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Opening Remarks
Welcome to your ethics training!
This year we will focus on the general principles of ethical conduct and
training scenarios modeled from real-world situations to illustrate
potential ethics issues and their appropriate resolution.
This training will take approximately one hour to complete, and satisfies
the 2022 Annual Ethics Training requirement for financial disclosure
filers.
When authorized, this training can also satisfy the Initial Ethics Training
requirement for new employees for calendar years 2022 and 2023.
This module should be completed during official business hours so that
you may contact an ethics official if you have any questions.
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UNCLASSIFIED
Disclaimer
This training will not cover all the ethics rules or exceptions. However, this
training should assist your understanding of the rules, and help you make
value-based judgment calls. In turn, this training should help you avoid
inadvertent violations of the rules that, in many cases, carry civil or even
criminal penalties. This training is not a substitute for legal advice.
When in doubt, contact your ethics counselor!
TAKE AWAY
: If you have questions on how the ethics rules apply to a
particular situation, contact an ethics counselor before taking action. Even
with the best intentions, it is more prudent to consult with an ethics
counselor in advance to avoid violating any of the ethics rules.
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Purpose
The intent of this training module is to help DoD personnel better
understand their responsibility to foster and encourage ethical conduct.
Specifically, you are encouraged to think about the ethical culture in your
organization and your contributions towards that culture.
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Secretary Austin’s Ethics Messages
Secretary Austin also issued a memorandum,
“Reaffirming Our Values and Ethical Conduct” in
March 2021. Please double-click on the PDF to
the right to read the Secretary’s message
In the spirit of maintaining a culture of ethical conduct in
DoD, Secretary of Defense Lloyd Austin released a video
message in 2022 regarding ethical decision making. Please
take a moment to view the Secretary’s message here
.
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Training Topics
Legal Sources of Ethics Rules
General Principles of Public Service
Gifts
Conflicts of Interest & Impartiality
Financial Disclosure
Misuse: Public Office, Position, & Title
Political Activity
Post-Government Employment
Ethical Decision Making
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Legal Sources
Criminal Conflict of Interest Statutes
18 U.S.C. 201, Bribery and Gratuities. Prohibits personnel from
seeking, receiving or agreeing to accept anything of value to influence
their Government actions or as a result of their Government actions.
18 U.S.C. 203, Representation of Others (Compensated).
Prohibits
personnel from receiving compensation derived from representation of
another before the executive branch or the courts when the United
States is a party or has a direct and substantial interest.
18 U.S.C. 205, Representation of Others (Uncompensated).
Prohibits
personnel from involvement in a claim against the U.S. or representing
another before the Government in matters in which the U.S. is a party or
has a direct and substantial interest, even if uncompensated.
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Legal Sources
Criminal Conflict of Interest Statutes
18 U.S.C. 207, Post-Government Employment. Places certain
restrictions on former Federal personnel against representing the
interests of others back to the Federal government after leaving Federal
employment.
18 U.S.C. 208, Financial Conflict of Interest
. Bars Federal personnel
from participating personally and substantially in an official capacity in
any particular Government matter that would have a direct and
predictable effect on the employee’s actual or imputed financial interests.
18 U.S.C. 209, Dual Compensation
. Prohibits Federal personnel from
being paid by someone other than the United States for doing their
official Government duties.
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Legal Sources
Ethics Regulations
5 C.F.R. 2635, Standards of Conduct for Employees of the
Executive Branch
. The Federal-wide regulations that implement the
conflict of interest laws and governs ethical conduct of all Federal
employees. A summary can be found here
.
5 C.F.R. 3601, DoD Supplemental Standards of Conduct.
Provides
additional DoD-specific Federal ethics regulations in the Code of
Federal Regulations.
DoD 5500.07-R, Joint Ethics Regulation. Provides additional DoD-
specific ethics regulations through a DoD issuance.
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Standards of Conduct for Employees of the
Executive Branch
The Standards of Conduct regulations address the following topics.
Conflicting Financial Interests
Impartiality
Gifts from outside sources and between employees
Seeking Non-Federal Employment
Misuse of Official Position, to include…
Nonpublic information;
Government property;
Official time; and
Use of public office for private gain;
Outside Activities, to include…
Outside Employment;
Fundraising;
Teaching, Speaking, Writing; and
Providing Expert Testimony.
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DoD Supplemental Standards of Conduct
The DoD Supplemental regulation addresses additional issues specific
to DoD personnel such as:
Monetary limit on value of group gift (currently no more than $300)
from subordinates to supervisor for special, infrequent occasions.
Requirement to use a disclaimer when providing unofficial speeches.
Prior approval by the supervisor for compensated outside employment
with a prohibited source if the DoD employee is a financial disclosure
filer.
Prohibition on making solicited sales to DoD personnel (or their
families) who are more junior in rank, grade, or position.
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DoD Joint Ethics Regulations
DoD’s Joint Ethics Regulation (JER) is issued under the authority of DoD
Directive 5500.7, “Standards of Conduct.” It serves as a source of
guidance on the standards of ethical conduct and other ethics rules.
The JER also lists DoD’s primary ethical values.
• Honesty
• Integrity
• Loyalty
• Accountability
• Fairness
• Caring
• Respect
• Promise Keeping
• Responsible Citizenship
• Pursuit of Excellence
UNCLASSIFIED
General Principles of Public Service
DO:
• Place loyalty to the Constitution, the laws,
and ethical principles above private gain.
• Put forth honest effort in performing
duties.
• 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:
• Hold financial interests or positions
that conflict with your Federal duties.
• Use or allow use of nonpublic
information for private interests.
• Solicit or accept gifts from persons or
parties that do business or seek
official action from DoD (unless an
exception applies.
• Make unauthorized commitments or
promises that bind the Government.
• Use public office for private gain.
• Use Federal property for other than
authorized activities.
• Take actions that give the appearance
that they are illegal or unethical.
The 14 General Principles of Public Service establish basic obligations
and ethical values and goals for all Federal employees and form the
foundation for most ethics laws and regulations.
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Gifts
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Gifts: General Rules
Gifts from Outside Sources: Federal personnel may not solicit or
accept gifts given by a prohibited source, (e.g. a defense contractor) or
because of their official position.
Gifts between Federal Employees: General prohibition on acceptance
of gifts from subordinates or people who earn less than you.
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Gifts from Outside Sources - Definitions
A gift is any gratuity, favor, discount, entertainment, hospitality, loan,
forbearance, or any other item having monetary value. It includes services
as well as gifts of training, transportation, travel, lodging, and meals.
The following items are not
considered gifts from outside sources:
• Modest items of food & non-alcoholic refreshments, not part of a meal.
• Items of little intrinsic value (e.g. plaques, certificates, and trophies),
intended solely for presentation.
• Free attendance at an event on the day an employee is assigned to
present information on behalf of the 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 or secured by the Government
under a contract.
• Anything for which market value is paid by the employee.
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Gifts from Outside Sources: Exceptions
Gifts from Outside Sources May be Accepted When:
Gift has a value of $20 or less, not to exceed $50 from the same
source in a single calendar year. No cash.
Gift is based on a personal relationship.
Discounts and similar benefits meeting certain requirements.
Awards and honorary degrees.
Gift is based on outside business or employment relationships.
Gift is customarily offered by a prospective employer (i.e., interview
travel expenses or meals).
Social invitations from other than prohibited sources.
Meals, refreshments, and entertainment in foreign areas.
Gift is accepted under specific statutory authority (i.e. travel payments
from non-federal sources).
Free attendance at widely-attended gatherings (WAGs).
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Gifts from Outside Sources: Exceptions
Travel Payments from Non-Federal Sources
31 U.S.C. § 1353 is the statute that permits Federal agencies to accept
gifts of travel, meals, lodging, and/or registration fees associated with
official travel (not mission essential) 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.
An ethics counselor must also concur with the travel approval
authority’s determination before the travel begins.
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Gifts from Outside Sources: Exceptions
Widely-Attended Gatherings (WAGs).
The following criteria is required to accept free attendance at a WAG:
A large number of attendees will attend.
Diverse views must be represented.
There must be an opportunity to exchange views.
The supervisor must determine, in writing, that there is an agency interest in
the subordinate’s attendance.
An ethics counselor must concur.
The employee must attend in his or her personal capacity after duty hours or,
if authorized, on excused absence pursuant to applicable guidelines for
granting such absence.
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Gifts Between Employees: Exceptions
Gifts between Federal Employees
There is no prohibition on supervisors giving gifts to subordinates,
provided no favoritism is shown and the gift is not associated with the
subordinate's performance.
Gifts from subordinates to supervisors exceptions:
A gift valued at $10 or less on an occasional basis, to include
traditional gift giving occasions (e.g. birthday). No cash.
Personal hospitality provided at a residence which is of a type and
value customarily provided by the employee to personal friends.
Items given in connection with the receipt of personal hospitality if of
a type and value customarily given on such occasions (e.g. host gift).
Items given on special, infrequent occasions in recognition of events
such as marriage, illness, the birth or adoption of a child, and
retirement (e.g. a group retirement gift). The value of the gift is
capped at $300.
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Considerations for Declining Gifts
The Office of Government Ethics’ regulations state that an employee
should consider declining
a gift if a reasonable person with knowledge of
the relevant facts would question the employee’s integrity or impartiality.
Factors to consider when contemplating declining a gift include:
High market value of gift
Timing of the gift
Donor has interests that may be affected by the employee
Whether acceptance would create appearance of preferential
treatment
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Test Your Knowledge
You and your co-workers are on official Government travel and have been
invited to attend a social event in a restaurant down the street from where
you are attending a conference. You would like to attend and socialize in a
relaxed atmosphere, with approximately 100 people from industry, state and
local governments, and the media. Drinks and appetizers, valued at $25,
will be provided. The sponsor of the event is a defense contractor. This is
the only time you have accepted a gift from this contractor in the current
year. Your supervisor will be in attendance, as are several other
employees.
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Test Your Knowledge
Select the best 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 an ethics counselor and your
supervisor who determined, in writing, that this event is a widely-attended
gathering and that there was an agency interest in your attending.
4. You decide the ethics rules prohibit you from accepting this gift and so
you decline the invitation.
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#1 - Please try again
This is not the correct answer.
• Absent the applicability of a gift exclusion or exception, you may not
accept a gift valued 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.
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UNCLASSIFIED
#2 - Please try again
This is not the correct answer.
• Absent the applicability of a gift exclusion or exception, you may not
accept a gift valued 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.
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UNCLASSIFIED
#3 - Correct
Great job! Answer #3 is the best answer!!
• You may accept this gift if the event is a widely attended gathering and
you have consulted with an ethics counselor and your supervisor has
determined, in writing, that there is an agency interest in your attending.
SOCO has templates available on request.
• 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.
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UNCLASSIFIED
#4 - Please try again
This is not (technically) the correct answer. However, it is never
inappropriate, and often prudent, to decline a gift from an outside source.
You could also choose to attend the event and pay your own way.
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Conflicts of Interest (COI)
and
Impartiality
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Financial Conflict of Interest Statute
18 U.S.C. § 208 Acts Affecting Personal Financial Interest.
An employee may not participate personally and substantially in a
particular matter that will have a direct and predictable effect on his or
her financial interest or the interest of the spouse, minor child, general
partner, or organization in which he or she is serving as an officer,
director, trustee, general partner or employee, or any person or
organization with whom he or she is negotiating or has any arrangement
concerning prospective employment.
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Financial Conflict of Interest Statute
Definitions:
Participate: decision, approval, recommendation, investigation or
rendering of advice.
Personally: directly - includes the participation of a subordinate
directed by the Government employee.
Substantially: of significance to the matter (not administrative or
ministerial)
Particular Matter: matter focused upon the interests of specific
persons, or a discrete and identifiable class of persons.
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Financial Conflict of Interest Remedies
Disqualification/Recusal
Must be in writing to supervisor with copy to ethics counsel.
Regulatory exemptions – Most common are:
< $15,000 for stocks
< $50,000 for sector mutual funds
Waiver
Extremely rare and requires coordination with Office of Government
Ethics
Reassignment/change of duty
Divest financial interest
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Conflicts of Interest: Investing
Federal personnel are prohibited from participating in any particular
matter that will have a direct and predictable effect on their actual or
imputed financial interests.
Example 1: You are assigned to participate in an acquisition for
artificial intelligence technology for unmanned vehicles. You cannot
do so if you, or someone whose interests are imputed to you, hold
stock valued at more than $15,000 in one of the vendors or bidders.
Example 2: Same as above, but you hold shares in a technology
sector mutual fund that concentrates artificial intelligence. Your
shares are valued at $75,000. You cannot participate if any of the
holdings in the fund are vendors or bidders. (Note: Participation in
any matter affecting the sector is risky as holdings can change without
notice).
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Conflicts of Interest: Investing
Diversified Mutual Funds – Diversified funds are those not concentrated in
any one geographic or market sector (e.g., S&P 500 Index Fund, Capital
Growth Fund, Capital Appreciation Fund, etc., etc.)
Regulatory exemption, so no potential conflicts of interest.
Alleviates need for constant monitoring to avoid conflicts.
Stocks
– Employees choosing to invest in stocks can minimize risk by avoiding
stocks in entities that have any involvement with the employee’s organization
(e.g., if you work in IT, it is unlikely you would have a conflict with an energy
or pharmaceutical company).
Managed Accounts
- If you choose to have a broker manage your accounts or
select portfolios (asset management accounts), please note that you are still
responsible for identifying and managing the conflicts issues, to include listing
them on financial disclosure reports, even if you don’t personally determine
what is purchased or sold.
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“Former Employer” Recusal Requirement
Section 1117 of the National Defense Authorization Act for FY2022
For two years from the date of last employment, all DoD employees
are prohibited from participating in a particular matter if their former
employer is a party to the matter or represents a party to the matter.
Definition of “Former Employer”
Any organization, including a trade organization, for which the DoD
employee served as an employee, officer, director, trustee, or general
partner.
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“Former Employer” Recusal Remedy
Authorization to Participate
An agency designee may, after consulting with an ethics
counselor
, authorize a DoD employee to participate in a matter in
which the employee is recused if
a determination is made that the
Government’s interest in the employee’s participation in the matter
outweighs the concern that a reasonable person may question the
integrity of DoD’s programs.
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Impartiality Standard
5 CFR 2635.502 –Impartiality
Even if there is no criminal conflict of interest, if a reasonable
person with knowledge of the relevant facts would question the
employee’s impartiality, the employee may still need to recuse from
the matter.
Employees are prohibited from participating in particular matters if a
person with whom they have a “covered relationship” is a party to
the matter or represents a party to the matter.
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Impartiality Standard
Definition of a “Covered Relationship”
Business or a financial relationship (other than a routine consumer
transaction);
Members of employee’s household & close relatives;
Employers and clients of employee’s parents, dependent children,
and spouse;
Former non-Federal employers and clients for a one-year period*
after the date of resignation/separation (two years if received an
extraordinary severance payment); and
Organizations in which the employee is an active participant (other
than political organizations).
*Section 1117 may impose a lengthier former employer recusal period. Consult with your
ethics counselor for more details.
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Impartiality Remedies
Disqualification/Recusal
Must be in writing to supervisor with copy to ethics counsel.
Reassignment/change of duty
Authorization to Participate
An agency designee may, after consulting with an ethics
counselor
, authorize an employee to participate in a matter in which
there is an impartiality issue if
a determination is made that the
Government’s interest in the employee’s participation in the matter
outweighs the concern that a reasonable person may question the
integrity of DoD’s programs.
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Test Your Knowledge
An acquisition official wins the lottery and uses her winnings to purchase
stock in a Company X, a DoD contractor. Company X responds to a
Request for Proposal that the acquisition official would normally review as
part of her official duties. What should the acquisition official do?
1. Be careful to treat the Company X fairly when making the determination
to award Company X a contract.
2. Recuse herself from any particular matters involving the Company X.
3. Immediately divest her Company X stock holdings.
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UNCLASSIFIED
#1 – Try Again
This is not the correct answer. Awarding a contract to Company X would
constitute a conflict of interest if the acquisition official holds more than
$15,000 of Company X stock.
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#2 - Correct
Great job! This is the best answer. The acquisition official must recuse
herself from participation in particular matters involving Company X to avoid
a conflict of interest.
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#3 – Try Again
This is not the best answer. If the acquisition official is able to recuse
herself from this particular matter while still performing her other duties, then
divestiture is not required.
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Financial Disclosure
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Financial Disclosure
Electronic Filing Required:
OGE 278s – Integrity.gov system
OGE 450s – FDM system
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Financial Disclosure
Purpose: Assist employees, supervisors, and ethics counselors identify
and resolve actual and potential conflicts of interest.
Supervisor Role:
Determine which employees should file confidential financial
disclosure reports (OGE 450) based on regulatory standards.
Ensure their employees file in a timely manner.
Perform conflicts reviews and sign reports in a timely manner –
notify ethics counsel of potential conflicts via comments in report or
direct contact.
Ensure employees are not assigned to work on matters in which
they have a conflict of interest.
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Financial Disclosure
OGE 278-T Periodic Transaction Reports
Who: All OGE 278 Public Financial Disclosure Report filers are
covered immediately upon appointment.
When: Must file earlier of (a) 45 days after the transaction; or (b) 30
days after notification of the transaction.
What: Report each individual purchase/sale/corporate exchange of
securities for filer, spouse, and dependent child that meet reporting
threshold (valued >$1,000).
Do not report: cash accounts, real estate, excepted investment
funds, Treasury bills, notes, and bonds, life insurance or
annuities, or assets in a Federal retirement program (e.g., TSP).
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Misuse:
Public Office, Position, & Title
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Misuse: Public Office, Position, & Title
Misuse includes improper:
Use of public office for private gain;
Use of nonpublic information;
Use of government property & resources;
Use of official time;
Use of official title; and
Endorsement.
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Misuse: Public Office, Position, & Title
General Rule: Personnel shall not use public office for their 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.
Endorsement: Personnel are prohibited from using their position, title
or any authority associated with their position to endorse or imply
endorsement of a non-Federal entity, its services, or products.
Nonpublic Information: An employee shall not use or permit use of
nonpublic information to further his own private interest or that of
another. Nonpublic information is information gained by reason of
Federal employment that the employee should know has not been
made available to the general public.
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Misuse: Public Office, Position, & Title
Teaching, speaking, & writing:
You must use a disclaimer if:
You use your official title or position in any biographical data; or
The subject deals in significant part with any ongoing or
announced DoD policy, program, or operation and you have not
been authorized by the appropriate authority to present that
material as the official DoD position.
The disclaimer should:
Indicate that the views expressed are your own and do not
represent the views of the Department of Defense;
Be in a prominent position;
Can be verbal.
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Misuse: Public Office, Position, & Title
Property of the Federal Government, including communications and
electronics, may only
be used for authorized purposes.
Subject to supervisor approval, personal use of Government resources
may be authorized 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 or pose 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 other rules.
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Misuse: Subordinates & Time
Subordinates: Use of personnel for other than official purposes, to
include personal errands, is never permitted.
Example – A supervisor serving on the board of her homeowners
association may never request that her administrative staff
prepare copies of documents for an upcoming association
meeting.
Time: While short breaks may be permitted, use of official time for other
than authorized purposes is never permitted.
Example – The supervisor above may not use official time to
review and edit the documents for the association meeting.
WARNING: This is a high risk area. Use of subordinates for
personal errands (e.g., meal or dry cleaning pick up) is prohibited.
Cases involving misuse of subordinates represent a significant
portion of DoD OIG substantiated cases.
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Test Your Knowledge
Your supervisor asks you to pick up flowers for her spouse. Is this
acceptable?
1. Yes, as long as the supervisor is not asking for you to pay.
2. No, this is an improper use of Government resources.
3. Yes, you are there to be helpful to your supervisor.
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#1 – Try Again
• This is not the best answer. Even if your supervisor pays for the
flowers, this is considered an impermissible use of Government
resources.
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#2 - Correct
Great job! This is the best answer. Use of personnel for other than official
purposes, to include personal errands, is prohibited.
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#3 – Try Again
• This is not the best answer. Regardless of intent, this is considered an
impermissible use of Government resources since it is not part of your
official duties.
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Political Activity
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Political Activity
Political Activity is –
An activity directed toward the success or failure of a:
Political Party
Candidate for Partisan Political Office, or a
Partisan Political Group
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Political Activity
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Political Activity
Employees in Groups 1 and 2 are prohibited from taking an active part in
partisan political management or political campaigns and are referred to
as “further restricted” employees.
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Political Activity
Less restricted employees (employees in Group 3), while in their
personal capacities and outside of a Federal building, may engage in
certain types of political activity with a political campaign or political
organization.
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Political Activity
DoD Civilian and Schedule C employees are permitted to engage in
political activity if all three
of the below are met:
Not on Government time
Not on Government property (owned or leased)
Not using Government equipment, title, uniform
PAS officials, non-career SESs, and members of the military may
not engage in partisan political activities.
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Political Activity
All DoD Personnel are prohibited from:
Soliciting contributions for a partisan political candidate.
Participating in political activity in a Federal buildings or while on duty.
Displaying political campaign paraphernalia in a Federal building.
Social Media
More information on political activity restrictions on social media can be
found here
.
These rules apply even when teleworking.
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Political Activities Involving Military
Members & Installations
Military Members:
Authority: Military members are governed by DoD Directive
1344.10.
Restriction: Active duty members are prohibited from engaging in
partisan political activity.
Military Installations:
Candidates for public office may not engage in campaign or
election-related activities while on a United States military
installation:
Prohibited activities include: public assemblies, town hall
meetings, speeches, fund-raisers, press conferences, post-
election celebrations, and concession addresses.
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Test Your Knowledge
A friend of yours declares her candidacy for the 2024 Presidential election.
She asks you to spread the word among your colleagues that her campaign
is starting a big fundraising push. Can you ask your coworkers and
subordinates to contribute?
1. Yes, asking for contributions does not raise concerns.
2. Yes, if you are a civilian and not a further restricted employee.
3. No, you can never solicit political contributions for a partisan campaign.
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#1 – Try Again
This is not the best answer. Both Further and Less restricted employees
are prohibited in soliciting contributions for a partisan political candidate,
whether or not they are on or off duty.
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#2 – Try Again
This is not the best answer. Both Further and Less restricted employees
are prohibited in soliciting contributions for a partisan political candidate,
whether or not they are on or off duty.
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#3 - Correct
Great job! This is the correct answer. Both Further and Less restricted
employees are prohibited from soliciting contributions for a partisan political
candidate, whether or not they are on or off duty.
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Post-Government Employment (PGE)
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PGE: Seeking Employment
General: If you are seeking non-Federal employment you may not work
on a particular matter that will affect the financial interests of your
prospective employer(s).
If the entity interacts with your office, you must provide your supervisor
with a written recusal and copy ethics counsel.
Seeking
: You are seeking employment if you:
make unsolicited employment contact (e.g., send a resume);
respond to unsolicited employment contact with anything other than
unequivocal rejection.
Cannot just “defer” the discussion (e.g., “can we talk in 6 months?”).
Remember: When in doubt, always consult ethics counselor.
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STOCK Act Notice
Public Financial Disclosure filers (278e filers) are required to file a written
notice of negotiation, with their ethics counselor, within 3 days of
commencing negotiations for employment or completing an arrangement
for employment.
Negotiating is any discussion with an organization, or its agent, with the
mutual view of reaching an agreement regarding possible employment.
It is not limited to just discussing specific terms and conditions of
employment in a specific position.
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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.
Remember: Always consult your ethics counselor before separating
from the Government unless you plan to just “go fishing.”
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PGE: Representational Bans
18 U.S.C. § 207 - Prohibits representing another before U.S. Government with
intent to influence. Bans that most often apply include:
Lifetime ban – if you participated personally & substantially in a particular
matter involving specific parties, can never represent back for life of that
matter.
Two-Year ban – similar to above, if you supervised others who
participated in the matter during your last year, can not represent back for
two years.
One-Year Cooling-off – Senior employees cannot represent back to former
agency for one year. (Senior employees include general/flag officers and
members of the SES.)
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Section 1045 of FY18 NDAA
Prohibits senior officials from engaging in lobby activities with respect to the
DoD. For more information see DoDI 1000.32.
Military officers in grades O-9 and O-10 and “civilian equivalents” are
prohibited for two years after date of retirement or separation; most
senior “civilian equivalents” are Tier 3 (and above) SES (career and
non-career) and DISES, and all PAS.
Military officers in grades O-7 and O-8 and “civilian equivalents”
prohibited for one year period after date of retirement or separation;
less senior “civilian equivalents” are Tier 1 and 2 SES (career and
DISES).
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Test Your Knowledge
Over the Thanksgiving holiday, your neighbor who works for Defense
Contractor A (DCA), asks you if you are interested in a job in DCA’s
corporate headquarters. You reply that you’ll have to think about it. When
you return to work, you are asked to review and comment on a slide
presentation concerning a sole source follow on award of a data analysis
system for which DCA is the sole supplier. Is this a problem?
1. Yes, because you are seeking employment with DCA.
2. No, because you did not accept the offer.
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#1 - Correct
Great job! This is the best answer. Since your reply to your neighbor did
not consist of an unequivocal rejection, you are seeking employment and
should not be involved in the matter. Otherwise, you would violate the
criminal conflict of interest law.
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#2 – Try Again
This is not the best answer. Under the criminal conflict of interest law, you
are considered to be “seeking employment” if you respond to an unsolicited
employment contact with anything other than unequivocal rejection, even if
you defer the conversation. Once you are “seeking employment” with a
company you have a conflict of interest with that company and are
prohibited from participating in any matters that could affect the financial
interest of that company. In this instance, you should recuse yourself from
reviewing and commenting on the slide presentation and submit a written
recusal to your supervisor and to an ethics official.
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Ethical Decision Making
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Ethical Decision Making
Evaluate the Big Picture
Is it legally sound?
Can I do it?
Should I do it?
Is it right for the government?
How will it be perceived?
Remember your duty as a public servant.
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Test Your Knowledge
When, while working for the Department, should you think about ethical
choices?
1. Only when participating in acquisitions.
2. Only while seeking non-Federal employment.
3. In every decision you make.
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#1 – Try Again
This is not the best answer. While you should think about ethical choices
while participating in acquisitions, this is not the only time you should think
about ethical choices.
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#2 – Try Again
This is not the best answer. While you should think about ethical choices
while seeking non-Federal employment, this is not the only time you should
think about ethical choices.
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#3 - Correct
Great job! This is the best answer. As Secretary Austin says in his video
message, we should “incorporate ethical conduct in everything that we do.
Before taking an action, you should not only ask yourself “can I do this” but
you should also ask yourself “should I do this?”
