1. ETHICS TRAINING 2008 CW2 R. MANDELL 302 nd QM Company

2. Discussion Topics Why are you here? Why are you here? Code of Ethics – 14 Principles Code of Ethics – 14 Principles Use of Government Vehicle Use of Government Vehicle Use of Communications Equipment Use of Communications Equipment Use of Government Property Use of Government Property Gifts Gifts Personal and Official Participation in Private Organizations Personal and Official Participation in Private Organizations Obligating the Army Obligating the Army

3. The goal of this class is not to make you an expert in every ethics regulation and directive. Rather, the goal here is to make you familiar with ethics issues so that when you come across an ethics dilemma or question, you’ll be able to recognize the problem and apply the basic principles we’ll cover to “do the right thing.” OVERVIEW

4. Applicable Law and Regulations All federal employees should also be familiar with other statutory and regulatory prohibitions:  Code of Ethics – 14 Principles  Standards of Ethical Conduct for Executive Branch Employees 5 C.F.R. Part 2635  The Joint Ethics Regulation (JER), DoD 5500.7-R.  18 United States Code Sections 203, 207, 208.

5. 14 Principles of Ethical Conduct 1. Public service = Public Trust 2. No financial interests conflicting w/duty performance 3. No improper use of nonpublic information 4. No gifts from prohibited sources 5. Honest effort in performance of duties 6. No knowing unauthorized commitments 7. No using public office for private gain

6. 14 Principles of Ethical Conduct 8. Be impartial/no preferential treatment to private organizations/individuals 9. Protect/conserve federal property; authorized purposes only 10. No outside employment conflicting w/duties 11. Duty to disclose fraud, waste, abuse, and corruption 12. Satisfy financial obligations in good faith 13. Uphold EO laws/regulations 14. Avoid appearances of unethical conduct

7. Use of Gov’t vehicles (GOVs) GOVs can only be used for official business GOVs can only be used for official business Never take a GOV home with you (even if it would make sense or save time!) Never take a GOV home with you (even if it would make sense or save time!) This is a strict rule This is a strict rule Taking a GOV home requires HQDA approval Taking a GOV home requires HQDA approval Even if leaving on TDY the next day, you can’t take the GOV home! Even if leaving on TDY the next day, you can’t take the GOV home!

8. GOVs (con’t) You can’t take a GOV to lunch. You can’t take a GOV to lunch. Exception to this policy requires your commander’s (not just your supervisor’s) approval. Exception to this policy requires your commander’s (not just your supervisor’s) approval. If your official duties require you to be far away from your POV (i.e., you’re in Raleigh) during the lunch hour, then you may stop for lunch at a nearby restaurant (not a bar, though!) If your official duties require you to be far away from your POV (i.e., you’re in Raleigh) during the lunch hour, then you may stop for lunch at a nearby restaurant (not a bar, though!) Again, requires commander’s approval! Again, requires commander’s approval!

9. Vehicle use during TDY If you are on TDY, you may use a GOV for official use only (driving to class, going to eat, barber, drug store, etc.). Excursions to entertainment attractions (movies, tourist attractions, general shopping) are not authorized. If you are on TDY, you may use a GOV for official use only (driving to class, going to eat, barber, drug store, etc.). Excursions to entertainment attractions (movies, tourist attractions, general shopping) are not authorized.

10. Vehicle use during TDY You may use a rental car for anything. However, you must pay the rental company for the additional costs of the entertainment trips (i.e., mileage to tourist attraction, etc.) You may use a rental car for anything. However, you must pay the rental company for the additional costs of the entertainment trips (i.e., mileage to tourist attraction, etc.) You may use your privately-owned-vehicle (POV) for absolutely anything. You may use your privately-owned-vehicle (POV) for absolutely anything.

11. Perception The rule: Government employees must not show favoritism toward one private entity over another, regardless of the worthiness of the organization.

12. Use Of Government Communications Equipment

13. Government Communications Equipment Telephones Telephones Fax Machines Fax Machines Computers Computers E-mail E-mail Internet Internet Cellular Phones Cellular Phones Blackberries Blackberries

14. Authorized Use Official use Official use Authorized Purposes Authorized Purposes

15. Official Use Communications that are necessary in the interest of Government Communications that are necessary in the interest of Government Emergency communications Emergency communications Morale and welfare communications (extended deployments) Morale and welfare communications (extended deployments)

16. Authorized Purposes Personal communications from office: 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) Brief calls home while TDY (transportation and schedule changes)

17. Cell Phones Official Use Official Use Limited Authorized Use Permissible under AR 25-1 (15 Jul 05) – land line “wired” phone must not be available Limited Authorized Use Permissible under AR 25-1 (15 Jul 05) – land line “wired” phone must not be available

18. Authorized Use: Cell Phone, E-Mail, Internet Authorized Use Authorized Use  Does not adversely affect official duties  Reasonable duration and frequency  Legitimate public interest  Does not reflect adversely on DOD  Does not overburden system  Creates no significant additional cost

19. Misuse of Government Computer The Installation Strategic Planning Officer at Fort Stewart was relieved of his duties after it was discovered that he had been using his government laptop to both view sexually-explicit materials and type up notes for his church. The officer will have plenty of time to ponder his actions, as the Merit Systems Protection Board affirmed his removal from federal service.

20. No No’s! Any use adversely reflecting on the Army Any use adversely reflecting on the Army  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  Chain letters  Inappropriately handled classified information  E-mail for partisan politics

21. Use Of Other Government Equipment  Use other Federal Government equipment and property only for official purposes or authorized purposes as approved by your supervisor.

22. Use Of Official Time Rule: Use official time in an honest effort to perform official duties. Remember: Your time is a Government Resource! Rule: Use official time in an honest effort to perform official duties. Remember: Your time is a Government Resource!

23. Florida Vacation A DoD official was to travel to and attend a conference in Florida while on DoD travel orders. His wife accompanied him. It was alleged that after checking in at the hotel where the conference was to be held and then renting a convertible, the official promptly left for a short vacation with his wife for all three days of the conference. After an investigation it was determined that the official did not attend the conference, told a subordinate to “cover for him,” and filed a fraudulent travel claim for the conference. A proposal was made to have him separated from Federal service. A DoD official was to travel to and attend a conference in Florida while on DoD travel orders. His wife accompanied him. It was alleged that after checking in at the hotel where the conference was to be held and then renting a convertible, the official promptly left for a short vacation with his wife for all three days of the conference. After an investigation it was determined that the official did not attend the conference, told a subordinate to “cover for him,” and filed a fraudulent travel claim for the conference. A proposal was made to have him separated from Federal service.

24. Use Of Personnel Rule: Do not ask subordinates to perform tasks outside their official duties.

25. Gifts

26. Gifts to Superiors Soldiers are prohibited from: Soldiers are prohibited from:  Giving gifts to superiors in their chain of command  Soliciting donations for such gifts  Contributing to gifts

27. Gifts Between Soldiers Soldiers are prohibited from accepting gifts from soldiers receiving less pay: Soldiers are prohibited from accepting gifts from soldiers receiving less pay:  Unless that person is not in the soldier’s chain of command and  A personal relationship justifies gift

28. The #1 Gift Rule Nothing requires a person to accept a gift – you may ALWAYS decline!

29. Gifts – Exceptions Less than or equal to $10 per occasion Less than or equal to $10 per occasion Birthday Gift Birthday Gift Vacation Souvenir Vacation Souvenir No Cash No Cash Refreshments shared in the office Refreshments shared in the office Hospitality at a soldier’s home Hospitality at a soldier’s home

30. Gifts – Exceptions (cont.) Special infrequent occasions: Special infrequent occasions:  Appropriate to the occasion  Marriage, illness, birth of child  Retirement, resignation, transfer  Promotion (only if leaving the chain of command)

31. Group Gifts Special infrequent occasions: Special infrequent occasions:  Value of gift may not exceed $300 per donating group  If the individual contributes to more than one group, the cost of the gifts of the different groups become one for purposes of $300 limitation

32. Additional DoD Limitations Contributions must be voluntary Contributions must be voluntary Nominal amount Nominal amount  May solicit no more than $10  Individual may donate more Individual is free to donate an amount less than suggested, or nothing at all Individual is free to donate an amount less than suggested, or nothing at all

33. Departing Gift The CG is leaving. All Brigade Commanders want to contribute to a gift that will cost $300. His HQ Staff also wants to contribute to a gift that will cost $300. Are both gifts acceptable?

34. Answer Maybe, as long as: No one gives to both requests; No one gives to both requests; The requests for giving are voluntary; The requests for giving are voluntary; No one is required to give; No one is required to give; Better answer: Both groups go together on a gift and the total does not exceed $300.00. Both groups go together on a gift and the total does not exceed $300.00.

35. Gifts from Non-Military Soldiers may not accept gifts: Soldiers may not accept gifts:  Given because of their official position  Given as a bribe for doing something that benefits the giver  Given by a DoD Contractor or someone seeking to do business with the Government

36. Gift – Exceptions Up to $20 Up to $20 Motivated by a close personal relationship Motivated by a close personal relationship Free attendance, food, entertainment (not lodging & travel) provided at an event at which you are speaking Free attendance, food, entertainment (not lodging & travel) provided at an event at which you are speaking

37. Not Considered Gifts Coffee, soft drinks, donuts, hors d’oeuvres (not part of a meal) Coffee, soft drinks, donuts, hors d’oeuvres (not part of a meal) Donut v. Bagel Donut v. Bagel

38. Not Considered Gifts (cont.) Plaques, certificates and trophies of little or no value except to the receiver Plaques, certificates and trophies of little or no value except to the receiver Benefits offered to the public, to all government employees, or to all military personnel Benefits offered to the public, to all government employees, or to all military personnel

39. Official and Personal Participation in Private Organizations

40. AR 210-22 AR 210-22, Private Organizations on Department of the Army Installations AR 210-22, Private Organizations on Department of the Army Installations Outlines Army policy Outlines Army policy Tells procedures to establish Tells procedures to establish Lists authorized activities Lists authorized activities Lists prohibited activities Lists prohibited activities Consult the JER for authorized support Consult the JER for authorized support

41. Official Participation in POs or NFEs

42. What is a private entity? Any non-Federal organization Any non-Federal organization For example, For example, Business (Home Depot, I.B.M., Texaco) Business (Home Depot, I.B.M., Texaco) Organization (Chamber of Commerce, Softball League, Musical Groups) Organization (Chamber of Commerce, Softball League, Musical Groups) Charities (Lion’s Club, School P.T.A., March of Dimes) Charities (Lion’s Club, School P.T.A., March of Dimes) Persons (Joe Citizen) Persons (Joe Citizen)

43. Attendance in an Official Capacity A supervisor (officer or employee above GS-11) may permit DOD employees to attend meetings, conferences, and seminars sponsored by private organizations if there is a legitimate Government purpose

44. Official Management Prohibited  General rule: You may not participate in the management of a private organization as part of your official duties

45. Official Management Army employees, to include Soldiers, may only participate in the management of a non-Federal entity in an official capacity if authorization is received from the Secretary of the Army and the DoD General Counsel

46. Liaisons with NFEs The head of an Army organization may appoint a liaison to an NFE, including a private organization The head of an Army organization may appoint a liaison to an NFE, including a private organization Requires determination of significant and continuing DoD interest required Requires determination of significant and continuing DoD interest required The liaison represents only the Army’s interest in matters of mutual interest, but cannot bind the Army to any action The liaison represents only the Army’s interest in matters of mutual interest, but cannot bind the Army to any action

47. Liaisons with NFEs (Cont.) A liaison cannot participate in the management or control of a NFE A liaison cannot participate in the management or control of a NFE Cannot be a full time position for any Soldier or civilian employee Cannot be a full time position for any Soldier or civilian employee Must be appointed Must be appointed

48. 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 Endorsement of a private organization event, product, service may not be stated or implied by soldiers or DA civilians in their official capacities

49. You Make the Call! An Installation Commander attends a campaign presidency rally for the current President of the United States, attempting to get re-elected to a second term, in his Class A Uniform. Is this permissible?

50. ANSWER  No!  You may not attend any bi-partisan politically fundraiser in your official capacity. You could attend in civilian clothing in your civilian capacity.

51. Exceptions to Endorsements Exceptions: Exceptions:  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

52. Personal Participation in Private Organizations

53. Personal Participation Soldiers and Army civilians may join, participate in, or hold office in POs or NFEs in their personal capacities Soldiers and Army civilians may join, participate in, or hold office in POs or NFEs in their personal capacities When participating in POs or NFEs, Soldiers and Army civilians must act exclusively outside the scope of their official positions When participating in POs or NFEs, Soldiers and Army civilians must act exclusively outside the scope of their official positions

54. Personal Participation (Cont.) Soldiers and Army civilians may not use official titles/positions/organization names in connection with private organization or NFE activities 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 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

55. You Make the Call! A Soldier has been asked by his college to serve on the Alumni Association. Is this permissible?

56. ANSWER He may serve in his personal capacity. He may serve in his personal capacity. But, he may not allow his position, duty address, or duty phone number be used on the college letterhead or other promotional literature. But, he may not allow his position, duty address, or duty phone number be used on the college letterhead or other promotional literature.

57. You Make the Call! COL Hoohah is a member of a private organization called “Support Your Army.” “Support Your Army” wants to use the post auditorium for a presentation. COL Hoohah decides to submit the request using his official position (Inspector General) and rank. Is this permissible?

58. ANSWER Inducement or coercion of benefits. Inducement or coercion of benefits. An employee, to include all Soldiers, shall not use or permit the use of his Government position or title or any authority associated with his public office in a manner that is intended to coerce or induce another person, including a subordinate, to provide any benefit, financial or otherwise, to himself or to friends, relatives, or persons with whom the employee is affiliated in a nongovernmental capacity. An employee, to include all Soldiers, shall not use or permit the use of his Government position or title or any authority associated with his public office in a manner that is intended to coerce or induce another person, including a subordinate, to provide any benefit, financial or otherwise, to himself or to friends, relatives, or persons with whom the employee is affiliated in a nongovernmental capacity.

59. Membership or position in a PO may not be accepted if it was offered because of an employee’s official position Membership or position in a PO may not be accepted if it was offered because of an employee’s official position No Membership or Position if Offered Due to Official Position

60. 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 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 Army personnel may not permit the use of their names in a PO solicitation that targets subordinates or prohibited sources

61. An employee who is an officer, director, or employee of a private organization may not participate in official DOD matters involving the organization. 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. Employees may not represent a private organization to the Government. Exception: uncompensated representation for certain nonprofit professional, recreational, and similar organizations. Exception: uncompensated representation for certain nonprofit professional, recreational, and similar organizations. Conflicts of Interest Prohibited

62. Conflict of Interest Nets Fine When determining which company should receive a contract to produce a video on Y2K issues for the Department of Commerce, a producer/director in the Office of Public Affairs settled on a small production company that specialized in voiceover work. There was only one small problem—the company was owned by the employee and his wife. The Department of Commerce eventually paid the company over $10,000 for their work, earning the employee and his wife a profit of over $1000. When determining which company should receive a contract to produce a video on Y2K issues for the Department of Commerce, a producer/director in the Office of Public Affairs settled on a small production company that specialized in voiceover work. There was only one small problem—the company was owned by the employee and his wife. The Department of Commerce eventually paid the company over $10,000 for their work, earning the employee and his wife a profit of over $1000. Unfortunately for the employee, his fifteen minutes of fame were cut short by a District Court Judge, who sentenced him to one year of probation, 100 hours of community service, and a $900 fine. The employee was found guilty of violating 18 U.S.C. 208(a), which bars employees from participating personally and substantially in a matter in which they have a financial interest. Unfortunately for the employee, his fifteen minutes of fame were cut short by a District Court Judge, who sentenced him to one year of probation, 100 hours of community service, and a $900 fine. The employee was found guilty of violating 18 U.S.C. 208(a), which bars employees from participating personally and substantially in a matter in which they have a financial interest.

63. Obligating the Army (Contracts, Agreements, and Commitments)

64. Unauthorized Commitment CPT Fubar has a presentation to give to the Brigade Commander. A soldier is photocopying that presentation when suddenly the photocopier breaks down. In order not to disappoint the commander, the Soldier quickly calls the nearest photocopier repair service and requests that a repairman come out right away to repair the photocopier. The repairman comes out immediately and repairs the photocopier. Has the soldier done anything wrong?

65. Unauthorized Commitments Must have authority to enter into contracts or agreements Could be personally liable Only contracting personnel have authority

67. In a Nutshell Prohibitions found in ethics and procurement laws and regulations may prevent a Soldier or civilian employee from receiving compensation from a particular contractor after his or her government service. Prohibitions found in ethics and procurement laws and regulations may prevent a Soldier or civilian employee from receiving compensation from a particular contractor after his or her government service. While it may be permissible for a Soldier or civilian employee to work for a particular contractor, it may be impermissible to work on a particular contract or in a particular segment of a contractor’s operations. While it may be permissible for a Soldier or civilian employee to work for a particular contractor, it may be impermissible to work on a particular contract or in a particular segment of a contractor’s operations.

68. General Principles – Always J Place loyalty to the Constitution, the laws and ethical principles above private gain. J Act impartially to all groups, persons, and organizations. J Give an honest effort in the performance of your duties. J Protect and conserve Federal property. J Disclose waste, fraud, abuse, and corruption to appropriate authorities. J Fulfill in good faith your obligations as a citizen, and pay your Federal, State, and local taxes. J Comply with all laws providing equal opportunity to all persons, regardless of their race, color, religion, sex, national origin, age, or handicap.

69. General Principles - Never  Use nonpublic information to benefit yourself or anyone else.  Solicit or accept gifts from persons or parties that do business or seek to official action from DA, 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 give the appearance that they are illegal or unethical.

70. Conclusion Play it safe – ask your ethics counselor BEFORE taking any action Play it safe – ask your ethics counselor BEFORE taking any action COL Rafatjah x 3119 – Staff Judge Advocate COL Rafatjah x 3119 – Staff Judge Advocate LTC German x 3116– Deputy Staff Judge Advocate LTC German x 3116– Deputy Staff Judge Advocate 808-438-1600 808-438-1600 www.hqda.army.mil/ogc/eandf.htm www.hqda.army.mil/ogc/eandf.htm www.hqda.army.mil/ogc/eandf.htm www.jagcnet.army.mil www.jagcnet.army.mil www.jagcnet.army.mil Office of Army General Counsel (Ethics & Fiscal) Office of Army General Counsel (Ethics & Fiscal) Army Standards of Conduct Office Army Standards of Conduct Office

71. Questions?