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WD 11.0 Ethics Briefing

WD 11.0 Ethics Briefing. (760) 939-3481. What You Should Know. Recognize potential ethics problems Know when to contact your Ethics Counselor Know how to request an Ethics opinion. NAWCWD Ethics Counselor. John McCollum Counsel, NAWCWD (760) 939-3481 (DSN 437)

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WD 11.0 Ethics Briefing

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  1. WD 11.0 Ethics Briefing (760) 939-3481

  2. What You Should Know • Recognize potential ethics problems • Know when to contact your Ethics Counselor • Know how to request an Ethics opinion

  3. NAWCWD Ethics Counselor John McCollum Counsel, NAWCWD (760) 939-3481 (DSN 437) http://www.navair.navy.mil/nawcwd/counsel/ethics/ethi-fr.htm

  4. Request Ethics Opinion Email Meichelle.McGuire@navy.mil (760) 939-8143 (DSN 437) Give a detailed description of who, what, when, where, how and why as applicable to your situation

  5. ETHICS VIOLATIONS AT NAWCWD 1. MISUSE OF GOVERNMENT VEHICLES Motor Vehicles & Shuttle Aircraft 2.MISUSE OF GOVERNMENT RESOURCES Operation of private business on Center Misuse of Time Inappropriate use of communications systems -jokes, chain mail, support NFEs, soliciting for private business -pornography 3. Inappropriate Support of Non-Federal Entity Unauthorized fundraising Unauthorized representation (18 USC 205 – felony)

  6. ETHICS VIOLATIONS AT NAWCWD 4. CONFLICTS OF INTERESTS Improper outside employment contact Post-government employment restrictions Inappropriate Gifts (to/from prohibited sources) 5. MISUSE OF FEDERAL POSITION Unauthorized endorsement of NFE's Appearance of Impropriety 6. POLITICAL ACTIVITIES Inappropriate partisan political email and discussions in government workspaces

  7. 1. Standards of Conduct for Employees of the Executive Branch = 5 C.F.R. 2635 2. DOD Supplement to 5 C.F.R. 2635 = DOD 5500.7-R (JOINT ETHICS REGULATION (JER)) 3. DOD employees are required to comply with 5 C.F.R. 2635, DOD 5500.7-R, and implementing guidance and procedures (JER 2-200)

  8. Overview • Part 1 - Use of Government Resources • Part 2 - Gifts • Part 3 - Relationships with Non-Federal Entities • Part 4 - Conflicts of Interest • Part 5 - Fundraising • Part 6 - Outside Employment • Part 7 - Political Activities • Part 8 - Contractors in the Workplace

  9. Part 1Use of Government Resources(JER 2-301) • Official Use • Authorized Use • Prohibited Use

  10. General Rule “Employees shall protect and conserve Federal property and shall not use it for other than authorized purposes” 5 CFR 2635.101(b)(9)

  11. WHAT is she talking about? • Using the Government’s “stuff” • Using the Government’s time • Official Use v. Authorized Use (Government communication systems & equipment are to be used for official use and authorized purposes only)

  12. Types of Use No Prohibited Use: unrelated to mission (no permission) Caution Authorized Use: supportive of mission (with supervisor’s permission) Yes Official Use: directly related to and necessary for accomplishing the mission

  13. Prohibited Use Use of government resources in support of your outside commercial activities is ALWAYS prohibited. (5 CFR 2635.704, 5 CFR 2635.705, JER 3-305 & 2-301)

  14. Types of Resources(JER 2-301) • Office & Other Supplies • Equipment • Communications Systems • Government Vehicles (Motor Vehicles & Aircraft) • Government Time • Government Position • Nonpublic Information

  15. Authorized Use of Supplies(JER 2-301(b)) (Paper, Pens, Paper Clips, etc.) SUPERVISOR MAY AUTHORIZE USE IF: - Does not create significant additional cost to DoD - Must serve legitimate public interest CONCLUSION: Rarely appropriateto use supplies for personal use. Never appropriate to use supplies in support of a private business.

  16. Authorized Use of Equipment(JER 2-301) (Computers, Copiers, Faxes, Printers) SUPERVISOR MAY AUTHORIZE USE IF ALL OF THE FOLLOWING CONDITIONS ARE MET: - Does not adversely affect official duties - Is of reasonable duration and frequency - Is performed on employee’s personal time - Serves a legitimate public interest - Does not reflect adversely on DOD - Creates no significant additional cost to DOD

  17. Authorized Use of Government Communications Systems (email, blackberry, telephones, etc) (JER 2-301(a)) • Use Can Be Authorized When: • Necessary to Government’s best interest • Personal communications in emergencies • Approved personal communications when deployed • Notify family of schedule change when on official travel FAX

  18. Authorized Use of Communications Systems (JER 2-301a) • Your chain of command may permit personal use of government • communications systems when all of the following apply -- • No adverse effect on official duties • Reasonable duration and frequency • On personal time whenever possible • Serve legitimate public interest • No adverse reflection on Government • Do not overburden communications • No significant additional cost to DoD • No long distance charge to Government EMAIL??

  19. Prohibited Use of Communications Systems (JER 2-301a.(2)(d)) • Pornography • Chain letters • Unofficial advertising • Solicitation or sales • Conducting outside commercial activities • Other inappropriate uses

  20. Authorized Use of a GOV[JER 2-301(b), DOD 4500.36-R (16Mar07)] • OFFICIAL USE: Related to the performance of official duties or in connection with activities conducted under official authorization • TDY • Lodging • Restaurants • Religious Services • NOT Entertainment GOV

  21. Prohibited Use of a GOV • Transportation to/from entertainment or recreational facilities • Personal convenience, errands, business • Transportation between home and work (except in very limited circumstances requiring the approval of the Secretary of Defense) • Minimum Penalty - 30 Day Suspension (31 U.S.C. 1349)

  22. Official Use of Government Time OFFICIAL TIME IS TO BE USED TO PERFORM DUTIES OF JOB = “Honest Effort” There is no other authorized use of government time. (5 C.F.R. § 2635.705)

  23. Prohibited Use of Government Time May not use official time to discuss or promote outside business activities. (5 C.F.R. § 2635.704/705)

  24. USE OF SUBORDINATES • Impermissible to encourage, direct, coerce, or request a subordinate employee to use official time for anything other than official duties • EXCEPTIONS: military aides, preparation of professional papers (JER 3-300b requirements) (Practical application – During the work day, you must pick up your own dry cleaning, your kids, your coffee, move your own furniture, wash your own car…) JER 3-305

  25. Public Office for Private Gain PROHIBITIONS~FEDERAL EMPLOYEES SHALL NOT: • Provide Support for or Endorsement of a product, service, or enterprise • Solicit other federal employees on the job • Provide Support for the private gain of • Friends or relatives • Persons with whom employee is affiliated in a nongovernmental capacity • Persons with whom employee has or seeks employment (5 C.F.R. § 2635.705(a))

  26. Use of Nonpublic Information If you gain nonpublic information through federal employment ~ It is IMPERMISSIBLE to use that information for personal financial transactions or to further private interests, AND ~no speaking, writing or teaching

  27. Use of Nonpublic Information • Prior security and public affairs clearance of material relating to national security issues U.S. INTERNATIONAL RELATIONS TOP SECRET

  28. Enforcement ~MSPB – misuse of government resources is taken very seriously ~No requirement that agency prove intent ~Remember: Misuse of GOV Minimum Penalty - 30 Day Suspension (31 USC 1349(b))

  29. GOT QUESTIONS?

  30. Part 2Gifts The servants of the nation are to render their services without any taking of presents . . . The disobedient shall, if convicted, die without ceremony. --Plato

  31. General Rule An employee shall not solicit or accept any gift or other item of monetary value 1. From a prohibited source; or 2. Given because of the employee’s official position (5 C.F.R. § 2635.202(a))

  32. Gift Acceptance Analysis 1) Is it (a) from a prohibited source, or (b) offered because of your official position? 2) Is it defined as a “gift”? 3) Is there an exception? 4) Is there a limitation on using the exception?

  33. Prohibited Sources - Definition Any person 1) seeking official action from, doing business with, or conducting activities regulated by, the individual’s employing agency; or 2) whose interests may be substantially affected by the performance or nonperformance of the individual’s official duties (5 C.F.R. 2635.101(b)(4))

  34. Not a “Gift”5 C.F.R. 2635.203(b) • Modest items of food and refreshment • Greeting cards and items with little intrinsic value, such as plaques, certificates, and trophies • Loans from financial institutions • Opportunities and benefits available to the public or a class of employees • Rewards and prizes to competitors • Pensions and other benefits from a former employer • Anything paid for by the Government or by the employee • Gifts accepted under specific statute

  35. Travel Benefits (31 USC 1353) When an employee is in a travel status, and when there is no conflict of interest, an agency may accept on behalf of the Government: • Travel and other actual expenses • Lodging, meals, and free attendance • Travel expenses for accompanying spouse when approved by the travel approving authority

  36. Travel Benefits (cont’d) Need approval PRIOR to travel from your: • Travel approving authority • Ethics Counselor

  37. Gifts to the Government The Secretaries of Defense, Army, Navy, and Air Force may accept, on behalf of the Government, gifts to their agency. You may not be able to accept a gift, but sometimes the government can – Call Us! 10 U.S.C. §2601

  38. Gift Exceptions5 C.F.R. 2635.204 • Gifts up to $20 per occasion, up to $50 per year from the same source • Discounts and similar benefits

  39. Gift Exceptions • Gifts based on personal relationships • Gifts based on outside employment • Awards and honorary degrees

  40. Gift Exceptions – Outside Employment Meals, lodging, transportation, other benefits may be accepted when: (a)due to the employment activities of spousewhen it is clear that such benefits are not offered because of your official position, (b)due to your outside employment activitieswhen it is clear that such benefits are not offered because of your official position, or (c)customarily provided by a prospective employerin connection with employment discussions. Disqualification will be required if the performance or nonperformance of your duties could affect the prospective employer. (5 C.F.R. 2635.204(e))

  41. Gift Exceptions – Awards You may accept gifts (other than cash or investment interests) up to $200as a bona fide award for meritorious public servicefrom an entity that will not be affected by your official performance. Gifts of cash or of value greater than $200 may be accepted if an ethics official determines in writing that it is offered under an established program of recognition under which: (a)awards are regularly made or which is funded to ensure awards will be given on a regular basis, and (b) the selection of recipients is pursuant to written standards (5 C.F.R. 2635.204(d))

  42. Gift Exceptions5 C.F.R. 2635.204(g) • Social invitations from other than prohibited sources • Speaking engagements and widely attended gatherings Mr. and Mrs. Invitee Defense Pentagon Washington, D.C.

  43. Gift Exceptions5 C.F.R. 2635.204(k-l) • Gifts authorized by supplemental agency regulation • Gifts accepted under specific statutory authority J E R

  44. Limitations on Exceptions There are 5 limitations on the use of gift acceptance exceptions 5 C.F.R. 2635.202(c) “C’mon, c’mon - it’s one or the other.”

  45. Limitations on Exceptions You are never allowed to: 1) accept a gift in return for being influenced in the performance of an official act. 2) solicit or coerce the offering of a gift. 3) accept from the same or different sources on a basis so frequent that a reasonable person would be led to believe you are using your office for private gain. 4) accept a gift in violation of any statute (such as accepting a supplementation of your federal salary from a nonfederal source for performing your official duties). 5) accept vendor promotional training contrary to applicable regulations.

  46. Gifts Between Employees An employee shall not, directly or indirectly: 1. 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 5 C.F.R. 2635.302(a) 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. 5 C.F.R. 2635.302(b)

  47. Gifts Between Employees – Allowable Gifts 5 C.F.R. 2635.304(a) Unsolicited gifts may be given on an occasional basis (not routine), including traditional gift-giving occasions, such as birthdays and holidays. - gifts that are $10 or less (up to $300 total value if contributions by subordinates are pooled) - food consumed at the office (e.g. ice cream) - personal hospitality

  48. Gifts Between Employees – Allowable Gifts A subordinate may give or donate toward a gift to an official superior and an official superior may accept a gift on special infrequent occasions such as: - recognition of an infrequent event of personal significance such as marriage, illness, or birth of a child (would not include a promotion); or - Upon an occasion that terminates the official superior - subordinate relationship such as transfer, resignation or retirement 5 C.F.R. 2635.304(b)

  49. Prohibited Gifts – What to Do5 C.F.R. 2635.205 • Refuse or return any tangible item • Pay the donor the full market value (cannot pay the value over $20)

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