WELCOME TO THE OFFICE OF THE SECRETARY OF

WELCOME TO THE OFFICE OF THE SECRETARY OF DEFENSE Annual Ethics Training 2014 Presented by USUHS/OGC

ETHICS TRAINING REQUIREMENT This training module is intended for designated personnel at USUHS. If you are looking for Government purchase card training, you are in the wrong place. Stop here, and click on the following links for: Purchase Card Training: http: //fss. gsa. gov/webtraining/trainingdocs/smartpaytraining/index. cfm Travel Card Training: http: //fss. gsa. gov/webtraining/trainingdocs/traveltraining/index. cfm If you are looking for online training to satisfy your 2014 annual ethics training requirement, you have arrived! 2

INTRODUCTION This training is modeled from Do. D real-world situations to illustrate potential ethics issues and their appropriate resolution. This training qualifies as annual ethics training for financial disclosure report filers. If you are not sure you should take this training, please ask your supervisor or training official for clarification. To receive credit for this training, you must submit the Certificate of Completion to your ethics official or ethics action officer (training coordinator). The certificate can only be reached after completing ALL portions of this training. 3

INSTRUCTIONS SCREEN RESOLUTION. If you cannot see the entire slide in your screen, change your zoom level to 75% from the bottom right corner of your explorer window. Personnel must complete this training from 08001700 when ethics officials are available to answer questions. Contact Your Local Ethics Official - If you have questions about the content while taking this training, please contact an ethics counselor at (301)295 -3028. 4

TAKE AWAY! If you have questions on how the ethics rules may apply to a particular situation, contact your ethics counselor before taking action. The law protects you from disciplinary action for violating an ethics regulation where you engaged in conduct in good faith reliance upon the advice of an ethics counselor, provided you made full disclosure of all relevant circumstances when seeking the guidance. 5

TOPICS Applicable ethics laws and regulations Conflict of Interest Statutes Other Authorities Relationship with and Participation in Non. Federal Entities (NFEs) Official Capacity Personal Capacity Other Implicated Rules Post-Government employment rules 6

CONFLICT OF INTEREST STATUTES STATUTE BRIEF SUMMARY 18 U. S. C. 201 Bribery Prohibits public officials from seeking, receiving or agreeing to accept anything of value for themselves or others in return for being influenced in an official act; being influenced to aid in the commission of a fraud on the United States; or being induced to do or omit any act in violation of official duty. Bars employees from seeking or accepting compensation for representing another before a Federal department, agency or court in matters 18 U. S. C. 203 Representation where the U. S. is a party or has a substantial interest; or receiving money from anyone else’s representation. 7

CONFLICT OF INTEREST STATUTES STATUTE BRIEF SUMMARY 18 U. S. C. 205 Representation Forbids employees from prosecuting or assisting in the prosecution of claims against the U. S. ; or representing another before a Federal department, agency or court in matters where the U. S. is a party or has a substantial interest. 18 U. S. C. 207 Post-Gov Employment Places certain restrictions on representing others to the Federal government after leaving its employment. 8

CONFLICT OF INTEREST STATUTES STATUTE BRIEF SUMMARY 18 U. S. C. 208 Financial Conflict of Interest Bars an employee from participating personally and substantially in an official capacity in any particular Government matter that would have a direct and predictable effect on his own or his imputed financial interests. 18 U. S. C. 209 Dual Compensation Prohibits employees from receiving any salary or contribution to or supplementation of salary from any source other than the United States as compensation for services as a Government Employee. 9

OTHER AUTHORITIES Executive Orders 14 Principles of the Standards of Conduct Ethics Pledge for Political Appointees Ethics in Government Act, as amended. 5 C. F. R. , Part 2635 & 3601 Do. D 5500. 7 -R, Joint Ethics Regulation 10

14 PRINCIPLES The following slides include the 14 principles from which the standards of conduct are derived. When in doubt, you should turn to these principles to determine how to resolve a situation 11

14 PRINCIPLES 1) Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain. 2) Employees shall not hold financial interests that conflict with the conscientious performance of duty. 3) Employees shall not engage in financial transactions using nonpublic government information or allow the improper use of such information to further any private interest. 12

14 PRINCIPLES 4) An employee shall not solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee's agency, or whose interests may be substantially affected by the performance or nonperformance of the employee's duties (except as specifically permitted). 5) Employees shall put forth honest effort in the performance of their duties. 13

14 PRINCIPLES 6) Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the government. 7) Employees shall not use public office for private gain. 8) Employees shall act impartially and not give preferential treatment to any private organization or individual. 14

14 PRINCIPLES 9) Employees shall protect and conserve federal property and shall not use it for other than authorized activities. 10) Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with their official government duties and responsibilities. 15

14 PRINCIPLES 11) Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities. 12) Employees shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those that are imposed by law (such as paying their federal, state, or local taxes). 16

14 PRINCIPLES 13) Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap. 14) Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the Standards of Ethical Conduct for Employees of the Executive Branch. 17

DOD SPECIFIC GUIDANCE Specific guidance for Do. D personnel may be found in Do. D 5500. 7‑R, Joint Ethics Regulation, and at the Do. D Standards of Conduct Office website: http: //www. dod. mil/dodgc/defense_ethics/. Easy to understand guidance for Do. D personnel can be found in the “Employees’ Guide to the Standards of Conduct, ” which is located in the “SOCO Publications and Handouts” section of the “Ethics Resource Library” on the Standards of Conduct Office website. 18

RELATIONSHIP WITH AND PARTICIPATION IN NON-FEDERAL ENTITIES ASK YOURSELF: Are you acting in your Official or Personal Capacity? 19

ETHICS PRINCIPLES IMPLICATED • You may not use Government property for other than authorized purposes. 5 C. F. R. § 2635. 101(b)(9) • You may not use public office for private gain. 5 C. F. R. § 2635. 101(b)(7) • You may not give preferential treatment to any private organization or individual. 5 C. F. R. § 2635. 101(b)(8) • You may not participate in official matters that conflict with personal interests. 5 C. F. R. §§ 2635. 402 & 2635. 502 • TIP: Do not co-mingle personal and official roles! TIP 20

WHAT OR WHO ARE NFES? A non-Federal entity (NFE) is generally a self-sustaining, non-Federal person or organization, established, operated, and controlled by individuals acting outside the scope of any official capacity as officers, employees, or agents of the Federal Government. This includes: Private corporations (e. g. , Defense contractors) Private organizations (e. g. , think tanks and Federally Funded Research and Development Centers (FFRDCs)) Entities closely linked to Do. D or your office (e. g. , The Henry Jackson Foundation, Credit Unions, spousal clubs and military professional organizations) Charities (e. g. , wounded warrior charities and military relief societies) Organizations with Congressional charters (e. g. , Red Cross) Local and State entities 21

ACTING BEFORE AN NFE 22

REPRESENTING DOD TO NFES Official Capacity You may represent Do. D’s interest before an NFE only where Sec. Def (or his designee) designates you in writing as Do. D’s LIAISON to the NFE. You may informally attend meetings as a Do. D official without being Do. D’s representative. Personal Capacity You may serve as an officer of an NFE only if it will not conflict with your official duties, and does not require you to represent the NFE back to the U. S. Government. You must do so while off duty with an approved outside activity 23

REPRESENTING DOD TO NFES As a Do. D Liaison: (official capacity) You represent only Do. D views & interests (nonbinding) You may not: Assist in management or control of the NFE, like vote as a board member or officer. Engage in representing the NFE interests to third parties, especially back to the U. S. Government. NFE may not identify you on their website 24

ADVISING OR MANAGING NFES Official Capacity Never, except in very rare instances where Do. D statutory authority permits it and Do. D General Counsel approves. Personal Capacity Permissible, if it does not create a conflict with your official duties, provided it is exclusively outside the scope of your official duties, and you were not invited to serve in this capacity as a result of your official position. TIP: Keep your supervisor apprised—beware of violating 18 U. S. C. §§ 203, 205 & 208. 25

ADVISING OR MANAGING NFES In your official capacity: (RARE!) You may not serve in your official capacity in the management of an NFE unless the NFE is a designated entity or serving on the NFE is authorized by the Do. D General Counsel (GC) and relevant Service Secretary. Currently the only designated entities are the four military relief societies. 26

ADVISING OR MANAGING NFES In your official capacity: (RARE!) Other organizations may be designated upon written request to the Do. D GC if they are non-profit and meet one of the following criteria: (1) Regulate service academy athletic programs; (2) Regulate international athletic competitions; (3) Accredited service academies and other military schools; or (4) Regulate military health care. Even if designated, you may not officially manage a NFE unless authorized by the relevant Service Secretary, in writing, with the concurrence of Do. D GC. The authorization must be specific and detailed, identifying the entity, the Do. D position or individual designated, and scope of involvement. The authorization must also be published in the Federal Register. 27

STANDARD SETTING OR PROFESSIONAL NFES Official Capacity Sec. Def (or designee) may appoint & authorize Do. D personnel to hold fiduciary positions in Professional or Standards setting NFEs. Do. D 4120. 24 -M Personal Capacity In your personal capacity, you may hold a fiduciary position with an NFE if its does not conflict with your official duties. TIP: Do. D cautions against this where inadvertent violations are likely—beware of violating 18 U. S. C. §§ 203, 205 & 208. 28

ATTENDING NFE EVENTS 29

ATTENDING NFE EVENTS Official Capacity Your supervisor (or an agency designee) may authorize your attendance at an NFE event at Do. D expense if it serves a legitimate official purpose. E. g. , conference, seminar, meeting, or training. Personal Capacity On your own time and at your own expense, you may attend NFE events in your personal capacity. TIP: Beware of inadvertently appearing to act in your official capacity. 30

ATTENDING NFE EVENTS Official Capacity Personal Capacity Example: Your supervisor sends you to an annual conference, held by a defense association, to report back on new trends and disseminate Do. D information to private industry. Example: You may attend the conference of an association for which you are a member (e. g. , a convention related to a personal hobby). 31

ATTENDING NFE EVENTS FACT PATTERN: Abby is a career Department of Defense (Do. D) civil servant, YA-3 (equivalent to a GS-13). Her position is in a professional series (like an engineer, contracting officer, comptroller, or attorney). In her personal capacity, she is an officer of the Inter. Agency Group (IAG), a NFE that discusses emerging issues related to her profession and, consequently, her official Do. D duties. Abby is not compensated for her work for IAG. There is no charge for attending the IAG event. When she speaks before IAG, the speech does not have a direct and predictable effect on the financial interest of IAG. NOTE: The same rules apply for active duty service members unless otherwise specified. 32

ATTENDING NFE EVENTS FACT PATTERN: (continued) Question 1: Can Abby be an officer of IAG? Choose the best answer: A. No, Abby cannot hold an outside position of any kind. B. Only if she does so in her official capacity. C. Maybe. D. Yes, if she does so in her personal capacity. Which answer is correct? 33

A. INCORRECT! While certain senior political appointees have restrictions on holding outside positions or earning outside income, most career (and military) personnel are permitted to hold non-Federal positions in their personal capacity as long as they adhere to certain ethical restrictions. B. INCORRECT! With very few exceptions, Do. D personnel are not permitted to be officers or hold fiduciary duties with a NFE in their official capacity. D. INCORRECT! While there are few restrictions on the personal activities of Do. D personnel outside the workplace, the criminal statutory authorities impose some limits where the outside activity impinges or undermines public trust. C. CORRECT! The general conflict of interest rule on engaging in outside activities is that you may do so as long as the activity does not conflict with or interrupt performance of your official duties. 5 C. F. R. § 2635; Subpart H. Your supervisor is the appropriate person to assess whethere is a conflict. You should also be wary of holding fiduciary positions with NFEs where you may be expected to represent that entity to the U. S. Government, as this may also violate the criminal conflict of interest representational restrictions. 18 U. S. C. §§ 203 or 205. 34

ATTENDING NFE EVENTS FACT PATTERN: (continued) Question 2: Can Abby attend IAG's monthly hour-long lunch meetings downtown? Choose the best answer: A. No, never since her lunch break is only 30 minutes long. B. Only in her official capacity. C. Only in her personal capacity. D. Sure. Which answer is correct? 35

A. INCORRECT! While the meeting is longer than her lunch break, Abby can request 30 minutes of authorized absence from her supervisor to attend the meeting if the absence meets the requirements of JER 2 -301(b). In this instance, Abby's supervisor may consider granting authorized absence, even if Abby is acting in her personal capacity, because the activity may have a tangential benefit for her office. Otherwise, Abby must be in the appropriate leave status. Alternatively, her supervisor may assign her to attend the meeting in her official capacity if, for example, she is bringing back information for her office. B. INCORRECT! This is not the best answer. C. INCORRECT! This is not the best answer. D. CORRECT! Abby can request 30 -minutes of authorized absence from her supervisor to attend the meeting if the absence meets the requirements of JER 2 -301(b). In this instance, Abby's supervisor may consider granting authorized absence, even if Abby is acting in her personal capacity, because the activity may have a tangential benefit for her office. Otherwise, Abby must be in the appropriate leave status. Alternatively, her supervisor may assign her to attend the meeting in her official capacity if, for example, she is bringing back information for her office. 36

ATTENDING NFE EVENTS FACT PATTERN: (continued) Question 3: Can Abby attend IAG's annual conference to receive training and certification at Do. D expense? The IAG conference will provide in-depth training on issues related to Abby's profession, but her position does not require annual training or certification. IAG will provide certification to all attendees that complete the training. Choose the best answer: A. Yes, Abby may attend IAG's annual conference at Do. D expense, if she receives approval from an ethics counselor to attend the conference as part of her official duties. B. Yes, Abby may attend IAG's annual conference at Do. D expense, if she receives approval from her supervisor to attend the conference as part of her official duties. C. No, Abby is only permitted to attend IAG's annual conference while on leave because her position does not require this training or certification. Which answer is correct? 37

A. INCORRECT! While it may be helpful to consult with an ethics counselor before attending a meeting sponsored by a NFE, an ethics counselor cannot authorize attendance as a part of your official duties. C. INCORRECT! Although Abby may attend the IAG annual conference in her personal capacity, while on leave and at her own expense, this is not the only way she can attend the event. B. CORRECT! Supervisors are authorized to permit their employees to attend meetings, and other similar events, that are sponsored by NFEs as part of their official duties. For approval to be granted there must be a legitimate Do. D purpose to justify attendance, such as training or obtaining information of value to the Do. D, regardless of whether Abby's position requires the certification. 38

ATTENDING NFE EVENTS FACT PATTERN: (continued) Question 4: What if IAG asks Abby to speak at the conference? Choose the best answer: A. If the invitation was sent to her Do. D office and addressed using her Do. D position/title, Abby may deliver an official speech if assigned by her supervisor. During the speech she must convey the Do. D message, but, because Abby is also an IAG officer, she may also convey her personal views if they have been cleared by the Security Office. B. If the invitation was sent to her home and addressed to her as an IAG officer, she may speak in her personal capacity and convey her personal views during the speech. If her supervisor determines that there is a Do. D interest in the speech, she may attend under official travel orders and on work hours. C. A & B. D. None of the above. Which answer is correct? 39

A. INCORRECT! If Abby is delivering an official speech, she must ensure that she only conveys Do. D's message and not her personal views. B. INCORRECT! If Abby is delivering the speech in her personal capacity as an IAG officer, she must attend the conference while on leave and Do. D cannot pay for her attendance. Official travel is not available. C. INCORRECT! A is incorrect because Abby may not convey her personal views in an official speech. B is incorrect because Abby must attend the conference while on leave and Do. D cannot pay for her attendance if she is delivering the speech in her personal capacity as an IAG officer. Official travel is not available. D. CORRECT! If the invitation was sent to her home and addressed to her as an IAG officer, she is being asked to present in her personal capacity. As such, Abby may deliver the speech in her personal capacity. However she must: Only use her Do. D title as one of several biographical details, given no undue emphasis, where she also uses a disclaimer (rank and service may be used); Attend at her personal expense and on leave; and use only public information in her speech. 40

OTHER IMPLICATED RULES 41

OTHER ETHICS RULES Misuse of Position: Do not allow NFEs to use your official title or position to imply Do. D sanction or endorsement of the NFE, its services or activities. E. g. , if you are a member or officer of an NFE, do not allow NFE to use your official photo or Do. D contact information in their membership directory or website. 42

OTHER ETHICS RULES Impartiality: Do not take official action which will financially affect an NFE (including a professional association or charity) with which you are actively involved in your personal capacity. E. g. , Do not participate in approving a subordinate’s attendance (payment of registration) at NFE conference with which you are personally involved. TIP: Beware of use of terms like “partnership” & “cosponsorship, ” and use of “Memorandum of Understanding” which imply special status, or Do. D sanction or endorsement of the entity, its services or products. 43

OTHER ETHICS RULES Gifts: Unless an exception applies, Do. D personnel may not solicit or accept gifts from prohibited sources (e. g. , Do. D contractors which include many NFEs) or gifts given because of their position, such as: Free attendance at conferences Free meals or travel related expenses E. g. , NFE offers of travel, free registration for speaking, etc. 44

OTHER ETHICS RULES Preferential Treatment: Do. D personnel must avoid giving any NFE preferential treatment. TIP: If you agree to speak at an NFE event, you should be willing & able to speak at other similar events (mission permitting). TIP: Beware of accepting speaking invitations from your former employer within a year of your departure —this could be a personal conflict of interest as well. 45

OTHER ETHICS RULES Fundraising: (non-political) Official Capacity – No fundraising for NFE’s during duty hours or in the Federal workplace (except CFC). Personal Capacity – Permitted, but only on personal time & outside Do. D workplace. E. g. , Do not use your Do. D email to ask for pledges or donations to a charitable event in which you are participating. 46

OTHER ETHICS RULES Use of: Official Capacity Participation Personal Capacity Participation Official Position or Title Yes No, except with a disclaimer in limited instances Do. D Duty Time May use duty time No use of duty time, unless authorized Do. D Resources Yes No, unless authorized Non-public Information No, unless authorized No 47

OTHER ETHICS RULES FACT PATTERN: (continued – other ethics rules) Question 5: IAG has asked Abby to "chair" their upcoming annual meeting. As meeting "chair, " Abby would be responsible for coordinating topics and speakers, among other duties. May Abby accept? Choose the best answer: A. No, it sounds too much like management of an NFE. B. Yes, because "chairing" a single event does not equate to management of an NFE. C. Yes, but only if there are no conflicts with her official duties. Which answer is correct? 48

A. INCORRECT! Abby may participate in management of an NFE in her personal capacity as long as it does not conflict with her official duties and the opportunity is not being offered to her because of her official position. B. B. THIS IS NOT THE BEST ANSWER! While chairing a single event may not equate to management of an NFE, it is "active participation" in an NFE in the form of "service as an official of the organization or in a capacity similar to that of a committee or subcommittee chairperson or spokesperson, or participation in directing the activities of the organization. " C. CORRECT! Abby is always subject to 18 U. S. C. § 208 and 5 C. F. R. § 2635. 502 as an officer of IAG. Even if she was not an officer, as the committee chairperson Abby would be deemed to have a "covered relationship" with IAG because she would be an active participant in directing the annual meeting under 5 C. F. R. § 2635. 502(b)(1)(v). Therefore, assuming no conflict is likely to arise between her duties and this personal activity, she may accept the "chair" position as long as a reasonable person would not question her impartiality. However, unless authorized by her supervisor, she must disqualify herself from any Do. D matter that may affect IAG's financial interests (e. g. , she may not approve a subordinate's attendance at the annual meeting if a registration fee is charged). 49

OTHER ETHICS RULES FACT PATTERN: (continued – other ethics rules) Question 6: IAG is seeking to increase membership, which requires payment of an annual fee. Can Abby send an e-mail to her entire office encouraging relevant Do. D personnel to join IAG? Choose the best answer: A. No, Abby cannot send the e-mail. B. Yes, Abby can e-mail her entire office encouraging them to join IAG. C. Yes, Abby can e-mail her entire office, but only if she uses her personal e-mail and makes it clear that she is acting in her personal capacity. D. Yes, Abby can e-mail her entire office, but only if she is acting in her official capacity on behalf of Do. D. Which answer is correct? 50

B. INCORRECT! Whether in her personal or official capacity, this raises the potential for ethical violations. C. INCORRECT! Even if Abby sends this e-mail in her personal capacity, and no Government resources are used, it still raises the potential for ethical violations. D. INCORRECT! Abby has a conflict of interest and must recuse herself from taking this action in her official capacity, even if instructed to do so by her supervisor. A. CORRECT! Abby cannot send this e-mail. Remember, as an officer of IAG, IAG's interests are imputed to Abby under the financial conflicts of interest rules. 18 U. S. C. § 208. Therefore, sending an e-mail encouraging her office to join IAG would be misuse of her position for the private gain of IAG. This would be especially egregious if Abby is a supervisor. 5 C. F. R. § 2635. 702. Further, it raises the potential for other misuse of position issues, including improper endorsement or preferential treatment of a NFE. See JER 3 -300. Finally, with limited exceptions, Abby cannot use Government resources, such as a Government computer or official time, to support IAG. JER 2 -301 and 3 -300. 51

OTHER ETHICS RULES FACT PATTERN: (continued – other ethics rules) Question 7: Can Abby ask a subordinate to assist in preparing her speech and materials for her participation at the annual meeting? Choose the best answer: A. Yes, even if it was not in her official capacity, the annual meeting content will promote Abby's professional development, which will make her a stronger Do. D employee. B. Yes, but the subordinate must use his free time to help her prepare for the event. C. Not unless her supervisor approves. D. No, she may not use Government resources to support this activity because she is an officer of IAG. 52 Which answer is correct?

A. INCORRECT! This is not the best answer. While Do. D values the professional development of its personnel, this would not be the appropriate basis for assigning Abby to give an official speech at IAG's annual meeting. B. INCORRECT! As a supervisor, it is inappropriate for Abby to ask or require her subordinate to donate his free time for this purpose is tantamount to soliciting a gift, and it is always improper. 5 C. F. R. § 2635. 302(a)(2). D. INCORRECT! It is generally true that Government employees may not use Government resources to support private activities because it would be misuse of Government resources. 5 C. F. R. § 2635. 101(b)(9). However, application of this rule is not predicated on the fact that she is an officer of IAG. C. CORRECT! Do. D may authorize logistic support of NFE events, like conferences and annual meetings, in appropriate circumstances. JER 3 -211. If Abby's supervisor determines that the IAG annual meeting is an appropriate venue for Abby to give an official speech and assigns her in her official capacity, she may use Government resources - including administrative support - to prepare for her speech. 53

OTHER ETHICS RULES FACT PATTERN: (continued – other ethics rules) Question 8: What are the rules that apply if Abby uses her official title in connection with her speech? Choose the best answer: A. Whether, and to what extent, Abby may use her official title depends on whether she is speaking in her official capacity or in her personal capacity. B. Abby may not reference her official title in connection with a personal speech. C. Abby may not reference her official title in a personal speech unless she receives supervisory and the Public Affairs approval. D. Abby may use her official title as long as the speech is related to her profession, and thus to her official duties. Which answer is correct? 54

B. INCORRECT! This is not the best answer. There are limited circumstances in which Abby may use her official title even though she is giving a speech in her personal capacity. C. INCORRECT! This is not accurate. While Abby should keep her supervisor apprised of her outside activities that relate to her Do. D duties, she is not required to receive approval to give a personal speech. D. INCORRECT! Whether Abby may use her official title in connection with a speaking engagement depends on whether she is acting in her official or personal capacity. A. CORRECT! If speaking in her official capacity, Abby may permit the use of her official title as part of factual information, like an agenda, or other materials as long as her participation is not used as a "draw" to the event. 55

POST-GOVERNMENT EMPLOYMENT RESTRICTIONS 56

SEEKING POST-GOVERNMENT EMPLOYMENT Seeking a new position outside of government may require you to disqualify yourself from certain official matters. All employees should receive ethics advice in preparation for seeking & post-government employment. Additional rules apply to retiring military officers on terminal or transitional leave—remember you are still active duty until the effective date of your separation/retirement. 57

POST-GOVERNMENT SERVICE RESTRICTIONS Representational Restrictions: 18 U. S. C. § 207. It is a crime former Do. D personnel to represent—communicate or appear—on behalf of others, with the intent to influence, before the Federal Government (Judiciary, Executive and Legislative Branches) as follows: Lifetime Ban: Applies to all except enlisted personnel. Permanently bars former personnel who participated personally and substantially in particular matters involving specific parties. NOTE: Even where one of the bans applies, it does not preclude employment, accepting compensation, or “behindthe-scenes” assistance, except as otherwise specified. 58

POST-GOVERNMENT SERVICE RESTRICTIONS Representational Restrictions: (continued) 2 -Year Ban: Applies to supervisors. Bars former employees for two-years on matters involving specific parties that were pending under their responsibility during their last year. 1 -year Cooling Off: Applies to senior officials. Bars certain senior officials from coming back to their former agency where they are seeking official action. NOTE: “Seniors” are flag and general officers, or employees paid under a Senior Executive Service level. 59

POST-GOVERNMENT SERVICE RESTRICTIONS Representational Restrictions: (cont’d) which prohibit even “behind-the-scenes” advice: Foreign Entity Ban: Applies to senior officials. One year restriction on aiding, advising, or representing a foreign government or political party with the intent to influence the U. S. Trade and Treaty Ban: Applies to all except enlisted personnel. Similar one year restriction applies to aiding and advising another on trade or treaty negotiations that you worked on in your final year of Government service. 60

POST-GOVERNMENT SERVICE RESTRICTIONS • Exceptions to these restrictions include: Requests for publicly available documents o Inquiries re: status of a matter o Purely social contacts o Public commentary under certain circumstances—e. g. , for scientific and technological information or where the individual has special qualification in a technical discipline o • Reflection: These bans are designed to eliminate or reduce the appearance that the Government is being unduly influenced by a former employee. 61

POST-GOVERNMENT SERVICE RESTRICTIONS • Other Rules: There additional restrictions for procurement officials, retiring military members. Examples: Certain senior officials who had Procurement Integrity Act implicating responsibilities must request a post-government employment letter 30 -days before accepting compensation from a Do. D Contractor. o Military members may commence post-service employment during terminal leave (but not permissive TDY) o Procurement Integrity Act prohibits acceptance of compensation for certain procurement officials who worked on contracts valued at or above $10 M. o 62

POST-GOVERNMENT SERVICE RESTRICTIONS Ethics Pledge: Applies additional restrictions to political appointees, who signed the Ethics Pledge. 2 -year Cooling Off: Extends the 1 -year cooling off period another year. Lobbying Ban: Bans former appointees from lobbying back to the U. S. Government for the duration of the current Administration. 63

POST-GOVERNMENT SERVICE RESTRICTIONS Other Restrictions: Applies to all except enlisted personnel. You may not share in compensation for services performed by anyone to represent someone outside the government to the government, if the representation occurred when you were in the government. 18 U. S. C. § 203 You may never disclose non-public information (classified, sensitive, budgetary, procurement etc) 64

OTHER ETHICS RULES FACT PATTERN: (continued – other ethics rules) Question 9: What if Abby retires from Federal service and starts work for IAG. Are there any post-government employment rules that would apply to her as a former GS-13? Choose the best answer: A. It is unlikely that the post-government employment rules apply to Abby. B. No, Abby was not a procurement official so no restrictions apply. C. Yes, Abby is likely subject to representation restrictions under 18 U. S. C. § 207. Which answer is correct? 65

A. INCORRECT! Except for enlisted members of the military, all employees are at least subject to the post-government employment restrictions on representing another back to the Federal government under certain instances. E. g. , the lifetime ban for particular matters involving specific parties, on which they participated personally and substantially during Government service. However, the restrictions focus on use of influence, so Abby would likely not face restrictions on postgovernment employment if she was working "behind the scenes" or did not have representational duties for her non-Federal employer. B. INCORRECT! While Abby may not have been a procurement official, this only means she may not be subject to the Procurement Integrity Act ban on accepting of compensation from a contractor. It does not mean that other post-government employment rules are inapplicable. Except for enlisted members of the military, all employees are at least subject to the post-government employment restrictions on representing another back to the Federal government under certain instances. E. g. , the lifetime ban for particular matters involving specific parties, on which they participated personally and substantially during Government service. C. CORRECT! Except for enlisted members of the military, all employees are at least subject to the post-government employment restrictions on representing another back to the Federal government under certain instances. E. g. , the lifetime ban for particular matters involving specific parties, on which they participated personally and substantially during Government service. 66

CONCLUSION We hope this training has strengthened your understanding of the pertinent ethics issues. We also hope you will keep in mind that, no matter what the ethics issue may be, if you are not sure what to do, check with your ethics counselor before acting! OSD Ethics Contacts: Do. D Designated Agency Ethics Official (DAEO) is the USUHS General Counsel’s Office. If you have questions, please contact your local legal or Judge Advocate office for assistance or an ethics counselors at (301) 295 -3028. 67

CONCLUSION The Office of General Council maintains a list of those who have taken the training and filled out the presentation completion form. To receive credit for this training, you must fill out the Ethics Presentation completion form (links below). By clicking one of the below links you are certifying that you properly read and completed the entire Training Module. NOTE: You must view this presentation in “Slide Show” mode to use either of the links below VIEW AS SLIDESHOW O ACCESS CERTIFICATE LINK OGC Completion Form GPC Completion Form 68