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PART 1201-PUBLIC INFORMATION

AUTHORITY: Sec. 621, 22 U.S.C. 2381, as amended; 5 U.S.C. 552.

CROSS REFERENCE—The regulations establishing procedures under the Freedom of Information Act for the United States International Development Cooperation Agency are codified in 22 CFR 212.1 through 212.51, prescribed jointly by the United States International Development Cooperation Agency and the Agency for International Development. (45 FR 20790, Mar. 31, 1980)

1203.735–204 Outside employment and other

activity. 1203.735–205 Financial interests. 1203.735-206 Economic and financial activi

ties of employees abroad. 1203.735–207 Use of Government property. 1203.735–208 Misuse of information. 1203.735-209 Indebtedness. 1203.735-210 Gambling, betting, and lotter

ies. 1203.735-211 Activities relating to private

organizations and politics. 1203.735–212 Wearing of uniforms. 1203.735-213 Recommendations for employ

ment. 1203.735–214 Transmitting communications

and gifts. 1203.735–215 General conduct prejudicial to

the Government. 1203.735–216 Miscellaneous statutory provi

sions. 1203.735–217 Requesting exceptions from cer

tain statutory prohibitions.

PART 1202-REGULATIONS TO IM

PLEMENT THE PRIVACY ACT OF 1974

AUTHORITY: Sec. 621, 22 U.S.C. 2381, as amended; 5 U.S.C. 552a.

CROSS REFERENCE—The regulations establishing procedures by which an individual may obtain notification of the existence of agency records pertaining to that individual, gain access to those records, request an amendment to those records, and appeal adverse decisions to requests for amendment or correction of agency records are codified as 22 CFR 215.1 through 215.14, prescribed jointly by the United States International Development Cooperation Agency and the Agency for International Development. (45 FR 20791, Mar. 31, 1980)

Subpart C-Ethical and Other Conduct

and Responsibilities of Special Gov.

ernment Employees 1203.735301 Conflicts of interest. 1203.735-302 Use of Government employ

ment. 1203.735–303 Use of inside information. 1203.735-304 Coercion. 1203.735–305 Gifts, entertainment, and fa

vors. 1203.735-306 Miscellaneous statutory provi

sions.

Subpart D-Statements of Employment and

Financial Interests

PART 1203-EMPLOYEE RESPONSIBILITIES AND CONDUCT

Subpart A-General Provisions

Sec. 1203.735–101 Purpose. 1203.735-102 Definitions. 1203.735-103 Interpretation and advisory

service. 1203.735–104 Applicability to detailed em

ployees. 1203.735–105 Disciplinary action.

1203.735 401 Employees required to submit

statements. 1203.735 402 Employees not required to sub

mit statements. 1203.735-403 Employee's complaint on filing

requirement. 1203.735 404 Time and place of submission,

and forms. 1203.735 405 Information required. 1203.735 406 Submission of position descrip

tion. 1203.735 407 Supplementary statements. 1203.735 408 Review of statements and deter

mination as to conflicts of interest. 1203.735-409 Confidentiality of employees'

statements. 1203.735 410 Effect of employees' statements

on other requirements. 1203.735 411 Disqualification procedures.

AUTHORITY: EO 11222 of May 8, 1965, as amended; 5 CFR 735.104.

SOURCE: 43 FR 18976, May 2, 1978, and 45 FR 18922, Mar. 24, 1980, unless otherwise noted.

EDITORIAL NOTE: At 45 FR 18922, Mar. 24. 1980, the International Development Co

Subpart B-Ethical and Other Conduct and

Responsibilities of Employees 1203.735-201 General. 1203.735–202 Gifts, entertainment, and fa

vors. 1203.735–203 Gifts from foreign governments.

operation Agency added part 1203 by adopting and amending regulations of the Department of State codified in 22 CFR 10.735-101 through 10.735 411. The State Department regulations were originally published in full text at 43 FR 18976, May 2, 1978.

Subpart A-General Provisions

days during any period of 365 consecutive days, temporary duties either on a full-time or intermittent basis.

(f) Member of an employee's family means a spouse, minor child, or other member of an employee's immediate household. For the purpose of these regulations member of an employee's immediate or in-law household means those blood relations who are residents of the employee's household.

(g) Counselor means the agency's Counselor on Ethical Conduct and Conflicts of Interest.

$1203.735–101 Purpose.

The maintenance of the highest standards of honesty, integrity, impartiality, and conduct by Government employees and special Government employees is essential to assure the prop er performance of the Government business and the maintenance of confidence by citizens in their Government. The avoidance of misconduct and conflicts of interest on the part of Government employees and special Government employees through informed judgment is indispensable to the maintenance of these standards. To accord with these concepts the regulations in this part prescribe standards of conduct and responsibilities for employees and special Government employees and require statements reporting employment and financial interests.

NOTE: These regulations are codified in State 3 FAM 620, AID Handbook 24, and ICA MOA V-A 550.

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$ 1203.735–102 Definitions.

(a) Agency means the United States International Development Cooperation Agency (IDCA).

(b) Employee means an officer or employee at home or abroad, of an agency named in paragraph (a) of this section, but does not include a special Government employee or a member of the Army, Navy, Air Force, Marine Corps, Coast Guard, National Oceanic and Atmospheric Administration, or Public Health Service.

(c) Erecutive order means Executive Order 11222 of May 8, 1965, as amended.

(d) Person means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution.

(e) Special Government employee means an officer or employee of an agency who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed 130

$ 1203.735–103 Interpretation and advi.

sory service, (a) Counseling services on employee responsibilities and conduct are available in each agency. These services are to be coordinated by a Counselor ap pointed by the agency head. The Counselor for IDCA is the General Counsel. The Counselor serves as the agency's designee to the Civil Service Commission on matters covered by the regulations in this part and is responsible for coordination of the agency's counseling services under paragraph (b) of this section and for assuring that counseling and interpretations on questions of conflicts of interest and other matters covered by these sections are available to deputy counselors designated under paragraph (b) of this section.

(b) Each agency head may designate deputy counselors for the agency's employees and special Government employees. Deputy Counselors designated under this section must be qualified and in a position to give authoritative advice and guidance to each employee and special Government employee who seeks advice and guidance on questions of conflicts of interest and on other matters covered by the regulations in this part. A Washington employee or special Government employee should address any inquiries concerning the regulations in this part to the Counselor. At missions abroad the chief of each agency's establishment designates an officer, preferably the legal officer where one is available, to provide counseling services under the guidance of the Counselor; a single officer may serve all agencies. An employee or special Government employee serving abroad should submit inquiries to the officer designated.

(c) Each agency shall periodically notify its employees and special Government employees of the availability of counseling services and how and when these services are available. A new employee special Government ployee shall be notified at the time of entrance on duty.

(b) Applicability to members of families of employees. A U.S. citizen employee shall take care that certain responsibilities placed on the employee are also observed by members of the employee's family. These are the restrictions in regard to: Acceptance of gifts ($S 1203.735–202 and 1203.735–203); economic and financial activities abroad ($ 1203.735–206); teaching, lecturing, and writing ($ 1203.735–204(c)); participation in activities of private organizations ($ 1203.735–211(c)); and political activities abroad (8 1203.735–211(g)).

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8 1203.735–202 Gifts, entertainment,

and favors. (a) Acceptance prohibited. Except as provided in paragraphs (b), (c), and (d) of this section, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:

(1) Has, or is seeking to obtain, contractual or other business or financial relations with the employee's agency;

(2) Conducts operations or activities that are regulated by the employee's agency;

(3) Has interests that may be substantially affected by the performance or nonperformance of the employee's official duty; or

(4) Appears to be offering the gift with the hope or expectation of obtaining advantage or preferment in dealing with the U.S. Government for any purpose.

(b) Acceptance permitted. The provisions oi paragraph (a) of this section do not apply to:

(1) Gifts, gratuities, favors, entertainments, loans, or any other thing of monetary value received on account of close family or personal relationships when the circumstances make it clear that it is that relationship rather than the business of the persons concerned which is the motivating factor;

(2) Acceptance of loans from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans;

(3) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value;

$ 1203.735–201 General.

(a) Proscribed actions. An employee shall avoid any action, whether or not specifically prohibited by the regulations in this part, 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.

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(4) Acceptance of rates and discounts offered to employees as a class.

(c) Acceptance permitted for IDCA employees. For IDCA employees the provisions of paragraph (a) of this section do not apply to: Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where an employee may properly be in attendance.

(d) Acceptance permitted for AID employees. For AID employees the provisions of paragraph (a) of this section do not apply in the following situations:

(1) Acceptance of food, refreshments, or entertainment of nominal value on infrequent occasions offered in the ordinary course of luncheons, dinners, or other meetings and gatherings hosted by foreign governments or agencies and officials thereof, embassies, and international organizations, where the primary purpose of the function is rep resentational or social, rather than the transaction of business. Where the primary purpose of the function is the transaction of business, acceptance is not permitted, except if there is justification and reporting in accordance with paragraph (d)(4) of this section.

(2) Participation in widely attended lunches, dinners, and similar gatherings sponsored by industrial, technical, and professional associations for the discussion of matters of mutual interest to Government and industry.

(3) Acceptance of food, refreshments, or entertainment in the unusual situation where the employee, by virtue of the location of the person, firm, corporation, or other entity, or the regulations governing its dining facilities, finds it inconvenient or impracticable not to accept the offer. Each case of acceptance shall be reported in accordance with the requirement of paragraph (d)(4) of this section. In no other case shall employees accept food, refreshments, or entertainment from private corporations, entities, firms, or individual contractors at occasions which are other than widely attended functions whose purposes are unrelated to Agency business.

(4) In exceptional circumstances where acceptance of food, refreshments, or entertainment is not author

ized by paragraphs (d) (1), (2), and (3) of this section, but where, in the judgment of the individual concerned, the Government's interest would be served by such acceptance directly or indirectly from any foreign government, agency, or official thereof or a private person, firm, corporation, or other entity which is engaged or is endeavoring to engage in business transactions of any sort with AID, an employee may accept the offer: Provided, That a report of the circumstances, together with the employee's statement as to how the Government's interests were served, will be made within 48 hours to the employee's supervisor, or, if the employee is serving abroad, or on temporary duty abroad, to the Mission Director.

(e) Gifts to superiors. An employee shall for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than the employee (5 U.S.C. 7351). However, this paragraph does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement.

(1) Neither this section nor $ 1203.735–204 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for which no Government payment or reimbursement is made. However, this paragraph does not allow an employee to be reimbursed, or payment to be made on the employee's behalf, for excessive personal living expenses, gifts, entertainment, or other personal benefits, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B-128527 of the Comptroller General dated March 7, 1967.

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under pursuant to E.O. 11320, 31 FR devoted substantially to the respon15789. These regulations are set forth in sibilities, programs, or operations of part 3 of this title (as added, 32 FR 6569, the employee's agency, or which draws Apr. 28, 1967), and in 3 FAM 621.

substantially on official data or ideas

which have not become part of the $1203.735–204 Outside employment body of public information. Employees and other activity.

are referred to the detailed rules of (a) An employee shall not engage in their agency with respect to clearance outside employment or other outside and acceptance of compensation (See activity not compatible with the full AID Handbook 18) and proper discharge of the duties and (d) (Reserved) responsibilities of Government employ- (e) An employee shall not render any ment. Incompatible activities include services, whether or not compensated, but are not limited to:

to any foreign government, state, prov(1) Acceptance of a fee, compensa- ince, or semigovernmental agency, or tion, gift, payment of expense, or any municipality of any foreign governother thing of monetary value in cir- ment, or to any international organizacumstances in which acceptance may tion of states. However, this shall not result in, or create the appearance of, prevent the rendering of such services conflicts of interest; or

by employees acting on behalf of the (2) Outside employment which tends United States. Nor shall this provision to impair the employee's mental or prevent the rendering of services to an physical capacity to perform Govern- international organization of states ment duties and responsibilities in an when otherwise consistent with law acceptable manner.

and when authorized by the appro(b) An employee shall not receive any priate officer. The appropriate officer salary or anything of monetary value for IDCA is the Assistant Director for from a private source as compensation Administration. for the employee's services to the Gov- (1) (Reserved) ernment (18 U.S.C. 209).

(8) This section does not preclude an (c) Employees are encouraged to en- employee from: gage in teaching, lecturing, and writ- (1) Participation in the activities of ing that is not prohibited by law, the national or State political parties not Executive order, this part, or the agen- proscribed by law. cy regulations. However, an employee (2) Participation in the affairs of or shall not, either for or without com- acceptance of an award for a meritoripensation, engage in teaching, lectur- ous public contribution or achievement ing, or writing including teaching, lec- given by a charitable, religious, profesturing, or writing for the purpose of sional, social, fraternal, nonprofit eduthe special preparation of a person or

cational and recreational, public serva class of persons for an examination of ice, or civic organization. the Civil Service Commission or Board of Examiners for the Foreign Service,

8 1203.735–205 Financial interests. that is dependent on information ob- (a) An employee shall not: (1) Have & tained as a result of Government em- direct or indirect financial interest ployment, except when that informa- that conflicts substantially, or appears tion has been made available to the to conflict substantially with the emgeneral public or will be made avail- ployee's Government duties and reable on request or when the agency sponsibilities; or head gives written authorization for (2) Engage in, directly or indirectly, use of nonpublic information on the a financial transaction as a result of, basis that the use is in the public inter- or primarily relying on, information est. In addition, an employee who is a obtained through Government employPresidential appointee covered by sec- ment. tion 401(a) of the Executive order shall (b) This section does not preclude an not receive compensation or anything employee from having a financial inof monetary value for any consulta- terest or engaging in financial transtion, lecture, discussion, writing, or ap- actions to the same extent as a private pearance the subject matter of which is citizen not employed by the Govern

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