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Ethics Act Training

StartMt. Rainier photo from National Park Service.

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Welcome To Ethics Act Training

Click on the W logo above to watch a 30 second video.The video discusses why, at the University of Washington,

we hold ourselves to a higher standard than the minimal required compliance with the State of Washington Ethics in Public Service Act (Ethics Act).

This course is provided by the University of Washington Office of Internal Audit.

Module 1: Welcome & Introduction

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Note to Testers: Video is in production – not a live link yet. Click the Next button to move ahead.

http://www.washington.edu/

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Course Navigation

This training on the State Ethics in Public Service Act (Ethics Act) training is delivered via fifteen eLearning modules.

The course map is positioned at the left of this screen and at the beginning of each module, with the current module title highlighted for your orientation. The current module title is also located at the top of most screens during progression through the course. Each module title in the navigation pane is also linked directly to its starting page by one click on the title.

The modules may be taken one at a time or all in one sitting, depending on the preferences of the learner. It is estimated the course will take approximately one hour.

The “Next” and “Back” buttons are positioned on the bottom of most pages to move through the course. An assessment question must be answered on some pages in order to move ahead.

We hope this will be an engaging method for learning the topic of the Ethics Act.


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Course Modules1. Welcome & Introduction2. Why the Ethics Act Deserves Your

Attention

3. Conflicts of Interest

4. Financial Interests in Transactions

5. Assisting in Transactions

6. Confidential Information

7. Special Privileges

8. Employment After Public Service

9. Compensation for Official Duties

10. Compensation for Outside Work

11. Honoraria

12. Gifts13. Use of Public Resources for Private

Gain14. Use of Public Resources for Political

Campaigns

15. Ethics Act Training Summary

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Introductory Question

The Washington State Ethics Act applies to all actions related to your official duties whether they happen within your work day or not?

Select an answer below in order to proceed.

True False


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Module 1: Intro to UW Ethics Act Training

Introduction To University of Washington State Ethics Act eLearning Course

The primary purpose of Ethics Act training is to educate all university employees on the Ethics Act and how it impacts you.

The audience for this course includes all faculty, staff, administration, executive leadership, and student employees.

The contents of this course are derived from the laws of the State of Washington regarding the “Ethics in Public Service Act” as written in Revised Code of Washington (RCW) 42.52.

Detailed references to the laws are provided at the end of this course.


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Introduction Continued . . .University of Washington - State Ethics Act eLearning Course

In addition to the training narrative, this course includes other resources in the form of FAQs, Quick Reference Guides, and supporting resource links.

Here is how the assessments work:• Answer questions as they appear throughout the course.• If an answer is not correct, an opportunity is offered, by using the “Back” button, to

review the information then move ahead.• Questions must be answered in order to proceed to the next page of training.

A course completion certification is provided at the end of the course to document your completion.

Next we take a look at an overview of the course objectives.


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Ethics Act Training Expectations

Upon completion of the modules in this course, you will accomplish five objectives:

• understand why compliance with the Ethics Act matters

• acknowledge that you are a public service employee, subject to the Ethics Act

• know when to ask for advice when you are unsure of requirements of the Ethics Act

• know who your Ethics Advisor is

• understand the personal penalties and consequences for a violation


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Let’s Discuss the Ethics Act

Have you heard or been trained about the Ethics Act, a Washington State law?

Did you know that having a good “moral compass” may not help you in complying with the technical requirements of the Ethics Act?

Some people never pay attention to the Ethics Act until it’s too late, therefore, this course is written as a preventative measure to help answer both of these questions.

We will look closer at the first key concept of the Ethics Act by clarifying why the Ethics Act deserves your attention in your role as a university employee.


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The Ethics Act - Core Principles

There are two core areas in which a university employee is governed by RCW 42.52 “Ethics in Public Service Act.” These include:

CONFLICTS OF INTEREST• Personal interest - Preventing personal interests or improper influences from affecting

official decisions

• Gifts - keeping others from buying favor

• Outside Work – getting “extra” or outside compensation for your official duties or for not doing your official duties

USE OF RESOURCES• University Resources – improper use of university money and property

We will discuss these and other key topics as they are codified by the State of Washington and address their specific application to university employees. Even more specifically we will take a look at why this Ethics Act information is of value to you!


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Module 2 Why the Washington State Ethics Act Deserves Your Attention

Module 2: Why the Ethics Act Deserves Your Attention

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Why the Ethics Act Deserves Your AttentionRCW 42.52 defines the Washington State Ethics in Public Service Act.

The Ethics Act does not involve personal morals or beliefs. It is a law, with which we must comply.

It is also key to understand that employee compliance with the Ethics Act is very important to the UW’s success!

Summary Question:Why does the Ethics Act deserve your attention as a University of Washington employee? Answer:The state Ethics Act governs an individual’s activities, not the university’s activities.

The bottom line on the Ethics Act is - if a behavior or activity is prohibited, you may not do it!


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Who Does the Ethics Act Govern?University employees hold a public trust that obligates them, in a special way, to honesty and integrity in fulfilling the responsibilities to which they are appointed or hired. Above all, in that trust is the principle that public office may not be used for:

• Personal gain • Private advantage

Managers and supervisors need to know and do three specific things to assure the Ethics Act is followed. They include:

• Know the basic laws• Make decisions that respect the law• “Walk the talk”

There are special challenges for student employees because their relationship to the university is different in their student and employee capacities. In their role as employees, students must comply with the state Ethics Act. However, students are not governed by the Ethics Act in their student activities.

Compliance with the Ethics Act presents special challenges for most UW employees because the Act does not neatly fit the UW’s education-research mission and culture, specifically:

• The Ethics Act was written with traditional government agencies in mind, and

• Medicine, sports and other activities operate more like businesses than like other government agencies


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UW Employees

UW Managers & Supervisors

UWStudent

Employees

UW Special

Challenges

The State Executive Ethics Board

The members of the State of Washington Executive Ethics Board play an important role in the policy setting and enforcement of the Ethics Act.

The Ethics Board includes the following five members, who are appointed by the governor:• An Exempt State employee • A Classified State employee• A State Auditor nominee• An Attorney General nominee• A Citizen at large

The mission of the board is to promote integrity, confidence and public trust in state government through education, interpretation and enforcement of the Ethics Act.

http://www.Ethics Act.wa.gov


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http://www.ethics.wa.gov/


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Click here to learn what

are the possible

sanctions.

Click here to learn who

investigates.

Click here to learn who is investigated.

Click here to learn what starts an

investigation.

An Overview Of the Ethics Act Enforcement Elements


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are the possible

sanctions.


investigates.



investigation.



• A complaint can come from almost anywhere including:₋ Other employees₋ The public₋ Referrals from the State

Auditor’s Office₋ Newspapers, radio, TV

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are the possible

sanctions.


investigates.



investigation.


• A complaint can come from almost anywhere including:₋ Other employees₋ The public₋ Your computer activities₋ Referrals from the State


• Regulations, investigations, and enforcement are directed at you

• The university cannot stand between you and the Ethics Board

• This training is offered to assist employees in understanding their choices are their responsibility


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are the possible

sanctions.


investigates.



investigation.


• Any or all the following may investigate allegations:₋ State Ethics Board₋ State Auditor’s Office₋ UW Internal Audit₋ UW Human Resources₋ Your UW Supervisor





• The university cannot “stand between” the employee and the Ethics Board

• This training is offered to assist employees in understand their choices are their responsibility

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are the possible

sanctions.


investigates.



investigation.



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• Civil penalty of up to $5,000 per violation

• Letter of reprimand• The university may

suspend or terminate your employment

• Prosecution• Assessment of

damages• Payment of

investigative costs• Action taken by the

violator may be rescinded



• Any or all the following may investigate allegations:₋ State Ethics Board₋ State Auditors Office₋ UW Internal Audit₋ UW Human Resources₋ Your UW Supervisor


• The university cannot “stand between” the employee and the Ethics Board

• This training is offered to assist employees in understand their choices are their responsibility

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Click on folders for actualWashington State Ethics Board

Cases.

Violations of RCW 42.52

Key Learning Points on Why the Ethics Act Deserves Your Attention

• The Ethics Act applies only to individuals.

• Public service means public trust.

• Ethics Act considerations are not limited to hard evidence of doing the right thing. Having the appearance of proper behavior also matters. That is, it must also look like you are doing the right thing.

• Penalties can be substantial.

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Case Study:Employee fined $6,000 for 457 visits to shopping websites on state computers.

Back

Click on folder for actualEthics Board

Case Studies or “Back” button below to review guidelines.

.

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Case Study:Employee fined $6,000 for findings of 457 visits to shopping websites on state computers.

Case Study:Employee fined $500 for email sent to ten co-workers encouraging her co-workers to voice their objections to proposed legislation raising vehicle license fees.


Back



.

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Violations of RCW 42.52Case Study:Employee fined $500 for email sent to ten co-workers encouraging them to voice their objections to proposed legislation raising vehicle license fees.

Case Study:Employee fined $10,000 for working simultaneously for a private non-profit organization during her scheduled state work hours.




Back

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Case Study:Employee fined $500 for email sent to ten co-workers encouraging them to voice their objections to proposed legislation raising vehicle license fees.

Case Study:Employee fined $1,000 for displaying personal business sales brochures; taking orders; receiving and responding to email regarding sales orders at work.



Back



.

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Case Study:Employee fined $6,000 for findings of 457 visits to shopping websites on state computers.

Case Study:Employee fined $500 for email sent to ten co-workers encouraging them to voice their objections to proposed legislation raising vehicle license fees.

Case Study:Employee fined $1,000 for displaying personal business sales brochures; taking orders; receiving and responding to email regarding sales orders at work.


Case Study:Employee fined over $119,000 for multiple infractions including: directing students planning international travel with him to pay money into his personal account and running his own business using state resources.

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The purpose of Ethics Act in public service is to

Compliance with the Ethics Act is measured by

Strict technical compliance with the Ethics Act is important, but

Enforcement of Ethics Act violations includes

Ethics Act deserves your attention asa public services employee because

Compliance is your personalduty and important to the

university’s success.

Matching ExerciseClick once on each gray rectangle and it will match the gray phrase to the correct purple

completion phrase .


You should be careful that your behavior also has theappearance of propriety.

Ensure public trust!

Following the requirementsof the law, regardless of your good

intentions or personal opinion.

Civil penalties up to $5,000 per violation.

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Module 3 Conflicts of Interest

Module 3: Conflicts of Interest

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Conflicts of InterestRCW 42.52.020 governs conflicts of interest.

This RCW section is titled, “Activities Incompatible with Public Duties” (Conflicts of Interest).

Conflicts of interest involve the concepts of personal benefit and/or bias.

Conflicts of interest occur when a potential personal benefit or other outside relationship could influence your judgment on university business. Remember that even the perception of a conflict of interest can be enough to trigger a complaint.


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Key Learning Point on Conflicts of Interest

This RCW states - No university officer nor university employee, may have an interest, financial or otherwise, direct or indirect, or engage in a business, or transaction, or professional activity, or incur an obligation of any nature, that is in conflict with the proper discharge of the university employee’s official duties.

Given this legal requirement, we need to know more about, what constitutes an incompatible activity.

An incompatible activity is any action that may conflict with the proper discharge of official duties. Such activities might include:

• Outside employment• A volunteer activity• Ownership of a private business • Any private activity, relationship, business, etc. that would

impair / conflict with the ability to make decisions on behalf

of the university

Note: Interest in any activity need not be financial for a conflict to occur.


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Mod 3: Self Test for Conflicts of Interests

Self Test for Conflicts of Interest

Ask the following questions as a self test to evaluate the possibility that you are facing a conflict of interest:

Question: Could my personal interests benefit as a result of my official actions?

Question: Could a reasonable person conclude that a private or personal interest impairs my independent and impartial judgment in the exercise of my official duties? Answer: If the answer to either of these is, “Yes”, a STOP sign should illuminate.

Module 1: Welcome & Intrtion Module 3: Conflicts of Interest

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Mod 3: High Road Low Road Conflicts of Interests

Defining Conflicts of InterestSome conflicts of interest are clearly defined in the state's Ethics Act laws. They are:

• Having or acquiring a financial or other interest in a contract, sale, lease, purchase or grant that is under your authority or supervision

• Accepting a payment, gratuity or reward from someone else who has an interest in a contract, sale, lease, purchase or grant under your authority or supervision

• Acting in a university matter or transaction involving a business or organization in which you own an interest, or an entity in which you serve as an officer, agent, employee or member

• Assisting other persons, or sharing in compensation, in transactions involving the university, when you had responsibility for these transactions as a university employee


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Conflicts of Interest Guidelines and Resources

If you perceive the possibility of a conflict of interest you should review the written procedures the university has regarding how to handle conflicts of interest. Options generally include:

• Abstain - step out of the situation entirely if there is an actual or perceived violation.

• Disclose - tell your supervisor about the potential conflict and let them decide whether to remove you from the activity.

• Obtain - a “Conflict of Interest” memorandum. Have your department write a memorandum outlining the conflicts and documenting that you are to be screened from specific information or decision making regarding that particular transaction.

Note: For citations regarding the guidelines, see the resources at the end of this training.


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Conflicts of InterestDilemma Number One

You are the office administrator for a UW department. Your spouse is a partner in an excellent local web design company.

You know her company does great work and charges reasonable prices.

Can you call her company and ask them to help update the department’s web page?

Click on your answer below.

Yes No It depends


Back to Guidelines on Conflicts of Interests

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Conflicts of InterestDilemma Number Two

You teach a university class and have assigned a book you wrote as part of the reading list.

Can you make a profit on the sale of your book from students enrolled in your class?


Yes No It depends



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Conflicts of InterestDilemma Number Three

You are an instructor at UW and you own a “karaoke for hire” company that plays at private parties.

Can you hire several students from your current class to work part-time in your karaoke company?


Yes No It depends



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Conflicts of InterestDilemma Number Four

You won a door prize at a conference you recently attended at university expense.

Can you keep it?


Yes No It depends



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Module 4 Financial Interests In Transactions

Module 4: Financial Interests in Transactions

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Financial Interests in TransactionsRCW 42.52.030 governs financial interests in transactions.

This RCW section prohibits university employees from participating in a university transaction if they have a financial or other interest in the transaction.


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Financial Interest in University Transactions

A financial interest in a university transaction includes when:

• you have a personal interest in a university contract in which you had official involvement

• you receive compensation from any other person beneficially interested in a contract made by you, through you, or by an employee you supervise

• a decision you are about to make puts money into your pocket or the pockets of friends, family or other persons, including a business entity of which you are a partner, board member, managing officer or employee, that constitutes private benefit

Note: You are also prohibited from accepting, directly or indirectly, any compensation, gift or reward from any person who gets a benefit in terms of a contract, sale, lease, purchase or grant.


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Financial Interests in TransactionsScenario One: The Administrator

You administer a UW health facility. Your spouse is in medical sales for a small business that has bid on a contract to provide services to your facility.

How do you handle this situation? Click one of the buttons below next to your answer.

o Delegate the decision to your assistant.

o Recommend that your spouse withdraw the bid.

o Disclose your relationship to your supervisor and decline to participate in the award of the contract.


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Financial Interests in TransactionsScenario Two: The Off-the-Job Board of Directors

You serve on the Board of Directors of your favorite charity. Your charity organization has recently responded to a Requests for Proposal (RFP) that the university published for services needed.

You also sit on the UW departmental committee that reviews RFP submissions and selects the winning bidders.

What should you do? Click the correct answer button.

o The RFP would be helpful to the charity’s mission and therefore is for a good cause, so you don’t have to do anything.

o You must disclose your relationship with the charity and remove yourself from the RFP decision process.

o You only have to disclose your role with the charity and then everything is “above-board”.


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Incorrect Answer !

This is not the correct answer because it is not enough to disclose your financial interest.

You must also remove yourself from the departmental committee selecting the winning bidder.

Click the “Next” button below to move ahead.

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Module 5 Assisting in Transactions

Module 5: Assisting in Transactions

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Assisting in TransactionsRCW 42.52.040 governs Assisting in Transactions.

This provision limits your ability to assist others, directly or indirectly in a transaction involving the university. This section directs that if, at any time, you previously participated in that same transaction, or if the transaction was under your official responsibility within a period of two years preceding the assistance, you can not assist the transaction.

This provision applies whether or not your participation is for compensation.

Once you have made a decision or supervised the team that made the decision you cannot give advice or switch sides and assist the outside interests.


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Key Questions to Ask When Assisting in Transactions

Even though part of your normal duties involves assisting people who conduct business with the university, you must think about certain relationships that could raise problems.

Ask yourself questions about the potential for benefits to yourself and to those with whom you are close.

You may want to “Stop” and take steps to disclose your relationships and remove yourself from the transaction.


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If you answered “Yes” to any of these questions

• Are your family or friends involved?• Are people you previously supervised involved?• Will your personal interests benefit as a result of your

official actions?• Would a reasonable person conclude that a private or personal

interest impairs your independent and impartial judgment in the exercise of your official duties?

• Did you previously participate in the transaction for the external party?

Ask Yourself

Key Questions

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Module 5 Scenario 1

Let’s look at a scenario you might encounter that involves assisting in transactions.

Scenario: Student Seeks Residency

Earlier this year you transferred from the university’s Office of Student Life to a position in the HR office. Your old job involved reviewing students’ applications for residency status, which, if successful, would result in lower tuition rates.

Arnold is a student whose residency application you had reviewed -- and helped reject -- last year. He wants to try again this year and has asked you to help him put together a more persuasive application package.

What should you do?

Help Him!

Decline To Help!


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Module 6 Confidential Information

Module 6: Confidential Information

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Confidential InformationRCW 42.52.050 governs confidential information.

This RCW prohibits a university employee from disclosing confidential information gained through their job or otherwise using confidential information for personal gain or benefit.

Examples include:• Personal information in employees’, patients’ or students’ files

that, if disclosed, would violate a person’s rights to privacy• Test questions, scoring keys and other examination data used

to administer exams, tests, licensing or certifications• Applications for public employment or contracting, including

the names of the applicants, resumes and other related materials

• Residential addresses and residential telephone numbers of employees or volunteers of the university, held in personnel records, employment or volunteer rosters or mailing lists


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Working With Confidential Information

There are three key learning points to understand when working with confidential information in your university position.

They include:

Point One: Do not accept any employment or engage in any business or activity where you might reasonably be expected or persuaded to make an unauthorized disclosure of confidential information.

Point Two: You may not make a disclosure of confidential information or use that information for your personal gain or benefit or to benefit another.

Point Three: You may not intentionally conceal a record if:

• it is considered a public record (e-mail, voice-mail, internet usage, and fax records)

• you are legally required to release the information

However, if a public record was withheld in good faith and later learn this is the wrong thing to do; you then need to send the missing information as soon as possible.


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You are responsible for maintaining confidential files that relate to the potential sale of university real estate.

You become aware of a property sale that would be of interest to your husband’s company. You tell your husband about the property sale at dinner.

This a violation of confidential information.

o True

o False

Confidential Information Assessment Scenario


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Module 7Special Privileges

Module 7: Special Privileges

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Special PrivilegesRCW 42.52.070 governs special privileges.

The Special Privileges rule says that a university employee may not use his or her position to secure special privileges or exemptions for themselves, or their spouse, child, parent or any other person.

Additionally, if you are a supervisor, this means you cannot use your supervisory authority to exempt a subordinate from the Ethics Act if what they are doing is against the law.


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Special Privileges Assessment Scenario

You are a faculty member. The university has a reservation system and charges for use of its classrooms to outside groups.

Your Master Gardener group needs a place to meet on a monthly basis. You use your inside access to bypass the reservation system and let the group use a room, but you do pay for the room.

You are violating the Special Privileges provision.

o True

o False


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Module 8Employment After Public Service

Module 8: Employment After Public Service

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Employment After Public ServiceRCW 42.52.080 governs employment after public service.

The post-university employment restrictions are designed to ensure that a former university employee does not gain personal advantage as a result of decisions or actions made while in public service. Post-university employment restrictions fall into one of three categories, including:

• contract restrictions• beneficial interest restrictions• continuing restrictions

Let’s take a closer look at additional information regarding these three post-employment restrictions.


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Some post-university employment restrictions have no time limit. For instance, you cannot accept a job offer:• if you know or have reason to

believe the offer was intended to influence or reward you during your university employment, and

• if circumstances would lead a reasonable person to believe the offer was made to influence you during your employment.

Additionally, you cannot assist anyone in any transactions in which you formerly participated while at the university.

Overview of Post University Employment Restrictions


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Contract Restrictions

For one year after leaving university employment, you may not accept a job or compensation from a new employer, if:• you were involved in the

university’s negotiation or administration of a contract with your new employer or had any discretionary authority to make decisions regarding such a contract, and• that contract has a $10,000

value, or more, and• your new job duties would

include carrying out the provisions of that contract.

Beneficial Interest Restrictions

For two years after leaving university employment, you cannot have a beneficial interest in a contract or grant you created or administered while working as a university employee.

Continuing Restrictions

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As a university administrator you supervise a $40,000 contract with a local technology company. The technology company offers you $20,000 more a year if you leave your university position now, take a position with them and oversee the contract with the university on which you were you were working.

You cannot accept this offer.

o True

o False

Employment After Public ServiceScenario One


Back to Guidelines on Post University Employment Restrictions

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The hiring manager of the technology company that offered you a position tells you, if you accept their offer now and get a renewal of the contract between them and your university employer before you leave the university, you will get a “sizeable hiring bonus”.

You are free to accept any job with them.

o True

o False

Employment After Public ServiceScenario Two


Back to Guidelines on Post University Employment Restrictions

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Module 9Compensation for Official Duties or Nonperformance

Module 9: Compensation for Official Duties or Nonperformance

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Compensation for Official Dutiesor NonperformanceRCW 42.52.110 governs compensation for official duties and nonperformance.

The provisions in this statute mean you cannot get “extra” or outside compensation for your official duties or for not doing your official duties.

No university employee may, directly or indirectly, ask for or receive any compensation, gift, reward or gratuity from a source for performing or not performing any official duty unless otherwise authorized by law.

Employees of institutions of higher education may be exempt from this restriction if the additional compensation originates from one of the following sources:

• a government entity• a agency or instrumentality of a government entity• a non-profit organized for the benefit and support

of the institution• a state agency in an agreement with the university


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You are a student employee who is responsible for issuing parking citations. Your health sciences instructor often parks in the visitor reserved slots when he is in a hurry. He tells you that he will introduce you to a major employer if he does not receive any more parking citations this quarter. You overlook those parking violations in the future.

You are in violation of this provision.

o True

o False

Compensation for Official Duties or NonperformanceScenario One


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In your job as a Copy Center cashier, you process credit card payments from customers.

A major bank sends you a $50 reward for returning a credit card that has been revoked.

You certainly can keep the reward.

o True

o False

Compensation for Official Duties or NonperformanceScenario Two


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Module 10Compensation for Outside Work

Module 10: Compensation for Outside Work

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Compensation for Outside WorkRCW 42.52.120 governs compensation for outside work and activities.

In combination with university policy this law establishes restrictions and approval requirements for outside work and work for other state agencies.

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Outside Work by University Employees

An additional concern for university employees is the issue of taking on “outside employment”. It is a complex issue and has many facets about which employees must be aware. We have created a quick reference guide, on the following page, to assist in understanding the considerations involved in ensuring that any outside work (including self employment) will be in compliance with an employee’s role in public service while at the university.

Module 13: Use of Public Resources for Private Gain

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Master Gardener

Mechanic

Preschool Teacher Soccer Coach

Consultant

ConstructionAccountant

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Conditions

A Quick Reference Guide to Outside Work Employees may engage in outside work when . . .


•The work can not be a detriment to university obligations•It does not affect the university job performance•It is not in conflict with discharge of official duties•It is done outside the employee’s normal work schedule or vacation taken•The work does not result in unauthorized disclosure of confidential information•It is clearly identified that the employee is not a representative of the university•The work is legitimate and actually performed•The work is not part of regular university work, or under the employee’s supervision•The work cannot assist others with university transactions under the employee’s control•The work is not for an organization or person from whom the law prohibits receipt of gifts•You receive an advance review and approval for outside consulting or employment that is required whenever the activity relates to or could conflict with the employee’s university job responsibilities or status as a university employee

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•Outside employment must be approved whether the work is for compensation or not

Pre-approval

•For faculty, Academic HR approves

•For all other employees, final review and approval must be recommended by the immediate supervisor to the Administrative Unit Head

Who Approves

•Form 1301 “Request for Approval of Outside Work for Professional and Classified Staff must be completed and submitted•Faculty, librarians, and academic staff are required to follow an alternative process

Advance Review Form

•If the outside work is for another state agency, all the “Outside Work for Pay” rules apply, plus:•It must result from an open competition or receive advance approval from the Ethics Board

•A copy of the contract is to be filed with the Ethics Board

Work for Another State Agency

Click here to see full detail

http://www.washington.edu/admin/acadpers/faculty/outside_profwork.html

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You administer an art program for the university that awards grants to artists for public art projects. Since you are also an artist, you submit an application for a grant from the university and successfully receive one for $1000.

Yes, you can accept the grant.

o True

o False

Compensation for Outside WorkScenario One


Back to Guidelines on Compensation for

Outside Work

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You are a renowned faculty member in the UW School of Environmental and Forest Sciences and an expert on state wetlands.

You are invited to teach a course on preserving endangered habitats at the local Sierra Club.

You can accept this invitation to teach the wetlands course.

o True

o False

Compensation for Outside WorkScenario Two


Back to Guidelines on Compensation for

Outside Work

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Module 11Honoraria

Module 11: Honoraria

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HonorariaThe laws on honoraria are governed by RCW 42.52.130.

This section of laws states that a university employee cannot receive an honorarium except where it complies with university policy.

"Honorarium" and "Honoraria" as used in this policy, mean money or a thing of value offered to a University employee for a speech, appearance, article, or similar item or activity in connection with the University employee's official role.

Honoraria may also include money or a thing of value offered to University employees serving on scholarly or advisory bodies related to their academic work, public commissions, boards of philanthropic organizations, review panels, accreditation teams or similar activities.

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Limitations on Honoraria

The university may not permit honoraria under the following circumstances:

• The person offering the honorarium is seeking or is reasonably expected to seek contractual relations with, or a grant from the university and the employee is in a position to participate in the terms or the award of the contract or grant;

• The person offering the honorarium is regulated by the university and the employee is in a position to participate in the regulation; or

• The person offering the honorarium• Is seeking or opposing or is reasonably likely to seek or

oppose enactment of legislation or adoption of administrative rules or actions, or policy changes by the employee or the university, and;• The employee may participate in that enactment or

adoption.

For more information on the university’s policies on honoraria click the University Policy Directory graphic linked website above, to see all aspects governing honoraria.


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http://www.washington.edu/admin/rules/policies/PO/EO43.html

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Module 12Gifts

Module 11: Gifts

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GiftsRCW 42.52.140 governs gifts offered to university employees.

We will look at the key learning points regarding gifts in several different ways.

They include:• A broad definition of gifts• Limitations on gifts

There are two types of employees:• Section 4 Employees:

are those who participate in the acquisition of goods and services for the university• Non-Section 4 Employees:

are those who DO NOT participate in university decisions to acquire goods and services

NOTE: “Participate” means to take part personally and substantially through registering approval, disapproval, decisions, recommendations, the rendering of advice, investigations or otherwise.

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A Broad Definition of GiftsA gift is anything with an economic value for which you have given nothing in return.

The General Rule About GiftsNever accept a gift, gratuity, or anything of value if it could be reasonably expected to influence your judgment or action.

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Module 12: Gifts

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A Quick Reference Guide on Gifts

To summarize, we provide a quick reference guide on the key learning points regarding gifts to university employees on the next page.

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Limitations on Gifts – A Quick Reference Guide

Gifts you may acceptif

You Are Not a Section 4* Employee

Gifts you may acceptif

You Are a Section 4* Employee

• Informational materials, promo items of nominal value, and other items up to value of $50 from a single source in a calendar year• Items you may accept that exceed $50 are

unsolicited flowers or plants• Items exempt from definition of “gift” are:

• Items from friends or family• Items exchanged with co-workers

• Gifts from friends and family clearly not intended to influence the university• Awards and prizes in recognition of academic or scientific

achievement• Promo items of nominal value• Items related to the outside business of the recipient

which are customary and not related to the recipient’s performance of official duties

Rules About Free Food and Beverage• All employees, including Section 4, can generally accept free food and beverage at hosted receptions related to the

employee’s official duties or at civic, charitable, governmental, and community events.• That does not include a “sit down meal”.• Section 4 employees cannot accept any food or drink – not even a donut – from a person who you regulate or who

wishes to do business with you in the ordinary course of university business.• Non Section 4 employees can usually accept a “sit-down meal” if it is related to the employee’s official duties.

Notes:

• Items not considered gifts are listed in RCW 42.52.010 . Click here and scroll down to see January 2012 update.• The value of gifts given to an employee’s family shall be attributed to the employee for the purpose of determining whether the limit has been exceeded,

unless an independent business, family, or social relationship exists between the donor and the family member.

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*Section 4 Employees are those who participate in the acquisition of goods and services for the university.

http://apps.leg.wa.gov/RCW/default.aspx?cite=42.52.010

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Question:Your office recently hosted a group of visitors from a technology company. The visitors later sent your office group a thank you gift for doing a nice job of hosting them.

You can keep the thank you gift.

o Yes

o No

o It depends!

GiftsAssessment Scenario One

Module 12: Gifts

Back to Guidelines on Acceptance of Gifts

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Correct Answer !

The correct answer is “It depends!”• If the gift is for official UW use, no problem• If the gift was for individuals, the individuals may accept if the value is less than $50• Of course, for any employee that has a Section 4 relationship to the giver, only a few kinds of

small gifts may be accepted


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Module 12: Gifts

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Incorrect Answer!

The correct answer is “It depends!”• If the gift is for official UW use, no problem• If the gift was for individuals, the individuals may accept if the value is less than $50• Of course, for any employee that has a Section 4 relationship to the giver, only a few kinds of small

gifts may be accepted


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GiftsAssessment Scenario Two

You attend a product demonstration at a vendor’s office and they offer you a cup of coffee.

Can you accept the coffee from this vendor?

o Yes

o No

o It depends

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QuestionYou attend an educational conference at a hotel. A vendor sponsors dinner for all attendees.

Can you accept the hosted dinner?

o Yes

oNo

o It depends

GiftsAssessment Scenario Three

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QuestionYou attend a reception at a local park as part of your role at the university. The park provides coffee and donuts for all attendees and requests donations.

Can you accept the food and drink?

o Yes

o No

o It depends

GiftsAssessment Scenario Four

Module 12: Gifts


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GiftsAssessment Scenario Five

Module 12: Gifts

QuestionYou are a manager responsible for making product recommendations to your director. A vendor hosted an event to display new products. After the event, the vendor invited event attendees to watch a Mariners game at a vendor-rented suite.

Can you go?

o Yes

o No

o It depends


Gifts Scenario 5

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Module 13Use of Public Resources for Private Gain

Module 12: Use of Public Resources for Private Gain Module 12: Use of Public Resources for Private Gain


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Use of Public Resources for Private Gain

RCW 42.52.160 governs the use of public resources for private gain.

This statute declares that no university employee may use any person, money or property under their official control or direction, or in their official custody, for the private benefit or gain for themselves or another.

This means university employees have a duty to conserve university resources and funds against misuse and abuse. Basically, we are using taxpayers’ money and we must be respectful of that fact.

The University of Washington has also further clarified its position on the use of university resources in its Administrative Policy Statements (APS). Any exceptions regarding use of university resources are identified in RCW 42.52.160(1). We will talk about those next.

Note: Supervisors must be especially aware of this principle because they are in a position to affect the use of resources, as well as, model appropriate behavior.


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Use of University Resources

Generally, university resources are to be used only for university purposes.

The Executive Ethics Board has adopted rules providing some limited exceptions to this section for occasional or “de minimis” use. There is an explanation and examples of de minimis use on the next page.

Understand there is zero tolerance for using university resources for campaigning or to support a non-university business.

There is one exception.

Research employees can make minimal use of university resources for certain business purposes focused on the commercialization of research based at the University.

You can read more about UW policies regarding uses of university resources, in the APS, by clicking on the website picture here.


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http://www.washington.edu/admin/rules/policies/APS/47.02.html

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What is “de minimis”?

De minimis is a Latin phrase meaning “small or unimportant.”

The Executive Ethics Board has outlined a test for allowable de minimis use of university resources:• There is little or no cost to the university.• There is no interference with the performance of official duties.• The use is brief in duration and frequency.• The use does not compromise the security or integrity of university information or software.• The use does not disrupt other university employees, or does so very minimally.

In other words, you can:• Briefly use the internet for personal use, as long as, it is not for illegal or unprofessional activity.• Make an occasional brief local phone call for a medical appointment or to check on a loved one.• Send an occasional personal email.

These guidelines are subject to the prohibitions described on the next page.

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Prohibitions on Use of University ResourcesCertain uses of university resources are prohibited regardless of whether they are de minimis. These uses are absolutely not allowed, even if you are on a break or it’s after working hours.

Prohibited uses include:• Any use for commercial purposes such as advertising or selling

or conducting an outside business.• Any use for the purpose of assisting the campaign of any

candidate for election or to oppose or promote a ballot proposition.

• Illegal activities or activities incompatible with a professional workplace, i.e., accessing adult-oriented websites or gambling on the internet.

• Any personal use of consumable university resources (paper, spare parts, postage, envelopes, etc.)

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Additional Information for Use of University ResourcesIf your personal use of university resources is improper you cannot solve that by reimbursing the university for the personal use because it is still a personal benefit and the reimbursement causes an administrative burden to the university.


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Heed This Warning!When using university email, internet, and other communication technologies be aware:• You should have no expectations of privacy. Data on university

computers is a public record and is not private.• Use of computers leaves a very clear trail of everything, even after

the document is deleted.• Such records may be subject to the public disclosure law or may be

disclosed for audit or management purposes.• Remember this and ask yourself whether the records would be

embarrassing for you if they were made public.


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Research Employee ExceptionsRCW 42.52.220 says research employees may use their personally assigned university resources, e.g., office, telephone, computers, and email to conduct outside work activities related to their research and technology transfer activities.

The UW Administrative Policy Statement (APS 47.2) also addresses what is acceptable use of university resources by research employees in connection with outside professional work and related to their research. It allows de minimis use of university resources by research employees, in connection with outside professional work related to their research and technology transfer.


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Use of University ResourcesScenario One

Can I use my UW issued computer for unlimited personal use: to surf the web, shop online, or post to Facebook, during breaks or when I am not busy at work?

o Yes, I can

o No, I cannot

o It depends


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Use of University ResourcesScenario Two

Question:I am purchasing an new electronic tablet for mydepartment using my UW Procard.

Can I purchase a second one for my personal use and reimburse the UW for the cost?

o Yes, you can

o No, you cannot

o It depends


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Use of University ResourcesScenario Three

Question:I am going on vacation to Hawaii to get some sun.

Can I use my UW Travel Card to pay for my airfare and hotel?

o Yes, you can

o No, you cannot

o It depends


Aloha, wish you were here!

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Use of University ResourcesScenario Four

Question:Can I sell magazine subscriptions at my office to help raise funds for my charitable organization?

o Yes

o No

o It depends


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FAQs on University Resources and Support of Charities

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Answer: The limited use of university resources to support charities may be allowed if an agency head or his/her designee*, approves the activity as one that promotes organizational effectiveness. Approval may be in the form of a specific policy that establishes guidelines for limited use of university resources. (See WAC 292-100-010(3))

* For University purposes, this includes the President, Provost, Chancellors, Vice Presidents, Vice Provosts, Vice Chancellors and Deans.

FAQ: Can I use university resources to support charities?

Here are a few examples:

1. Sending an e-mail to notify employees of a blood drive would be a limited and acceptable use of university resources.

2. A bake sale to support the Combined Fund Drive (CFD) Program. Here, the baking would be performed at home and after working hours. The baked goods are then displayed for purchase during break times and the lunch hour.

FAQ: Can you give me examples of limited use of university resources to support charities that might be ok?

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Answer: The Combined Fund Drive is somewhat different than other independent charitable organizations because it has been established by the state legislature. Therefore, it is part of the official duties of those employees who are assigned by the agency to conduct the Drive. Fund Drive coordinators should confine the time and effort spent conducting the drive to agency guidelines. (See WAC 292-100-010(2) and EEB Advisory Opinion 00-09)

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FAQ: What about the Combined Fund Drive?


Answer: As noted above with charitable groups, the use of university resources to support the Combined Fund Drive charities should be reasonable, involve little or no cost to the university, and should not disrupt the conduct of official business.

However, university employees should avoid promoting private commercial activity even if the proceeds may benefit the Combined Fund Drive. Examples of improper commercial promotion include distributing product sales brochures and order forms to agency employees, collecting product order forms in the workplace or on university paid time, and distributing products in the workplace or on university paid time.

(See WAC 292-100-010(3, 6) and EEB Advisory Opinion 96-11)

FAQ: What about the employees who are not assigned to conduct the Combined Fund Drive?

Can I sell products in my office to help raise funds for my child’s charitable organization? Can I tell others on campus to stop by and check them out at my desk?

The answer is generally “no.”

The Ethics Act generally prohibits use of university facilities to support private organizations – even charities.

However, the university may permit such activities where they promote organizational effectiveness as determined by the appropriate UW authority because it serves a UW mission or a collegial work environment.

Note:• Charitable activities must not interfere with

official work, and . . .• Supervisors must not pressure subordinates to

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FAQ: Use of University Resources for Charities - An Example

FAQ: What does "promoting organizational effectiveness" really mean?

Answer: The Executive Ethics Board recognizes that the university may allow employees to participate in activities that are not official university duties where the activities promote organizational effectiveness by supporting a collegial work environment. These activities may involve an amount of university time or resources that is more than de minimis.

If the activity does not involve excessive use of university resources or interfere with work performance, it would not undermine public confidence in the state government. (See WAC 292-100-010(3)) Example: A university work team wants to plan a special retirement lunch for a co-worker. The retirement lunch will last a half hour longer than the normal one hour lunch break. One team member uses his office computer to compose a flyer about the lunch and send a few reminder e-mails, and collects money for a retirement present.

If the team gets pre-approval from its head of the college or school, the luncheon is not an ethical violation. The use supports organizational effectiveness, will not interfere with the performance of each official duties and the use of the office computer and printer will result in little or no cost to the university.

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Module 14Use of Public Resources for Political Campaigns


Module 13: Use of Public Resources for Political Gains & Gifts Module 14: Use of Public Resources for Political Campaigns

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Use of Public Resources for Political CampaignsRCW 42.52.180 governs the use of public resources for political campaigns.

The state’s Ethics Act prohibits the use of university facilities and resources for political campaigns.

Facilities and resources include, but are not limited to, stationery, postage, machines, equipment, use of university employees during working hours, vehicles, office space, agency publications and clientele lists of persons served by the university.

Be careful. If you are a supervisor, you can actually violate the Ethics Act if you witness a subordinate’s use of public resources for political campaigns and do not stop the use.

ExceptionsThere are certain narrow exceptions to this rule for particular actions of elected officials and activities that are the normal and regular conduct of the university.

Contact your Ethics Act Advisor, the Ethics Board or the Attorney General’s Office for guidance on whether an exception may apply to your activities.

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Use of Public Resources for Political Campaigns Assessment Scenario One

Question:You are a classified employee with a fixed work schedule of 8 AM to 5 PM, Monday through Friday.

During the aggressive campaign for city dog catcher, you often stay at work until 8 or 9 PM making phone calls or sending emails on behalf of your favorite candidate, using university equipment.

Is this an Ethics Act violation?

o Yes

o No

o It depends

Module 13: Use of Public Resources for Political Gains & Gifts Module 13: Use of Public Resources for Political Gains & Gifts Module 14: Use of Public Resources for Political Campaigns

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Question:You are concerned about the presidential elections coming up. You feel very passionate that your friends need to support a particular candidate in this election.

You send 20 emails from work the day before the elections encouraging people for your preferred candidate.

Sam, your supervisor, gets one of your emails. Sam doesn’t do anything in response.

Is this an Ethics Act violation on your supervisor Sam’s part?

o Yes

o No

o It depends

Use of Public Resources for Political CampaignsAssessment Scenario Two

Module 13: Use of Public Resources for Political Campaigns or Charities Module 14: Use of Public Resources for Political Campaigns

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Zero Tolerance

The key learning point about using public resources for political campaigns is there is zero tolerance for using public resources to support political campaigning.

Module 14: Use of Public Resources for Political Campaigns

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Zero Tolerance

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Module 15Ethics Act Training Summary


Module 15: Ethics Act Training Summary

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Navigation-In Summary

In Summary . . .

You have completed the modules in this course map. You now know that the following five key points apply in your role as a university employee:

1. Your compliance with the Ethics Act is profoundly important to your success and that of the university.

2. You can have informed judgment about applying the technical requirements of the Ethics Act in various practical settings.

3. You can ask your Ethics Advisor at UW Internal Audit, or your supervisor, or the staff in HR, when you are unsure of the best action to take in the conduct of your duties.

4. You know the Ethics Act makes compliance the duty of individual employees, not the university.

5. You know there are serious penalties and consequences for violations of the Ethics Act.


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University of Washington

Richard CordovaExecutive Director Office of Internal Audit

[email protected]@uw.edu

It is important for all UW employees to know who is their

Ethics Advisor. For any questions or follow up information on the Ethics Act at the

UW please contact:

Click this web clip to go directly to the state Executive Ethics Board FAQs.

mailto:[email protected]?subject=Support%20Request%20from%20Ethics%20Online%20Training

http://www.ethics.wa.gov/RESOURCES/FAQ.htm

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Ethics Act Training Support ResourcesDouble click on any link below to connect to it.

The links below are your points of contact for questions, resources, and advice.

UW Human Resourceshttp://washington.edu/admin/hr

UW Internal Audit and UW Ethics [email protected](206) 543-4028

Ask your Manager any Ethics Act questions you have.

UW On-line Ethics Act Informationhttp://devar.washington.edu/resources/Ethics Act.asp

UW Administrative Policy Statements (APS)http://http://www.washington.edu/admin/rules/policies/APS/APSTOC.html

Executive Ethics Act Boardhttp://www.Ethics Act.wa.govTraining MaterialsFAQNewsletters


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Washington State Ethics Act CitationsDouble click on any RCW number to link to it.

RCW 42.52.020 Activities incompatible with public duties (Conflicts of Interest)

RCW 42.52.030 Financial interests in transactions

RCW 42.52.040 Assisting in transactions

RCW 42.52.050 Confidential information

RCW 42.52.070 Special privileges

RCW 42.52.080 Employment after public serviceRCW 42.52.110 Compensation for official duties or nonperformance

RCW 42.52.120 Compensation for outside activities

RCW 42.52.130 Honoraria

RCW 42.52.140 Gifts

RCW 42.52.160 Use of State resourceRCW42.52.180 Use of State resources for political

campaigns

http://washington.edu/admin/hr

mailto:[email protected]

http://devar.washington.edu/resources/ethics.asp

http://devar.washington.edu/resources/ethics.asp



http://www.washington.edu/admin/rules/policies/APS/APSTOC.html

http://www.washington.edu/admin/rules/policies/APS/APSTOC.html



http://apps.leg.wa.gov/RCW/default.aspx?Cite=42.52.180












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