SPOUSE LEADERSHIP DEVELOPMENT COURSE ETHICS TRAINING

Ethics Questions? Contact your ethics counselor before you act.

Why Ethics Rules? Ensure we perform our mission with public interest in mind. Uphold public’s confidence in integrity of Government.

Common Ethical Issues Fundraising and FRG Support Use of Government resources and time; Gifts from outside (non-Federal) sources; Gifts between employees in the workplace; Official relationships with, official support to, and personal participation in, non-Federal associations (e.g. AUSA, ABA, FBA, AAAA, SAME, ASME, etc.); Use of official position/improper endorsement of non-Federal activities; Outside employment and speaking, teaching or writing Conflicts of interest issues; Job-hunting and post-Government employment restrictions; Handling of inside information.

Ethics Relate to Spouses When a Spouse acts based on the position, capacity, or organization of the service member or DOD Employee, joint ethics regulations apply with any consequences or remedies directed at the service member or DOD Employee. “Commanders have an obligation to provide assistance to establish and maintain personal and Family affairs readiness.” (AR 600-20, paragraph 5-10)

Family Readiness Groups

Family Readiness Groups Family Readiness Groups (FRGs) are official “command sponsored” Army programs Primary purposes of FRGs: Disseminate information Ensure personal and family readiness Provide mutual support and assistance Help families solve problems at the lowest level

Appropriated Funds Government resources may be authorized by the commander to support the FRG mission. Office space; Computer and office equipment, faxes, emails, scanners; Paper and printing supplies to publish an FRG newsletter; Official mail as approved by the unit commander; Government vehicles; Child care; Statutory volunteer labor. (AR 608-1, J-3)

FRG Funding Volunteers’ incidental (out of pocket) expenses may be reimbursable. Must be “necessary” and “reasonable.” Examples: training travel mileage parking long distance telephone calls child-care expenses Not for social or fundraising activities. 10 USC 1588; AR 608-1, J-4; Commander’s FRG Budget SOP

FRG Informal Funds Sources: Fundraising (AR 608-1, J-7d) Gifts to the informal fund (AR 608-1, J-7f) $1,000 or less/gift. After consultation with unit’s ethics counselor. Income cap = $10,000 from all sources, including fundraising, gifts, and donations.

FRG Fundraising Authorized for FRG Informal Funds only. No authority to raise funds to support mission-essential activities. “FRGs are not established to raise funds, solicit donations, or manage large sums of money…”. (AR 608-1, J-7) Internal fundraising only. FRG may fundraise from its own community members or dependents and from all persons benefitting from the FRG. (AR 608-1, J-7d)

FRG Fundraising Procedures Appropriate infrastructure established – SOP, Fund Custodian Purpose of fundraising consistent with the approved SOP Manner of fundraising consistent with the JER and AR 600-29 FRG Commander must coordinate with the commander with jurisdiction over the location of fundraising Commanders must consult with SJA/Ethics Counselor and avoid conflicts of interest

Fundraising FRGs have limited fundraising authority FRGs may create informal funds Members of FRGs may only fundraise for informal funds among their own members What does this mean?

Fundraising Fundraising. Any activity conducted for the purpose of collecting money, goods or other support for the benefit of others. (AR 600-29) Fund-raising Event. An event or activity with the purpose of soliciting money or materiel for charitable, civic, or educational organizations, organizational operations, or similar purposes, by any means, beyond that necessary to cover the reasonable costs of the event. (DoDI 5410.19, E2.1.26.)

Gifts and Donations to FRG FRG may not solicit gifts and donations. (AR 608-1, J-8) However - In response to an appropriate inquiry, may inform of the needs of the Army in relation to assisting Army families. (AR 608-1, J-8) Gifts to the Army intended for FRG support (AR 608-1, J-9): Added to the FRG supplemental mission account as NAFs. Used by commander for any purpose that clearly supplements an established mission of the FRG so long as appropriated funds are not authorized. Example: Purchase food and beverages to encourage maximum attendance and participation at FRG meetings.

ALL FUNDRAISERS AND CONTRIBUTIONS ARE VOLUNTARY Solicitation LIMITATION ON SOLICITATION OF GIFTS —The Secretary of Defense shall prescribe regulations implementing [10 U.S.C. §2601], that prohibit the solicitation of any gift under such sections by any employee of the Department of Defense if the nature or circumstances of such solicitation would compromise the integrity or the appearance of integrity of any program of the Department of Defense or of any individual involved in such program. Financial Management Regulation, Vol. 12, Chap. 30 “[P]ersonnel shall not solicit, fundraise for, or otherwise request or encourage the offer of a gift.” ALL FUNDRAISERS AND CONTRIBUTIONS ARE VOLUNTARY Cannot enter fact of participation or nonparticipation into an individual's performance appraisal or evaluation report. •No lists of non-contributors. •No granting of special favors, privileges, or entitlements, such as special passes or leave privileges which are an inducement to contribute (* exclusion from duty roster). •Cannot be an express or implied requirement to give as a condition to the granting of normal privileges and entitlements, violates both the letter and spirit of this regulation.

Other FRG Ethics Concerns Commanders may not authorize travel or reimbursement of volunteer incidental expenses for members of their household or other persons that could present a potential conflict of interest. FRG appropriated fund resources may not be used to support: Private organization activities; Internal fundraisers; Commercial ventures.

GIFTS

Focus on Gifts First, what is a gift? Second, are there any specific items that are not gifts? Third, what are the rules governing the acceptance of gifts from specific sources? Lastly, if you are given a gift that you cannot keep, what are your alternatives?

What is a Gift? A gift is almost anything of monetary value, be it tangible item or a service.

What is NOT a Gift? Modest items of food and refreshments. Prizes in contests open to the public. Greeting cards and items of little intrinsic value. Commercial discounts.

GENERAL RULE An employee shall not solicit or accept, directly or indirectly, a gift from a prohibited source or a gift given because of the employee’s official position.

Types of Gifts Gifts from Outside Sources Gifts from Foreign Governments Gifts Between Employees

What is an Outside Source? Prohibited Source Seeking Government action Does business or seeks to do business with the Government Conducts activities regulated by the Government Interests substantially affected by Government agency 2. Because of Official Position

Outside Sources The Method of Analysis: Would a reasonable person with knowledge of the relevant facts question the employee’s integrity or impartiality as a result of accepting the gift? 2. If not, is the item actually a gift (exclusions)? 3. If so, is there an exception?

Outside Sources First Question: Threshold Question 1. Every employee has a fundamental responsibility to the United States and its citizens to place loyalty to the Constitution, laws, and ethical principles above private gain. An employee’s actions should promote the public’s trust that this responsibility is being met. For this reason, employees should consider declining otherwise permissible gifts if they believe that a reasonable person with knowledge of the relevant facts would question the employee’s integrity or impartiality as a result of accepting the gift.

Outside Sources First Question: 2. An employee who is considering whether acceptance of a gift would lead a reasonable person with knowledge of the relevant facts to question his or her integrity or impartiality may consider, among other relevant factors, whether: (a) The gift has a high market value; (b) The timing of the gift creates the appearance that the donor is seeking to influence an official action; (c) The gift was provided by a person who has interest that may be substantially affected by the performance or nonperformance of the employee’s official duties; and (d) Acceptance of the gift would provide the donor with significantly disproportionate access.

Outside Sources Second Question: Is it a Gift? If it is a gift, are there any exclusions?

Outside Sources Third Question: Do the rules provide an exception permitting acceptance of the gift? Gifts of $20 or less ($50 max for year) Gifts based on personal relationship Discounts and similar benefits Exceptions for Enlisted Personnel E-6 and Below

Gift Disposal Just say “NO” (Refuse or return the item) Pay for it (fair market value) If tangible item is <$100 you may now destroy it If perishable (with Supervisor or EC approval) Give it to charity Share within office Destroy it

Gifts Between Employees

Gifts Between Employees General Rule An employee shall not, directly or indirectly: 1. Give a gift to an official superior 2. Donate or solicit donations for a gift for a superior 3. Accept a gift from a lower-paid employee, unless the donor and recipient are personal friends not in an official superior-subordinate relationship.

Gifts Between Employees EXCEPTIONS Occasional Basis: traditional gift giving occasion Special and Infrequent Occasions: Marriage, PCS, Retirement

Gifts Between Employees EXCEPTION #1 Occasional Basis (traditional gift giving situations): items must be $10 or less food shared in the office personal hospitality in subordinate’s home host/hostess gifts

Gifts Between Employees EXCEPTION #2 Special Infrequent Occasions: Occasions that are of personal significance, OR Superior-subordinate relationship ends, and Gift is “appropriate to the occasion”

Gifts Between Employees Gifts Appropriate to the Occasion $300 limit per donating group $10 limit on solicitation among subordinates Voluntary contributions Not subject to “buy down”

Resources Consult your Administrative Law Attorney or Brigade Legal Office Early and Often Provide full disclosure of details and intent If you receive a ‘No’ answer, the answer is ‘No’ Ask the advising attorney if there is a way to get to ‘Yes’. Comply with guidance

Conclusion The rules set a minimum standard of conduct The question you should be asking is, even if legal, is my proposed action the right thing to do? Ask whether your actions: Are in the best interest of DoD; Serve to enhance public confidence in DoD programs and operations; or Will cause the public to question your integrity or impartiality. Play it safe – ask your ethics counselor BEFORE taking any action

QUESTIONS? SSG Josh Standerfer Paralegal NCO U.S. Army Sergeants Major Academy 580-210-0083 Joshua.d.standerfer.mil@mail.mil