Encyclopedia of Ethical Failure

235 Pages·1.136 MB·English

by  US

U.S Department of Defense
Standards of Conduct Office

Encyclopedia
1
of Ethical Failure

Revised December 2021

(Bold reflects the most recent cases)

1 DISCLAIMER: The purpose of the document is to disseminate relevant information
and general guidance on Government Ethics issues at the Department of Defense.
This document should not be cited as DoD authoritative guidance, policy or law.
Contents

Introduction ......................................................................................................................... 3
Disclaimer ........................................................................................................................... 3
Abuse of Position ................................................................................................................ 4
Bribery (18 U.S.C. § 201-Type Violations) ...................................................................... 13
Compensation for Representational Services from Non-Federal Sources
(18 U.S.C. § 203-Type Violations) ............................................................................ 37

Conflicts of Interest (18 U.S.C. § 208-Type Violations) .................................................. 45
Credit Card Abuse............................................................................................................. 64
Endorsements……………………………………………………………………………. 73
Financial Disclosure Violations ........................................................................................ 74
Fraud (Violations Not Covered Elsewhere) ...................................................................... 80
Gambling and Other Contest Violations ......................................................................... 101
Gift Violations ................................................................................................................ 103
Involvement in Claims Against the Government or in Matters Affecting the Government
(18 U.S.C. § 205-Type Violations) ........................................................................... 109
Misuse of Government Resources and Personnel ........................................................... 112
Morale, Welfare and Recreation (MWR) Issues............................................................. 154
Political Activity Violations ........................................................................................... 155
Post-Employment Violations (18 U.S.C. § 207-Type Violations) ................................. 168
Salary for Government Work from Non-Government Source
(18 U.S.C. § 209-Type Violations) ......................................... ……………………..185
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
Time and Attendance Violations .................................................................................... 194
Travel Violations ............................................................................................................ 203
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
Introduction
The Standards of Conduct Office of the Department of Defense General Counsel’s Office
has assembled the following selection of cases of ethical failure for use as a training tool. Our
goal is to provide DoD personnel with real examples of Federal employees who have
intentionally or unwittingly violated the standards of conduct. Some cases are humorous, some
sad, and all are real. Some will anger you as a Federal employee and some will anger you as an
American taxpayer.
Please pay particular attention to the multiple jail and probation sentences, fines,
employment terminations and other sanctions that were taken as a result of these ethical failures.
Violations of many ethical standards involve criminal statutes. Protect yourself and your
employees by learning what you need to know and accessing your Agency ethics counselor if
you become unsure of the proper course of conduct. Be sure to access them before you take
action regarding the issue in question. Many of the cases displayed in this collection could have
been avoided completely if the offender had taken this simple precaution.
The cases have been arranged according to offense for ease of access. Feel free to
reproduce and use them as you like in your ethics training program. For example - you may be
conducting a training session regarding political activities. Feel free to copy and paste a case or
two into your slideshow or handout – or use them as examples or discussion problems. If you
have a case you would like to make available for inclusion in a future update of this collection,
please email it to [email protected] or you may fax it to [phone].

Disclaimer

The Encyclopedia of Ethical Failure is intended to sensitize Federal employees to the
reach and impact of Federal ethics statutes and regulations. It is best used to supplement
personal verification of those statutes and regulations. It should not be interpreted as a binding
or authoritative presentation of the law.
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
Note of Special Thanks

We thank the DoD OIG for their case contributions to the Encyclopedia.
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
Abuse of Position

(Abuse of Position)
Free Living
Washington Post, September 24, 2016

A Major General was demoted for having an inappropriate relationship with a junior
officer, which involved calling and texting her over 850 times in a 10 month period. His wife
was supposedly aware of the affair and posted messages regarding cheating on Twitter. Soldiers
filed complaints about concerns for his ability to lead because of the affair. He was formally
reprimanded and forced to retire.

Emails End Three-Star General’s Career
A three-star officer left the Air Force after an investigation found he exchanged “sexually
suggestive” emails with a female officer when both were married to other people. Examples of
the emails included the following statements: “thinking of you often here in Waikiki”; “we
would love it, and you would be in perpetual trouble”; and “My dear and so beautiful, please
know I am thinking of you, and I miss you.” The female officer ultimately divorced her
husband. The investigator concluded that, as a result of the three-star officer’s activities, he
adversely affected the Air Force, helped dissolve a marriage, and eroded good order, discipline
and respect for authority.

Don’t Tell on Me, Or Else!
The Navy denied promotion to an Admiral after Pentagon investigators found that he
illegally demoted or punished three subordinates he thought had reported him for a minor travel-
policy infraction. According to the Washington Post, the Senate put a hold on a civilian
Presidential appointee to be confirmed by the Senate until the Navy agreed that the Admiral
would not be promoted. The Admiral argued that his employees were poor performers, but the
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
DoD Inspector General was not persuaded. The Admiral retired in the grade of 1-star once he
learned he could not be promoted. These cases are also part of a larger investigation.

Subordinates Are Not Babysitters
A supervising attorney received a Letter of Caution for improperly requesting a
subordinate paralegal perform a personal service. The supervisor, an ethics attorney no less,
requested the subordinate paralegal pickup her child from daycare on her way home from work.
The paralegal told investigators that, notwithstanding an emergency, she felt uncomfortable
doing so given the appearance it might generate in the workplace. This was one of only a few
requests spanning over a seven year period, but once is enough given the requirements levied by
5 C.F.R. § 2635.705 that govern use of official time and 5 C.F.R. § 2635.702 prohibiting the use
of private office for public gain.
(Source: Department of Defense, Office of the Inspector General; 2015)

If I Help You Land This Multimillion Dollar Contract, Will You Give Me
a Job?

A former government human resource director was sentenced to two years of probation
for violating conflicts of interest laws, 18 U.S.C. § 208, and lying on his financial disclosure
report. A whistleblower spilled the beans on a polling and market research firm’s price inflation
for government contracts and simultaneously its offer of a six-figure salary to the government
official who was working to expand the firm’s multimillion dollar contract with his agency. The
former official was criminally sentenced to two-years of probation for failing to notify ethics
officials about his employment arrangement with the firm on his financial disclosure report. In a
related civil case, the former employee was barred from future government contracting work and
forced to pay a $40,000 fine. Last but not least, the firm pulled his employment offer after the
news broke.

General Discovers that Military Aides Are Not Supposed to Feed Cats
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
Military officials discovered that a General was misusing Government personnel,
improperly accepting gifts of services from subordinates, and misusing his position. What did he
do? The General used his enlisted aides to help host unofficial functions at his headquarters,
provide driving lessons to a family member, and to feed a friend’s cat. Although the aides were
initially paid with $30-$40 Starbucks gift cards for their services, the General, taking full
responsibility for his actions even though he retired, rectified the misuse and underpayment for
services by retroactively paying the aides almost $2,000.

Misadventures in Hiring Family
Two retired colonels working for a National Guard educational program were found to
have not been impartial in their duties when engaging in family hires. Colonel 1 nicely asked
Colonel 2 to authorize the hiring of Colonel 1’s son as a contractor which Colonel 2 did. Not to
be outdone, Colonel 2 oversaw the hiring of his nephew and brother-in-law as contractors.
Colonel 2 even attempted to get his own son hired as a contractor, but Colonel 2’s supervisor
correctly thought it would be inappropriate. Each colonel was issued a letter of caution to avoid
an appearance of a conflict and they were required to take an annual ethics training course.

Chief Authority
A military service Chief Master Sergeant abused her authority and improperly used a
government vehicle when she employed a government vehicle and three non-commissioned
officers under her supervision to move personal property in a government rental vehicle. The
soldiers helped her for 3 hours. The Chief Master Sergeant was given a verbal warning and
advised of the improper use of government vehicles and the abuse of authority.

Abuse of Position and Bribery
A military service Captain used his official position as a reservist to obtain contracts for
private sector companies with which he had an affiliation. In addition, the Captain accepted a
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
“finder’s fee” (i.e., kickbacks) from one company for his efforts in helping the company obtain
government contract work. For his significant ethical failure, the Captain was “allowed” to retire
at the grade of Commander, though he had been selected to be an Admiral. In addition, the
Captain was debarred for one year, while two of the affiliated companies entered into
administrative agreements (for 3 years) with the military service.

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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”
Coercion by Supervisor
The director of a naval health clinic received a $3,000 loan from a subordinate after
requesting that the subordinate loan him $6,000. The $3,000 apparently wasn’t enough,
however, and the director later asked for $10,000. This time the subordinate declined. After the
director only repaid a fraction of the $3,000, the subordinate approached the chain of command.
In addition to being directed by his commanding officer to repay the rest of the loan, the director
was provided with a written letter of counseling regarding his unprofessional and unethical
conduct.

DoD GS-12 Removed for Misuse of Authority
A GS-12 Recreation Program Manager who supervised approximately 75 civilian and
military subordinates was removed from his position for several ethical violations, including the
failure to avoid the appearance of impropriety. The employee moved into visitors’ quarters on a
military installation where he stayed for six months without paying full price for his room by
pressuring his subordinate to acquiesce to his payment arrangements. He also authorized an
employee to make a $400 agency expenditure to purchase workout clothing for one MWR fitness
instructor. The employee had no reason to believe he had the authority to authorize this
expenditure and should have made inquiry before giving authorization. The administrative law
judge stated that this act “at the very least gives the appearance of impropriety and should have
raised a red flag.”

Business Costs Employee
A former administrator for the Department of Health and Human Services took several
trips on the government’s dime that didn’t look good. The advisor informed the HHS Secretary
that he intended to seek employment in the private sector. The Secretary asked him to stay with
the Department until Congress passed the new Medicare prescription drug benefits plan. The
advisor agreed, but he continued to pursue his job search while serving as a government
employee. While there is nothing wrong with government employees looking for a new job, the
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“The Encyclopedia of Ethical Failure is publicly available for FREE on the DoD
Standards of Conduct Office website at: https://dodsoco.ogc.osd.mil/Ethics-Program-
Resources/Training-Materials/.”