1 of 34

CAPT Kim Black, JAGC, USN

Staff Judge Advocate

Office of the Superintendent

​

Graduate Education Ethics Training

2 of 34

Objectives

To become familiar with:

​

    • The Principles of Ethical Conduct
      • 14 Foundational Concepts

​

    • The Standards of Ethical Conduct
      • Gifts
      • Political Activities

​

    • Scholarship Benefits / Information

3 of 34

References

  • Joint Ethics Regulation (“JER”)
      • DoD Pub. 5500.07-R w/Ch.1-7 (17 Nov 11)
  • Standards of Conduct
      • DoD Directive 5500.07 of 29 Nov 07
  • Executive Branch and Supplemental Standards of Conduct

- 5 C.F.R. 2635 and 5 C.F.R. 3601

4 of 34

References

    • DoD Directive 1344.10 (Political Activity by Members of the Armed Forces)

​

    • Scholarship related

- 10 U.S.C. 2603

- DoDI 1322.06 (15 Nov 07)

- OPNAVINST 1520.24D (8 Jan 15)

5 of 34

Why?

6 of 34

Why Do We Need �Standards of Conduct?

Ensure federal employees serve the public good, not private interests.

Maintain full faith and confidence of taxpayers.

​

7 of 34

Standards of Conduct �Apply to All DoW Employees

  • Any Civilian officer or employee
  • Any active duty military officer
  • Any active duty enlisted member
  • Any Faculty member
  • Any Student, including a midshipman, of a DoW academy, college, university or school

8 of 34

Particularly Important for You…

  • Away from a “traditional” military base/assignment
    • Requires high level of discipline and character
    • Does not relieve you of any of the responsibilities of being a military officer

​

  • Expected to meet or exceed all Navy standards of appearance, bearing, fitness, and conduct

​

  • Expected to comply with all directives

9 of 34

General Principles of �Public Service

  • Public service is a public trust; place loyalty to the Constitution, laws, & ethical principles above private gain.
  • Act impartially to all groups, persons, & organizations.
  • Give an honest effort in the performance of your duties.
  • Protect and conserve Federal property.
  • Disclose waste, fraud, abuse, & corruption to appropriate authorities.
  • Fulfill in good faith your obligations as a citizen, and pay your taxes.
  • Comply with all laws providing equal opportunity to all persons.

10 of 34

General Principles of �Public Service

  • Don’t use nonpublic information to benefit yourself or anyone else.
  • Don’t solicit or accept gifts from persons or parties that do business with or seek official action from DoD (unless permitted by an exception).
  • Don’t make unauthorized commitments or promises that bind the Government.
  • Don’t use Federal property for unauthorized purposes.
  • Don’t take jobs or hold financial interests that conflict with your Government responsibilities.
  • Don’t take actions that give the appearance that they are illegal or unethical.

11 of 34

Violations

  • May result in disciplinary or corrective action, including criminal prosecution.

12 of 34

�

Gifts

13 of 34

What is a gift?

(Pretty much) anything

of monetary value.

​

​

(e.g., free attendance at dinners and other meals, receptions, sporting events)

14 of 34

Gifts from Outside Sources

General Rules:

​

  1. You may not solicit or coerce the offering of a gift.

​

  • You may not accept a gift given because of your official position, or by a prohibited source, unless an exception applies.

15 of 34

Analysis

1. Should you decline it?

  1. Is it a gift?
    • What is a gift?
    • Are there exclusions / exceptions?

3. If it is a gift, what do you do with it?

​

16 of 34

Should You Decline It?

  • Employees should consider declining otherwise permissible gifts if you believe that a reasonable person would question your integrity or impartiality as a result of accepting it
  • Consider the following factors:
    • High market value?
    • Timing
    • Donor may be substantially affected by something you do or do not do?
    • Does accepting the gift give the donor disproportionate access?

17 of 34

Not a Gift (Exclusions)

  • Anything you pay fair market value for
  • Modest food items and refreshments
  • Greeting cards / items with little intrinsic value
  • Commercial Discounts available to the general public or to all Government or military personnel
  • Rewards and prizes in contests open to the public
  • Attendance and meals at events where employees are presenting information in their official capacity

18 of 34

Gift, but Can Accept (Exceptions)

  • Valued at ≤$20/event; not >$50/year (same source)

🡪 Does not apply to cash!

  • Personal relationship
  • Outside business activities
  • Meritorious public service awards/honorary degrees
  • Attendance, food, & entertainment at a widely-attended gathering (seek Ethics Counselor advice)

19 of 34

Gifts Between Employees

General Rules:

​

      • Subordinates: You may not give to, make a donation toward, or solicit a gift for an “Official Superior”
      • Superiors: You may not accept a gift from a Subordinate

20 of 34

Exceptions to the Rules: �Gifts to Superiors

  • On an occasional basis (holidays/ birthdays), you may give to a superior or receive from a subordinate:
    • Non-monetary gifts of $10 or less
    • Food and refreshments shared in the office
    • Personal hospitality provided at a residence (or an appropriate host/hostess gift)

​

21 of 34

Exceptions to the Rules: �Gifts to Superiors

  • On special, infrequent occasions of personal significance (marriage, illness, births, retirement or transfer), subordinates may:
    • Solicit voluntary contributions ≤$10/person
    • Give an appropriate gift to a superior
  • And superiors may:
    • Accept appropriate gifts and group gifts ≤ $480 from subordinates

​

22 of 34

What if it’s a Gift and�No Exclusion or Exception Applies?

Then…

  • Return the item to the donor
  • Dispose of it if it is less than $100
  • Pay fair market value for it

​

​

23 of 34

​

Political Activities

(DoD Directive 1344.10)

​

24 of 34

Political Activities

  • It is DoW policy to encourage members of the Armed Forced to carry out the obligations of citizenship.
  • However, members on active duty should:

​

    • Not engage in partisan political activity.

​

    • Avoid inferences that their political activities imply or appear to imply official sponsorship, approval, or endorsement

25 of 34

Political Activities

26 of 34

Political Activities –�What can you do?

  • Register, vote, and express personal opinions on political candidates and public issues

​

  • Encourage other military members to exercise voting rights

​

  • Join a political club (even if partisan) and attend political meetings WHEN NOT IN UNIFORM

​

  • Donate to a campaign in personal capacity

​

  • Write letters to the editor expressing personal views – requires a disclaimer!

​

​

​

​

27 of 34

Political Activities -�What can you do?

  • Display a bumper sticker on a member’s private vehicle (although NOT oversized)

​

  • Attend a partisan or nonpartisan political fundraising activity, meeting, rally, or debate, convention, or activity when not in uniform and when no appearance of sponsorship or endorsement can reasonably be drawn.

​

​

​

​

28 of 34

Political Activities -�What can’t you do?

  • Actively participate in partisan political fundraising activities (does not depend whether you are in uniform or not)

​

  • Publish partisan political articles or letters that solicit votes for or against a partisan political party, candidate, or cause (not a letter to editor)

​

  • Participate in any radio, TV, or make a speech as an advocate for or against a partisan political party, candidate, or cause

​

​

​

​

29 of 34

Political Activities -�What can’t you do?

  • Participate in organized efforts to provide voters transportation to polling places is associated with a partisan political party

​

  • Sell tickets for or actively promote partisan political dinners and similar fundraising events

​

  • Display a partisan political sign visible to the public in base housing

​

​

​

​

 

30 of 34

Scholarship Benefits

  • Applicable law and regulations limit the benefits which may be accepted under a fellowship, scholarship, grant, or stipend to an amount not exceeding the cost of attending the same school at Government expense.

​

  • Not authorized to accept excess benefits (in cash or in kind) for benefits which would not be authorized if attending the same school at Government expense

​

​

​

​

 

31 of 34

Scholarship Benefits

  • Authorized use of scholarship funds
    • Tuition
    • Textbooks
    • Fees listed in the institution’s catalog but only if these fees would be paid if attending the same school at Govt. expense

​

  • Non-authorized use of scholarship funds
    • Acceptance of both Navy and Scholarship funds covering same expense (for instance):
      • Room and Board
      • PCS costs
    • Fees for items which would not be funded by a Govt. Scholarship (i.e., clothing, cost of living fees, meals, travel)
    • Compensation (pay, gifts, etc.) for work performed in an assistantships / internships / fellowships which totals more than the cost of tuition and books

​

​

​

​

32 of 34

Internships / Moonlighting

  • Internships / Fellowships Determination

​

    • Non-interference with
      • Year-round full course load
      • Completion of the approved Education Plan in the shortest time possible

​

    • Non-compensation (pay, gifts, etc.) for work performed which totals more than the cost of tuition and books

​

​

​

​

33 of 34

Remember…�

Individual integrity impacts perception of institutional integrity

-------------------------------------

Public Service.

Public Trust.

​

34 of 34

USNA Designated Ethics Officials

Office of the Superintendent

​

Staff Judge Advocate (SJA) / Ethics Counselor

CAPT Kim Black, JAGC, USN

​

Deputy SJA / Deputy Ethics Counselor

LCDR John Corrigan, JAGC, USN

​

sja@usna.edu

USNA Intranet: “SJA Ethics”

​

​