11 FAM 600
ETHICS AND FINANCIAL DISCLOSURE
11 FAM 610
ETHICS AND FINANCIAL DISCLOSURE PROGRAMS
(CT:POL-86; 07-30-2024)
(Office of Origin: L/EFD)
11 FAM 611 GENERAL
11 FAM 611.1 Purpose
(CT:POL-82; 12-11-2023)
a. This subchapter summarizes certain requirements, responsibilities, and procedures relating to the Department of State’s ethics and financial disclosure programs. The purpose of the ethics and financial disclosure programs is to ensure that employees are aware of, and act in accordance with, federal statutes, regulations, and rules regarding ethics and financial disclosure.
b. While this subchapter is illustrative of certain ethics laws, it is not a comprehensive compendium of every ethics issue that could arise. Employees should review the resources provided by the Office of the Assistant Legal Adviser for Ethics and Financial Disclosure (L/EFD) on the intranet. Employees may consult L/EFD with specific questions by writing to the Ethics Attorney Mailbox (EthicsAttorneyMailbox@state.gov).
c. Certain additional ethics restrictions may apply to political appointees. For example, Executive Order 13989 imposes additional restrictions on political appointees in the areas of gifts, recusal obligations, and post-employment restrictions. Please contact L/EFD for further guidance on these additional restrictions.
11 FAM 611.2 Authorities
(CT:POL-82; 12-11-2023)
In the event of any conflict between the provisions of this subchapter and any applicable law, the law prevails. Below are the applicable statutes, regulations, and executive orders:
(1) 18 U.S.C. 201-209;
(2) 18 U.S.C. 1001;
(3) 31 U.S.C. 1353;
(4) 5 U.S.C. 13101-13146;
(5) 5 U.S.C. 7353 (Gifts to Federal Employees);
(6) 5 CFR 2634 (Executive Branch Financial Disclosure);
(7) 5 CFR 2635 (Standards of Ethical Conduct for Employees of the Executive Branch);
(8) 5 CFR 2636 (Limitations on Outside Earned Income, Employment and Affiliations for Certain Noncareer Employees);
(9) 5 CFR 2638 (Executive Branch Ethics Program);
(10) 5 CFR 2640 (Interpretation, Exemptions, and Waiver Guidance Concerning 18 U.S.C. 208);
(11) 5 CFR 2641 (Post-Employment Conflict of Interest);
(12) U.S. Const. art. I, s. 9, cl. 8 (Emoluments Clause) and 5 U.S.C. 7342 (Foreign Gifts and Decorations Act);
(13) 5 U.S.C. 7321-7326, 5 CFR 733 and 5 CFR 734 (Hatch Act);
(14) 22 U.S.C. 2451. 22 CFR Part 64;
(15) 5 CFR 950 (Combined Federal Campaign); and
(16) Executive Orders 12674, 12731, 13989 and other applicable Executive Orders.
11 FAM 611.3 Related FAM and FAH Provisions
(CT:POL-82; 12-11-2023)
The following are cross-referenced FAM and FAH provisions related to topics covered in this section:
(1) 1 FAM 246.18 - Office of the Legal Adviser – Ethics and Financial Disclosure (L/EFD)
(2) 2 FAM 960- Solicitation and/or Acceptance of Gifts by the Department of State
(3) 2 FAM 970 – Public-Private Partnerships
(4) 3 FAM 1500 – Equal Employment Opportunity
(5) 3 FAM 2410 – Assignments and Details
(6) 3 FAM 4120 – Employee Responsibilities Abroad
(7) 3 FAM 4170 – Review of Public Speaking, Teaching, Writing and Media Engagement
(8) 3 FAM 4210 – Standards of Conduct for Former Employees
(9) 3 FAM 8220 – Foreign Service Family Reserve Corp
(10) 3 FAM 8300 - Nepotism
(11) 4 FAM 469.2 – Certain Gifts of Travel and Travel Expenses
(12) 4 FAM 472.2 – Unused Transportation
(13) 5 FAM 723 – Personal Use of U.S. Government Equipment
(14) 5 FAM 790 – Using Social Media
(15) 7 FAM 1560 – Political Activities and the Overseas Voting Program Guidance
(16) 10 FAM 180 – Official Communication Using Social Media
(17) 13 FAM 301 – Mandatory Training
(18) 3 FAH-1 H-2439 – Use of Titles Upon Retirement
(19) 11 FAM 620 - Ethics Information and Training
11 FAM 611.4 Definitions
(CT:POL-84; 06-03-2024)
Confidential Filer: An individual who must file a Confidential Financial Disclosure Report, OGE Form-450, as defined in 5 CFR 2634.904(a), including:
(1) An employee of the Department or candidate for employment with the Department in a position classified at GS-15 or below or at FS-01 or below (or, in the case of any individual whose pay is not fixed under the General Schedule and who does not serve in the Foreign Service, in a position for which the rate of basic pay is less than 120 percent of GS-15, step 1) if the employee’s Management Official (or L/EFD) determines that:
(a) The duties and responsibilities of the employee’s position require the employee to participate personally and substantially through decision or the exercise of significant judgment, and without substantial supervision and review, in taking government action regarding:
(i) Contracting or procurement; or
(ii) Administering or monitoring grants, subsidies, licenses, or other federally conferred financial or operational benefits; or
(iii) Regulating or auditing any non-Federal entity; or
(iv) Other activities in which the final decision or action will have direct and substantial economic effect on the interests of any non-Federal entity; or
(b) The duties and responsibilities of the employee’s position require the employee to file such a report to avoid involvement in a real or apparent conflict of interest. These positions might include those with duties that involve investigating or prosecuting violations of criminal or civil law; or
(2) An employee who is not a public filer and is an executive director, management officer or counselor, deputy chief of mission, or economic counselor or who has equivalent duties and responsibilities in a position at a smaller post; or
(3) A contracting officer’s representative (COR), grants officer representative (GOR), or government technical monitor (GTM) assigned to an active contract or grant, including locally employed staff (LE Staff); or
(4) A special government employee (SGE) who is not a public filer; or
(5) A personal services contractor (PSC) who meets the criteria in any of subparagraphs (1) through (4).
Confidential Financial Disclosure Report (OGE Form 450): The OGE Form 450 is the only type of Confidential Financial Disclosure Report used by the Department of State. This report is required to be filed by executive branch employees who meet the definition of “Confidential Filer.” The report is required to be filed upon entering a filing position (New Entrant Report) and every year while serving in a filing position (Annual Report). See 11 FAM 618.3-2. Note that SGEs who are not public filers complete OGE Form 450 New Entrant Report each year. See 11 FAM 619.4.
Department: The Department of State, unless indicated otherwise.
Designated agency ethics official (DAEO): As defined in 5 CFR 2638.104, the official appointed by the Secretary to coordinate and manage the Department’s ethics and financial disclosure programs. The duties of the DAEO include those listed in 5 CFR 2638.104(c). A Deputy Legal Adviser is appointed by the Secretary to serve as the DAEO. The alternate designated agency ethics official (ADAEO) serves as the primary deputy to the DAEO in the administration of the ethics program and, with the DAEO, directs the daily activities of L/EFD. Certain ethics functions can only be exercised by the DAEO or ADAEO.
Entity: A corporation and subsidiaries it controls, company, association, firm, partnership, society, joint stock company, or any other organization or institution, including any officer, employee, or agent of such entity. The term encompasses commercial ventures, nonprofit organizations, and foreign, State, and local governments, including the Government of the District of Columbia. It does not include any agency or other entity of the Federal Government or any officer or employee thereof when acting in their official capacity on behalf of that agency.
Financial Disclosure Management system (FDM): The secure electronic system, accessible at https://www.fdm.army.mil, used by all Department confidential filers to complete and submit their new entrant and annual financial disclosure reports.
Initial Reviewer: The employee, designated by the Management Official pursuant to 11 FAM 618.4-2 who must undertake an initial review of OGE Form 278e, OGE Form 278-T, and OGE Form 450 reports, as described in 11 FAM 618.5. In FDM, this individual is referred to as the “supervisor,” even if they may not be the employee's direct supervisor. The initial reviewer should be an official who is familiar with the filer's work requirements and can identify potential conflicts of interest.
Integrity.gov: The Office of Government Ethics system for electronically filing and reviewing Public Financial Disclosures (OGE Forms 278e and 278-T), accessible at https://integrity.gov/efeds-login, used by Department public filers to complete and submit their new entrant, annual, periodic transactions, and termination financial disclosure reports.
L/EFD: Office of the Legal Adviser for Ethics and Financial Disclosure.
Management Official: The bureau executive director or, overseas, the management counselor or officer.
Office of Government Ethics (OGE): The executive branch agency responsible for developing and implementing ethics and financial disclosure programs to facilitate compliance with ethics laws in the executive branch. This agency also conducts routine and periodic inspections of agency ethics programs and issues reports based on the findings from those inspections.
Office of Special Counsel (OSC): The independent federal investigative and prosecutorial agency responsible for providing guidance on as well as investigating and prosecuting violations of the Hatch Act, and other Federal statutes relating to prohibited personnel practices.
Public Filer: An individual who must file Public Financial Disclosure Reports, including, as defined in 5 CFR 2634.202:
(1) Senior Executive Service and Senior Foreign Service employees, and any other officer or employee in the Department, including a special government employee, whose position is classified above a GS-15, or the basic rate of pay for which is fixed, other than under the GS scale, at a rate equal to or greater than 120 percent of the minimum rate of basic pay for GS-15; or
(2) Schedule C appointees and limited noncareer political appointees, or any other employee not otherwise described in subparagraph (1) of this definition who is in a position in the executive branch which is excepted from the competitive service by reason of being of a confidential or policy-making character, unless the position has been excluded in writing by the DAEO because it is paid at the GS-13 level or below and does not have a substantial policy-making role, or otherwise meets the criteria of 5 C.F.R. 2634.203; or
(3) Any employee who is expected to or has served in a position defined in (1) for more than 60 days in a calendar year, including in a “stretch” or “acting” capacity.
Public Financial Disclosure Reports (OGE Form 278e and OGE Form 278-T): There are two types of Public Financial Disclosure Reports that are required to be filed by executive branch employees who meet the definition of a “Public Filer”. See 11 FAM 618.3-1.
Public Financial Disclosure Report (OGE Form 278e): The Public Financial Disclosure Report (Form OGE 278e) is required to be filed before or upon entering a financial disclosure filing position (a New Entrant or Nominee Public Financial Disclosure Report), every year while serving in a filing position (an Annual Financial Disclosure Report), and when one is no longer a public filer (a Termination Financial Disclosure Report).
Periodic Transaction Report (OGE Form 278-T): The Periodic Transaction Report is required to be filed within 30 days and no later than 45 days from the occurrence of a reportable transaction. See 11 FAM 618.3-1(D).
Special Government Employee (SGE): As defined in 18 U.S.C. 202, an ethics designation given to an officer or employee who is retained, designated, appointed, or employed to perform temporary duties (usually for 1 year at a time), with or without compensation, on either a full-time or intermittent basis with the expectation that the duties will not exceed 130 days during any period of 365 days.
Supervisor: Any employee whose duties require them to supervise, direct and evaluate the work of another employee.
11 FAM 611.5 Responsibilities for the Ethics Program
(CT:POL-84; 06-03-2024)
Every Department employee plays a critical role in the ethics program. Each employee must endeavor at all times to act in the public’s interest, avoid losing impartiality or appearing to lose impartiality in carrying out official duties, refrain from using their office for private gain, serve as good stewards of public resources, and comply with the requirements of government ethics laws and regulations, including any applicable financial disclosure requirements. See 5 CFR 2638.102. In addition, employees are expected to support each other and cooperate with L/EFD to maintain a culture of ethics at the Department. Certain offices and employees have a heightened responsibility or particular role to play in the ethics program, as addressed in the following sections.
11 FAM 611.5-1 L/EFD - The Ethics and Financial Disclosure office in the Office of the Legal Adviser (the Department’s Ethics Office)
(CT:POL-82; 12-11-2023)
a. Personnel
(1) L/EFD is the State Department’s ethics office. L/EFD reports to the Deputy Legal Adviser designated as the Department’s DAEO. The Assistant Legal Adviser for L/EFD serves as the Alternate Designated Agency Ethics Official (ADAEO). The duties of the DAEO and the ADAEO include those listed in 5 CFR 2638.104. The DAEO and ADAEO are appointed under the authority of the Secretary to establish and maintain the Department’s ethics and financial disclosure programs.
(2) The DAEO will generally designate one or more employees serving in L/EFD to serve as deputy ethics officials, and delegate to them duties under 5 CFR 2638.104. As necessary, attorney advisers in L/EFD may also be designated as an additional ADAEO to carry out particular functions. Other Department employees may be assigned to perform duties appropriate to their position and grade relating to the ethics and financial disclosure programs.
b. Responsibilities of the Department Ethics Office (L/EFD)
(1) The main responsibilities of L/EFD are to provide ethics training and ethics guidance to Department employees on all ethics questions that may arise during their performance of official duties as well as to administer the Department’s financial disclosure program for public and confidential filers.
(2) L/EFD staff will perform the duties described in 5 CFR 2638.104 and other duties as assigned, but only the DAEO or ADAEO may certify the financial disclosure reports (5 CFR 2634.605) of nominees for positions that require Senate confirmation; waive a late filing fee (5 CFR 2634.704); or transmit a request for a certificate of divestiture (5 CFR 2634.1005).
(3) Under the supervision of the DAEO, the Assistant Legal Adviser for Ethics and Financial Disclosure is responsible for the overall management and direction of L/EFD, including maintenance of the ethics and financial disclosure programs.
(4) L/EFD maintains the Department’s ethics and financial disclosure program website.
(5) Twice annually, L/EFD submits to OGE a report of gifts of official travel accepted by the Department of State under 13 U.S.C. 1353. Management Officials must submit records of invitational travel accepted under 13 U.S.C. 1353 to L/EFD in order to enable L/EFD to prepare these reports.
(6) L/EFD approves the ethics notices for written offers of employment in accordance with 11 FAM 625 (see 5 C.F.R. 2638.303).
(7) L/EFD provides one-on-one advice to employees on specific ethics issues. In this regard, employees may consult with L/EFD about questions regarding application of the ethics laws or rules to any particular situation by sending the inquiry by email to the following address: EthicsAttorneyMailbox@state.gov. Employees should be aware that seeking advice about a matter from L/EFD staff does not create attorney-client privilege for the benefit of the employee. Accordingly, individual employees will not be protected by attorney-client privilege in their personal disclosures made to ethics staff. The Department of State holds the attorney-client privilege, rather than the individual employee. (See 5 CFR 2635.107(b)).
(8) L/EFD staff do not investigate allegations of violations of law. When appropriate, L/EFD staff will coordinate with the Department's Office of Inspector General, the Office of Government Ethics, or the Department of Justice (see Subpart A, 5 CFR 2638)
c. Funding the Ethics and Financial Disclosure Programs
(1) Sufficient funds will be allocated to the Office of the Legal Adviser to administer the ethics and financial disclosure programs, to include resources for personnel, audit, automation, training ethics personnel and Department employees, and for providing other ethics-related services and counsel as necessary or appropriate.
(2) The ethics and financial disclosure programs’ requirements will be submitted in conjunction with the Legal Adviser’s bureau performance plan and annual budget request.
11 FAM 611.5-2 Responsibilities of Supervisors
(CT:POL-84; 06-03-2024)
a. Every supervisor in the Department has a heightened personal responsibility for advancing the Department of State’s culture of ethics. In this regard, supervisors have a responsibility to help ensure that subordinates are aware of their ethics obligations, including their filing and training obligations when relevant, as well as how to contact L/EFD. (5 CFR 2638.103.)
b. Every supervisor in the Department has an obligation to work with L/EFD and Management Officials in the performance of their duties under the Department’s Ethics program. This includes helping to ensure that employees who must file financial disclosure and receive ethics training do so in a timely fashion, and assisting L/EFD, initial reviewers, and Management Officials with evaluating and resolving conflicts of interest upon request. (5 CFR 2638.103.)
c. When drafting evaluations and appraisals for subordinates, supervisors are encouraged to consider whether subordinates have helped to support a culture of ethics at the Department and met their own obligations under the ethics regulations, including filing any required Financial Disclosure Reports in a timely fashion, and taking any required Ethics training courses.
11 FAM 611.5-3 Responsibilities of Human Resources Officers
(CT:POL-82; 12-11-2023)
New appointments, changes in assignment or duties, and termination of employment all can trigger ethics training and financial disclosure obligations. Accordingly, the Bureau of Global Talent Management (GTM) and human resources officers in bureaus and at posts abroad have important responsibilities with regard to the Department’s financial disclosure and ethics training program. (See 5 C.F.R. 2638.105.) Specific responsibilities are set forth in 11 FAM 618.6 and 11 FAM 625.
11 FAM 611.5-4 Responsibilities of Management Officials
(CT:POL-82; 12-11-2023)
Management Officials play an important role in the Department’s ethics program and are encouraged to keep bureau heads and chiefs of mission informed of the implementation of the ethics program, including the financial disclosure program. Specific responsibilities are delineated in 11 FAM; 613.1-1; 618.4; 619.2; and 624.
11 FAM 611.6 The Fourteen General Principles of Ethical Conduct (5 CFR 2635.101)
(CT:POL-60; 11-03-2015)
The following general principles apply to every employee. Where a situation is not covered by a more specific rule or regulation, employees should apply these principles in determining whether any particular conduct is proper.
(1) Public service is a public trust; employees must place loyalty to the Constitution, the laws, and ethical principles above private gain.
(2) Employees shall not hold financial interests that conflict with the conscientious performance of duty.
(3) Employees shall not engage in financial transactions using nonpublic government information or allow the improper use of such information to further any private interest.
(4) Employees shall not, except as permitted by the Standards of Ethical Conduct, solicit, or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the Department, or whose interests may be substantially affected by the performance or nonperformance of the employee's duties.
(5) Employees shall put forth honest effort in the performance of their duties.
(6) Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the government.
(7) Employees shall not use public office for private gain.
(8) Employees shall act impartially and not give preferential treatment to any private organization or individual.
(9) Employees shall protect and conserve Federal property and shall not use it for other than authorized activities.
(10) Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official government duties and responsibilities.
(11) Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.
(12) Employees shall satisfy in good faith their obligations as citizens, including all financial obligations, especially those imposed by law, such as Federal, State, or local taxes.
(13) Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap. NOTE: Other Department policies or applicable law may include other prohibited grounds of discrimination, including but not limited to sexual orientation and gender identity. See e.g., 3 FAM 1500.
(14) Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the ethical standards set forth in the Standards of Ethical Conduct (5 CFR 2635). Whether particular circumstances create an appearance that the law or these standards have been violated shall be determined from the perspective of a reasonable person with knowledge of the relevant facts.
11 FAM 612 CONFLICTS OF INTEREST AND THE STANDARD OF IMPARTIALITY
11 FAM 612.1 Conflicts of Interest
(CT:POL-84; 06-03-2024)
a. To maintain the integrity of the Government, Department employees are prohibited by statute (18 U.S.C. 208) and by regulation (5 CFR 2635) from taking official action that would have a direct and predictable effect on their own or imputed financial interests.
b. The assets of the following persons or entities are imputed to the employee as their own financial interests:
(1) The employee’s spouse;
(2) The employee’s minor children;
(3) The general partner of a partnership in which the employee is a partner;
(4) An organization, trust, or partnership in which the employee is serving as officer, director, employee, trustee, or general partner; or
(5) An organization or entity with whom the employee is negotiating for, or has an arrangement concerning, prospective employment.
c. The following are common examples of assets held by employees that could pose a financial conflict of interest: (There are certain regulatory exemptions, which are explained in 11 FAM 612.1(d)).
(1) Securities, such as stocks, bonds, or stock options;
(2) Underlying assets of U.S.-registered mutual funds, exchange-traded funds (ETFs), or unit investment trusts;
(3) Underlying assets of investment vehicles, such as hedge funds, private equity funds, LLCs, limited partnerships, or foreign-registered funds or investments;
(4) Assets of a trust in which the employee or a person identified in paragraph b has a vested beneficial interest;
(5) Assets of a trust for which the employee serves as a trustee;
(6) Assets of a brokerage account or professionally managed account;
(7) Salary, retirement benefits, and other employee benefits that are provided by a non-U.S. Government employer;
(8) Mortgages, loans, and other liabilities.
d. Some financial interests are covered by regulatory exemptions based on the nature of the financial interest or the amount of the interest (see 5 CFR 2640, Subpart B). Where one of these exemptions applies, an employee may work on a particular matter involving or affecting these financial interests without violating the conflicts of interest laws. Employees are encouraged to remember that these regulatory exemptions are very strictly construed. Interests not clearly covered by a regulatory exemption can give rise to a conflict of interest. The following are the most commonly applicable exemptions:
(1) The holdings in a Thrift Saving Plan for Federal employees, as described in 5 U.S.C. 8437;
(2) Security interests (e.g., stocks or bonds) in companies involved in a particular matter, where the securities are traded on a U.S. exchange and the total value of the employee’s interest is $15,000 or under. Note: there are other exemptions for “de minimis” security interests that can be more complicated to apply.
(3) Holdings in diversified mutual funds or diversified unit investment trusts, including many exchange-traded funds (“ETFs”), that are registered with the SEC under the 1940 Act, and that do not have a strategy of concentrating their holdings in a particular economic sector, state, or country other than the United States. NOTE: If a fund is not registered with the SEC under the 1940 Act, it is not a mutual fund for these purposes.
(4) The holdings of sector mutual funds or unit investment trusts (UITs) registered with the SEC under the 1940 Act where the employee holds $50,000 or less in the fund or ETF. NOTE: the value of funds or ETFs concentrating in the same economic sector, state, or country must be aggregated for purposes of this exemption.
e. The following are common types of official action that could have a direct and predictable effect on an employee’s financial interests. Employees are prohibited from any personal or substantial involvement in such matters, including participation in initial discussions leading up to government action:
(1) Matters involving the interests of specific parties, such as grants, contracts, purchase orders, partnerships, co-hosted events fundraising, or litigation; or
(2) Matters that are focused on or affect the interests of a discrete and identifiable class of persons or entities. Such matters might include regulatory action, legislation, or a policy decision or issue advocacy focused on the interests of a discrete and identifiable class.
f. To avoid violating the conflict of interest statute, employees are required to be aware of and monitor their financial interests on an ongoing basis and to consult with their Management Officials or L/EFD about potential conflicts of interest. If an employee is aware of a need to work on a matter that could affect a financial interest, they should take one of the following steps:
(1) Recusal. An employee may avoid a conflict of interest by recusing from matters that could have a direct and predictable effect on a financial interest. To recuse from a matter means to refrain from participating in that matter in one’s official capacity. However, where there is a substantial likelihood that an employee’s official duties will involve or affect that financial interest, it is advisable for that employee to consult with their supervisor or other person responsible for their assignments in advance so that conflicting assignments can be avoided, and to document their recusals in writing.
(2) Divestiture. An employee may avoid a conflict of interest by selling, giving away, or otherwise divesting a financial interest prior to personal and substantial involvement in a matter. Conflicting assets held by a spouse, minor child, trust, or other entity identified in paragraphs b or c would need to be divested by that person or entity. An employee may request a certificate of divestiture (CD) to defer the tax consequences of a sale of conflicting assets (see 5 CFR 2634, Subpart J). To request a CD, contact L/EFD prior to divesting the asset and prior to working on the conflicting matter.
(3) Other Remedies. If recusal or divestiture are not options, an employee should contact the L/EFD office to determine the availability of other remedies.
11 FAM 612.2 The Impartiality Standard
(CT:POL-84; 06-03-2024)
a. An employee should not participate in a particular matter involving specific parties that they know is likely to affect the financial interests of a member of their household, or in which they know a person or entity with whom they have a “covered relationship” is or represents a party, if a reasonable person with knowledge of the relevant facts would question their impartiality in the matter.
b. An employee has a “covered relationship” with the following:
(1) Any person or entity with whom the employee has or seeks a business, contractual, or other financial relationship that involves other than a routine consumer transaction;
(2) A person who is a member of the employee’s household, or who is a relative with whom the employee has a close personal relationship;
(3) A person or entity for whom the employee’s spouse, parent, or dependent child is, to the employee’s knowledge, serving or seeking to serve as an officer, director, trustee, general partner, agent, attorney, consultant, contractor, or employee;
(4) Any person or entity for whom the employee has, within the last year, served as officer, director, trustee, general partner, agent, attorney, consultant, contractor, or employee; or
(5) An organization in which the employee is an active participant.
c. An employee who is concerned that these or other circumstances would raise a question regarding their impartiality in a particular matter should contact L/EFD for help determining whether they should or should not participate in the particular matter.
11 FAM 613 PERSONAL GIFTS TO EMPLOYEES
11 FAM 613.1 Gifts from Outside Sources
(CT:POL-84; 06-03-2024)
a. This section addresses gifts from private sources. Gifts from foreign governments and international organizations are addressed in 11 FAM 613.2.
b. Except as permitted under 5 CFR 2635, Subpart B, or otherwise by law, an employee shall not directly or indirectly solicit or accept a personal gift that is either (1) from a “prohibited source,” or (2) given because of the employee's position.
c. A “gift” includes any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having monetary value, including services, meals, travel, and tickets to or free attendance at events.
d. An “indirect gift” to an employee is a gift that is solicited or accepted by the employee’s parent, sibling, spouse, child, or dependent relative because of that person’s relationship to the employee and with the employee’s knowledge and acquiescence, or one that is given to any other person, including a charitable organization, on the basis of designation by the employee.
e. A “prohibited source” generally includes any person or entity seeking official action by the Department; doing business or seeking to do business with the Department; conducting activities regulated by the Department; or having interests that may be substantially affected by the performance or nonperformance of the employee's official duties.
f. Employees should consider declining otherwise permissible gifts if they believe that a reasonable person with knowledge of the relevant facts would question the employee’s integrity or impartiality as a result of accepting the gift. Employees should consider the following factors, among others which may be relevant, when deciding whether to accept an otherwise permissible gift:
(1) The gift has a high market value;
(2) The timing of the gift creates the appearance that the donor is seeking to influence an official action;
(3) The gift was provided by a person who has interests that may be substantially affected by the performance or nonperformance of the employee’s official duties; and
(4) Acceptance of the gift would provide the donor with significantly disproportionate access.
g. Gifts accepted by the Department are not personal gifts and are not subject to the restrictions described in this provision. Approval procedures for the solicitation or acceptance of gifts to the Department, and corresponding reporting requirements, are described in 2 FAM 960. Tangible gifts that are accepted by the Department are government property and must be disposed of pursuant to applicable laws and regulations on the management of government property (see e.g., 14 FAM 400).
h. The following are some examples of items an employee may typically accept without prior approval under the gift rules in 5 CFR 2635, Subpart B. Even where prior approval is not required, employees are encouraged to raise questions about the permissibility of gifts with their supervisors or L/EFD.
(1) Anything for which market value is paid by the employee;
(2) Modest items of food or refreshment offered other than as part of a meal;
(3) Gifts that are “de minimis,” i.e., with an aggregate value of $20 or less per occasion, provided that the aggregate value of gifts from that source in a calendar year does not exceed $50;
(4) Greeting cards and items of little intrinsic value which are intended primarily for presentation;
(5) Gifts that are clearly motivated by a family relationship or personal friendship rather than the position of the employee. Friendships formed in the course of performing official Department business will generally not meet this standard;
(6) Certain discounts, favorable rates, free attendance, and other similar benefits, including:
(a) Discounts available to the public;
(b) Discounts available to a class that includes all Federal employees, including employees of other agencies, whether or not restricted on the basis of geographic considerations; or
(c) Discounts available to members of a group or class in which membership is unrelated to government employment; or to employee associations, unions, or other groups related to government employment if the same offer is broadly available to the public through similar organizations.
NOTE: Employees may not retain for personal use any benefit to which the Government is entitled as the result of an expenditure of Government funds. Employees may, however, use frequent traveler benefits earned on official travel to obtain travel services for a subsequent official travel assignments (including upgrading to a higher class of service while on official travel) or retain such benefits for their personal use. See 41 CFR 301-53.3.
(7) Rewards and prizes given to competitors in contests or events that are open to the public. NOTE: If the employee's entry into the event or contest is required as part of their official duties, such as when an employee attending a conference in their official capacity is automatically entered into a contest, the reward or prize is the property of the government and cannot be kept by the employee;
(8) Gifts of informational materials related to an employee’s official duties, including writings, recordings, documents, records, or other similar items, not exceeding an aggregate market value under $100 in any calendar year from any one source. NOTE: A gift of informational materials with a value of over $100 may also be accepted, but requires a written determination by an official identified in 11 FAM 613.1-2(c) that acceptance of the materials would not cause the employee’s integrity or impartiality to be questioned, using the factors listed in paragraph e of this section;
(9) An offer of free attendance at a conference or other event to an employee where they are assigned to participate as a speaker or a panel participant or otherwise to present information on behalf of the Department. Free attendance may include a waiver of the fee for the event, refreshments, a meal and entertainment, but only when provided on a day when the employee is presenting information on behalf of the Department;
(10) Gifts resulting from the outside business or employment of an employee or an employee’s spouse, when it is clear that such benefits have not been offered or enhanced because of the employee’s official position;
(11) Travel, meals, lodging, and other benefits that are customarily provided by a prospective employer in connection with employment discussions. If the prospective employer is a foreign government or international organization, additional restrictions may apply. See 11 FAM 613.2; and
(12) Free attendance at an event hosted by a former employer if other former employees have been invited to attend and it is clear the invitation is based on the former employment relationship and not on the employee’s official position.
(13) A gift involving meals, refreshment, or entertainment abroad when accepted in the course of an official event under certain circumstances. See 11 FAM 613.1-2.
i. Personal gifts, depending on source and value, may be reportable on both public and confidential financial disclosure reports. See 5 CFR 2634.304 and 5 CFR 2634.907(g).
j. The following sections describe additional circumstances where an employee may be permitted to accept otherwise prohibited personal gifts.
k. Certain political appointees are subject to additional ethics obligations that may be imposed by Executive Order, such as Executive Order 13989. These appointees have been required by the Administration to sign a pledge agreeing to certain additional restrictions. For instance, among other restrictions, these appointees are prohibited from personally accepting gifts from lobbyists or lobbying organizations in most circumstances. These appointees are responsible for becoming familiar with and abiding by these additional restrictions.
Consult 11 FAM Exhibit 613 for a chart of frequently used gift exceptions.
11 FAM 613.1-1 Widely Attended Gatherings
(CT:POL-84; 06-03-2024)
a. An employee may be authorized to accept a gift of free attendance at a qualifying “widely attended gathering,” even if offered by a prohibited source or because of an employee's position. For purposes of this exception, “free attendance” includes the provision of food, refreshments, entertainment, instruction, and materials furnished to all attendees as an integral part of the event, as well as the waiver of all or part of a conference or other fee. It does not include travel expenses, lodgings, entertainment collateral to the event, or meals taken other than in a group setting with all other attendees.
b. Authorization to accept a gift under this exception must be in writing.
c. The officials authorized to approve acceptance by an employee of an unsolicited gift of “free attendance” at an event are:
(1) For employees serving in a bureau:
(a) The bureau head;
(b) A deputy bureau head; or
(c) The responsible executive director or designee; and
(2) For employees serving at a post:
(a) The ambassador/principal officer;
(b) The deputy chief of mission or deputy principal officer; or
(c) The Management Official.
d. The bureau head or ambassador/principal officer may further limit who may ordinarily exercise the authority in paragraph b of this section. An individual may not approve acceptance of their own free attendance.
e. Subject to the additional conditions covered in paragraphs f and g of this section, an employee may accept an unsolicited gift of “free attendance” if the approving official determines in writing that:
(1) A large number of persons with a diversity of views or interests will attend the event (ordinarily more than 20);
(2) The employee’s attendance is in the interest of the Department because it will further Department programs or operations.
(3) The cost of attendance is borne by the sponsor of the event (i.e., the person or organization hosting the event) or, if the cost is borne by other than the sponsor of the event, more than 100 persons are expected to attend the event, and the “free attendance” has a market value that does not exceed the regulatory ceiling. (NOTE: The regulatory ceiling changes periodically, and was set at $480 in 2023);
(4) The employee will attend the event on personal time, or will be authorized to attend on excused absence, or otherwise without charge to the employee’s leave account; and
f. If the offered gift extends to free attendance for a spouse or other guest of the invited employee, the approving official must also determine that:
(1) Others in attendance will generally be accompanied by a spouse or other guest;
(2) The offer is from the same person or entity that is bearing the cost of the employee’s attendance; and
(3) If the offer is from a non-sponsor, the aggregate market value of free attendance for the employee and the guest will not exceed the regulatory ceiling. (NOTE: The regulatory ceiling changes periodically, and was set at $480 in 2023);
g. If the offered gift is from a person or entity that may be substantially affected by the performance or nonperformance of the invited employee’s official duties (or from an organization where the majority of its members are affected by those duties), the approving official must also determine in writing that the Department’s interest in the employee’s participation in the event outweighs any concern that acceptance of the gift of free attendance may or may appear to influence improperly the employee in the performance of their official duties. Relevant factors that should be considered by the approving official in making this determination include:
(1) The importance of the event to the Department;
(2) The nature and sensitivity of any pending matter affecting the interests of the person or entity who has extended the invitation;
(3) The significance of the employee’s role in any such matter;
(4) The purpose of the event;
(5) The identity of other expected participants;
(6) Whether acceptance would reasonably create the appearance that the donor is receiving preferential treatment;
(7) Whether the Government is also providing persons with views or interests that differ from those of the donor with access to the Government; and
(8) The market value of the gift of free attendance.
h. An employee may not use this exception to accept free admission to an entertainment event, including sporting events or cultural performances where the employee would be a mere spectator. NOTE: For the process for seeking approval. to accept a gift of tickets as an official gift to the Department, please see 2 FAM 960 (e.g., Gifts for Representational Purposes Abroad, Gifts for Public Diplomacy Purposes, or Gifts Accepted by the CLO for Health, Morale, and Welfare of Department Employees Abroad).
i. If an employee is assigned to participate as a speaker or a panel participant in their official capacity, the employee’s free attendance at the event or meal on the day of the official speech is not considered a gift either to the employee or to the Department.
j. Appointees who are subject to additional ethics obligations that may be imposed by Executive Order, such as Executive Order 13989 and have signed a pledge to not accept gifts from a lobbying organization may not use this exception in most cases to accept free admission at a Widely-attended Gathering if the donor is a registered lobbying organization or if the individual extending the invitation is a registered lobbyist.
11 FAM 613.1-2 Meals, Refreshments, and Entertainment in Foreign Areas
(CT:POL-82; 12-11-2023)
a. An employee assigned to duty in, or on official travel to, a foreign area may accept meals, refreshments, or entertainment in the course of a breakfast, luncheon, dinner, or other event provided that:
(1) The market value in the foreign area of the food, refreshments, or entertainment provided at the event, as converted to U.S. dollars, does not exceed the maximum per diem rate for that foreign area;
(2) There is participation in the meeting or event by non-U.S. citizens, representatives of foreign governments, or representatives of foreign entities;
(3) Attendance at the meeting or event is part of the employee's official duties to obtain or disseminate information, promote the export of U.S. goods and services, represent the United States, or otherwise further programs or operations of the Department (in general, attendance as a mere spectator will not meet the standard); and
(4) The gift is from a person other than a foreign government (see 11 FAM 613.2 for rules on accepting gifts from foreign governments).
b. Appointees who are subject to additional ethics obligations that may be imposed by Executive Order, such as Executive Order 13989 and have signed a pledge to not accept gifts from a lobbying organization may not use this exception in most cases to accept a gift if the donor is a registered lobbying organization or if the individual extending the invitation is a registered lobbyist.
11 FAM 613.1-3 Awards and Honorary Degrees
(CT:POL-82; 12-11-2023)
11 FAM 613.1-3(A) Awards
(CT:POL-82; 12-11-2023)
a. Employees may accept a bona fide award and a gift incident to a bona fide award (which can include travel to an award reception), if:
(1) It is given for meritorious public service or achievement;
(2) It is given by a source whose interests are not substantially affected by the performance or nonperformance of an employee's official duties;
(3) It is not cash or an investment interest; and
(4) The aggregate value of the award and any gifts incident to the award does not exceed $200.
b. Employees may accept a bona fide award and gifts that accompany the award when the aggregate value exceeds $200, or when the award is cash or investment interests, upon a written determination from L/EFD that the award is made as part of an established program of recognition.
c. For awards that may be accepted under either paragraphs a or b of this section, employees may also accept meals or entertainment given to them or to members of their families at the event where the award is being presented. The value of the meals or entertainment does not count toward the award's aggregate value.
d. For awards or decorations from or on behalf of a foreign government or international organization please see 11 FAM 613.2.
11 FAM 613.1-3(B) Honorary Degrees
(CT:POL-82; 12-11-2023)
a. In order to accept an honorary degree, an employee must request and receive a written determination from L/EFD. L/EFD will consider whether the degree-granting institution is a qualifying institution in accordance with the applicable regulation and whether the timing of the award or the degree would cause a reasonable person to question the employee's impartiality in a matter affecting the institution.
b. For honorary degrees from foreign public universities, see 11 FAM 613.2 and consult L/EFD.
11 FAM 613.1-4 Established Employee Organization Support
(CT:POL-82; 12-11-2023)
Under certain circumstances, an employee may accept financial support from an established employee organization, including support for the provision of legal services. See 5 CFR 2635.204(c)(2)(iv).
11 FAM 613.1-5 Legal Expense Fund and Pro Bono Legal Services
(CT:POL-82; 12-11-2023)
Under certain circumstances and only with prior clearance from L/EFD, an employee who seeks legal representation for a matter arising in connection with the employee’s past or current official position may accept pro bono legal services or payments for legal expenses from an established legal expense fund. See 5 CFR 2635.204(n).
11 FAM 613.1-6 Disposition of Impermissible Gifts from Outside Sources
(CT:POL-82; 12-11-2023)
a. If an employee cannot accept a gift pursuant to these rules, and if the Department does not accept the gift (see 2 FAM 960), the employee should promptly return the item to the donor or pay the donor the gift’s market value. Employees are encouraged to document the method of disposition whenever practicable.
b. “Market value” means the cost a member of the public would incur to purchase the gift. An employee who cannot ascertain the market value of a gift may estimate its value by reference to the retail cost of similar items of like quality. Donation or “re-gifting” is not a permissible method of disposing of an otherwise impermissible gift.
c. Under certain circumstances, the following alternative means of disposal may be utilized:
(1) Perishable gifts. When it is not practical to return a tangible gift because it is perishable, and no gift exception applies, the gift may be turned over to the employee's Management Official or supervisor, who will determine whether the gift should be given to an appropriate charity, shared within the office, or destroyed. Note: a “perishable” gift is a gift that is likely to decay or spoil, such as food or flowers. For these purposes, gifts of alcohol are not considered perishable.
(2) Destruction of tangible items with a value of $100 or under. Where the gift is a tangible item with a value of $100 or less, the employee may destroy the item. Disposal can be accomplished by permanently discarding or destroying the item. Donation to charity or “re-gifting” is not a permissible form of disposition.
11 FAM 613.2 Personal Gifts, Decorations, and Awards from Foreign Governments and International Organizations
(CT:POL-84; 06-03-2024)
a. Employees can only accept personal gifts, decorations, and awards from foreign governments and international organizations if one of the provisions below applies. With the exception of paragraph (e) for purposes of this section, the term “employee” includes a Department employee, their spouse, and their dependents, and the below restrictions apply equally to the Department employee’s spouse and their dependents.
b. An employee may accept a gift from a foreign government or an international organization if its fair-market value does not exceed the “minimal value” as defined periodically by GSA (NOTE: “minimal value” means retail value in the United States, and the amount changes periodically and was set at $480 on January 1, 2023). Gifts to the employee, the employee’s spouse, or the employee’s dependents given on the same occasion must remain at or below minimal value in the aggregate (see 5 U.S.C. 7342(a)(3) for the relevant definition of “gift”). If the value of the gift exceeds the “minimal value,” the employee must refuse it or return it. However if the over-value gift is in the nature of an educational scholarship or medical treatment, or it appears that refusal would likely cause offense or embarrassment or otherwise adversely affect the foreign relations of the United States, the gift may be accepted, except that a tangible gift of more than minimal value is deemed accepted on behalf of the United States and upon acceptance, becomes the property of the United States and must be deposited within 60 days to Post or to the relevant regional bureau for official use or disposal. An employee interested in retaining such a gift personally may be able to purchase the gift from GSA for the full appraised amount. An employee interested in doing so should seek guidance on the process from the Gift Unit in the Office of Protocol.
c. An employee must obtain approval in order to accept a decoration, such as an order, device, medal, badge, insignia, emblem, or award, from a foreign government or an international organization. Such decoration may only be accepted if tendered in recognition of active field service in a time of combat, or awarded for outstanding or unusually meritorious performance. The employee or the employee's Management Official must obtain approval:
(1) From the Office of Protocol, for employees at the rank of Assistant Secretary or above; or
(2) From the bureau Assistant Secretary, for employees below the rank of Assistant Secretary.
d. As with other personal gifts that exceed the minimal value, a personal gift of travel or expenses for travel (such as transportation, food, and lodging, including interview-related expenses) from a foreign government or international organization that exceeds the minimal value and that originates in or otherwise takes place, even in part, in the United States, may not be accepted by an employee. However, pursuant to the Foreign Gifts and Decorations Act, an employee may accept from a foreign government or an international organization a personal gift of travel or expenses for travel that exceeds minimal value only where the travel takes place entirely outside the United States and the travel is appropriate and consistent with the interests of the United States. To accept such a gift, the employee must request and receive approval from their Management Official and from the Under Secretary for Management. The Under Secretary for Management must determine that the Department has a specific interest that may be favorably affected by the employee's travel, or that the proposed travel will be in the best interests of the Department and the U.S. Government.
e. An employee offered a grant or other assistance by a foreign government under a cultural exchange program approved by the State Department pursuant to Section 108A of the Mutual Educational and Cultural Exchange Act of 1961 (MECEA) is required to advise the Office of the Legal Adviser for Ethics and Financial Disclosure and cannot accept such an offer unless L/EFD issues a statement of no objection. Employees should submit requests to L/EFD through their Executive Director’s office. Requests to L/EFD should be cleared through the regional bureau where the offering government is located.
f. Different rules apply regarding travel expenses in connection with an existing employment relationship; please consult L/EFD for guidance in such circumstances.
g. Rules and procedures for accepting gifts of travel from foreign governments or international organizations to be used for official travel are found in 2 FAM 962.
11 FAM 613.3 Gifts between Employees
(CT:POL-59; 09-03-2015)
a. Employees may not give a gift to, or make a contribution toward a gift for, an official superior, unless it is voluntary and:
(1) The gift is in recognition of an infrequently occurring occasion of personal significance, such as marriage, illness, or the birth or adoption of a child, and is appropriate to the occasion. Please note: a birthday is not an infrequently occurring occasion of personal significance; or
(2) The gift is in recognition of an occasion that terminates the superior-subordinate relationship, such as retirement, or resignation, or transfer, and is appropriate to the occasion; or
(3) The gift is valued at $10 or less and does not include cash; or
(4) The gift consists only of food and refreshments to be shared in the office among several employees; or
(5) The gift consists of personal hospitality at a residence, is of appropriate type and value, and would customarily be provided by the employee to personal friends; or
(6) The gift is given in connection with the receipt of personal hospitality and is of a type and value customarily given on such occasions; or
(7) The gift consists of certain leave transfers.
b. An employee may not accept a gift from an employee receiving less pay than themself unless one of the criteria in paragraph (a) of this section is met, or unless:
(1) The two employees are not in a superior-subordinate relationship, and
(2) There is a personal relationship between the employees that would justify the gift.
11 FAM 614 Political Activities and OUTSIDE ACTIVITIES
11 FAM 614.1 Political Activities
11 FAM 614.1-1 The Hatch Act and Political Activities
(CT:POL-83; 02-21-2024)
a. All employees are subject to restrictions on their political activities pursuant to the Hatch Act and Department policy. Presidential and political appointees, as well as Career Senior Executive Service employees, are subject to more extensive restrictions than other employees. The Department has issued three sets of guidance for different categories of Department employees detailing the restrictions on their political activity. The guidance is available on the L/EFD website.
b. Political activity means activity directed at the success or failure of a political party, candidate for partisan political office, or partisan political group.
c. While certain types of political activity may be permissible on personal time depending on the place of assignment or category of employee, there are certain activities that are prohibited at any time for all employees, including:
(1) Fundraising for a political party, candidate for partisan political office, or partisan political group;
(2) Engaging in political activity while on duty, in the Federal workplace, or using government resources;
(3) Running for or taking steps leading to a run for partisan political office, except for certain races in designated localities; and
(4) Using one’s official authority or influence to interfere with or affect the result of an election (e.g., using one’s official title while participating in a political activity).
d. Employees are reminded that the Hatch Act and related restrictions extend to political activity taking place online, including via social media, on both personal and official accounts.
(1) Political activity on social media includes linking to content (including individual communications such as “tweets,” “retweets,” or posts) directed at the success or failure of political parties, partisan political groups, or candidates for partisan political office, as well as linking to the websites or social media accounts of such entities. Political activity also includes “liking,” “following,” or “friending” such content, websites, and accounts.
(2) Employees may not engage in any political activity on official social media accounts and websites. The rules and considerations are more complex when it comes to political activity on personal accounts. The Department’s political activities guidance addresses the use of social media, and L/EFD can be consulted for guidance. For additional guidance on using social media for official communications, see 10 FAM 180.
11 FAM 614.1-2 Political Activities Abroad
(CT:POL-83; 02-21-2024)
(Applies to Foreign Service, Foreign Service National, and Civil Service:
Uniform State/USAID/Commerce/Foreign Service Corps-USDA)
a. Employees represent the United States at all times and must be careful not to undermine the nonpartisan foreign affairs mission of the United States. The State Department seeks to avoid any impression abroad that the conduct of our foreign affairs is affected by, or reflects, the partisan views or affiliations of our officials. Accordingly, a U.S. citizen employee, and an accompanying spouse or family members, should avoid partisan political activities (including online) directed at, or likely to be received by, a foreign audience while abroad on TDY or assignment. This does not include voting, political contributions within legal limits, or other partisan political activities conducted during non-work hours and using personal resources outside of a federal workplace that are permitted under the Hatch Act and unlikely to give rise to a perception of partisanship abroad. Political appointees and Presidential appointees are subject to additional restrictions.
b. Consistent with this longstanding understanding that representatives of the U.S. Government overseas should be viewed as nonpartisan, and consistent with the interests of morale and cohesion at post, Chiefs of Mission may also apply policies limiting the partisan political activity by contractors in the workplace or other shared or common space in U.S. government facilities, in vehicles owned or leased by the U.S. government, or while using U.S. government resources, including computers or other devices.
11 FAM 614.2 Representation of Third Parties
(CT:POL-82; 12-11-2023)
a. Employees should seek advice from L/EFD prior to engaging in outside, nonofficial activities that require communications or interactions with the State Department or other U.S. Government entities (other than Congress) on behalf of third parties, whether those activities are paid or unpaid. This can include communications with the U.S. Government as an employee or contractor of a third party or as an agent or representative of a third party. Third parties include corporations, nonprofit organizations, academic institutions, state and local governments, and other non-U.S. Government entities. The following rules apply differently to employees who are SGEs (see 11 FAM 619).
b. Subject to limited exceptions, a Federal criminal statute prohibits an employee from acting as agent or attorney for anyone before any Federal department, agency, or court, on any matter in which the United States is a party or has a direct and substantial interest. The same statute prohibits an employee from acting as agent or attorney for prosecuting any claim on behalf of a third party against the United States, or receiving any gratuity or any share of or interest in any such claim. (18 U.S.C. 205)
c. In addition, a Federal criminal statute prohibits employees from receiving compensation for representational services rendered either personally or by another in relation to matters in which the United States is a party or has a direct and substantial interest, before certain U.S. entities including any department, agency, or court. (18 U.S.C. 203)
11 FAM 614.3 Supplementation of Federal Government Salary
(CT:POL-82; 12-11-2023)
Most Federal employees are prohibited by criminal statute from receiving any salary or contribution to or supplementation of salary as compensation for their services as an employee of the U.S. Government from any source other than the U.S. Government. See 18 U.S.C. 209.
11 FAM 614.4 Outside Earned Income Limitations for Presidential Appointees and Covered Noncareer Employees
(CT:POL-83; 02-21-2024)
a. The rules regarding income limitations for Presidential appointees to full-time noncareer positions and covered noncareer employees are complex, and employees are encouraged to contact L/EFD with any questions.
b. Presidential appointees to a full-time noncareer position, as defined in 5 CFR 2635.804(c)(2), are not permitted to receive any outside earned income for outside work performed during that Presidential appointment. See 5 CFR 2635.804. NOTE: Career members of the foreign service or civil service who have been appointed by the President and are serving in a position that requires advice and consent of the Senate are subject to this limitation.
c. In addition, “covered noncareer employees,” are subject to the restrictions in paragraphs (1)-(2) below. Under 5 CFR 2636.303(a), “covered noncareer employees” means certain types of Presidential appointees, as well as noncareer members of the Senior Executive Service and the Senior Foreign Service, and certain employees appointed to a Schedule C position not under the General Schedule and for whom the rate of basic pay is equal to or greater than 120 percent of the minimum rate of basic pay payable for GS-15 of the General Schedule (in January 2024, this amount was $147,649). NOTE: “Covered noncareer employees” do not include SGEs or positions with the foreign service below the level of Assistant Secretary or Chief of Mission. Presidential appointees to full-time noncareer positions are considered “covered noncareer employees” and are subject to the restrictions below but are also subject to the total outside earned income ban described in (b) above.
(1) “Covered noncareer employees” are prohibited from receiving any compensation for any of the following outside activities: practicing a profession which involves a fiduciary relationship; being employed by a firm or other entity which provides professional services involving a fiduciary relationship; serving as an officer or member of the board of any association, corporation, or other entity; or teaching without prior approval (see Subpart C, 5 CFR 2636). In addition, “covered noncareer employees” are subject to additional restrictions including the prohibition against permitting their name to be used by any firm or other entity which provides professional services involving a fiduciary relationship. “Covered noncareer employees” also cannot receive travel expenses for any teaching, speaking, or writing in their personal capacity that is related to their official duties.
(2) The outside earned income of “covered noncareer employees” is limited to 15 percent of the annual Executive Schedule Level II pay rate (the amount in 2024is $31,815). See 5 U.S.C. app. 501-502 and 5 CFR 2636, Subpart C.
11 FAM 614.5 Speaking, Teaching, and Writing in a Personal Capacity
(CT:POL-82; 12-11-2023)
a. Ethics rules restrict an employee’s ability to receive compensation for certain speaking, teaching, and writing activities. Former employees are also restricted from receiving compensation on certain matters if the writing occurred during U.S. Government employment.
b. As a general rule, employees may not receive compensation for such activities where the subject matter “relates to the employee’s official duties,” even if undertaken in a personal capacity. NOTE: “Relates to official duties” is broadly defined by regulation and includes matters related to ongoing or announced policies and programs of the Department even where those policies and programs are not part of the employee’s actual duties. See 11 FAM 614.5-1(b). Employees should refer to 3 FAM 4170 for rules on public affairs review prior to engaging in outside speaking, teaching, or writing.
c. “Covered noncareer employees,” including full-time Senate-confirmed Presidential appointees, are subject to additional outside earned income bans and limitations. See 11 FAM 614.4.
11 FAM 614.5-1 Compensation for Speaking, Teaching, or Writing in a Personal Capacity on Matters that “Relate to Official Duties”
(CT:POL-84; 06-03-2024)
a. Prohibited “compensation” includes any form of consideration, remuneration, or income, including royalties. It does not include free attendance at the event in which the speaking or teaching takes place, or publications that provide a record of the activity. Employees other than covered noncareer employees, see 11 FAM 614.4(c), generally can accept travel expenses, consisting of transportation, lodgings, or meals, incurred in connection with personal teaching, speaking, or writing activity. Compensation is further discussed at 5 CFR 2635.807(a)(2)(iii).
b. Where the subject matter of the speaking, teaching, or writing concerns foreign affairs or other aspects of the mission of the Department, or the employee’s duties at the Department, the employee should consult with their supervisor or the relevant geographic or substantive bureau’s executive director to see whether the subject matter “relates to” their official duties. The employee may also consult with L/EFD. Speaking, teaching, or writing is “related to official duties” if:
(1) The activity is undertaken as part of the employee’s official duties;
(2) The circumstances indicate that the invitation to engage in the activity was extended primarily because of the employee’s official position rather than their expertise on the particular subject matter;
(3) The invitation to engage in the activity or the offer of compensation was extended by a person or entity whose interests may be substantially affected by the performance or nonperformance of the employee’s official duties;
(4) The information conveyed through the activity draws substantially on ideas or official data that are nonpublic information; or
(5) The subject matter deals in significant part with:
(a) Any matter to which the employee is assigned or has been assigned in the past year;
(b) Any ongoing or announced policy, program, or operation of the Department; or
(c) In the case of “covered noncareer employees,” (see 11 FAM 614.4(b) and(c)), the general subject matter area, industry, or economic sector primarily affected by programs and operations of the Department.
c. The restrictions in subparagraphs b(5)(b) and b(5)(c) of this section do not apply to SGEs. The restriction in subparagraph b(5)(a) of this section applies only during the SGE’s current appointment. Further, for an SGE who has not worked or is not expected to work more than 60 days during each year of their appointment, the restriction in subparagraph b(5)(a) of this section applies only to particular matters involving parties in which the SGE has or is participating personally and substantially.
d. Generally, an employee may accept compensation for teaching relating to their official duties if they teach a course that is offered as part of the regularly established curriculum at an approved educational institution under 5 CFR 2635.807(a)(3). “Covered noncareer employees,” see 11 FAM 614.4(c), must receive advance authorization from the DAEO through L/EFD prior to engaging in teaching for compensation. Full-time Senate-confirmed Presidential appointees are prohibited from receiving any outside earned income, see 11 FAM 614.4(b).
e. Employees required to file financial disclosure reports must report the travel expenses received from a source other than the U.S. Government if the travel or travel reimbursements exceed $480. (NOTE: this amount changes approximately every 3 years; see 5 CFR 2635.807(a)(2)(iii); 5 CFR 2634.304 and 5 CFR 2634.907(g).)
11 FAM 614.5-2 Compensation for Speaking, Teaching, or Writing in an Official Capacity
(CT:POL-82; 12-11-2023)
Employees may not receive a salary or contribution to or supplementation of their salary as compensation from an outside source for work the employee does for the U.S. Government (see 11 FAM 614.3). This rule applies to activities involving speaking, teaching, or writing when done in an official capacity.
11 FAM 614.6 Ethics Restrictions Applicable to Employees on Leave Without Pay
(CT:POL-82; 12-11-2023)
a. Employees taking leave without pay (LWOP) are reminded that they remain U.S. government employees through the duration of their LWOP and are subject to the same ethics rules and restrictions as federal employees who are not taking LWOP or otherwise on leave. For example, employees considering engaging in either paid or unpaid outside employment while on LWOP should keep in mind rules pertaining to the prohibition on representing third parties before the U.S. Government (see 11 FAM 614.2), as well as the restrictions on gifts to federal employees.
b. Employees who take on outside employment while on LWOP are reminded that upon their return to active duty, they must recuse from working on any particular matter involving their former employer for one year from the date that the employment relationship ended. See 11 FAM 612.2.
11 FAM 615 offIcial capacity partIcipation with an outside entity
(CT:POL-82; 12-11-2023)
a. Employees may be called upon to work with an outside organization in their official capacity, such as serving on the board of an outside organization or participating in a detail or training program involving an outside entity.
b. Employees participating with an outside entity in their official capacity are reminded that they remain U.S. Government employees and are subject to all applicable ethics restrictions. This section highlights common ethics issues related to certain outside capacity activities.
11 FAM 615.1 Official Capacity Board Memberships
(CT:POL-84; 06-03-2024)
a. Employees asked to serve on the board of an outside entity in their official capacity are encouraged to consult with L/EFD.
b. The employee and their sponsoring office or post must ensure that undue preference is not being shown for the organization by serving on its board and that the employee’s participation is justified by a legitimate foreign policy or programmatic objective (see 11 FAM 617.1).
c. Under the criminal conflict of interest statute (18 U.S.C. 208), unless the organization on whose board the employee is asked to serve is a nonprofit organization with tax exempt status under 26 U.S.C. 501, service on the board of the entity may require a conflict of interest waiver. If a waiver may be necessary, employees are encouraged to contact L/EFD as soon as possible.
d. Other than in the discharge of their official duties, the employee may not represent anyone other than the United States, including the outside organization or any employee of the outside organization, before a federal agency or court in connection with any particular matter in which the United States is a party or has a direct and substantial interest. See 18 U.S.C. 205.
11 FAM 615.2 Assignments, Details, and Training Practicums with Non-U.S. Government Entities
(CT:POL-82; 12-11-2023)
a. With the exception of the waiver requirements of paragraph 11 FAM 615(c) above, the restrictions outlined in 11 FAM 615.1 are also applicable to employees on an assignment, detail, or training practicum at an outside organization.
b. Employees detailed to or training at an outside organization may not represent that organization back to the Department or other federal agency or court unless it clearly falls within the scope of their official duties as described in the MOU between the Department and the receiving organization. Questions may arise about the scope of an employee’s official duties while participating in an outside organization, particularly if the scope of an employee’s participation was not memorialized in advance. In such cases, employees are encouraged to contact L/EFD for guidance.
c. Employees on details and training practicums to outside organizations are reminded that seeking employment with the entity during their detail or training practicum may constitute a violation of ethics regulations or laws. See 18 U.S.C. 208; 11 FAM 616.1.
d. Unless instructed otherwise, Department employees who are financial disclosure filers must continue to file while on detail, assignment, or training practicum to a non-federal organization.
e. Employees are prohibited from receiving compensation, honoraria, stipends, or comparable renumeration in connection with their official participation in the outside organization. See 18 U.S.C. 209. Travel costs, participation in meetings and conferences and standard office amenities anticipated as part of the detail/assignment or training practicum are not considered personal gifts to the employee. Employees may accept personal gifts only where permissible, such as gifts with a value of $20 or less or properly authorized widely attended gatherings. See 11 FAM 613. In addition, employees are prohibited from fundraising on behalf of the outside organization except upon receiving fundraising approval through 2 FAM 960, or if the fundraising is otherwise authorized by statute, Executive order, regulation, or Department determination. See 5 CFR 2635.808.
11 FAM 615.3 Details to the Legislative Branch or Other Federal Agencies
(CT:POL-82; 12-11-2023)
a. Employees detailed to another federal agency remain covered by these rules and, if the employee is detailed for a period in excess of 30 calendar days, any additional supplemental ethics regulations of the agency to which the employee is detailed.
b. An employee on detail to the legislative or judicial branch for a period in excess of 30 calendar days shall be subject to the ethical standards of the branch or entity to which the employee is detailed, but also remain subject to the conflicts of interest statutes.
c. Unless instructed otherwise, Department employees who are financial disclosure filers must continue to file while on detail or assignment other federal agencies or to the legislative branch.
d. Employees on detail or assignment continue to be subject to the Hatch Act. Employees assigned to the legislative branch should take care that they do not engage in campaign-related activity or other partisan political activities as part of their detail or assignment.
11 FAM 616 SEEKING OUTSIDE EMPLOYMENT AND POST-GOVERNMENT RESTRICTIONS
(CT:POL-82; 12-11-2023)
a. Federal laws, including criminal statutes, restrict the activities of Department employees who are seeking employment with non-Federal employers, as well as the activities of former Department employees.
b. L/EFD has issued guidance memos on these restrictions. 11 FAM 616.1 and 11 FAM 616.2 alert Department employees to certain of these restrictions but are not a comprehensive description of the applicable laws. Employees who are interested in seeking outside employment or leaving Federal employment should review the resources provided by L/EFD and should consult L/EFD as needed.
11 FAM 616.1 Seeking Outside Employment
(CT:POL-84; 06-03-2024)
a. Department employees must recuse from participating, in an official capacity, in particular matters that would affect a non-Federal entity with which they are seeking or have an arrangement for employment. (Please note certain unpaid positions, such as unpaid board memberships, qualify as employment for this purpose).
b. An employee who becomes aware of the need to recuse from a particular matter to which they have been assigned should notify the person responsible for the assignment. Appropriate oral or written notification of the recusal may be made to coworkers by the employee or a supervisor to ensure that the employee is not involved in a matter requiring recusal. An employee may elect to create a record of their actions by providing written notice to a supervisor or other appropriate official.
c. Public filers, as defined in 11 FAM 611.4 must file a Form DS-278-A, Notification of Post-Employment Negotiation or Agreement and Recusal Statement, within 3 business days of commencing negotiations with a non-Federal entity for post-government employment or compensation. A negotiation is any two-way communication concerning post-government employment, and is not limited to discussions about specific employment terms and conditions. Filers should file signed or e-signed Forms DS-278-A by emailing them to NegotiationNotice@state.gov.
d. Procurement/contracting officials are subject to additional notification requirements concerning contact with potential non-Federal employers (see 14 FAH-2 H-150).
e. When leaving government employment, public filers must file a Termination Financial Disclosure Report (OGE Form 278e) (see 11 FAM 618.3(c) for additional guidance). Arrangements or agreements for non-Federal employment that an employee has at the time of termination should be reported on the Termination Report (OGE Form 278e).
11 FAM 616.2 Post-Government Restrictions
(CT:POL-83; 02-21-2024)
a. With limited exceptions, all former Department employees (i.e., employees whose government service has terminated) are subject to:
(1) A lifetime ban on representing, with the intent to influence, any other person or entity before certain Federal entities, including any U.S. agency or court, on any particular matter involving specific parties in which the employee personally and substantially participated as a U.S. Government employee;
(2) A 2-year ban on representing, with the intent to influence, any other person or entity, before certain Federal entities, including any U.S. agency or court, on any particular matter involving specific parties that was pending under the employee's official responsibility during the employee's last year of government service; and
(3) A one-year ban on representing, aiding, or advising any other person or entity, on the basis of non-public information, about an ongoing trade or treaty negotiation in which the employee personally and substantially participated during the employee's last year of government service.
b. Additional restrictions, with limited exceptions, apply to “former senior employees,” including a one-year “cooling off period” with respect to communications to, and appearances before, Department employees on behalf of another person or entity with the intent to influence any official matter, and a 1-year prohibition on representing, aiding, or advising foreign governments and political parties with the intent to influence the executive or legislative branches. “Senior employees” include any employee who holds a position for which the pay is specified in or fixed according to the Executive Schedule, and any employee whose base salary is equal to or exceeds 86.5 percent of the annual rate of basic pay for Level II of the Executive Schedule ($191,944.00 as of January 2024).
c. Under Secretaries, Assistant Secretaries, and Ambassadors who are appointed by the President on or after April 23, 2023, are prohibited from representing, aiding, or advising a foreign entity before an officer or employee of the Executive Branch of the United States with the intent to influence a decision of such officer or employee for a three-year period after serving in such position and permanently with respect to China, Russia, Iran, North Korea, Cuba, and Syria. For any Secretary or Deputy Secretary who is appointed on or after April 23, 2023, this ban applies permanently with respect to all foreign entities.
d. Political appointees (see 11 FAM 611.1 (c) and employees involved in certain procurement decisions or holding certain positions with respect to a contract worth more than $10 million (see 14 FAH-2 H-152) are subject to additional post-government restrictions.
e. Department Employees who seek to work for an international organization in which the United States participates may be exempted from these provisions by receiving a post-government ethics waiver from the Assistant Secretary for the International Affairs Bureau. See 11 FAM 616.3(c).
11 FAM 616.3 Seeking Employment with or Working for International Organizations
(CT:POL-84; 06-03-2024)
a. International organizations are non-federal employers regardless of whether the U.S. is a member of the international organization or otherwise participate in it. Thus, the ethics restrictions applicable to federal employees seeking outside employment and to former federal employees apply with equal force to federal employees seeking to work for, or former employees working for, an international organization.
b. A current Department employee who is seeking, or has an arrangement for, future employment with an international organization must recuse from particular matters that affect that entity in their official duties at the Department. However, under appropriate circumstances, such as where the Department supports an employee’s application to the international organization, L/EFD may issue an authorization or waiver to permit the employee to participate in some particular matters affecting the international organization with which the employee is seeking employment. Employees who participate in matters affecting an international organization are strongly encouraged to contact L/EFD before applying to that entity in order to determine the scope of their recusal and to seek an authorization or waiver if necessary.
c. Former Department employees who work for international organizations are subject to the post-government ethics restrictions to the same extent as other, former Department employees. However, current, and former Department employees who seek to work for an international organization in which the United States participates may be exempted from these post-government ethics restrictions by receiving a waiver from the Assistant Secretary for the Bureau of International Organization Affairs (IO). Waiver requests are submitted through IO/MPR and are granted where the Assistant Secretary for IO determines that the activity permitted by the waiver is in the interests of the United States. The issuance of a waiver has prospective effect only.
11 FAM 616.4 Additional Restrictions on Post Government Employment for Certain Political Appointees
(CT:POL-82; 12-11-2023)
a. In addition to the post government restrictions outlined herein, political appointees must adhere to additional restrictions in any executive orders issued by the President, or any ethics pledge they may have signed when commencing service as a political appointee.
b. Political appointees are responsible for being aware of their additional obligations, although they are encouraged to contact L/EFD if they have questions about these obligations.
11 FAM 617 MISUSE OF POSITION
(CT:POL-82; 12-11-2023)
11 FAM 617.1 Use of Public Office for Private Gain
(CT:POL-84; 06-03-2024)
a. An employee shall not use their public office:
(1) For their own private gain; or
(2 For the private gain or preference of friends, relatives, or persons or entities with whom the employee is affiliated in a nongovernmental capacity (including but not limited to nonprofit organizations of which the employee is an officer or a member or persons or entities with whom the employee has or seeks employment or business relationships).
b. An employee shall not use or permit the use of their Department position, title, or authority in a manner that is intended to coerce or induce another person (including a subordinate) or entity to provide benefits to the employee, the employee's friends or relatives, or persons or entities with whom the employee is affiliated in a nongovernmental capacity.
c. An employee shall not use their Department position for the endorsement of any product, service, or enterprise, except where, in consultation with the employee's office or bureau, it is determined that it is:
(1) In furtherance of statutory authority to promote products, services, or enterprises;
(2) As a result of documentation of compliance with Department requirements or standards; or
(3) As the result of recognition for achievement given under a Department program of recognition for accomplishments in support of the Department's mission.
d. An employee shall not use or permit the use of their Department position or title or any authority associated with their public office in a manner that could be reasonably construed to imply that the Department or the government sanctions or endorses their personal activities or those of another.
e. Nothing in this section prohibits employees from participating in official commercial and business advocacy programs such as those which promote, develop, assist, support, or reach out to U.S. companies.
11 FAM 617.2 Solicitation of Upgrades
(CT:POL-82; 12-11-2023)
Employees may not solicit or accept travel upgrades based on the employee’s official title or position.
11 FAM 617.3 Letters of Recommendation
(CT:POL-84; 06-03-2024)
a. In general, employees may not use their official Department titles or Department letterhead when writing letters of recommendation or character references in their personal capacity, unless the criteria in this section are met.
b. An employee may sign a personal letter of recommendation or character reference using the employee's official title and/or Department letterhead only in response to a request for an employment recommendation or character reference based upon the employee's personal knowledge of the ability or character of an individual with whom the employee has dealt in the course of Federal employment or whom they are recommending for Federal employment.
c. Even if the criteria in this section are satisfied, the letters above are not mandated. It is never inappropriate and is frequently prudent for an employee to refuse requests for such letters in any case that might give rise to the misperception of the use of public office for private gain, questions of undue preference, or otherwise cause embarrassment to the Department.
d. An employee may not use official Department letterhead or sign with an official title when writing an immigration or visa support letter in their personal capacity. A personal capacity immigration or visa support letter on personal letterhead may make only passing reference to the employee's Federal employment, if appropriate (e.g., as one of several biographical details of the employee). Such a personal capacity letter should be drafted in a manner which does not imply that it conveys an official Department position or a Department endorsement of the person about whom the letter is written. If any letter of support references an employee's Federal position, the letter must contain a statement that the views expressed in the letter are the personal views of the employee acting in their personal capacity.
NOTE: Even in a personal capacity, employees are generally not permitted to write letters of support in asylum proceedings for any individual the employee has come to know through the course of federal employment.
e. Nothing in this section prohibits an employee from providing visa referral assistance in an official capacity to applicants in furtherance of U.S. Government interests (9 FAM 601.8).
11 FAM 617.4 Use of Chief-of-Mission Residence (CMR)
(CT:POL-84; 06-03-2024)
a. Apart from appropriate personal use by the ambassador and their family, the chief of mission's residence (CMR) may only be used for official purposes and functions. Unless otherwise authorized, it should not be used, with or without payment, by a nongovernmental entity for events that are not co-hosted by the Department.
b. In order to use a chief-of-mission residence for a co-hosted event with a nongovernmental entity, post should ensure that:
(1) If there will be fundraising at the event, it is approved in accordance with the procedures in 2 FAM 960;
(2) There is a foreign affairs purpose for co-hosting the event;
(3) No undue preference has been given to the co-host over other similar entities;
(4) Co-hosting the event does not create a real or apparent conflict of interest for any employees taking official actions with regard to the event and does not call into question the integrity of the Department’s programs or operations;
(5) Any use of promotional materials by the co-host is appropriate; and
(6) Post retains control of the guest list for any co-hosted events.
11 FAM 617.5 Fundraising
(CT:POL-84; 06-03-2024)
a. The Combined Federal Campaign (CFC) is the only authorized means to fundraise from employees in the federal workplace for monetary contributions to benefit charitable organizations. Employees may not conduct personal fundraising activities in the workplace that are not permitted under the CFC regulations. See 5 CFR 950.
(1) CFC regulations do not apply to the collection of in-kind gifts, such as food, clothing, and toys, or to fundraising outside of the federal workplace. Employees interested in engaging in the collection of in-kind gifts are still bound by the ethics rules and should avoid coercion and the misuse of Department resources, time, and authority.
(2) CFC regulations do not restrict employee associations from fundraising within the workplace from their members and for the benefit of association members.
(3) Fundraising that involves gambling on federal property, including some raffles, is prohibited. Gambling is defined as a game of chance where the participant risks something of value for the chance to gain or win a prize. See 6 FAM 527.
b. Unless consistent with 2 FAM 960, employees may not solicit funds or gifts or otherwise conduct fundraising activities in their official capacities, including participation in the conduct of a fundraiser, such as sending or signing fundraising messages; selling items; or promoting, chairing, serving on a host committee, sitting at a head table, or standing in a receiving line of a fundraising event.
(1) Passive attendance in an official capacity at a fundraising event is permitted without authorization under 2 FAM 960 if the employee’s attendance is not used to promote the event and attendance is otherwise permitted by the ethics rules, including restrictions on the acceptance of gifts.
(2) An employee may give an official speech at a fundraising event on a subject matter relating to their official duties if the forum is appropriate to convey the information presented and the employee does not request donations or other support for the organization and the employee does not otherwise participate in the conduct of fundraising activities.
c. Employees who conduct fundraising activities in their personal capacities shall not use or permit the use of their Department position, title, resources, or authority to further their fundraising efforts. Furthermore, employees should be aware that they should not fundraise in their personal capacities from subordinates or from any outside entity they know has a matter with the Department. See 5 CFR 2635.808(c).
11 FAM 618 FINANCIAL DISCLOSURE
(CT:POL-82; 12-11-2023)
11 FAM 618.1 Background
(CT:POL-86; 07-30-2024)
a. All executive branch agencies are required to administer a financial disclosure program. The financial disclosure program is an important tool in helping employees identify and avoid potential conflicts of interest in a timely fashion. In terms of program implementation, the employees required to submit financial disclosure reports, GTM, management officials, and officials tasked with providing an initial review of financial disclosure reports for potential conflicts all have responsibilities that are spelled out further below. L/EFD administers the program and provides the final review for all financial disclosure reports. The expectation is for L/EFD to certify financial disclosure reports within 60 days of the date they were filed if no further information is being sought as part of the review process. Requirements for the filing and review of financial disclosure reports can be found in 5 CFR 2634, and additional program requirements are addressed in 5 CFR 2638.
b. Certain employees because of their positions or responsibilities must file financial disclosure reports. Generally, those in senior or noncareer positions are designated by the Department as public filers (see 11 FAM 611.4) and must file the OGE Form 278e, Public Financial Disclosure Report and the OGE Form 278-T, Periodic Transaction Report. Other employees who must file are designated by the Department as confidential filers (see 11 FAM 611.4) because of their job duties or Special Government Employee designation and must file the OGE Form 450, Confidential Financial Disclosure Report. Official time may be used by employees to complete a financial disclosure report or to assist others in the completion of a financial disclosure report.
c. It is the responsibility of every employee who is required to file a financial disclosure report to ensure that the report is complete and accurate, and filed in a timely fashion. It is also the responsibility of every employee who is required to file a financial disclosure report to cooperate fully with L/EFD and Management Officials to promptly provide any requested information, make any requested amendments to the reports, or undertake any actions required to remedy any potential conflict.
11 FAM 618.2 Online Financial Disclosure Reporting Systems: the Financial Disclosure Management (FDM) System and the Integrity.gov System
(CT:POL-82; 12-11-2023)
Department filers and prospective filers are required to use an online system for filing their reports.
(1) Confidential Financial Disclosure Filers (OGE Form 450) must use the FDM system for electronic filing of their reports. The filer’s Management Official should request that an FDM account be created for the filer from the IT Service Center, which will provide the filer with log-in credentials. In the case of pre-employment clearance requests the Management Official should instead contact L/EFD to request the account. (See 11 FAM 618.3-3.)
(2) Public Financial Disclosure Filers (OGE Form 278e and 278-T) must use the Integrity.gov system for electronic filing of all OGE Form 278e reports and all OGE Form 278-T reports. The filer’s Management Official should request that an Integrity.gov account be created for the filer from L/EFD.
11 FAM 618.3 Filing Requirements and Deadlines
(CT:POL-82; 12-11-2023)
11 FAM 618.3-1 Public Financial Disclosure Reports (OGE Form 278e and OGE Form 278-T)
(CT:POL-82; 12-11-2023)
a. There are four types of public financial disclosure reports: New Entrant Financial Disclosure Reports, Annual Financial Disclosure Reports, Periodic Transaction Reports, and Termination Financial Disclosure Reports. The deadlines and filing instructions for these reports are below.
b. If a report is filed more than 30 days past an established deadline, the filer must remit a late filing fee of $200 payable to the U.S. Treasury, in accordance with 5 CFR 2634.704. A separate late filing fee is assessed for each late report. The DAEO and ADAEO have discretion to waive this late filing fee in extraordinary circumstances. The process for submitting an application for a penalty waiver can be found on the L/EFD Intranet/SharePoint site. Requests should be submitted in writing to: Latefilers@state.gov. If payment is not remitted promptly, the late filing fee may be subject to Department debt collection procedures.
c. Any filer who fails to file a required report, falsifies information on a report, or fails to cooperate in the review of a report may face additional adverse consequences. These can include, for example, disciplinary action, removal from SFS Promotion Lists or delay of promotion, removal from recommendation for senior positions, or the withholding of performance awards. Please also note that a failure to file or the falsification of a report may result in referral to the Department of Justice for the initiation of civil penalties or prosecution.
11 FAM 618.3-1(A) New Entrant Public Financial Disclosure Reports
(CT:POL-82; 12-11-2023)
a. An individual who assumes a public filer position (including in an acting capacity or “stretch” position) and is expected to serve in that position for more than 60 days in a calendar year, or who is promoted to the Senior Foreign Service or Senior Executive Service and is not already a public filer, must file a New Entrant Public Financial Disclosure Report (OGE Form 278e) within 30 days after the date of entry into the position or the promotion. By policy, new employees joining the Department in a public filing position should file a New Entrant Public Financial Disclosure Report (OGE Form 278e) prior to appointment. See 11 FAM 618.3-3.
b. An employee, such as an employee serving in a public filing position in an “acting” capacity, who was not expected to serve in such a position for more than 60 days in a calendar year but in fact actually performs the duties of an office requiring filing for more than 60 days, becomes a filer and should commence filing within 15 calendar days after the sixtieth day of duty. See 5 CFR 2634.204.
c. A copy of the filer's position description or work requirements must be attached to the new entrant Form OGE Form 278e in FDM or Integrity.gov.
11 FAM 618.3-1(B) Annual Public Financial Disclosure Reports
(CT:POL-84; 06-03-2024)
a. An individual who has served in a public filer position (including in an acting capacity) for more than 60 days during the previous calendar year must file an Annual Public Financial Disclosure Report (OGE Form 278e) by May 15, unless the individual:
(1) has requested and received an extension of the filing deadline from L/EFD;
(2) terminated from the position prior to the May 15 filing date and will not assume another public filer position within 30 days after termination, in which case the individual must file a Termination Report, see 11 FAM 618.3-1(C); or
(3) intends to terminate within 90 days of May 15, and has requested and received an extension in order to file a combined Annual-Termination Report. (see 11 FAM 618.3-1(C)).
b. Please note that if a public filer is also a candidate for a Presidential appointment, and files a “Nominee” Financial Disclosure Report, the employee must still file their Annual Report on the normal cycle. Filing a “Nominee” Financial Disclosure Report does not fulfill the employee's obligation to file an Annual Financial Disclosure Report.
11 FAM 618.3-1(C) Termination Public Financial Disclosure Reports
(CT:POL-84; 06-03-2024)
a. An individual who has served in a public filer position (including in an acting capacity) for more than 60 days must file a Termination Financial Disclosure Report (OGE Form 278e) when leaving the filing position unless the individual will enter another public filer position within 30 days, or has requested and received an extension of time within which to file. The Termination Report may be filed as early as 15 days prior to leaving the filing position but must be filed no later than 30 days after leaving the filing position.
b. If an employee expects to terminate from a filing position within 90 days after May 15 in any year, the employee may seek an extension of time to file their Annual Report in accordance with 11 FAM 618.7 to enable the filer to file a combined Annual-Termination report.
11 FAM 618.3-1(D) Periodic Transaction Reports (Forms OGE-278-T)
(CT:POL-82; 12-11-2023)
a. Public filers must also file a Periodic Transaction Report (OGE Form 278-T) within 30 days of notice of a reportable transaction, and no later than 45 days after the transaction has taken place.
b. A reportable transaction includes any purchase, sale, or exchange by the filer, the filer's spouse, or the filer's dependent child of stocks, bonds, commodity futures, or other securities, including transactions in a managed account or trust, if the amount of the transaction exceeds $1,000. A reportable transaction does not include the acquisition of an asset through inheritance or marriage because such an event is not considered to be a “purchase, sale, or exchange.”
c. Purchases, sales, or exchanges of the following do not need to be reported on a periodic transaction report:
(1) mutual funds;
(2) any other excepted investment fund;
(3) U.S. treasury securities (bills, notes, and bonds); or
(4) real property.
11 FAM 618.3-2 Confidential Financial Disclosure Reports (OGE-450s)
(CT:POL-82; 12-11-2023)
a. There are two types of Confidential Financial Disclosure Reports – New Entrant Reports and Annual Reports.
b. A filer who fails to file a report when requested to do so or does not request a late filing waiver may be subject to adverse personnel action. These can include, for example, disciplinary action, removal from SFS Promotion Lists or delay of promotion, removal from recommendation for senior positions, or the withholding of performance awards. Please also note that a falsification of a report may result in a referral for investigation and possible prosecution.
11 FAM 618.3-2(A) New Entrant Confidential Financial Disclosure Reports
(CT:POL-82; 12-11-2023)
a. An individual who assumes a confidential filer position (including in an acting capacity) and is expected to serve for more than 60 days in the following 12-month period must file a New Entrant Confidential Financial Disclosure Report (OGE Form 450) within 30 days after the date of entry into the position unless the individual has transferred from another confidential filer position within the previous 30-day period NOTE: A bureau or post may request a pre-employment clearance for an employee in accordance with 11 FAM 618.3-3.
b. A copy of the filer's position description or work requirements for the period covered by the report must be attached to the New Entrant Confidential Financial Disclosure Report (OGE Form 450) in FDM.
11 FAM 618.3-2(B) Annual Confidential Financial Disclosure Reports
(CT:POL-82; 12-11-2023)
Except as provided in 11 FAM 619.4 (Financial Disclosure for SGEs), an individual who has served in a confidential filer position (including in an acting capacity) for more than 60 days during the previous calendar year must file an Annual Confidential Financial Disclosure Report (Form OGE-450) by February 15, unless the individual has left the filing position prior to February 15, or has requested and received an extension of time.
11 FAM 618.3-2(C) Review of Confidential Filer Status
(CT:POL-84; 06-03-2024)
If an individual believes that their position has been improperly determined to require submission of a Confidential Financial Disclosure Report (OGE Form 450), the individual should consult with their Management Official. If the employee disagrees with the Management Official's determination, the individual may seek a determination from L/EFD. An employee’s request and supporting argument must be directed in writing to L/EFD. The request for review should be submitted prior to the due date of any report that has been assigned to an individual.
11 FAM 618.3-3 Pre-Employment Ethics Review
(CT:POL-82; 12-11-2023)
a. It is the Department’s policy that if a potential employee is a candidate for employment for, or will serve on detail in, a position that requires the employee to file a financial disclosure report, the prospective Management Official or human resource official should request that L/EFD perform a pre-employment ethics review (“pre-clearance”). The purpose of the review is to identify and resolve conflicts of interest prior to employment.
b. In order to request pre-clearance, the prospective Management Official or Human Resource Official must request the clearance no less than 30 days prior to the employee's first day at the Department or in the position. The requesting office must:
(1) Ensure that the position requires a financial disclosure report. L/EFD Financial Disclosure staff can assist in this determination;
(2) Submit a preclearance request memo to Lempfdfinancial@state.gov. The template and instructions are available on L/EFD Intranet SharePoint site;
(3) Upload into the relevant online system the pre-clearance request memo, position description, and any other required ethics documents, such as any ethics pledges appointees were required to sign by Executive Order or otherwise by the Administration.
(4) Inform L/EFD of the date the candidate was appointed within 15 days of appointment, or if the candidate withdraws or is withdrawn, or otherwise is not appointed, inform L/EFD as soon as practicable.
c. L/EFD will assign a financial disclosure report, conduct the pre-clearance review, and notify the appropriate HR Specialist upon completion. L/EFD will complete this process within 30 working days, when possible.
d. Candidates who file pre-clearance new entrant reports do not need to file an additional new entrant report within 30 days of arriving at the Department or in the position.
e. If a candidate is still pending appointment and has not yet been appointed more than 60 days after pre-clearance was issued by L/EFD, the relevant HR Specialist should request that the L/EFD revalidate the pre-clearance, based on updated information if applicable.
11 FAM 618.3-4 Pre-Assignment Ethics Review
(CT:POL-82; 12-11-2023)
In the event a current employee is changing positions within the Department or is assigned new and different duties, the relevant bureau may request a pre-assignment ethics review from L/EFD using the procedures in 11 FAM 618.3-3. A pre-assignment ethics review will not be necessary in most cases, but may be particularly useful for senior appointments or in circumstances where the risk of a conflict of interest appears substantial.
11 FAM 618.3-5 Effective Filing Date
(CT:POL-82; 12-11-2023)
All financial disclosure reports are deemed filed when they are initially e-signed by the employee in FDM or in Integrity.gov.
11 FAM 618.4 Management Official Responsibilities
(CT:POL-82; 12-11-2023)
11 FAM 618.4-1 Responsibilities with Regard to New Entrant Filers
(CT:POL-82; 12-11-2023)
With respect to each candidate for employment, an individual who will serve on detail in a position that requires the filing of a financial disclosure report at the Department, a current employee who has been promoted into a Senior Foreign Service or Senior Executive Service position, or is transferring from another position into a position that requires the filing of a financial disclosure report, or an employee who is expected to serve or has served in an acting or stretch capacity in a position that requires the filing of a financial disclosure report, the prospective Management Official must:
(1) Determine if the individual will assume a public filer or confidential filer position (see 11 FAM 611.4). Management Officials may use the OGE Form 450 Job Aid for assistance with determining whether an employee should file a Confidential Financial Disclosure Report (OGE Form 450);
(2) Submit account requests in accordance with 11 FAM 618.2
(3) Transmit a request for ethics pre-clearance to L/EFD in accordance with 11 FAM 618.3-3, where necessary;
(4) Ensure that the individual's position filing status is noted appropriately in GEMS;
(5) Ensure that new filers are notified of their obligation to complete annual ethics training (see 11 FAM 622); and
(6) For employees who will file a Public Financial Disclosure Report (OGE Form 278e), ensure that the new filers are notified of their obligation to also file Periodic Transaction Reports (OGE Form 278-T) for any reportable transaction (see 11 FAM 618.3-1(D)).
11 FAM 618.4-2 Responsibilities with Regard to Financial Disclosure Online Systems: FDM and Integrity.gov
(CT:POL-82; 12-11-2023)
With regards to the online systems specifically, Management Officials are responsible for the following actions:
(1) Designating and identifying a Point of Contact (POC) and Initial Reviewers. The POC is intended to assist with the financial disclosure responsibilities of the Management Official. The responsibilities of the Initial Reviewers are in 11 FAM 618.5.
(2) Ensuring that filers and initial reviewers are assigned to the correct “org unit” in Integrity.gov and FDM by the following:
(a) Within 10 days of an employee’s transfer, moving confidential filers to the appropriate new “org unit” in FDM if the filer is transferred within the same bureau and notifying L/EFD at Lempfdfinancial@state.gov if a confidential filer needs to be moved to a new “org unit” in a different bureau;
(b) Notifying L/EFD at lempfdfinancial@state.gov within 10 working days of a public filer's departure or arrival so that the public filer can be moved to the appropriate “org unit”;
(c) Notifying L/EFD at lempfdfinancial@state.gov within 10 working days if an initial reviewer has transferred to a different post or org unit;
(d) Assisting L/EFD, upon request, in reviewing all filers and initial reviewers within their responsibility in Integrity.gov and FDM to ensure that they are correctly identified and in the appropriate “org unit.” These reviews generally occur in the summer and winter. The summer review ensures that rotations and new assignments are addressed appropriately. The winter review ensures that all filers and initial reviewers are in the correct “org unit” when annual financial disclosure reports are assigned at the beginning of the new year.
(e) Monitoring completion of filers’ financial disclosure reports in FDM and Integrity.gov by the applicable filing deadline and advising filers that they are late within 10 working days of the due date.
11 FAM 618.4-3 Responsibilities with Regard to Termination Filers
(CT:POL-82; 12-11-2023)
With respect to any employee who is terminating from a public filer position (see 11 FAM 618.3-1(C)), the Management Official for each bureau or post must do the following:
(1) Notify L/EFD as soon as possible that a public filer is leaving the filing position, along with the effective date, and request that L/EFD assign termination report.
(2) Ensure the filer is notified of the requirement to submit the termination report.
11 FAM 618.5 Initial Reviewer Responsibilities
(CT:POL-82; 12-11-2023)
a. Initial reviewers are known as “supervisors” in the FDM and as “initial reviewers” in Integrity.gov.
b. Initial reviewers must take the online course, “Financial Disclosure Initial Reviewer’s Training” (PA 456) via FSI before assuming their duties as reviewers and may take this training as needed as a refresher on an annual basis in subsequent years.
c. The initial reviewer, designated in accordance with 11 FAM 618.4-2, must within 30 days of receipt of the report, undertake an initial review of OGE Form 278e, OGE Form 278-T, or OGE Form 450, to help L/EFD identify actual or potential conflicts of interest. The initial reviewer will review each report to ensure it is complete and to evaluate whether the filer has participated in or is likely in the future participate in any matter that could potentially involve or affect any entity with which the filer is affiliated or in which the filer has an interest. For example, if a company has business before the filer’s bureau or post or has operations in the post’s host country, and the filer has a financial interest in that company, the initial reviewer should specifically consider whether the filer is required to perform official duties relating to that company. In this regard, supervisors of filers have an obligation to cooperate with initial reviewers when asked.
d. If the initial reviewer identifies a potential conflict of interest, they should contact L/EFD to discuss the matter further. The initial reviewer is not responsible for making legal judgments concerning the applicability of an ethics law.
e. After the review is complete, the initial reviewer must e-sign the report. Upon e-signature, the online system (FDM or Integrity.gov) will automatically transmit the report to the appropriate L/EFD certifier.
11 FAM 618.6 Responsibilities of Global Talent Management (GTM) and the Office of White House Liaison (M/WHL)
(CT:POL-82; 12-11-2023)
a. The Office of Performance Evaluation (GTM/PE) will promptly provide L/EFD, in writing, with the name of any Foreign Service officer who is promoted to a public filer position.
b. The Office of White House Liaison (M/WHL) works with L/EFD to facilitate the ethics clearance process for political appointees entering positions that do not require the advice and consent of the Senate for confirmation. GTM/CDA/PAS coordinates with L/EFD as appropriate with regards to candidates for Department positions requiring the advice and consent of the Senate.
c. GTM/EX/SOD will provide L/EFD with access to the Knowledge Center Personnel Report for appointments/separations, financial disclosure filers, and ethics training dates as well as access to the AU Console to assist with the Ethics and Financial Disclosure Program as necessary.
11 FAM 618.7 Extensions
(CT:POL-84; 06-03-2024)
a. The DAEO, ADAEO, or a deputy ethics official may, for good cause shown, grant to any individual public filer or class of public filers an initial extension of the filing deadline for an OGE Form 278e or OGE Form 278-T report which shall not exceed 45 days. An additional extension may be granted for good cause shown which shall not exceed 45 days. Such additional extension requires a written request by the filer in accordance with 5 CFR 2634.201(g). The written request for an extension must set forth the facts justifying good cause shown for the extension. Examples of good cause may include significant illness or family emergency, or for the convenience of filing combined reports (e.g., Annual/Termination). Any request that has been granted will be granted in writing.
b. The DAEO, ADAEO, or a deputy ethics official may, for good cause shown, grant to any confidential filer or class of filers, a filing extension, or several extensions totaling not more than 90 days for an OGE Form 450 report, in accordance with 5 CFR 2634.903(d).
c. In the case of an individual who has been sent to a combat zone or required to perform services away from their permanent duty station in support of the Department, the Armed Forces, or other governmental entities following the declaration by the President of a national emergency, a financial disclosure due date will be automatically extended for 180 days in the case of a Public Financial Disclosure Report (OGE Form 278e or OGE Form 278-T), or for 90 days in the case of a Confidential Financial Disclosure Report (OGE Form 450), dating from the last day of:
(1) The individual’s service in the combat zone or service away from their permanent duty station; or
(2) The individual’s hospitalization as a result of injury received or disease contracted while serving during the national emergency.
11 FAM 618.8 Public Access to Public Financial Disclosure Reports
(CT:POL-82; 12-11-2023)
a. The Department is required to make Public Financial Disclosure Reports (OGE Form 278e and OGE Form 278-T) available to the public upon request in accordance with 5 CFR 2634.603. To request these reports under these provisions, the requestor must fill out Form OGE-201: “Request to Inspect or Receive Copies of OGE Form 278e/OGE 278T or Other Covered Records” and submit the request to OGE201Request@state.gov.
b. The Department does not make Confidential Financial Disclosure Reports (OGE Form 450) available to the public because Confidential Financial Disclosure Reports are protected from public disclosure under the Ethics In Government Act.
11 FAM 619 SPECIAL GOVERNMENT EMPLOYEES
(CT:POL-82; 12-11-2023)
11 FAM 619.1 Background
(CT:POL-84; 06-03-2024)
a. The special government employee (SGE) category was created by Congress to limit the applicability of certain ethics restrictions to certain employees. It is not an appointment authority. See 18 U.S.C. 202.
b. The designation allows such an employee to work on a temporary basis in a full-time or intermittent position for the Department, while maintaining a broader range of outside employment or activities than other employees.
c. Only employees expected to work no more than 130 days in a 365-day period are eligible to be designated as SGEs.
d. By obtaining the SGE designation, the employee, for example:
(1) May represent third parties before the U.S. Government on a wider range of matters (see 18 U.S.C. 203; 18 U.S.C. 205);
(2) May speak, teach, and write for compensation on a wider range of topics (see 5 CFR 2635.807);
(3) Is only subject to Hatch Act restrictions on partisan political activities while “on duty” (see 5 U.S.C. 7321, et. Seq.); and
(4) Is subject to the post-government ethics restrictions on “former senior employees” only if having served 60 or more days as an SGE during the 1-year period before terminating (see 18 U.S.C. 207);
e. Management Officials should weigh these ethics considerations when determining whether to designate an employee as an SGE. If the prospective employee does not intend to maintain outside employment or other outside engagements, then it may not be necessary to consider whether the criteria for an SGE designation are satisfied, unless the employee is required to be designated as an SGE under the terms of their appointment authority (e.g., for certain Federal Advisory Boards).
f. Types of employees that could be designated as SGEs beyond those serving on advisory boards would typically include experts, consultants, and certain reemployed annuitants.
g. “SGE” is not an appointment authority and persons can be hired for part-time work without an SGE designation. Those individuals not designated as an SGE (including Re-Employed Annuitants (REAs)) are subject to the same ethics laws and rules as regular employees.
h. An SGE designation lasts for 1 year and must be renewed annually if the employment extends beyond a year.
i. Some ethics restrictions, such as those relating to the representation-back prohibitions of 18 U.S.C. 203 & 205, vary depending on whether the employee works 1-60 days or more than 60 days in the 365-day period.
11 FAM 619.2 Responsibilities of Management Officials and Ethics Officials with Regard to SGEs
(CT:POL-82; 12-11-2023)
a. An individual’s prospective management official will:
(1) Make the determination whether an individual should be designated as an SGE before the appointment or reappointment and document the SGE designation using the procedures established by GTM/CSTM for that purpose. (NOTE: that if the bureau wishes the person to continue to be designated as an SGE after the initial 365-day period, the same process must be followed, regardless of whether the employee’s appointment is continuous or needs to be extended.);
(2) Inform each individual before appointment or reappointment of the individual’s designation as an SGE;
(3) Ensure documentation of an individual’s designation as an SGE is in the employee’s personnel file;
(4) Ensure that a tracking mechanism is implemented to document the number of days worked by the SGE;
(5) Ensure that the individual's SGE status is noted with the appropriate remark code(s) on the employee's SF-50; and
(6) Obtain pre-employment clearance from L/EFD (see 11 FAM 618.3-3) for SGEs who are required to file financial disclosure reports (see 11 FAM 619.4) and ensure that the SGE files a New Entrant financial disclosure report.
b. The prospective management official or the designated Federal officer for the relevant Advisory Committee will consult with the Office of the Assistant Legal Adviser for Management (L/M) and L/EFD before determining whether Department advisory committee members will serve as representatives or will be designated as SGEs.
c. The management official should refer to SGE Guidance and Procedures established GTM/CSTM for further information and also consult L/EFD for guidance.
11 FAM 619.3 Counting Days of Service
(CT:POL-82; 12-11-2023)
a. For purposes of counting days of service during a 365-day period:
(1) Days worked at all Federal agencies during the 365-day period are counted;
(2) Work performed on weekends or holidays counts toward the total; and
(3) A partial day of work counts as an entire day, unless the work performed is uncompensated and is limited to:
(a) Strictly administrative matters (e.g., filling out personnel or security clearance paperwork or scheduling meetings);
(b) One or two brief communications (e.g., a short email to the chair of a committee, even if it touches on a substantive matter);
(c) Brief periods of reading or other preparatory work outside the government workplace; or
(d) General, self-directed background reading on the SGE's own initiative.
b. If an employee is designated as an SGE based on a good-faith estimate of days to be served, but the employee unexpectedly serves for more than 130 days during the ensuing 365-day period, the individual will be deemed an SGE for the remainder of that period. However, before the beginning of the next 365-day period, the Management Official should reevaluate whether the employee is correctly designated as an SGE.
11 FAM 619.4 Financial Disclosure for SGEs
(CT:POL-82; 12-11-2023)
a. All SGEs must file a financial disclosure report unless an employee has been exempted from the filing requirement by L/EFD. This includes SGEs serving on either a Federal Advisory Committee (FACA) or a non-FACA board unless the committee or board has been exempted from the filing requirement by L/EFD. Generally, SGEs will file a New Entrant Confidential Financial Disclosure Report (OGE Form 450) prior to designation or annual re-designation. In some circumstances, L/EFD will require the SGE to file a Public Financial Disclosure (OGE Form 278e).
b. Please see 11 FAM 618.3-3 for instructions on requesting an ethics clearance for the appointments of individuals who will be designated as SGEs. The appropriate Ethics Acknowledgement and Guidance for SGEs must be submitted with the pre-clearance request as it includes a required ethics training.
11 FAM Exhibit 613
Personal Gifts to Employees: General Guidelines and Frequent Exceptions1
(CT:POL-84; 06-03-2024)
An employee may not accept a gift that is EITHER offered because of the employee’s position OR that is from a prohibited source or foreign government, UNLESS there is a rule that permits acceptance of the gift. Some of the most common rules allowing acceptance are set forth below.
a. Prohibited source generally includes any person or entity seeking official action by the Department; doing business with the Department; conducting activities regulated by the Department; or having interests that may be substantially impacted by the performance of the employee’s official duties.
b. If you are unsure if an outside entity is a prohibited source, it would be best for you to simply assume that the entity is a prohibited source.
|
IF |
THEN |
UNLESS |
|
Gift is offered by a foreign government
Gift offered because of recipient’s official position OR gift is from a prohibited source |
Gift cannot be accepted (must be refused or returned, paid for through protocol)
Gift cannot be accepted (must be refused, returned, or paid for, or if valued under $100, destroyed) |
The fair-market value of the gift does not exceed the de minimis value (as of 2023, $480) (see 11 FAM 613.2) If the fair-market value of the gift exceeds the de minimis value, but refusing or returning it would cause offense or embarrassment or otherwise adversely affect the foreign relations of the United States, the employee may be able to accept the gift on behalf of the Department (see 2 FAM 962) ;
The employee first determines that accepting the gift would not put into question their impartiality or integrity AND
(1)The gift involves modest items of food and refreshments, such as coffee and donuts, not offered as part of a meal; OR
(2)The gift has little intrinsic value such as a greeting card or plaque intended solely for presentation; OR
(3)The gift has a fair market value in the United States of $20 or less, provided an employee will not have received more than $50 from the source in a calendar year; OR
(4) The gift is free attendance at a widely attended gathering, either in the United States or abroad, where the conditions of 11 FAM 613.1-1 have been satisfied and attendance is approved per the procedures in that section; OR
(5) The gift is a gift of meals, refreshments, or entertainment abroad, up to the value of the local U.S. Government per diem, from an individual/organization overseas where the gathering includes non-U.S. citizens, and attendance is part of employee’s official duties; OR
(6) The gift is a gift of informational materials which: (a) Are educational or instructive in nature;
(b) Are not primarily created for entertainment, display, or decoration; and
(c) Contain information that relates in whole or in part to the following categories: (i) The employee’s official duties or position, profession, or field of study;
(ii) A general subject matter area, industry, or economic sector affected by or involved in the programs or operations of the agency; or
(iii) Another topic of interest to the agency or its mission. (NOTE:) An employee may not, however, accept informational materials exceeding an aggregate market value of $100 in any calendar year from any one source, unless the agency designee makes a written determination that the employee’s integrity or impartiality would not be questioned; OR
(7) The gift qualifies as a perishable gift, per 11 FAM 613.1-6; OR
(8) The gift is offered by a private individual or organization and the employee is abroad, and it has been determined that refusing or returning the gift would cause offense or embarrassment or otherwise adversely affect the foreign relations of the United States. In this circumstance, the employee may accept the gift on behalf of the Department, and deposit the gift with the management officer for official use or appropriate disposal (see 3 FAM 4120).
|
|
Gift is an award or honorary degree |
Gift cannot be accepted (must be refused, returned, or paid for) |
The gift is for meritorious public service or achievement; is from a source that does not have interests that may be substantially affected by the performance or nonperformance of the employee’s duties; and satisfies the other conditions in 11 FAM 613.1-4(A) . |
_________________
[1] This Appendix outlines exceptions most commonly used by Department employees. This Appendix is not exhaustive. Employees are encouraged to seek guidance in any particular situation from a Management Official or from the Department’s Ethics Office (L/EFD) at EthicsAttorneyMailbox@state.gov.