporting period.
 
b. OGE Form 450 Filers:  You must report the source of any non-Federal compensation that exceeded $1,000 in any reporting period.
 
 
Personal Capacity
 
Yes, provided your outside board/officer position does not conflict with your official duties.  An outside board/officer position will conflict with your official duties if it is prohibited by statute or regulation, or requires you to disqualify yourself from matters that are so central or critical functions of your official position that your ability to perform the duties of your position would be materially impaired.  Additionally, you may need prior approval from the ethics team servicing your Bureau/Office if your board/officer position is with a prohibited source or, if you are a USGS employee, relates to your USGS duties or the USGS mission (see FAQ No. 1).  Please note that if you are a financial disclosure report filer (OGE Form 450/278e), any outside position you hold in a personal capacity, including serving as a director/officer in an outside organization, must be reported on your OGE Form 450/278e.  
 
Official Capacity
 
Yes, in limited circumstances you may, but subject to approval through the Departmental Ethics Office.  If this is applicable to you, please contact the ethics team servicing your Bureau/Office.
 
 
Yes, in limited circumstances.  If this is applicable to you, please contact the ethics team servicing your Bureau/Office.
 
 
It depends.  You must receive advanced approval by the Department’s Designated Agency Ethics Officer if you intend to serve as an expert witness in a personal capacity, with or without compensation, in any proceeding before a Federal court or agency in which the United States is a party or has a direct and substantial interest, unless you intend to serve as an expert witness on behalf of the United States Government.  
 
Your intended testimony as an expert witness in your personal capacity must not otherwise be prohibited by federal ethics laws or regulations, and may also require advanced approval if a prohibited source is involved (see FAQ No. 1).
 
If you are ever asked to testify as an expert witness on a subject within the scope of your official duties, whether in a personal or official capacity, please be sure to consult with the Office of the Solicitor as your testimony may be subject to the Department’s Touhy regulations (43 C.F.R. Part 2, Subpart L).
 
Contact the ethics team servicing your Bureau/Office with any questions.
 
 
If a DI-7010 is required (see FAQ No. 1), and you start participating in your outside employment/activity before you receive an approved DI-7010, you may be subject to disciplinary or remedial action. 
 
 
You cannot start participating in your outside employment/activity unless and until your DI-7010 has been approved.  Please contact the servicing ethics team for your Bureau/Office if you need to discuss your particular circumstances.  
 
 
Please contact the servicing ethics team for your Bureau/Office.  Their contact information is located here. 
 

B. FAQs for Supervisors Reviewing an Employee's Request for Authorization

 
 
An employee under your supervision would like to engage in an outside employment/activity with a prohibited source (see FAQ No. 7) or, in the case of a USGS employee, that relates to their official USGS duties or the USGS mission.  As a result, and as required by the Department’s supplemental ethics regulations, the employee must obtain written authorization by the ethics team servicing your Bureau/Office before participating in the proposed outside employment/activity.  As the individual most familiar with the employee’s duties and responsibilities, your review and input is an important step in the Departmental Ethics Office’s assessment as to whether the proposed outside employment/activity would require the employee’s disqualification from matters so central or critical to the performance of their official duties that their ability to perform their job would be materially impaired.      
 
 
You should consider the following factors: 
 
a. Is the outside employment/activity with a person/organization that is a party, or representative of a party, to any official matter assigned to the employee (e.g., a contract, lease, audit, enforcement action, audit, inspection, litigation, etc.)?  
 
b. Does the employee work on any official matter that could potentially affect the financial interest of the person/organization involved (e.g., a policy, regulation, contract, lease, audit, enforcement action, audit, inspection, litigation, etc.)? 
 
c. Does the employee work on any official matter that could potentially affect the person’s/organization’s ability or willingness to hire or pay the employee in connection with the proposed outside employment/activity?  
 
d. Does the employee work on any official matter that might otherwise concern the person/organization involved?
 
e. What is the nature of the proposed outside employment/activity?
 
f. What will be the employee’s proposed duties for the person/entity involved?
 
g. Would the employee be prohibited from doing important aspects of their Bureau/Office job if this outside employment/activity is approved?
 
 
 
A prohibited source is any person, company, or organization that (a) is seeking official action by your “agency”; (b) does/seeks to do business with your “agency”; (c) conducts activities that are regulated by your “agency”; or (d) has interests that might be affected by the performance or nonperformance of your official duties.  It also includes an organization a majority of whose members are described in (a)-(d) (e.g., a trade organization).
 
The term “agency” means the Department in entirety, to include all Bureaus/Office or, if you are an employee of one of the separate agency components designated in the Department’s supplemental ethics regulations, that particular component.  The following eleven components of the Department are designated as separate agency components:  (1) Bureau of Indian Affairs (which includes the Bureau of Indian Education); (2) Bureau of Land Management; (3) Bureau of Reclamation; (4) Bureau of Ocean Energy Management; (5) Bureau of Safety and Environmental Energy; (6) National Indian Gaming Commission; (7) National Park Service; (8) Office of Surface Mining Reclamation and Enforcement; (9) Office of Special Trustee for American Indians; (10) U.S. Fish and Wildlife Service; and (11) U.S. Geological Survey.
 
 
You should contact the ethics team servicing your Bureau/Office for further guidance. 
 
 
You should discuss the matter with the employee.  If you still believe that the outside employment/activity should be performed as a part of the employee’s official duties, you should contact the ethics team servicing your Bureau/Office for further guidance.
 
 
Inform the employee that, if they are still participating in the outside employment and activity that was previously approved, that they must submit a new DI-7010.  The Department’s supplemental ethics regulations require employees to submit a revised request for approval whenever there is a significant change in (1) the nature of their outside employment/activity; or (2) their official position.
 
 
You should discuss the matter with the employee.  If after the discussion you still have concerns, you should recommend disapproval.  You may also separately contact the ethics team serving your Bureau/Office to raise your concerns.  
 
 
You should consider the following factors:
 
a. USGS employees are prohibited from executing surveys or examinations for private parties or corporations.  This restriction has been interpreted to also apply to private consulting to the extent it is related to an employee’s job duties or the USGS mission.
 
b. BLM employees may not engage in outside employment as a real estate agent or a realty specialist.  BLM employees are not required to cancel a real estate license but may maintain the license on an inactive basis.
 
c. AS-IA/BIA/BIE employees may not hold a position on a tribal election board or on a tribal school board which oversees BIA schools.  However, an eligible person employed in AS-IA/BIA/BIE may become a candidate for office in or be appointed as a representative of their local tribe so long as they have obtained prior approval from the Deputy Assistant Secretary for Indian Affairs.
 
 
Please contact the servicing ethics team for your Bureau/Office.  Their contact information is located here. 

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