Transcript ETHICS TRAINING 2005 - California Cadet Corps

ETHICS TRAINING
2008
CW2 R. MANDELL
302nd QM Company
Discussion Topics
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Why are you here?
Code of Ethics – 14 Principles
Use of Government Vehicle
Use of Communications Equipment
Use of Government Property
Gifts
Personal and Official Participation in Private
Organizations
Obligating the Army
OVERVIEW
The goal of this class is not to make you an
expert in every ethics regulation and
directive. Rather, the goal here is to make
you familiar with ethics issues so that
when you come across an ethics dilemma
or question, you’ll be able to recognize the
problem and apply the basic principles
we’ll cover to “do the right thing.”
Applicable Law and Regulations
All federal employees should also be familiar with
other statutory and regulatory prohibitions:
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Code of Ethics – 14 Principles
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Standards of Ethical Conduct for Executive Branch
Employees 5 C.F.R. Part 2635
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The Joint Ethics Regulation (JER), DoD 5500.7-R.
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18 United States Code Sections 203, 207, 208.
14 Principles of Ethical Conduct
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Public service = Public Trust
No financial interests conflicting w/duty
performance
No improper use of nonpublic information
No gifts from prohibited sources
Honest effort in performance of duties
No knowing unauthorized commitments
No using public office for private gain
14 Principles of Ethical Conduct
8.
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14.
Be impartial/no preferential treatment to
private organizations/individuals
Protect/conserve federal property;
authorized purposes only
No outside employment conflicting w/duties
Duty to disclose fraud, waste, abuse, and
corruption
Satisfy financial obligations in good faith
Uphold EO laws/regulations
Avoid appearances of unethical conduct
Use of Gov’t vehicles (GOVs)
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GOVs can only be used for official business
Never take a GOV home with you (even if it
would make sense or save time!)
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This is a strict rule
Taking a GOV home requires HQDA approval
Even if leaving on TDY the next day, you can’t
take the GOV home!
GOVs (con’t)
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You can’t take a GOV to lunch.
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Exception to this policy requires your
commander’s (not just your supervisor’s)
approval.
If your official duties require you to be far away
from your POV (i.e., you’re in Raleigh) during
the lunch hour, then you may stop for lunch at a
nearby restaurant (not a bar, though!)
Again, requires commander’s approval!
Vehicle use during TDY
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If you are on TDY, you may use a GOV for
official use only (driving to class, going to
eat, barber, drug store, etc.). Excursions
to entertainment attractions (movies,
tourist attractions, general shopping) are
not authorized.
Vehicle use during TDY
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You may use a rental car for anything.
However, you must pay the rental
company for the additional costs of the
entertainment trips (i.e., mileage to tourist
attraction, etc.)
You may use your privately-owned-vehicle
(POV) for absolutely anything.
Perception
The rule:
Government employees must not show
favoritism toward one private entity
over another, regardless of the
worthiness of the organization.
Use Of Government
Communications Equipment
Government Communications
Equipment
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Telephones
Fax Machines
Computers
E-mail
Internet
Cellular Phones
Blackberries
Authorized Use
 Official
use
 Authorized Purposes
Official Use
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Communications that are necessary in the
interest of Government
Emergency communications
Morale and welfare communications
(extended deployments)
Authorized Purposes
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Personal communications from office:
 Does not adversely affect official duties
 Reasonable duration and frequency
 Legitimate public interest
 Does not reflect adversely on DOD
 Does not overburden communications
system
 Creates no significant additional cost
Brief calls home while TDY (transportation and
schedule changes)
Cell Phones
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Official Use
Limited Authorized Use Permissible under
AR 25-1 (15 Jul 05) – land line “wired”
phone must not be available
Authorized Use:
Cell Phone, E-Mail, Internet
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Authorized Use
 Does not adversely affect official duties
 Reasonable duration and frequency
 Legitimate public interest
 Does not reflect adversely on DOD
 Does not overburden system
 Creates no significant additional cost
Misuse of Government Computer
The Installation Strategic Planning
Officer at Fort Stewart was relieved of his
duties after it was discovered that he had
been using his government laptop to both
view sexually-explicit materials and type
up notes for his church.
The officer will have plenty of time to
ponder his actions, as the Merit Systems
Protection Board affirmed his removal
from federal service.
No No’s!
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Any use adversely reflecting on the Army
 Pornography or obscene material
 Copyright infringement (such as the sharing
of copyright material by means of peer-topeer software)
 Gambling
 Unofficial advertising, soliciting, or selling
 Chain letters
 Inappropriately handled classified information
 E-mail for partisan politics
Use Of Other Government
Equipment
 Use
other Federal
Government
equipment and
property only for
official purposes or
authorized purposes
as approved by your
supervisor.
Use Of Official Time
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Rule: Use official time in an honest effort
to perform official duties. Remember: Your
time is a Government Resource!
Florida Vacation
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A DoD official was to travel to and attend a
conference in Florida while on DoD travel orders.
His wife accompanied him. It was alleged that
after checking in at the hotel where the
conference was to be held and then renting a
convertible, the official promptly left for a short
vacation with his wife for all three days of the
conference. After an investigation it was
determined that the official did not attend the
conference, told a subordinate to “cover for
him,” and filed a fraudulent travel claim for the
conference. A proposal was made to have him
separated from Federal service.
Use Of Personnel
Rule: Do not ask
subordinates to
perform tasks
outside their
official duties.
Gifts
Gifts to Superiors
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Soldiers are prohibited from:
 Giving
gifts to superiors in their chain of
command
 Soliciting donations for such gifts
 Contributing to gifts
Gifts Between Soldiers
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Soldiers are prohibited from accepting
gifts from soldiers receiving less pay:
Unless that person is not in the soldier’s chain
of command and
 A personal relationship justifies gift
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The #1 Gift Rule
Nothing requires a person to
accept a gift – you may ALWAYS
decline!
Gifts – Exceptions
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Less than or equal to
$10 per occasion
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Birthday Gift
Vacation Souvenir
No Cash
Refreshments shared
in the office
Hospitality at a
soldier’s home
Gifts – Exceptions (cont.)
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Special infrequent occasions:
Appropriate to the occasion
 Marriage, illness, birth of child
 Retirement, resignation, transfer
 Promotion (only if leaving the chain of
command)
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Group Gifts
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Special infrequent occasions:
 Value
of gift may not exceed $300 per
donating group
 If the individual contributes to more
than one group, the cost of the gifts of
the different groups become one for
purposes of $300 limitation
Additional DoD Limitations
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Contributions must be voluntary
Nominal amount
 May solicit no more than $10
 Individual may donate more
Individual is free to donate an amount less
than suggested, or nothing at all
Departing Gift
The CG is leaving.
All Brigade Commanders want to contribute
to a gift that will cost $300.
His HQ Staff also wants to contribute to a
gift that will cost $300.
Are both gifts acceptable?
Answer
Maybe, as long as:
 No one gives to both requests;
 The requests for giving are voluntary;
 No one is required to give;
Better answer:
Both groups go together on a gift and the
total does not exceed $300.00.
Gifts from Non-Military
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Soldiers may not accept gifts:
 Given
because of their official position
 Given as a bribe for doing something
that benefits the giver
 Given by a DoD Contractor or someone
seeking to do business with the
Government
Gift – Exceptions
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Up to $20
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Motivated by a close personal relationship
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Free attendance, food, entertainment (not
lodging & travel) provided at an event at
which you are speaking
Not Considered Gifts
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Coffee, soft drinks, donuts, hors d’oeuvres
(not part of a meal)
Donut v. Bagel
Not Considered Gifts (cont.)
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Plaques, certificates and trophies of little
or no value except to the receiver
Benefits offered to the public, to all
government employees, or to all military
personnel
Official and Personal
Participation in Private
Organizations
AR 210-22
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AR 210-22, Private Organizations on
Department of the Army Installations
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Outlines Army policy
Tells procedures to establish
Lists authorized activities
Lists prohibited activities
Consult the JER for authorized support
Official Participation
in
POs or NFEs
What is a private entity?
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Any non-Federal organization
For example,
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Business (Home Depot, I.B.M., Texaco)
Organization (Chamber of Commerce, Softball
League, Musical Groups)
Charities (Lion’s Club, School P.T.A., March of
Dimes)
Persons (Joe Citizen)
Attendance in an
Official Capacity
A supervisor (officer or employee
above GS-11) may permit DOD
employees to attend meetings,
conferences, and seminars
sponsored by private organizations
if there is a legitimate Government
purpose
Official Management
Prohibited
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General rule: You may not participate in
the management of a private organization
as part of your official duties
Official Management
Army employees, to include
Soldiers, may only participate in the
management of a non-Federal
entity in an official capacity if
authorization is received from the
Secretary of the Army and the DoD
General Counsel
Liaisons with NFEs
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The head of an Army organization may
appoint a liaison to an NFE, including a
private organization
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Requires determination of significant and
continuing DoD interest required
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The liaison represents only the Army’s
interest in matters of mutual interest, but
cannot bind the Army to any action
Liaisons with NFEs (Cont.)
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A liaison cannot participate in the
management or control of a NFE
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Cannot be a full time position for any
Soldier or civilian employee
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Must be appointed
Official Endorsements
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Endorsement of a private organization
event, product, service may not be
stated or implied by soldiers or DA
civilians in their official capacities
You Make the Call!
An Installation Commander attends a
campaign presidency rally for the current
President of the United States, attempting
to get re-elected to a second term, in his
Class A Uniform.
Is this permissible?
ANSWER
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No!
You may not attend any bi-partisan
politically fundraiser in your official
capacity. You could attend in civilian
clothing in your civilian capacity.
Exceptions to Endorsements
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Exceptions:
 CFC
 AER
 Disaster Appeals approved by OPM,
and
 Organizations consisting of Army/DoD
employees/dependents when
conducting internal fundraising for
informal funds when approved by the
Commander
Personal Participation in
Private Organizations
Personal Participation
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Soldiers and Army civilians may join,
participate in, or hold office in POs or
NFEs in their personal capacities
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When participating in POs or NFEs,
Soldiers and Army civilians must act
exclusively outside the scope of their
official positions
Personal Participation (Cont.)
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Soldiers and Army civilians may not use
official titles/positions/organization
names in connection with private
organization or NFE activities
Exception: A Soldier may use his/her
grade and military department as part of
his/her name (e.g., Major Smith, U.S.
Army). But, cannot use title or position
to induce or coerce others to join
You Make the Call!
A Soldier has been asked by his college to
serve on the Alumni Association.
Is this permissible?
ANSWER
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He may serve in his personal capacity.
But, he may not allow his position, duty
address, or duty phone number be used
on the college letterhead or other
promotional literature.
You Make the Call!
COL Hoohah is a member of a private
organization called “Support Your Army.”
“Support Your Army” wants to use the
post auditorium for a presentation. COL
Hoohah decides to submit the request
using his official position (Inspector
General) and rank.
Is this permissible?
ANSWER
Inducement or coercion of benefits.
An employee, to include all Soldiers, shall not
use or permit the use of his Government
position or title or any authority associated with
his public office in a manner that is intended to
coerce or induce another person, including a
subordinate, to provide any benefit, financial or
otherwise, to himself or to friends, relatives, or
persons with whom the employee is affiliated in
a nongovernmental capacity.
No Membership or Position if
Offered Due to Official Position
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Membership or position in a PO
may not be accepted if it was
offered because of an employee’s
official position
No Solicitation
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Army personnel may not solicit
subordinates or prohibited sources (e.g.
contractors) in PO fundraising
campaigns or membership drives
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Army personnel may not permit the use
of their names in a PO solicitation that
targets subordinates or prohibited
sources
Conflicts of Interest Prohibited
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An employee who is an officer, director,
or employee of a private organization
may not participate in official DOD
matters involving the organization.
Employees may not represent a private
organization to the Government.
Exception: uncompensated
representation for certain nonprofit
professional, recreational, and similar
organizations.
Conflict of Interest Nets Fine
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When determining which company should receive a
contract to produce a video on Y2K issues for the
Department of Commerce, a producer/director in the
Office of Public Affairs settled on a small production
company that specialized in voiceover work. There was
only one small problem—the company was owned by the
employee and his wife. The Department of Commerce
eventually paid the company over $10,000 for their
work, earning the employee and his wife a profit of over
$1000.
Unfortunately for the employee, his fifteen minutes of
fame were cut short by a District Court Judge, who
sentenced him to one year of probation, 100 hours of
community service, and a $900 fine. The employee was
found guilty of violating 18 U.S.C. 208(a), which bars
employees from participating personally and
substantially in a matter in which they have a financial
interest.
Obligating the Army
(Contracts,
Agreements, and
Commitments)
Unauthorized Commitment
CPT Fubar has a presentation to give to the
Brigade Commander. A soldier is photocopying
that presentation when suddenly the photocopier
breaks down. In order not to disappoint the
commander, the Soldier quickly calls the nearest
photocopier repair service and requests that a
repairman come out right away to repair the
photocopier. The repairman comes out
immediately and repairs the photocopier. Has
the soldier done anything wrong?
Unauthorized Commitments
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Must have authority
to enter into contracts
or agreements
Could be personally
liable
Only contracting
personnel have
authority
In a Nutshell
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Prohibitions found in ethics and procurement
laws and regulations may prevent a Soldier or
civilian employee from receiving
compensation from a particular contractor
after his or her government service.
While it may be permissible for a Soldier or
civilian employee to work for a particular
contractor, it may be impermissible to work on
a particular contract or in a particular
segment of a contractor’s operations.
General Principles – Always
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Place loyalty to the Constitution, the laws and ethical
principles above private gain.
Act impartially to all groups, persons, and
organizations.
Give an honest effort in the performance of your
duties.
Protect and conserve Federal property.
Disclose waste, fraud, abuse, and corruption to
appropriate authorities.
Fulfill in good faith your obligations as a citizen, and
pay your Federal, State, and local taxes.
Comply with all laws providing equal opportunity to all
persons, regardless of their race, color, religion, sex,
national origin, age, or handicap.
General Principles - Never
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Use nonpublic information to benefit yourself or
anyone else.
Solicit or accept gifts from persons or parties that do
business or seek to official action from DA, unless
permitted by an exception.
Make unauthorized commitments or promises that
bind the Government.
Use Federal property for unauthorized purposes.
Take jobs or hold financial interests that conflict with
your government responsibilities.
Take actions that give the appearance that they are
illegal or unethical.
Conclusion
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Play it safe – ask your ethics counselor BEFORE
taking any action
COL Rafatjah x 3119 – Staff Judge Advocate
LTC German x 3116– Deputy Staff Judge Advocate
808-438-1600
www.hqda.army.mil/ogc/eandf.htm
www.jagcnet.army.mil
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Office of Army General Counsel (Ethics & Fiscal)
Army Standards of Conduct Office
Questions?