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HomeGeneral CounselEthics

# DLA Ethics

## Topics

                        - Principles of Ethical Conduct    
                        - Gifts    
                        - Financial disclosure    
                        - Post-government employment    
                        - Engaging with industry    
                        - Conflicts of interest    
                        - Travel and Conferences    
                        - Contractors in the workplace    
                        - Fundraising    
                        - Gambling    
                        - Use of government resources    
                        - The Hatch Act    

## Contact Us

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The DLA Designated Agency Ethics Official (DAEO) is the Acting General Counsel, Jon L. Lightner.

The DLA Alternate Designated Agency Ethics Official (ADAEO) is the Acting Deputy General Counsel, Mark Cremin.

----

**DLA HQs employees:** Ethics questions should be directed to:Maria Delimata, Program Manager & DLA Deputy DAEO
                        -    (571) 767- 0081
                        -    (571) 767-6060
                        -    m aria.delimata@dla.mil

----

**Major Subordinate Command or regional command employees:**Contact your supporting legal office (PDF).

## Ethics Video

## 

## 

DLA Director Navy Vice Adm. Michelle Skubic re-enforces the importance of applying ethics to all DLA does. The video can also be viewed on DLA's DVIDS channel.

## Intro to DLA Ethics

DLA is committed to upholding the highest principles and standards of ethical conduct in all that we do. Trust and confidence in DLA is born from ethical behavior, reliability and transparency. DLA strives to provide the highest standard of support to the warfighter and whole of government, while remaining auditable and accountable to the American taxpayer. Compliance with these ethical principles and standards is part of DLA’s core values of dedication to duty, integrity and ethics.

The information on this page is not a substitute for individual advice.  DLA Ethics Counselors should be consulted about specific situations.

DLA HQ Annual Ethics Training Dates for 2023 - Leader Led/Scenario Based (PDF)

For additional information, you can also go to the:
                            - DoD Standards of Conduct Office (SOCO) website  
                            - Office of Government Ethics website  
                            - DLA Employee Standards of Conduct Guide  (PDF)

## Ethics Memos

### Secretary of Defense Memos

                            - Secretary Austin - Reaffirming Our Values and Ethical Conduct - 2021  (PDF)
                            - Secretary Esper - Ethics and Political Activities - 2020  (PDF)
                            - Secretary Esper - Reaffirming Ethics - 2019  (PDF)
                            - Secretary Mattis - Protect (non-public) Information - 2017  (PDF)
                            - Deputy Secretary Shanahan - Engaging with Industry - 2018  (PDF)

### DLA Director Memos

                            - Director VADM Skubic - Leader Led Ethics Training - 2022  (PDF)
                            - Director LTG Williams -Ethics in all We Do - 2018  (PDF)
                            - Director LTG Williams - Fiscal Stewardship - 2018  (PDF)
                            - Director LTG Williams - Ethical Standards - 2018  (PDF)

## DLA Director's Annual Ethics Training Message

"The Defense Logistics Agency is renowned for its credibility – both in its processes and execution. Ethics and our standards of conduct guide all that we do in support of the Warfighter.  The annual ethics training season is upon us and our senior leaders, with the Office of General Counsel, will begin our scenario-based training this month through the fall. Here at Headquarters, we will conduct interactive training through Zoom.gov twice monthly, led by different senior leaders.  If you are a confidential financial disclosure report (OGE Form 450) filer, you must complete the training before November 30, 2023. 

As you conduct your duties,  a few things to always keep in mind:  If receiving personal benefits gained when conducting official duties, ask whether it may be a prohibited gift.  When traveling for DLA or approving travel, take time to ensure the travel is necessary, cost effective, and complies with applicable travel regulations.  If you own stock or trade online, ensure your investments don’t conflict with your duties.  If you have questions, ask your Ethics Counselor before you act.

I encourage all employees to attend and re-acquaint yourself with the rules.  During these sessions, ask questions through the chat and help make this an interesting and relevant training season.

Keep an eye out for messages from your leaders on when these training opportunities will occur."

----

*- DLA Director VADM Michelle Skubic -*

## Principles of Ethical Conduct (Executive Order 12674)

                              - DLA employees must...
                              - DLA employees must NOT...

                                  - Place loyalty to the Constitution, laws, and ethical principles above private gain.  
                                  - Act impartially to all groups, persons, and organizations.  
                                  - Give an honest effort in the performance of your duties.  
                                  - Protect and conserve federal property.  
                                  - Disclose fraud, waste, and abuse, and corruption to appropriate authorities.  
                                  - Fulfill in good faith your obligations as citizens, and pay your federal, state, and local taxes.  
                                  - Comply with all laws providing equal opportunity to all persons, regardless of their race, color, religion, sex, national origin, age, or handicap.        

                                  - Use nonpublic information to benefit yourself or anyone else.  
                                  - Solicit or accept gifts from persons or parties that do business with or seek official action from DOD (unless permitted by an exception).  
                                  - Make unauthorized commitments or promises that bind the government.  
                                  - Use federal property for unauthorized purposes.  
                                  - Take jobs or hold financial interests that conflict with your government responsibilities.  
                                  - Take actions that give the appearance that they are illegal or unethical.    

## Ethics Features

Photo of man underlining the phrase, "Know Your Ethics Rules" with DLA logo in the background.

EnterprisewideMarch 17, 2021

### Employee investments could be a conflict of interest 

## Gifts

                          - In the workplaceRules
                          - In the workplaceExceptions
                          - From outside sourcesRules
                          - From outside sourcesExceptions

**Gifts Between Employees – General rules:**
                              - An employee may not give a gift to a supervisor;  
                              - An employee may not accept a gift from a lower graded employee;  
                              - An employee may not ask another employee to contribute towards a gift for their supervisor or for the other employee’s supervisor.

**Gifts Between Employees – Exceptions:**
                              - The Occasional Basis Exception – Occasions on which gifts are traditionally given or exchanged – $10 rule.  
                              - The Special Infrequent Occasion Exception – Gift appropriate to the occasion, e.g., marriage, birth of a child, retirement,                                  - Total value of group gift is limited to $300, if group includes a subordinate;
                                - If the same person contributes to more than one group gift, the gifts are aggregated for purposes of reaching $300;
                                - All contributions must be strictly voluntary. 

**Rules:**May not accept a gift given because of your official position or from a prohibited source – any person or organization seeking official action, doing or seeking to do business or substantially affected by the performance of your official duties.

**Exclusions:**
                              - Greeting cards and plaques;
                              - Modest refreshments served as other than part of a meal (coffee, donuts, etc., but not alcohol);
                              - Benefits/discounts available to the public, government employees, or all military;
                              - Gifts to the government;
                              - Anything paid for by the government under a contract.

**Exceptions:**
                              - Gifts of $20 or less per occasion, for an annual limit of $50;
                              - Gifts based upon a personal relationship;
                              - Speaking engagements;
                              - Widely attended gatherings;
                              - Social invitations from other-than-prohibited sources.    

## Financial Disclosure

                          - Financial Disclosure (450)
                          - Financial Disclosure (278)

**General Rules:**
                              - File annually after Jan. 1 and before Feb. 15.
                              - Complete annual ethics training by Nov. 30.
                              - Don’t report federal income (salary, military retirement, Thrift Savings).
                              - DLA OGC Policy on Filing Confidential Financial Disclosures .
                              - File or review employee OGE 450 Confidential Disclosure Form .
                              - Guidance for supervisors - Deciding who should file an OGE 450.

**Outside Employment**
                              - Get approval before going to work for a prohibited source.
                              - Get a legal review before seeking outside/post government employment..

                              - Must file OGE 278 by May 15 annually (like your taxes, pertains to previous calendar year’s investments)  
                              - Complete annual ethics training before Nov. 30  
                              - Report sale or purchase of stock over $1000 within 30 days (Stop Trading on Congressional Knowledge (STOCK) Act of 2012)  
                              - Must report to the Office of General Counsel if negotiating for employment within 3 days (STOCK Act)  
                              - File or review employees (SES/GO/FO) OGE 278  
                              - Public may request from Agency Ethics Counselor to review and inspect Public Financial Disclosure Forms using OGE Form 201.

## Post-Government Employment

                          - General rules
                          - Specific terms and references

                              - Don't work on a matter if it involves a company where you have applied for a job.  
                              - When seeking non-federal employment, employees MUST disqualify themselves from official participation in any particular matter that has a direct and predictable effect on the financial interests of entities with whom the employee is discussing future employment.  
                              - Disqualification must be in writing and delivered to, at a minimum, your supervisor and to ethics counsel.  
                              - All OGE Form 450 Filers must go through the legal office before leaving the agency.                                   - Post Government Employment Questionnaire -  DD Form 2945  - Must be filled out before you can receive a written post government employment opinion.  
                                - Employee Guide to Post Government Employment.  
                                - Senior Employee Guide to Post Government Employment .  
                                - Guide for DLA contracting personnel seeking Post Government Employment . 

                              - Permanent (“Lifetime”) Ban:   (18 U.S.C. § 207) – Bars you from representing another before any federal agency or court regarding particular matters involving specific parties in which you participated personally and substantially at anytime during federal service. “Lifetime” means the life of the particular matter (e.g., contract).  
                              - 2-Year Ban:   (18 U.S.C. § 207) – Bars all former employees from representing another before any federal agency or court regarding particular matters involving specific parties that were under their official responsibility during their last year of federal employment.   ​
                              - 1-Year Cooling Off:   (18 U.S.C. § 207) – Bars members of the Senior Executive Service and General and Flag Officers for one year after leaving a senior position from representing another before their former agency to seek official action.                                  - Section 1045, NDAA FY 2018 – SES/GO/FO cannot represent back to all of DoD – Includes behind the scenes work for one (O7-O8 equivalent) or two (O9-O10 equivalent) years.   See DoD Instruction 1000.32 .
                                - Section 847, NDAA FY 2008 – Requires certain procurement personnel to use the DoD After Government Employment Advice Repository (AGEAR) for Post Government Employment Opinions.                                      - AGEAR Info paper.
                                  - File in AGEAR . 
                                - 41 USC § 2101 et. al – Procurement Integrity Act – One year ban for certain procurement officials and prohibitions on use of source selection information. 

## Engaging with industry

                          - Do's and Don'ts

                              - Do  not  grant special access.  
                              - Do  not  endorse.  
                              - Remain impartial – treat all the same.  
                              - Always check with legal and procurement policy:                                  - Is there litigation pending?
                                - Is there an investigation pending?
                                - Is there a solicitation pending with this contractor? 
                              - Push engagement down to the lowest appropriate level.  
                              - Listening is always good – be careful not to promise action.  
                              - Do  not  cross into the contracting officer’s area of responsibility.  
                              - Do  not  disclose non-public information.  

## Conflicts of interest

                          - 18 U.S.C. § 208 (Criminal Statute) 5 C.F.R. § 2640.401, 502

                              - An employee is prohibited from participating personally and substantially in an official capacity in any particular matter in which, to his knowledge, he or any person whose interests are imputed to him has a financial interest, if the particular matter will have a direct and predictable effect on that interest.                                   - Also includes financial interests of general partners of employee and an organization where employee serves as an officer;
                                - Or a company that you are negotiating with for employment. 
                              - This statute and regulation are why we file financial disclosure forms, i.e., OGE Form 450.

## Travel and Conferences

                          - Federal and non-federal conferences

**Non-federal conferences:**
                              - **Chief of Staff Message on Re-entry - Travel and Conferences**
                              - Speaking – Ensure it is appropriate to support – Consistent with DoD mission.                                   - Can accept free attendance on day of speaking if doing so in an official capacity. 
                              - Before providing logistical support (e.g., speaker or use of facilities), to a NFE, must first ask:                                  - Is it appropriate to associate DLA and DoD with this entity?
                                - Is it in DLA's interest to support?
                                - Will it detract from DLA's ability to perform its mission if we provide this support?
                                - Would we treat another entity the same that is similarly situated? 
                              - Remember, we may never endorse a non-federal entity in our official capacity.
                              - Can accept gift of travel if private entity offers to pay – lodging, travel and per diem – but legal opinion and memo from supervisor needed to document accepting on behalf of agency in accordance with 31 U.S.C. 1353.   See DoD Gift of Travel Acceptance Procedures.  
                              - Can speak at DLA expense with no reimbursement when clearly supporting the DLA mission.

**DoD or other government conferences:**
                              - Understand the conference approval process -  DLAI 7600.01 .

## Contractors in the workplace

                          - Working alongside contractors

Protect the sanctity of the source selection process.**Do:**
                              - Let the contractor supervise its employees.
                              - Respect the employer-employee relationship between a contractor and its employees.
                              - Ensure that the contractors in the workplace are clearly identified, and clearly identify themselves as such to others. This will help prevent inadvertent mistakes.

**Do not:**
                              - Become so involved in contractor operations as to shift the risk of performance from the contractor back to the government.
                              - Misuse government resources by misusing contractor time or ordering work to be performed that is outside the scope of the contract.
                              - Give awards or public recognition for their performance.  

## Fundraising

                          - General fundraising guidelines

                              - Generally prohibited in the workplace other than CFC Campaign.  
                              - May conduct limited to “by your own, for your own.”                                  - Must process request through legal and facilities.    ​ 
                              - May conduct ‘in kind’ collections – food, toys or clothes.                                  - Must process request through legal and facilities. 

## Gambling

                          - General gambling guidelines

                              - Prohibited in all Federal Facilities and during the duty day.  
                              - Raffles considered gambling if consideration paid for an opportunity to win a prize.   ​
                              - Office Pools – Such as fantasy football permitted only if:                                  - No use of government resources, including time;
                                - And of course, no money is exchanged – no gambling in workplace. 

## Use of government resources

                          - General guidelines for use of government resources

                              - Use federal government equipment and property, including communications systems, only for official purposes or authorized purposes as approved by your supervisor.   ​
                              - Subject to supervisor approval, you may use government resources for personal purposes IF the use:                                  - Does not adversely affect the performance of official duties; 
                                - Is of reasonable duration and frequency; 
                                - Serves a legitimate public interest (such as keeping the employee at their desk); 
                                - Does not reflect adversely on DoD; and 
                                - Creates minimal or no significant additional cost to DoD.  

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