REFERENCES: 42 C.F.R, O.C.G.A et. seq.; ; et. seq.; and Governor's Executive Order - 1/13/03

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1 District 9-2, SEHD Effective Page 1 of 13 Policy STANDARDS OF CONDUCT AND ETHICS IN GOVERNMENT REFERENCES: 42 C.F.R, O.C.G.A et. seq.; ; et. seq.; and Governor's Executive Order - 1/13/03 All employees of the Southeast Health District (SEHD) are expected to maintain and exercise at all times the highest moral and ethical standards in carrying out their responsibilities and functions. Employees must conduct themselves in a manner that prevents all forms of impropriety, placement of self-interest above public interest, partiality, prejudice, threats, favoritism and undue influence. Employees must be alert in conducting business with employees and non-employees to avoid even the appearance of misconduct, personal or financial gain or conflict of interest. While performing agency duties, employees are required to comply with Federal and State laws, the Code of Ethics for Government Service (See Attachment #1), the Governor's Executive Order, dated January 13, 2003 (See Attachment #2), Rules of the State Personnel Board and Agency policies. In accordance with the Governor's Executive Order, procedures for requesting approval for expense reimbursement by outside organizations are attached. (See Attachment #3) (Section A) GENERAL PROVISIONS 1. Written guidelines that cover all phases of employee conduct are not possible. This policy provides general guidance and some specific examples, which establish a framework of principles to assist employees in performing their jobs in a professional manner. 2. The District Nursing and Clinical Director is designated the Ethics Officer for the SEHD. The Ethics Officer shall take appropriate measures to ensure that the Agency s employees become familiar with applicable ethics laws and policies. 3. In general, the Agency is not concerned as an employer with nonwork time of employees. Off-duty conduct becomes a legitimate concern, however, when it affects agency operations or reflects discredit on the Agency. Such off-duty conduct may result in appropriate disciplinary action up to and including separation from employment. 4. Employees shall afford all constituents fair and equal opportunity to express their concerns and ideas regarding state programs and policies without regard to their political affiliation, sophistication, or influence. Recommendations and decisions made by employees in the performance of their duties shall be made without bias.

2 District 9-2, SEHD Effective Page 2 of 13 Policy 5. Employees shall not advocate for or cause the advancement, appointment, employment, promotion, or transfer, of a relative to an office or position with an agency or with the Office of the Governor. Employees shall not participate in an action relating to the disciplining of a relative. 6. Employees shall continually monitor, evaluate and manage their personal, financial and professional affairs to ensure the absence of conflicts of interest and appearance of conflicts. 7. The Agency reserves the right to take appropriate disciplinary action, to decline to appoint or promote an applicant/employee, and to reassign an employee in order to avoid or eliminate the appearance of conflict of interest based on employee/employee, employee/client, patient or customer or other relationships. (Section B) CONFLICT OF INTEREST 1. A conflict of interest may exist where employees engage in activities which may financially or otherwise enhance themselves, their relatives or individuals with whom they are personally or financially involved as a result of knowledge, information or action taken in an official capacity as agency employees. All employees have a duty of trust to the State and its citizens, and no one is permitted to make an improper profit from the exercise of duties and responsibilities. 1.1 A conflict of interest may exist where no actual profit is made by the employee; the opportunity for profit or benefit alone may create the conflict. 1.2 No promise of restraint or waiver by the affected employee will be sufficient to avoid a conflict or the appearance of a conflict. 1.3 A conflict of interest may arise from a circumstance or situation, and not an activity. Its elements are the opportunity for enhancement by a transaction, and opportunity to influence that transaction as an employee. 2. A conflict of interest may also arise where an employee engages in an outside activity that, while not necessarily incompatible or inconsistent with official duties, nevertheless is or becomes so extensive that it interferes with the proper and full-time performance of official departmental duties. Decisions regarding the existence of a conflict and its remedy are to be made by an authorized official of the SEHD.

3 District 9-2, SEHD Effective Page 3 of 13 Policy 3. Employees are to make every effort to avoid even the appearance of a conflict of interest An appearance of conflict exists when a reasonable person would conclude from the circumstances that the employee's ability to protect the public interest, or perform public duties, is compromised by personal interests. 3.2 An appearance of conflict could exist even in the absence of a true conflict of interest. 4. Employees shall disqualify themselves from participation in any official proceeding in which impartiality might reasonably be questioned due to employees' personal or financial relationships with participants in the proceeding. A participant includes, but is not limited to, an owner, shareholder, partner, employee, or agent of a business entity involved in the proceeding. If the employee is uncertain whether the relationship justifies disqualification, then the employee shall disclose the relationship to the person presiding over the proceeding. The presiding officer shall determine the extent to which, if any, the employee will be permitted to participate. If the affected employee is the person presiding, then the vice chair or such other substitute presiding officer shall make the determination. 5. Employees shall not directly or indirectly ask, accept, demand, solicit, seek or receive a financial or other benefit for themselves or for others in return for being influenced in the discharge of their official responsibilities. (Section C) USE OF PRIVILEGED OR CONFIDENTIAL INFORMATION Many employees are exposed to privileged or confidential information through their knowledge of official plans and programs that may be of significant interest to the public. 1. Employees shall not knowingly use their positions in any manner that will result in financial or other benefit, directly or indirectly for themselves, their relatives, or individuals with whom they are personally or financially involved. 2. Privileged or confidential information (e.g., contract bids, certain financial, personnel or client information, etc.) is to be released only by authorized SEHD officials.

4 District 9-2, SEHD Effective Page 4 of 13 Policy 2.1 The release of any privileged or confidential information, financial or otherwise, is not authorized to any person who does not have a legitimate need to know. 2.2 Employees shall not disclose information gained in the course of, or by reason of, their official responsibilities in a way that would affect a personal financial interest for themselves, their relatives, or individuals with whom they are personally or financially involved. 3. Use of computers to obtain information concerning clients, patients, customers, other employees or third parties for non-workrelated reasons is prohibited. 4. SEHD is a covered entity under the Health Insurance Portability and Accountability Act of 1996 (HIPAA), which provides for the safeguarding of each individual s personal health information. In response to HIPAA, the federal Department of Health and Human Services has issued a Privacy Rule effective April 14, In accordance with the Privacy Rule and SEHD s Privacy Policies and Procedures, employees shall receive training on those SEHD Policies and Procedures relating to HIPAA s privacy requirements. The level of training individual employees receive will vary, depending on the individual s job responsibilities and his/her access to and involvement with personal health information. 4.2 As a part of this training, all employees shall read and sign the COUNTY BOARD OF HEALTH POLICY OF CONFIDENTIALITY form, which shall be placed in the individual s official personnel file. 4.3 Employees shall be responsible for obtaining and maintaining the appropriate level of awareness of and compliance with the Agency s Privacy Policies and Procedures. In addition to penalties prescribed by federal law, Privacy Policy violations may result in corrective or disciplinary action. (Section D) DISCLOSURE OF INFORMATION 1. All applicants/employees are required to disclose felony convictions on APPLICATIONS FOR EMPLOYMENT and convictions and/or pending charges on STATE SECURITY QUESTIONNAIRE / LOYALTY OATH Forms.

5 District 9-2, SEHD Effective Page 5 of 13 Policy 1.1 Falsification or misrepresentation of information, including criminal history, is prohibited and may result in an offer of employment being withdrawn from an applicant or separation of an employee. 1.2 Material falsification or misrepresentation of any information, including criminal history, will result in an offer of employment being withdrawn from an applicant or separation of an employee. NOTE: "Material" refers to information that directly influences and/or impacts the hiring decision based on records, credentials and/or qualifications. l.3 Applicants whose offer of employment is withdrawn or employees who are separated due to falsification or misrepresentation of information are not eligible for consideration for re-employment with SEHD for a minimum of six (6) months from the date of withdrawal or separation, whichever is applicable. 2. Employees are required to notify their supervisor or human resource/ personnel representative of any arrests and/or convictions within five calendar days of the date of arrest or conviction. A determination of appropriate action will be made on a case-by-case basis. (Section E) ACTIVITIES AND RELATIONSHIPS WITH NON- EMPLOYEES & ORGANIZATIONS 1. Employees must be alert in conducting business with nonemployees to avoid even the appearance of misconduct, personal or financial gain or conflict of interest. 2. Employees must report ownership or partial ownership of a company if the company in which the employee is part owner is doing business, or seeks a business relationship with SEHD/DHR, including any entity within SEHD/DHR. 3. Employees are prohibited from serving for compensation as a corporate officer or director of any for-profit or publicly held company. Voluntarily, pro bono services on behalf of non-profit organizations may be permitted, so long as services to such organizations would not have the potential to create a conflict and do not impair the employee s ability to discharge his or her public duties fully, faithfully, and impartially.

6 District 9-2, SEHD Effective Page 6 of 13 Policy 4. Employees are prohibited from membership on the Board of Directors of any organization with which the Department of Human Resources/SEHD contracts. 5. Employees are prohibited from accepting personal favors or benefits under circumstances that may influence or give the appearance of influencing their official activities. Such favors and benefits may not be accepted by employees on behalf of other individuals. 6. Employees are prohibited from involvement in official activities in which a client, patient or customer is a relative, or in-law. Employees are prohibited from involvement in official activities in which a client, patient or customer is a personal acquaintance when the relationship creates a conflict or perception of conflict of interest. 6.1 Employees are required to report such circumstances to their supervisors to avoid the appearance of giving unjustified preference or conflict of interest. 6.2 Employees are encouraged to discuss the above circumstances with their supervisors if there are any questions concerning relatives, in-laws or personal acquaintances. 7. Employees must conduct themselves in a positive and courteous manner at all times towards clients, patients and customers. Mistreatment of clients, patients or customers in any form is a matter of concern at all supervisory levels and will not be tolerated. Prohibited activities include, but are not limited to: 7.1 Obtaining alcohol or illegal drugs for or from clients, patients or customers; 7.2 A. Except as provided in paragraphs B and C below, accepting, directly or indirectly, any gift from any person with whom the employee interacts on official state business, including, without limitation, lobbyists and state vendors. If a gift has been accepted, it must be either returned to the donor or transferred to a charitable organization, and the SEHD Ethics Officer must be notified of the incident. B. Where appropriate for purposes of tradition, ceremony, or intergovernmental relations, or when acting as a representa-

7 District 9-2, SEHD Effective Page 7 of 13 Policy tive of the Agency, an employee may accept a gift on behalf of the Agency. If the gift retains value after its acceptance, the employee must: (a) maintain custody of the gift no longer than reasonably necessary to arrange for the transfer of custody of the gift to the Agency, or to a charitable organization on behalf of the Agency; (b) file a report with the designated Ethics Officer no later than 30 days after receipt of the gift containing a description of the gift, the approximate monetary value thereof, the name and address of the person making the gift, the date the gift was made, and the disposition of the gift. C. Items of minimal cost that employees receive (e.g. pencils, pens, coffee mugs, etc. received during attendance at a conference) are not considered gifts. Additionally, a meal is not considered a gift unless offered or provided by a contractor or potential contractor of the Agency. 7.3 Accepting any honoraria whatsoever; 7.4 Gambling, buying, selling, trading, borrowing or lending goods or money with clients, patients or customers; 7.5 Using relationships with, or clinical information obtained on, current or former clients, patients or customers to take unfair advantage of them, their relatives, friends or personal acquaintances; 7.6 Engaging in sexual relationships, physical sexual conduct, or inappropriate verbal sexual conduct with clients, patients or customers, or otherwise taking sexual advantage of them; and, 7.7 Engaging in rude, argumentative, hostile or otherwise unprofessional behavior toward clients, patients or customers. (Section F) CONDITIONS OF EMPLOYMENT Employees must comply with the conditions of employment specified in laws, rules, policies, Code of Ethics and the Governor's Executive Order referenced previously. Examples include but are not limited to: l. Dressing appropriately and presenting a neat and clean appearance. (See Section I)

8 District 9-2, SEHD Effective Page 8 of 13 Policy 2. Maintaining professional relationships with co-workers and supervisors. Maintaining a courteous, professional demeanor in the presence of clients, the general public, and other employees. Giving clear and accurate information in a professional manner. Using appropriate telephone courtesy. 3. Reporting for work on time. Observing appropriate call-in procedures for late arrival and/or absence. Observing provisions of the Fair Labor Standards Act. Observing policies on break and meal periods. Using work time for work-related activity. 4. Using leave appropriately, including submitting timely requests and providing documentation for use of leave when required. 5. Observing established policies on health, safety, security and sanitation. Notifying supervisors of circumstances or situations that present potential health hazards. 6. Complying with instructions from all supervisors and managers. (Section G) ACTIVITIES AND CONDUCT DURING WORKING HOURS 1. Employees are expected to maintain a professional and businesslike relationship with fellow employees. SEHD will not tolerate acts or threatened acts of violence in the workplace. Reports of threats or acts of violence will be thoroughly reviewed and appropriate action will be taken. Examples of prohibited behavior are: 1.1 Threatening, abusive, or profane language, behavior or written material; 1.2 Argumentative behavior, whether directed toward a supervisor, client, patient, customer, co-worker or any other party while on duty or while acting under color of office; 1.3 Fighting; 1.4 Unprofessional behavior such as sexual-related conversations, inappropriate touching of another employee (e.g., kissing, hugging, massaging, sitting on laps), racial or ethnic jokes and slurs, and other verbal or physical conduct of an offensive nature; and, 1.5 Intimate relationships between managers or supervisors and their subordinate staff members, through any line of

9 District 9-2, SEHD Effective Page 9 of 13 Policy authority, based on the significant potential for such relationships to present an actual or perceived conflict of interest. Employees who enter into such relationships are expected to notify higher management of the need for one or both of the employees in the relationship to be reassigned, so that a line relationship no longer exists between the employees. NOTE: Intimate relationships between co-workers are prohibited when the relationship has a demonstrated negative effect on the performance of either co-worker or the effective, efficient functioning of the work unit. 2. SEHD Employees are required to cooperate fully and truthfully and provide assistance with any type of investigation regarding alleged criminal or administrative misconduct or other personnel issues. This includes, but is not limited to, activities such as cooperating fully and truthfully in interviews, answering any and all questions related to the performance of official duties, producing requested documents or objects and/or polygraph examinations. Nevertheless, whenever a SEHD employee is interviewed by an agent or representative of the DHR Office of Investigative Services (OIS) concerning an allegation or allegations of criminal misconduct, such SEHD employee may not be disciplined or subject to an adverse personnel action for failure to answer questions or provide information concerning possible criminal conduct unless the employee has been given the Garrity v. New Jersey, 385 U. S. 493 (1967) warning. 3. Employees are not to engage in activities other than official business during working hours. Prohibited activities include, but are not limited to: 3.1 Lending or borrowing money (occasional voluntary loans of nominal value may be acceptable); 3.2 Gambling; 3.3 Conducting an outside business while on duty by any means of communication, such as wearing beepers, operating fax or copier machines, computers, telephones, etc.; 3.4 Being on call for other employment;

10 District 9-2, SEHD Effective Page 10 of 13 Policy 3.5 Soliciting, selling products or fund raising on the work premises for personal profit or for an organization unless specifically authorized (e.g., the State Charitable Contributions Program, personal events such as retirements); and, 3.6 Distributing advertisements, pamphlets, or similar literature or soliciting memberships. Training where products or services are sold is strongly discouraged. 4. Employees are not authorized to tape record conversations at work unless work-related and specifically approved by the supervisor of the organizational unit. 4.1 Supervisors are not to tape record conversations, meetings, etc. unless there is a specific work-related reason for doing so. 4.2 Supervisors should consult with the District Personnel Office prior to taping or authorizing the taping of conversations. 4.3 Certain individuals, such as DHR/SEHD investigators, due to the nature of their job, are authorized to tape record conversations when necessary and appropriate. 4.4 Grievance Hearings may be taped only by the authorized official(s) conducting the hearing. 5. Employees are prohibited from falsifying records (e.g., time cards, sign in/out sheets, case management and/or client, patient or customer records) or any other documents prepared during the course of business. Researchers are specifically prohibited from falsification, plagiarism, or other practices that seriously deviate from those practices that are commonly accepted within the research community for proposing, conducting, or reporting research - or any other research-related activity. See Attachment #4 for Procedures for Reporting and Investigating Allegations of Researcher Misconduct. 6. Employees are not authorized to carry weapons (e.g., knives, firearms or explosive devices) while at work. Exceptions include employees carrying firearms because it is related to their job and is specifically required as a condition of employment. 7. Possession or consumption of alcohol or illegal drugs; and/or reporting to work or being on duty with the presence of drugs or alcohol is prohibited.

11 District 9-2, SEHD Effective Page 11 of 13 Policy 8. In order to minimize interference with normal operations and to avoid potential hazards and liability for the Agency, visitors (e.g., children, other relatives, friends or acquaintances of employees) in the workplace during work hours are discouraged. Babysitting of children by employees while on duty is prohibited. Work units may establish specific prohibitions in accordance with workrelated needs. 9. Offices, workstations, and office furniture are State property and are reserved for work-related activities. If approved, employees may have personal items in the office or workstation, if suitable for the work area and reasonable. 9.1 Examples include family photographs; certificates; diplomas; and small, discreet, decorative or inspirational items intended for the comfort and enjoyment of the employee. 9.2 Such items must not be offensive or inflammatory, or otherwise inconsistent with the Agency's work setting. 9.3 Employees may be required to remove items determined to be inappropriate from work areas at any time. (Section H) USE OF STATE PROPERTY 1. Employees are responsible for reporting suspected criminal or administrative misconduct including fraud, waste, and abuse relating to any State program or operation. Negligent use and/or destruction of State property is prohibited. 2. Employees are not to use or permit the use of State property for other than official activities. 2.1 Voice mail and fax transmittals should convey professional, businesslike messages , Internet and other computer tools and equipment are provided to employees for work-related reasons. Use of the Internet for non-work related reasons is, however, permitted on a basis similar to that applied to local telephone calls on state telephones, i.e., the use is infrequent, of short duration, and does not interfere with work. This privilege may, however, be withdrawn if abused. The display or transmission of sexually oriented material is prohibited. Other prohibited uses include, but are not limited to, ethnic slurs, racial or other off-color jokes or remarks, game

12 District 9-2, SEHD Effective Page 12 of 13 Policy playing, or anything that may be considered harassment or expressing disrespect for others. 2.3 All information in state computers, including but not limited to transmittals, is subject to inspection by appropriate management at any time. No employee has a privacy interest in any information contained in a state computer. 3. State property includes but is not limited to: 3.1 Office equipment (e.g., computers, telephones, cellular phones, copiers, fax machines, etc.), 3.2 Automobiles, and 3.3 Supplies of all kinds. 4. Employees are prohibited from making or charging long-distance telephone calls to the Agency, unless work-related. Local telephone calls of infrequent, short duration may be permitted. This privilege may, however, be withdrawn if abused. 5. Employees are prohibited from using a state cellular phone for personal calls. (Section I) PERSONAL APPEARANCE DURING WORK HOURS 1. While the Agency does not specify a Department-wide dress code, employees are expected to be clean and neat in appearance at all times. As representatives of the State, employees should present a business-like, professional image. In certain types of jobs, employees may be asked to meet specific dress code standards or required to wear uniforms. Policies may be developed by SEHD organizational units as necessary or appropriate. 2. Designation of a periodic casual dress day in a SEHD organizational unit is permitted. Dress on a casual day may be less formal but should always be neat, clean and suitable for the workplace. If lettered or illustrated attire is worn, it should not promote a particular political, moral, religious, personal or other opinion. Attire that is obscene, vulgar, offensive or inflammatory is prohibited. 2.1 Employees can be required to change inappropriate dress or be instructed to not wear the same or similar dress in the future.

13 District 9-2, SEHD Effective Page 13 of 13 Policy 2.2 Decisions on the appropriateness of dress and the procedures to be followed will be made on a case-by-case basis by the supervisor or other authorized official of the organizational unit after consultation with the appropriate human resource/personnel representative and the District Personnel Office. Issues that will be considered include, but are not limited to: health and safety; client, patient or customer proximity; work function of the unit; and, complaints received. 3. Employees who do not comply with established dress code standards may be subject to disciplinary action, up to an including separation from employment. ********************************************************** ATTACHMENTS: Attachment #l - CODE OF ETHICS FOR GOVERNMENT SERVICE Attachment #2 - GOVERNOR'S EXECUTIVE ORDER - 1/13/03 Attachment #3 - PROCEDURES FOR PROCESSING REQUESTS FOR APPROVAL OF EXPENSE REIMBURSEMENT BY OUTSIDE ORGANIZATIONS Attachment #4 - PROCEDURES FOR REPORTING AND INVESTIGATING ALLEGATIONS OF RESEARCHER MISCONDUCT

14 Standards of Conduct and Policy #1201 Ethics in Government Attachment #1 Any person in government service should: CODE OF ETHICS FOR GOVERNMENT SERVICE I. Put loyalty to the highest moral principles and to country above loyalty to persons, party, or government department. II. III. IV. Uphold the Constitution, laws, and legal regulations of the United States and the State of Georgia and of all governments therein and never be a party to their evasion. Give a full day s labor for a full day s pay; giving to the performance of his duties his earnest effort and best thought. Seek to find and employ more efficient and economical ways of getting tasks accomplished. V. Never discriminate unfairly by the dispensing of special favors or privileges to anyone, whether for remuneration or not; and never accept, for himself or his family, favors or benefits under circumstances that might be construed by reasonable persons as influencing the performance of his governmental duties. VI. VII. VIII. IX. Make no private promises of any kind binding upon the duties of office, since a government employee has no private word that can be binding on public duty. Engage in no business with the government, either directly or indirectly, which is inconsistent with the conscientious performance of his governmental duties. Never use any information coming to him confidentially in the performance of governmental duties as a means for making private profit. Expose corruption wherever discovered. X. Uphold these principles, ever conscious that public office is a public trust. Authorized by Senate Resolution 25 Resolution Act 253 Approved April 10, 1968 Republished 6/15/01

15 Standards of Conduct and Policy #1201 Ethics in Government Attachment #2 BY THE GOVERNOR: THE STATE OF GEORGIA EXECUTIVE ORDER ESTABLISHING A CODE OF ETHICS FOR EXECUTIVE BRANCH OFFICERS AND EMPLOYEES WHEREAS: in order to maintain the public trust, it is essential that the government function in a manner consistent with the highest ethical standards; and WHEREAS: in carrying out their official duties and obligations, all officers and employees of state government must work solely for the public good, striving vigilantly to avoid even the appearance that their actions are motivated by private or personal interest; and WHEREAS: it is in the best interests of the State of Georgia that consistent policies on ethics be applied to all executive officers and employees; and WHEREAS: State employees should use their powers and resources to further the public interest and not for any financial or other personal benefit, other than salaried compensation and employer-provided benefits; WHEREAS: State employees must safeguard their ability to make objective, fair, and impartial decisions and therefore should not accept benefits of any sort under circumstances in which it could be inferred by a reasonable observer that the benefit was intended to influence a pending or future decision or to reward a past decision; and WHEREAS: State employees must avoid any conduct, whether in the context of business, financial, or social relationships, which might undermine the public trust, whether that conduct is unethical or lends itself to the appearance of ethical impropriety. NOW, THEREFORE, BY THE POWER VESTED IN ME AS GOVERNOR OF THE STATE OF GEORGIA, IT IS HEREBY ORDERED: That the Executive Order establishing an Ethics in Government Policy of January 29, 1999 is hereby RESCINDED and the following ethics policies are hereby adopted.

16 STANDARDS OF CONDUCT AND ETHICS IN GOVERNMENT (continued) Section I. Persons Subject to this Executive Order a. The following persons are subject to this Executive Order: i. All employees in the Governor's Office and the Office of the Governor. ii. The heads of all State agencies who are appointed by the Governor. iii. Any other employees of Executive Branch officials, departments, boards, bureaus, agencies, commissions, councils, authorities, corporations, entities or instrumentalities of any kind, and others as may be designated by the Governor, to the extent that such designation does not conflict with Georgia law. b. As used in this Order the term: (i) Agency means any Executive Branch department, board, bureau, agency, commission, council, authority, corporation, entity, or instrumentality of any kind, and others as may be designated by the Governor, to the extent that such designation does not conflict with Georgia law. (ii) Agency head means the executive head of an agency. (iii) Charitable organization shall have the meaning defined in O.C.G.A. Section (iii) Employee shall mean any employee in the Office of the Governor, including the Governor, and any employee of any agency as defined herein. (iv) Family member means a spouse, parent, grandparent, child, brother, sister, uncle, aunt, nephew, niece, first cousin, father-in-law, mother- in-law, son- in-law, daughter- in- law, brother- in- law, sister- in- law, stepparent, stepchild, stepbrother, stepsister, half brother, or half sister. (v) Gift means anything of value exceeding $25, including, but not limited to, food, lodging, transportation, personal services, gratuities, subscriptions, memberships, trips, loans, extensions of credit, forgiveness of debts, or advances or deposits of money. (vi) Lobbyist shall have the meaning defined in O.C.G.A. Section (6). (vii) Officer means the Governor and the heads of all State agencies who are appointed by the Governor. For purposes of this Order, all officers are also employees as that term is defined herein. (viii) Person means an individual, partnership, committee, association, corporation, labor organization, or any other organization or group of individuals. (ix) Value means the actual retail price or cost attributable to a gift, less applicable taxes and gratuities or a reasonable estimate based upon customary charges for like goods or services in the locality. A series of tickets to sporting, entertainment, or similar events shall be valued as one gift. Entrance fees,

17 STANDARDS OF CONDUCT AND ETHICS IN GOVERNMENT (continued) admission fees, or other tickets shall be valued at the face value of the ticket or fee, excluding any portion attributable to a charitable contribution, if provided by a charitable organization. Section 2. Ethics Officer a. Each agency, as well as the Office of the Governor, shall designate an Ethics Officer. The Ethics Officer shall take appropriate measures to ensure that the agency's employees become familiar with applicable ethics laws and policies, including the policies set forth in this Order. b. The Executive Counsel is hereby designated the Ethics Officer of the Office of the Governor. Section 3. Conflicts of Interest 1. An employee of the Executive Branch of the State shall make every effort to avoid even the appearance of a conflict of interest. An appearance of conflict exists when a reasonable person would conclude from the circumstances that the employee's ability to protect the public interest, or perform public duties, is compromised by personal interests. An appearance of conflict could exist even in the absence of a true conflict of interest. 2. An employee of the Executive Branch of the State shall recuse himself or herself from any proceeding in which the employee's impartiality might reasonably be questioned due to the employee's personal or financial relationship with a participant in the proceeding. A participant includes, but is not limited to, an owner, shareholder, partner, employee, or agent of a business entity involved in the proceeding. If the employee is uncertain whether the relationship justifies recusal, then the employee shall disclose the relationship to the person presiding over the proceeding. The presiding officer shall determine the extent to which, if any, the employee will be permitted to participate. If the affected employee is the person presiding, then the vice chair or such other substitute presiding officer shall make the determination. Section 4. Gifts i. Except as provided in paragraph ii below, no employee, nor any person on his or her behalf, shall accept, directly or indirectly, any gift from any person with whom the employee interacts on official state business, including, without limitation, lobbyists and state vendors. If a gift has been accepted, it must be either returned to the donor or transferred to a charitable organization. ii. Where appropriate for purposes of tradition, ceremony, or inter-governmental relations, or when acting as a representative of the Office of the Governor or an agency, an employee may accept a gift on behalf of an agency or the Office of the Governor. If the gift retains value after its acceptance, the employee must: (a) maintain custody of the gift no longer than reasonably necessary to arrange for the transfer of custody of the gift to the agency or Office of the Governor, or to a charitable organization on behalf of such agency or Office of the Governor; (b ) file a report with the designated Ethics Officer no later than 30 days after receipt of the gift containing a description of the gift, the approximate monetary value thereof, the name and address of the person making the gift, the date the gift was made, and the disposition of the gift.

18 STANDARDS OF CONDUCT AND ETHICS IN GOVERNMENT (continued) Section 5. Honoraria No employee may accept any honoraria whatsoever. Section 6. Expenses An employee on whose behalf actual and reasonable expenses for food, beverages, travel, lodging, and registration are paid to permit the employee's participation in a meeting related to official or professional duties of the employee shall file a report no later than the 30 days after such expenses are paid. The report shall be filed with the designated Ethics Officer. The report must contain a description of each expense, the monetary value thereof, the name and address of the person paying such expense, and the purpose, date, and location of the meeting. Notwithstanding this provision, the preferred practice is for agencies and not third parties to pay such expenses. Section 7. Nepotism An employee shall not advocate for or cause the advancement, appointment, employment, promotion, or transfer of a family member to an office or position with an agency or with the Office of the Governor. Section 8. Lobbying a. The use of lobbyists will not be required or preferred as a way to obtain access to employees. Employees will strongly encourage any lobbyist wishing to meet with the Governor or his staff regarding his or her client and/or principal to bring a principal of his or her client to such meeting. b. Former employees should not use their former positions for financial or other personal gain or to influence legislation or procurement decisions. Employees shall decline to communicate on official government matters with any lobbyist who was an officer within the preceding one-year period. c. No agency shall be permitted to contract with any person to provide lobbying, as that term is defined in O.C.G.A (5), services on behalf of that agency. d. Employees who promote or oppose the passage of any legislation by the General Assembly, or any committee thereof, shall coordinate all such activities with the Office of the Governor. Section 9. Judicial Appointments The following persons shall not be eligible for appointment by the Governor to fill a vacancy on the Supreme Court, the Court of Appeals, the superior courts, or the state courts: (a) any person who has made a contribution to, or expenditure on behalf of, the Governor or the Governor's campaign committee at any time after the vacancy occurs; or (b) any person who has made a contribution to, or expenditure on behalf of, the Governor or the Governor's campaign committee within the 30 days preceding the vacancy, unless

19 STANDARDS OF CONDUCT AND ETHICS IN GOVERNMENT (continued) such person requests and is granted a refund of such contribution or reimbursement of such expenditure. Section 10. Fair and Equal Access Employees are required to afford all constituents fair and equal opportunity to express their concerns and ideas regarding State programs and policies without regard to their political affiliation, sophistication, or affluence. Recommendations and decisions made by employees in the performance of their duties shall be made without bias. Section 11. Dual Employment/Board Service a. No employee shall serve for compensation as a corporate officer or director of any forprofit or publicly held company. Voluntary, pro bono services on behalf of non-profit organizations may be permitted, so long as services to such organizations would not have the potential to create a conflict and do not impair the employee's ability to discharge his or her public duties fully, faithfully, and impartially. b. No officer may have any ongoing dual employment. Section 12. Political Activities a. Employees wishing to take part in political activities are responsible for complying with applicable federal and state law. b. Employees are prohibited from soliciting or knowingly accepting any campaign contribution in a governmental building or office. Accept means to receive a contribution by personal hand-delivery from a contributor or his agent. This does not apply when a government-owned building or any portion thereof is rented for the specific purpose of holding a campaign fundraiser. c. Employees are permitted to express their opinions on political subjects and candidates and to take an active part in political campaigns outside of working hours, including the wearing of badges or buttons and displaying of bumper stickers and posters. Employees are encouraged to vote. d. Employees who wish to seek office must comply with applicable federal and state laws. Employees must notify the designated Ethics Officer prior to announcing or qualifying for any elected position or office. Section 13. Personal Use of Telephone and Internet Access a. Personal long-distance calls shall not be charged to State telephones. Employees must use their personal long-distance credit card or other personal resource for this purpose. It is also inappropriate to use a State cellular telephone for personal calls. b. State-provided internet access is intended for public business. Employee use of the

20 STANDARDS OF CONDUCT AND ETHICS IN GOVERNMENT (continued) internet may be recorded and monitored. No employee is permitted to use or access the internet for pornographic, obscene, or other improper purposes. Section 14. Miscellaneous There may be unique or compelling circumstances warranting exceptions to or waivers from these policies in certain individual cases. In those instances, prior written approval of the designated Ethics Officer is required. Section 15. Sanctions Each agency head shall make a copy of this Order available to all employees and shall institute procedures for its enforcement consistent with all applicable Georgia laws. Employees who violate this Order are subject to disciplinary action, including termination of employment, subject to review by the Executive Counsel. The agency head of each agency shall be responsible to the Office of the Governor for the faithful enforcement of this Order, and shall report all alleged violations to the Inspector General.

21 Policy #1201 Attachment #3 DHR Georgia Department of Human Resources 2 Peachtree Street, NW Suite Atlanta, Georgia / Jim Martin, Commissioner March 31, 2003 Memorandum To: From: Subject: Division/Office Directors Rosa Waymon, Director Office of Human Resource Management Expense Reimbursement by Outside Organizations On January 13, 2003, Governor Perdue issued an Executive Order establishing a Code of Ethics for Executive Branch Officers and Employees. The Order includes a requirement that an employee, on whose behalf actual and reasonable expenses for food, beverages, travel, lodging, and registration are paid to permit the employee s participation in a meeting related to official or professional duties of the employee, shall file a report with the DHR Ethics Officer no later than 30 days after such expenses are paid. The report must contain a description of each expense, the monetary value thereof, the name and address of the person paying such expense, and the purpose, date, and location of the meeting. This provision for reporting after the payment of expenses is applicable to situations in which the third party payer is a governmental agency. DHR will continue to require prior written approval when the third party payer is a nongovernmental organization. Prior written approval for such expense reimbursement must be obtained from the DHR Ethics Officer. Please ensure that employees in your organization are aware of these requirements and procedures for reporting and requesting approval of expense reimbursement by outside organizations. Questions may be directed to the Director of the Office of Human Resource Management/Ethics Officer at 404/ Attached is Form # for your use in obtaining approval of third party payment of expenses. An Equal Opportunity Employer

22 REQUEST FOR APPROVAL OF EXPENSE REIMBURSEMENT BY OUTSIDE ORGANIZATION This section is to be completed by the employee requesting approval. If this section is not filled out completely, the request may be returned to the employee for additional information. Name of Employee Division/Office Dates of Travel Destination [If traveling out of state, please submit this request along with your REQUEST FOR INTERSTATE TRAVEL] Purpose of trip/nature of services being provided: Name of organization providing reimbursement Does DHR have a contractor or vendor relationship with this organization? [State office contracts may be verified with the DHR Office of Financial Services - Procurement/Contracts Section] Nature of Reimbursement (actual expenses, per diem, etc.) Are you receiving an honorarium or other compensation? What is the nature of your relationship with the organization paying your expenses? Additional comments: Signature of Employee Date ***************************************************************************************** Determination of Authorizing Supervisor: Approved Denied Signature of Authorizing Supervisor Date Determination of Division/Office Director: Approved Denied Signature of Division/Office Director Date OHRM Recommendation: Approve Deny Signature of OHRM Director Date ***************************************************************************************** APPROVED Signature of DHR Commissioner Date ***************************************************************************************** Form # Published 04/01/03

23 Standards of Conduct and Policy #1201 Ethics in Government Attachment #4 Procedures for Reporting and Investigating Allegations of Researcher Misconduct (Reference 42 C.F.R. Sections ) Prepared by the Office of Technology and Support and the Office of Regulatory Services. Questions regarding these procedures should be directed to the Director of the Office of Regulatory Services at 404/ When anyone alleges that a DHR researcher has engaged in misconduct in any researchrelated activity, they make a report of the allegation to the Director of the Division or Office of the researcher s employment. Misconduct is defined as falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research - or any other research-related activity. It does not include honest error or honest differences in interpretations or judgments of data. At all times during the inquiry and any subsequent investigation, the privacy of involved individuals and the confidentiality of the information are safeguarded to the maximum extent possible. All appropriate efforts are made to restore the reputations of persons alleged to have engaged in misconduct when the allegations are not confirmed. Diligent efforts are made to protect the positions and reputations of those persons who, in good faith, make allegations. 1. Inquiry into the Allegation When the Director receives such an allegation, he or she designates an appropriate entity to inquire into the allegation. The inquiry is completed within 60 calendar days of its initiation unless circumstances warrant a longer period. If it takes longer, then the inquiry report contains documentation of the reasons for exceeding 60 days. The investigator reviews evidence, performs interviews and gathers any other information relevant to the allegation. The investigator writes a report that states what evidence was reviewed, summarizes relevant interviews and other information, and gives the conclusions of the inquiry. The individual(s) against whom the allegation was made are given a copy of report of inquiry. If they comment on the report, their comments become a part of the record of the inquiry. The Director decides whether or not an investigation is indicated. If there is no investigation, the Director notifies the person who made the allegation, the person being investigated, and the investigator. The report of the inquiry and any other related records are kept in the Director s office for a period of at least three years. 2. Responsibility for Notification The Director promptly notifies (within 24 hours) appropriate officials (including the Office of Research Integrity [ORI], in the National Institutes of Health [NIH], for research involving Public Health Service grants) when any of the following are found at any point in the inquiry or investigation: (Address: Office of Research Integrity, 5515 Security Lane, Suite 700, Rockville, MD Phone: ) -There is an immediate health hazard involved; Published 6/15/01 Page 1 of 2

24 Procedures for Reporting and Investigating Allegations of Researcher Misconduct (con t) -There is an immediate need to protect funds or equipment; -There is an immediate need to protect the interests of the person(s) making the allegation or of the person(s) who is the subject of the allegation as well as any co-investigators and associates; -It is probable that the alleged incident is going to be reported publicly; and, -There is a reasonable indication of possible criminal violation. If the Director decides to investigate the allegation, the appropriate officials are notified, including the following: -The ORI for research involving Public Health Service grants; -The DHR Institutional Review Board; and -The Director of DHR s Legal Services. Once the investigation is complete, the Director makes available the reports of the investigation and related documents to the appropriate officials and parties. 3. Investigation of the Allegation If the Director determines that an investigation is indicated, he or she secures the necessary and appropriate expertise to carry out a thorough and authoritative investigation of the evidence. The investigation begins within 30 days of the completion of the inquiry. The investigation normally includes examination of all documentation, including relevant research data and proposals, publications, correspondence, and memoranda of telephone calls. Whenever possible, interviews are conducted with all individuals involved who may have information regarding the allegations. The investigator prepares summaries of these interviews, provides them to the interviewed party for comment or revision, and includes these summaries as part of the investigation report. The investigation is completed within 120 days of its initiation, under usual circumstances. The final report describes the following: -Policies and procedures under which the investigation was conducted; -How and from whom information was obtained; -The interview summaries: -The findings; -The basis of the findings; and, -Any sanctions. If the investigation cannot be completed within 120 days, appropriate officials (the ORI in situations involving Public Health Service grants) are notified and extensions explained. 4. Outcome of the Investigation If the outcome of the investigations indicates misconduct on the part of the researcher, then the Director takes appropriate action. Appropriate sanctions are imposed on the persons for whom the allegations of misconduct were substantiated. ****************************** Published 6/15/01 Page 2 of 2