(a) Making recommendations in official capacity. In general, an employee shall not, in his official capacity, make any recommendations in connection with the employment of persons unless the positions concerned are with the Government of the United States and the recommendations are made in response to an inquiry from a Government official authorized to employ persons or to investigate applicants for employment. A principal officer in answer to a letter of inquiry from outside the U.S. Government concerning a former employee assigned to the post, may state the length of time the person was employed at the post and the fact that he performed his duties in a satisfactory manner, if such is the case. Also, an AID Mission Director may provide names of persons or firms from which a cooperating government may select an employee or firm to be used in some phase of the AID program.

(b) Making personal recommendations. An employee may make a personal recommendation in connection with the employment of any person, except for employment in a position of trust or profit under the government of the country to which the employee is accredited or assigned, provided that the employee does not divulge any information concerning the person derived from official sources. When a letter of introduction or recommendation is written by an employee, precautionary measures should be taken to prevent its being construed as official correspondence and used by an unscrupulous individual to impress American or foreign officials. Accordingly, official stationery should not be used for this purpose. The letter may, however, show the recommending employee's status as an employee of the United States Government. Every personal letter of recommendation shall contain a statement clearly indicating that the letter constitutes a personal recommendation and is not to be construed as an official recommendation by the Government of the United States.

§ 10.735-216 (a) State Department.-(1) At diplomatic posts. A U.S. citizen employee at a diplomatic post, as a rule, shall establish his residence at the seat of the Mission. However, a diplomatic representative may establish a temporary residence for himself and members of his staff at a place other than the seat of the Mission, which is convenient thereto and wtihin the country in which the Mission is located, provided the Mission office is opened daily by an adequate office staff. (2) At consular posts. A U.S. citizen employee at a consular post, as a rule, shall reside within the consular district to which he is assigned, except that when such a district is contiguous to territory of the United States, an employee may reside in the territory of the United States, provided that the consular office is readily accessible from his place of residence.

Place of residence abroad.

(b) USIA and AID. A U.S. citizen employee of USIA or AID shall establish a residence convenient to his place of employment, unless an exception is granted by the head of the agency's overseas establishment.

(a) Communications. An employee shall not act as an agent for the transmission of communications from private persons or organizations in foreign countries to the President or to Federal, State, or municipal officials in the United States. A chief of mission may, however, accept communications of this nature and forward them to the Department of State for such further action as may be appropriate, whenever he determines it to be clearly in the public interest to do so.

(b) Gifts. An employee shall not act as an agent for the transmission of gifts from persons or organizations in foreign countries to the President or to Federal, State or municipal officials in the United States. However, principal officers may, according to regulations prescribed by the President, accept, and forward to the Office of Protocol of the Department of State, gifts made to the United States or to any political subdivision thereof by the Government to which they are accredited or from which they hold exequaturs. Employees shall not, without the approval of the Secretary of State,

transmit gifts from persons or organizations in the United States to heads or other officials of foreign states.

§ 10.735-218 General conduct prejudicial to the Government.

(a) General role. An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government.

(b) Employees abroad. An employee abroad is obligated to obey the laws of the country in which he is present and to conduct himself in a moral and courteous manner in his official and personal life.

(c) Treatment of the public. An employee shall observe the requirements of courtesy, consideration, and promptness in dealing with or serving the public. § 10.735-219 Miscellaneous statutory

provisions.

Each employee shall acquaint himself with each statute that relates to his ethical and other conduct as an employee of his agency and of the Government.

(a) The attention of employees is directed to the following statutory provisions:

(1) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. 312, the "Code of Ethics for Government Service."

(2) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned.

(3) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913). (4) The prohibitions against disloyalty and striking (5 U.S.C. 118p, 118r).

(5) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

(6) The prohibitions against (i) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (ii) the disclosure of confidential information (18 U.S.C. 1905).

(7) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 640).

(8) The prohibition against the misuse of a Government vehicle (5 U.S.C. 78c).

(9) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

(10) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (5 U.S.C. 637).

(11) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

(12) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(13) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(14) The prohibition against (i) embezzlement of Government money or property (18 U.S.C. 641); (ii) failing to account for public money (18 U.S.C. 643); and (iii) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(15) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(16) The prohibition against prescribed political activities-The Hatch Act (5 U.S.C. 118i), and 18 U.S.C. 602, 603, 607, and 608.

(17) The prohibition against discrimination because of politics, race, religion or color (22 U.S.C. 807).

(18) The

prohibition against the wearing of uniforms (22 U.S.C. 803).

(19) The prohibition against the acceptance of presents from foreign governments (22 U.S.C. 804).

(20) The prohibition against engaging in business in the country to which the employee is assigned abroad (22 U.S.C. 805).

(21) The prohibition against correspondence in regard to the affairs of foreign governments, and against recommendation for employment by the government of the country to which the employee is assigned (22 U.S.C. 806).

(b) The attention of consular officers is directed to the following statutory provisions:

(1) The provisions relating to the duty to account for fees received (22 U.S.C. secs. 99, 812, 1194), liability for exaction of excessive fees (22 U.S.C. secs. 1182, 1189), and liability for failure to collect proper fees (22 U.S.C. 1190).

(2) The provisions relating to liability for neglect of duty or malfeasance generally (22 U.S.C. 1199), liability for failure to give bond and for embezzlement

(22 U.S.C. 1179), liability for embezzlement of fees or of effects of American citizens (22 U.S.C. 1198) and liability for falsely certifying as to the ownership of property (22 U.S.C. 1200).

(3) The prohibition against profiting from dealings with discharged seamen (22 U.S.C. 1187).

(4) The provision relating to liability for failure to collect the wages of discharged seamen (46 U.S.C. 683). Subpart C-Ethical and Other Conduct and Responsibilities of Special Government Employees

§ 10.735-301 Conflicts of interest.

Special Government employees are subject to the conflicts of interest statutes (18 U.S.C. 202). An explanation of these conflicts of interest statutes, their effects upon special Government employees and guidelines for obtaining and utilizing the services of special Government employees are in Appendix C of Chapter 735 of the Federal Personnel Manual. A special Government employee shall not have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his Government duties and responsibilities. § 10.735-302 Use of Government employment.

A special Government employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties.

§ 10.735-303 Use of inside information.

(a) A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public information.

(b) A special Government employee may engage in teaching, lecturing, or writing that is not prohibited by law,

Executive Order 11222 or the regulations in this part; however, a special Government employee shall not, either for or without compensation, engage in teaching, lecturing, or writing that is dependent on information obtained as a result of his Government employment, except when that information has been made available to the general public or will be made available on request, or when the head of the agency gives written authorization for the use of nonpublic information on the basis that the use is in the public interest. A special Government employee who wishes to request the agency head to authorize the use of non-public information should submit such request through the Agency Counselor on Ethical Conduct and Conflicts of Interest. The request should contain complete information concerning the non-public information which the employee wishes to disclose and should contain in addition an indication of the intended use of such information and how disclosure of it would be in the public interest.

A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person particularly one with whom he has family, business, or financial ties.

§ 10.735-305 Gifts, entertainment and favors.

(a) Except as provided in paragraph (b) of this section, a special Government employee, while so employed or in connection with his employment, shall not receive or solicit from a person having business with his agency anything of value as a gift, gratuity, loan, entertainment, or favor for himself or another person, particularly one with whom he has family, business, or financial ties.

(b) The exceptions to the prohibition against the acceptance of gifts which have been granted to employees in § 10.735-203 (c), (d) and (e) are also applicable to special Government employees.

(c) A special Government employee shall not accept a gift, present, decoration or other thing from a foreign government unless authorized by Congress as provided by the Constitution and in 5 U.S.C. 115-115a.

(d) A special Government employee shall avoid any action, whether or not specifically prohibited by these sections on special Government employees, which might result in, or create the appearance of:

(1) Using public office for private gain;

(2) Giving preferential treatment to any person;

(3) Impeding Government efficiency or economy;

(4) Losing independence or impartiality;

(5) Making a Government decision outside official channels; or

(6) Affecting adversely the confidence of the public in the integrity of the Government.

(a) General. The following employees of State, AID and USIA shall submit statements of employment and financial interests:

(1) All special Government employees whether experts or consultants and whether serving on a full time or intermittent basis, except when waived under paragraph (e) of this section.

(2) Employees paid at a level of the Federal Executive Salary Schedule established by the Federal Executive Salary Act of 1964, as amended, except as provided in paragraph (d) of this section.

(3) Employees in positions specifically identified as positions the basic duties and responsibilities of which require the incumbent to exercise judgment in making or recommending a Government decision or in taking or recommending Government action in regard to: (i) Contracting or procurement; (ii) Administering or monitoring grants or subsidies; (iii) Regulating or auditing private or other non-Federal enterprise; or

(iv) Other activities where the decision or action has an economic impact on the interests of any non-Federal enterprise. However, employees in positions that meet these criteria may be excluded from the reporting requirement when the agency head or his designee determines that the duties of a position at grade GS-15, AD-15, FSO-3, FSR-3, FSS-1 or below are at such a level of responsibility that the submission of a statement of employment and financial interests by the incumbent is not necessary because of the degree of supervision and review over the incumbent and the remote and inconsequential effect of the integrity of the Government. The positions specifically identified under this paragraph are those in paragraphs (b) (2) and (c) of this section. (b) State and USIA. State and USIA employees, in addition to those specified in paragraph (a) of this section, shall submit statements of employment and financial interests:

(1) The following

(i) Employees in Grade FSO-2 and FSR-2 or above of the schedule established by the Foreign Service Act of 1946, as amended;

(ii) Employees in grade GS-15 positions or above of the General Schedule established by the Classification Act of 1949, as amended; or

(iii) Employees in comparable or higher positions not subject to the Classification Act.

(2) State and USIA employees holding the following positions specifically identified under paragraph (a)(3) of this section shall submit statements of employment and financial interests:

(i) The following positions at level GS-13, FSO-4, FSR-4 or FSS-2 or above:

(a) Deputy Chief of Mission, Principal Officer, Country Public Affairs Officer, Deputy Country Public Affairs Officer, Public Affairs Counselor, Deputy Public Affairs Counselor.

(b) Director or Manager of a Regional Service Center or Radio Relay Station.

(c) Administrative Officer, Executive Officer and General Services Officer at a post abroad.

(d) Economic Officer, Commercial Officer, Civil Air Attache, Financial Officer, Petroleum Officer, Minerals Officer, Transportation and Communications Officer, and Fisheries Officer at a post abroad.

(e) Administrative Officer, Executive Officer and Business Manager (occupational codes 301, 340, 341, and 1101).

(ii) Employees other than those on the General Schedule who hold positions comparable to, or higher than, GS-13. This subdivision refers specifically to employees serving in the following schedules and positions:

(a) Administratively Determined Schedule (AD), AD-13 and above;

(b) Foreign Service Reserve (FSR), Classes 1, 2, 3, and 4; Foreign Service Staff (FSS), Classes 1 and 2.

(c) Any Mission Director, Deputy Mission Director, or Principal AID Officer abroad.

(2) AID employees who are GS-15, AD-15, FSR-3, FSS-1, or below, are not required to submit statements of employment and financial interests if their positions fall in the following occupational skills groups:

Administration

(i) 0200-Personnel and Industrial Relation Group.

(ii) 0500-Accounting and Budget Group except 0510 Accounting Series.

(3) AID employees holding the following positions regardless of grade, specifically identified under paragraph (a) (3) of this section shall submit statements of employment and financial interests: (i) 0340-Program Management. (ii) 1102-Contract and Procurement. (iii) 1140-Trade Specialist. (iv) 1150-Industrial Specialist. (v) 1152-Production Control.

a committee, board, or commission appointed by the President. These employees are subject to separate reporting requirements under section 401 of Executive Order 11222.

(e) Special Government employees not required to submit statements. An agency head may waive the requirement of this section for the submission of a statement of employment and financial interests in the case of a special Government employee who is not a consultant or an expert when the agency finds that the duties of the position held by that special Government employee are of a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. For the purpose of this paragraph, "consultant" and "expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual, but do not include a physician, dentist, or allied medical specialist whose services are procured to provide care and service to patients.

§ 10.735-402

Time and place of submission, and forms.

(a) An employee or special Government employee shall submit his statement to his Agency Counselor (in the case of a State employee, through his Bureau) no later than:

(1) Ninety days after the effective date of this part if he has entered on duty on or before that effective date; or

(2) At least 10 days prior to his entrance on duty, if he enters on duty after that effective date; except that an employee or special Government employee who enters on duty within 90 days of the effective date of this part may submit his statement within 90 days after his entrance on duty.

(b) Only the original of the statement or supplement thereto, required by this part shall be submitted. The individual submitting a statement should retain a copy for his own records.

(c) The information required by the regulations in this part is to be submitted on the forms "Confidential Statement of Employment and Financial Interests (for use by Government Employees)" and "Confidential Statement of Employment and Financial Interests (for use by Special Government Employees)."