1. Ethics Training Office of the Staff Judge Advocate 304-561-6619
State Ethics Counselor: LTC Kelly Ambrose
Instructor Comments:
CONTACT YOUR ETHICS COUNSELOR BEFORE YOU ACT!!!
If you have questions on how the ethics rules may apply to your particular situation, please contact your ethics counselor before taking action. It is much smarter (and safer) to get advice in advance, to avoid the risk of taking inappropriate actions, even though they may be very well-intentioned. Improper conduct may be career-ending, as well as result in costly civil or criminal penalties, or adverse administrative actions.
The information in this training package will assist you with spotting issues. The best practice for issue spotting is to include your ethics counselor during planning meetings for activities that require consideration of these ethical rules.
Instruction Note:
Selected Note Pages contain instruction comments to assist with the presentation.
This Standard Training Package (STP) is current as of 1 Jan To ensure this is the most current version, please go to and log onto JAG University, and locate the STPs within the JAGU Resources tab.
This entire presentation CANNOT be completed in a one-hour class. It is designed to be used as a refresher and should be tailored to the specific audience or to meet specific concerns. These slides DO NOT address every ethics issue and they should not be used as a substitute for individual advice offered by an ethics counselor. Here are suggested groupings of slides:
Introduction – Slides 1-8
Use of Communications Equipment/Government Property/Official Position – Slides 9-32
Gifts – Slides 33-69
Family Readiness Groups/Official and Personal Participation in Private Organizations – Slides 70-99
Seeking Employment Outside the Government/Post-Government Employment – Slides
Conclusion – Slides
All OGE 450 and OGE 278 filers are required to receive at least one hour of annual ethics training that complies with the provisions of 5 CFR
Note, in addition to the annual face-to-face training, acquisition personnel are required to have another hour of face-to-face training, which is tailored to acquisition ethics. Personnel in the acquisition process should contact their ethics counselor for further information.
Background:
Useful Websites:

2. Why Ethics Rules?
Ensure we perform our mission with public interest in mind.
Uphold public’s confidence in integrity of Government.
Instructor Comments:
As Soldiers/Airmen, we act for the benefit of the American public, not for private interests. The ethics rules are intended to ensure that we perform our mission with that public interest in mind. Our adherence to ethics principles, and the rules that implement them, is important because it upholds the public’s confidence in the integrity of our Government.

3. Key Laws and Regulations
14 Principles of Ethical Conduct
Standards of Ethical Conduct for Executive Branch Employees 5 C.F.R. Part 2635
The Joint Ethics Regulation (JER), DoD R (Change 7)
18 U.S.C. §§ 203, 205, 207, 208
Also, check local command policy.
It can be more restrictive!
Instructor Comments:
Standards of Conduct, or ethics, has several main sources of law and regulation.
This briefing focuses primarily on DoD R, the Joint Ethics Regulation.
The JER applies to all of the services and DOD components.
Portions of the JER are punitive. Any of the Rules that are printed in bold italics are the same as a General Order. If you violate these provisions of the JER you can face up to two years in jail and a punitive discharge.
Background:
Standards of Ethical Conduct for Executive Branch Employees 5 C.F.R. Part 2635
The Joint Ethics Regulation (JER), DoD R [Hereinafter “JER”]
18 United States Code Sections 203, 205, 207, 208
AR , Private Organizations of Department of the Army Installations
AR 608-1, Army Community Service Center
Executive Order (12 April 1989)
AR , Army Command Policy

4. Discussion Topics
What forms the Ethics Rules and the Code of Ethics – 14 Principles
Use of Communications Equipment
Use of Government Property
Use of Official Position
Gifts
Family Readiness Groups
Official and Personal Participation in Private Organizations
Seeking Employment Outside the Government
Post-Government Employment
Instructor Comments:
Here are the topics that are going to be covered today.
If you have questions during the class, at any time, don’t hesitate to ask.

5. Code of Ethics Instructor Comments:
The C.F.R. (5 C.F.R Basic Obligation of Public Service) lists 14 ethical mandates for federal employees.
These 14 principles are a good starting place for our class because they provide general guidelines that are written so broadly that they cover everything else we will discuss today.
The most helpful, and the easiest to apply, is the 14th. Take a moment to read it. If employees adhere to this rule, all the time, then they will rarely, if ever, have a problem with ethics violations. Basically, if anything a Soldier or Employee does could make the Army look bad, don’t do it. Bottom-line, if you think something might violate principle 14, go see your Ethics Counselor.
The 14 ethical mandates present at 5 C.F.R were originally created in an Executive Order (EO 12674, dtd. April 12, 1989). LTG Black, the former Army TJAG, wrote the original draft while serving in Washington, D.C. as a major.
Background:
5 C.F.R , Basic Obligation of public Service
Executive Order (12 April 1989)

6. Employees’ Responsibilities under Executive Order 12674 (as amended):DO
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 fraud, waste, and abuse, and corruption to appropriate authorities.
Fulfill in good faith your obligations as citizens, and pay your Federal, State, and local taxes.
Comply with all laws providing equal opportunity to all persons, regardless of their race, color, religion.

7. Employees’ Responsibilities under Executive Order 12674 (as amended) (cont):
DO NOT
Use nonpublic information to benefit yourself or anyone else.
Solicit or accept gifts from persons or parties that do business with or seek official action from DOD (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 appear illegal or unethical.

8. Use Of Government Communications Equipment
Instructor Comments:
The first substantive area of ethics guidelines we are going to cover is Use of Government Communications Equipment.
General Rule. Employees must protect and conserve government property and use it (or allow its use) only for authorized purposes.
Employees have a duty to protect and conserve federal property (Principle 9) and must refrain from using or allowing its use for purposes other than those for which it is made available to the public or those authorized in accordance with law or regulation (5 C.F.R ).
Background:
5 C.F.R , Basic Obligation of Public Service
5 C.F.R , Use of Government Property
31 U.S.C. § 1301, 1344
JER § 2-300b

9. Ethics Principles Public service is a public trust (#1)
Duty to protect and conserve Government property (#9)
Government resources may only be used for authorized purposes (#9)
Instructor Comments:
Two of the 14 ethical principals are relevant to the use of communications equipment.
Generally, Soldiers should always remember that every piece of Government equipment, communications or not, is provided by the taxpayers’ dollars.
Congress appropriates those dollars for the military to buy and use equipment for specific purposes. It is our duty to ensure that the Government resources are used only in the manner approved for use.
Background:
5 C.F.R , Basic Obligation of Public Service

10. Official Use and Authorized Purposes Only
Includes the following types of communications equipment:
Telephones
Fax Machines
Computers
Internet
Instructor Comments:
Virtually every type of communications gear in the Army inventory is covered by the requirements that it be used for official or authorized uses only. The JER specifically addresses use of communications systems. “Federal Government communication systems and equipment (including Government owned telephones, facsimile machines, electronic mail, internet systems, and commercial systems when use is paid for by the Federal Government) shall be for official use and authorized purposes only.”
Federal communications; equipment including governmental owned telephones, facsimile machines, electronic mail, Internet systems, and Personal Digital Assistants (PDA) (i.e., Blackberries), are available only for official use and authorized purposes.
(1) "Official use" includes emergency communications, communications that are necessary in the interest of the government; and "morale and welfare" communications by DoD personnel on extended deployments.
(2) "Authorized purposes" include brief calls home while TDY to notify family of official transportation or schedule changes.
(3) Personal communications from the workplace are also authorized, if supervisor determines that communication (a) presents no adverse affect on official duty performance; (b) is of reasonable duration and frequency and made during personal time whenever possible; (c) serves a legitimate public interest; (d) presents no adverse reflection on DoD; and (e) creates no overburden of the communication system or creates no significant additional cost to DoD. Personal calls incurring a toll charge (long distance) to the Government are unauthorized.
The Code of Federal Regulations states specifically states that “an employee has a duty to protect and conserve Government property and shall not use such property, or allow its use, for other than authorized purposes. … Government property includes … telephone and other telecommunications equipment and services, the Government mails, automated data processing capabilities, [and] printing and reproduction facilities.”
Background:
5 C.F.R , Use of Government Property

11. Official Use
Communications that are necessary in the interest of Government
Emergency communications
Morale and welfare communications (extended deployments)
Instructor Comments:
The JER (2-301) states “Official use includes emergency communications and communications that the DoD Component determines are necessary in the interest of the Federal Government.”
Official use also includes health, morale, and welfare (HMW) communications by military members and DOD employees who are deployed in remote or isolated locations for extended periods of time on official DOD business. When authorized by the theater combatant commander, the theater commander will institute local procedures to authorize HMW communications when commercial service is unavailable or so limited that it is considered unavailable. HMW calls may be made only during nonpeak, nonduty hours and should not exceed 15 minutes once per week. The commander may authorize calls that exceed this limit and frequency on an exception basis.
Background:
JER §2-301 Use of Federal Government Resources
5 C.F.R , Use of Government Property

12. Authorized Use 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)
Instructor Comments:
Typically, official use is the straightforward issue; authorized use is where the questions typically come.
Some authorized uses are specifically mentioned in the JER. “Authorized purposes include brief communications made by DoD employees while they are traveling on Government business to notify family members of official transportation or schedule changes. They also include personal communications from the DoD employee’s usual work place that are most reasonably made while at the work place (such as checking in with spouse or minor children; scheduling doctor and auto or home repair appointments; brief internet searches; ing directions to visiting relatives).” The C.F.R. provides an example: “an employee may make a personal long distance call charged to her personal calling card.”
Personal communications from the workplace are also authorized, if a supervisor determines that the communication (a) presents no adverse affect on official duty performance; (b) is of reasonable duration and frequency and made during personal time whenever possible; (c) serves a legitimate public interest; (d) presents no adverse reflection on DoD; and (e) creates no overburden of the communication system or creates no significant additional cost to DoD. Personal calls incurring a toll charge (long distance) to the Government are unauthorized.
Background:
JER §2-301, Use of Federal Government Resources
5 C.F.R , Use of Government property

13. Cell Phones Official Use Limited Authorized Use Permissible
AR (25 March 2013)
(note: the guidance in this area has changed considerably with the new regulations AR 25-1 and AR 25-13)
Instructor Comments:
These types of telephones will not be used in lieu of established "wired" telephones. These devices are to be used for official business and authorized use only and may be approved for handheld portable use and/or installed in Government vehicles. Official use of these phones will be limited to requirements that cannot be satisfied by other available telecommunications methods and are authorized when warranted by mission requirements, technical limitation, feasibility, or cost considerations. Authorized personal use of cellular phones is subject to the same restrictions and prohibitions that apply to other communications systems.
Examples of appropriate applications for these telephones are as follows:
(a) Emergency management and emergency restoration situations.
(b) Specifically designated projects and/or mission-unique requirement (for example, work being performed in geographically remote areas, or work where continuous communication is required).
(c) Safety of personnel, unit or organization security.
(d) Fly-Away or Drive-Away kits/sets for contingency purposes.
Cellular telephones are useful during emergencies but should not be considered the primary or total solution to emergency communications requirements due to inherent vulnerabilities and limitations of cellular technology.

14. E-mail And Internet Official Use Authorized Use
- Brief internet searches
- ing directions to visiting relatives
- Scheduling doctor or home repair appointments
Authorized use may not interfere with official duties or undermine readiness
May not overburden communications system
Instructor Comments:
The internet may be used for official government business. Some examples are searching for government purchases, travel, or any mission related research. The Early Bird is a good example of using the internet to keep abreast of military related news.
The main issue regarding the use of the internet is overuse. Leaders must ensure that Soldiers do not over use the internet so that it impairs productivity.
JER §2‑301a (2) “Authorized purposes include brief communications made by DoD employees while they are traveling on Government business to notify family members of official transportation or schedule changes. They also include personal communications from the DoD employee's usual work place that are most reasonably made while at the work place (such as checking in with spouse or minor children; scheduling doctor and auto or home repair appointments; brief internet searches; e‑mailing directions to visiting relatives) when the Agency Designee permits categories of communications…”
JER §2-301a(3) also states that “DoD employees shall use Federal Government Communications systems with the understanding that such use serves as consent to monitoring of any type of use, including incidental and personal uses, whether authorized or unauthorized. In addition, use of such systems is not anonymous. For each use of the internet over Federal Government systems, the name and computer address of the DoD employee user is recorded by the Government and also by the locations searched. “
Gambling. It is improper for Soldiers to use the Government internet service to gamble.
Note also, a DTM issued by DoD in early 2010 regarding the use and availability of social networking sites. Essentially the DTM directs that social networking sties should be made available on government computer networks. The fact that these sites are now available does not alleviate the responsibility to comply with the JER. For example, pornography or other content that reflects adversely on the DoD is still prohibited. Therefore, Soldiers should think twice before they access their Facebook and MySpace pages at work, especially when they can’t always control what someone else posts.
Background:
JER §2-301, Use of Federal Government Resources
JER §2-302, Gambling

15. NO!!!!! Pornography or obscene material
Copyright infringement (such as the sharing of copyright material by means of peer-to-peer software)
Gambling
Unofficial advertising, soliciting, or selling except on authorized bulletin boards established for such use
Chain letters
Inappropriately handled classified information
Instructor Comments:
As we discussed, use of a system in a manner that would reflect negatively on DoD is prohibited. The JER specifically identifies “pornography; chain letters; unofficial advertising; soliciting or selling except on authorized bulletin boards established for such use; inappropriately handled classified information; and other uses that are incompatible with public service.”
You may not use the government internet or to run a private business.
Many people ask about eBay. Can they check eBay while at work? The answer is probably yes for a one-time sale, checked during a break or lunch. However, if a Soldier is selling many items, that might be considered running a business and be prohibited.
Some commands may prohibit accessing eBay or other sites during the duty day.
JER §2-301(d) “Do not put Federal Government communications systems to uses that would adversely reflect on DoD or the DoD Component (such as uses involving pornography; chain letters; unofficial advertising, soliciting or selling except on authorized bulletin boards established for such use; violations of statute or regulation; inappropriately handled classified information; and other uses that are incompatible with public service).”
Background
JER § 2-301, Use of Federal Government Resources

16. Use Of Other Government Equipment
Use other Federal Government equipment and property only for official uses or authorized purposes as approved by your supervisor.
Instructor Comments:
Government resources (other than personnel, communications equipment, and vehicles) may be authorized for personal use if a supervisor determines that the use creates no adverse affect on official duty performance; is of reasonable duration and frequency and occurs only during the employee’s personal time; serves a legitimate public purpose; creates no adverse reflection on DoD; and creates no significant additional cost to DoD.
The JER states “Federal Government resources, including personnel, equipment and property, shall be used by DoD employees for official purposes only” except that the commander (or agency designee) by permit DoD employees to use Federal Government resources in limited circumstances.
The factors to be considered include:
(a) The use does not adversely affect the performance of official duties by the DoD employee or the DoD employee’s organization.
(b) The use is of reasonable duration and frequency, and made only during the DoD employee’s personal time such as after duty hours or lunch periods;
(c) The use serves a legitimate public interest (such as supporting local charities or volunteer services to the community; enhancing the professional skills of the DoD employee; job-searching in response to Federal Government downsizing);
(d) The use does not put Federal Government resources to uses that would reflect adversely on DoD or the DoD Component (such as involving commercial activities; unofficial advertising, soliciting or selling; violation of statute or regulation; and other uses that are incompatible with public service); and
(e) The use creates no significant additional cost to DoD or the DoD component.
Background:
JER §2-301, Use of Federal Government Resources
5 C.F.R , Use of Government Property

17. Use Of Official Time
Rule: Use official time in an honest effort to perform official duties. Remember: Your time is a Government Resource!
Instructor Comments:
Employees must use official time in an honest effort to perform official duties, unless authorized under law or regulation to use official time for other purposes.
The C.F.R. states “An employee not under a leave system… has an obligation to expend an honest effort and a reasonable proportion of his time in the performance of official duties.” 5 C.F.R (a).
5 C.F.R (a) Public service is a public trust. Each employee has a responsibility to the United States Government and its citizens to place loyalty to the Constitution, laws and ethical principles above private gain. To ensure that every citizen can have complete confidence in the integrity of the Federal Government, each employee shall respect and adhere to the principles of ethical conduct set forth in this section, as well as the implementing standards contained in this part and in supplemental agency regulations.
(5) Employees shall put forth an honest effort in the performance of their duties.
Background:
5 C.F.R , Use of Official Time
5 C.F.R , Basic Obligation of Public Service

18. Use Of Personnel
Rule: Do not ask subordinates to perform tasks outside their official duties.
Instructor Comments:
The C.F.R. states that “An employee shall not encourage, direct, coerce, or request a subordinate to use official time to perform activities other than those required in the performance of official duties or authorized accordance with law or regulation.” 5 C.F.R (b).
The JER states that “[b]ecause of the potential for significant cost to the Federal Government, and the potential for abuse, DoD employees, such as secretaries, clerks, and military aides, may not be used to support the unofficial activity of another DoD employee in support of non-Federal entities, nor for any other non-Federal purposes, except as provided in subsections and 3-3—b.” DoD R,
Enlisted aides have specific rules. The rules are in DoD Directive , Utilization of Enlisted Personnel on Personal Staffs of General and Flag Officers, and AR , Enlisted Assignments and Utilization Management.
The C.F.R. provides an example: An employee of the Department of Housing and Urban Development may not ask his secretary to type his personal correspondence during duty hours. Further, directing or coercing a subordinate to perform such activities during nonduty hours constitutes an improper use of public office for private gain in violation of Sec (a). Where the arrangement is entirely voluntary and appropriate compensation is paid, the secretary may type the correspondence at home on her own time. Where the compensation is not adequate, however, the arrangement would involve a gift to the superior in violation of the standards in subpart C of this part.
Background:
5 C.F.R Use of Official Time
JER §3-211, Logistical Support of Non-Federal Entity Events
JER §3-303, Use of Federal Government Resources

19. GIFTS

20. 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?
Instructor Comments:
We are going to focus on the following areas:
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? We will discuss gifts from outside sources, fellow employees and foreign governments.
Lastly, if you are given a gift that you cannot keep, what are your alternatives?

21. What is a Gift?
A gift is almost anything of monetary value, be it tangible item or a service.
Instructor Comments:
What is a gift? A gift is anything of monetary value, such as cash, meals, hospitality, trips, tickets to events, discounts, and services.
It can be a gratuity, discount, favor, entertainment, hospitality, forbearance, training, transportation, lodging, meal, or anything else of monetary value.

22. 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.
Instructor Comments:
Now for the 2nd question: Are there any specific items that are not considered to be gifts and are therefore acceptable? The following are items that are not gifts even though they have monetary value.
1. Modest items of food and refreshments (coffee and donuts) not served as a meal.
2. Prizes in contests open to the public.
3. Greeting cards and items with little intrinsic value such as plaques, certificates, and trophies that are intended solely for presentation. Items that have intrinsic value, such as crystal vases, are considered gifts even when they are inscribed and presented.
4. Commercial discounts available to the public or to all government or military personnel. For example, “free ice cream cones to all Fort Bragg Soldiers on Tuesdays.”
5. Anything for which you pay fair market value.
If offered, you may keep the above items because they are not considered to be gifts.

23. 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.
Instructor Comments:
Now that we’ve talked about the broad definition of a gift and some of the exclusions from that definition, let’s focus on the third question: “What are the rules governing the acceptance of gifts from outside sources?” The following is the general rule and you will soon see that there are exceptions which we will talk about.
You may never solicit a gift.
You may not accept a gift from a prohibited source. We will discuss what a prohibited source is in more detail.
You may not accept a gift given to you because of your official position.
Background:
5 CFR (a)

24. Types of Gifts Gifts from Outside Sources
Gifts from Foreign Governments
Gifts Between Employees
Instructor’s Comments:
In determining how to analyze whether or not you can keep a gift, the fundamental question is “Who is giving the gift?” The answer will determine which analysis we use to determine whether or not you can accept the gift.
There are three sources that concern us:
Outside sources – which is made up of those gifts from prohibited sources and those gifts given because of your official position.
Gifts from a fellow Foreign Governments, and
Gifts Between Employees

25. 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
Instructor’s Comments:
Let’s first look at Gifts from Outside Sources. An immediate question is, what is an outside source?
It is either a prohibited source or a gift given because of an employee’s official position.
What is a “prohibited source?”
It is any private individual or nonfederal organization that
--is seeking official action by DoD
--does or seeks to do business with DoD
--conducts activities that are regulated by DoD
-- has interests that may be affected by the performance of an employee’s official duties; or
-- is an organization, a majority of whose members fall under one of the above categories.
Looking at the second category, how do you know if a gift is given because of an employee’s official position? It is simple. If the gift would not have been offered if the employee was not in a certain official position, then it was offered because of that official position. A couple of examples will help clarify:
If a local ice cream shop offers free ice cream to all Fort Smith military personnel, it is clear that the free ice cream is given because of their official position. If you are not assigned to Fort Smith, you would not be offered the free ice cream.
Another example: The ice cream shop now offers free ice cream to all personnel working in the Blue Building, and you just so happen to work there. While many of the individuals working at the Blue Building are federal employees, there are also others from the private sector. In this case, the gift of free ice cream is not offered to you because of your official position. The ice cream is offered because you happen to work at the Blue Building.
Gifts from Outside Sources also include indirect gifts – those gifts given to a parent, spouse, sibling, child or dependent relative because of that person’s relationship to the employee. Such gifts are imputed to the employee. So, a gift given to a commander’s spouse because of the commander’s official position would be a gift to the commander.

26. Outside Sources The Method of Analysis:
Is it a gift (exclusions)?
Is there an exception?
Would acceptance of the gift undermine Government integrity?
Instructor Comments:
When analyzing gifts from outside sources, there are 3 questions you must ask:
Is it a gift? Are there any exclusions? An excluded item is one that otherwise meets the definition of a gift, but is not considered a gift under standards of ethical conduct gift rules.
If it is a gift, are there any exceptions?
If it is a gift that is covered by an exception that would allow acceptance of the gift, would acceptance undermine Government integrity?

27. Outside Sources First Question:
Is it a Gift?
If it is a gift, are there any exclusions?
Instructor Comments:
You are already familiar with the first question, “Is it a gift?” – Recall that a gift is anything with monetary value. However, there are certain things that have monetary value that are not considered gifts. These exclusions include:
The refreshment rule: if it is not intended as a meal, it is not a gift and therefore you may partake (coffee, donuts, and other snacks).
Greeting cards, plaques, prizes in contests open to the public, public discounts, and gifts for which you pay the fair market value.

28. Outside Sources Second 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
Instructor Comments:
The second question that must be asked if you determine that you indeed have a gift on your hands is “is there an exception that will permit acceptance of the gift?” Let’s talk about the common exceptions to the prohibitions on accepting gifts from outside sources and gifts offered because of your official position. We will focus on three common exceptions: 1) the $20/$50 exception; 2) gifts based on a personal relationship; and 3) discounts and similar benefits, as well as a recent change in policy enacted by Secretary Hagel.
The $20/$50 Exception: You may accept an unsolicited gift with a market value of $20 or less from a given source on a given occasion, so long as the total value of all gifts from that single source during a calendar year does not exceed $50. Employees may not pay the differential over $20 to keep the value of the gift under $20 or under $50 in order to keep the gift (no “buy down” rule).
So, if you are offered a gift that is worth $30, can you pay $10 and keep the gift? No. If the market value of the gift exceeds the $20 limit, you must either decline the gift, or, if you want to accept the gift, you must pay the full market value of $30. But if you are offered gifts with an aggregate market value of more than $20, you may accept items adding up to $20 and decline the rest. So, if you are offered three items, one with a market value of $5, another $15, and another $25. You may keep the items for $5 and $15, but must decline the $25 gift.
Gifts Based on Personal Relationship. You may accept a gift when it is clearly based on a personal relationship, not your official position. Relevant factors to consider in making a determination include history of the relationship and whether family member or friend personally paid for the gift.
Discounts and Similar Benefits. You may accept commercial discounts available to the general public or to all Government or military personnel. Would not apply to discounts limited to subgroups based on rank, position, or organization (i.e. “all officers” or “all members of XYZ unit”).
Waiver of Application of the Standards of Conduct Prohibition on the Acceptance of Gifts From Outside Sources for Enlisted Personnel, E-6 and Below, for the Limited Purpose of Gift Acceptance From Charitable and Veterans Service Tax-Exempt Organizations. On 16 May 2013, Secretary Hagel waived JER provisions related to gifts (other than cash) from outside sources to enlisted personnel, E-6 and below, for the limited purpose of permitting them to accept gifts from charitable and veterans service tax-exempt organizations. However, gifts intended to influence enlisted members in the performance of duties or to supplement salary are still prohibited by other provisions of the JER.
NOTE: An unsolicited offer of free attendance or free food at a widely attended gathering (WAG) is also an exception to the general prohibition on accepting gifts from outside sources. See slides for further discussion of WAGs.
Background:
5 CFR
5 CFR (b)(4)

29. Outside Sources Third Question:
Does Acceptance Undermine Government Integrity?
Instructor Comments:
Even if you may accept a gift, should you? The final question you must ask when dealing with gifts from outside sources is “does the acceptance of the gift undermine Government integrity?” It is an issue of appearances. If a gift falls exceptions, one may accept the gift. However, it is never inappropriate and often prudent to decline a gift offered by an outside source.
An employee cannot accept a gift if:
-- the gift is offered as a “quid quo pro” (bribe)
-- the gift is offered because of improper use of official position
-- acceptance would violate statutes (e.g. 18 USC 201(b) and 209)
-- too frequent in appearance (Does it appear that you are frequently accepting gifts from a particular source that may cause a reasonable person to conclude that you are using your public office for private gain).

30. Gift Disposal Just say “NO” (Refuse or return the item)
Pay for it (fair market value)
If Perishable (with Supervisor or EC approval)
Give it to charity
Share within office
Destroy it
Instructor Comments:
Handling Improper Gifts from Outside Sources: When an employee cannot accept a gift, the employee should:
Refuse the gift (if possible) or return the item and diplomatically explain the restrictions on acceptance of gifts by Federal employees.
Pay the donor the fair market value of the gift and keep a copy of the receipt/check for your records.
Perishable items may be donated to charity, shared within the office, or destroyed with the approval of the supervisor or ethics counselor.
Background:
5 CFR

31. 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.
Instructors Comments:
General Rules: An employee shall not directly or indirectly:
Give a gift or make a donation toward a gift for an official superior or solicit a contribution from another employee for a gift to either his own official superior or that of another; or
Accept a gift from a lower-paid employee unless the donor and recipient are personal friends who are not in an official superior-subordinate relationship.
“Official superior” means any other employee, including but not limited to an immediate supervisor, whose official responsibilities include directing or evaluating the performance of the employee or any official superior of the employee, i.e., anyone in the employee’s chain of command.
Background:
5 CFR a
5 CFR d

32. Gifts for Wounded & Injured
Acceptance of Gifts from Non-Federal Sources:
Special exception for Soldiers with qualifying injuries to accept gifts of any value
Retroactive to September 11, 2001
Must be unsolicited
Gifts over $375/$1000 per source per year
Require Written Waiver
Instructor Comments:
Pursuant to the authority at section 8127 of P.L , the FY 2006 Defense Appropriations Act,(reference (dd)), and notwithstanding 5 U.S.C (reference (b)), 5 C.F.R (reference (h)), and paragraph b., above, covered DoD employees, and the family members of such employees, may accept unsolicited gifts from non-Federal entities subject to the following limitations:
a. This authority does not apply to gifts from foreign governments and their agents.
b. This authority does not apply to gifts that
(1) are accepted in return for being influenced in the performance of an official act;
(2) are solicited or coerced; or
(3) are accepted in violation of any other statute, including 18 U.S.C. sections 201(b) and 209, (reference (i)).
c. For gifts with an aggregate market value in excess of "minimal value,“ currently defined as $375 as adjusted by the General Services Administration in accordance with 41 C.F.R (reference (ee)), per source per occasion, or with an aggregate market value exceeding $1000 received from any one source under the authority of this subsection in a calendar year, an agency ethics official must make a written determination that:
(1) The gift is not offered in a manner that specifically discriminates among covered DoD employees merely on the basis of type of official responsibility or of favoring those of higher rank or rate of pay;
(2) The donor does not have interests that may be affected substantially by the performance or nonperformance of the covered DoD employee’s official duties; and
(3) Acceptance would not cause a reasonable person with knowledge of the relevant facts to question the integrity of DoD's programs or operations.
An agency ethics official may issue a blanket determination to cover all or any category of gifts or all or any group of DoD covered employees.
Background:
JER

33. Family Readiness Groups
Instructor Comments:
Let’s talk a little about Family Readiness Groups. The Army recently issued a new appendix to AR that specifically addresses the status, support, and operation of FRGs.
AR 608-1, App. J states:
a. The FRG is a unit commander's program formed in accordance with AR Normally FRGs will be established at the company level, with battalion and brigade levels playing an important advisory role. FRGs are not a morale, welfare, and recreation program; a NAFI; a private organization; or a nonprofit organization.
b. An FRG is a command-sponsored organization of Soldiers, civilian employees, family members (immediate and extended) and volunteers belonging to a unit. FRGs will provide mutual support and assistance, and a network of communications among the family members, the chain of command, and community resources. FRGs will assist unit commanders in meeting military and personal deployment preparedness and enhance the family readiness of the unit's Soldiers and families. They will also provide feedback to the command on the state of the unit "family."
c. Family readiness is the mutual reinforcement and support provided by the unit to Soldiers, civilian employees, and family members, both immediate and extended.
Background:
AR 608-1, Army Community Service Center, Appendix J

34. 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
Formerly known as Family Support Groups (FSGs)
Instructor Comments:
The JER (Standards of Conduct/Ethics) applies to the operation of FRGs. “FRGs are official DA programs established pursuant to AR FRG mission activities and appropriated fund expenditures are subject to DoD R (JER), DoD R, 31 USC 341, and all other applicable statutory and regulatory restraints on official activities, use of appropriated funds, and fundraising.”
Due to the ever-present nature of the FRG, at all levels of command, all personnel should be aware of the restrictions that apply to FRGs. “FRGs will be established at the company level, with battalion and brigade levels playing an important advisory role. FRGs are not a MWR program, a Non-appropriated Fund Activity; a private organization; or a nonprofit organization.” AR 608-1, app. J-1a.
“An FRG is a command sponsored organization of Soldiers, civilian employees, family members and volunteers belonging to a unit. FRGs will provide mutual support and assistance, and a network of communications among the family members, the chain of command, and community resources.” AR 608-1, app. J-1b.
AR 608-1, app. J-2: The FRG mission is to-
(a) Act as an extension of the unit in providing accurate command information.
(b) Provide mutual support between the command and the FRG membership.
(c) Advocate more efficient use of available community resources.
(d) Help families solve problems at the lowest level.
Background:
AR 608-1, Army Community Service Center, Appendix J

35. Official Support of FRGs
Appropriated funds are authorized for FRG mission activities
Government office space and equipment may be used for FRG mission activities
Instructor Comments:
Because FRGs are now considered “Official DA Programs,” a command may use appropriated funds to support specified FRG activities. “FRG mission-essential activities are supported using the unit’s appropriated funds” AR 608-1, app. J-3.
Additionally, AR provides that FRGs may, under certain circumstances, use
(a) Government office space and equipment.
(b) Paper and printing
(c) Army and installation post offices and official mail.
(d) Government vehicles.
(e) Child care.
(f) Statutory Volunteers.
“Commanders will use a Government purchase card to pay for FRG operating expenses, when practicable. For example, commanders may use their Government purchase card to purchase supplies, equipment, room rental, or any other approved item to support official FRG mission activities.” AR 608-1, app. J-6c.
Note, the use of appropriated funds is restricted, and the Regulation specifically bans certain expenditures. “FRG mission-essential activities authorized appropriated fund support may not be supported with NAFs. FRG mission essential activities cannot be augmented with private money…. FRG appropriated fund resources may not be used to support private organization activities, internal fundraisers, or commercial ventures.” AR 608-1, app. J-3.
Appropriated funds may not be used to fund FRG social activities. “FRG social activities can enhance family and Soldier camaraderie, provide stress relief, and reduce family loneliness during deployments. Social activities will not be funded using appropriated funds. FRG members may use money contained in an FRG informal fund to pay for social activities described in paragraph J-7.” AR 608-1, app. J-2e.
Background:
AR 608-1, Army Community Service Center, Appendix J

36. 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?
Instructor Comments:
Commanders may authorize their FRG to maintain one informal fund in accordance with AR No more than one FRG informal fund per unit may be authorized.
The JER authorizes official fundraising by organizations composed primarily of DoD or DA employees and their dependents when fundraising among their own members or dependants for the benefit of their own welfare funds. Fundraising will be approved by the appropriate commander after consultations with an ethics official.
No External Fundraising: As an official activity of the DA, the FRG may not engage in external fundraising and may not solicit gifts and donations. However, in accordance with AR and with the advice of the ethics counselor, commanders and FRG leaders may, in response to an appropriate inquiry, inform potential donors of the needs of the Army in relation to assisting Army families.
Informal funds are private funds generated by FRG members that are used to benefit the FRG membership as a whole. FRG informal funds may not be deposited or mixed with appropriated funds, unit MWR funds, the unit’s cup and flower funds, or any individuals personal funds.
Examples of authorized use: FRG newsletters that contain predominately unofficial information and purely social activities, including, but not limited to, parties and picnics.
Examples of unauthorized uses: augmenting the unit’s informal funds (cup and flower); purchasing items or services that are authorized to be paid for with appropriated funds; purchasing traditional military gifts, such as Soldier farewell gifts that are not related to family readiness; and funding the unit ball.
Background:
AR 608-1, Army Community Service Center, Appendix J

37. FRGs & Private Organizations
Individuals may establish private organizations (POs) that share goals and objectives of FRGs
Remember: These are non-Federal entities!
These POs may fundraise IAW the Joint Ethics Regulation
Instructor Comments:
Private organizations have substantially more ability than FRGs to conduct fundraising and to engage in social activities in accordance with AR , Private Organizations on Department of the Army Installations.
KEY: POs can fundraise OFF POST – FRGs cannot.
KEY: POs do not have a $10,000 cap.
KEY: POs do not receive appropriated fund support.
Individuals may establish private organizations that share the same family readiness goals and objectives as FRGs.
PO managers/board members may not serve in FRG leadership positions.
Commanders may not direct the establishment of such a PO.
Commanders should contact their SJA office regarding PO issues.
Background:
AR 608-1, Army Community Service Center, Appendix J
AR , Private Organizations on Department of the Army Installations

38. FRGs & Private Organizations (Continued)
To prevent conflicts of interest, leaders of these POs should not be FRG leaders
Remember: These are non-Federal entities!
These POs may not receive preferential treatment from the Army
Instructor Comments:
Individuals may establish private organizations that share the same family readiness goals and objectives as FRGs.
PO managers/board members may not serve in FRG leadership positions.
Commanders may not direct the establishment of such a PO.
Commanders should contact their SJA office regarding PO issues.
“It is essential that commanders and Government personnel treat such POs in the same manner as all similarly situated POs.” AR 608-1, app. J-11.
Background:
AR 608-1, Army Community Service Center, Appendix J
AR , Private Organizations on Department of the Army Installations

39. Personal Participation In Private Organizations
Background:
JER §3-300, Personal Participation in Non-Federal Entities

40. Personal Participation
Soldiers and Army civilians may join, participate in, or hold office in POs or NFEs in their personal capacities.
Special rules regarding the management of an NFE by general officers or others whose leadership spans an entire installation
When participating in POs or NFEs, Soldiers and Army civilians must act exclusively outside the scope of their official positions
Instructor Comments:
Subject to the provisions of the JER, DoD employees may voluntarily participate in activities of Private Organizations and other non-Federal entities as individuals in their personal capacities, provided they act exclusively outside the scope of their official positions.
DoD employees may not use or allow the use of their official titles, positions or organization names in connection with activities performed in their personal capacities as this tends to suggest official endorsement or preferential treatment by DoD of any non-Federal entity involved. NOTE: Military grade and military department as part of an individual's name (Captain Smith, U.S. Army) may be used, the same as other conventional titles such as Mr. Ms., Doctor, or Honorable, in relationship to personal activities.
An OSD Memo issued 30 Nov 2012 prohibits active duty general officers from managing an NFE that does business with the DoD or focuses its business on DoD personnel. In addition, the same prohibition applies to all O-6 and below and all E-9 and below if their leadership responsibilities span an entire installation. Reserve component officers are also covered by this policy but a waiver may be available. Ethics counselors should carefully consult the policy and personally meet with any member of their command that may be impacted by this policy.
Background:
JER §3-300, Personal Participation in Non-Federal Entities

41. Personal Participation
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

42. No Membership Or Position If Offered Due To Official Position
Membership or position in a PO may not be accepted if it was offered because of an employee’s official position
Instructor Comments:
JER 3-301, Membership and Management. DoD employees may become members and may participate in the management of non-Federal entities as individuals in a personal capacity provided they act exclusively outside the scope of their official position. …[a] DoD employee may not serve in a personal capacity as an officer, member of the Board of Directors, or in any other similar position in any non-Federal entity offered because of their DoD assignment or position.
Background:
JER §3-301, Membership and Management

43. No Solicitation
Army personnel may not solicit subordinates or prohibited sources (e.g. contractors) in PO fundraising campaigns or membership drives
Army personnel may not permit the use of their names in a PO solicitation that targets subordinates or prohibited sources
Instructor Comments:
General Rule: Fundraising in a personal capacity is prohibited in the workplace because it disrupts the workplace, competes with CFC for donations, and invites an abuse of power by superiors.
5 C.F.R Fundraising activities.
(c) Fundraising in a personal capacity. An employee may engage in fundraising in his personal capacity provided that he does not:
(1) Personally solicit funds or other support from a subordinate or from any person (that is a prohibited source)
(2) Use or permit the use of his official title, position or any authority associated with his public office to further the fundraising effort, except that an employee who is ordinarily addressed using a general term of address, such as “The Honorable” or a rank, such as a military or ambassadorial rank, may use or permit the use of that term of address or rank for such purposes
AR , 4-2
f. Employees may not personally solicit subordinates or prohibited sources, as defined in the JER, for PO membership or contributions during fundraising campaigns or allow their names to be used in a solicitation that targets subordinates or prohibited sources. Exceptions are allowed for Combined Federal Campaign, the Army Emergency Relief, Navy-Marine Corps Relief Society, Air Force Assistance Fund, and Emergency and Disaster appeals approved by the Office of Personnel Management (OPM).
g. Employees will not coerce, influence, or compel other employees to join POs. Participation is a personal decision.
(1) Subordinates will not be appointed as points-of-contact for a PO membership drive nor may privileges be awarded, or taken away, for the participation or membership rate in a PO.
(2) Subordinates will not be encouraged to participate in a particular PO either in a formation, on Army letterhead, or by any other official action.
(3) Subordinates will not be asked to explain a decision not to join or participate in PO activities.
(4) Subordinates are not required to attend meetings to learn about and/or join a PO.
(5) Membership or non-membership lists are not maintained at any command or staff level.
Background:
5 C.F.R
AR , Private Organizations on Department of the Army Installations

44. Conflicts Of Interest Prohibited
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.
Instructor Comments:
JER 3-302, Impartiality of DoD Employees. DoD Employees are generally prohibited from engaging in any official activities in which a non-Federal entity is a party or has a financial interest if the DoD employee is an active participant in the non-Federal entity or has been an officer in the non-Federal entity within the last year.
AR , 4-2i. An officer or civilian employee who is a PO officer or director will not participate in official Army matters affecting the financial interests of that PO, even though someone else makes the final decision ( 18 USC 208 ).
(1) If an Army employee is a PO officer, director, or employee, the employee will not participate as an Army official in such matters as--
(a) Permitting the organization to use space on an installation.
(b) Engaging in cooperative efforts with the organization.
(c) Approving or recommending approval of other employees' TDY or permissive TDY to attend a training seminar sponsored by the organization.
(d) Determining agency interest for an employee to attend a "widely attended gathering" sponsored by the organization.
(e) Approving an employee's acceptance of travel benefits under 31 USC
(2) Generally, officers and civilians will not personally seek official action on behalf of non-Federal organizations ( 18 USC 205 ). However, when the organization is composed primarily of Federal employees and their dependents, they may represent such organizations before Army representatives in some instances. (The advice of their ethics counselor should be sought before they engage in any such representational activities.)
Background:
JER §3-302, Impartiality of DoD Employees.
JER §3-210, Fundraising and Membership Drives
5 C.F.R , Use of Public Office for Private Gain
AR , Private Organizations on Department of the Army Installations

45. Official Endorsements
Endorsement of a private organization event, product, service may not be stated or implied by Soldiers or DA civilians in their official capacities.
Instructor Comments:
Official endorsements are prohibited by JER and 5 C.F.R
In dealing with NFEs, preferential treatment is prohibited. This includes a ban on official endorsement of an NFE, or any event, product, service or enterprise of an NFE, except as authorized in JER (Offering group life insurance programs sponsored by the State Military Department, similar to the Servicemen’s Group Life insurance Program, is permissible.)
3-209: Endorsement of a non-Federal entity, event, product, service, or enterprise may be neither stated nor implied by DoD or DoD employees in their official capacities; and titles, positions, or organization names may not be used to suggest official endorsement or preferential treatment of any non-Federal entity except those listed in
Note: DoD employees may use or allow the use of their titles, positions, or organization names in conjunction with their own names only to identify themselves in the performance of their official duties.
Acknowledgement of a contribution, service, or assistance may be provided if factual and limited to the purpose of recognizing the contribution. (example: We appreciate your gift to the men and women of the Armed Forces).
Background:
JER §3-209, Endorsement

46. Exceptions to Endorsements
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
Instructor Comments:
JER 3-210, Fundraising and Membership Drives
DoD employees shall not officially endorse or appear to endorse membership drives or fundraising for any non-Federal entity except the following organizations which are not subject to the provisions of subsection of this Regulation, below:
(a) The Combined Federal Campaign (CFC)
(b) Emergency and disaster appeals approved by the Office of Personnel Management (OPM);
(c) Army Emergency Relief (AER);
(d) Navy-Marine Corps Relief Society;
(e) Air Force Assistance Fund, including: Air Force Enlisted Men’s Widows and Dependents Home Foundation, Inc.; Air Force Village; Air Force Aid Society; and General and Mrs. Curtis E. LeMay Foundation.
(f) Other Organizations composed primarily of DoD employees or their dependents when fundraising among their own members for the benefit of welfare funds for their members or their dependents when approved by the head of the DoD Component command or organization after consultation with the DAEO or designee. (This includes most morale, welfare and recreation programs, regardless of funding sources.)
Background:
JER §3-210, Fundraising and Membership Drives

47. Specific Issues: “The NO List”
No Violation of Sexual Assault/Sexual Harassment Policies!
No Unauthorized Use of Alcoholic Beverages while on Govt. Premises or in a Duty Status
No Drinking and Driving!
No Pornography on Government Computers
No Nude or Explicit Photographs on Government Phones or Computers
No Privately Owned Weapons on TAG Property without an Authorized Exception

48. You are strongly encouraged to consult your ethics counselor well before you separate from the Government about the post-Government service restrictions that apply to your specific situation.
Instructor Comments:
Finally, in case some of this confused you, remember this:
No matter the issue (but especially concerning employment), if you are not sure what to do…always check with your ethics counselor

49. 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.
Instructor Comments:
We hope this training has strengthened your understanding of the pertinent ethics issues. Remember, no matter what the ethics issue may be, if you’re not sure what to do, check with your ethics counselor in advance!

50. Conclusion (continued)
Play it safe – ask your ethics counselor BEFORE taking any action
LTC Kelly Ambrose
/6323
Office of Army General Counsel (Ethics & Fiscal)
Army Standards of Conduct Office

51. Questions??? Instruction Note:
Questions or comments about this briefing may be referred to the Training Developments Directorate, Distributed Learning Division, The Judge Advocate General’s Legal Center and School by going to and submitting a helpdesk ticket.