GOVERNMENT ETHICS Navy & Marine Corps Relief Society Captain Lisa Woo, USMC Deputy Staff Judge Advocate MCRD San Diego/WRR (619) 524-0789 lisa.woo@usmc.mil

GOV’T ETHICS LEGAL RESOURCES Title 18, United States Code Presidential Executive Order 12674 DoD 5500.7-R (Standards of Conduct) 32 Code of Federal Regulations 2635 SECNAVINST 5340.7 Ethics Gram 14-01 5 CFR 2635.808 Fundraising rules – widely distributed in a number of references, consolidate most important principles

GOV’T EMPLOYEE ETHICS RULES Basic Obligations of Public Service Bedrock Standards of Conduct 32 CFR 2635.101 14 General Principles *Ensure Public Confidence in its Gov’t*

BASIC OBLIGATIONS OF FEDERAL SERVICE Public service is a public trust Place public trust over private gain Don’t acquire/retain private financial interests that appear to/do conflict with official duties Act impartially in performing your duties Protect and conserve the federal property and resources entrusted to you Applies to range of conduct, not just fundraising activities for NMCRS

BASIC OBLIGATIONS OF FEDERAL SERVICE No financial transactions using non-public info or the improper use of such information to further a private interest Cannot give preferential treatment to any private organization or individual Do not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official government duties Avoid actions creating an appearance that you are in violation of the law or ethical standards Appearance is the catch-all for unethical conduct

WHO DO THE RULES APPLY TO? Officers Enlisted (minor exceptions) Civilian federal employees Contractors (If compliance set forth in Contract) Some former government employees Reservists If performing official duties On inactive training Earning retirement points

VIOLATION CONSEQUENCES? Criminal Prosecution Military = UCMJ Violations Civilians = Federal Prosecution Administrative Action NJP Adverse Action Civil Penalties Embarrassment, loss of trust, being fired (civilian DoD)

FUNDRAISING ACTIVITIES 5 CFR 2635.808 – Subject to restrictions Distinction between Official & Personal Capacities - Official – part of official duties – Workplace * May use official title & position * CFC, NMCRS, “By Your Own/For Your Own” - Personal – Off Duty, Not to Subordinates * Cannot Use or Permit use of official title or position associated with public office to further the fundraising effort, but can use rank and/or service Ethics for Fundraising Activities Differentiation between fundraising activities in personal versus official capacity. Personal – (less limitations than during official time), can raised funds outside of federal workplace and donate money to NMCRS, not expected by the command since command cannot endorse off-base fundraising efforts.

FUNDRAISING ACTIVITIES (Cont.) JER 3-210 – Fundraising/Membership Drives - Employees shall not officially endorse any Non-federal Entity (NFE) except: * Combined Federal Campaign (CFC) * Navy & Marine Corps Relief Society * “By-Your-Own/For Your Own” (BYO-FYO) • JER 3-300 – Personal Participation in NFEs - May voluntarily fundraise outside official duties - Use of titles tends to suggest official endorsement or preferential treatment by DoD of the NFE - Purely personal, unofficial volunteer efforts to support fundraising outside the workplace is authorized - Component Heads can authorize non-workplace sites Command endorsed fundraising activity permissible for (3) occasions. BYOFYO - As the coordinator, for the most part you will be acting in your official capacity when you’re engaged in fundraising efforts for the NMCRS

PERMISSIBLE FUNDRAISING OFFICIAL CAPACITY VOLUNTARY CONTRIBUTION General Announcement, providing POC Solicit from Active Duty during duty hours Cannot solicit from DoD civilians, contractors May accept contributions from all sources Car wash, Bake sale, Trivia contest (entrance fee), 5K run, bowling tournament Senior officials may voluntarily offer prizes for raffle, trivia contest prize

FUNDRAISING IN PERSONAL CAPACITY Do not solicit from subordinates Do not solicit from DoD contractors Efforts (off-base) do not imply DoD endorsement No use of official title or position Rank and branch are permissible, but look at context Do not use government resources Highlights

FUNDRAISING – “TROUBLED WATERS” Campaign “Potholes” - Setting 100% participation goal - Inquiry re whether or amount of donation - Establishing personal $$ goals and quotas - Creating/using Non-Contributor Lists - Using campaign results in FITREP appraisals - Official off-base fundraising for the NMCRS is not permissible Mass Announcements are permissible

FUNDRAISING – “TROUBLED WATERS” Sale/Rental Use of Gov’t property/privilege - Military Civilian Clothes Privileges - Special Liberty - Preferred Parking

FUNDRAISING – “TROUBLED WATERS” Prohibitions Against Gambling - Generally, State Law Controls (Cal. PC 319-20) * “Crimes against Public Decency & Good Morals” • SECNAVINST 5340.7-NMCRS Annual Fund Drive - No Raffles (Except NMCRS Annual Fund Drive, only when approved by SECNAV & “consonant w local law”) - No Carnival-type Games of Chance - No Solicitation of Businesses - Prize Donations - No Use of Gov’t Property as Raffle Prizes

FUNDRAISING – CAL RAFFLES California Constitution prohibition on raffles/lotteries March 2000 - Proposition 17 & SB639 CAL Penal Code §320.5 “Eligible Organizations” – “Beneficial or Charitable purposes” OK if organization complies w defined process - In-state raffles only/Detachable coupons or stubs - 90% proceeds must be used for beneficial goals - Must first register with CAL Dept. of Justice - Provide Fed TIN, CAL corporate or Charitable Trust # - Accounts subject to state Audit - Must file annual report with aggregate receipts, direct costs incurred and charitable/beneficial purposes met

QUESTIONS?