Annual Ethics Training for Army Secretariat Personnel 2017

Transcription

1 Annual Ethics Training for Army Secretariat Personnel 2017 Army Office of General Counsel, Ethics and Fiscal 1

2 APPLICABILITY Army Secretariat personnel may complete this module to satisfy their annual ethics training, where required. To receive credit, Army Secretariat employees must the certificate of completion to Army OGC as instructed at the end of the presentation. Caution: If you are not an Army Secretariat employee, check with your servicing ethics office prior to taking the training to ensure that office will accept this presentation in satisfaction of the annual training requirement. Do not your certificates of completion to Army OGC as instructed at the end of the presentation. 2

3 APPLICABILITY This module should be completed during official business hours so that you may contact an ethics official if you have any questions. 3

4 PURPOSE This training is designed to be used by Army Secretariat employees to satisfy their annual ethics training, if required, preferably when they are unable to attend a live ethics training session. The intent of this module is to help Army personnel better understand their responsibility to foster and encourage an ethical workplace. Specifically, you are encouraged to think about the ethical culture in your organization and your contributions towards that culture. 4

5 LEARNING OBJECTIVES General Principles of Public Service Gifts Widely-Attended Gatherings Conflicts of Interest Impartiality in Performing Official Duties Misuse of Position Use of Government Resources Fundraising Outside Activities Travel Post-Government Employment Additional Ethics Guidelines 5

6 GENERAL PRINCIPLES OF PUBLIC SERVICE DO Place loyalty to the Constitution, the laws, and ethical principles above private gain. Act impartially to all groups, persons, and organizations. Protect and conserve Federal property. Disclose waste, fraud, abuse, and corruption to appropriate authorities. Fulfill in good faith your obligations as a citizen, and pay your Federal, State, and local taxes. Comply with all laws providing equal opportunity to all persons, regardless of their race, color, religion, sex, national origin, age, or handicap. DON T Use public office for private gain. Use nonpublic information to benefit yourself or anyone else. Solicit or accept gifts from persons or parties that do business or seek official action from DoD (unless permitted by an exception). Make unauthorized commitments or promises that bind the Government. Use Federal property for other than authorized activities. Take jobs or hold financial interests that conflict with your Government responsibilities. Take actions that give the appearance that they are illegal or unethical. 6

7 GIFTS From Outside Sources Exclusions Exceptions Between Employees 7

8 GIFTS: FROM OUTSIDE SOURCES Generally, an employee may not, directly or indirectly: Solicit a gift from a prohibited source; or Solicit a gift to be given because of the employee's official position. Generally, an employee may not, directly or indirectly: Accept a gift from a prohibited source; or Accept a gift given because of the employee's official position. 8

9 GIFTS: FROM OUTSIDE SOURCES The Trump Ethics Pledge prohibits political appointees from accepting gifts from registered lobbyists or lobbying organizations (with exceptions for certain gifts from 501(c)(3) and media organizations). 9

10 GIFTS: EXCLUSIONS The following items are not considered gifts: Modest items of food & non-alcoholic refreshment, not part of a meal. Items of little intrinsic value (e.g. plaques, certificates, and trophies), intended primarily for presentation. Free attendance at an event on the day an employee is assigned to present information on behalf of his or her agency. Discounts and favorable rates available to the public, all Federal personnel, or all military personnel. Rewards and prizes from contests open to the public. Anything paid for by the Government. Gifts accepted by the Government under statutory authority. Anything for which market value is paid by the employee. 10

11 GIFTS: EXCEPTIONS Gifts with a value of $20 or less, not to exceed $50 from the same source in a single calendar year. Gifts based on a personal relationship. Discounts and similar benefits meeting certain requirements. Awards and honorary degrees. Gifts based on outside business or employment relationships. Gifts customarily offered by a prospective employer. Social invitations from other than prohibited sources. Meals, refreshments, and entertainment in foreign areas. Gifts accepted under specific statutory authority. Free attendance at widely-attended gatherings. 11

12 WIDELY-ATTENDED GATHERINGS General Rules Scenario 12

13 WIDELY-ATTENDED GATHERINGS Generally, an employee may not accept a gift given by a prohibited source (e.g. a DoD contractor) or given because of the employee s official position. A common exception to this general prohibition is the widelyattended gathering (WAG) exception. OGE revised its regulations to require advance written approval to attend, effective 1 January

14 WIDELY-ATTENDED GATHERINGS The Agency Designee (generally supervisor) must determine, in writing, that: 1. A large number of attendees must be present. 2. Diverse views must be represented. 3. There must be an opportunity to exchange views. 4. There must be an agency interest in the subordinate s attendance. 5. The agency s interest in the employee s attendance must outweigh the concern that the employee may appear to be improperly influenced in the performance of official duties. 14

15 SCENARIO: WAG You are on government travel. Defense contractor XYZ has offered you complimentary attendance at an event it is sponsoring at the end of the day in a restaurant down the street from where you are attending a conference. The admission fee for other attendees is $25. You decide that it would be nice to attend, mingle, and talk about what you are working on in a relaxed atmosphere with 50 people, similarly invited by Defense contractor XYZ, from industry, state and local governments, and the media. May you accept this gift? 15

16 TEST YOUR KNOWLEDGE: WAG Select the correct answer: 1. Since the gift is of limited value, you graciously accept it. 2. Everyone else from DoD appears to be accepting the gift of free attendance, so you do so as well. 3. You accept the gift after consulting with your supervisor, who determines, in writing, that this event is a widely-attended gathering and that there is an agency interest in your attending. 4. You decide the ethics rules prohibit you from accepting this gift and so you decline the invitation. 16

17 ANSWERS TO SCENARIO: WAG Incorrect. You picked answer #1. The correct answer is #3. Absent the applicability of a gift exclusion (e.g., widely-attended gathering) or exception, you may not accept a gift in excess of $20. You may accept this gift if your supervisor has determined in writing that the event is a widely-attended gathering and that there is an agency interest in your attendance. You could also attend the event and pay your own way. It is never inappropriate, and often prudent, to decline a gift from an outside source. 17

18 ANSWERS TO SCENARIO: WAG Incorrect. You picked answer #2 The correct answer is #3. Absent the applicability of a gift exclusion (e.g., widely-attended gathering) or exception, you may not accept a gift in excess of $20. You may accept this gift if your supervisor has determined in writing that the event is a widely-attended gathering and that there is an agency interest in your attendance. You could also attend the event and pay your own way. It is never inappropriate, and often prudent, to decline a gift from an outside source. 18

19 ANSWERS TO SCENARIO: WAG Correct. You picked answer #3. You may accept this gift if your supervisor has determined in writing that the event is a widely-attended gathering and that there is an agency interest in your attendance. Absent the applicability of a gift exclusion or exception, you may not accept a gift in excess of $20. You could also attend the event and pay your own way. It is never inappropriate, and often prudent, to decline a gift from an outside source. 19

20 ANSWERS TO SCENARIO: WAG Incorrect. You selected answer #4 The correct answer is #3. You may accept this gift if your supervisor has determined in writing that the event is a widely-attended gathering and that there is an agency interest in your attendance. Absent the applicability of a gift exclusion or exception, you may not accept a gift in excess of $20. You could also attend the event and pay your own way. It is never inappropriate, and often prudent, to decline a gift from an outside source. 20

21 GIFTS BETWEEN EMPLOYEES General Rule: Employees shall not: 1. Give or donate toward a gift for a superior or ask another employee to donate towards a gift to either his own superior or that of another; or 2. 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). 21

22 GIFTS BETWEEN EMPLOYEES Exceptions: 1. Unsolicited gifts on traditional gift giving occasions, such as holidays or birthdays, valued at $10 or less (no cash). 2. Food and refreshments that will be consumed at the office. 3. Personal hospitality (e.g. meals) at someone s home. 4. Hostess gifts in connection with the receipt of personal hospitality. 5. Unsolicited gifts on special infrequent occasions: a) Wedding, illness, birth of a child b) Occasion terminates the official superior subordinate relationship (e.g., transfer, retirement, resignation), but not promotion. 22

23 GIFTS BETWEEN EMPLOYEES Rule: Gifts for special infrequent occasions, such as marriage, having a baby, or the end of the superior-subordinate relationship through retirement, transfer, etc. Gift must be appropriate to the occasion. May not accept a gift on these occasions from a group that includes a subordinate if valued at over $300. Do not include cost of food, refreshments, and entertainment provided to mark the occasion. Suggested voluntary donation may not exceed $10 (although all may give as much as desired). Gift to spouse to mark this occasion must be attributed to the employee.

24 CONFLICTS OF INTEREST Statutory Provision Impartiality Regulatory Provision Financial Disclosure Representation of others in Matters Affecting the U.S. 24

25 CONFLICTS OF INTEREST 18 USC U.S.C. 208 generally prohibits an employee from personally and substantially participating in a particular matter involving specific parties in which he (or anyone or any entity whose interests are imputed to him) has a financial interest, if the particular matter will have a direct and predictable effect on that interest. 25

26 CONFLICTS OF INTEREST 18 USC 208 The interests of the following entities are imputed to you for 18 U.S.C. 208 purposes: You Your spouse Your minor children Your general partner (A "general partner" is a person who joins with at least one other person to form a business) An organization with which you are negotiating an arrangement for future employment An organization for which you serve as employee, officer, director, trustee, or general partner REPORT THE SOURCE OF SPOUSAL NON-FEDERAL INCOME OVER $1000 ON THE FINANCIAL DISCLOSURE FORM! 26

27 CONFLICTS OF INTEREST 18 USC 208 What is a particular matter? Focused upon the interests of specific persons, or a discrete and identifiable class of persons. Does not extend to broad policy making or considerations directed toward the interest of a large and diverse group of persons or entities. Hint: Can you identify who is involved? 27

28 IMPARTIALITY IN PERFORMING OFFICIAL DUTIES Appearances Covered Relationship 28

29 IMPARTIALITY RULE Absent supervisory notice and authorization, an employee should not participate in an official matter: That is likely to have a direct and predictable effect on the financial interests of a member of the employee s household; or Where a person with whom the employee has a covered relationship is or represents a party to the matter 29

30 IMPARTIALITY APPEARANCE STANDARD Reasonable Person Test for Appearance of Impartiality If a reasonable person with knowledge of the relevant facts would question the employee s impartiality, the employee should consult with their supervisor before participating in the matter. 30

31 IMPARTIALITY COVERED RELATIONSHIP Covered Relationships Include: A member of your household or a relative with whom you are close, Someone with whom you have or seek to have a business relationship other than a routine consumer transaction, An organization (other than political party) in which you actively participate, Someone with whom your spouse, parent, or dependent child has (or seeks to have) a close business relationship, such as partnership or employment. 31

32 FINANCIAL DISCLOSURE REPORTS The Primary Screen for Potential Conflicts of Interest OGE 450, Confidential Financial Disclosure Form. Generally for certain non-senior employees whose duties involve the exercise of discretion in sensitive areas. Due 15 Feb annually OGE 278e, Public Financial Disclosure Form. For senior officials (for example GOs/SESs/appointees). Due 15 May annually - $200 late filing fee Use the Financial Disclosure Management program at 32

33 FINANCIAL DISCLOSURE REPORTS The Primary Screen for Potential Conflicts of Interest Supervisory review is crucial! Please complete review within two weeks. New Entrant filers have 30 days from assignment to complete. OGE 278e filers must file a Termination report within 30 days after departing Federal service. 33

34 FINANCIAL DISCLOSURE REPORTS OGE Form 278-T All 278e filers must report purchases, sales, or exchanges greater than $1000 of: Stocks Bonds Commodities futures Any other form of security (but not mutual funds) Must report for spouse, dependent child, and any security where employee is owner or partial owner. Due w/in 30 days of actual notice or 45 days of transaction. to for certification. Monthly reminder available. 34

35 CONFLICTS OF INTEREST: OUTSIDE REPRESENTATIONAL ACTIVITY 18 U.S.C. 203 and 18 U.S.C. 205: Employees are prohibited from prosecuting or assisting in the prosecution of claims against the U.S. or representing another before a Federal department, agency, or court, in matters where the U.S. is a party or has a substantial interest. Exceptions: SGEs Federal personnel matters (when properly authorized) Fiduciaries of family members or estates Testimony under oath Retired officers Certain employee non-profit organizations 35

36 SCENARIO: CONFLICT OF INTEREST You have just been asked to serve on the technical evaluation panel to review proposals for an action-tracking database program for your office. DEF Computer Corporation, a closely held company in which you and your spouse own a majority of the stock, has submitted a proposal. What do you do? 36

37 TEST YOUR KNOWLEDGE: CONFLICTS OF INTEREST Select the correct answer: 1. Because award of the system contract to DEF will have a direct and predictable effect on both your and your spouse s financial interests, you cannot participate in the evaluation unless you ve received a waiver. 2. Participate in the evaluation and pick DEF Computer Corporation. You ll need the money to send your kids to college. 37

38 ANSWERS TO SCENARIO: CONFLICTS OF INTEREST You selected #1. That is correct! Waivers are rare and require extensive coordination with the Office of Government Ethics. 38

39 ANSWERS TO SCENARIO: CONFLICTS OF INTEREST You selected #2. That is incorrect. Waivers are rare and require extensive coordination with the Office of Government Ethics. Hopefully your kids will get a scholarship. 39

40 USE OF GOVERNMENT RESOURCES Use Federal Government equipment and property, including communications systems, only for official purposes or authorized purposes as approved by your supervisor. Subject to supervisor approval, you may use Government resources for personal purposes IF the use: Does not adversely affect the performance of official duties; Is of reasonable duration and frequency; Serves a legitimate public interest (such as keeping the employee at their desk); Does not reflect adversely on DoD; and Creates minimal or no significant additional cost to DoD. **WARNING: You should also check other regulations applicable to particular categories of resources (e.g. JTR, IT regulations, etc.). Even though personal use may not violate the ethics rules, it may violate these.** 40

41 MISUSE OF POSITION An employee shall not use his public office for his own private gain, for the endorsement of any product, service or enterprise, or for the private gain of friends, relatives, or persons with whom the employee is affiliated in a nongovernmental capacity, including nonprofit organizations of which the employee is an officer or member, and persons with whom the employee has or seeks employment or business relations. 41

42 FUNDRAISING General Information Exceptions to Fundraising in the Workplace Combined Federal Campaign Attending a Fundraiser Disaster or Emergency Relief Test Your Knowledge 42

43 FUNDRAISING: GENERAL INFORMATION Fundraising is the raising of funds for a non-profit entity through: Soliciting funds; Selling items; or Employee official participation in the conduct of an event where any part of the cost of attendance or participation may be taken as a charitable tax deduction by a person incurring that cost. Generally, fundraising is prohibited in the Federal workplace. The Government must be neutral to retain the public s confidence, so we must ensure a level playing field for all non-federal entities. 43

44 FUNDRAISING: EXCEPTIONS TO FUNDRAISING IN THE WORKPLACE Combined Federal Campaign (CFC). When the Director of the Office of Personnel Management (OPM) authorizes a solicitation for emergencies or disasters. Among the members of an organization consisting primarily of DoD employees or their dependents for the sole benefit of the organization s members. 44

45 FUNDRAISING: COMBINED FEDERAL CAMPAIGN CFC is the only authorized solicitation of employees in the federal workplace on behalf of charitable organizations. Campaign period generally runs annually from September through December. DoD personnel participation may be encouraged, but is not mandated. DoD personnel may not: Encourage contributions to a specific charity. Solicit non-dod personnel or entities, including contractor, Credit Union employees, or other non-federal entities or individuals. 45

46 FUNDRAISING: DISASTER OR EMERGENCY RELIEF The Director of OPM may authorize agencies to conduct a special solicitation of Federal personnel in the Federal workplace (outside of the CFC) in support of victims of emergencies and disasters. For example: hurricanes, tornadoes, storms, floods, or other catastrophes. The Agency Head must still approve the special solicitation. 46

47 FUNDRAISING: ATTENDING A FUNDRAISER The Federal Standards of Conduct prohibit you, in your official capacity, from actively and visibly participating in the promotion, production, or presentation of the event. This includes: Requesting/encouraging the giving of donations; Sitting at the head table; Serving as an honorary person; Standing in a reception line; or Serving as master of ceremonies. **Note: You may give an official speech at non-profit fundraiser as long as you do not seek donations or otherwise endorse the organization.** 47

48 SCENARIO: FUNDRAISING You are asked to sell tickets to subordinates, in the workplace, for a fundraising event sponsored by a non-profit organization that helps military spouses. May you sell the tickets? 48

49 ANSWERS TO SCENARIO: FUNDRAISING Select the correct answer: 1. No. This fundraising event is not part of the CFC campaign, is not an OPM approved disaster solicitation, and is not a fundraiser among the members of your organization for the benefit of the members of your organization. 2. Yes. It is for a good cause that supports military families, so the fundraising rules do not apply. 49

50 ANSWERS TO SCENARIO: FUNDRAISING You selected NO. That is correct! Federal personnel may not solicit in the workplace, outside of CFC, unless authorized by the OPM Director for disaster relief or the fundraiser is among the members of the organization for the benefit of the members of the organization. Additionally, supervisors may not solicit subordinates. 50

51 ANSWERS TO SCENARIO: FUNDRAISING You picked YES. This is incorrect. Federal personnel may not solicit in the workplace, outside of CFC, unless authorized by the Director of OPM for disaster relief or the fundraiser is among the members of the organization for the benefit of the members of the organization. Additionally, supervisors may not solicit subordinates. 51

52 OUTSIDE ACTIVITIES If you file a financial disclosure report (OGE Form 450 or OGE Form 278e), you need your supervisor s prior written approval before you engage in business activity or compensated employment with a DoD prohibited source. Presidential appointees and certain non-career employees have additional restrictions. You may not have outside employment or activities that would materially impair your ability to perform your official duties. 52

53 TRAVEL Official Travel Benefits Acceptance of Payment from Non-Federal Source 53

54 TRAVEL: OFFICIAL TRAVEL BENEFITS You may keep promotional items, such as frequent flyer miles that are awarded for official travel. You may also keep promotional items to compensate you for being voluntarily bumped from a flight. You may voluntarily surrender your seat so long as it does not adversely affect the performance of your official duties. You may not keep promotional items given to compensate you for being involuntarily bumped from a flight. 54

55 TRAVEL: PAYMENT FROM NON-FEDERAL SOURCE 31 U.S.C is the statute that permits Federal agencies to accept gifts of travel, meals, lodging, and/or registration fees associated with official travel on behalf of the Government. This is considered a gift to the Government and not to the employee. The employee cannot be directly reimbursed. Under this law, you must obtain written approval before travel. The person signing your travel orders (travel approval authority) must sign a memorandum approving acceptance of the gift. The ethics counselor must also concur with the travel approval authority s determination before the travel begins. 55

56 POST-GOVERNMENT EMPLOYMENT (PGE) Seeking Employment Representational Bans 56

57 PGE: SEEKING EMPLOYMENT If you are seeking non-federal employment (sending resumes to select employers), you may not do Government work on a particular matter that will affect the financial interests of your prospective employer(s). You must provide your supervisor with a written disqualification statement. There are restrictions that will apply to your activities in the private sector in light of your specific duties and level of responsibility as a Government employee. Always consult your ethics counselor before separating from the Government. 57

58 PGE: REPRESENTATIONAL BANS 18 U.S.C. 207 After leaving the Federal Government, former employees are subject to additional CRIMINAL restrictions that may limit their interactions with the Federal Government when representing the interests of another person or entity. 58

59 ETHICAL DECISION MAKING Always ask yourself these questions when making a decision: Do the ethics rules permit me to take a proposed action? May I proceed? If yes, should I proceed? What are the benefits to DoD if I take the proposed action and what are the RISKS? 59

60 CONTACT INFORMATION Army Secretariat personnel should direct questions to Army OGC (Ethics & Fiscal). Contact information is (703) , or 60