• Common Ethics Issues
• Standards of Ethical Conduct for Employees of the Executive Branch
• Joint Ethics Regulation

Ethics Counselors provide advice and assistance on a variety of common subjects including:

(1) gifts from outside (non-Federal) sources;
(2) gifts between employees in the workplace;
(3) initial ethics orientation for all new employees, and annual ethics training;
(4) official relationships with, official support to, and personal participation in, non-Federal professional, scientific, technical, and other associations (e.g. AUSA, ABA, FBA, AAAA, SAME, ASME, etc.);
(5) public (OGE 278) and confidential (OGE 450) financial disclosure reports;
(6) conflicts of interest issues;
(7) job-hunting and post-Government employment restrictions;
(8) use of Government resources and time;
(9) handling of inside information;
(10) use of official position and improper endorsement of non-Federal activities; and
(11) outside employment and speaking, teaching or writing.

Army employees hold their positions as a public trust and the American people have a right to expect that all employees will place loyalty to the Constitution, laws, regulations, and ethical principles above private gain. Employees fulfill that trust by adhering to general principles of ethical conduct, as well as specific ethical standards.

Executive Order 12674 was issued by President Bush in 1989 and modified in 1990 by Executive Order 12731 lists 14 general principles that broadly define the obligations of public service. Underlying these 14 principles (link to Principles of Ethical Conduct.pdf) are two core concepts:

• employees shall not use public office for private gain, and
• employees shall act impartially and not give preferential treatment to any private organization or individual.

In addition, employees must strive to avoid any action that would create the appearance that they are violating the law or ethical standards.

By observing these general principles, and specific ethics standards, employees help to ensure that citizens have confidence in the integrity of Government operations and programs.

An officer or employee appointed to perform temporary duties for 130 or fewer days is a "Special Government Employee" (SGE). Many of the provisions summarized below apply differently to SGEs. Consult an Ethics Counselor for specific information.

OGE Form 450 for SGE's (Word)

Employees shall not solicit or accept a 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 - 5 C.F.R. § 2635.101(b)(4).

Therefore, an employee shall not solicit or accept, directly or indirectly, a gift from a prohibited source or given because of the employee's official position. 5 C.F.R. § 2635.202(a).

1. "Prohibited Source" means any person or entity that:

A person does not become a prohibited source merely because of the offer of a gift.

Receipt of Gifts From Prohibited Sources Info Paper (Word)

2. "Indirect Gifts" include gifts:

Need more information? This Office of Government Ethics publication, A Brief Wrap on Ethics uses examples to provide an easy-to-read, anecdotal treatment of some of the ethics laws and regulations.

Employees shall not solicit or accept a 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 - 5 C.F.R. § 2635.101(b)(4).

Therefore, an employee shall not solicit or accept, directly or indirectly, a gift from a prohibited source or given because of the employee's official position. 5 C.F.R. § 2635.202(a).

1. "Prohibited Source" means any person or entity that:
a. Is seeking official action by the employee's agency;
b. Does or seeks to do business with the employee's agency;
c. Is regulated by the employee's agency;
d. Has interests that may be substantially affected by performance or nonperformance of the employee's official duties; or e. Is an organization a majority of whose members fit into one or more of these categories. 5 C.F.R. § 2635.203(d).A person does not become a prohibited source merely because of the offer of a gift.

2. "Indirect Gifts" include gifts:
a. Given with the employee's knowledge and acquiescence to his parent, sibling, spouse, child, or dependent relative because of that person's relationship to the employee; or
b. Given to any other person, including any charitable organization, on the basis of designation, recommendation, or other specification by the employee. 5 C.F.R. § 2635.203(f).

View or download Receipt of Gifts From Prohibited Sources (Word)

Army employees may not give a gift to an official superior nor can an employee accept a gift from another employee who receives less pay, except in certain circumstances.

On an occasional basis, the following individual gifts to a supervisor are permitted:

• gifts other than cash that are valued at no more than $10
• food and refreshments shared in the office
• personal hospitality in the employee's home that is the same as that customarily provided to personal friends
• gifts given in connection with the receipt of personal hospitality that is customary to the occasion, and
• transferred leave, provided that it is not to an immediate superior.

On certain special infrequent occasions a gift may be given that is appropriate to that occasion. These occasions include:

• events of personal significance such as marriage, illness or the birth or adoption of a child, or
• occasions that terminate the subordinate-official superior relationship such as retirement, resignation or transfer.

Employees may solicit or contribute, on a strictly voluntary basis, nominal amounts for a group gift to an official superior on a special infrequent occasion and occasionally for items such as food and refreshments to be shared among employees at the office.

References:

5 C.F.R. §§ 2635.301-304

An Army employee is prohibited by a Federal criminal statute from participating personally and substantially in a particular Government matter that will affect his own financial interests, as well as the financial interests of:

• his spouse or minor child
• his general partner
• an organization in which he serves as an officer, director, trustee, general partner or employee, and
• a person with whom he is negotiating for or has an arrangement concerning prospective employment.

Several kinds of financial interests are exempt from this prohibition. These include direct or imputed financial interests in securities that are worth $15,000 or less and financial interests in diversified mutual funds and unit investment trusts, regardless of their value.

Agencies may, by supplemental regulation, prohibit or restrict the holding of certain financial interests by all or a group of agency employees. A few agencies extend such restrictions to the employee's spouse and minor children.

References:

18 U.S.C. § 208; 5 C.F.R. §§ 2635.401-403; 5 C.F.R. Part 2640.

There are a number of ways in which an employee may deal with a potential financial conflict of interest.

Army employees are required to consider whether their impartiality may be questioned whenever their involvement in a particular matter involving specific parties might affect certain personal and business relationships. A pending case, contract, grant, permit, license or loan are some examples of particular matters involving specific parties. A general rulemaking, on the other hand, is not.

If a particular matter involving specific parties would have an effect on the financial interest of a member of the employee's household, or if a person with whom the employee has a "covered relationship" is or represents a party to such a matter, then the employee must consider whether a reasonable person would question his impartiality in the matter. If the employee concludes that there would be an appearance problem, then the employee should not participate in the matter unless authorized by the agency.

An employee has a "covered relationship" with the following persons:

• a person with whom the employee has or seeks a business, contractual or other financial relationship
• a person who is a member of the employee's household or is a relative with whom the employee has a close personal relationship
• a person for whom the employee's spouse, parent or dependent child serves or seeks to serve as an officer, director, trustee, general partner, agent, attorney, consultant, contractor or employee
• any person for whom the employee has within the last year served as officer, director, trustee, general partner, agent, attorney, consultant, contractor or employee, or
• any organization (other than a political party) in which the employee is an active participant.

An employee may have a concern that circumstances other than those expressly described in the regulation may raise a question regarding the employee's impartiality. In such a situation, the employee should follow certain procedures to determine whether or not participation in the particular matter would be appropriate.

If someone who is entering Government service has received a special severance payment or other benefit in excess of $10,000 which his former employer does not make to other departing employees not entering into Federal service, and if certain other factors are present, then the employee must be disqualified for two years from participating in any particular matter in which the former employer is a party or represents a party. The agency may waive or shorten the disqualification period.

References:

5 C.F.R. §§ 2635.501-503

Army employees must not use their public office for their own or another's private gain. Employees are not to use their position, title or any authority associated with their office to coerce or induce a benefit for themselves or others.

Employees also are not to use or allow the improper use of nonpublic information to further a private interest, either their own or another's.

Employees may use Government property only for authorized purposes. Government property includes office supplies, telephones, computers, copiers and any other property purchased with Government funds.

Employees may not misuse official time. This includes the employee's own time as well as the time of a subordinate.

Reference:

5 C.F.R. §§ 2635.701-705

Army employees may be subject to some limitations on the outside activities in which they may be involved. An employee may not have outside employment or be involved in an outside activity that conflicts with the official duties of the employee's position. An activity conflicts with official duties

• if it is prohibited by statute or by the regulations of the employee's agency, or
• if the activity would require the employee to be disqualified from matters so central to the performance of the employee's official duties as to materially impair the employee's ability to carry out those duties.

Employees of some agencies may be required by their agency's own supplemental conduct regulations to obtain prior approval before engaging in certain outside employment or activities.

The Supreme Court has held that prohibitions on the acceptance of honoraria contained in the Ethics Reform Act of 1989 violated the First Amendment. Thus, an employee generally may accept honoraria; but he may not be paid for outside teaching, speaking and writing if the activity relates to his official duties. However, an exception permits him to be paid for teaching a course at an accredited educational institution, even where the subject does relate to his official duties. Employees may not use their official title or position (except as part of a biography or for identification as the author of an article with an appropriate disclaimer) to promote a book, seminar, course, program or similar undertaking.

Presidential appointees to full-time, non-career positions generally are prohibited from receiving outside earned income. Also, certain other non-career employees are subject to monetary limitations on the amount of outside income that they may earn.

Employees may engage in fundraising in a personal capacity subject to several restrictions. An employee cannot solicit funds from subordinates. And an employee cannot solicit funds from persons who have interests that may be affected by the employee's agency such as those who are regulated by, seeking official action from, or doing business with the agency. Also an employee cannot use or permit the use of the employee's official title, position or authority to promote the fundraising effort.

Reference:

5 C.F.R. §§ 2635.801-809; United States v. National Treasury Employees Union, 115 S. Ct. 1003 (1995); OGE DAEOgram DO-95-011 (March 3, 1995)

Army employees may be subject to certain restrictions on their activity after they leave Government service. Two of the restrictions apply with respect to particular matters involving specific parties that they were involved with while in Government service. If the employee's involvement in such a matter was personal and substantial, then the employee is permanently barred from representing anyone back to any Federal department, agency, or court on that same matter. If the matter was under the employee's official responsibility during the last year of Government service, then the employee is barred for two years after leaving Government service from representing anyone back to the Government on that same matter.

In addition, certain high level officials are subject to a so-called one-year "cooling off " period. For a period of one year after leaving a "senior" position, these officials may not make any appearance before or communication to their former agencies on behalf of any person (other than the United States), with the intent to influence them on any matter in which that person seeks official action.

A former "very senior" employee may not make any communication to or appearance before certain high level Army officials, in addition to employees of his former agency during the first year after he has left Government.

Former senior and very senior employees also are restricted for one year after leaving Government service from representing, aiding or advising foreign governments or foreign political parties before an agency or department of the United States.

Employees who participated personally and substantially in an ongoing trade or treaty negotiation are subject to additional restrictions.

Annual Post-Employment Certification and Notification

Planning on working for a Defense Contractor after leaving DoD?

If so, Section 847 of the FY 2008 National Defense Authorization Act, Requirement to Seek Written Ethics Advice, may apply to you. Certain DoD officials are required to request a written opinion from an appropriate DoD ethics counselor regarding the applicability of post-employment restrictions to activities that they may undertake on behalf of a DoD contractor. Such contractors are prohibited from paying covered officials during a two-year period following their departure from DoD unless they have either received the opinion or requested it at least 30 days prior to receiving compensation.

Covered Officials

Covered officials are individuals who either hold a position in the Executive Service, the Senior Executive Service, or a general or flag officer position and participated personally and substantially in an acquisition valued over $10,000,000; or serve as program manager, deputy program manager, procuring contracting officer, administrative contracting officer, source selection authority, member of the source selection evaluation board, or chief of a financial or technical evaluation team for a contract valued in excess of $10,000,000.

Request Section 847 Post-Government Employment Opinion Letter

Army Employees

An Army employee may not participate in any particular Government matter that will affect the financial interests of a person or entity with whom he is seeking employment. An employee is considered to be seeking employment if:

• the employee is engaged in actual negotiations for employment
• a potential employer has contacted the employee about possible employment and the employee makes a response other than rejection, and
• the employee has contacted a prospective employer about possible employment (unless the sole purpose of the contact is to request a job application or if the person contacted is affected by the performance of the employee's duties only as part of an industry).

An employee is considered no longer seeking employment if:

• either the employee or the prospective employer rejects the possibility of employment and all discussions of possible employment have ended, or
• two months have elapsed since the employee's dispatch of an unsolicited resume and the employee has received no expression of interest from the prospective employer.

In some cases, an employee may be authorized by an agency official to participate in particular matters from which he would otherwise have to be disqualified due to his job search. In other cases, an agency ethics official may determine that an employee who has sought, but is no longer seeking, employment nevertheless shall be subject to a continuing period of disqualification.

If a search firm or other intermediary is involved, the employee is not disqualified unless the intermediary identifies the prospective employer to the employee.

References:

18 U.S.C. § 208
5 C.F.R. §§ 2635.601-606

After Government Employment Advice Repository (AGEAR)