11 FAM 620
ETHICS INFORMATION AND TRAINING
(CT:POL-84; 06-03-2024)
(Office of origin: L/EFD)
11 FAM 621 Background
(CT:POL-82; 12-11-2023)
In accordance with Subpart C, 5 CFR 2638, the Department maintains a program of ethics training to ensure that all employees are aware of Federal ethics laws. The training program includes an initial ethics orientation for all new employees and annual training for financial disclosure report filers.
11 FAM 622 Ethics Training
(CT:POL-84; 06-03-2024)
a. Each Department employee is responsible for ensuring that all required ethics courses are taken in a timely fashion.
(1) Orientation
(a) Each new employee is required to receive ethics orientation upon commencement of duties and in no event later than three months after appointment. Most employees are required to take an online “Ethics Orientation” (PA 451) offered through FSI. In addition, L/EFD provides ethics orientation to Foreign Service and Civil Service Officers through the FSI’s Orientation Programs and through GTM’s virtual on-boarding program.
(b) Non-career, Senate-confirmed Presidential nominees and appointees are required to receive an additional ethics briefing from L/EFD that must be completed after confirmation but no later than 15 days after appointment.
(2) Annual Ethics Training
(a) Every employee who must file an Annual Public Financial Disclosure Report or an Annual Confidential Financial Disclosure Report must receive ethics training every calendar year. Most filers are required to comply with this obligation by taking FSI’s online course “Annual Ethics Training” (PA 454). Filers are encouraged to take this course at the time they file their Annual Financial Disclosure Report but should complete the course no later than December 1. Because this is a calendar year requirement, extensions beyond December 31st are not available. A filer who leaves their filing position before the December 31 due date is relieved of this obligation.
(b) Presidentially appointed Senate confirmed officials posted domestically will periodically require live annual training which will be provided by L/EFD.
(3) Initial Reviewer Training
Management Officers, Initial Reviewers and any employees assigned to perform the duties of an Initial Reviewer identified at 11 FAM 618.5 must take FSI’s online course “Financial Disclosure Initial Reviewer’s Training” Course Code PA 456 prior to commencement of their duties and on an as needed basis thereafter.
11 FAM 623 Ethics Office Responsibilities
(CT:POL-82; 12-11-2023)
To satisfy the requirements in 5 CFR 2638 Subpart C in relation to training, L/EFD will:
(1) Develop and update training courses for new employees and annual financial disclosure filers;
(2) Brief newly appointed non-career Senate Confirmed Presidential Appointees;
(3) Maintain links on the ethics and financial disclosure programs website to the Principles of Ethical Conduct for Government Officers and Employees (Executive Order 12731), the Standards of Ethical Conduct for Employees of the Executive Branch (5 CFR part 2635), and contact information for the L/EFD;
(4) Develop and provide additional information and training as warranted and as resources permit for particular groups of employees addressing ethics and financial disclosure issues of particular relevance to them; and
(5) Coordinate with the Bureau of Global Talent Management to ensure that notices to prospective employees and notices to new supervisors include the ethics information required under 5 CFR 2638 Subpart C.
11 FAM 624 Management Official Responsibilities
(CT:POL-82; 12-11-2023)
a. Management Officials must ensure that all new employees, including locally employed staff, are given at least 1 hour of official time to complete orientation ethics training during the first 90 days of their employment. Management Officials should also monitor compliance with training obligations by confirming that employees required to take orientation have done so.
b. Management Officials must also ensure that all employees who are required to receive annual ethics training are given at least 1 hour of official time to complete the training. Management Officials should also monitor compliance to make sure that all employees required to take the annual training have done so.
11 FAM 625 Responsibilities of Human Resources Officials
(CT:POL-82; 12-11-2023)
a. Human Resources officials are responsible for ensuring that written offers of employment for positions with the Department include the following information:
(1) A statement regarding the Department’s commitment to government ethics;
(2) Notice that the individual will be subject to the Standards of Conduct and the criminal conflict of interest statutes as an employee;
(3) Contact information for L/EFD;
(4) Notice of the time frame and manner of completing initial ethics training; and
(5) Where applicable, a statement regarding financial disclosure requirements and a notice that new entrant reports must be filed within 30 days.
b. Human Resources officials are responsible for providing each employee upon initial appointment to a supervisory position with:
(1) Contact information for L/EFD and a link to the L/EFD SharePoint Site/intranet page; and
(2) The text 5 CFR 2638.103, detailing the ethics responsibilities of supervisors.
c. The Bureau of Global Talent Management must submit a memo to L/EFD by December 1 each year detailing the written procedures for including the required ethics information in offer letters and notices to supervisors and confirming that there is a reasonable basis for concluding that the procedures have been implemented.