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Ethics and Standards of Conduct for Inspectors General

This comprehensive guide covers the ethics standards for inspectors general, legal advisors, and ethics counselors. It includes information on where to find ethics standards, roles of the IG and ethics counselor, and how to apply ethics principles. The guide also addresses various ethics principles concerning the use of public positions for private gain, government resources, conflicts of interest, post-federal employment restrictions, and more. References to relevant regulations and codes are provided for further understanding. The guide emphasizes ethical decision-making and the importance of upholding honesty, integrity, and transparency in government service.

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Ethics and Standards of Conduct for Inspectors General

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  1. Ethics and Standards of Conduct for Inspectors General Legal Advisor to The Inspector General DAIG Deputy Legal Advisor

  2. ELO ELO's Enabling Learning Objectives • Describe where to find ethics standards • Explain the roles of the IG and the command ethics counselor • Apply ethics principles

  3. ELO ELO Enabling Learning Objectives 3. Apply ethics principles concerning: • Use of Public Position for Private Gain • Use of Government Communications and Logistical Resources • Non Federal Entities • Travel • Conflicts of Interest • Post-Federal Employment Restrictions • Gifts

  4. References ELO 1 • 5 CFR Part 2635 • Joint Ethics Regulation (DoD 5500.07-R) • AR 25-13 (Telecommunications and Unified Capabilities) • AD 2017-05, SecArmy Travel Policy • JTR • AR 58-1 (Management, Acquisition, and Use of Motor Vehicles) • AR 95-1 (Flight Regulations)

  5. The Ethics Counselor ELO 2 • 1-212 “a DoD employee appointed in writing . . . to provide ethics advice to DoD employees . . . in accordance with this Regulation.” • Is an attorney for the Army • Let the Ethics Counselor interpret the JER – and you investigate!

  6. 5 CFR 2635.107 • “Disciplinary action for violating this part of any supplemental agency regulations will not be taken against an employee who has engaged in conduct in good faith reliance upon the advice of an agency ethics official, provided that the employee, in seeking such advice, has made full disclosure of all relevant circumstances.” • Criminal caveat

  7. Ethical Decision Making • Law & Rules – “Can I take an action?” • An Ethics opinion will provide legal conclusions • Interpretive guidance for legal nuances • Values & Judgment – “Should I take an action?” • Ethics opinion may provide considerations or risk analysis • But subjective judgment is required to determine the propriety of the proposed action • Non-legal considerations: • Public Perception / Optics • Potential Congressional / Media interest • What are the benefits to the Army? What are the Risks?

  8. 5 C.F.R. part 2635“Office of Government Ethics Regulation” • “Code of Federal Regulations” • Applicable to all government employees • Officers only – but JER applies it to enlisted members and Title 32 NG • Supplemented by the JER • https://ecfr.gov/

  9. The 14 Principles • Section 2635.101(b) • (5) “Employees shall put forth honest effort in the performance of their duties.” • (11) “Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.” • (14) “Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the ethical standards set forth in this part. . . . Determined from the perspective of a reasonable person with knowledge of the relevant facts.”

  10. Sample Allegations - • “That MAJ Smith improperly wasted government resources by sending 14 inspectors to conduct the command inspection of the Virgin Islands detachment when only 3 inspectors were necessary in violation of 5 CFR 2635.101(b)(11).” • “That LTC Jones improperly created an appearance of impropriety by hiring his best friend to fill the technical assistant job in violation of 5 CFR 2635.101(b)(14).”

  11. Use of Public Position for Private Gain ELO 3a • 5 CFR section 2635.702 – An employee shall not use his public office for his own private gain, for the endorsement of any product, service, or enterprise, or for the private gain of friends, relatives . . .

  12. Sample Allegation • “That COL Giraffe improperly ordered the AIT class to attend a seminar by the Premier Investment Group, which involved solicitation of its investment products, in violation of 5 CFR 2635.702.”

  13. Joint Ethics RegulationDoD 5500.07-R • Chapter 1 – Purpose, Definitions and General Policy • 1-100 - “Single Source of Guidance”! ** • Punitive portions in bold italics • 1-209 – “DoD Employees” includes • DoD civilians, • active-duty officers and enlisted Soldiers (with exceptions), • NAF, • reservists and NG while performing title 10 or 32 duties • any time member uses NG or reserve title or position ** BUT…must consult 5 C.F.R. Part 2635!

  14. Joint Ethics Regulation – What’s In It? (DoD 5500.07-R, 30 Aug 93, Changes 1-7) • Chapter 1 – Definitions and policy • Chapter 2 - 5 CFR Section 2635 • Chapter 3 – Non-Federal Entities • Chapter 4 – Travel Benefits • Chapter 5 – Conflicts of Interest • Chapter 6 – Political Activities • Chapter 9 – Post-Government Service Employment

  15. Question • The most precise standard to use for unauthorized use of federal communications systems is – • JER 2-301a • AR 25-13, para. 3-2c

  16. Use of Government Communications Resources ELO 3b • JER 2-301a – Use Federal Government communications resources for official use and authorized purposes only.

  17. Use of Government Communications Resources ELO 3b 2-301a – Use Federal Government communications resources for official use and authorized purposes only. • Authorized purposes include brief communications reasonably made at work place or on TDY when they • Do not adversely affect official duty performance • Are of reasonable duration and frequency • Serve a legitimate interest • Don’t reflect adversely on DoD • Don’t overburden communications systems • Long distance is not charged to the government.

  18. Use of Government Communications Resources AR 25-13, paragraph 3-2c • PROHIBITS – • Pornography • Sexually explicit email • Chain email • Commercial Activities • “political transmissions” • “Unofficial advertising, solicitation, or selling” • “Personal use that promotes a particular religion or faith”

  19. Sample Allegation • “That SPC Round improperly used a government communications system to conduct commercial activities in violation of AR 25-13, para. 3-2c.”

  20. Question • Downtown recruiting station leases parking spots from garage • Officer who lives nearby gets permission from superior to park car there full time, avoids paying apartment parking fee • Adequate parking space • ?

  21. Use of Other Government Resources ELO 3b 2-301b – Use of Other Federal Government Resources for official purposes only -- except • Agency designees may authorize limited personal use if: • Does not adversely affect official duty performance • Is of reasonable duration and frequency • Serves a legitimate interest • Doesn’t reflect adversely on DoD • No significant additional cost. • In accordance with support to Non-Federal Entities IAW 3-211

  22. Sample Allegation • “That Ms. Car improperly ordered her subordinate to go to the food mall to get her lunch in violation of DoD 5500.07-R, section 2-301.”

  23. Non-Federal Entities ELO 3c Association of the United States Army National Guard Association of the United States Investment Services Boy Scouts & Girl Scouts

  24. Official Participation in Non-Federal EntitiesMembership and Management 3-201/2 • DoD employees • MAY act as liaisons to NFEs in their official DoD capacities • MAY NOT accept DoD Component membership unless authorized in statute or regulation • MAY NOT participate in the management of non-federal entities (NFEs) in their official DoD capacities

  25. Official Participation in Non-Federal EntitiesCo-Sponsorship 3-206 • Co-sponsorship – Army organizations may co-sponsor a civic or community activity, seminar, or similar event under certain circumstances • NEVER for fundraising or membership drive events! • Commercial Sponsorship – AR 215-1 for MWR events only.

  26. Official Participation in Non-Federal EntitiesEndorsement 3-209 -210 -212 • MAY NOT endorse any NFE • Exceptions specifically listed • CFC • AER • other groups authorized by law or other directives (Boy Scouts, Red Cross, certain banks/credit unions)

  27. Personal Participation in Non-Federal Entities 3-303 • DoD employees may not be used to support the unofficial activity of another DoD employee in support of NFE nor for any other non-federal purpose.

  28. Sample Allegation • “That MG Soandso improperly appointed COL Green as vice-president of the local AUSA chapter in violation of DoD 5500.07-R, 3-202.”

  29. Sample Allegation • “That LTC Tree improperly ordered her subordinates to join the local chapter of AUSA in violation of DoD 5500.07-R, section 3-210.”

  30. Travel References ELO 3d • JTR • JER, Chapter 4 • SecArmy Travel Policy • AD 2017-05 • http://armypubs.army.mil • AR 95-1 • AR 58-1

  31. Travel • Air Travel • Spouse Travel • NTV use

  32. Question • Senior official traveling by commercial air on official business. • Flight is more than 14 hours, non stop. • Entitled to fly first class or business class or coach?

  33. Air Travel • Sec Army Travel Policy – 18 Jan 17 • Commercial coach is “primary mode of transportation used for official travel by all Army officials.” • Premium class travel approval authority = SecArmy or designee • No automatic “14 hour” exception • First-class travel approval authority = SecArmy

  34. Air Travel • Frequent-Flier Mileage (FFM) Credits incurred during official travel are considered personal property as of 2002! • Retroactive – all FFM accrued before this date becomes personal property as well! • Don’t manipulate travel to accrue these benefits!

  35. Air Travel • Paragraph 3g - No wearing uniform if first-/ business-class travel approved. • UNSOLICITED ON THE SPOT upgrades may be accepted, even if in uniform! • No wearing uniform in first-/business-class if based on FFM upgrade.

  36. Air Travel • FW Mil Air: Always seek legal advice! • Approval authorities: Its complicated….generally, SecArmy, Director of Army Staff (DAS), Administrative Assistant to the SecArmy (AASA), or ACOM / ASCC / DRU commanders • RW Mil Air: • See AR 95-1 • NCR exceptions – requires SecArmy approval

  37. Spouse Travel • Official travel at government expense • May be approved when • Actual participation in an unquestionably official function or • National interest/diplomatic benefit or • National interest/public relations benefit • Spouse does not receive per diem • Spouse / family member non-official travel • noninterference (reimbursable) travel • prior approval necessary • Spouse travel in NTVs • space available in NTV already authorized for official business • sponsor present

  38. Spouse Travel • Independent spouse travel – • Attending service-endorsed training and then provides related volunteer service • Attending as a subject-matter expert • Serving as a delegate to an official conference

  39. NTV Use • “Home to work” transportation authorized for SA and CSA – SA approval for anyone else • NTVs for official after-hours functions • installation commander approval • begin and end at place of duty

  40. NTV Use • NTV may not be used to support: • Private social functions • Personal errands • Dependents not accompanied by sponsor • Travel to commissaries, PX, bowling alleys, Officer and NCO clubs, or NAF activities unless on official business or TDY

  41. NTV Use • NTV may be used to support • Official ceremonies • Mandatory appointments • Installation-sponsored sports teams, MWR activities, chaplain programs • Emergency leave transportation • DoD Family Advocacy

  42. NTV Use • TDY exception – NTV use authorized • To and from lodging • Restaurants, PT, barber shop • Religious services • NOT entertainment

  43. NTV Use • Transit to commercial or military terminals • Transporting “official non-DOD visitors invited to participate in DOD activities . . . “ or • Used by individuals authorized D-T-D transportation, • Emergencies/security or • “Terminals are located in areas where other means of transportation are not available or cannot meet mission requirements in a timely manner” or • Authorized in the NCR under AI Number 109 • COST MAY NOT BE THE PRIMARY CONSIDERATION!

  44. NTV Use • AR 58-1, para. 2-5 • Makes regulation punitive • For civilians – incorporates 31 USC 1344 and 18 USC 641 to authorize suspension or more

  45. Government Funded Rental Cars • When TDY: rental vehicles may be used to go: • To and from lodging • Restaurants, PT, barber shop • Religious services • BUT gov’t won’t cover you for “out-of-scope” accidents • Example – wreck at midnight in the parking lot of a bar

  46. Sample Allegation • “That LTC Xray improperly sent a NTV with driver to pick up her spouse from their quarters and drive him to the change of command in violation of AR 58-1.”

  47. Sample Allegation • “That SGT Smith improperly stopped at the AAFES dry cleaners to pick up his laundry while using a unit HMMWV in violation of AR 58-1.”

  48. Conflicts of Interest ELO 3e • 18 USC 208 – • Applies to all federal employees* • Prohibits personal and substantial participation in an official capacity in any particular matter if it will have a direct and predictable effect on the employee’s (or family member’s) financial interest. • Includes negotiation or arrangement concerning prospective employment. • 5-302: Individual waivers are available * Similar prohibitions apply to enlisted and National Guard via JER 5-301

  49. Question • True or False - A commander selling his own car to a subordinate violates the JER.

  50. Conflicts of Interest 5-409: DoD employees shall not solicit or make sales to DoD personnel who are junior in rank, grade, or position, or to their family members on or off duty. • Non-commercial personal or real property exception

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