STANDARDS OF ETHICAL CONDUCT .8B

Question 1

Who is the OICs source of advice or POC for all ethical related questions?
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Answer 1

Assistant Ethics Official

Question 2

What is the Safe Harbor from Disciplinary Action for Regulatory (non-criminal) Violations?
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Answer 2

Disciplinary action will not be taken against an individual who obtains advice from a Coast Guard ethics official (after fully disclosing all relevant facts), and acts in good faith reliance on that advice, even if that action is later found to constitute a violation of this Manual, the OGE Standards of Ethical Conduct, or applicable DOT Standards of Conduct regulations.

Question 3

What is the GIFTS TO INDIVIDUALS FROM OUTSIDE SOURCES basic rule?
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Answer 3

As a general rule, you cannot solicit or accept a gift that is given to you because of your official position, or that is given to you by a prohibited source

Question 4

WHat is a Gift?

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Answer 4

As a general rule, a gift is anything that has monetary value. A gift can be tangible or intangible. For example, an automobile or forgiveness of debt owed on a car can each be a gift. Free hotel lodging can be a gift.

Question 5

What statute regulates ethics?

Answer 5

5 CFR 2635

Question 6

What is a prohibited source?

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Answer 6

A prohibited source is defined as any person or entity that is seeking official action by the Coast Guard; does or seeks to do business with the Coast Guard; conducts activities regulated by the Coast Guard; or has interests that may be substantially affected by the performance or nonperformance of your official duties. An organization is a prohibited source if a majority of its members would individually be considered a prohibited source.

Question 7

What are (3) examples of exception the GIFTS TO INDIVIDUALS FROM OUTSIDE SOURCES basic rule?
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Answer 7

• Unsolicited gifts with a market value of $20 or less per occasion, aggregating no more than $50 in a calendar year from any one source
• “Free attendance” (but not transportation or lodging) at a “widely attended gathering” or speaking engagement where the agency has determined its interest in the event;
• Food, refreshments, and entertainment at certain social events where the invitation is not from a prohibited source, and no one is charged a fee to attend the event

Question 8

As a rule of thumb what is considered a widly attended gathering?
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Answer 8

20 or more

Question 9

What is the GIFTS BETWEEN EMPLOYEES basic rule?

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Answer 9

You may not give, solicit a contribution for, or contribute a donation for, a gift to an official superior. Also, you cannot accept a gift from a lower-paid employee, unless you and the donor are personal friends who are not in a superior-subordinate relationship

Question 10

what re the two exceptions for the GIFTS BETWEEN EMPLOYEES rule

Answer 10

1 First, gifts may be given to an official superior (and accepted by that superior) on an occasional basis, including any occasion on which gifts are traditionally given or exchanged (e.g., birthday, holiday, Bosses Day). Specifically: a. Items (not cash) with a total value of $10 or less per occasion; b. Food and refreshments to be shared in the office amongst several individuals; c. Personal hospitality provided at a residence; d. Appropriate items given in connection with the receipt of personal hospitality (i.e., a housewarming gift); e. Leave transferred under applicable regulations (other than to an immediate supervisor).
2Second, gifts may be given to an official superior, or accepted from a subordinate or other employee receiving less pay, in recognition of infrequently occurring occasions of personal significance such as marriage, illness, or the birth or adoption of a child; or upon occasions that terminate a subordinate-official superior relationship, such as retirement, resignation, or transfer. These gifts must be appropriate to the occasion. The aggregate value of gifts per occasion must be reasonable; however, there is no dollar limit placed on the aggregate value.

Question 11

Can I solicit contributions for a gift that may be given under one of the above exceptions? 2-8

Answer 11

The rules allow you to solicit voluntary (no pressure or coercion) contributions of “nominal” amounts from fellow Coast Guard personnel for a special, infrequent occasion gift (marriage, birth of a child, illness, retirement, transfer, resignation), or for shared food and refreshments. As a rule of thumb, Coast Guard personnel soliciting voluntary contributions for a gift should generally not ask for more than $10.00 per person, though they may accept an unsolicited contribution exceeding that amount. Members of the donor pool are free to give more or less than the requested amount, or may give nothing at all.

Question 12

What is the CONFLICTING FINANCIAL INTERESTS basic rule?

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Answer 12

If you are an Officer or a civilian employee, you are prohibited by criminal statute, 18 U.S.C. § 208(a), from participating personally and substantially in an official capacity in any particular matter in which, to your knowledge, you or any person or entity whose interests are imputed to you by this statute has a financial interest, if the particular matter will have direct and predictable effect on that interest.

Question 13

Can I sign a letter of recommendation using my official title and letterhead?
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Answer 13

Only if you receive a request for an employment recommendation or character reference that is based upon your personal knowledge of the ability or character of someone you have dealt with in the course of Federal employment, or that you are recommending for Federal employment.

Question 14

what is the CONFLICTING OUTSIDE EMPLOYMENT AND ACTIVITIES basic rule?
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Answer 14

You shall not engage in outside employment or any other outside activity that conflicts with your official duties.

Question 15

What is the SERVICE AS AN EXPERT WITNESS basic rule?

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Answer 15

You shall not serve, other than on behalf of the United States, as an expert witness in any proceeding before a court or agency of the United States in which the United States is a party or has a direct and substantial interest, unless the Coast Guard has authorized your participation. It doesn’t matter whether you are receiving compensation or not.

Question 16

What is the Fund raising Basic rule?

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Answer 16

You may participate in fundraising in an official capacity if, in accordance with a statute, Executive order, regulation or otherwise as determined by the Coast Guard, you are authorized to engage in the fundraising activity as part of your official duties. When authorized to participate in an official capacity, you may use your official title, position and authority. 5

Question 17

What about fundraising activities of groups made up of Coast Guard personnel or their dependents?
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Answer 17

The restrictions on fundraising in the Federal Workplace do not apply to organizations composed primarily of Coast Guard employees or their dependents when fundraising

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among their own members for the benefit of welfare funds for their own members or their dependents. These organizations include but are not limited to the Chief Petty Officers Association, the Coast Guard Officers Association, The Coast Guard Academy Alumni Association, and the Coast Guard Spouses Club. Solicitations by these organizations in the Federal workplace shall be conducted in accordance with the following procedures:
(1) Fundraising by these organizations within the Federal workplace may only be conducted among their own members, for the benefit of welfare funds for their own members or dependents.
(2) Coast Guard personnel shall not personally solicit funds or other support from a subordinate, or use their official position or the authority of their position to further the fundraising efforts of these organizations.
(3) Fundraising shall be conducted in a personal capacity. However, the restrictions above limiting personal solicitation to off-duty and out of uniform do not apply to these solicitations. Any fundraising during business hours should be limited to incidental amounts of time (such as responding to email inquiries, accepting donations delivered in person by a member of the organization, or holding a brief meeting during a meal or coffee break).

Question 18

What about collections that don’t involve money?

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Answer 18

These fundraising rules do not apply to the collection of gifts-in-kind, such as blood donations, food, clothing, books, and toys. However, such collections are still subject to the general provisions of 5 C.F.R. Part 2635, and any other applicable regulations. Commanding Officers may permit the placement of collection boxes in public parts of the command or installation to collect food, clothing, books, toys or other items for charitable purposes. Commanding Officers may grant limited periods of administrative leave to facilitate the collection and distribution of gifts-in-kind

Question 19

What are the 14 general ethics principles?

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Answer 19

1. Public service is a public trust, requiring you to place loyalty to the Constitution, the laws and ethical principles above private gain.
2. You shall not hold financial interests that conflict with the conscientious performance of duty.
3. You shall not engage in financial transactions using nonpublic Government information or allow the improper use of such information to further any private interest.
4. You shall not, except as permitted by subpart B of 5 CFR Part 2635, 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 Coast Guard, or whose interests may be substantially affected by the performance or nonperformance of the your duties.
5. You shall put forth honest effort in the performance of your duties.
6. You shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government.
7. You shall not use public office for private gain.
8. You shall act impartially and not give preferential treatment to any private organization or individual.
9. You shall protect and conserve Federal property and shall not use it for other than authorized activities.
10. You shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official Government duties and responsibilities.
11. You shall disclose waste, fraud, abuse, and corruption to appropriate authorities.
12. You shall satisfy in good faith your obligations as citizens, including all just financial obligations, especially those– such as Federal, State, or local taxes–that are imposed by law.
13. You 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. You shall endeavor to avoid any actions creating the appearance that you are violating the law or the ethical standards set forth in 5 C.F.R. Part 2635. Whether particular circumstances create an appearance that the law or those standards have been violated shall be determined from the perspective of a reasonable person with knowledge of the relevant facts.

Question 20

What are the 5 criteria for the Widely Attended Gathering Exception?
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Answer 20

a. It is expected that a large number of persons will attend the event
b. It is expected that persons with a diversity of views or interests will be present at the event.
c. Your attendance is in the interest of the Coast Guard because it will further Coast Guard programs or operations. Examples include promoting community relations, recruiting, and providing an opportunity for the exchange of views and information between leaders within the Coast Guard and leaders within the maritime industry or profession. Existence of a Coast Guard interest shall be determined by your Assistant Ethics Official.
d. The cost of your attendance at the event (and that for your spouse/guest) will be paid for:
(1) By the sponsor of the event, OR
(2) By someone other than the sponsor (for example, by a contractor where the event is sponsored by an association), if more than 100 people are expected to attend the event, and the gift of free attendance has a market value of $260 or less (or $130 or less per person if your spouse/guest will also receive free attendance). Spouses and guests may be counted in determining whether 100 people are expected to attend.
e. (If Applicable): If your official duties can substantially affect the interests of the person or company who is paying for your attendance, (or the interests of a majority of the members of an association that is paying for your attendance), then you may not accept free attendance unless there is a written finding by your Assistant Ethics Official that the Coast Guard’s interest in your participation outweighs the concern that the gift of free attendance may (or may appear to) improperly influence you in the performance of your official duties. Enclosure (2) is a template that Assistant Ethics Officials may follow for this written finding.

Question 21

Under the Widely Attended Gathering and Speaking Engagement Exception, I Can Accept “Free Attendance” at an Event. What Does that Include?
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Answer 21

Free attendance includes: (1) food, refreshments, entertainment, instruction and materials furnished to all attendees as an integral part of the event, and (2) the waiver of all or part of a conference or other fee.

Question 22

Under the Widely Attended Gathering and Speaking Engagement Exception, I Can Accept “Free Attendance” at an Event. What Does that NOT include
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Answer 22

Free attendance does not include: (1) transportation expenses, (2) lodging, (3) entertainment collateral to the event, or (4) meals taken other than in a group setting with all other attendees.