14 FAH-2 H-150
ETHICS AND STANDARDS OF CONDUCT
(CT:COR-60; 11-09-2023)
(Office of Origin: A/OPE)
14 FAH-2 H-151 GENERAL
(CT:COR-60; 11-09-2023)
a. U.S. Government employees are responsible for acting in accordance with the rules and procedures that govern their jobs. They are responsible for meeting public expectations of proper conduct. Because U.S. Government employees have the position and power to influence or be influenced, the public demands that their behavior be grounded in standards of conduct.
b. All Department of State employees are required to be familiar with the requirements of Executive Order 12731, "Principles of Ethical Conduct for Government Officers and Employees," and 5 CFR 2635 regarding standards of ethical conduct for employees of executive branch agencies. All employees must be aware that they are responsible not only for avoiding wrongdoing but also for avoiding the appearance of wrongdoing.
c. The Federal Acquisition Regulation (FAR) 3.104 and the Department of State Acquisition Regulation (DOSAR) Part 603 also prescribe procedures applicable to Department employees regarding standards of conduct and prohibited business practices. Department employees involved in acquisition must file an annual financial disclosure report using OGE Form 450, Confidential Financial Disclosure Report. Contracting officer’s representatives (CORs) and government technical monitors (GTMs) must file a financial disclosure report.
14 FAH-2 H-152 PROCUREMENT
(CT:COR-60; 11-09-2023)
14 FAH-2 H-152.1 INTEGRITY
(CT:COR-60; 11-09-2023)
The Public Contracts Act (41 U.S.C. 2102), implemented by FAR 3.104 and DOSAR 603.104, imposes a variety of restrictions on officials involved in the acquisition process. DOSAR Part 603 identifies internal procedures for procurement reporting requirements internal to the Department of State.
14 FAH-2 H-152.2 Prohibitions, Restrictions, and Requirements
(CT:COR-60; 11-09-2023)
a. Policies and procedures on procurement integrity restrictions are covered under Federal ethics regulations, as defined under the letter issued by the U.S. Office of Government Ethics on July 2007 titled Ethics & Procurement Integrity and FAR 3.104-3(c).
b. Procurement officials should report any employment contacts with contractors if they are participating personally and substantially in a procurement in excess of the simplified acquisition threshold:
NOTE: Penalties and administrative actions for violations of 41 U.S.C. 2102, 41 U.S.C. 2103, 41 U.S.C. 2104 are addressed under 41 U.S.C. 2105 and can include imprisonment, fines, rescinding of contracts, suspension or debarment, and adverse personnel actions under 5 U.S.C. Ch 75, Adverse Actions.
c. Bribery is covered under 18 U.S.C. 201: Bribery of public officials and witnesses and may include civil penalties under:
NOTE The imposition of a civil penalty under this subsection does not preclude any other criminal or civil statutory, common law, or administrative remedy, which is available by law to the United States or any other person.
d. The Anti-Kickback Act of 1986 was issued under 41 U.S.C. §§ 8701-8707:
NOTE Penalties and administrative actions for violations of the Anti-Kickback Act are defined under 41 U.S.C. 8705 - 8707 and can include imprisonment, fines, rescinding of contracts, suspension or debarment, and adverse personnel actions.
e. For questions, concerns, issues, suspicions, or for a better understanding of the role of ethics, procurement integrity, etc., CORs and GTMs must contact the contracting officer, a member of your management team (unless these individual(s) are where the concern lies), or the Department of State Ethics webpage. It provides links to detailed resources. In addition, Department ethics attorneys have a dedicated email address:EthicsAttorneyMailbox@state.gov to provide guidance.
14 FAH-2 H-153 GRATUITIES
(CT:COR-60; 11-09-2023)
a. U.S. Government employees are prohibited from accepting a "gift, gratuity, favor, entertainment, loan, or any other item of monetary value" from any outside source if the employee performs official duties which might affect the business, financial, or other interests of the source (5 CFR 2635.202).
b. Gratuities are defined as gifts, entertainment, or favors.
14 FAH-2 H-154 CONFLICTING FINANCIAL INTEREST
(CT:COR-60; 11-09-2023)
a. Executive Order 12731 and Department policy prohibit an employee from participating "personally and substantially" as a U.S. Government employee in a matter in which certain individuals or organizations have a financial interest.
b. In acquisition matters, this means that a contracting officer, COR, GTM, source selection official, or technical evaluation panel member having a financial interest in one or more offerors responding to a solicitation would be prohibited from providing advice and engaging in decisions, approvals, disapprovals, recommendations, and investigations relating to the acquisition. This includes participating in drafting specifications or statements of work for acquisitions when the drafter expects a company in which he or she has a financial interest to submit a proposal. Employees who have a conflict of interest must disqualify themselves from participating in the acquisition.
c. For more detailed information, refer to Executive Order 12731 or 11 FAM 610, "Ethics and Financial Disclosure Program". Department employees may contact the Office of Ethics and Financial Disclosure, L/EFD, for specific advice.
14 FAH-2 H-155 THROUGH H-159 UNASSIGNED