Ethics Training 2009

Legal Service Command Mission Support Law Branch (LSC-4)(757) 628 – 4192

WHY DO WE NEED ETHICS??

• To maintain the public’s confidence that the Government’s business is conducted with impartiality and integrity.

SAFE HARBOR

Disciplinary action will not be taken against an individualwho obtains advice from a Coast Guard ethics official(after fully disclosing ALL the FACTS), and acts in good faith reliance on that advice.

BUTThere is NO safe harbor for the person who violates a criminal statute.

1. Public service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain.

2. CG employees shall not hold financial interests that conflict with the conscientious performance of duty.

3. CG employees shall not engage in financial transactions using nonpublic Government information or allow the improper use of such information to further any private interest.

4. A CG employee shall not, except as permitted, 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 employees duties.

5. CG employees shall put forth honest effort in the performance of their duties.

6. CG employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government.

7. CG employees shall not use public office for private gain.

8. CG employees shall act impartially and not give preferential treatment to any private organization or individual.

9. CG employees shall protect and conserve Federal property and shall not use it for other than authorized activities.

10. CG employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official Government duties and responsibilities.

11. CG employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.

12. CG employees shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those – such as Federal, State, or local taxes – that are imposed by law.

13. CG 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. CG employees shall endeavor to avoid any action creating the appearance that they are violating the law or the ethical standards set forth in the Standards of Conduct. Whether particular circumstances create an appearance that the law or these standards have been violated shall be determined from the perspective of a reasonable person with knowledge of the relevant facts.

1. Gifts- From Outside Sources- Between employees

2. Conflicts of Interest- Financial Conflicts

3. Seeking Outside Employment/Affiliation- Off-Duty- Post-Government

4. Government Property5. Non-Federal organizations6. Fundraising7. Raffles8. Political Activities

• A Gift is ANYTHING that has Monetary Value, such as meals, paperweights, concert tickets, and services.

• There are Two Types of GiftsA. Gifts from Outside SourcesB. Gifts between Members

1. GIFTS

A. Gifts from Outside Sources General Rules

• Coast Guard members may not accept gifts:

• Offered because of their official position

OR

• From a “prohibited source”

Gifts

Who is a Prohibited Source

• Any person or entity that

– is seeking official action by the CG;– does or seeks to do business with the

Coast Guard;– is regulated by the CG; OR– has interests that may be substantially

affected by the performance or non-performance of your official duties.

Gifts

Official Position Test

Would the gift have been solicited offered given

had the employee NOT held his/her official position?

Gifts

“Gifts” that Result from theExpenditure of Government

Funds• “An employee may not accept for personal

use any benefit to which the Government is entitled as the result of an expenditure of Government funds.” [5 CFR § 2635.204(c)(3)]

• Example: If an office supply store has a policy of giving a “free” briefcase to any customer that buys $1000 of supplies, and your government organization buys $1000 of supplies from the store, the briefcase belongs to the government.

Gifts

Exclusions fromthe Definition of a “Gift”

(not considered gifts, you may accept these items)

• Modest items of food and drink that are not part of a meal (such as coffee, soft drinks, donuts, hors d’oeuvres).

• Items with little intrinsic value that are intended solely for presentation (such as plaques, certificates and trophies).

• Opportunities and benefits offered to the public, to all government employees, or to all military personnel (such as the “military discount” for airlines and hotels).

Gifts

Exceptions To the General Gift Rule

1. $20/$50 Rule2. Gifts From Friends and Family3. Social Invitations from Other Than

Prohibited Sources4. Gifts Based on Spouse’s Activities5. Awards and Honorary Degrees6. Widely Attended Gathering (WAG)

Gifts

You may accept unsolicited gifts up to $20 in value at one time (but never cash or investments).

You may not “buy down” to $20, I.e., pay $5 and then accept a gift worth $25.

Gifts from one source (e.g., one company) can’t exceed $50 in value in a calendar year.

1. $20 / $50 Rule

Gifts

2. Gifts from Friends and Family

• Gifts when clearly motivated by a family or personal friendship, rather than the position of the employee, may be accepted.

Gifts

3. Social Invitations from Other Than Prohibited Sources

• An employee may accept food, refreshments and entertainment at a social event, if• The event is attended by several persons,• The invitation is from a person who is not a

“prohibited source,” and• No fee is charged to any person in attendance.

• Example: a dinner party by a community leader

• BUT, travel and lodging may not be accepted under the social invitation rule. [5 CFR § 2635.204(h)]

Gifts

4. Gifts Based on Spouse’s Activities

• An Executive Branch employee may accept meals, lodgings, transportation and other benefits

• Resulting from the outside business or employment activities of the employee’s spouse

• When it is clear that such benefits have not been offered or enhanced because of the employee’s official position. [5 CFR § 2635.204(e)(1)]

Gifts

5. Awards and Honorary Degrees

• An employee may accept gifts, other than cash or an investment interest, with an aggregate market value of $200 or less if such gifts are a bona fide award or incident to a bona fide award that is given for meritorious public service or achievement by a person who does not have interests that may be substantially affected by the performance or nonperformance of the employee’s official duties

Gifts

6. Widely Attended Gathering (WAG) Rule

• An employee may accept free attendance at an event (conference, seminar, dinner, reception) if:• A large number of persons (20 or more) are

expected to attend the event, and• The employee’s attendance would further agency

programs or operations, and• Attendees have a diversity of views or interests,

and• The gift is from the sponsor of the event (or a

non-sponsor under certain circumstances).

(“Free Attendance” – may include waiver of all or part of a conference or other fee or the provision of food, refreshments, entertainment, instruction and materials furnished to all attendees as an integral part of the event.)

Gifts

B. Gifts Between Employees

• General rule: Federal employees may not give gifts to their superiors.

– There are two exceptions:

1. Occasional gifts2. Special occasion gifts.

Gifts

1. Occasional Gifts

• Federal employees may give gifts to a superior on an occasional basis (e.g., birthday, Boss’ Day, promotion):• Item(s) worth $10 or less (not cash),• Food and/or beverage that is shared in the

office,• Hospitality provided at your home, OR• Item(s) customarily given when receiving

hospitality from your superior (e.g., bottle of wine when boss invites you to dinner).

Gifts

2. Special Occasions

• “Special occasion” means infrequent & significant personal occasions (marriage, baby, illness) or end of sup.-sub. relationship (retirement).

– Gift from an individual: no $ limit, but must be appropriate to the occasion.

– Gift from a group containing subordinates• Gift is generally limited to $300 in market value.• The rule of thumb is don’t ask govt. employees to give more

than $10 however, they may choose to give more than $10.

(Remember all donations are strictly voluntary)

Gifts

What If You Cannot Accept

the Gift?

You must : - Return the Gift to the source through

your legal officer, - If the gift is not practical to return

because it is perishable (i.e. fruit basket or candy) you may seek the CO’s permission to share it with the office or pass it on to the appropriate charity, OR

- Pay the fair market value of the gift and keep it.

Gifts

2. Conflicts of Interest

Conflicts of Interests: General Rule

Outside activities or employment that:

- Offer the employee a financial incentive

AND - MAY conflict with the employee’s

official duties

COI

Conflicts of Interests: General Rule Continued

The following financial interests are imputed to you:

- You, your spouse, or your minor child- Your general partner- An organization in which you are serving

as an officer, director, trustee, general partner or employee OR

- An organization with which you are negotiating for employment, or have an arrangement for future employment.

COI

Criminal Statute 18 USC § 208(a)

OFFICERS or Civilian Employees, are prohibited from participating personally and substantially in an official capacity in any matter that they or any person whose interests are imputed to them has a financial interest, if that particular matter will have a direct and predictable effect on that interest.

ENLISTED are prohibited from this type of participation through a general order, Article 92 of the UCMJ.

COI

Definition Official vs. Personal Capacity

• Acting in your “official capacity” means you are acting on behalf of the U.S. Government.

• Acting in your “personal capacity” means that you are acting as a private citizen.

COI

Participating Personally and Substantially

• Participate Personally – To participate directly. It includes the direct and active supervision of the participation of a subordinate in the matter.

• Participate Substantially – The employee’s involvement is of significance to the matter. Participation may be substantial even though it is not determinative of the outcome of a particular matter. A finding of substantiality should be based not only on the effort devoted to a matter, but also on the importance of the effort.

• Example: Signing a contract for Deepwater.

COI

IMPARTIALITY

CG Employees are required to consider whethertheir impartiality may be questioned wheneverthey:

participate in a matter, involving specific parties (family members or persons you have a covered relationship with), that could affect personal and/or business relationships.

5 CFR § 2635.502

COI

Reasonable Person Test

Ask yourself:Would a REASONABLE PERSON with KNOWLEDGE of all the RELEVANT FACTS, question your impartiality?

COI

Endorsement

• Federal employees may not use their government title or organization name to endorse a non-Federal organization, or its products, services, events, or enterprises. 5 CFR § 2635.702(c)

• Examples of potential violations:• Giving a contractor a quotation to use in its

annual report or other literature,• Writing the forward to a book, OR• Making positive statements about a

professional association in an advertisement for that association.

COI

Stock• Federal employees, including reservists, may not work on

an assignment (e.g., contract, source selection or claim) that affects the financial interests of their spouse, minor child, general partner, or organization that they serve as an officer, director, employee, general partner, or trustee.

• Exceptions: – If the company that issued the stock is directly involved

in a matter that you have been assigned, you may participate in the matter if you own $15,000 or less in holdings in the company.

– If the matter you are assigned doesn’t involve parties, but is a general type of matter focused on the interests of a distinct class of persons, you may work on your assignment if you own no more than $25,000 worth of securities in a company that is part of the class affected by the matter. If you have holdings in more than one company affected by the matter, you can work on your assignment if the combined value of those holdings is no more than $50,000.

COI

Government Employee’s Spouse Working for Contractor

• A Coast Guard member may not work on a government matter involving a contractor that employs his or her spouse if:• Doing so would affect the spouse’s level of

compensation or continued employment with the contractor, OR

• The spouse owns more than $15,000 of the company’s stock, or the spouse has a pension plan that has more than $15,000 of the company’s stock.

• Example: If CDR X’s wife is a CEO for Lockheed Martin and owns $25,000 of stock in the company, CDR X could not work on a matter between the CG and Lockheed Martin.

COI

Representing Others

• Federal employees may not represent individuals, companies or other organizations before any Federal agency.• Applies to officers & civilians (not enlisted)• Applies if representation is compensated (18 USC § 203) or uncompensated (18 USC § 205)• Exception for representing certain relatives

• Exception: You may engage in uncompensated representation of a non-profit organization if a majority of the members are Federal employees or their spouses or children, and if certain other conditions apply. [18 USC § 205(d)]

COI

Assignment of Reservists

• A reservist may not be assigned to duties involving access to:

• Information that would help his or her private employer in an ongoing or future source selection, OR

• Proprietary or confidential information about the competitors of his or her private employer.

COI

Balancing Test

• Balancing test: In the above situations, the supervisor may allow the employee to participate in the matter only if the supervisor determines that the government’s need to have that employee participate in the matter outweighs the appearance problems that would result.

COI

4 Ways to get out of a conflict

• Recusal – You must not participate in that matter

• Divest – To sell off the conflicting interest (usually with stocks)

• Waiver – the potential for a conflict is so remote or inconsequential that the Ethics Official has given a waiver for you to participate in the matter

• Resign – separate yourself from the conflicting position

COI

Confidential Financial Disclosure Report (OGE Form 450)

• You must file OGE Form 450 (or 450A) if you are:• Captain or below, or GS-15 & below, and your

duties involve decision-making or significant judgment in contracting or procurement, OR

• Captain or below, and the commander of a CG installation, base, air station or activity.

• New entrants - must complete and file a CFDR within 30 days after entering such a position.

• Annual Filers – must complete and file the proper form during the month of October.(Note: You will be notified by your servicing legal office prior to the filing date.)

COI

3. Seeking Other EmploymentA. OFF-DUTY/CONCURRENT EMPLOYMENTB. POST-GOVERNMENT EMPLOYMENT

When Are You Considered To Be Seeking Employment?

Negotiations with another concerning possibleemployment (discussions or communications with the intent of reaching agreement regarding employment).

Includes:

• Sending a resume in response to a job offer

• Contact by or through a 3rd party

• Anything less than a flat-out rejection to an offer

5 CFR § 2635.603(b)

SOE

Seeking Other Employment General Rule:

• You may seek employment with any other employer, HOWEVER:

– You are prohibited from participating personally and substantially, in your official capacity, in a government matter in which a company with whom you are seeking employment has a financial interest.

SOE

A. Off-Duty Employment

• Basic Rule: You should not engage in off-duty employment UNLESS you:– Receive prior approval for your off-duty

employment from your CO.

• BUT remember that your off-duty employment can be disapproved if it is prohibited by statute or regulation, would detract from readiness, or would create a security risk.

SOE

Sales to Junior Personnel

• CG members should not enter into business ventures with members who are junior in rank, grade or position.

• CG members, including reservists, may not knowingly solicit, or make solicited sales to, personnel junior in rank, grade, or position, or their family members, on or off duty.

• If there is no coercion or intimidation by the senior employee, the following is permitted:• Retail sales made during off-duty employment, • Sale or lease of non-commercial personal or

real property (such as a car or house), and• Sales made because junior approaches senior.

• Examples: Avon and Partylite

SOE

Govt Employees Receiving Govt Contracts

• Federal contracts (using appropriated funds) may not be awarded to:• A government employee, or• A business concern or other organization

owned or substantially owned or controlled by one or more govt employees. [FAR 3.601]

SOE

Teaching, Speaking & Writing Rule

• CG Members may not receive compensation for teaching, speaking or writing if:

• It’s done as part of their official duties,• They’re invited because of their official position

or the invitation is from a “prohibited source,”• The activity draws on non-public information,

OR• Subject deals with a matter they’re assigned to

now or during the previous 1-year period.

SOE

Teaching, Speaking & Writing Rule (Continued)

• The compensation ban does not apply to:• Teaching course requiring multiple presentations

at elementary/secondary school or college, OR• Teaching, speaking or writing on a subject within

your discipline or inherent area of expertise, based on educational background or experience.

• The ban does not prohibit you from accepting:• Meals furnished as part of the event,• Course materials furnished as part of the event,• A waiver of the fee to attend the event, OR• Travel expenses. [5 CFR § 2635.807(a)(2)(iii)]

SOE

Supplementation of the Salary of a Federal Employee

• 18 USC § 209 prohibits Coast Guard officers and federal civilian employees from receiving supple-ments of pay or benefits from any source other than the United States Government for the performance of official duties, unless specifically authorized by law.

• Example: A company paying a Coast Guard officer a $100 honorarium for a speech that the officer gives as part of his or her official duties.

SOE

B. Post-Government Employment

The Basic Job Hunting Rule• If you are participating personally & substantially

in a “particular matter” that has a direct and predictable effect on a company’s financial interests, then you may not seek employment with the company. [5 CFR § 2635.604(a)]

• A“particular matter” encompasses only matters that involve deliberation, decision, or action that is focused upon the interests of specific persons, or a discrete and identifiable class of persons.

– Examples: a ruling, contract, claim, controversy, charge, or arrest.

SOE

Participating Personally and Substantially

• Participate Personally – To participate directly. It includes the direct and active supervision of the participation of a subordinate in the matter.

• Participate Substantially – The employee’s involvement is of significance to the matter. Participation may be substantial even though it is not determinative of the outcome of a particular matter. A finding of substantiality should be based not only on the effort devoted to a matter, but also on the importance of the effort.

• Example: Signing a contract for Deepwater.

SOE

What rules apply to you when you leave the government:

1. Lifetime Representation Ban

2. 2-Year Representation Ban

3. Senior Employee Restrictions, 1-Year No Contact Rule

4. The Procurement Integrity Act (PIA)

SOE

1) Lifetime Representation Ban

• If a Federal employee participates personally & substantially in a contract, he may go to work for the contractor, but may never act as contractor’s negotiator or representative before any Federal agency on that contract. [18 USC § 207(a)(1)]

SOE

2) 2-Year Representation Ban

• If a Coast Guard member has a matter under his/her official responsibility during his/her last year in the government, he/she may go to work for the employer, but may not, for 2 years, act as that employer’s negotiator or representative before any Federal agency on that matter. [18 USC § 207(a)(2)]

SOE

What is Prohibited by Lifetime & 2-Year Representation Bans

• What is prohibited: communicating with or appearing before any Federal employee, with the intent to influence the employee, regarding the matter that the ban applies to.

• Examples:• Acting as company’s negotiator• Speaking for company in contract dispute• Seeking for the company a discretionary

ruling, benefit, action or approval by the govt. (e.g., a contract claim, modification, ECP, etc.)

SOE

What is Permitted under Lifetime & 2-Year Representation Bans• What is permitted: communicating with or

appearing before Federal employees regard-ing a matter where there is no intent to influence (i.e., merely providing or obtaining information).

• Examples:• Providing purely factual information to

govt. personnel regarding a contract• Requesting from the govt. publicly

available documents related to a contract

SOE

3) Senior Employee Restrictions One-Year No Contact Rule

• “Senior employees” may not, for 1 year, commu-nicate with, or appear before, any employee of their former agency, on behalf of a third party, in connection with any matter on which the third party seeks official action by their former agency.

• The rule (18 USC § 207(c)) applies to:• Admiral / Flag Officers (O-7 to O-10),• SES employees at Levels 5 & 6, and• SES-equivalent employees whose basic rate of

pay (excluding locality-based pay) is equal to or greater than basic pay of SES Level 5.

SOE

4) Procurement Integrity Act

• You may not accept compensation from a contractor for one year if, while working for the Government, you had certain responsibilities or took certain actions relating to a large procurement involving that contractor. Involvement in a contract in excess of $10,000,000 invokes this prohibition. (41 USC § 423 (d)).

MOST IMPORTANTLY

• SEEK Guidance from your Assistant Ethics Official EARLY in the job-search process.

SOE

4. MISUSE OF CG RESOURCES

Basic Rule

• Employees shall not use government property for “other than authorized purposes.” [5 CFR § 2635.704]

A.Use of government vehicles B.Use of the government computers C.Use of government time

D.Disclosure of non-public information

(Resource - COMDTINST 5375.1 – Limited use of government resources)

CG Prop

Employees have a duty to protect and conserve Coast Guard property

and shall not use such property (or allow its use) for other than authorized

purposes.

5 CFR § 2635.704(a)

REMEMBER

CG Prop

Use of Government ResourcesOfficial vs. Personal Capacity

• You generally may use government resources in support of activities done in your official capacity.

• You generally may not use government resources to support your personal activities.

CG Prop

A. Government Vehicles

• You may not use government vehicles for your personal use

• Example: If LT X has a meeting an hour away with the command in E-City, can he use a government car? YES

• On the way back to MLCA from E-city LT X decides to run his errands. Can he do this with the Government car? NO

CG Prop

B. Government Computers

Govt. e-mail may be used for personal communi-cations if supervisor (who is commissioned officer or GS-11 or above) determines:

(1) No adverse effect on performance of duties,(2) Use is of reasonable duration & frequency,(3) Use serves a legitimate public interest,(4) Use does not reflect adversely on the CG,(5) Use does not overburden the system, and(6) Use does not create signif. additional cost.

CG Prop

Government Computers (cont.)

Govt. e-mail may not be used for the following:(1) Sending items in violation of copyright laws(2) Sending e-mail for personal financial gain(3) Misrepresenting your identity or affiliation(4) Sending harassing or offensive material, including humor in poor taste, political or religious lobbying, or pornographic items(5) Using someone else’s userID w/o authority(6) Causing congestion on the network(7) Fundraising outside of the CG

CG Prop

C. Government Time

• CG members must use official time to perform official duties. [5 CFR § 2635.705(a)]

• CG members may not ask or direct their subordinates to use official time for other than official duties. [5 CFR § 2635.705(b)]

CG Prop

D. Disclosure of Non-Public Information

• Employees may not disclose non-public information:

• To further their own private interests, OR

• To further the private interests of another.

• “Non-public information” means information the employee gains by reason of Federal employment, and that he or she knows (or reasonably should know) has not been made available to the general public. [5 CFR § 2635.703]

CG Prop

5. Non-Federal Organizations

Three Ways for Employees to Participate:A) Serving in their official capacityB) Serving as a official liaisonC) Serving in their personal capacity

A) Serving In an Official Capacity

• Serving in a management position (officer, director or trustee) in an official capacity

• Contact your servicing legal office.

NFO

B) Serving as a Liaison

• If it is in the interests of the CG to have a representative at meetings of a non-Federal organization on a regular basis, the command may appoint a CG member as a non-voting liaison to the organization.

• Before appointing a liaison, CO may determine that having a liaison would serve a significant & continuing CG interest.

• Liaisons perform their non-federal organization functions as part of their official duties, and thus can use government resources in doing so.

NFO

Using Your Title & Organization Name In Your Official Capacity

• If you participate in a non-Federal organization event in your official capacity (i.e., as part of your official duties), you may allow the organization to use your official title and organization name in connection with that activity.

• Example: If you will be a speaker at a non-Federal organization conference as part of your official duties (e.g., while TDY), you may allow the organization to mention your official title and organization name in the conference materials.

NFO

C) Serving in a Personal Capacity

• You may participate in a non-Federal organization as a member or in a management position (officer, director or trustee), in your personal capacity. No approval is required.

• However, you may not participate if it is offered to you because of your official position.

• Exception: You may not serve in a management position in a non-Federal organization in your personal capacity, if the position is offered to you because of your CG assignment or position.

NFO

Using Your Title & Organization Name In Your Personal Capacity

• If you will speak at a non-Federal organization event in your personal capacity (i.e., as a private citizen), you may not allow the organization to use your official title and organization name in the materials for the event unless:

• Your official title and organization name are included along with several other biographical details, and

• Your official title and organization name are not given more prominence than other significant biographical details. [5 CFR § 2635.807(b)(1)]

NFO

Active Duty Military Members Referring to Their Rank & Branch of Service

• Active duty military members may always refer to (and allow a non-Federal organization to use) their rank & branch of service when participating in non-Federal organization activities (whether they are participating in their official or personal capacities), but you may not refer to your official position within the Coast Guard.

• Example: When CAPT Smith makes a speech at a non-Federal organization conference in a personal capacity, the conference program:• May say: “ CAPT Dave Smith, USCG”• May not say: “CAPT Smith, Director, MLCA

NFO

Reservists & Military Retirees Referring to Their Rank & Branch of Service

• Reservists. Reservists may use their military titles (i.e., rank & branch of service) in connection with commercial enterprises provided they clearly indicate their inactive Reserve status.

• Military retirees. Retirees may use their military titles in connection with commercial enterprises provided they clearly indicate their retired status.

NFO

Notifying Other Members aboutNon-Federal Organization Events

• You may not officially endorse non-Federal entities, or their products, services or events.

• You may use official channels to notify other members of events of common interest sponsored by non-Federal organizations.

NFO

6. FUNDRAISING

A. Fundraising in your Personal CapacityB. Fundraising in your Official Capacity

A. Fundraising In Your Personal Capacity

• A member may engage in fundraising in his or her personal capacity, but when doing so, he or she may not:• Personally solicit funds or other support from

subordinates or a prohibited source;• Fundraise while on duty;• Wear your uniform while fundraising in a

personal capacity, since that implies CG endorsement of the fundraising activity; OR

• Use (or permit the use of) his or her govt. title or position or authority to further the fundraising effort (but using or allowing others to use your military rank and branch of service is permissible). [5 CFR § 2635.808(c)]

Fundraising

B. Fundraising In Your Official Capacity

• You may only fundraise in an official capacity for:– The Combined Federal Campaign (CFC);– Emergency and disaster appeals approved

by the Office of Personnel Management;– Coast Guard Mutual Assistance and other

military relief societies; and– As approved by the Commandant or the

Secretary of the Department of Homeland Security

Fundraising

Charitable Fundraising

- CO’s may authorize CG personnel or their dependents to engage in charitable fundraising activities in designated PUBLIC areas on CG units. (CO receives advice from the legal division on whether to allow a charitable fundraiser on the command’s premises).

- Organizations composed primarily of CG personnel or their dependents may fundraise among themselves for the benefit of welfare funds for their own members or dependents.

- Examples: CPOA and Spouse’s Association

Remember, you can’t solicit from subordinates!

Fundraising

7. Raffles(MWR Manual, COMDTINST M1710.3A

Chapter 5.C.9.)

• General Rule: Raffles & Lotteries may be authorized on Coast Guard installations, if:

– Legal determination by command legal advisor is given

– Approved by “installation commander”– Conducted by a covered organization: MWR

activity, CPOA, CWOA– Charitable purpose– Complies with federal, state and local laws

8. Political Activities(PERSMAN Chapter 16.C.2.e & f)

• Military members and civilians should avoid any activity that may be viewed as associating the DOD or DHS or any of their components, directly or indirectly with a partisan political cause or candidate.

• Members of the Armed Forces on active duty engaging in permissible political activities shall:– Give full time and attention to the performance of military

duties during prescribed working hours– Avoid any outside activities that may be prejudicial to the

performance of military duties or are likely to bring discredit upon the Armed Forces

– Refrain from participating in any political activity while in military uniform, or using Government facilities or resources for furthering political activities

Anti-Lobbying Rules

• 18 USC § 1913 states that appropriated funds may not be used to favor or oppose any legislation or appropriation pending before the Congress.

• The DOJ has interpreted the statute as prohibiting substantial “grass roots” lobbying, i.e., an appeal by a government organization to members of the public to contact legislators in order to influence pending legislation or appropriations.

PAs

Hatch Act of 1993• An employee who in accordance with the

Hatch Act Reform Amendments of 1993, may take an active part in political management or in political campaigns, may accept meals, lodgings, transportation and other benefits including free attendance at events, when provided, in connection with such active participation, by a political organization described in 26 U.S.C. § 527(e).

• Any other employee, such as a security officer, whose official duties require him to accompany an employee to a political event may accept meals, free attendance and entertainment provided at the event by such an organization.

5 U.S.C. § 7323

PAs

NOTE TO VIEWERS This training presentation was prepared by the Mission

Support Law Branch, Legal Service Command, representing the interests of the United States Coast Guard. The information provided in this presentation summarizes and rephrases federal laws and regulations in order to instruct federal employees on the general nature of Ethics and Standards of Conduct. It is not intended to provide a legal opinion or recommendation. Due to the dynamic nature of the law, these laws and regulations may be impacted by judicial and legislative action that may not be incorporated into the presentation due to limitations of time and resources. Therefore, the information is not controlling if it conflicts in any manner with these laws and regulations. None of it is intended to contravene or supersede any provision of law or other order, directive, or issuance of competent authority. Viewers are encouraged to consult source documents for definitive guidance. Liaison with Coast Guard attorneys, through the chain of command, is strongly encouraged.

YOUR RESOURCES

• COMDTINST 5370.8B – Standards of Conduct• 5 C.F.R § 2635 – Standards of Ethical Conduct

for Employees of the Executive Branch• Uniform Code of Military Justice (UCMJ)• Judge Advocates

YOUR ETHICS OFFICIALS

Mr. Robert Coyle is the Designated Agency Ethics Official for all of the Department of Homeland Security (DHS), and he can be contacted at (202) 447-3515.

RADM William Baumgartner, Judge Advocate General, is the Deputy Ethics Official for the Coast Guard, and he can be contacted at (202) 372-3725.

CAPT Elizabeth Pepper is the Chief of Legal Service Command, and she can be contacted at (757) 628-4192.

Mission Support Law Branch (LSC-4)(757) 628-4192