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1. Office of the secretary of defense 2011 Annual Ethics Training
Presented by
The Standards of Conduct Office
DoD Office of General Counsel
2. COVERED TOPICS ETHICS LAWS & REGULATIONS-OVERVIEW
POST-GOVERNMENT EMPLOYMENT RULES
FOCUS TOPIC: ACCEPTANCE OF GIFTS
2
3. ETHICS LAWS & REGULATIONS 3
4. CRIMINAL RULES: Bribery & Conflict of Interest Laws 4 CONFLICT OF INTEREST LAWS—GENERAL INTENT OFFENSES
EXCUSES THAT DON’T WORK:
“I’m an ethical person. That’s how my mother raised me.”
“I always have the best interests of my Agency at heart.”
“It was a win: win.”
“I saved the government money.”
“I didn’t make an undue profit. In fact, I lost money.”
CONFLICT OF INTEREST LAWS—GENERAL INTENT OFFENSES
EXCUSES THAT DON’T WORK:
“I’m an ethical person. That’s how my mother raised me.”
“I always have the best interests of my Agency at heart.”
“It was a win: win.”
“I saved the government money.”
“I didn’t make an undue profit. In fact, I lost money.”
5. BRIBERY 18 U.S.C. § 201—Prohibits Public officials from:
Seeking, receiving or agreeing to accept
Anything of value
For themselves or others
In return for being
Influenced to aid in committing a fraud on the U.S. or
Induced to do/omit to do any act in violation of official duty 5 Terms:
QUID PRO QUO. Bribery requires a specific item of value in return for the Public official’s agreement to perform or not perform an official duty.
CORRUPT INTENT. The item must be offered/received with the specific intent of corrupting a Public Official.
PUBLIC OFFICIAL. Broader than just employees. Includes presidential nominees, candidates for appointment to Federal positions, and could include Federal contractors.
Example: Terry heads an investigation into contract irregularities that
implicates ABC Corp. Tom, ABC’s President, has heard that
Terry and his wife are planning a trip to Europe. Tom offers to
pick up the “tab” for the trip in return for Terry “going easy” in
his findings concerning ABC.
Terry agrees to the deal. Tom pays for the trip and Terry and
spouse enjoy their trip to Europe.
Question: Would there be a bribe if Terry’s investigation is completed and he finds no contract irregularities BEFORE Tom learns of the intended cruise and offers to pay for the cruise?
Answer: Absent a quid pro quo, this would not be not a bribe. However, given the substantial value of the payment and chronological tie between payment for the cruise and performance of official duties, it is possible that it might be prosecuted as an illegal supplementation of salary under 18 U.S.C. § 209. Even if not clearly connected with Terry’s performance of duties, however, Tom is still a “prohibited source” and the gift most likely is being given based on Terry’s official position. Its acceptance would likely be prohibited under the Standards.
Terms:
QUID PRO QUO. Bribery requires a specific item of value in return for the Public official’s agreement to perform or not perform an official duty.
CORRUPT INTENT. The item must be offered/received with the specific intent of corrupting a Public Official.
PUBLIC OFFICIAL. Broader than just employees. Includes presidential nominees, candidates for appointment to Federal positions, and could include Federal contractors.
Example: Terry heads an investigation into contract irregularities that
implicates ABC Corp. Tom, ABC’s President, has heard that
Terry and his wife are planning a trip to Europe. Tom offers to
pick up the “tab” for the trip in return for Terry “going easy” in
his findings concerning ABC.
Terry agrees to the deal. Tom pays for the trip and Terry and
spouse enjoy their trip to Europe.
Question: Would there be a bribe if Terry’s investigation is completed and he finds no contract irregularities BEFORE Tom learns of the intended cruise and offers to pay for the cruise?
Answer: Absent a quid pro quo, this would not be not a bribe. However, given the substantial value of the payment and chronological tie between payment for the cruise and performance of official duties, it is possible that it might be prosecuted as an illegal supplementation of salary under 18 U.S.C. § 209. Even if not clearly connected with Terry’s performance of duties, however, Tom is still a “prohibited source” and the gift most likely is being given based on Terry’s official position. Its acceptance would likely be prohibited under the Standards.
6. COMPENSATED REPRESENTATIONAL SERVICES 18 U.S.C. § 203 –Prohibits Federal employees from:
Seeking or accepting compensation for
Representing another
Performing services in support of representation, OR
Receiving money from anyone else’s representation
Before a Federal department, agency or court (not Congress)
In matters where the U.S. is a party or has substantial interest
6 Terms & Notes:
REPRESENTATION any communication, in writing or otherwise, or simply appearing before an executive or judicial branch official, where such shows an “agency” relationship.
SERVICES. For Federal employees, the significant restriction is on compensated “behind-the-scenes” services. NOTE: Actual representation is also covered by 18 U.S.C. § 205. See note under § 205.
COMPENSATION must relate to the representation.
SGEs. Limited application. Check with SOCO.
EXCEPTIONS. Limited exceptions for representing family members or as fiduciary of an estate. Check with SOCO.
ENLISTED MEMBERS. Statute does not apply.
Example of violation: In her spare time, Kathy, a DoD employee, is a grant writer for Good Deed Doers, Inc. (“GGDI”), a charitable, non-profit entity seeking a Federal grant from the Dept. of Education (“DOE”). Her GGDI pay is based solely on her work on the DOE grant application. GGDI submits its application, the grant is awarded by DOE to GDDI and Kathy is paid by GDDI for her services on that application.
Question: What if her pay from GDDI is a salary based on all duties she performs for GDDI, not just for grant applications to be submitted to Federal agencies?
Answer: Most likely this would not violate 18 U.S.C. § 203 since there is no direct tie between the salary and the services rendered in support of the DOE application.
Terms & Notes:
REPRESENTATION any communication, in writing or otherwise, or simply appearing before an executive or judicial branch official, where such shows an “agency” relationship.
SERVICES. For Federal employees, the significant restriction is on compensated “behind-the-scenes” services. NOTE: Actual representation is also covered by 18 U.S.C. § 205. See note under § 205.
COMPENSATION must relate to the representation.
SGEs. Limited application. Check with SOCO.
EXCEPTIONS. Limited exceptions for representing family members or as fiduciary of an estate. Check with SOCO.
ENLISTED MEMBERS. Statute does not apply.
Example of violation: In her spare time, Kathy, a DoD employee, is a grant writer for Good Deed Doers, Inc. (“GGDI”), a charitable, non-profit entity seeking a Federal grant from the Dept. of Education (“DOE”). Her GGDI pay is based solely on her work on the DOE grant application. GGDI submits its application, the grant is awarded by DOE to GDDI and Kathy is paid by GDDI for her services on that application.
Question: What if her pay from GDDI is a salary based on all duties she performs for GDDI, not just for grant applications to be submitted to Federal agencies?
Answer: Most likely this would not violate 18 U.S.C. § 203 since there is no direct tie between the salary and the services rendered in support of the DOE application.
7. REPRESENTATION 18 U.S.C. § 205 –Prohibits Federal employees from:
Prosecuting or assisting in the prosecution of a claim against the U.S. or receiving a gratuity or share of a claim in return for assisting in prosecuting such claim, OR
Representing another (with or without compensation)
Before a Federal department, agency or court (not Congress)
In matters where the U.S. is a party or has a substantial interest
7 Terms & Notes:
COMPENSATION. NOT required.
REPRESENTING SELF. You can as an individual; however, you could not represent your corporation or partnership.
SGEs. Limited application. Contact SOCO
EXCEPTIONS. Contact SOCO
Representing Family and estates.
Administrative Hearings where appropriate.
Employee Organizations.
ENLISTED MEMBERS. Statute does not apply.
Example of violation: Amanda, the current Deputy Under Secretary for Policy, worked at XYZ Co. several years ago. She is called by Jack, who succeeded her in her XYZ position. Jack is having trouble getting the Air Force acquisitions folks to act on a contract modification with XYZ. Amanda’s official duties are in no way connected to Air Force acquisitions. She calls Ken, the Assistant Secretary of the Air Force for Acquisitions, and asks that he “light a fire” on the contract modification.
Even if not violating 205, this could violate 5 CFR 2635, Subpart G in terms of using official position to benefit XYZ.
Why 2 representation statutes? § 203 also covers Members of Congress (e.g., Abscam). Employees and Service members would be prosecuted for actual representation under § 205 because compensation need not be shown; “behind-the-scenes” compensated support of representation would be prosecuted under § 203. No violation for uncompensated “behind-the-scenes support.
Terms & Notes:
COMPENSATION. NOT required.
REPRESENTING SELF. You can as an individual; however, you could not represent your corporation or partnership.
SGEs. Limited application. Contact SOCO
EXCEPTIONS. Contact SOCO
Representing Family and estates.
Administrative Hearings where appropriate.
Employee Organizations.
ENLISTED MEMBERS. Statute does not apply.
Example of violation: Amanda, the current Deputy Under Secretary for Policy, worked at XYZ Co. several years ago. She is called by Jack, who succeeded her in her XYZ position. Jack is having trouble getting the Air Force acquisitions folks to act on a contract modification with XYZ. Amanda’s official duties are in no way connected to Air Force acquisitions. She calls Ken, the Assistant Secretary of the Air Force for Acquisitions, and asks that he “light a fire” on the contract modification.
Even if not violating 205, this could violate 5 CFR 2635, Subpart G in terms of using official position to benefit XYZ.
Why 2 representation statutes? § 203 also covers Members of Congress (e.g., Abscam). Employees and Service members would be prosecuted for actual representation under § 205 because compensation need not be shown; “behind-the-scenes” compensated support of representation would be prosecuted under § 203. No violation for uncompensated “behind-the-scenes support.
8. CONFLICTING FINANCIAL INTERESTS 18 U.S.C. § 208—Prohibits Federal employees from:
Participating personally and substantially in an official
capacity
In any particular matter that has:
A direct and predictable effect on their financial interests
Or upon those financial interests imputed to them 8 Terms and Notes:
PARTICIPATING PERSONALLY & SUBSTANTIALLY means direct involvement of significance to the matter (e.g., decision-making, advice, investigation, recommendation); not administrative or perfunctory involvement.
PARTICULAR MATTER. A matter that is focused upon the interests of a specific persons, or a discrete and identifiable class of persons. This would not only include party matters such as claims, law suits, contracts, grants, and investigations, but also policymaking and legislation focused on discrete groups.
Terms and Notes:
PARTICIPATING PERSONALLY & SUBSTANTIALLY means direct involvement of significance to the matter (e.g., decision-making, advice, investigation, recommendation); not administrative or perfunctory involvement.
PARTICULAR MATTER. A matter that is focused upon the interests of a specific persons, or a discrete and identifiable class of persons. This would not only include party matters such as claims, law suits, contracts, grants, and investigations, but also policymaking and legislation focused on discrete groups.
9. FINANCIAL INTERESTS Covered financial interests INCLUDE:
Yours; AND
Interests Imputed to You, including interests held by:
Your spouse; minor children; general partners [E.g., Your spouse’s stock in a defense contractor];
Entities you serve as officer, director, trustee, general partner or employee [E.g., Service as officer of a non-profit entity]; or
Entities from whom you are negotiating or have an arrangement for future non-Federal employment. 9 Examples:
1. Joe, an Agency head, owns $75k in Coca Cola stock. He orders all soft drink machines in Agency buildings to be Coke machines.
2. Doris advises Bill to “sole source” a contract to DEF, a company owned by her spouse..
Harry, who is discussing job possibilities with ABC Corp., does a technical review of a contract bid by ABC.
Question: Which of these interactions between Diana and DEF Assn. could violate 18 U.S.C. 208?
a. Service on behalf of DoD as Treasurer of DEF.
b. Service in her personal capacity as a Board Member.
c. Service as a DoD liaison on a committee dealing with a joint venture between DoD and DEF.
Service in her personal capacity as a fundraiser.
Answer:
Service on behalf of DoD as DEF Treasurer. YES. As DEF officer, she has a financial interest; her official actions affects DEF.
Service in her personal capacity as a Board Member. Depends whether, as part of her DoD duties, she can affect DEF’s financial interests.
c. Service as a DoD liaison on a committee dealing with a joint venture between DoD and DEF. NO. This is official duty and not in a fiduciary/management role.
d. Service in her personal capacity as a fundraiser. NO, but she is an “active participant” in DEF; official duties affecting DEF could constitute a loss of impartiality.
Examples:
1. Joe, an Agency head, owns $75k in Coca Cola stock. He orders all soft drink machines in Agency buildings to be Coke machines.
2. Doris advises Bill to “sole source” a contract to DEF, a company owned by her spouse..
Harry, who is discussing job possibilities with ABC Corp., does a technical review of a contract bid by ABC.
Question: Which of these interactions between Diana and DEF Assn. could violate 18 U.S.C. 208?
a. Service on behalf of DoD as Treasurer of DEF.
b. Service in her personal capacity as a Board Member.
c. Service as a DoD liaison on a committee dealing with a joint venture between DoD and DEF.
Service in her personal capacity as a fundraiser.
Answer:
Service on behalf of DoD as DEF Treasurer. YES. As DEF officer, she has a financial interest; her official actions affects DEF.
Service in her personal capacity as a Board Member. Depends whether, as part of her DoD duties, she can affect DEF’s financial interests.
c. Service as a DoD liaison on a committee dealing with a joint venture between DoD and DEF. NO. This is official duty and not in a fiduciary/management role.
d. Service in her personal capacity as a fundraiser. NO, but she is an “active participant” in DEF; official duties affecting DEF could constitute a loss of impartiality.
10. DUAL COMPENSATION 18 U.S.C. § 209—Prohibits Federal employees from:
Seeking or receiving any compensation from
A non-Federal source, in return for
Performance of their official duties
10 Example: Tom speaks, as a DoD employee, at a conference hosted by NFO, a non-Federal organization. At the end of the speech, NFO’s President presents Tom with a check for $200. Tom accepts the check.
Question: What if Tom tells the President of NFO that he cannot accept the check, but asked that NFO donate the money in his name to GDDI—his favorite charity?
Answer: This could still constitute a violation of 18 U.S.C. § 209 as Tom has, in effect, accepted the money by directing its donation. However, even if his actions do not violate the statute, they still may subject him to administrative discipline under 5 CFR 2635, subpart B, for accepting a gift based on his official position, and subpart G, for misusing his official position in order to benefit GDDI.
Thought: If you are to participate in an event where it is reasonable to suspect that an honorarium will be offered, avoid unnecessary embarrassment and address the issue before going. Let the event planner know that you cannot accept it and that you cannot direct its donation in your name or the agency’s name.Example: Tom speaks, as a DoD employee, at a conference hosted by NFO, a non-Federal organization. At the end of the speech, NFO’s President presents Tom with a check for $200. Tom accepts the check.
Question: What if Tom tells the President of NFO that he cannot accept the check, but asked that NFO donate the money in his name to GDDI—his favorite charity?
Answer: This could still constitute a violation of 18 U.S.C. § 209 as Tom has, in effect, accepted the money by directing its donation. However, even if his actions do not violate the statute, they still may subject him to administrative discipline under 5 CFR 2635, subpart B, for accepting a gift based on his official position, and subpart G, for misusing his official position in order to benefit GDDI.
Thought: If you are to participate in an event where it is reasonable to suspect that an honorarium will be offered, avoid unnecessary embarrassment and address the issue before going. Let the event planner know that you cannot accept it and that you cannot direct its donation in your name or the agency’s name.
11. THE 14 ETHICAL PRINCIPLES PUBLIC TRUST: Put loyalty to Constitution, laws and ethical principles above private gain.
CONFLICTING FINANCIAL INTERESTS: Don't hold financial interests that conflict with performance of duty.
MISUSE OF NONPUBLIC GOVERNMENT INFORMATION: Don't use or allow use in financial transactions or to further private interests.
GIFTS: Don't solicit/accept them from “prohibited sources.”
HONEST EFFORT: Put forth in performing your duties. 11
12. THE 14 ETHICAL PRINCIPLES UNAUTHORIZED COMMITMENTS: Don't knowingly make them or make promises purporting to bind the Government.
USING PUBLIC OFFICE FOR PRIVATE GAIN: Just don‘t.
IMPARTIALITY: Don't give preferential treatment to anyone.
FEDERAL PROPERTY: Use only for authorized activities.
OUTSIDE EMPLOYMENT/ACTIVITIES: Don't seek or engage in if it conflicts with official duties and responsibilities. 12
13. THE 14 ETHICAL PRINCIPLES WASTE, FRAUD, ABUSE, CORRUPTION: Disclose to authorities.
MEET YOUR OBLIGATIONS: Satisfy obligations as a citizen (e.g., pay just financial obligations imposed by law, such as taxes).
SUPPORT EQUAL OPPORTUNITY in performance of duties.
APPEARANCES: Avoid actions creating appearance of violating the laws or ethical standards, where a reasonable person with knowledge of the relevant facts would question your decision. 13
14. THE GOVERNMENT-WIDE STANDARDS The Executive Branch Standards of Ethical Conduct, 5 CFR part 2635, cover:
Gifts
Conflicting Financial Interests
Impartiality
Non-Federal Employment
Misuse of Official Position
Outside Activities 14
15. DoD SUPPLEMENTAL REGULATION The DoD Supplemental Ethics Regulation covers:
Gifts From Outside Sources—Exceptions:
Events sponsored by States, local governments and civic organizations
Scholarships and grants
Gifts between DoD employees—Limitations:
Gifts from a group including a subordinate cannot exceed $300
Solicitations for contributions for gifts to superiors cannot exceed $10
Written Disqualifications: Required for both conflicts of interest and loss of impartiality concerns for all disclosure filers. 15
16. DoD SUPPLEMENTAL REGULATION Sales to DoD personnel: DoD employees may not solicit or make sales to DoD personnel (or their families) who are junior in rank, grade or position.
Outside Employment: DoD financial disclosure filers must receive prior written approval to engage in outside employment with a DoD prohibited source.
Disclaimers on Writing: DoD personnel must use disclaimer for personal speeches and writings devoted to DoD matters. 16 Sales to DoD Personnel--In the absence of coercion or intimidation, this does not prohibit the sale or lease of a DoD employee's non-commercial personal or real property or commercial sales solicited and made in a retail establishment during off-duty employment. The posting of an advertisement in accordance with Federal Government building management policies does not constitute solicitation for purposes of this subsection.
Sales to DoD Personnel--In the absence of coercion or intimidation, this does not prohibit the sale or lease of a DoD employee's non-commercial personal or real property or commercial sales solicited and made in a retail establishment during off-duty employment. The posting of an advertisement in accordance with Federal Government building management policies does not constitute solicitation for purposes of this subsection.
17. SEEKING AND POST-GOVERNMENT EMPLOYMENT RULES 17
18. SEEKING POST-GOVERNMENT EMPLOYMENT: BASIC RULE When seeking non-Federal employment, you MUST:
Disqualify yourself from official participation
In any particular matters
That have a direct and predictable affect on financial interests
Of persons with whom you seek or have arrangements for non-Federal employment.
VIOLATION CAN CONSTITUTE A CRIMINAL OFFENSE. 18 Mention Darlene Druyun.
In DoD, written notice of disqualification is required.
An employee begins “seeking” employment by:
1. Being engaged in negotiations for such employment
2. Making an unsolicited communication regarding possible non-Federal
employment, other than:
Requesting a job application; or
Submitting a resume; or
3. Responding to an unsolicited job inquiry with other than a rejection.
An employee terminates “seeking” employment:
1. By rejecting the possibility of future employment and terminating all discussions of such employment; or
2. If two months have elapsed after dispatch of an unsolicited resume or employment proposal with the employee receiving no indication of interest from the prospective employer.
NOTE: The rules apply to your/prospective employer’s agent/ intermediary (e.g., headhunter).Mention Darlene Druyun.
In DoD, written notice of disqualification is required.
An employee begins “seeking” employment by:
1. Being engaged in negotiations for such employment
2. Making an unsolicited communication regarding possible non-Federal
employment, other than:
Requesting a job application; or
Submitting a resume; or
3. Responding to an unsolicited job inquiry with other than a rejection.
An employee terminates “seeking” employment:
1. By rejecting the possibility of future employment and terminating all discussions of such employment; or
2. If two months have elapsed after dispatch of an unsolicited resume or employment proposal with the employee receiving no indication of interest from the prospective employer.
NOTE: The rules apply to your/prospective employer’s agent/ intermediary (e.g., headhunter).
19. POST-GOVERNMENT EMPLOYMENT REPRESENTATIONAL BARS 18 U.S.C. § 207– Upon leaving the Federal Government, employees are subject to additional CRIMINAL restrictions under this statute that may limit their interactions with the Federal Government on behalf of another person or entity. 19 Terms & Notes:
REPRESENTING. Oral or written communications or simply appearing before the covered Federal entity.
SELF-REPRESENTATION. Does not prohibit representing yourself as an individual; but not your corporation or partnership.
SENIOR EMPLOYEE. All officials whose base pay exceeds $155440 for CY 2011.
Example: Lifetime Bar: Jerry leaves DoD as a GS-13 IT Project Manager and goes to work for ABC. Two years after leaving, he attends a meeting at NSA on behalf of ABC that deals with an IT contract that ABC has with both DoD and NSA and on which Jerry worked while at DoD. Jerry simply sits and listens at the meeting. Did he violate the statute?
Answer: Yes. Mere presence at a meeting with Federal officials on this matter on behalf of ABC would violate the statute.
Example: 2-Year bar: Anna, Jerry’s former boss at DoD, leaves her job as a GS-15 Office Director and also goes to work for ABC. She did not participate in the ABC contract with DoD and NSA, but Jerry was working on it during her last year as a DoD employee. Within 2 years of leaving DoD, on behalf of ABC, she attends a meeting with NSA to extend that contract.
Question: Would it violate the 2-year bar, if Anna worked totally behind-the-scenes at ABC until the 2-year bar ends? She would be the in-house expert at ABC on this contract, but other ABC employees would do all interaction/negotiation with DoD and/or NSA.
Answer: Generally no. The statute is triggered by representation—either oral or written communications, or by appearances before Federal officials. The only way in which her “behind-the-scenes” work could pose an issue is if she makes it clear to her former office that all ABC communications on the issue are coming from her.
Terms & Notes:
REPRESENTING. Oral or written communications or simply appearing before the covered Federal entity.
SELF-REPRESENTATION. Does not prohibit representing yourself as an individual; but not your corporation or partnership.
SENIOR EMPLOYEE. All officials whose base pay exceeds $155440 for CY 2011.
Example: Lifetime Bar: Jerry leaves DoD as a GS-13 IT Project Manager and goes to work for ABC. Two years after leaving, he attends a meeting at NSA on behalf of ABC that deals with an IT contract that ABC has with both DoD and NSA and on which Jerry worked while at DoD. Jerry simply sits and listens at the meeting. Did he violate the statute?
Answer: Yes. Mere presence at a meeting with Federal officials on this matter on behalf of ABC would violate the statute.
Example: 2-Year bar: Anna, Jerry’s former boss at DoD, leaves her job as a GS-15 Office Director and also goes to work for ABC. She did not participate in the ABC contract with DoD and NSA, but Jerry was working on it during her last year as a DoD employee. Within 2 years of leaving DoD, on behalf of ABC, she attends a meeting with NSA to extend that contract.
Question: Would it violate the 2-year bar, if Anna worked totally behind-the-scenes at ABC until the 2-year bar ends? She would be the in-house expert at ABC on this contract, but other ABC employees would do all interaction/negotiation with DoD and/or NSA.
Answer: Generally no. The statute is triggered by representation—either oral or written communications, or by appearances before Federal officials. The only way in which her “behind-the-scenes” work could pose an issue is if she makes it clear to her former office that all ABC communications on the issue are coming from her.
20. POST-GOVERNMENT EMPLOYMENT Key Representation Bars Lifetime Ban: Bars all former employees from representing another before any Federal agency or court regarding particular matters involving specific parties in which they participated personally and substantially at anytime during Federal service. . [“Lifetime” means lifetime of the particular matter (e.g., contract)].
2-Year Ban: Bars all former employees from representing before any Federal agency or court regarding particular matters involving specific parties that were under their official responsibility during their last year of Federal employment.
1-year Cooling Off: Bars “Senior employees,“ for one year after leaving a senior position, from representing another before their former agency to seek official action. (2 years for political appointees of the Obama Administration) 20 2-year Ban— Applies not only to supervisors who assign others to work on a project during their last year, but also to one who is assigned to work on a matter during his/her last year and fails/chooses not to act on it.
Senior Employee. All flag and general officers, or civilians whose base rate of pay exceeds $155,440 in CY 2011.
1-Year “cooling off” bar. Applied to Joint Assignment billets--An Army General Officer who is assigned to CENTCOM and retires from both positions, has a 1-year “cooling off” bar against representing others before both the Army and CENTCOM.
Discuss 207 (b) and (e), but tell them to seek advice.2-year Ban— Applies not only to supervisors who assign others to work on a project during their last year, but also to one who is assigned to work on a matter during his/her last year and fails/chooses not to act on it.
Senior Employee. All flag and general officers, or civilians whose base rate of pay exceeds $155,440 in CY 2011.
1-Year “cooling off” bar. Applied to Joint Assignment billets--An Army General Officer who is assigned to CENTCOM and retires from both positions, has a 1-year “cooling off” bar against representing others before both the Army and CENTCOM.
Discuss 207 (b) and (e), but tell them to seek advice.
21. BOTTOM LINE These rules are complicated—SO—If you:
Plan to start “looking” and/or
Plan to interact with the Federal Government after you leave—
Contact SOCO for advice.
PLEASE! 21
22. GIFTS
22
23. GIFTS: Roadmap Personal Gifts
Gifts From Outside Sources
Gifts Between Employees
Gifts From Foreign Governments
Reporting
Official Gifts 23
24. PERSONAL GIFTS
“FOR ME? JUST BECAUSE I’M A FED? NO WAY!” 24
25. Obama Administration Officials Executive Order 13490 (“Ethics Pledge”) generally prohibits
Obama Administration appointees from accepting a gift (e.g., a
free meal), irrespective of value, from a registered lobbyist or
lobbying organization.
NOTE: Does not apply to gifts from 501(c)(3) or media organizations.
25
26. GIFTS FROM OUTSIDE SOURCES 5 CFR Part 2635, Subpart B 26
27. GIFTS FROM OUTSIDE SOURCES 5 CFR Part 2635, Subpart B
RULE: You MAY NOT:
Solicit, accept or coerce the offering
Directly or indirectly
A gift either--
From any prohibited source to OSD, or
Given based on your official position
27
28. Gifts from “Prohibited” Sources "Prohibited source" means any person who or entity which:
Seeks official action by OSD
Does/seeks to do business with OSD
Has interests that may be substantially affected by performance/nonperformance of your official duties, or
Is an organization a majority of whose members are prohibited sources to OSD 28 1. Seeks official action by DoD [e.g., settlement of a Federal Tort claim];
Does/seeks business with DoD [e.g., a contractor/bidder];
3. Has interests that may be substantially affected by performance/nonperformance of your official duties; or
4. Is an organization a majority of whose members are prohibited sources to DoD [e.g., a trade association].
1. Seeks official action by DoD [e.g., settlement of a Federal Tort claim];
Does/seeks business with DoD [e.g., a contractor/bidder];
3. Has interests that may be substantially affected by performance/nonperformance of your official duties; or
4. Is an organization a majority of whose members are prohibited sources to DoD [e.g., a trade association].
29. “Gift” Defined Anything of value, including:
Cash
Tangible items
Services
Entertainment, hospitality, gratuity, or favor
Training, travel, transportation, lodging and meals
A discount, loan, or forbearance (forgiveness) of a loan, offered as a result of your official position
29
30. Indirect Gifts Indirect Gifts include items given to:
A parent, spouse, sibling, child, dependent relative because of that person’s relationship with you; or
Any other person, including a charity, based on your
designation, direction or recommendation. 30
31. 9 EXCLUSIONS: Non-gifts:
Snacks such as coffee or donuts that are not part of a meal
Greeting cards or items of little intrinsic value such as plaques, certificates, and trophies, intended for presentation only
Loans/credits from banks/financial institutions at publicly-available rates
Anything for which you paid fair market price
Anything paid for or secured by the Government
31
32. 9 EXCLUSIONS: Non-gifts:
A gift accepted by the Government under statutory authority
Opportunities and benefits, including favorable rates and commercial discounts available to the public or all Government employees [e.g., GEICO reduced car insurance]
Pensions and other benefits resulting from continued participation in an employee welfare and benefit plan
Rewards and prizes open to the public … 32
33. Rewards & Prizes—A Note To qualify for this exclusion, entry into the contest or random drawing MUST:
Be open to the GENERAL public—Entry may NOT be limited:
To attendees who paid an entrance fee; or
By lack of public access, or lack of effective notice; AND
NOT be based on actual performance of Federal duties--Entry may NOT be:
Automatic as part of conference registration; or
To attendees, or those who filled out evaluation sheets; or
Based on amount of purchases made for your DoD organization.
Note: Requires more than mere presence [e.g., entry based on presence at hotel]
33
34. QUESTION Bob attends the annual meeting of the Association for Personnel Without Other Associations. The event is closed to the public. DoD paid the entrance fee. Bob attends on official time. As part of the event, there’s a door prize drawing from the names of all paid attendees. Bob wins. Can he keep the $1,500 prize?
a. Yes. The drawing was part of the entrance fee.
b. No. The drawing was part of the entrance fee.
c. No. The drawing was not related to Bob’s official duties. 34 ANSWER 1.
Yes. The drawing was part of the entrance fee.
Sorry, wrong. The correct answer is B. For Bob to accept the door prize, the drawing MUST be:
Open to the public (which was not the case here as the event was closed to the public and required an entrance fee); AND
Not be related to the employee's official duties (which was not the case here as Bob's entrance in the drawing was the result of his official registration for the meeting).
No. The drawing was part of the entrance fee.
Good job, correct! For Bob to be able to accept the door prize, the drawing MUST be:
Open to the public (which was not the case here as the event was closed to the public and required an entrance fee); AND
Not be related to the employee's official duties (which was not the case here as Bob's entrance in the drawing was the result of his official registration for the meeting).
Yes. The drawing was not related to Bob's official duties.
Sorry, wrong. The correct answer is B. The correct answer is B. For Bob to accept the door prize, the drawing MUST be:
Open to the public (which was not the case here as the event was closed to the public and required an entrance fee); AND
Not be related to the employee's official duties (which was not the case here as Bob's entrance in the drawing was the result of his official registration for the meeting). Open to the public (which was not the case here).ANSWER 1.
Yes. The drawing was part of the entrance fee.
Sorry, wrong. The correct answer is B. For Bob to accept the door prize, the drawing MUST be:
Open to the public (which was not the case here as the event was closed to the public and required an entrance fee); AND
Not be related to the employee's official duties (which was not the case here as Bob's entrance in the drawing was the result of his official registration for the meeting).
No. The drawing was part of the entrance fee.
Good job, correct! For Bob to be able to accept the door prize, the drawing MUST be:
Open to the public (which was not the case here as the event was closed to the public and required an entrance fee); AND
Not be related to the employee's official duties (which was not the case here as Bob's entrance in the drawing was the result of his official registration for the meeting).
Yes. The drawing was not related to Bob's official duties.
Sorry, wrong. The correct answer is B. The correct answer is B. For Bob to accept the door prize, the drawing MUST be:
Open to the public (which was not the case here as the event was closed to the public and required an entrance fee); AND
Not be related to the employee's official duties (which was not the case here as Bob's entrance in the drawing was the result of his official registration for the meeting). Open to the public (which was not the case here).
35. 12 GIFT EXCEPTIONS The following exceptions permitting Federal employees to accept otherwise improper gifts:
Gifts of $20 or less [“$20/$50 de minimus” Rule];
Gifts based on a personal relationship [“Friends & Family” Rule];
Discounts and similar benefits;
Awards and honorary degrees;
Gifts based on outside business/employment relationships;
Widely attended gatherings and other events;
35
36. 12 GIFT EXCEPTIONS Gifts in connection with permissible partisan political activity;
Social invitations from persons other than prohibited sources;
Meals, refreshments and entertainment in foreign areas;
Gifts to the President or Vice President;
Gifts authorized by supplemental agency regulation; and
Gifts accepted under specific statutory authority.
36
37. EXCEPTIONS: $20/$50 “De Minimus” Rule You may accept otherwise improper gifts:
Worth $20 or less per occasion, per source; and
No more than $50/year from any one prohibited source.
This exception does not include cash/investment instruments.
37
38. Exceptions: $20/$50 Rule For gifts that exceed $20 your options are:
Decline the gift
Non-severable Gift--Pay fair market value for entire gift
Severable Gift--Accept a portion worth no more than $20
Food--If it will spoil, share it with the office
Return the gift promptly at government expense. 38 Non-severable Gift. Pay fair market value for entire gift . E.g., If lunch with a contractor is worth $28, you pay the full $28. This is not a standard $20 Federal employee discount.
Agency Gift. If appropriate, see if it can be accepted under an applicable agency gift statute.
Non-severable Gift. Pay fair market value for entire gift . E.g., If lunch with a contractor is worth $28, you pay the full $28. This is not a standard $20 Federal employee discount.
Agency Gift. If appropriate, see if it can be accepted under an applicable agency gift statute.
39. QUESTION Harry oversees an office that recently awarded a support contract
to IT Gurus, Inc. Around holiday season, IT Gurus sends Harry the
following items with a note thanking him for selecting them: Ballcap
with IT Gurus logo (value $12), Sweatshirt with IT Gurus logo ($23),
and box of fruit ($25). What can he accept?
a. Ballcap and Sweatshirt.
b. Only the fruit.
c. Ballcap and fruit (if shared with the office). 39 ANSWER 2.
Ballcap and Sweatshirt.
Almost correct, but not quite!
Ballcap. Harry may keep the ballcap ($12) as its value does not exceed $20, assuming its value added to any other gifts accepted from IT Gurus, Inc. in this calendar year will not exceed $50. This meets the de minimus exception.
Sweatshirt. The sweatshirt is valued over $20 and cannot be accepted as a gift. He must either return it or remit the fair market value back to IT Gurus, Inc.
Fruit. Like the sweatshirt the value exceeds the de minimus exception $20 per source per occasion threshold. However, there is a separate means of disposing of perishable gifts like the fruit. The Standards of Conduct permit Harry to share the fruit with the office.
Only the fruit.
Almost correct, but not quite!
Ballcap. Harry may keep the ballcap ($12) as its value does not exceed $20, assuming its value added to any other gifts accepted from IT Gurus, Inc. in this calendar year will not exceed $50. This meets the de minimus exception.
Sweatshirt. The sweatshirt is valued over $20 and cannot be accepted as a gift. He must either return it or remit the fair market value back to IT Gurus, Inc.
Fruit. Like the sweatshirt the value exceeds the de minimus exception $20 per source per occasion threshold. However, there is a separate means of disposing of perishable gifts like the fruit. The Standards of Conduct permit Harry to share the fruit with the office.
Ballcap and fruit (if shared with the office).
Correct.
Ballcap. Harry may keep the ballcap ($12) as its value does not exceed $20, assuming its value added to any other gifts accepted from IT Gurus, Inc. in this calendar year will not exceed $50. This meets the de minimus exception.
Sweatshirt. The sweatshirt is valued over $20 and cannot be accepted as a gift. He must either return it or remit the fair market value back to IT Gurus, Inc.
Fruit. Like the sweatshirt the value exceeds the de minimus exception $20 per source per occasion threshold. However, there is a separate means of disposing of perishable gifts like the fruit. The Standards of Conduct permit Harry to share the fruit with the office. ANSWER 2.
Ballcap and Sweatshirt.
Almost correct, but not quite!
Ballcap. Harry may keep the ballcap ($12) as its value does not exceed $20, assuming its value added to any other gifts accepted from IT Gurus, Inc. in this calendar year will not exceed $50. This meets the de minimus exception.
Sweatshirt. The sweatshirt is valued over $20 and cannot be accepted as a gift. He must either return it or remit the fair market value back to IT Gurus, Inc.
Fruit. Like the sweatshirt the value exceeds the de minimus exception $20 per source per occasion threshold. However, there is a separate means of disposing of perishable gifts like the fruit. The Standards of Conduct permit Harry to share the fruit with the office.
Only the fruit.
Almost correct, but not quite!
Ballcap. Harry may keep the ballcap ($12) as its value does not exceed $20, assuming its value added to any other gifts accepted from IT Gurus, Inc. in this calendar year will not exceed $50. This meets the de minimus exception.
Sweatshirt. The sweatshirt is valued over $20 and cannot be accepted as a gift. He must either return it or remit the fair market value back to IT Gurus, Inc.
Fruit. Like the sweatshirt the value exceeds the de minimus exception $20 per source per occasion threshold. However, there is a separate means of disposing of perishable gifts like the fruit. The Standards of Conduct permit Harry to share the fruit with the office.
Ballcap and fruit (if shared with the office).
Correct.
Ballcap. Harry may keep the ballcap ($12) as its value does not exceed $20, assuming its value added to any other gifts accepted from IT Gurus, Inc. in this calendar year will not exceed $50. This meets the de minimus exception.
Sweatshirt. The sweatshirt is valued over $20 and cannot be accepted as a gift. He must either return it or remit the fair market value back to IT Gurus, Inc.
Fruit. Like the sweatshirt the value exceeds the de minimus exception $20 per source per occasion threshold. However, there is a separate means of disposing of perishable gifts like the fruit. The Standards of Conduct permit Harry to share the fruit with the office.
40. EXCEPTIONS: Friends & Family Rule You MAY accept a gift where circumstances make clear that the gift is motivated by family relationship/personal friendship rather than your official position [e.g., holiday gift from brother who works for a prohibited source].
Factors to consider include:
The history of the relationship and
Whether your friend or family member personally paid for the gift (no expensing to employer)
There is no limit to the value of the gift
40 A gift paid for by the friend’s employer is a gift from the employer. A gift paid for by the friend’s employer is a gift from the employer.
41. EXCEPTIONS: Group Discounts You MAY accept:
Reduced membership fees offered by organizations to all
government/military personnel
Opportunities/Benefits to group members if membership is:
Unrelated to government employment or
Related to government employment IF same benefit is offered to a large segment of the public
Benefits offered from other than prohibited source and class is not based on position, rank or rate of pay 41
42. EXCEPTIONS: Gatherings & Events (Official Capacity) You MAY accept an unsolicited gift of:
Free attendance for the
Day(s) of your actual participation when
Speaking or serving as a panel member in your
Official capacity
Note: Food, refreshments, entertainment, instruction and materials furnished are considered customary and not gifts to you or to OSD.
Note: You cannot accept travel or lodging costs, but OSD may do so if appropriate under 31 U.S.C. 1353. 42
43. You MAY accept an unsolicited gift of:
Free attendance for the
Entire event if
You are attending in your personal capacity and the
Agency designee (usually supervisor) has made an advance determination in writing that:
The event is a widely-attended gathering; and
Your attendance furthers OSD programs and operations.
EXCEPTIONS: Gatherings & Events (Personal Capacity) 43 REMEMBER: If it is a WAG:
You are NOT attending officially and
You ARE there on your own time & dime
Mixing (g)(1) and (g)(2):
An employee could attend a 3-day conference using (g)(1) where speaking to the conference on Day 1 and attending under (g)(2) on Days 2 and 3.
The WAG Exception is not available to Obama Administration appointees who are subject to the Obama Administration Pledge.REMEMBER: If it is a WAG:
You are NOT attending officially and
You ARE there on your own time & dime
Mixing (g)(1) and (g)(2):
An employee could attend a 3-day conference using (g)(1) where speaking to the conference on Day 1 and attending under (g)(2) on Days 2 and 3.
The WAG Exception is not available to Obama Administration appointees who are subject to the Obama Administration Pledge.
44. MEANS:
Numerous Attendees
Attendees represent a diversity of views and interests
NOTE: Does NOT include travel or accommodation costs. 44 Because you are in a personal capacity:
1. Government transportation may NOT be used to attend the event; and
2. Neither you nor the agency may accept transportation or lodging costs/reimbursement from a non-Federal party to attend. Because you are in a personal capacity:
1. Government transportation may NOT be used to attend the event; and
2. Neither you nor the agency may accept transportation or lodging costs/reimbursement from a non-Federal party to attend.
45. DoD Supplement: Attending Certain Events You MAY accept a sponsor's unsolicited gift of free attendance for:
Yourself & accompanying spouse at an event sponsored by a State or local government or a civic 501(c)(4) organization, if:
The sponsor bears the cost, and
You receive advanced Agency Designee approval.
Transportation and lodging are not included. 45
46. QUESTION Gail is assigned to speak at the American Defense Industry Association (ADIA) Conference. ADIA is a prohibited source. The fee to attend is $200, but ADIA offers to waive Gail’s fee and also offers her a nominal ($15) plaque for participating. Gail:
a. Can accept the fee waiver and plaque.
b. Can accept the fee waiver only.
c. Must pay the full fee, but can accept the plaque. 46 ANSWER 3.
Can accept the fee waiver and plaque.
Correct! As a speaker or panelist, serving in her official capacity, Gail can accept free attendance from the sponsor for the day of her presentation. This is considered a customary part of performing these duties and not a gift to her personally or the Department. She may also accept the plaque, as it appears to meet one of the exclusions to the definition of gift (item of little intrinsic value intended for presentation only). NOTE: this would also meet the de minimus exception since the plaque is worth less than $20.
Can accept the fee waiver only.
Sorry. The correct answer is A. As a speaker or panelist, serving in her official capacity, Gail can accept free attendance from the sponsor for the day of her presentation. This is considered a customary part of performing these duties and not a gift to her personally or the Department. She may also accept the plaque, as it appears to meet one of the exclusions to the definition of gift (item of little intrinsic value intended for presentation only). NOTE: this would also meet the de minimus exception since the plaque is worth less than $20.
Must pay the full fee, but can accept the plaque.
Sorry. The correct answer is A. As a speaker or panelist, serving in her official capacity, Gail can accept free attendance from the sponsor for the day of her presentation. This is considered a customary part of performing these duties and not a gift to her personally or the Department. She may also accept the plaque, as it appears to meet one of the exclusions to the definition of gift (item of little intrinsic value intended for presentation only). NOTE: this would also meet the de minimus exception since the plaque is worth less than $20.ANSWER 3.
Can accept the fee waiver and plaque.
Correct! As a speaker or panelist, serving in her official capacity, Gail can accept free attendance from the sponsor for the day of her presentation. This is considered a customary part of performing these duties and not a gift to her personally or the Department. She may also accept the plaque, as it appears to meet one of the exclusions to the definition of gift (item of little intrinsic value intended for presentation only). NOTE: this would also meet the de minimus exception since the plaque is worth less than $20.
Can accept the fee waiver only.
Sorry. The correct answer is A. As a speaker or panelist, serving in her official capacity, Gail can accept free attendance from the sponsor for the day of her presentation. This is considered a customary part of performing these duties and not a gift to her personally or the Department. She may also accept the plaque, as it appears to meet one of the exclusions to the definition of gift (item of little intrinsic value intended for presentation only). NOTE: this would also meet the de minimus exception since the plaque is worth less than $20.
Must pay the full fee, but can accept the plaque.
Sorry. The correct answer is A. As a speaker or panelist, serving in her official capacity, Gail can accept free attendance from the sponsor for the day of her presentation. This is considered a customary part of performing these duties and not a gift to her personally or the Department. She may also accept the plaque, as it appears to meet one of the exclusions to the definition of gift (item of little intrinsic value intended for presentation only). NOTE: this would also meet the de minimus exception since the plaque is worth less than $20.
47. EXCEPTIONS: Awards/Degrees Awards. You MAY accept a non-cash award worth $200 or less from a source not affected by the performance or non-performance of your
official duties, offered for meritorious public service and under a bona fide award program.
Honorary Degrees: In addition to above, you MAY accept from
“institutions of higher education.”
Note: May accept meals and entertainment given to you and your family
at presentation. Examine timing of award. 47 NOTE: Cash awards, or other awards valued at more than $200, require prior approval from your Ethics Advisor and must be in writing. NOTE: Cash awards, or other awards valued at more than $200, require prior approval from your Ethics Advisor and must be in writing.
48. EXCEPTIONS: Outside Business or Employment IF clear that the gift is not offered to gain access to you, or to influence you, you MAY accept meals, lodgings, transportation, and other benefits:
Based on your spouse’s employment or
Based on your outside business/employment
You also may accept the same where customarily provided by a prospective employer in bona fide employment discussions. 48
49. Limits on use of Exceptions Even if an exception applies, YOU CANNOT:
Accept in return for being influenced in performance of an official act;
Solicit or coerce the offering of a gift; or
Accept from same of different sources on a basis so frequent that a reasonable person would be led to believe the employee is using his public office for private gain.
ALSO: Circumstances may make it wise for you to decline. 49
50. GIFTS BETWEEN EMPLOYEES 5 C.F.R. part 2635, subpart C: Gifts Between Employees 5 U.S.C. § 7351: Gifts to Superiors 50
51. GIFTS BETWEEN EMPLOYEES Giving You MAY NOT, absent an exception:
Directly or indirectly
GIVE a gift,
Donate toward a gift for an official superior, or
Solicit a contribution from another employee for a gift to an official superior. 51
52. GIFTS BETWEEN EMPLOYEES Receiving
You MAY NOT, absent an exception:
Directly or indirectly
ACCEPT a gift
From any lesser-paid employee unless there’s:
A personal relationship that justifies the gift; AND
No superior/subordinate relationship.
52
53. General Exceptions: On an occasional basis De Minimus (“$10”) Rule: A non-cash gift worth up to$10.
Food: Food shared with office.
Customary hospitality: If you go to a gathering at the boss‘ house, you can actually bring wine with a cork.
Leave under an approved DoD leave sharing plan except to an immediate supervisor. 53
54. Special Gift Exceptions:
A special, infrequent occasion of personal significance [E.g., marriage, death, birth or adoption of a child]
OR
Events terminating superior/subordinate relationship [E.g., retirement, transfer, promotion outside supervisory chain]
54 Birthdays (especially those past 40) are not special or infrequent; nor are holidays).
Service birthdays also do not qualify as special, infrequent occasions.
Birthdays (especially those past 40) are not special or infrequent; nor are holidays).
Service birthdays also do not qualify as special, infrequent occasions.
55. Special Exception: Solicitations GOVERNMENT-WIDE STANDARDS: You MAY solicit from fellow employees for and make:
Voluntary contributions
Of nominal amounts for
An appropriate gift to an official superior
DoD SUPPLEMENTAL RULES:
Appropriate Gift: $300 limit if donating group includes a subordinate
Subordinate cannot be solicited to give more than $10 (not including food, refreshments & entertainment). 55 Aggregate all gifts if employee is in more than one donating group.
Emphasize—ONLY for special gift exception.
Aggregate all gifts if employee is in more than one donating group.
Emphasize—ONLY for special gift exception.
56. QUESTION Toni travels often as part of her job. She buys a souvenir coffee cup from each city she visits for her boss, Joe, who collects them. She only buys cups costing under $10. Can Joe accept them?
a. Yes, because the cups are worth $10 or less.
b. No, because the cups are being given on a regular basis.
c. No, because she should never buy gifts for her official superior under any circumstances.
56 ANSWER 4.
Yes, because the cups are worth $10 or less.
Sorry, the correct answer is B. There is an exception that allows a superior to accept a gift from a subordinate if the gift does not exceed $10 in value and is given on an occasional basis. In this case, the gifts from Toni are not occasional. The gifts in this case would also not fall under the exception for special infrequent occasions because they are not infrequent and are not given on an occasion that is of personal significance to Joe such as a marriage or birth of a child.
No, because the cups are being given on a regular basis.
Correct! There is an exception that allows a superior to accept a gift from a subordinate if the gift does not exceed $10 in value and is given on an occasional basis. In this case, the gifts from Toni are not occasional. The gifts would also not fall under the exception for special infrequent occasions because they are not infrequent and are not given on an occasion that is of personal significance to Joe superior such as a marriage or birth of a child.
No, because she should never buy gifts for her official superior under any circumstances.
Sorry, the correct answer is B. While giving gifts to a superior is generally prohibited, there are exceptions. There is an exception that allows a superior to accept a gift from a subordinate if the gift does not exceed $10 in value and is given on an occasional basis. In this case, the gifts from Toni are not occasional. The gifts would also not fall under the exception for special infrequent occasions because they are not infrequent and are not given on an occasion that is of personal significance to Joe such as a marriage or birth of a child.
ANSWER 4.
Yes, because the cups are worth $10 or less.
Sorry, the correct answer is B. There is an exception that allows a superior to accept a gift from a subordinate if the gift does not exceed $10 in value and is given on an occasional basis. In this case, the gifts from Toni are not occasional. The gifts in this case would also not fall under the exception for special infrequent occasions because they are not infrequent and are not given on an occasion that is of personal significance to Joe such as a marriage or birth of a child.
No, because the cups are being given on a regular basis.
Correct! There is an exception that allows a superior to accept a gift from a subordinate if the gift does not exceed $10 in value and is given on an occasional basis. In this case, the gifts from Toni are not occasional. The gifts would also not fall under the exception for special infrequent occasions because they are not infrequent and are not given on an occasion that is of personal significance to Joe superior such as a marriage or birth of a child.
No, because she should never buy gifts for her official superior under any circumstances.
Sorry, the correct answer is B. While giving gifts to a superior is generally prohibited, there are exceptions. There is an exception that allows a superior to accept a gift from a subordinate if the gift does not exceed $10 in value and is given on an occasional basis. In this case, the gifts from Toni are not occasional. The gifts would also not fall under the exception for special infrequent occasions because they are not infrequent and are not given on an occasion that is of personal significance to Joe such as a marriage or birth of a child.
57. QUESTION Barbara is retiring from Federal service. Her office wants to throw a retirement party before she retires. Sherri, her AA, is collecting contributions towards a gift to be given to her at the party. Which of the following actions poses an ethical dilemma?
a. Sherri’s email to Barbara’s staff asking for contributions of $10.
b. Sherri’s email asks $10 of subordinates, but several give $20.
c. Sherri does not accept the offer of $10 from Jack, the office’s IT contractor.
d. The gift value is $400, but Sherri seeks no more than $10 from Barbara’s subordinates. 57 Sherri’s email to Barbara’s staff asking for contributions of $10.
Sorry, this is not the correct answer. Sherri may ask for voluntary contributions of a nominal amount ($10 is considered nominal). The correct answer is d. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.
Sherri’s email asks $10 of subordinates, but several give $20.
Sorry, this is not the correct answer. While Sherri may be limited to asking for voluntary contributions of a nominal amount ($10 is considered nominal), employees are free to give more. The correct answer is d. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.
Sherri does not accept the offer of $10 from Jack, the office’s IT contractor.
Sorry, this is not the correct answer. Sherri may ask for voluntary contributions of a nominal amount ($10 is considered nominal) from DoD personnel, but she may not solicit or accept contributions from contractor personnel. The correct answer is d. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.
The gift value is $400, but Sherri seeks no more than $10 from Barbara’s subordinates.
Correct. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.Sherri’s email to Barbara’s staff asking for contributions of $10.
Sorry, this is not the correct answer. Sherri may ask for voluntary contributions of a nominal amount ($10 is considered nominal). The correct answer is d. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.
Sherri’s email asks $10 of subordinates, but several give $20.
Sorry, this is not the correct answer. While Sherri may be limited to asking for voluntary contributions of a nominal amount ($10 is considered nominal), employees are free to give more. The correct answer is d. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.
Sherri does not accept the offer of $10 from Jack, the office’s IT contractor.
Sorry, this is not the correct answer. Sherri may ask for voluntary contributions of a nominal amount ($10 is considered nominal) from DoD personnel, but she may not solicit or accept contributions from contractor personnel. The correct answer is d. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.
The gift value is $400, but Sherri seeks no more than $10 from Barbara’s subordinates.
Correct. DoD supplemental ethical rules limit the maximum value of gifts to supervisors at no more than $300 per donor group.
58. GIFTS FROM FOREIGN GOVERNMENTS Unsolicited gifts from foreign governments, officials, or entities MAY be accepted either:
PERSONALLY where the gift is of:
“Minimal value” & tendered/received as souvenir/mark of courtesy; or
Any value for: Travel completely outside of the U.S. if consistent with U.S. interests; Medical care; or Educational scholarships; OR
ON BEHALF OF THE U.S. where:
The souvenir/courtesy gift exceeds the “minimum value;” and
Refusing the gift would likely cause offense or embarrassment or otherwise adversely affect the foreign relations of the United States.
58 “Minimal value” = Retail value in U.S. at acceptance of up to $335 (as of 2010). Covers aggregate of all gifts from donor at single presentation.
Gifts in excess of minimal value must be reported to State Dept. A Senior officer’s aide or executive assistant should be recording gifts and discussing with SJA or legal counsel near time of receipt.
Covers aggregate of all gifts from donor at single presentation.“Minimal value” = Retail value in U.S. at acceptance of up to $335 (as of 2010). Covers aggregate of all gifts from donor at single presentation.
Gifts in excess of minimal value must be reported to State Dept. A Senior officer’s aide or executive assistant should be recording gifts and discussing with SJA or legal counsel near time of receipt.
Covers aggregate of all gifts from donor at single presentation.
59. Gift Reporting: For Financial Disclosure Filers REPORT--Other than as noted below, personal gifts and travel reimbursements over $335 during reporting period.
DO NOT REPORT--Anything received from:
Relatives
U.S., D.C., state, or local governments
Vested bequests and other forms of inheritance
Gifts/travel reimbursements accepted by DoD (e.g., 1353 travel)
Gifts of hospitality at the donor’s residence or personal premises
Anything received by your spouse/dependent child totally independent of their relationship to you 59
60. OFFICIAL GIFTS to DoD Title 10 U.S. Code DoD has statutory authority to accept gifts under certain circumstances. These gifts amount to an augmentation to DoD appropriations and therefore fall under fiscal principles, not these rules.
60
61. NON-FEDERAL TRAVEL SUPPORT 31 U.S.C. § 1353
61 Where 1353 applies, it must be used.
Under certain circumstances, source can pay for your spouse to attend.
Discuss exception to advanced written approval required—within 7-days of return, where it was not offered until you were on travel…Where 1353 applies, it must be used.
Under certain circumstances, source can pay for your spouse to attend.
Discuss exception to advanced written approval required—within 7-days of return, where it was not offered until you were on travel…
62. QUESTION ITA, a trade group and prohibited source, holds its 3-day annual conference outside the local area and invites Chad to speak officially at the event. ITA offers to cover his accommodations and meals for the whole conference. ITA expects 300 attendees of diverse views including public, private, and non-profit representatives. Can he accept the offer to attend the entire event?
a. Yes, because the conference is a widely-attended gathering.
b. Yes, because he’s speaking and attending in official capacity.
c. No. There is no way he can accept the invitation to attend for the entire event. 62 ANSWER 5.
Yes, because the conference is a widely-attended gathering.
Sorry, this is not the correct answer. It is irrelevant for these purposes whether the conference meets the criteria for a widely-attended gathering. 31 U.S.C. § 1353 (Non-Federal Travel Support) permits DoD to accept a gift of travel and related expenses (such as meals & lodging) from a non-Federal source for official government TDY travel if certain conditions are met. Those conditions include receiving advance approval (in most instances) in writing, from the appropriate agency official after an ethics review. This authority, however, cannot be used to accept gifts associated with a conference in the local area. The gift of travel may take the form of an "in-kind" gift where the non-Federal source pays the travel expense directly to the provider (e.g., the hotel) or a reimbursement to the agency in the form of a check made payable directly to the agency. Under no circumstances may the employee accept a cash payment from the non-Federal source.
Yes, because he’s speaking and attending in official capacity.
Correct. 31 U.S.C. § 1353 (Non-Federal Travel Support) permits DoD to accept a gift of travel and related expenses (such as meals & lodging) from a non-Federal source for official government TDY travel if certain conditions are met. Those conditions include receiving advance approval (in most instances) in writing, from the appropriate agency official after an ethics review. This authority, however, cannot be used to accept gifts associated with a conference in the local area. The gift of travel may take the form of an "in-kind" gift where the non-Federal source pays the travel expense directly to the provider (e.g., the hotel) or a reimbursement to the agency in the form of a check made payable directly to the agency. Under no circumstances may the employee accept a cash payment from the non-Federal source.
No. There is no way he can accept the invitation to attend for the entire event.
Sorry, this is not the correct answer. 31 U.S.C. § 1353 (Non-Federal Travel Support) permits DoD to accept a gift of travel and related expenses (such as meals & lodging) from a non-Federal source for official government TDY travel if certain conditions are met. Those conditions include receiving advance approval (in most instances) in writing, from the appropriate agency official after an ethics review. This authority, however, cannot be used to accept gifts associated with a conference in the local area. The gift of travel may take the form of an "in-kind" gift where the non-Federal source pays the travel expense directly to the provider (e.g., the hotel) or a reimbursement to the agency in the form of a check made payable directly to the agency. Under no circumstances may the employee accept a cash payment from the non-Federal source.ANSWER 5.
Yes, because the conference is a widely-attended gathering.
Sorry, this is not the correct answer. It is irrelevant for these purposes whether the conference meets the criteria for a widely-attended gathering. 31 U.S.C. § 1353 (Non-Federal Travel Support) permits DoD to accept a gift of travel and related expenses (such as meals & lodging) from a non-Federal source for official government TDY travel if certain conditions are met. Those conditions include receiving advance approval (in most instances) in writing, from the appropriate agency official after an ethics review. This authority, however, cannot be used to accept gifts associated with a conference in the local area. The gift of travel may take the form of an "in-kind" gift where the non-Federal source pays the travel expense directly to the provider (e.g., the hotel) or a reimbursement to the agency in the form of a check made payable directly to the agency. Under no circumstances may the employee accept a cash payment from the non-Federal source.
Yes, because he’s speaking and attending in official capacity.
Correct. 31 U.S.C. § 1353 (Non-Federal Travel Support) permits DoD to accept a gift of travel and related expenses (such as meals & lodging) from a non-Federal source for official government TDY travel if certain conditions are met. Those conditions include receiving advance approval (in most instances) in writing, from the appropriate agency official after an ethics review. This authority, however, cannot be used to accept gifts associated with a conference in the local area. The gift of travel may take the form of an "in-kind" gift where the non-Federal source pays the travel expense directly to the provider (e.g., the hotel) or a reimbursement to the agency in the form of a check made payable directly to the agency. Under no circumstances may the employee accept a cash payment from the non-Federal source.
No. There is no way he can accept the invitation to attend for the entire event.
Sorry, this is not the correct answer. 31 U.S.C. § 1353 (Non-Federal Travel Support) permits DoD to accept a gift of travel and related expenses (such as meals & lodging) from a non-Federal source for official government TDY travel if certain conditions are met. Those conditions include receiving advance approval (in most instances) in writing, from the appropriate agency official after an ethics review. This authority, however, cannot be used to accept gifts associated with a conference in the local area. The gift of travel may take the form of an "in-kind" gift where the non-Federal source pays the travel expense directly to the provider (e.g., the hotel) or a reimbursement to the agency in the form of a check made payable directly to the agency. Under no circumstances may the employee accept a cash payment from the non-Federal source.
63. BOTTOM LINE DoD personnel do not generally have authority to accept gifts offered to the Department, or that relate to DoD, its operations, and its personnel. Check with OGC or your gift acceptance authority.
E.g., DoD employees cannot accept non-Federal Travel Support. Only designated travel approving officials have that authority—and only after completion of an ethics conflict of interest review. 63 (E.g., Financial Management Regulation, Volume 12, Chap. 30)
(E.g., Financial Management Regulation, Volume 12, Chap. 30)
64. Questions If you have any questions regarding this training, please contact Mr. Scott Frye at brian.frye1@us.army.mil or call 256-876-8924.
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