Annual Ethics Training

Please Sign the Attendance

Roster

Annual Ethics Training

CPT Toby Curto, OSJA, USASOC

432-4893

curtot@soc.mil

CPT Gary Johnson, OSJA, USASFC

432-2690

johnsoga@soc.mil

Agenda

• Why Ethics Training?

• Gifts

• Private Organizations

• Use of Government Resources

• Conflicting Financial Interests

• Post-Government Employment

Why Ethics Training?

• Face to face Ethics Training directed by SecArmy for “ALL” Army

• Ethics training fully supported by LTG Kensinger

• Applies to ALL Army personnel• Basic understanding of the rules, how they

apply, and potential ethics minefields• Chance to ask questions

Basic Principles

• Public servants must preserve the public trust

• No private gain to public servants resulting from official position

• Perception of private gain just as much of a concern as actual private gain

• Even if rules permit something, ask yourself “should I do it?”

• When in doubt, ask your ethics counselor.

Gifts: Basic Ethical Principles

• Don’t have to Accept a Gift: You Can Always Say “No Thanks”

• Ask yourself:– Is it a Gift?– Why does the person want to give me the

gift?– Would accepting the gift undermine

government integrity (“Washington Post” test)?

What is a Gift?

• If you want to keep it, it is a gift!– Gratuity– Favor– Discount– Entertainment– Hospitality– Loan Forbearance

– Services– Training– Transportation– Local Travel– Lodging & Meals– Purchase of Tickets– Payment in Advance

Any Item of Monetary Value Including:

Gifts: Do Not Include

• Modest food and drink (coffee and donuts)

• Greeting cards, plaques and trophies (little intrinsic value and for presentation)

• Discounts available to the public

• Anything for which fair market value is paid for by the employee

Gifts: Exceptions

• The 20/50 Gift Rule– Unsolicited Gifts of $20 or

less per occasion (Two items on same occasion = one “gift” when figuring $ limitation!)

– Not to exceed a total value of $50 from a single source per year

• Personal relationship– Brother-in-law– College roommate

Gifts: From Outside Sources

• No direct or indirect solicitation or acceptance of gifts:– from a “prohibited source”

OR– given because of the employee’s official

position (that is, would you be offered the gift if you weren’t in your official position?)

“Prohibited Source”

• Any person or entity:– Seeking official action by the employee’s

agency;– Doing or seeking to do business with the

employee’s agency;– Regulated by the employee’s agency;– Substantially affected by the employee’s

official duties

“Prohibited Sources”

• Defense contractors – contractor personnel

• Professional associations• Non-profit organizations• Educational institutions• State and Local governments/agencies

Gifts: From Foreign Governments

• OK to accept gifts with a Fair Market Value less than $285– FMV based on US retail sales price– Use internet to determine FMV

• A Foreign Government is a national (civilian or military) , state or local government entity or representative thereof– Mayor – Co. Cdr. in host nation Army

• TELL YOUR ETHICS COUNSELOR!

Gifts: From Foreign Governments

• Gifts over $285• Must report to GSA• Become US government property• Can be purchased by the individual• Is OK to accept a gift of any value if refusal would

embarrass US or could adversely affect foreign relations. In such cases, the gift should be accepted on behalf of the US and reported to GSA

Gifts: Between Government Employees

• An employee is prohibited from:– giving gifts to, or soliciting gifts for, your boss– accepting gifts from employees who receive less pay

• unless no superior/subordinate relationship

AND• personal relationship justifies gift

Gifts: Between Government Employees

• Exceptions:– On an “occasional basis” (when gifts

traditionally exchanged):• < $10 per occasion (birthday gift, vacation

souvenir)• NO CASH GIFTS!• Refreshments shared in office• Hospitality at employee’s home

Gifts: Between Government Employees

• Exceptions (cont):– On “special, infrequent occasions”

• Marriage, illness, birth or adoption of child• Events that terminate the superior/subordinate relationship

(retirement, resignation, transfer, promotion) • Appropriate for the occasion• Value of gift

– Not to exceed $300 per donating group– Gift-splitting not allowed– If employee contributes to more than one group, the cost

of the gifts of the different groups become one for purposes of $300 limitation

Private Organizations

• Private Organizations (PO) are only authorized limited support.– Masons, VFW, Friends of SOF, etc.- OK to be a member of a PO.

• Public servants may not:- Accept positions as officers or directors or offered because of official duty position.- Use office, title, or position in connection with participation in a PO.- Solicit membership or fundraising drives in their official capacity.

Private Organizations

• Fundraising:– Allowed for the Combined Federal Campaign

(CFC), Army Emergency Relief (AER), MWR programs and other fundraising supported by the Office of Personnel Management (OPM)

– FRG may participate in fundraising• Must be clear it is not a unit fundraiser, but

rather the FRG

Use of GovernmentResources: Ethical Principles

• Employees shall:

• Protect and conserve Federal property and shall not use it for other than authorized activities.

• Disclose waste, fraud, abuse, and corruption.

• Put forth honest effort.

Use of GovernmentResources

• Use of office equipment and supplies:– Telephones:

• Official use OK• Authorized use OK (limited “personal” use)

– Make appt. w/ doctor for family member– Call child’s school

– Cell Phones:• Official Use ONLY! (per USASOC Policy)

– Copiers:• Official Use ONLY

Use of GovernmentResources

• Use of e-mail and Internet:– Before and after work, and during authorized

breaks (e.g., lunch hour)– No personal business (e.g., selling your

house, running E-bay auctions, etc.)– No pornographic, extremist, or racist web

sites!

Use of GovernmentResources

• Use of Nontactical Vehicles (NTVs)– For official business only!– Never take a NTV to lunch or home.– NTV should never stay over night at person’s home

• NTV use during TDY – You may use a NTV for official use only (such as

driving to class, chow, barber, drug store).– Excursions for entertainment (movies, tourist

attractions, general shopping) are not authorized.

• Does NOT apply to rental cars

Conflicting Financial Interests

• Employees may not participate in a matter in which they have a financial interest

• Must seek waiver, disqualification, or divestiture

• An interest belonging to an employee’s family, business partner, or an organization in which the employee serves as an officer, director or employee is considered to be an interest of the employee

Conflicting Financial Interests

• Violation can result in:– Up to five years

imprisonment– Fine up to $250,000

Post-Government Employment

• Seeking Employment– Definitions

• Agency Official• Agency Procurement• Participate Personally

and Substantially• Employment Contacts

– Notice Requirements• Who They Apply To• Who Must be Notified• Reject or Disqualify

Post-Government Employment

• Terminal Leave– Can you begin other employment while still a

Federal Employee?• Yes, BUT….

– Conflicts of Interest restrictions apply– Can’t Represent Your New Company Before Any

Federal Entity, Including the Army and DoD.– Behind the scenes work OK.– Must have Permission from Supervisor in Writing

to work while on terminal leave.

Post-Government Employment

• Restrictions (cont):– “Side Switching” Prohibition

• Applies to all former officers and civilian employees• One year cooling off period for GOs and SES• Lifetime prohibition on representing your company

(or employer) on any issue, contract, project on which you participated “personally and substantially” while on active duty.

• Two year prohibition if you had “official responsibility” for a matter while on active duty

• One year prohibition for “senior employees” (O-6 & GS15 above)

• Criminal Penalties apply

Post Government Employment

• Restrictions (cont):– “Side Switching” prohibition does NOT prohibit

an employee from working for any entity– Only restricts HOW a former employee may

work for the entity• May not communicate or appear with the intent to

influence a particular matter• On behalf of anyone other than the government• Does not bar behind the scenes involvement

Procurement Integrity Act

• Cannot accept compensation from contractor for one year after:– Serving as a Source Selection Board Member

(SSEB), Source Selection Authority (SSA), or Contracting Officer (KO), in connection with a contract award in excess of $10 million.

– Serving as a Project Manager (PM), Deputy PM, or KO in connection with a contract over $10 million.

– Personally made a decision to award a contract, subcontract, modification, or option in excess of $10 million; approve payments to a contractor in excess of $10 million; pay or settle a claim in excess of $10 million.

The Ethical Path

• Public Service: a position of trust and a duty of integrity– Avoid conflicts of interest.– Avoid an appearance of any conflict of

interest.– Conduct yourself so that you would not

hesitate to make full public disclosure (again, the Washington Post test).

• If not sure: Seek advice before you do anything.

Conclusion

• Why Ethics Training?

• Gifts

• Private Organizations

• Use of Government Resources

• Conflicting Financial Interests

• Post-Government Employment

Questions?