USGS Ethics Team

Forms

Most forms are available on https://www.doi.gov/ethics/forms

If you need assistance with a form, please email EthicsOfficeUSGS@sol.doi.gov.  Please include the form number in the title of the e-mail.  

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

DI-1958 (Authorization for Free Attendance at a Widely Attended Gathering “WAG”)

DI-2000 (Authorization for Acceptance of Travel Expenses from Non-Federal Sources)

DI-1175 (Foreign Travel Certification) Authorization for Acceptance of Travel Expenses from Non-Federal Sources-Foreign Travel)*

9-1909 (USGS Employee Financial Interests Certification)

9-3089 (Contribution Information and Approval*

9-3090 (Grant Funds-In Award)

9-3142 (Conflict of Interest)*

9-3113 (Initial Ethics Orientation for New USGS Employees)

OF-301A (Volunteer Service Agreement)

*In SharePoint Webforms

-

More information about each of the above-mentioned forms is listed below:

DI-7010 (Request for Ethics Approval to Engage in Outside Employment and Activities):  Use this form to obtain approval from the USGS Ethics Office to engage in paid or unpaid outside work or activities. 

USGS Ethics Office approval is required prior to engaging in outside work or activity that is:

  1. related to a USGS employee's job duties or the USGS mission;
  2. performed for a prohibited source as defined in 5 C.F.R. Section 3501.106; or
  3. performed for an outside entity (for example a company, State/local government, individual, or organization) whose interests are related to the USGS. 

 A DI-7010 must be approved before the employee engages in the outside work or activity in their personal capacity.  If the outside work or activity is not related to your USGS job duties or the USGS mission, then no ethics paperwork is necessary. 

Ethics approval is not required 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. 

The DI-7010, along with instructions and FAQs, can be found here (August 2020).

 

DI-1958 (Authorization for Free Attendance at a Widely Attended Gathering "WAG"):  Use this form to obtain approval to accept free attendance at a widely attended gathering “WAG.”  This form, along with documentation of the offer (e.g., letter, e-mail, etc.) from the outside source and the event agenda, must be submitted to EthicsOfficeUSGS@sol.doi.gov no less than five (5) business days prior to the event.   

The DI-1958, along with instructions and FAQs, can be found here (August 2020).

 

DI-2000 (Authorization for Acceptance of Travel Expenses from Non-Federal Sources-Domestic Travel):  Use this form to obtain approval to accept travel expenses for domestic official travel from a non-Federal source using the legal authority of 31 U.S.C. § 1353. 

31 U.S. Code 1353 is used when scientists are on travel authorization (TA) to attend a meeting, seminar, symposium, workshop or similar event and travel expenses are being provided "in kind" or reimbursed to the USGS.  “In-kind” means that the non-Federal entity provides the airfare, lodging, registration fee, or other travel expense and pays the vendor(s) directly. 

The traveler should submit  a DI-2000 regardless of whether or not the outside entity pays for the travel expenses via check or in kind.  

This form, along with documentation of the offer (e.g., letter, e-mail, etc.) from the outside source and the event agenda, must be submitted to EthicsOfficeUSGS@sol.doi.gov no less than five (5) business days prior to the event.  The DI-2000, along with instructions and FAQs, can be found here (August 2020).

 

DI-1175 Foreign Travel Certification (Authorization for Acceptance of Travel Expenses from Non-Federal Sources-Foreign Travel):  Use this form in Webforms to obtain approval to accept travel expenses for international official travel from a non-Federal source.  Which legal authority should you use to accept travel expenses from a non-Federal entity?  More information can be found here.  Please click here for more ethics guidance related to official travel. 

 

9-1909 (USGS Employee Financial Interests Certification):  

  1. To ensure that newly-hired USGS employees do not hold financial interests that violate the USGS Organic Act or DOI supplemental ethics regulations, as part of the on-boarding process, newly hired employees must complete and file a USGS Employee Financial Interest Certification (USGS Form 9-1909) before they start work.  Prospective employees must submit the 9-1909 to your Servicing Human Resources Office before an official job offer will be made to you.  

    Your signature on the 9-1909 certifies that:

    1.       you understand that the Financial Guide for USGS Employees contains specific, by-name information on companies that you, your spouse and dependent child(ren) are absolutely prohibited from owning, as well as those which may be owned in only limited amounts while you are a USGS employee; and

    2.       you, your spouse, and your minor children do not have any investments in the companies listed in Sections 2 or investments in Section 3 over the permitted amount.  

    If you have any investments in the companies listed in Sections 2 or you, your spouse, or minor child(ren) have investments in Section 3 over the permitted amount, you must contact and discuss your situation with the USGS Ethics Office, by sending an e-mail to EthicsOfficeUSGS@sol.doi.gov, before signing your Form 9-1909.  

 

9-3089 (Contributions):  Use this form (in Webforms) to obtain approval for contributions to the USGS, using the legal authority of 43 U.S. Code Section 36c. 

This is a static form that must be printed and signed in hard copy.  Scans of signed forms are acceptable.  Currently, only contributions valued at $50,000 or more must receive Ethics Office technical concurrence, but the Ethics Office is happy to review ANY contribution, regardless of value.  To obtain technical review of the proposed contribution from the Ethics Office, e-mail a copy of the Form 9-3089 to EthicsOfficeUSGS@sol.doi.gov, along with documentation of the offer (for example a letter, e-mail, etc.) from the outside source.  Please click here for more guidance on contributions. 

 

9-3090 (Grant Funds-In Award):  Use this form to obtain approval to apply for a grant.  

 

9-3113 (Initial Ethics Orientation for New USGS Employees): New employees use this form to certify that:

  1. they have received a copy of the Ethics Guide for DOI Employees; and
  2. that they understand that they are entitled to at least one hour of official duty time to review the Ethics Guide for DOI Employees. 

You can also see the 9-3113 on the USGS EOD checklist here.  USGS employees must also complete their one-hour new employee initial ethics training (IET) course within three months of their appointment as a USGS employee.  More ethics training information can be found here

 

9-3142 (Conflict of Interest):  This form must be completed by Principal Investigators (PIs) and co-PIs for all agreements.  The Form 9-3142 needs to be reviewed by the Ethics Office ONLY if one (or more) of these conditions exist:

  1. If the proposed collaborator is listed in the Financial Guide for USGS Employees (in either Section 2 or Section 3); 
  2. If the PI (or co-PI) has a direct or imputed conflict of interest; or 
  3. If there is a potential lack of impartiality concern.

To obtain review from the Ethics Office, e-mail a copy of the Form 9-3142 to EthicsOfficeUSGS@sol.doi.gov.  The form is not routed dynamically to our office. 

Completed Form 9-3142s should be retained at the Science Center or Cost Manager level in accordance with the office's records management and disposition plan. 

 

OF-301A (Volunteer Service Agreement):  The OF-301A is required for volunteers, including Scientist Emeriti, and must be signed by both the volunteer and an appropriate USGS official.  The volunteer should be as specific as possible in describing their USGS volunteer duties.  The USGS Volunteer for Science Handbook 500-23-H (2013) addresses the acceptance of volunteer services.  Ethics rules for volunteers and Scientist Emeriti are in Chapter 3.  Scientist Emeritus may also find these FAQs helpful.  Adherence to these rules is required as a condition of maintaining volunteer/scientist emeriti status.  The OF-301A is in Webforms under "OF and Other."  If you cannot fill out the form in Webforms, a static version of the form is available.    
 

Page last updated: August 28, 2020 at 12:05pm.

-

 

Contacts

USGS Ethics Team

Departmental Ethics Office
Phone: 703-648-7439