Conflict-of-Interest Regulations for Current and Former Government (Civilian and Military) Employees

Thank you for your interest in employment with Northrop Grumman (“the Company”).  We are asking you specific questions regarding your government (civilian and military) role(s) and status, in order to ensure that it is appropriate to engage in employment discussions and consider you for the position(s) for which you have expressed interest.  It is very important that you fully understand the questions and answer them accurately and completely.  We encourage you to seek guidance from your agency/branch ethics office (e.g., designated agency ethics official), if you have any questions regarding how to answer the questions.  Most significantly, if you are a current government employee (civilian or military), you must answer questions 7 and 8, and provide a copy of any applicable disqualification that evidences agency approval of your disqualification request.

Definitions:

The questions are written using specific terms, which are defined in the applicable government regulations and included, in part, below.  If you have any questions regarding this terminology, please consult your designated agency ethics officer (DAEO).   

To participate "personally" means directly, and includes participation of a subordinate if actually directed by you in the matter.

To participate "substantially" means that your involvement is either of significance to the matter or forms a basis for a reasonable appearance of such significance. It requires more than official responsibility, knowledge, perfunctory involvement, or involvement on an administrative or peripheral issue. A finding of substantiality may be based not only on the effort devoted to a matter, but on the importance of the effort. While a series of peripheral involvements may be insubstantial, the single act of approving may be substantial. In addition to approval, other acts may also be considered "substantial," such as participation in a critical step.

The term "particular matter" includes any investigation, application, request for a ruling or determination, rulemaking, contract, controversy, claim, charge, accusation, arrest, or judicial or other proceeding. General rule-making is usually excluded from the term "particular matter," since general rule-making seldom involves specific parties. Consequently, it is possible that an employee who participated in a rule-making while employed by the Government will, after leaving Government service, be able to appear before his former agency concerning the application of the rule to his new private sector employer without violating the lifetime restrictions. The term does not encompass any matter before the Government; only those matters that arise to particular matters. The provision further requires that an employee's official participation in a particular matter must have taken place at a time when the matter involved a non-Federal party (or parties) and also involve such a party or parties at the time of the proposed representation, although these can be different parties. Finally, the restriction remains for the lifetime of the particular matter. For example, when a contract is re-competed and awarded, the new contract is generally considered a new particular matter.

"Official responsibility" is defined as the direct administrative or operating authority, whether intermediate or final, and either exercisable alone or with others, to approve, disapprove, or otherwise direct Government action. Accordingly, a matter is under your "official responsibility" if you had the power, either directly or through a subordinate, to approve, disapprove, or otherwise direct a Government action. Those areas assigned by statute, regulation, executive order, or job description usually determine the scope of an employee's official responsibility. All particular matters under consideration in an agency are under the official responsibility of the agency head, and each is under that of any intermediate supervisor having responsibility for the activities of a subordinate employee who actually participates in the matter.  A matter was "actually pending" under a former employee's official responsibility if the matter was in fact referred to or under consideration by persons within the employee's area of responsibility. It is important to note that unlike section 207(a)(1), this restriction is triggered simply by virtue of the fact that the particular matter was pending under your official responsibility and does not require that you personally and substantially participated in the matter.

SETA.  “Systems engineering and technical assistance” means a combination of activities related to the development of technical information to support various acquisition processes.  Examples of systems engineering and technical assistance activities include, but are not limited to, supporting acquisition efforts such as—

     (A)  Deriving requirements;

     (B)  Performing technology assessments;

     (C)  Developing acquisition strategies;

     (D)  Conducting risk assessments;

     (E)  Developing cost estimates;

     (F)  Determining specifications;

     (G)  Evaluating contractor performance and conducting independent verification and validation;

     (H)  Directing other contractors’ (other than subcontractors) operations;

     (I)  Developing test requirements and evaluating test data;

     (J)  Developing work statements.

A&AS.  “Advisory and Assistance Services” is a legitimate way to improve Government services and operations. Accordingly, advisory and assistance services may be used at all organizational levels to help managers achieve maximum effectiveness or economy in their operations.  Agencies may contract for advisory and assistance services, when essential to the agency’s mission, to --

(1) Obtain outside points of view to avoid too limited judgment on critical issues;

(2) Obtain advice regarding developments in industry, university, or foundation research;

(3) Obtain the opinions, special knowledge, or skills of noted experts;

(4) Enhance the understanding of, and develop alternative solutions to, complex issues;

(5) Support and improve the operation of organizations; or

(6) Ensure the more efficient or effective operation of managerial or hardware systems.

“Special Government Employee” means an officer or employee of the executive or legislative branch of the United States Government, of any independent agency of the United States or of the District of Columbia, 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, temporary duties either on a full-time or intermittent basis, a part-time United States commissioner, a part-time United States magistrate judge, or, regardless of the number of days of appointment, an independent counsel appointed under chapter 40 of title 28 and any person appointed by that independent counsel under section 594(c) of title 28. Notwithstanding the next preceding sentence, every person serving as a part-time local representative of a Member of Congress in the Member’s home district or State shall be classified as a special Government employee. Notwithstanding sections 502, 2105(d), and 5534 of title 5, a Reserve officer of the Armed Forces, or an officer of the National Guard of the United States, unless otherwise an officer or employee of the United States, shall be classified as a special Government employee while on active duty solely for training. A Reserve officer of the Armed Forces or an officer of the National Guard of the United States who is voluntarily serving a period of extended active duty in excess of one hundred and thirty days shall be classified as an officer of the United States within the meaning of section 203 and sections 205 through 209 and 218. A Reserve officer of the Armed Forces or an officer of the National Guard of the United States who is serving involuntarily shall be classified as a special Government employee. The terms “officer or employee” and “special Government employee” as used in sections 203, 205, 207 through 209, and 218, shall not include enlisted members of the Armed Forces.

“Information Technology Exchange Program” authorizes the temporary detail of information technology employees between the Federal Government and private sector organizations. The statute also gives Federal agencies the authority to accept private sector information technology employees detailed under the Information Technology Exchange Program.