PRESS “F5” ON YOUR KEY BOARD PRESS “F5” ON YOUR KEY BOARD TO TO PROPERLYPROPERLY START THIS START THIS

TRAINING MODULETRAINING MODULE

Then, click the arrow at the bottom right of Then, click the arrow at the bottom right of this slide to begin the training module.this slide to begin the training module.

DEFENSE SECURITY COOPERATION AGENCYDEFENSE SECURITY COOPERATION AGENCY (DSCA) (DSCA)

FY 2014 Annual Ethics Training FY 2014 Annual Ethics Training

Sponsored by the Office of General CounselSponsored by the Office of General CounselDerek Gilman, General CounselDerek Gilman, General Counsel

Annual Training RequirementsAnnual Training RequirementsNote, 100% compliance with the annual Ethics training requirement is expected from all civilian, Note, 100% compliance with the annual Ethics training requirement is expected from all civilian, military, and contractor personnel with DSCA, Regional Centers, and Field Activities.military, and contractor personnel with DSCA, Regional Centers, and Field Activities.

Staff must complete the “Automated Proof of Training” slide at the end of this module to ensure Staff must complete the “Automated Proof of Training” slide at the end of this module to ensure the Office of General Counsel receives proof that you have met the requirement. You should the Office of General Counsel receives proof that you have met the requirement. You should also print a copy of your certificate of completion for your records.also print a copy of your certificate of completion for your records.

COVERED TOPICSCOVERED TOPICS• OVERVIEW OF CORE ETHICS LAWS &OVERVIEW OF CORE ETHICS LAWS & IMPLEMENTING REGULATIONSIMPLEMENTING REGULATIONS

• GIFTS OF TRAVELGIFTS OF TRAVEL

• TEACHING, SPEAKING & WRITING RULESTEACHING, SPEAKING & WRITING RULES

• FUNDRAISING RULESFUNDRAISING RULES

• PARTISAN POLITICAL ACTIVITY RULES PARTISAN POLITICAL ACTIVITY RULES

OVERVIEW OF ETHICS LAWS OVERVIEW OF ETHICS LAWS

Criminal Ethics LawsCriminal Ethics Laws that govern Federal service in summary: that govern Federal service in summary:

•Don’t accept a bribe. Don’t accept a bribe. •Don’t represent or accept money for representing another’s interests Don’t represent or accept money for representing another’s interests before the U.S. Government. before the U.S. Government. •Don’t take official action that will affect your personal financial interests Don’t take official action that will affect your personal financial interests as well as those of your spouse, children and prospective employer.as well as those of your spouse, children and prospective employer.•Don’t accept payment from another for the performance of your Don’t accept payment from another for the performance of your Federal duties.Federal duties.

SEEKING & POST-GOVERNMENT SEEKING & POST-GOVERNMENT EMPLOYMENT LAWSEMPLOYMENT LAWS

SEEKING POST-GOVERNMENT SEEKING POST-GOVERNMENT EMPLOYMENTEMPLOYMENT

RULERULE: : Under the conflict of interest law, when seeking post-Federal Under the conflict of interest law, when seeking post-Federal employment outside of the Federal Government, you MUST:employment outside of the Federal Government, you MUST:•DisqualifyDisqualify yourself from official participation in any particular matter yourself from official participation in any particular matter that has a direct and predictable effect on the financial interests of that has a direct and predictable effect on the financial interests of entities with whom you are discussing future employment.entities with whom you are discussing future employment.

VIOLATIONS CAN BE PROSECUTED.VIOLATIONS CAN BE PROSECUTED.

POST-GOVERNMENT EMPLOYMENT POST-GOVERNMENT EMPLOYMENT REPRESENTATIONAL BARSREPRESENTATIONAL BARS

18 U.S.C. § 207 18 U.S.C. § 207

After leaving the Federal Government, former After leaving the Federal Government, former employees are subject to additional employees are subject to additional CRIMINALCRIMINAL restrictions that may limit their interactions with the restrictions that may limit their interactions with the Federal Government when representing the interests of Federal Government when representing the interests of another person or entity. another person or entity.

BOTTOM LINEBOTTOM LINEThese rules are These rules are complicated, complicated, SO SO ifif you you::• Start looking for future employment or want to Start looking for future employment or want to

understand how you will be permitted to interact with understand how you will be permitted to interact with the Federal Government after you leave:the Federal Government after you leave:

Please contact your DSCA/OGCPlease contact your DSCA/OGC Ethics Official at Ethics Official at (703) 604-0297 (703) 604-0297 for advice.for advice.

ADDITIONAL ETHICS RULES ADDITIONAL ETHICS RULES OverviewOverview

The Federal Standards of Conduct provideThe Federal Standards of Conduct provide::

•Conflicting Financial InterestsConflicting Financial Interests. . Employees must Employees must disqualifydisqualify themselves themselves from an official matter if that matter will affect their financial interests, from an official matter if that matter will affect their financial interests, unless an exception or exemption applies.unless an exception or exemption applies.

• ImpartialityImpartiality. . (AKA, THE WASHINGTON POST TEST) Employees should (AKA, THE WASHINGTON POST TEST) Employees should disqualifydisqualify themselves from taking action in an official matter if a themselves from taking action in an official matter if a reasonable person would have a basis to question their impartiality.reasonable person would have a basis to question their impartiality.

TIP: TIP: In both cases, disqualification should be in writing.In both cases, disqualification should be in writing.

ADDITIONAL ETHICS RULES ADDITIONAL ETHICS RULES

• Misuse of PositionMisuse of Position. . Employees may not use Government Employees may not use Government resources, including their official position and the authority of resources, including their official position and the authority of their office, for private gain, whether by:their office, for private gain, whether by:• improper endorsement, improper endorsement, • disclosure of non-public information, or disclosure of non-public information, or • misuse of Government resources, including official time of misuse of Government resources, including official time of

themselves or subordinates.themselves or subordinates.

ADDITIONAL ETHICS RULES ADDITIONAL ETHICS RULES • Gifts from outside sourcesGifts from outside sources. . Employees may not solicit or accept gifts Employees may not solicit or accept gifts

from outside sources given because of their official position or by a from outside sources given because of their official position or by a prohibited source, unless an exception or exclusion applies.prohibited source, unless an exception or exclusion applies.

• Gifts between employeesGifts between employees. . Superiors should not accept and Superiors should not accept and employees should not give gifts to superiors, unless an exception employees should not give gifts to superiors, unless an exception applies.applies.

• Group giftsGroup gifts. . For departing officials:For departing officials:

— contributions must be strictly contributions must be strictly voluntary;voluntary;— solicitations must be solicitations must be nominalnominal ($10); and($10); and— group gift may not exceed $300 in value.group gift may not exceed $300 in value.

ADDITIONAL ETHICS RULES ADDITIONAL ETHICS RULES • Prior approval for certain employmentPrior approval for certain employment: : Current Current

financial disclosure filers must obtain prior written financial disclosure filers must obtain prior written approval for off-duty non-Federal employment with approval for off-duty non-Federal employment with a prohibited source (e.g., a defense contractor) a prohibited source (e.g., a defense contractor) before engaging in the outside activity.before engaging in the outside activity.

TAKE AWAYTAKE AWAY!! The rules set a minimum standard of conduct.The rules set a minimum standard of conduct.

The question you should be asking is, even if legal, The question you should be asking is, even if legal, is my is my proposed action the right thing to do?proposed action the right thing to do?

Ask whether your actionsAsk whether your actions::• Are in the best interest of DoD;Are in the best interest of DoD;• Serve to enhance public confidence in DoD programs and Serve to enhance public confidence in DoD programs and

operations; or operations; or • Will cause the public to question your integrity or impartiality.Will cause the public to question your integrity or impartiality.

GIFTS OF TRAVELGIFTS OF TRAVEL• DSCA employees may be offered gifts of travel (e.g., DSCA employees may be offered gifts of travel (e.g.,

transportation, meals, and/or lodging)transportation, meals, and/or lodging)• There are several legal authorities under which such gifts may There are several legal authorities under which such gifts may

be accepted. It is critically important that you contact be accepted. It is critically important that you contact DSCA/OGC when you are offered any gift of travel to ensure it DSCA/OGC when you are offered any gift of travel to ensure it is accepted (or rejected) appropriately.is accepted (or rejected) appropriately.

• A traveler who accepts a gift of travel inappropriately may be A traveler who accepts a gift of travel inappropriately may be subject to disciplinary action and may be required to pay the subject to disciplinary action and may be required to pay the US Treasury the value of the gift out of personal funds.US Treasury the value of the gift out of personal funds.

TRAVEL ETHICSTRAVEL ETHICS• Frequent flyer miles belong to traveler.Frequent flyer miles belong to traveler.• Can generally accept upgrades (military members are generally Can generally accept upgrades (military members are generally

prohibited from wearing uniform when traveling in business or first prohibited from wearing uniform when traveling in business or first class to avoid misperception of misuse of government resources).class to avoid misperception of misuse of government resources).

• Benefits offered for being involuntarily “bumped” belong to USG; Benefits offered for being involuntarily “bumped” belong to USG; benefits offered when voluntarily “bumped” may be kept for personal benefits offered when voluntarily “bumped” may be kept for personal use if: 1) no interference with official duties, 2) traveler bears any use if: 1) no interference with official duties, 2) traveler bears any additional expenses, and 3) traveler charged leave for any resulting additional expenses, and 3) traveler charged leave for any resulting travel delays during duty hours.travel delays during duty hours.

• Cannot be reimbursed twice for same travel expense.Cannot be reimbursed twice for same travel expense.• If you go shopping on an overseas trip, be aware there are legal If you go shopping on an overseas trip, be aware there are legal

restrictions on importing counterfeit goods into the U.S. and they may restrictions on importing counterfeit goods into the U.S. and they may be subject to seizure by U.S. Customs. be subject to seizure by U.S. Customs.

TEACHING, SPEAKING & TEACHING, SPEAKING & WRITING (TSW)WRITING (TSW)

TSW GENERAL RULESTSW GENERAL RULES• Under law and implementing regulations, Federal Under law and implementing regulations, Federal

personnel may, under certain conditions and with prior personnel may, under certain conditions and with prior approval from a supervisor:approval from a supervisor:

– teach teach – engage in public speakingengage in public speaking– and write scholarly articlesand write scholarly articles

THE MOST IMPORTANT QUESTIONS WHEN THE MOST IMPORTANT QUESTIONS WHEN CONSIDERING TEACHING, SPEAKING, AND CONSIDERING TEACHING, SPEAKING, AND

WRITING (TSW) OPPORTUNITIESWRITING (TSW) OPPORTUNITIES

• Are you being offered compensation for your TSW?Are you being offered compensation for your TSW?• Is the TSW “related” to your Federal job?Is the TSW “related” to your Federal job?• What prior approvals and clearances are required?What prior approvals and clearances are required?

TSW GOVERNING RULESTSW GOVERNING RULESCriminal ProhibitionsCriminal Prohibitions: :

You You MAY NOT MAY NOT accept compensation from any non-Federal source for accept compensation from any non-Federal source for performing your Federal duties (your job). 18 U.S.C. 209. performing your Federal duties (your job). 18 U.S.C. 209.

You You MAY NOT MAY NOT take any official action that has a direct and predictable take any official action that has a direct and predictable effect upon your financial interests (including the interests of an effect upon your financial interests (including the interests of an entity which has offered to compensate you for TSW. 18 U.S.C. 208.entity which has offered to compensate you for TSW. 18 U.S.C. 208.

Administrative RuleAdministrative Rule

You You MAY NOT MAY NOT accept compensation for TSW that relates to your Federal accept compensation for TSW that relates to your Federal job. 5 C.F.R. 2635.807. A violation may result in disciplinary action job. 5 C.F.R. 2635.807. A violation may result in disciplinary action including separation.including separation.

TSW RELATES TO YOUR DOD DUTIES IF:TSW RELATES TO YOUR DOD DUTIES IF:• It is undertaken as part of your duties;It is undertaken as part of your duties;• It is It is offered PRIMARILY because of your position, offered PRIMARILY because of your position, not your not your

subject matter expertise;subject matter expertise;• The The offeror's interestsofferor's interests may be affected substantially by may be affected substantially by

performance or nonperformance of your job;performance or nonperformance of your job;• The The activity "draws substantially" activity "draws substantially" on ideas/data that are on ideas/data that are

nonpublic informationnonpublic information; ; oror

TSW RELATES TO YOUR DOD DUTIES IF:TSW RELATES TO YOUR DOD DUTIES IF:

• The TSW The TSW subject matter deals "in significant part" subject matter deals "in significant part" with: with: – Matters to which you're assigned, or were assigned Matters to which you're assigned, or were assigned during the previous year; during the previous year; – Ongoing or announced DoD policies, programs, or Ongoing or announced DoD policies, programs, or operations operations

NEED FOR A DISCLAIMERNEED FOR A DISCLAIMERIF you use your military or civilian grade, title, or position as one IF you use your military or civilian grade, title, or position as one of several biographical details given to identify yourself in of several biographical details given to identify yourself in connection with TSW, you need to publish a disclaimer IF:connection with TSW, you need to publish a disclaimer IF:•The subject deals in significant part with any ongoing or announced policy, The subject deals in significant part with any ongoing or announced policy, program or operation of your DoD Agency; andprogram or operation of your DoD Agency; and•You have not been authorized by appropriate Agency authority to present You have not been authorized by appropriate Agency authority to present that material as the Agency's position.that material as the Agency's position. •An appropriate disclaimer states that these are the speaker’s/author’s An appropriate disclaimer states that these are the speaker’s/author’s personal views and not necessarily those of the Department or Federal personal views and not necessarily those of the Department or Federal Government.Government.

TEACHING CLASSESTEACHING CLASSES• With With agency approvalagency approval, you are permitted to , you are permitted to • Teach a course Teach a course (multiple presentations*) and receive compensation if it is(multiple presentations*) and receive compensation if it is• Offered Offered as part of eitheras part of either: :

– The The regular curriculum regular curriculum of qualifying institutions of higher learning; of qualifying institutions of higher learning; – Elementary schools; or Elementary schools; or – Secondary schools.Secondary schools.

OROR• Is a program of education/training sponsored and funded by the Federal government or by a Is a program of education/training sponsored and funded by the Federal government or by a

state/local government other than those above. state/local government other than those above.

* If multiple presentations are not involved, this should be viewed as a speaking engagement with * If multiple presentations are not involved, this should be viewed as a speaking engagement with payment viewed as honoraria.payment viewed as honoraria.

NON-CAREER SES EMPLOYEESNON-CAREER SES EMPLOYEES

To receive compensation for teaching you must: To receive compensation for teaching you must: • Submit a written request to DSCA’s Deputy Submit a written request to DSCA’s Deputy Designated Agency Ethics Official (DDAEO) Designated Agency Ethics Official (DDAEO) ANDAND • Receive specific authorization from DSCA’s DAEO in Receive specific authorization from DSCA’s DAEO in

advance. advance.

TRAVEL AND MEAL EXPENSES PROVIDED TRAVEL AND MEAL EXPENSES PROVIDED IN CONNECTION WITH TSWIN CONNECTION WITH TSW

Under certain situations, travel and meal expenses Under certain situations, travel and meal expenses may be accepted. Consult your Ethics official for may be accepted. Consult your Ethics official for advice in advance in those circumstances. advice in advance in those circumstances.

SECURITY REVIEW FOR RELEASE OF SECURITY REVIEW FOR RELEASE OF INFORMATIONINFORMATION

A security review is generally required before A security review is generally required before releasing official information to the public releasing official information to the public consistent with DoD Instruction 5230.29.consistent with DoD Instruction 5230.29.

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGE• You receive an invitation, at the office, inviting you to You receive an invitation, at the office, inviting you to

speak at an event hosted by a non-Federal entity. The speak at an event hosted by a non-Federal entity. The sponsor of the event offers to pay you an honorarium sponsor of the event offers to pay you an honorarium for speaking. The topic of the speech is related to your for speaking. The topic of the speech is related to your area of expertise and to your DoD duties. May you area of expertise and to your DoD duties. May you speak and accept the honorarium at the event?speak and accept the honorarium at the event?

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEPick the correct answerPick the correct answer::1.1. Without consulting your supervisor, you decide that speaking at the Without consulting your supervisor, you decide that speaking at the

event will further DoD’s mission, so you accept the invitation and the event will further DoD’s mission, so you accept the invitation and the honorarium.honorarium.

2.2. After consulting your boss, who concludes your speaking at the event After consulting your boss, who concludes your speaking at the event will support DoD’s mission, you accept the invitation and the will support DoD’s mission, you accept the invitation and the honorarium.honorarium.

3.3. After consulting your boss, who concludes your speaking at the event After consulting your boss, who concludes your speaking at the event will support DoD’s mission, you accept the invitation but not the will support DoD’s mission, you accept the invitation but not the honorarium. honorarium.

1 2 3Select Answer:

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer::• You picked 1. Incorrect. Although you believe speaking at the event may You picked 1. Incorrect. Although you believe speaking at the event may

further DoD’s mission, you must consult with your supervisor before further DoD’s mission, you must consult with your supervisor before accepting the invitation. Your supervisor may determine that the event is not accepting the invitation. Your supervisor may determine that the event is not an appropriate forum for you to speak. Further, if you are speaking as a DoD an appropriate forum for you to speak. Further, if you are speaking as a DoD employee (in your official capacity), you may not accept an honorarium as employee (in your official capacity), you may not accept an honorarium as you are already being paid by DoD to perform your duties. (18 U.S.C. 209 is a you are already being paid by DoD to perform your duties. (18 U.S.C. 209 is a statute that prohibits you from being paid by a non-Federal source to statute that prohibits you from being paid by a non-Federal source to perform your official duties.) The correct approach is to discuss the invitation perform your official duties.) The correct approach is to discuss the invitation with your supervisor and, if a determination is made that the event is an with your supervisor and, if a determination is made that the event is an appropriate forum for you to speak, accept the invitation, but not the appropriate forum for you to speak, accept the invitation, but not the honorarium.honorarium.

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer::• You picked 2. Incorrect. While you correctly discussed the invitation You picked 2. Incorrect. While you correctly discussed the invitation

with your supervisor beforehand, and your supervisor authorized you with your supervisor beforehand, and your supervisor authorized you to speak at the event, you must decline the honorarium even if your to speak at the event, you must decline the honorarium even if your supervisor determines that this is an appropriate forum for you to supervisor determines that this is an appropriate forum for you to speak. This is because a criminal statute, 18 U.S.C. 209, prohibits speak. This is because a criminal statute, 18 U.S.C. 209, prohibits Federal personnel from accepting payment from a non-Federal source Federal personnel from accepting payment from a non-Federal source for performing official duties. for performing official duties.

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer::• You picked 3. Correct. While you correctly discussed the invitation with You picked 3. Correct. While you correctly discussed the invitation with

your supervisor beforehand, and your supervisor authorized you to speak your supervisor beforehand, and your supervisor authorized you to speak at the event, you must decline the honorarium even if your supervisor at the event, you must decline the honorarium even if your supervisor determines that this is an appropriate forum for you to speak. This is determines that this is an appropriate forum for you to speak. This is because a criminal statute, 18 U.S.C. 209, prohibits Federal personnel because a criminal statute, 18 U.S.C. 209, prohibits Federal personnel from accepting payment from a non-Federal source for performing from accepting payment from a non-Federal source for performing official duties. official duties.

FUNDRAISINGFUNDRAISING

FUNDRAISINGFUNDRAISINGWhat do you need to know?What do you need to know?

• Generally, Generally, fundraising is prohibitedfundraising is prohibited in the Federal workplace. in the Federal workplace.

• The government must be neutral to retain the public’s confidence, so The government must be neutral to retain the public’s confidence, so we must ensure a level playing field for all non-Federal entities. we must ensure a level playing field for all non-Federal entities.

FUNDRAISINGFUNDRAISINGWhat is fundraising?What is fundraising?•The raising of funds for a The raising of funds for a nonprofit entity nonprofit entity through:through:• Soliciting fundsSoliciting funds;;• Selling itemsSelling items; or; or

• Employee official Employee official participation in the conduct of an event participation in the conduct of an event where any part where any part of the cost of attendance or participation may be taken as a charitable tax of the cost of attendance or participation may be taken as a charitable tax deduction by a person incurring that cost.deduction by a person incurring that cost.

What is What is notnot fundraising? fundraising?• In-kind collection of items (non-cash), like food or toy drives.In-kind collection of items (non-cash), like food or toy drives.

3 EXCEPTIONS TO THE FUNDRAISING 3 EXCEPTIONS TO THE FUNDRAISING BAN IN THE WORKPLACEBAN IN THE WORKPLACE

• Combined Federal Campaign.Combined Federal Campaign.• When the Director of the Office of Personnel When the Director of the Office of Personnel

Management authorizes a solicitation for emergencies Management authorizes a solicitation for emergencies or disasters.or disasters.

• Among the members for the benefit of the members.Among the members for the benefit of the members.

COMBINED FEDERAL CAMPAIGN(CFC)COMBINED FEDERAL CAMPAIGN(CFC)• CFC is the only authorized solicitation of employees in the Federal CFC is the only authorized solicitation of employees in the Federal

workplace on behalf of charitable organizations.workplace on behalf of charitable organizations.• Campaign period generally runs from September through December Campaign period generally runs from September through December

annually when no other solicitation in the Federal workplace may occur.annually when no other solicitation in the Federal workplace may occur.• DoD personnel participation may be encouraged but is not mandated.DoD personnel participation may be encouraged but is not mandated.• DoD personnel may DoD personnel may NOTNOT : :– Encourage contributions to a specific charity, even if it is a CFC Encourage contributions to a specific charity, even if it is a CFC

participant.participant.– Solicit non-DoD personnel or entities, including contractor, Credit Union Solicit non-DoD personnel or entities, including contractor, Credit Union

employees, or other non-Federal entities or individuals.employees, or other non-Federal entities or individuals.

DISASTER OR EMERGENCY RELIEFDISASTER OR EMERGENCY RELIEF• Defined: hurricanes, tornadoes, storms, floods or other Defined: hurricanes, tornadoes, storms, floods or other

catastrophes.catastrophes.• Only the Office of Personnel Management Director may grant Only the Office of Personnel Management Director may grant

permission for solicitations of Federal personnel in the permission for solicitations of Federal personnel in the Federal workplace outside of the CFC in support of victims of Federal workplace outside of the CFC in support of victims of emergencies and disasters.emergencies and disasters.

• Recent examples include the Japanese tsunami in 2011 and Recent examples include the Japanese tsunami in 2011 and the Haitian earthquake in 2010.the Haitian earthquake in 2010.

AMONG THE MEMBERS FOR THE AMONG THE MEMBERS FOR THE BENEFIT OF THE MEMBERSBENEFIT OF THE MEMBERS

• Organizations composed primarily of DoD personnel and their Organizations composed primarily of DoD personnel and their dependents.dependents.

• When fundraising among their own members for the benefit of When fundraising among their own members for the benefit of welfare funds for their own members or their dependents.welfare funds for their own members or their dependents.

• When approved by the head of the DoD component command or When approved by the head of the DoD component command or organization. organization.

• After consultation with an Ethics official. This includes Morale, After consultation with an Ethics official. This includes Morale, Welfare and Recreation Programs.Welfare and Recreation Programs.

ATTENDING A FUNDRAISERATTENDING A FUNDRAISERGeneral RulesGeneral Rules

The Federal Standards of Conduct prohibit you, in your official capacity from The Federal Standards of Conduct prohibit you, in your official capacity from “actively and visibly participating in the promotion, production, or presentation of “actively and visibly participating in the promotion, production, or presentation of the event.” This includes:the event.” This includes:– Requesting or encouraging the Requesting or encouraging the giving of donationsgiving of donations;;– Serving as Serving as honorary chairpersonhonorary chairperson;;– Sitting at the Sitting at the head tablehead table; ; – Standing in a Standing in a reception line; orreception line; or – Serving as Serving as master of ceremoniesmaster of ceremonies. .

But But NOTENOTE::– You may give an You may give an official speech official speech at a non-profit fundraiser as long as you do not seek at a non-profit fundraiser as long as you do not seek

donations or otherwise endorse the organization. donations or otherwise endorse the organization.

FUNDRAISINGFUNDRAISING• May Federal Personnel participate in fundraising in their May Federal Personnel participate in fundraising in their

personal capacity?personal capacity?YesYes, provided fundraising activities are conducted outside , provided fundraising activities are conducted outside

the Federal workplace and on personal time. the Federal workplace and on personal time. So be careful not toSo be careful not to::– Use DoD resources, including email and photocopiers.Use DoD resources, including email and photocopiers.– Participate in your official capacity (do not allow use of your title or Participate in your official capacity (do not allow use of your title or

other DoD affiliation).other DoD affiliation).– Solicit subordinates, DoD contractors, or other prohibited sources.Solicit subordinates, DoD contractors, or other prohibited sources.

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGE

You are asked to sell tickets to subordinates in the You are asked to sell tickets to subordinates in the workplace for a fundraising event sponsored by a workplace for a fundraising event sponsored by a nonprofit organization that helps military spouses. May nonprofit organization that helps military spouses. May you sell the tickets?you sell the tickets?

NoYesSelect Answer:

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer::• You picked YES. Unfortunately, that is not correct. You may not You picked YES. Unfortunately, that is not correct. You may not

solicit subordinates in the workplace—and collecting money for solicit subordinates in the workplace—and collecting money for tickets is fundraising. The CFC has been established as the tickets is fundraising. The CFC has been established as the solesole fundraising event in the Federal workplace. The only exceptions fundraising event in the Federal workplace. The only exceptions are in a response to an emergency or disaster declared by the are in a response to an emergency or disaster declared by the Director of OPM, or when personnel fundraise among the Director of OPM, or when personnel fundraise among the members of an organization for the benefit of the members of members of an organization for the benefit of the members of that organization. None of these situations exist herethat organization. None of these situations exist here..

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer::• You picked NO. That is correct! This fundraising event has not You picked NO. That is correct! This fundraising event has not

been authorized either by CFC or by the Director of OPM, and it been authorized either by CFC or by the Director of OPM, and it is not a fundraiser among the members of your organization for is not a fundraiser among the members of your organization for the benefit of the members of your organization. Further, the benefit of the members of your organization. Further, supervisors may never solicit subordinates. supervisors may never solicit subordinates.

HATCH ACTHATCH ACT

Restrictions on Partisan Political Activities of CiviliansRestrictions on Partisan Political Activities of Civilians

HATCH ACTHATCH ACT Restrictions on Partisan Political Activities of CiviliansRestrictions on Partisan Political Activities of Civilians

RULERULE: : The Hatch Act restricts partisan political activities of civilian The Hatch Act restricts partisan political activities of civilian DoD employees.DoD employees.

• DoD policy further restricts the partisan political activities of DoD policy further restricts the partisan political activities of certain political appointees.certain political appointees.

Military PersonnelMilitary Personnel: Have similar rules which are described in DoD : Have similar rules which are described in DoD Directive 1344.10, Political Activities by Members of the Armed Directive 1344.10, Political Activities by Members of the Armed ForcesForces

HATCH ACTHATCH ACT Restrictions on Partisan Political Activities of CiviliansRestrictions on Partisan Political Activities of Civilians

General Policy HighlightsGeneral Policy Highlights: : At DoD there are two categories of civilian employees - “further” and “less” restricted.At DoD there are two categories of civilian employees - “further” and “less” restricted.• Further RestrictedFurther Restricted: : Presidential appointees confirmed by the Senate; non-career and career Senior Executive Presidential appointees confirmed by the Senate; non-career and career Senior Executive

Service employees; Members of the Contract Appeals Board; and employees of NSA, DIA, NGA (e.g., strictly Service employees; Members of the Contract Appeals Board; and employees of NSA, DIA, NGA (e.g., strictly limited).limited).

• Less RestrictedLess Restricted. . All others. Generally, most DoD civilians (GS, WG, Schedule C, etc.) may engage in partisan All others. Generally, most DoD civilians (GS, WG, Schedule C, etc.) may engage in partisan political activity, political activity, but onlybut only during during non-dutynon-duty hours & hours & outside the Federal workplaceoutside the Federal workplace (this includes Schedule C (this includes Schedule C political appointees)political appointees)..

What is Political Activity?What is Political Activity?Political ActivityPolitical Activity is an activity directed toward the success or is an activity directed toward the success or failure of:failure of:•a political party;a political party;•a candidate for partisan political office (beginning with a candidate for partisan political office (beginning with fundraising or declaration of candidacy); ORfundraising or declaration of candidacy); OR•a partisan political groupa partisan political groupNon-PartisanNon-Partisan. . Any activity not associated with the success of a Any activity not associated with the success of a political party or candidate for partisan political office.political party or candidate for partisan political office.

What is Political Activity?What is Political Activity?

Examples of Political ActivityExamples of Political Activity: : •Serving as a delegate to a political party convention.Serving as a delegate to a political party convention.•Wearing a partisan political button in the office.Wearing a partisan political button in the office.•Working for a political party at the polls on election day.Working for a political party at the polls on election day.•Using office email to forward campaign information.Using office email to forward campaign information.•Soliciting contributions for a candidate for partisan office.Soliciting contributions for a candidate for partisan office.

What is Not Political Activity?What is Not Political Activity?Not PartisanNot Partisan. . Activity of a non-partisan nature, including: Activity of a non-partisan nature, including:

• Participating in non-partisan activities of a civic, community, social, Participating in non-partisan activities of a civic, community, social, labor, or professional organization, such as nonpartisan voter labor, or professional organization, such as nonpartisan voter registration efforts.registration efforts.

• Campaigning for or against non-partisan issues, such as referendum Campaigning for or against non-partisan issues, such as referendum questions, constitutional amendments, or municipal reforms.questions, constitutional amendments, or municipal reforms.

• Taking an active part, as a candidate or in support of a candidate, in a Taking an active part, as a candidate or in support of a candidate, in a non-partisan election (e.g., referendum questions, municipal non-partisan election (e.g., referendum questions, municipal ordinance.) ordinance.)

• Serving as an election official or clerk, or in a similar position, Serving as an election official or clerk, or in a similar position, performing non-partisan duties as prescribed by state or local law.performing non-partisan duties as prescribed by state or local law.

All DoD Civilians …All DoD Civilians …MAYMAY::● Vote.Vote.● Make a financial contribution to a campaign.Make a financial contribution to a campaign.● Express personal opinions about candidates and issues.Express personal opinions about candidates and issues.● Sign nominating petitions.Sign nominating petitions.● Attend political rallies and meetings. Attend political rallies and meetings. ● Participate in nonpartisan activities.Participate in nonpartisan activities.

All DoD Civilians …All DoD Civilians …MAY NOTMAY NOT● Run for partisan office.Run for partisan office.● Engage in political activity Engage in political activity ON DUTY or IN THE ON DUTY or IN THE

FEDERAL WORKPLACEFEDERAL WORKPLACE (do not use DoD email (do not use DoD email account!)account!)

● Solicit, accept, or receive political contributions.Solicit, accept, or receive political contributions.● Misuse official authority to affect an election.Misuse official authority to affect an election.

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEScenario 1Scenario 1: : Brad receives a hilarious email that spoofs the current Brad receives a hilarious email that spoofs the current candidates for President on his DoD email account while at work.candidates for President on his DoD email account while at work. Has Has Brad violated the Hatch Act? Brad violated the Hatch Act?

SELECT THE POSSIBLE ANSWER:SELECT THE POSSIBLE ANSWER:

Receiving any partisan emails on government computer constitutes Receiving any partisan emails on government computer constitutes prohibited political activity as defined under the Hatch Act.prohibited political activity as defined under the Hatch Act.

Simply receiving a partisan political e-mail while at work, does not Simply receiving a partisan political e-mail while at work, does not constitute prohibited political activity as defined under the Hatch constitute prohibited political activity as defined under the Hatch Act. However, Brad must not send or forward the e-mail to others.Act. However, Brad must not send or forward the e-mail to others.

No

Yes

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer: : • Yes is incorrect. Brad has not violated the Hatch Act. The Act prohibits Yes is incorrect. Brad has not violated the Hatch Act. The Act prohibits

employees from engaging in an activity directed toward the success or failure employees from engaging in an activity directed toward the success or failure of a political party, candidate for partisan political office or partisan political of a political party, candidate for partisan political office or partisan political group while in a Federal building. Simply receiving an email at work is not a group while in a Federal building. Simply receiving an email at work is not a violation. This is because, in theory, we cannot control what may be sent to violation. This is because, in theory, we cannot control what may be sent to us at work. However, it would be a violation for you to forward political us at work. However, it would be a violation for you to forward political emails – including – jokes and humorous emails – to other people from your emails – including – jokes and humorous emails – to other people from your DoD account. The only exception to this rule, is that you may forward a DoD account. The only exception to this rule, is that you may forward a partisan email from your DoD account to your personal email account. partisan email from your DoD account to your personal email account. Finally, you may not forward partisan emails from your personal email Finally, you may not forward partisan emails from your personal email account while using DoD equipment or while in a Federal building. account while using DoD equipment or while in a Federal building.

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer: : • You are correct! Brad has not violated the Hatch Act. The Act prohibits You are correct! Brad has not violated the Hatch Act. The Act prohibits

employees from engaging in an activity directed toward the success or failure employees from engaging in an activity directed toward the success or failure of a political party, candidate for partisan political office or partisan political of a political party, candidate for partisan political office or partisan political group while in a Federal building. Simply receiving an email at work is not a group while in a Federal building. Simply receiving an email at work is not a violation. This is because, in theory, we cannot control what may be sent to violation. This is because, in theory, we cannot control what may be sent to us at work. However, it would be a violation for you to forward political us at work. However, it would be a violation for you to forward political emails – including – jokes and humorous emails – to other people from your emails – including – jokes and humorous emails – to other people from your DoD account. The only exception to this rule, is that you may forward a DoD account. The only exception to this rule, is that you may forward a partisan email from your DoD account to your personal email account. partisan email from your DoD account to your personal email account. Finally, you may not forward partisan emails from your personal email Finally, you may not forward partisan emails from your personal email account while using DoD equipment or while in a Federal building. account while using DoD equipment or while in a Federal building.

Less Restricted Civilians…Less Restricted Civilians…MAYMAY::• Join and be active members of a political party or club Join and be active members of a political party or club

(organize political meetings or rallies, distribute campaign (organize political meetings or rallies, distribute campaign literature, serve as officer or delegate of a political party or literature, serve as officer or delegate of a political party or campaign, volunteer at candidate’s campaign office)campaign, volunteer at candidate’s campaign office)

• Help organize political fundraising events (but Help organize political fundraising events (but nono soliciting, soliciting, accepting, or receiving of political contributions)accepting, or receiving of political contributions)

Further Restricted Civilians …Further Restricted Civilians …MAY NOTMAY NOT::• Take an active role in partisan political management or Take an active role in partisan political management or

political campaigns.political campaigns.• Distribute campaign literature for a candidate for partisan Distribute campaign literature for a candidate for partisan

office. office. • Organize a political rally or fundraiser for a political party.Organize a political rally or fundraiser for a political party.• Hold political party office or be a delegate to a party Hold political party office or be a delegate to a party

convention.convention.• Host a fundraiser for a candidate for partisan office.Host a fundraiser for a candidate for partisan office.

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEScenario 2Scenario 2: : Susan is a career SES employee (further Susan is a career SES employee (further restricted). She has been invited to attend a fundraiser for a restricted). She has been invited to attend a fundraiser for a partisan candidate.partisan candidate. May she attend?May she attend?

SELECT THE POSSIBLE ANSWER:SELECT THE POSSIBLE ANSWER:

She may attend, but she may not volunteer or work for the She may attend, but she may not volunteer or work for the candidate at the fundraising event. candidate at the fundraising event.

She may not attend. Further restricted employees are prohibited She may not attend. Further restricted employees are prohibited from taking an active part in all partisan activities.from taking an active part in all partisan activities.

No

Yes

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer::• Yes is correct! Susan may attend the fundraiser. The Hatch Act expressly Yes is correct! Susan may attend the fundraiser. The Hatch Act expressly

prohibits further restricted employees from taking an active part in partisan prohibits further restricted employees from taking an active part in partisan political management or political campaigns, but mere attendance is not active political management or political campaigns, but mere attendance is not active participation. More specifically, further restricted employees are prohibited from participation. More specifically, further restricted employees are prohibited from engaging in any political activity which is "in concert" with a political party, engaging in any political activity which is "in concert" with a political party, partisan political group or candidate for partisan political office. “In concert” partisan political group or candidate for partisan political office. “In concert” activity is any activity that is sponsored or supported by a political party, partisan activity is any activity that is sponsored or supported by a political party, partisan political group or candidate for partisan political office. Further, these employees political group or candidate for partisan political office. Further, these employees are not prohibited from expressing their personal views at such an event. are not prohibited from expressing their personal views at such an event.

***They may not however, actively participate in any policy planning or political strategy ***They may not however, actively participate in any policy planning or political strategy sessions for candidates for partisan political office or political parties. ***sessions for candidates for partisan political office or political parties. ***

TEST YOUR KNOWLEDGETEST YOUR KNOWLEDGEAnswerAnswer::• No is incorrect! Susan may attend the fundraiser. The Hatch Act expressly No is incorrect! Susan may attend the fundraiser. The Hatch Act expressly

prohibits further restricted employees from taking an active part in partisan prohibits further restricted employees from taking an active part in partisan political management or political campaigns, but mere attendance is not active political management or political campaigns, but mere attendance is not active participation. More specifically, further restricted employees are prohibited from participation. More specifically, further restricted employees are prohibited from engaging in any political activity which is "in concert" with a political party, engaging in any political activity which is "in concert" with a political party, partisan political group or candidate for partisan political office. “In concert” partisan political group or candidate for partisan political office. “In concert” activity is any activity that is sponsored or supported by a political party, partisan activity is any activity that is sponsored or supported by a political party, partisan political group or candidate for partisan political office. Further, these employees political group or candidate for partisan political office. Further, these employees are not prohibited from expressing their personal views at such an event. are not prohibited from expressing their personal views at such an event.

***They may not however, actively participate in any policy planning or political strategy ***They may not however, actively participate in any policy planning or political strategy sessions for candidates for partisan political office or political parties. ***sessions for candidates for partisan political office or political parties. ***

Hatch Act PenaltyHatch Act PenaltyThe Office of Special Counsel (OSC) has exclusive jurisdiction over investigation The Office of Special Counsel (OSC) has exclusive jurisdiction over investigation and enforcement of the Hatch Act rules. and enforcement of the Hatch Act rules.

BEWAREBEWARE!! DoD civilians must scrupulously comply with the Hatch Act restrictions.DoD civilians must scrupulously comply with the Hatch Act restrictions.

PENALTYPENALTY: :

• Political AppointeesPolitical Appointees. . OSC will make a recommendation for discipline to the OSC will make a recommendation for discipline to the White House.White House.

• All OthersAll Others. . RemovalRemoval. . For most employees, the Hatch Act imposes a For most employees, the Hatch Act imposes a presumptive penalty of removal from Federal service for a knowing violation. presumptive penalty of removal from Federal service for a knowing violation. The minimum penalty for a Hatch Act violation is a 30-day suspension without The minimum penalty for a Hatch Act violation is a 30-day suspension without pay.pay.

NOW, A QUICK WORD ONNOW, A QUICK WORD ONPOLITICALPOLITICAL FUNDRAISINGFUNDRAISING

DON’T ENGAGE IN DON’T ENGAGE IN POLITICAL POLITICAL

FUNDRAISINGFUNDRAISINGAuthority to do so is very limited. Authority to do so is very limited.

Seek Ethics guidance first. Seek Ethics guidance first. PLEASE!!PLEASE!!

POLITICAL FUNDRAISINGPOLITICAL FUNDRAISINGGenerally, DoD personnel may Generally, DoD personnel may NOTNOT solicit, accept, or receive solicit, accept, or receive political contributions in either an official or personal capacity, political contributions in either an official or personal capacity, exceptexcept under a narrow exception for Federal unions. under a narrow exception for Federal unions.Employees are prohibited 24 hours a day, 7 days a week (except Employees are prohibited 24 hours a day, 7 days a week (except for the limitation noted above) from soliciting, accepting, or for the limitation noted above) from soliciting, accepting, or receiving political contributions.receiving political contributions.

Points of Contact InformationPoints of Contact Information

• Deputy DAEODeputy DAEO::Mr. Derek Gilman, DSCA, General CounselMr. Derek Gilman, DSCA, General Counsel

• Ethics CounselorsEthics Counselors:: Lt Col Ricou Heaton (Headquarters, ACSS, CHDS, & NESA)Lt Col Ricou Heaton (Headquarters, ACSS, CHDS, & NESA)

CPT Michael Pfeffer (APCSS)CPT Michael Pfeffer (APCSS)MAJ Braulio Mercader (GCMC)MAJ Braulio Mercader (GCMC)

• Program ManagerProgram Manager::Ms. Chandelle K. ParkerMs. Chandelle K. Parker

CONGRATULATIONS!CONGRATULATIONS!You have successfully completed the annual Ethics training module for FY 2013. Thank you for your compliance with the U.S. Government Ethics requirements! To ensure you receive credit for meeting this annual requirement, click the link below to complete the automated email notification as well as obtain a copy of your certificate for your records.

(CLICK HERE)