Ethics Training

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Ethics Training

• MAJOR SHANNON MAO MORNINGSTAR
• Ethics Counselor/Deputy Staff Judge Advocate
• 301-619-2563

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Why Ethics Training?

• Application Ethics laws, principles, and
  regulations apply to ALL employees and Soldiers
• Training Will assist you with understanding why
  the ethics rules exist, how they apply, and give
  individuals a chance to ask questions
• Enhanced Training Guidance On 9 April 2004, the
  Honorable Les Brownlee, Under Secretary of the
  U.S. Army, currently serves as acting Secretary
  of the Army, directed face-to-face training for
  everyone

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WHY ACT ETHICALLY?

• Personal
• Pragmatic
• Legal

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Where Does Ethics Training Start?

• Begin with the basics
• The tools needed to comply with all ethics rules
  and regulations
• The 14 Principles of Ethical Conduct
• They form the box
• Think INSIDE the box!

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The Principles of Ethical Conduct 5 CFR
2635.101(b)

• 1. General Rule Public Service is a public
  trust, requiring employees to place loyalty to
  the Constitution, the laws and ethical principles
  above private gain.

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Oath of Office to Defend the Constitution

• Officers and Army Civilians I do solemnly
  swear/affirm that I will support and defend the
  Constitution of the United States against all
  enemies, foreign and domestic that I will bear
  true faith and allegiance to the same that I
  take this obligation freely, without any mental
  reservation or purpose of evasion and that I
  will well and faithfully discharge the duties of
  the office upon which I am about to enter.

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BAD PUBLIC SERVICE, BAD . . .

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The Principles of Ethical Conduct

• Conflict of Interest Employees shall not hold
  financial interests that conflict with the
  conscientious performance of duty.

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Conflicts of Interest

• Participation in official matters
• Outside financial interests Imputed to those
  closely connected with the federal employee
• Actual versus. appearance
• Disqualification and other remedies

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The Principles of Ethical Conduct

• 3. Insider Information 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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What is Non-Public Information

• Procurement Integrity Act
• Classified Information
• Privacy Act
• Trade Secrets Act

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The Principles of Ethical Conduct

• 4. Gifts An employee shall not, except as
  permitted by law or regulation, 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.

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The 1 Gift Rule

• Nothing requires a person to accept a gift - you
  may ALWAYS decline!

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What is a Gift?

• Gifts - the Bright Line Rule
• Definition any item of monetary value
• Exception 1 Non-Gift
• Exception 2 Gift Exception
• Exception 3
• From Outside Source
• Between Federal Employees

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In Other Words
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Exception 1 Non-Gifts

• Non-Gifts
• Little intrinsic value intended solely for
  presentation
• Coffee and donuts
• Discounts or offers made to class/group

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Exception 2 Gift-Exceptions

• Market value lt 20 and lt 50 per source per
  calendar year
• Gift to group or class of employees or Soldiers
• based on other than official position/rank
• Award for service achievement
• established program
• Permitted by statute
• gifts from foreign governments

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EXCEPTION 3 TWO PRONG ANALYSIS

• Although there is some overlapping
• Gifts from outside the Government
• Gifts from Contractors
• Gifts between federal employees

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Gifts From Outside Sources

• Why is gift being offered?
• Who or what is a prohibited source?
• Is acceptance of any offer from a prohibited
  source improper?
• What do I do now?

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Why is Gift Offered?

• Official position or personal capacity
  Sometimes the line becomes blurred
• Official position
• Gift rules apply
• Personal capacity
• Exercise caution
• Appearance concern
• If not offered due to personal capacity, then
  most likely offered due to official position,
  therefore ? from a prohibited source.

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Is Acceptance Of Any Offer from a Prohibited
Source Improper?

• Basic Punitive Prohibition on Gifts from
  Outside Sources. An employee shall not solicit
  or accept, directly or indirectly, a gift from a
  prohibited source or given because of the
  employee's official position. 5 C.F.R.
  2635.202(a).

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Who or What is aProhibited Source?

• Does business with Army
• Seeks to do business with Army
• Conducts activities that Army regulates
• Interests may be substantially affected

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The Definition of Prohibited Sources Also
Includes

• Professional associations
• Non-profit organizations
• Educational institutions
• State and Local governments/agencies
• Defense contractors
• contractor personnel

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Gifts from Contractor Personnel

• Contractor Employees are Prohibited Sources
• General rule no gifts solicited or accepted
• No solicitation for retirement or other gift for
  Government employee or Soldier

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What do I do if Gift is Offered?

• Decline!
• Remember the 1 Rule
• If situation is such that are unable to decline
• Gift to agency
• Consumable goods
• Pay market value to donor
• Return gift

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Gifts Between Gov Employees

• Rules Prohibiting the Giving of Gifts An
  employee is prohibited from giving or soliciting
  contributions for gifts from someone subordinate
  in the official superior chain.

• Rules Prohibiting the Receiving of Gifts An
  employee is prohibited from accepting gifts from
  employees who receive less pay
• Unless no subordinate - official superior
  relationship AND
• Personal relationship justifies gift

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Exceptions De Minimums

• lt 10 per occasion
• Birthday gift
• Vacation souvenir
• No cash
• Refreshments shared in office
• Hospitality at employees home

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Exceptions - Special Infrequent Occasions

• Appropriate to the occasion
• Marriage, illness, birth or adoption of child
• Retirement, resignation, transfer
• Promotion IF terminates existing subordinate -
  official superior relationship

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Exceptions Concerning Solicitation for Gifts

• Voluntary Contributions Done by the junior
  personnel
• Lists Do it the right way
• Nominal Amount
• JER - may solicit no more than 10
• Individual may donate more
• Value of Gift
• Not to exceed 300 per donating group
• Merging of More Than 1 Donating group

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The Principles of Ethical Conduct
5. Employees shall put forth honest effort in the
performance of their duties.
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The Principles of Ethical Conduct
6. Employees shall not knowingly make
unauthorized commitments or promises of any kind
purporting to bind the Government.
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Unauthorized Commitments

• Must have authority to enter into contracts or
  agreements
• Personal liability
• Contracting personnel

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The Principles of Ethical Conduct
7. Employees shall not use public office for
private gain.
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The Principles of Ethical Conduct
8. Employees shall act impartially and not give
preferential treatment to any private
organization or individual.
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Private Organizations

• No management of POs in official capacity.
• No official endorsement
• No support of fundraising or membership drives.
• Logistical support of PO events

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The Principles of Ethical Conduct
9. Employees shall protect and conserve Federal
property and shall not use it for other than
authorized activities.
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Protect Conserve Government Property

• Use of government property
• official and authorized purposes only
• Communications systems computers, telephones,
  Email, Internet
• Official Use
• Authorized Use 5 Criteria
• No adversely effect official duty
• Reasonable duration and frequency
• Serves legitimate public interest
• Not adversely reflect on DOD
• Not overburden system

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Protect Conserve Government Property

• Cell Phones Recent change AR 25-1 (June 2004)
  from official business only' to 'official
  business and authorized use only
• Authorized use includes
• Traveling Brief communications to notify family
  members of transportation or schedule changes.
• No Traveling Personal communications may be
  permitted if
• Do not adversely affect the performance of
  official duties by the employee or the employees
  organization.
• Are of reasonable duration and frequency, and,
  whenever possible, made during personal time,
• Are not used to further personal business
  enterprise.
• In the case of long distance (toll) calls, are-
• Charged to the employees home phone number or
  other non-Government numbers.
• Made to a toll-free number
• Collect call
• Charged to a personal telephone card
• Of a legitimate public interest

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Protect Conserve Government Property

• Use of Subordinates
• Personnel are resources too!
• Personal errands, meals, dry cleaning, shopping
• Improper to ask subordinates
• Decline offers of subordinates

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The Principles of Ethical Conduct
10. Employees shall not engage in outside
employment or activities, including seeking or
negotiating for employment, that conflict with
official Government duties and responsibilities.
11. Employees shall disclose waste, fraud, abuse,
and corruption to appropriate authorities. 12. Em
ployees shall satisfy in good faith their
obligations as citizens, including all just
financial obligations, especially thosesuch as
Federal, State, or local taxesthat are imposed
by law.
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The Principles of Ethical Conduct
13. 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. 14. Employees shall endeavor to avoid
any actions creating the appearance that they are
violating the law or the ethical standards set
forth in this part. Whether particular
circumstances create an appearance that the law
or these standards have been violated shall be
determined from the perspective of a reasonable
person with knowledge of the relevant facts.
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Conclusion

• 14 Principles - only the start
• Code of Federal Regulations
• Joint Ethics Regulation
• Questions/Concerns
• Ask your Ethics Counselor
• Ask BEFORE you act
• Ethics is Everyones Responsibility

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Questions?