Attachment A "Code of Ethics" - Arkansas

What Is Attachment A?

This is a legal form that was released by the Arkansas Department of Finance & Administration - a government authority operating within Arkansas. As of today, no separate filing guidelines for the form are provided by the issuing department.

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Download Attachment A "Code of Ethics" - Arkansas

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ATTACHMENT A
Department of Finance and Administration
Code of Ethics
The Department of Finance and Administration (DFA) Code of Ethics (Code) is
the written document that supports the culture of ethical and efficient service to
the citizens of the State provided by this department. The Code describes the
behavior expected of employees that perform these services.
DFA - Code of Ethics
DFA employees must comply with all applicable laws and regulations. DFA will
not condone employee conduct that either violates, or has the appearance of
violating, the law, including the ethical provisions.
This includes receiving
payments for illegal acts, indirect contributions, rebates, or bribery.
If an employee is uncertain about the application or interpretation of any legal or
procedural requirement, the employee should ask for guidance from his or her
immediate supervisor.
Conflicts of Interest
DFA employees must perform their duties in an ethical manner. Employees must
not use their position or knowledge gained from their position for private or
personal advantage. Arkansas Code Annotated (ACA) §21-8-304 lists certain
activities that are ethically prohibited activities for state employees and officials.
If an employee becomes involved in a situation that could be considered a
prohibited activity, the employee should immediately communicate all the facts to
his or her immediate supervisor.
Outside Activities, Employment, and Directorships
DFA employees should avoid acquiring any business interest, engaging in
outside employment or participating in any activity outside DFA that would
conflict with his or her official duties.
ATTACHMENT A
Department of Finance and Administration
Code of Ethics
The Department of Finance and Administration (DFA) Code of Ethics (Code) is
the written document that supports the culture of ethical and efficient service to
the citizens of the State provided by this department. The Code describes the
behavior expected of employees that perform these services.
DFA - Code of Ethics
DFA employees must comply with all applicable laws and regulations. DFA will
not condone employee conduct that either violates, or has the appearance of
violating, the law, including the ethical provisions.
This includes receiving
payments for illegal acts, indirect contributions, rebates, or bribery.
If an employee is uncertain about the application or interpretation of any legal or
procedural requirement, the employee should ask for guidance from his or her
immediate supervisor.
Conflicts of Interest
DFA employees must perform their duties in an ethical manner. Employees must
not use their position or knowledge gained from their position for private or
personal advantage. Arkansas Code Annotated (ACA) §21-8-304 lists certain
activities that are ethically prohibited activities for state employees and officials.
If an employee becomes involved in a situation that could be considered a
prohibited activity, the employee should immediately communicate all the facts to
his or her immediate supervisor.
Outside Activities, Employment, and Directorships
DFA employees should avoid acquiring any business interest, engaging in
outside employment or participating in any activity outside DFA that would
conflict with his or her official duties.
Relationships with Clients and Suppliers
Employees must adhere to ACA §19-11-705 in their relationships with clients and
suppliers to avoid any conflict of interest. In addition, any employee who has or
obtains any benefit from a state contract with a business in which the employee
has a financial interest shall make a disclosure to the Director of DFA in
accordance with ACA §19-11-706 and the Rules and Regulations for
Implementing Governor’s Executive Order 98-04.
Gifts, Entertainment, and Favors
Employees must not accept entertainment, gifts, personal favors or preferential
treatment that could influence, or appear to influence, their decisions in
performing their job functions. Specific procurement law addressing gratuities is
codified in ACA §19-11-707 and included in Part 4 of the Procurement Law and
Regulations promulgated by the Office of State Procurement.
Refer to
Rules and Gifts
issued by the Arkansas Ethics Commission for detailed
rules on gifts at: http://arkansasethics.com/rules/Rules_on_Gifts.doc
Kickbacks and Prohibited Commissions
DFA employees must not receive kickbacks, prohibited commissions or other
prohibited payments from third parties. Violations of this rule will result in
imposition of the penalties provided by law. Specific procurement law addressing
kickbacks and commissions is codified in ACA §19-11-707 and §19-11-708 and
included in Part 4 of the Procurement Law and Regulations promulgated by the
Office of State Procurement.
Organization Funds and Other Assets
Employees who have access to DFA funds in any form must follow the
prescribed procedures for recording, handling, and protecting money as detailed
in DFA’s Financial Management Guide or other explanatory materials, or both. If
an employee has knowledge of fraud or waste of public assets, the employee
should immediately advise his or her immediate supervisor.
Personal use of DFA funds or assets is strictly forbidden.
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Organization Records and Communications
DFA’s books and records must reflect accurate and timely recording of all
business transactions. Full disclosure of assets, liabilities, receipts and
disbursements must be made.
Employees must not make or engage in any false record or communication
whether internal or external, including but not limited to:
• False expense, attendance, production, financial, or similar reports and
statements
• False advertising, deceptive marketing practices, or other misleading
representations
Dealing With Outside People and Organizations
Employees must not use their position or affiliation with DFA when
communicating regarding matters not involving DFA business. Employees must
not use organization identification, stationery, supplies, and equipment for
personal or political matters.
When communicating publicly on matters that involve DFA business, employees
must not speak for DFA on any topic, unless they are certain that the views they
express are those of DFA management, and that it is DFA management’s desire
that such views be expressed publicly.
When dealing with anyone outside DFA, including public officials, employees
must take care not to compromise the integrity or damage the reputation of DFA
or any other entity.
Prompt Communications
Employees of DFA shall respond promptly and accurately to all requests for
information and complaints regardless of the source.
Privacy and Confidentiality
When handling financial and personal information about customers or others with
whom DFA has dealings, observe the following principles:
1. Collect, use, and retain only the personal information necessary for DFA
business. Whenever possible, obtain any relevant information directly from
the person concerned. Use only reputable and reliable sources to supplement
this information.
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2. Retain information only for as long as necessary or as required by law.
Protect the physical security of this information.
3. Limit internal access to personal information to those with a legitimate
business reason to have the information. Use personal information only for
the legitimate business purpose for which it was obtained. Release of any
information to persons not involved with the stated business purpose should
be made by management in response to a Freedom of Information Act
request.
Reporting Suspected Fraud
DFA employees have a responsibility to report occurrences of ethical violations,
fraud, waste or abuse of DFA resources that can be verified through
investigation. DFA employees shall be protected against any form of retaliation,
including discharge, for reporting, in
good faith
, occurrences of ethical violations,
fraud, waste or abuse of DFA resources as stated in D
the Arkansas
Whistleblower Act (ACA §§21-1-601–609).
Investigations to substantiate
reported allegations will be conducted in a confidential manner.
Allegations of ethical violations or fraud may be reported to the Arkansas State
Employees’ Fraud, Waste, and Abuse Report Center (1-800-952-8248) or to the
Office of Accounting - Internal Audit Section by telephone (682-0370).
A
complainant may also choose to report fraud, waste or abuse by completing a
Complaint Form obtained at the following
link. Complaint forms can be mailed
directly to the Office of Accounting - Internal Audit Section at the following
address:
Department of Finance and Administration
Office of Accounting - Internal Audit Section
th
1515 West 7
Street, Room 215
Little Rock, AR 72201
My signature on this document indicates that I have read and fully understand the
prohibited activities and my responsibilities to DFA as listed in this code of ethics.
Printed Name
Date
Signature
Office
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