1. Ethics
LT Louis Butler
COMSUBGRU NINE JAG
JUNE 2012
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2. TOPICS
 Gifts from Outside Sources
 Use of Government Resources
 Fundraising
 Political Activities
 Off-Duty Employment
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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
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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.
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5. 14 Principles
1) 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.
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6. 14 Principles
1) 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 employee's agency, or whose interests
may be substantially affected by the
performance or nonperformance of the
employee's duties (except as specifically
permitted).
3) Employees shall put forth honest effort in the
performance of their duties.
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7. 14 Principles
1) 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.
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8. 14 Principles
1) 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.
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9. 14 Principles
1) 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).
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10. 14 Principles
1) 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 Sources
RULE: 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)
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12. Gifts From Outside Sources
Who 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)
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13. Gifts From Outside Sources
Who 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
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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)
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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 employment
Note: Appearance issues
may still mitigate against acceptance
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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 issues
may still mitigate against
acceptance
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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.
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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.
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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.
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20. Gifts Between Employees
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21. Gifts Between Employees
Rules: You may not generally accept a gift from:
 a subordinate
 a lower-paid employee
Conversely you may not generally
give a gift to your superior
Why: To avoid the appearance issues, and so
employees do not feel pressure to provide gifts
to their supervisor.
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22. Gifts Between Employees
Exceptions:
 When gifts are traditionally given, items
(never cash) of $10 or less per occasion
 Office refreshments
 Personal hospitality
 Special, infrequent occasions (e.g.,
retirement)
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23. Gifts Between Employees
Remember: 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.
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24. Use of Government Resources
Rule: Employees shall protect and
conserve Federal property and shall not use
it for other than official purposes
5 C.F.R. § 2635.101(b)(9)
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25. Use of Government Resources
 Government Title/Position
 Supplies
 Equipment
 Computer Systems
 Government Time
 Nonpublic Information
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26. Use of Government Resources
Types 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
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27. Use of Government Resources
Authorized 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
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28. Use of Government Resources
Prohibited Use:
 Where use adversely reflects on DoD
 Where use interferes with employee or office
productivity
 Where use is to conduct outside commercial activity
Communication System Prohibitions:
 Pornography
 Chain letters EMAIL??
 Unauthorized fundraising
 Solicitations or sales
 Other inappropriate uses (overburdening
DoD’s communication system) 28

29. Use of Government Resources
Misuse 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.
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30. Use of Government Resources
Non-Public Information: Protect nonpublic
information from unauthorized disclosure. Nonpublic
information 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 Secret
E.g., You may not use non-public information for
personal business, teaching, speaking, or writing.
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31. Use of Government Resources
Government Motor Vehicles
•Official Purposes Only
•Essential to DoD function
•Use consistent with purpose for which vehicle was
acquired
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32. Use of Government Resources
Government 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
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33. Use of Government Resources
Government Motor Vehicles
Official Business - Away from Duty Station
When 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 are
closer
•Not for entertainment or recreational purposes
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34. Use of Government Resources
Government 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 of
exceptions
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35. Fundraising
Logistical 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
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36. Fundraising
Logistical Support (Personnel)
 5 C.F.R. § 2635.808
 Mere Attendance
 Official Speech
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37. Fundraising
Mere 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
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38. Fundraising
Personal 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
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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.
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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.
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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.
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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
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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
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45. Off-Duty Employment
Teaching, 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))
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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.
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