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2012 Navy Region NW FCPO Symposium (ETHICS)

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  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training EMPHASIZE : Application of UCMJ of these rules to enlisted. Avoid Congressional investigation and penalties, including criminal, civil, administrative. Meet your ethics program requirements (e.g., complete annual requirements like file financial disclosure, employment certification).
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training Indirect gifts given to: Parent, spouse, sibling, child, dependent relative because of that person’s relationship to the employee EMPHASIZE : Regardless of whether an exception applies, you may NEVER solicit or coerce the offering of a gift .
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training TAKE AWAY – May be omitted in discussion.
  • DoD Pentagon 2009 Annual Ethics Training TAKE AWAY – May be omitted in discussion.
  • DoD Pentagon 2009 Annual Ethics Training TAKE AWAY – May be omitted in discussion.
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training EMPHASIZE : Examples of what isn’t a wag: NO SPORTING EVENTS INTIMITATE/CLOSED DINNERS
  • DoD Pentagon 2009 Annual Ethics Training Exceptions : A supervisor may accept gifts from subordinates and people whom make less than him: If the gift is given to on special, infrequent occasions of personal significance, such as marriage, illness, birth of a child, retirement, or resignation. If the gift is given on an occasion when gifts are traditionally given or exchanged, such as a birthday or Christmas; but then only if the gift is valued at $10 or less. (aggregating all contributions) If the gift is office refreshments, a small amount for food, which will be shared in the office among all employees. If the gift is a meal or party at a subordinate’s residence. [As a supervisor, you may give an appropriate hospitality gift (a bottle of wine, flowers) in such an occasion ]
  • DoD Pentagon 2009 Annual Ethics Training Exceptions : A supervisor may accept gifts from subordinates and people whom make less than him: If the gift is given to on special, infrequent occasions of personal significance, such as marriage, illness, birth of a child, retirement, or resignation. If the gift is given on an occasion when gifts are traditionally given or exchanged, such as a birthday or Christmas; but then only if the gift is valued at $10 or less. (aggregating all contributions) If the gift is office refreshments, a small amount for food, which will be shared in the office among all employees. If the gift is a meal or party at a subordinate’s residence. [As a supervisor, you may give an appropriate hospitality gift (a bottle of wine, flowers) in such an occasion ]
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training TAKE AWAY – May be omitted in discussion.
  • DoD Pentagon 2009 Annual Ethics Training TAKE AWAY – May be omitted in discussion.
  • DoD Pentagon 2009 Annual Ethics Training EMPHASIS : Discuss examples of “legitimate gov’t interest” Use of Blackberry while on official travel Attendance at inter-govt orgs related but not assigned as part of official responsibilities (e.g., IEC) CONCLUSION: Rarely appropriate to authorize use of supplies. Not appropriate to authorize use supplies in support of a private business.
  • DoD Pentagon 2009 Annual Ethics Training Example : Consider discussing Hatch Act email problems. No use of email to promote success or failure partisan political activity.
  • DoD Pentagon 2009 Annual Ethics Training TAKE AWAY – May be omitted in discussion.
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • DoD Pentagon 2009 Annual Ethics Training
  • Transcript

    • 1. Ethics LT Louis Butler COMSUBGRU NINE JAG JUNE 2012 1
    • 2. TOPICS Gifts from Outside Sources Use of Government Resources Fundraising Political Activities Off-Duty Employment 2
    • 3. GOVERNING AUTHORITIES Executive Order – 14 Principles of the Standards of Conduct Ethics in Government Act, as amended. 18 U.S.C. §§ 201-209 5 C.F.R., Part 2635 DoD 5500.7-R, Joint Ethics Regulation 3
    • 4. TAKE AWAYS When in doubt about the rules, consult the appropriate ethics official, before taking any action. Avoid even raising the appearance of a conflict of interest or ethical failure. Follow advice of ethics officials—don’t assume other employees received appropriate guidance. 4
    • 5. 14 Principles1) Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain.3) Employees shall not hold financial interests that conflict with the conscientious performance of duty.5) Employees shall not engage in financial transactions using nonpublic government information or allow the improper use of such information to further any private interest. 5
    • 6. 14 Principles1) An employee shall not solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employees agency, or whose interests may be substantially affected by the performance or nonperformance of the employees duties (except as specifically permitted).3) Employees shall put forth honest effort in the performance of their duties. 6
    • 7. 14 Principles1) Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the government.3) Employees shall not use public office for private gain.5) Employees shall act impartially and not give preferential treatment to any private organization or individual. 7
    • 8. 14 Principles1) Employees shall protect and conserve federal property and shall not use it for other than authorized activities.3) Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with their official government duties and responsibilities. 8
    • 9. 14 Principles1) Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.3) Employees shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those that are imposed by law (such as paying their federal, state, or local taxes). 9
    • 10. 14 Principles1) Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap.3) Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the Standards of Ethical Conduct for Employees of the Executive Branch. 10
    • 11. Gifts From Outside SourcesRULE: You may not directly or indirectly solicit or accept a gift given: by a prohibited source; or because of your official position. 5 C.F.R. § 2635.202(a) 11
    • 12. Gifts From Outside SourcesWho is a Prohibited Source? Any person or entity seeking official action by the Agency; Any person or entity who does business or wants to do business with the Agency; Any person or entity who conducts activities regulated by the Agency; (cont’d) 12
    • 13. Gifts From Outside SourcesWho is a Prohibited Source? Any person or entity who has interests which may be affected by your official duties; OR An organization a majority of whose members are described above.E.g., DoD contractors Charitable Organizations Spousal Clubs Business Entities 13
    • 14. Gifts From Outside Sources “Gift” is defined as an item of monetary value, including any gratuity, favor, service, discount, entertainment, or hospitality. It includes meals, lodging, transportation and training. Not a gift: o loans or discounts available to the general public o greeting cards and plaques of little intrinsic value o modest food or refreshments (coffee and donuts, not a meal) 14
    • 15. Gift From Outside Sources (Exceptions)Common Examples of Acceptable Gifts: Unsolicited gifts from a prohibited source worth $20 or less/source/occasion ($50 max per year)—never cash. Gifts based on personal relationship (family/friend) Based solely on your spouse’s employmentNote: Appearance issuesmay still mitigate against acceptance 15
    • 16. Gift From Outside Sources (Exceptions)Examples of Acceptable Gifts: (cont’d) Social invitations from other than prohibited sources Gifts from Foreign Governments ($335) “Widely Attended Gatherings”Note: Appearance issuesmay still mitigate againstacceptance 16
    • 17. Gift From Outside Sources (Exceptions)Widely Attended Gathering (WAGs): is defined as a gathering expected to have a large number of persons in attendance, representing diverse views or interests.E.g., if it is open to members from throughout the interested industry or profession or if those in attendance represent a range of persons interested in a given matter. 17
    • 18. Gift From Outside Sources (Exceptions)Widely Attended Gatherings (WAGs): You may attend a WAG in your personal capacity, even when the invitation is from a prohibited source or given because of your official position, but only if: The invitation was unsolicited, and Your supervisor determines DoD has a specific interest in your attendance (because if furthers your office mission) Use of Government transportation is prohibited. 18
    • 19. Gift From Outside Sources You are under no obligation to accept a gift. It is never inappropriate to decline a gift— except from a foreign dignitary. Acceptance of improper gifts can usually be remedied if returned immediately. Where you not are permitted to accept, you may be able to pay for the item. For proper procedures and guidance, contact an ethics official. 19
    • 20. Gifts Between Employees 20
    • 21. Gifts Between EmployeesRules: You may not generally accept a gift from: a subordinate a lower-paid employeeConversely you may not generallygive a gift to your superiorWhy: To avoid the appearance issues, and so employees do not feel pressure to provide gifts to their supervisor. 21
    • 22. Gifts Between EmployeesExceptions: When gifts are traditionally given, items (never cash) of $10 or less per occasion Office refreshments Personal hospitality Special, infrequent occasions (e.g., retirement) 22
    • 23. Gifts Between EmployeesRemember: For group gifts on special infrequent occasions: Supervisors should NEVER coerce and should not solicit subordinates for contributions for a group gift. Contributions to group gifts are STRICTLY VOLUNTARY in all circumstances, and no one should be pressured into giving a gift or contributing to a group gift. Group gifts of no more than $300 for a supervisor. Contributions should be for a NOMINAL amount (no more than $10). Contractors should NEVER be solicited. 23
    • 24. Use of Government ResourcesRule: Employees shall protect andconserve Federal property and shall not useit for other than official purposes 5 C.F.R. § 2635.101(b)(9) 24
    • 25. Use of Government Resources Government Title/Position Supplies Equipment Computer Systems Government Time Nonpublic Information 25
    • 26. Use of Government ResourcesTypes of Use: Prohibited Use: unrelated to mission Caution No Authorized Use: supportive of mission (or limited personal use at no or minimal cost to DoD) Official Use: directly related to and Yes necessary for accomplishing mission 26
    • 27. Use of Government ResourcesAuthorized Use: You are permitted limited use of Government office equipment for personal needs if: It does not interfere with the performance of official duties It is of reasonable duration or frequency, It serves a legitimate Government interest, and It does not reflect adversely on DoD 27
    • 28. Use of Government ResourcesProhibited Use: Where use adversely reflects on DoD Where use interferes with employee or office productivity Where use is to conduct outside commercial activityCommunication System Prohibitions: Pornography Chain letters EMAIL?? Unauthorized fundraising Solicitations or sales Other inappropriate uses (overburdening DoD’s communication system) 28
    • 29. Use of Government ResourcesMisuse of Position: You may not use your DoD position for personal gain or for the benefit of others (this includes family, friends, neighbors and individuals that you are affiliated with outside the government). You may not solicit other Federal personnel for a personal activity while on duty. 29
    • 30. Use of Government ResourcesNon-Public Information: Protect nonpublicinformation from unauthorized disclosure. Nonpublicinformation includes:  Classified information  Internal DoD information (e.g., deliberative records)  Privacy Act-Protected Records (e.g., personnel records)  Budgetary  Confidential Procurement Information (e.g., bid, proposal, and source selection)  Trade SecretE.g., You may not use non-public information forpersonal business, teaching, speaking, or writing. 30
    • 31. Use of Government ResourcesGovernment Motor Vehicles•Official Purposes Only•Essential to DoD function•Use consistent with purpose for which vehicle wasacquired 31
    • 32. Use of Government ResourcesGovernment Motor Vehicles•Official Use • Meetings, site visits • Conferences, place of duty•Unofficial Use • Attending official ceremony in personal capacity • Buying supplies for unofficial office event 32
    • 33. Use of Government ResourcesGovernment Motor VehiclesOfficial Business - Away from Duty StationWhen TDY, May Use Government Motor Vehicle:•Between temporary lodging and Places of official business•Places for health and comfort(Restaurants, drugstores, cleaning establishments, etc.) Beware•Not to distant restaurants if adequate restaurants arecloser•Not for entertainment or recreational purposes 33
    • 34. Use of Government ResourcesGovernment Travel CardsMust be used for Official ExpensesExceptions:  Vendors do not accept card  Laundry, parking and local transportationTravel Approval Authority has complete list ofexceptions 34
    • 35. FundraisingLogistical Support (Not Personnel) JER 3-211b, DoDD 5410.18 Command may provide support when No interference with official duties; no detraction from readiness Serves DoD relations with immediate community, DoD public affairs interests, or military training interests Appropriate to associate DoD with event Event is of interest and benefit to local community or DoD Command is able and willing to provide same support to comparable events sponsored by similar NFEs Not restricted by other statutes DoD support is incidental to fundraiser 35
    • 36. FundraisingLogistical Support (Personnel) 5 C.F.R. § 2635.808 Mere Attendance Official Speech 36
    • 37. FundraisingMere Attendance 5 C.F.R. § 2635.808(a)(2): DoD personnel may merely attend a fundraiser in their official capacity if the sponsor does not use their attendance to promote the event JER 3-200: DoD personnel may attend NFE meetings or similar events in their official capacity if there is a legitimate Federal Government purpose No active or visible participation 37
    • 38. FundraisingPersonal Fundraising DoD personnel may fundraise in their personal capacities provided that they: Act exclusively outside scope of official duties Do not use or permit others to use their official titles, positions, organization names, or any authority associated with their office to assist the fundraising Do not solicit in the Federal workplace Do not personally solicit from subordinates or prohibited sources Person-to-person versus group Behind-the-scenes participation 38
    • 39. Political Activities Members on Active Duty should not engage in partisan political activity, and members not on active duty should avoid inferences that their political activities imply or appear to imply official sponsorship. DoDD 1344.10, para 4. Members of the Armed Force may not wear the uniform during or in connection with furthering political activity or when an inference of official sponsorship for the activity maybe drawn. DoDI 1334.01, para 3.1.2. 39
    • 40. Political Activities Permitted political activities. Limited “private citizen” standard. Permitted activities include:  Register, vote and express personal opinions;  Encourage other military members to exercise voting rights;  Join a political club, and attend political meetings and rallies as a spectator when not in uniform;  Make monetary contributions to a political organization;  Sign petitions for specific legislative action or place candidate’s name on the ballot;  Write letters to the editor expressing personal views (so long as not part of organized letter writing campaign);  Bumper stickers on private vehicles. 40
    • 41. Political Activities Does not preclude personal participation in local nonpartisan political activities, so long as:  Not in uniform.  No use of Government property or resources.  No interference with duty.  No implied Government position or involvement. 41
    • 42. Political Activities Prohibited political activities. A military member may not:  Use official authority to influence or interfere;  Be a candidate for, hold, or exercise functions of a civil office,  Participate in partisan political campaigns, speeches, articles, TV/radio discussions;  Serve in official capacity/sponsor a partisan political club;  Conduct political opinion survey;  Use contemptuous words (10 U.S.C. § 888);  March or ride in partisan parades;  Participate in organized effort to transport voters to polls;  Promote political dinners or fundraising events;  Attend partisan events as official representative of Armed Forces;  Display large signs/banners/posters on private vehicles. 42
    • 43. Off-Duty Employment Basic Rule  Basic Rule-5 C.F.R. §2635.802  Employees shall not engage in outside activities that conflict with official duties  Activity conflicts exist when:  prohibited by statute or regulation  or would require disqualification from matters so central to official duties that ability to perform duties of position is materially impaired 43
    • 44. Off-Duty Employment Commands may require prior reporting of outside employment May prohibit if detracts from readiness or poses a security risk “Agency Designee” must approve employment of SF-278/OGE 450 filer by prohibited source Applies on terminal leave 44
    • 45. Off-Duty EmploymentTeaching, Speaking & Writing Rule DoD employees may not receive compensation for teaching, speaking or writing if: It’s part of their official duties, They’re invited because of their official position or invitation is from a prohibited source, Activity draws on non-public information, Subject deals with matter they’re assigned to now or during previous 1-year period, OR Subject deals with any announced or ongoing DoD policy, program or operation (5 CFR 2635.807(a)) 45
    • 46. References Specific guidance for DoD personnel may be found on the DoD Standards of Conduct Office (SOCO) website at http://www.dod.mil/dodgc/defense_ethics/ See in particular:  In DoD 5500.7-R, Joint Ethics Regulation  “Employees’ Guide to the Standards of Conduct,” located on the “SOCO Publications & Handouts” page, under the “Ethics Resource Library” on SOCO’s website. 46