WELCOME TO THE
OFFICE OF THE
SECRETARY OF
DEFENSE
Annual Ethics Training 2014
Presented by
USUHS/OGC
1
ETHICS TRAINING REQUIREMENT


This training module is intended for designated
personnel at USUHS.
If you are looking for Government purchase card
training, you are in the wrong place. Stop here, and
click on the following links for:
Purchase Card Training:
http://fss.gsa.gov/webtraining/trainingdocs/smartpaytraining/index.cfm
Travel Card Training:
http://fss.gsa.gov/webtraining/trainingdocs/traveltraining/index.cfm

If you are looking for online training to satisfy your
2014 annual ethics training requirement, you have
arrived!
2
INTRODUCTION




This training is modeled from DoD real-world
situations to illustrate potential ethics issues and
their appropriate resolution.
This training qualifies as annual ethics training for
financial disclosure report filers.
If you are not sure you should take this training,
please ask your supervisor or training official for
clarification.
To receive credit for this training, you must submit
the Certificate of Completion to your ethics official or
ethics action officer (training coordinator). The
certificate can only be reached after completing ALL
portions of this training.
3
INSTRUCTIONS



SCREEN RESOLUTION. If you cannot see the entire
slide in your screen, change your zoom level to 75%
from the bottom right corner of your explorer window.
Personnel must complete this training from 08001700 when ethics officials are available to answer
questions.
Contact Your Local Ethics Official - If you have
questions about the content while taking this
training, please contact an ethics counselor at
(301)295-3028.
4
TAKE AWAY!


If you have questions on how the ethics rules may
apply to a particular situation, contact your ethics
counselor before taking action.
The law protects you from disciplinary action for
violating an ethics regulation where you engaged in
conduct in good faith reliance upon the advice of an
ethics counselor, provided you made full disclosure of
all relevant circumstances when seeking the
guidance.
5
TOPICS


Applicable ethics laws and regulations
 Conflict of Interest Statutes
 Other Authorities
Relationship with and Participation in NonFederal Entities (NFEs)
 Official Capacity
 Personal Capacity
Other Implicated Rules
 Post-Government employment rules

6
CONFLICT OF INTEREST STATUTES
STATUTE
BRIEF SUMMARY
18 U.S.C. 201
Bribery
Prohibits public officials from seeking, receiving
or agreeing to accept anything of value for
themselves or others in return for being
influenced in an official act; being influenced to
aid in the commission of a fraud on the United
States; or being induced to do or omit any act in
violation of official duty.
Bars employees from seeking or accepting
compensation for representing another before a
18 U.S.C. 203
Federal department, agency or court in matters
Representation where the U.S. is a party or has a substantial
interest; or receiving money from anyone else’s
representation.
7
CONFLICT OF INTEREST STATUTES
STATUTE
BRIEF SUMMARY
18 U.S.C. 205
Representation
Forbids employees from prosecuting or assisting in
the prosecution of claims against the U.S.; or
representing another before a Federal department,
agency or court in matters where the U.S. is a party
or has a substantial interest.
18 U.S.C. 207
Post-Gov
Employment
Places certain restrictions on representing others
to the Federal government after leaving its
employment.
8
CONFLICT OF INTEREST STATUTES
STATUTE
BRIEF SUMMARY
18 U.S.C. 208
Financial
Conflict of
Interest
Bars an employee from participating personally
and substantially in an official capacity in any
particular Government matter that would have a
direct and predictable effect on his own or his
imputed financial interests.
18 U.S.C. 209
Dual
Compensation
Prohibits employees from receiving any salary or
contribution to or supplementation of salary from
any source other than the United States as
compensation for services as a Government
Employee.
9
OTHER AUTHORITIES

Executive Orders
14 Principles of the Standards of Conduct
 Ethics Pledge for Political Appointees


Ethics in Government Act, as amended.

5 C.F.R., Part 2635 & 3601

DoD 5500.7-R, Joint Ethics Regulation
10
14 PRINCIPLES
 The following slides include the 14 principles
from which the standards of conduct are
derived.
 When in doubt, you should turn to these
principles to determine how to resolve a
situation
11
14 PRINCIPLES
1)
Public service is a public trust, requiring
employees to place loyalty to the Constitution,
the laws and ethical principles above private
gain.
2)
Employees shall not hold financial interests
that conflict with the conscientious
performance of duty.
3)
Employees shall not engage in financial
transactions using nonpublic government
information or allow the improper use of such
information to further any private interest.
12
14 PRINCIPLES
4)
An employee shall not solicit or accept any gift
or other item of monetary value from any
person or entity seeking official action from,
doing business with, or conducting activities
regulated by the employee's agency, or whose
interests may be substantially affected by the
performance or nonperformance of the
employee's duties (except as specifically
permitted).
5)
Employees shall put forth honest effort in the
performance of their duties.
13
14 PRINCIPLES
6) Employees shall not knowingly make
unauthorized commitments or promises
of any kind purporting to bind the
government.
7) Employees shall not use public office
for private gain.
8) Employees shall act impartially and not
give preferential treatment to any
private organization or individual.
14
14 PRINCIPLES
9) Employees shall protect and conserve
federal property and shall not use it for
other than authorized activities.
10) Employees shall not engage in outside
employment or activities, including
seeking or negotiating for employment,
that conflict with their official
government duties and responsibilities.
15
14 PRINCIPLES
11) Employees shall disclose waste, fraud,
abuse, and corruption to appropriate
authorities.
12) Employees shall satisfy in good faith
their obligations as citizens, including
all just financial obligations, especially
those that are imposed by law (such as
paying their federal, state, or local
taxes).
16
14 PRINCIPLES
13) Employees shall adhere to all laws and
regulations that provide equal
opportunity for all Americans
regardless of race, color, religion, sex,
national origin, age, or handicap.
14) Employees shall endeavor to avoid any
actions creating the appearance that
they are violating the law or the
Standards of Ethical Conduct for
Employees of the Executive Branch.
17
DOD SPECIFIC GUIDANCE


Specific guidance for DoD personnel may be found in
DoD 5500.7-R, Joint Ethics Regulation, and at the
DoD Standards of Conduct Office website:
http://www.dod.mil/dodgc/defense_ethics/.
Easy to understand guidance for DoD personnel can
be found in the “Employees’ Guide to the Standards
of Conduct,” which is located in the “SOCO
Publications and Handouts” section of the “Ethics
Resource Library” on the Standards of Conduct
Office website.
18
RELATIONSHIP WITH AND
PARTICIPATION IN
NON-FEDERAL ENTITIES
ASK YOURSELF:
Are you acting in your Official or Personal
Capacity?
19
ETHICS PRINCIPLES IMPLICATED
• You may not use Government property for other than
authorized purposes. 5 C.F.R. § 2635.101(b)(9)
• You may not use public office for private gain.
5 C.F.R. § 2635.101(b)(7)
• You may not give preferential treatment to any
private organization or individual. 5 C.F.R.
§ 2635.101(b)(8)
• You may not participate in official matters that
conflict with personal interests. 5 C.F.R. §§ 2635.402
& 2635.502
• TIP: Do not co-mingle personal and official roles!
20
WHAT OR WHO ARE NFES?

A non-Federal entity (NFE) is generally a self-sustaining,
non-Federal person or organization, established, operated,
and controlled by individuals acting outside the scope of
any official capacity as officers, employees, or agents of the
Federal Government. This includes:






Private corporations (e.g., Defense contractors)
Private organizations (e.g., think tanks and Federally Funded
Research and Development Centers (FFRDCs))
Entities closely linked to DoD or your office (e.g., The Henry
Jackson Foundation, Credit Unions, spousal clubs and
military professional organizations)
Charities (e.g., wounded warrior charities and military relief
societies)
Organizations with Congressional charters (e.g., Red Cross)
Local and State entities
21
ACTING BEFORE AN NFE
22
REPRESENTING DOD TO NFES
Official Capacity


You may represent DoD’s
interest before an NFE
only where SecDef (or his
designee) designates you
in writing as DoD’s
LIAISON to the NFE.
You may informally
attend meetings as a DoD
official without being
DoD’s representative.
Personal Capacity

You may serve as an
officer of an NFE only if it
will not conflict with your
official duties, and does
not require you to
represent the NFE back to
the U.S. Government. You
must do so while off duty
with an approved outside
activity
23
REPRESENTING DOD TO NFES
As a DoD Liaison: (official capacity)

You represent only DoD views & interests (nonbinding)

You may not:


Assist in management or control of the NFE, like
vote as a board member or officer.

Engage in representing the NFE interests to third
parties, especially back to the U.S. Government.
NFE may not identify you on their website
24
ADVISING OR MANAGING NFES
Official Capacity

Never, except in very
rare instances where
DoD statutory
authority permits it
and DoD General
Counsel approves.
Personal Capacity


Permissible, if it does not
create a conflict with your
official duties, provided it
is exclusively outside the
scope of your official
duties, and you were not
invited to serve in this
capacity as a result of your
official position.
TIP: Keep your supervisor
apprised—beware of
violating 18 U.S.C. §§ 203,
205 & 208.
25
ADVISING OR MANAGING NFES
In your official capacity: (RARE!)
 You
may not serve in your official capacity in
the management of an NFE unless the NFE is
a designated entity or serving on the NFE is
authorized by the DoD General Counsel (GC)
and relevant Service Secretary.
 Currently
the only designated entities are the
four military relief societies.
26
ADVISING OR MANAGING NFES
In your official capacity: (RARE!)


Other organizations may be designated upon written request to
the DoD GC if they are non-profit and meet one of the following
criteria: (1) Regulate service academy athletic programs; (2)
Regulate international athletic competitions; (3) Accredited
service academies and other military schools; or (4) Regulate
military health care.
Even if designated, you may not officially manage a NFE unless
authorized by the relevant Service Secretary, in writing, with the
concurrence of DoD GC. The authorization must be specific and
detailed, identifying the entity, the DoD position or individual
designated, and scope of involvement. The authorization must
also be published in the Federal Register.
27
STANDARD SETTING OR
PROFESSIONAL NFES
Official Capacity


SecDef (or designee)
may appoint &
authorize DoD
personnel to hold
fiduciary positions in
Professional or
Standards setting
NFEs.
DoD 4120.24-M
Personal Capacity


In your personal
capacity, you may hold a
fiduciary position with
an NFE if its does not
conflict with your
official duties.
TIP: DoD cautions
against this where
inadvertent violations
are likely—beware of
violating 18 U.S.C. §§
203, 205 & 208.
28
ATTENDING NFE EVENTS
29
ATTENDING NFE EVENTS
Official Capacity

Your supervisor (or an
agency designee) may
authorize your attendance
at an NFE event at DoD
expense if it serves a
legitimate official purpose.
E.g., conference, seminar,
meeting, or training.
Personal Capacity


On your own time and
at your own expense,
you may attend NFE
events in your personal
capacity.
TIP: Beware of
inadvertently appearing
to act in your official
capacity.
30
ATTENDING NFE EVENTS
Official Capacity
Personal Capacity
Example:
 Your supervisor sends
you to an annual
conference, held by a
defense association, to
report back on new
trends and
disseminate DoD
information to private
industry.
Example:
 You may attend the
conference of an
association for which
you are a member
(e.g., a convention
related to a personal
hobby).
31
ATTENDING NFE EVENTS
FACT PATTERN:


Abby is a career Department of Defense (DoD) civil
servant, YA-3 (equivalent to a GS-13). Her position is in a
professional series (like an engineer, contracting officer,
comptroller, or attorney). In her personal capacity, she is
an officer of the InterAgency Group (IAG), a NFE that
discusses emerging issues related to her profession and,
consequently, her official DoD duties. Abby is not
compensated for her work for IAG. There is no charge for
attending the IAG event. When she speaks before IAG, the
speech does not have a direct and predictable effect on the
financial interest of IAG.
NOTE: The same rules apply for active duty service
members unless otherwise specified.
32
ATTENDING NFE EVENTS
FACT PATTERN: (continued)

Question 1: Can Abby be an officer of IAG?
Choose the best answer:
A. No, Abby cannot hold an outside position of any kind.
B. Only if she does so in her official capacity.
C. Maybe.
D. Yes, if she does so in her personal capacity.
Which answer is correct?
33
A. INCORRECT! While certain senior political appointees have restrictions on holding
outside positions or earning outside income, most career (and military) personnel are
permitted to hold non-Federal positions in their personal capacity as long as they
adhere to certain ethical restrictions.
B. INCORRECT! With very few exceptions, DoD personnel are not permitted to be officers
or hold fiduciary duties with a NFE in their official capacity.
D. INCORRECT! While there are few restrictions on the personal activities of DoD
personnel outside the workplace, the criminal statutory authorities impose some limits
where the outside activity impinges or undermines public trust.
C. CORRECT! The general conflict of interest rule on engaging in
outside activities is that you may do so as long as the activity does not
conflict with or interrupt performance of your official duties. 5 C.F.R.
§ 2635; Subpart H. Your supervisor is the appropriate person to assess
whether there is a conflict. You should also be wary of holding
fiduciary positions with NFEs where you may be expected to represent
that entity to the U.S. Government, as this may also violate the
criminal conflict of interest representational restrictions. 18 U.S.C. §§
203 or 205.
34
ATTENDING NFE EVENTS
FACT PATTERN: (continued)

Question 2: Can Abby attend IAG's monthly hour-long
lunch meetings downtown?
Choose the best answer:
A. No, never since her lunch break is only 30 minutes long.
B. Only in her official capacity.
C. Only in her personal capacity.
D. Sure.
Which answer is correct?
35
A. INCORRECT! While the meeting is longer than her lunch break, Abby can request 30minutes of authorized absence from her supervisor to attend the meeting if the absence
meets the requirements of JER 2-301(b). In this instance, Abby's supervisor may consider
granting authorized absence, even if Abby is acting in her personal capacity, because the
activity may have a tangential benefit for her office. Otherwise, Abby must be in the
appropriate leave status. Alternatively, her supervisor may assign her to attend the
meeting in her official capacity if, for example, she is bringing back information for her
office.
B. INCORRECT! This is not the best answer.
C. INCORRECT! This is not the best answer.
D. CORRECT! Abby can request 30-minutes of authorized absence from
her supervisor to attend the meeting if the absence meets the
requirements of JER 2-301(b). In this instance, Abby's supervisor may
consider granting authorized absence, even if Abby is acting in her
personal capacity, because the activity may have a tangential benefit for
her office. Otherwise, Abby must be in the appropriate leave status.
Alternatively, her supervisor may assign her to attend the meeting in
her official capacity if, for example, she is bringing back information for
her office.
36
ATTENDING NFE EVENTS
FACT PATTERN: (continued)

Question 3: Can Abby attend IAG's annual conference to receive training
and certification at DoD expense? The IAG conference will provide in-depth
training on issues related to Abby's profession, but her position does not
require annual training or certification. IAG will provide certification to all
attendees that complete the training.
Choose the best answer:
A. Yes, Abby may attend IAG's annual conference at DoD expense, if she receives
approval from an ethics counselor to attend the conference as part of her official
duties.
B. Yes, Abby may attend IAG's annual conference at DoD expense, if she receives
approval from her supervisor to attend the conference as part of her official
duties.
C. No, Abby is only permitted to attend IAG's annual conference while on leave
because her position does not require this training or certification.
Which answer is correct?
37
A. INCORRECT! While it may be helpful to consult with an ethics counselor before
attending a meeting sponsored by a NFE, an ethics counselor cannot authorize
attendance as a part of your official duties.
C. INCORRECT! Although Abby may attend the IAG annual conference in her personal
capacity, while on leave and at her own expense, this is not the only way she can attend the
event.
B. CORRECT! Supervisors are authorized to permit their employees
to attend meetings, and other similar events, that are sponsored by
NFEs as part of their official duties. For approval to be granted
there must be a legitimate DoD purpose to justify attendance, such
as training or obtaining information of value to the DoD, regardless
of whether Abby's position requires the certification.
38
ATTENDING NFE EVENTS
FACT PATTERN: (continued)

Question 4: What if IAG asks Abby to speak at the conference?
Choose the best answer:
A. If the invitation was sent to her DoD office and addressed using her DoD
position/title, Abby may deliver an official speech if assigned by her supervisor.
During the speech she must convey the DoD message, but, because Abby is also
an IAG officer, she may also convey her personal views if they have been cleared
by the Security Office.
B. If the invitation was sent to her home and addressed to her as an IAG officer,
she may speak in her personal capacity and convey her personal views during the
speech. If her supervisor determines that there is a DoD interest in the speech,
she may attend under official travel orders and on work hours.
C. A & B.
D. None of the above.
Which answer is correct?
39
A.INCORRECT! If Abby is delivering an official speech, she must ensure that she only
conveys DoD's message and not her personal views.
B.INCORRECT! If Abby is delivering the speech in her personal capacity as an IAG
officer, she must attend the conference while on leave and DoD cannot pay for her
attendance. Official travel is not available.
C.INCORRECT! A is incorrect because Abby may not convey her personal views in an
official speech. B is incorrect because Abby must attend the conference while on leave
and DoD cannot pay for her attendance if she is delivering the speech in her personal
capacity as an IAG officer. Official travel is not available.
D.CORRECT! If the invitation was sent to her home and addressed
to her as an IAG officer, she is being asked to present in her
personal capacity. As such, Abby may deliver the speech in her
personal capacity. However she must: Only use her DoD title as
one of several biographical details, given no undue emphasis,
where she also uses a disclaimer (rank and service may be used);
Attend at her personal expense and on leave; and use only public
information in her speech.
40
OTHER IMPLICATED
RULES
41
OTHER ETHICS RULES

Misuse of Position: Do not allow NFEs to use
your official title or position to imply DoD
sanction or endorsement of the NFE, its services
or activities.
E.g., if you are a member or officer of an NFE, do
not allow NFE to use your official photo or DoD
contact information in their membership
directory or website.
42
OTHER ETHICS RULES

Impartiality: Do not take official action which will
financially affect an NFE (including a professional
association or charity) with which you are actively
involved in your personal capacity.
E.g., Do not participate in approving a subordinate’s
attendance (payment of registration) at NFE
conference with which you are personally involved.

TIP: Beware of use of terms like “partnership” & “cosponsorship,” and use of “Memorandum of
Understanding” which imply special status, or DoD
sanction or endorsement of the entity, its services or
products.
43
OTHER ETHICS RULES

Gifts: Unless an exception applies, DoD
personnel may not solicit or accept gifts from
prohibited sources (e.g., DoD contractors which
include many NFEs) or gifts given because of
their position, such as:
Free attendance at conferences
 Free meals or travel related expenses

E.g., NFE offers of travel, free registration for
speaking, etc.
44
OTHER ETHICS RULES



Preferential Treatment: DoD personnel must avoid
giving any NFE preferential treatment.
TIP: If you agree to speak at an NFE event, you
should be willing & able to speak at other similar
events (mission permitting).
TIP: Beware of accepting speaking invitations from
your former employer within a year of your
departure—this could be a personal conflict of interest
as well.
45
OTHER ETHICS RULES

Fundraising: (non-political)

Official Capacity – No fundraising for NFE’s during duty
hours or in the Federal workplace (except CFC).

Personal Capacity – Permitted, but only on personal
time & outside DoD workplace.
E.g., Do not use your DoD email to ask for pledges or
donations to a charitable event in which you are
participating.
46
OTHER ETHICS RULES
Use of:
Official Capacity
Participation
Personal Capacity
Participation
Official
Position or
Title
Yes
No, except with a
disclaimer in limited
instances
DoD Duty
Time
May use duty time
No use of duty time,
unless authorized
DoD
Resources
Yes
No, unless authorized
Non-public
Information
No, unless authorized
No
47
OTHER ETHICS RULES
FACT PATTERN: (continued – other ethics rules)

Question 5: IAG has asked Abby to "chair" their upcoming
annual meeting. As meeting "chair," Abby would be responsible
for coordinating topics and speakers, among other duties. May
Abby accept?
Choose the best answer:
A. No, it sounds too much like management of an NFE.
B. Yes, because "chairing" a single event does not equate to
management of an NFE.
C. Yes, but only if there are no conflicts with her official duties.
Which answer is correct?
48
A. INCORRECT! Abby may participate in management of an NFE in her personal
capacity as long as it does not conflict with her official duties and the opportunity is
not being offered to her because of her official position.
B. B. THIS IS NOT THE BEST ANSWER! While chairing a single event may not equate
to management of an NFE, it is "active participation" in an NFE in the form of "service
as an official of the organization or in a capacity similar to that of a committee or
subcommittee chairperson or spokesperson, or participation in directing the activities
of the organization."
C. CORRECT! Abby is always subject to 18 U.S.C. § 208 and 5 C.F.R.
§ 2635.502 as an officer of IAG. Even if she was not an officer, as the
committee chairperson Abby would be deemed to have a "covered
relationship" with IAG because she would be an active participant in
directing the annual meeting under 5 C.F.R. § 2635.502(b)(1)(v).
Therefore, assuming no conflict is likely to arise between her duties
and this personal activity, she may accept the "chair" position as long
as a reasonable person would not question her impartiality. However,
unless authorized by her supervisor, she must disqualify herself from
any DoD matter that may affect IAG's financial interests (e.g., she
may not approve a subordinate's attendance at the annual meeting if
a registration fee is charged).
49
OTHER ETHICS RULES
FACT PATTERN: (continued – other ethics rules)

Question 6: IAG is seeking to increase membership, which requires
payment of an annual fee. Can Abby send an e-mail to her entire office
encouraging relevant DoD personnel to join IAG?
Choose the best answer:
A. No, Abby cannot send the e-mail.
B. Yes, Abby can e-mail her entire office encouraging them to join IAG.
C. Yes, Abby can e-mail her entire office, but only if she uses her personal
e-mail and makes it clear that she is acting in her personal capacity.
D. Yes, Abby can e-mail her entire office, but only if she is acting in her
official capacity on behalf of DoD.
Which answer is correct?
50
B. INCORRECT! Whether in her personal or official capacity, this raises the potential
for ethical violations.
C. INCORRECT! Even if Abby sends this e-mail in her personal capacity, and no
Government resources are used, it still raises the potential for ethical violations.
D. INCORRECT! Abby has a conflict of interest and must recuse herself from taking
this action in her official capacity, even if instructed to do so by her supervisor.

A. CORRECT! Abby cannot send this e-mail. Remember, as an
officer of IAG, IAG's interests are imputed to Abby under the
financial conflicts of interest rules. 18 U.S.C. § 208. Therefore,
sending an e-mail encouraging her office to join IAG would be
misuse of her position for the private gain of IAG. This would be
especially egregious if Abby is a supervisor. 5 C.F.R. § 2635.702.
Further, it raises the potential for other misuse of position issues,
including improper endorsement or preferential treatment of a
NFE. See JER 3-300. Finally, with limited exceptions, Abby
cannot use Government resources, such as a Government
computer or official time, to support IAG. JER 2-301 and 3-300.
51
OTHER ETHICS RULES
FACT PATTERN: (continued – other ethics rules)

Question 7: Can Abby ask a subordinate to assist in preparing
her speech and materials for her participation at the annual
meeting?
Choose the best answer:
A. Yes, even if it was not in her official capacity, the annual meeting
content will promote Abby's professional development, which will make
her a stronger DoD employee.
B. Yes, but the subordinate must use his free time to help her prepare for
the event.
C. Not unless her supervisor approves.
D. No, she may not use Government resources to support this activity
because she is an officer of IAG.
52
Which answer is correct?
A. INCORRECT! This is not the best answer. While DoD values the professional
development of its personnel, this would not be the appropriate basis for assigning Abby
to give an official speech at IAG's annual meeting.
B. INCORRECT! As a supervisor, it is inappropriate for Abby to ask or require her
subordinate to donate his free time for this purpose is tantamount to soliciting a gift,
and it is always improper. 5 C.F.R. § 2635.302(a)(2).
D. INCORRECT! It is generally true that Government employees may not use
Government resources to support private activities because it would be misuse of
Government resources. 5 C.F.R. § 2635.101(b)(9). However, application of this rule is not
predicated on the fact that she is an officer of IAG.
C. CORRECT! DoD may authorize logistic support of NFE events,
like conferences and annual meetings, in appropriate
circumstances. JER 3-211. If Abby's supervisor determines that the
IAG annual meeting is an appropriate venue for Abby to give an
official speech and assigns her in her official capacity, she may use
Government resources - including administrative support - to
prepare for her speech.
53
OTHER ETHICS RULES
FACT PATTERN: (continued – other ethics rules)

Question 8: What are the rules that apply if Abby uses her
official title in connection with her speech?
Choose the best answer:
A. Whether, and to what extent, Abby may use her official title depends
on whether she is speaking in her official capacity or in her personal
capacity.
B. Abby may not reference her official title in connection with a personal
speech.
C. Abby may not reference her official title in a personal speech unless she
receives supervisory and the Public Affairs approval.
D. Abby may use her official title as long as the speech is related to her
profession, and thus to her official duties.
Which answer is correct?
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B. INCORRECT! This is not the best answer. There are limited circumstances in which
Abby may use her official title even though she is giving a speech in her personal
capacity.
C. INCORRECT! This is not accurate. While Abby should keep her supervisor apprised
of her outside activities that relate to her DoD duties, she is not required to receive
approval to give a personal speech.
D. INCORRECT! Whether Abby may use her official title in connection with a speaking
engagement depends on whether she is acting in her official or personal capacity.
A. CORRECT! If speaking in her official capacity, Abby may
permit the use of her official title as part of factual information,
like an agenda, or other materials as long as her participation is
not used as a "draw" to the event.
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POST-GOVERNMENT
EMPLOYMENT
RESTRICTIONS
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SEEKING POST-GOVERNMENT
EMPLOYMENT



Seeking a new position outside of government
may require you to disqualify yourself from
certain official matters.
All employees should receive ethics advice in
preparation for seeking & post-government
employment.
Additional rules apply to retiring military officers
on terminal or transitional leave—remember you
are still active duty until the effective date of
your separation/retirement.
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POST-GOVERNMENT SERVICE
RESTRICTIONS
Representational Restrictions: 18 U.S.C. § 207. It is a
crime for former DoD personnel to represent—
communicate or appear—on behalf of others, with the
intent to influence, before the Federal Government
(Judiciary, Executive and Legislative Branches) as follows:

Lifetime Ban: Applies to all except enlisted personnel.
Permanently bars former personnel who participated
personally and substantially in particular matters
involving specific parties.
NOTE: Even where one of the bans applies, it does not
preclude employment, accepting compensation, or “behindthe-scenes” assistance, except as otherwise specified.
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POST-GOVERNMENT SERVICE
RESTRICTIONS
Representational Restrictions: (continued)
 2-Year Ban: Applies to supervisors. Bars former
employees for two-years on matters involving
specific parties that were pending under their
responsibility during their last year.

1-year Cooling Off: Applies to senior officials.
Bars certain senior officials from coming back to
their former agency where they are seeking
official action.
NOTE: “Seniors” are flag and general officers, or
employees paid under a Senior Executive Service
level.
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POST-GOVERNMENT SERVICE
RESTRICTIONS
Representational Restrictions: (cont’d) which
prohibit even “behind-the-scenes” advice:


Foreign Entity Ban: Applies to senior officials.
One year restriction on aiding, advising, or
representing a foreign government or political
party with the intent to influence the U.S.
Trade and Treaty Ban: Applies to all except
enlisted personnel. Similar one year restriction
applies to aiding and advising another on trade
or treaty negotiations that you worked on in
your final year of Government service.
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POST-GOVERNMENT SERVICE
RESTRICTIONS
• Exceptions to these restrictions include:
Requests for publicly available documents
o Inquiries re: status of a matter
o Purely social contacts
o Public commentary under certain circumstances—e.g.,
for scientific and technological information or where the
individual has special qualification in a technical
discipline
o
• Reflection: These bans are designed to eliminate or
reduce the appearance that the Government is being
unduly influenced by a former employee.
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POST-GOVERNMENT SERVICE
RESTRICTIONS
• Other Rules: There are additional restrictions for
procurement officials, retiring military members.
Examples:
o
o
o
Certain senior officials who had Procurement Integrity Act
implicating responsibilities must request a post-government
employment letter 30-days before accepting compensation
from a DoD Contractor.
Military members may commence post-service employment
during terminal leave (but not permissive TDY)
Procurement Integrity Act prohibits acceptance of
compensation for certain procurement officials who worked on
contracts valued at or above $10M.
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POST-GOVERNMENT SERVICE
RESTRICTIONS

Ethics Pledge: Applies additional restrictions to
political appointees, who signed the Ethics
Pledge.

2-year Cooling Off: Extends the 1-year cooling off
period another year.

Lobbying Ban: Bans former appointees from lobbying
back to the U.S. Government for the duration of the
current Administration.
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POST-GOVERNMENT SERVICE
RESTRICTIONS
Other Restrictions: Applies to all except enlisted
personnel.


You may not share in compensation for services
performed by anyone to represent someone outside the
government to the government, if the representation
occurred when you were in the government. 18 U.S.C.
§ 203
You may never disclose non-public information
(classified, sensitive, budgetary, procurement etc)
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OTHER ETHICS RULES
FACT PATTERN: (continued – other ethics rules)

Question 9: What if Abby retires from Federal service and starts
work for IAG. Are there any post-government employment rules
that would apply to her as a former GS-13?
Choose the best answer:
A. It is unlikely that the post-government employment rules apply to
Abby.
B. No, Abby was not a procurement official so no restrictions apply.
C. Yes, Abby is likely subject to representation restrictions under 18
U.S.C. § 207.
Which answer is correct?
65


A. INCORRECT! Except for enlisted members of the military, all employees are at
least subject to the post-government employment restrictions on representing
another back to the Federal government under certain instances. E.g., the lifetime
ban for particular matters involving specific parties, on which they participated
personally and substantially during Government service. However, the restrictions
focus on use of influence, so Abby would likely not face restrictions on postgovernment employment if she was working "behind the scenes" or did not have
representational duties for her non-Federal employer.
B. INCORRECT! While Abby may not have been a procurement official, this only
means she may not be subject to the Procurement Integrity Act ban on accepting of
compensation from a contractor. It does not mean that other post-government
employment rules are inapplicable. Except for enlisted members of the military, all
employees are at least subject to the post-government employment restrictions on
representing another back to the Federal government under certain instances. E.g.,
the lifetime ban for particular matters involving specific parties, on which they
participated personally and substantially during Government service.
C. CORRECT! Except for enlisted members of the military, all
employees are at least subject to the post-government employment
restrictions on representing another back to the Federal
government under certain instances. E.g., the lifetime ban for
particular matters involving specific parties, on which they
participated personally and substantially during Government
service.
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CONCLUSION


We hope this training has strengthened your understanding of
the pertinent ethics issues. We also hope you will keep in mind
that, no matter what the ethics issue may be, if you are not sure
what to do, check with your ethics counselor before acting!
OSD Ethics Contacts:
DoD Designated Agency Ethics Official (DAEO) is the
USUHS General Counsel’s Office.
If you have questions, please contact your local legal or
Judge Advocate office for assistance or an ethics counselors at
(301) 295-3028.
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CONCLUSION



The Office of General Council maintains a list of those
who have taken the training and filled out the
presentation completion form. To receive credit for
this training, you must fill out the Ethics
Presentation completion form (links below).
By clicking one of the below links you are certifying
that you properly read and completed the entire
Training Module.
NOTE: You must view this presentation in “Slide
Show” mode to use either of the links below
VIEW AS SLIDESHOW O ACCESS CERTIFICATE LINK
OGC Completion Form
GPC Completion Form
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