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the publication of any manuscript prepared as a result of such access.

(b) Three periods with respect to access by nonofficial researchers to the foreign policy records of the Department(1) Closed period. The foreign policy records of the Department are in general closed to access by nonofficial researchers in advance of the publication of the Department's documentary series entitled "Foreign Relations of the United States." The beginning date of the closed period will be advanced automatically as the annual “Foreign Relations” volumes are released. Copies of identifiable unclassified foreign policy records of this period may be obtained in accordance with the procedures set forth in the preceding sections of this part.

(2) Open period. The open period is the period up to 30 years from the current year. The foreign policy records of the Department for the open period are in the National Archives and may be consulted under regulations issued by the National Archives.

(3) Restricted period. The restricted period is the period between the open period and the closed period. Access to foreign policy records in the restricted period shall be confined to qualified researchers demonstrating a scholarly or professional need for the information contained in such records. Access to these records of the restricted period will be granted only to U.S. citizens. Copies of identifiable unclassified foreign policy records of this period may be obtained in accordance with the procedures set forth in the preceding sections of this part.

(c) Special restrictions on access to classified records in addition to the general restrictions listed in paragraph (6) of this section. (1) The use of classified records or information therefrom is subject to the Department's security regulations.

(2) Access to certain types of foreign policy records will not be given if their publication, in whole or in part, would be contrary to the interests of national defense or foreign policy, such as (i) materials which might tend to prejudice the conduct of foreign relations by the U.S. Government; (ii) materials embodying opinions or comments which might give needless offense to other nations or individuals abroad; and (iii) materials which would violate a con

fidence reposed in the Department of State.

(3) In general, foreign policy records originated by a foreign government or another agency of the U.S. Government and not yet published or opened to access by that government or agency, will not be made available to researchers without the consent of the government or agency concerned.

(d) Application for nonofficial access to foreign policy records in the restricted and closed periods—(1) Submission of application. A written application for access to foreign policy records in the restricted and closed periods shall be submitted to the Director, Historical Office, Department of State, Washington, D.C. 20520.

(2) Information to be furnished in application. The application shall contain a description of the nature and scope of the proposed study and the types of records required. Administrative considerations make it necessary for the researcher to confine his request to records on specific topics. The applicant also shall provide data establishing his citizenship, academic background and research experience. The application shall be accompanied by appropriate references or, preferably by letters of recommendation.

(3) Departmental action on the application. The Director of the Historical Office shall determine the nature and extent of access to be granted, and any special restrictions to be placed on the use of the information, and shall notify the applicant whether access to the desired records can be granted. If access is granted, the Director will then make any necessary arrangements for the applicant to consult the records, subject to such conditions as may be agreed upon.

(e) Clearance of notes or materials resulting from nonofficial use of records for research purposes. The researcher who has been granted access to classified foreign policy records shall be required to agree, in advance of his access to records, to submit to the Director of the Historical Office for purpose of review, all such notes or manuscripts as the researcher may prepare from the records. The Director of the Historical Office shall review and then transmit the cleared notes or manuscripts to the researcher, deleting such items as the Department may deem necessary to withhold.


REVIEW Sec. 7.1 Establishment of Board of Appellate

Review; purpose. 7.2 Board membership. 7.3 Jurisdiction.

AUTHORITY: The provisions of this Part 7 issued under 63 Stat, 111, as amended; 22 U.S.C. 2658.

SOURCE: The provisions of this part 7 contained in Dept. Reg. 108.573, 32 F.R. 16258, Nov. 29, 1967, unless otherwise noted. $ 7.1 Establishment of Board of Appel

late Review; purpose. There is hereby established the Board of Appellate Review in the Office of the Deputy Under Secretary for Administration for the purpose of promoting centralization of administrative appeal procedures required by law and regulation or otherwise as provided by the Department. § 7.2 Board membership.

The Board shall consist of regular members who shall serve on a full-time basis, one of whom shall be designated the head thereof, and such ad hoc members as may be designated from time to time by the Deputy Under Secretary for Administration. Nothing in this section shall prohibit the designation of ad hoc members from among persons not employed by the Department or its Foreign Service. § 7.3 Jurisdiction.

The jurisdiction of the Board shall include appeals from decisions in the following cases:

(a) Nationality cases. The Board shall consider and determine appeals under

$ 50.60 of this title. The Board may adopt and make public rules of procedure approved by the Secretary (Part 50, Subpart D of this title).

(b) Passport cases. (1) The Board shall consider and determine appeals under § 51.90 of this title. The Board may adopt and make public ules of procedure approved by the Secretary (Part 51, Subpart F of this title).

(2) The Board shall have responsibility for providing a regular or ad hoc member to act in the capacity of hearing officer under $ 51.83 of this title.

(c) Contract cases. The Board may, as directed by the Deputy Under Secretary for Administration, consider and determine appeals of contractors or grantees from final decisions of contracting officers arising under contracts or grants of the Department of State. This part shall not apply to contract appellate functions otherwise provided for in Department of State Procurement Regulations, 41 CFR Parts 6–60.

(d) Personnel cases. (1) The Board shall have responsibility for providing a regular or ad hoc member to act in the capacity of hearing officer under section 1844.2, Volume 3, Foreign Affairs Manual (3 FAM 1844.2) in cases involving appeals from adverse decisions provided for in 3 FAM 1840.

(2) The Board shall make available, upon request of the Board of the Foreign Service under 3 FAM 764.2, regular and ad hoc members of the Board for designation as panel members for the purpose of taking testimony and making findings in cases involving the separation for cause of a Foreign Service officer or employee.




Subpart A—General Provisions Sec. 10.735–101 Purpose. 10.735–102 Definitions. 10.735–103 Interpretation and advisory serv

ice. 10.735–104 Applicability to detailed

ployees. 10.785–106 Disciplinary action.

Subpart B-Ethical and Other Conduct and

Responsibilities of Employees Sec. 10.735-201 General. 10.735–202 Gifts, entertainment, and favors. 10.735–203 Gifts from foreign governments. 10.735–204 Outside employment and other

activity. 10.735-205 Financial interests. 10.735–206 Economic and financial activities

of employees abroad. 10.735–207 Use of Government property. 10.735–208 Misuse of information.



formed judgment is indispensable to the 10.735–209 Indebtedness.

maintenance of these standards. To ac10.735-210 Gambling, betting, and lotteries.

cord with these concepts the regula10.735–211 Activities relating to private organizations and politics.

tions in this part prescribe standards of 10.735–212 Wearing of uniforms.

conduct and responsibilities for employ10.735–213 Recommendations for employ- ees and special Government employees ment.

and require statements reporting em10.735–214 Transmitting communications ployment and financial interests.

and gifts. 10.735–215 General conduct prejudicial to

NOTE: These regulations are codified in the Government.

State 3 FAM 620, ADD M.O. 443.1, and USIA

MOA V-A 550. 10.735–216 Miscellaneous statutory provisions.

§ 10.735–102 Definitions. Subpart C-Ethical and Other Conduct and Re- (a) “Agency” means the Department

sponsibilities of Special Government Employees of State (State), the U.S. Information 10.735-301 Conflicts of interest.

Agency (USIA) and the Agency for In10.735–302 Use of Government employment. ternational Development (AID). 10.735-303 Use of inside information.

(b) “Employee" means an officer or 10.735-304 Coercion.

employee at home or abroad, of an agency 10.735–305 Gifts, entertainment, and favors.

named in paragraph (a) of this section, 10.735–306 Miscellaneous statutory provisions.

but does not include a special Govern

ment employee or a member of the Army, Subpart D-Statements of Employment and

Navy, Air Force, Marine Corps, Coast Financial Interests

Guard, Environmental Sciences Sery10.735–401 Employees required to submit ices Administration, or Public Health statements.

Service. 10.735–402 Employees not required to sub

(c) "Executive order” means Execumit statements.

tive Order 11222 of May 8, 1965. 10.735-403 Employee's complaint on filing

(d) “Person" means an individual, a requirement. 10.735–404 Time and place of submission, corporation, a company, an association, and forms.

a firm, a partnership, a society, a joint 10.735–405 Information required.

stock company, or any other organi10.735–406 Submission of position descrip- zation or institution. tion.

(e) "Special Government employee" 10.735–407 Supplementary statements.

means an officer or employee of an 10.735-408 Review of statements and determination as to conflicts of in

agency who is retained, designated, apterest.

pointed, or employed to perform, with 10.735-409 Confidentiality of employees'

or without compensation, for not to statements.

exceed 130 days during any period of 365 10.735–410 Effect of employees' statements consecutive days, temporary duties on other requirements.

either on a full-time or intermittent AUTHORITY: The provisions of this part 10

basis. issued under E.O. 11222; 3 CFR, 1964–1965 (f) “Member of an employee's family” Comp.; 3 CFR 735.104.

means a spouse, minor child, or other SOURCE: The provisions of this Part 10 con- member of an employee's immediate tained in Dept. Reg. 108.599, 33 F.R. 18542, household. For the purpose of these Dec. 13, 1968, unless otherwise noted.

regulations "member of an employee's Subpart A-General Provisions immediate household” means those blood

relations who are residents of the em§ 10.735–101 Purpose.

ployee's household. The maintenance of the highest stand

(g) “Counselor" means the agency's ards of honesty, integrity, impartiality,

Counselor on Ethical Conduct and and conduct by Government employees and special Government employees is es

Conflicts of Interest. sential to assure the proper performance § 10.735–103 Interpretation and advisof the Government business and the

ory service. maintenance of confidence by citizens in (a) Counseling services on employee their Government. The avoidance of mis- responsibilities and conduct are available conduct and conflicts of interest on the in each agency. These services are to be part of Government employees and spe- coordinated by a Counselor appointed by cial Government employees through in- the agency head. The Counselors are for

State—the Legal Adviser; for USIAthe General Counsel; and for AID-the Deputy 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 his inquiries to the oficer 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 or special Government employee shall be notified at the time of his entrance on duty. § 10.735–104 Applicability to detailed

employees. All the regulations of Subparts A, B, and D of this part are applicable to an employee of another U.S. Government agency who may be serving on detail or assignment, formally or informally, on a reimbursable or nonreimbursable basis through a Participating Agency Service Agreement or otherwise, with an agency named in § 10.735–102(a). However, disciplinary action shall be taken against such an employee only by his employing agency.

§ 10.735–105 Disciplinary action.

A violation of the regulations in this part by an employee or special Government employee may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law. Subpart B-Ethical and Other Conduct

and Responsibilities of Employees § 10.735–201 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.

(b) Applicability to members of families of employees. A U.S. citizen employee shall take care that certain responsibilities placed on him are also observed by members of his family. These are the restrictions in regard to: Acceptance of gifts ($ $ 10.735–202 and 10.735–203); economic and financial activities abroad (§ 10.735–206); teaching, lecturing, and writing (§ 10.735–204(c)); participation in activities of private organizations (§ 10.735–211(c)); and political activities abroad ($ 10.735–211(g)). f 10.735–202 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 his agency;

(2) Conducts operations or activities that are regulated by his agency;

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

(4) Appears to be offering the gift with the hope or expectation of obtaining

advantage or preferment in dealing with sonnel may accept such meals or refreshthe U.S. Government for any purpose. ments.

(b) Acceptance permitted. The provi- (3) There will be situations where in sions of paragraph (a) of this section do the judgment of the individual connot apply to:

cerned, the Government's interest would (1) Gifts, gratuities, favors, enter- be served by participation of an employee tainments, loans, or any other thing of in activities comparable to those enumonetary value received on account of merated in subparagraphs (1) and (2) of close family or personal relationships this paragraph, particularly where ofwhen the circumstances make it clear ficers are dealing with a foreign governthat it is that relationship rather than ment; in any such case in which an the business of the persons concerned employee accepts any favor, gratuity, or which is the motivating factors;

entertainment directly or indirectly from (2) Acceptance of loans from banks any foreign government, person, firm, or other financial institutions on cus- corporation, or any entity which is entomary terms to finance proper and gaged or is endeavoring to engage in usual activities of employees, such as business transactions of any sort with home mortgage loans;

AID, a report of the circumstances, to(3) Acceptance of unsolicited adver- gether with the employee's statement as tising or promotional material, such as to how the Government's interests were pens, pencils, note pads, calendars, and served, will be made within 48 hours to other items of nominal intrisic value; the employee's supervisor or, if the em

(4) Acceptance of rates and discounts ployee is serving abroad, to the Mission offered to employees as a class.

Director. (c) Acceptance permitted for State (e) Gifts to superiors. An employee and USIA employees. For State and USIA shall not solicit a contribution from anemployees the provisions of paragraph other employee for a gift to an official (a) of this section do not apply to: Ac- superior, make a donation as a gift to ceptance of food and refreshments of an official superior, or accept a gift from nominal value on infrequent occasions in an employee receiving less pay than himthe ordinary course of a luncheon or self (5 U.S.C. 7351). However, this paradinner meeting or other meeting or on graph does not prohibit a voluntary gift an inspection tour where an employee of nominal value or donation in a nomimay properly be in attendance.

nal amount made on a special occasion (d) Acceptance permitted for AID such as marriage, illness, or retirement. employees. For AID employees the pro

(f) Neither this section nor $ 10.735visions of paragraph (a) of this section 204 precludes an employee from receipt do not apply in the following situations: of bona fide reimbursement, unless pro

(1) In some circumstances the inter- hibited by law, for expenses of travel and ests of the Government may be served such other necessary subsistence as is by participation of employees in widely compatible with this part for which no attended lunches, dinners, and similar Government payment or reimbursement gatherings sponsored by industrial, tech- is made. However, this paragraph does nical, and professional associations for not allow an employee to be reimbursed, the discussion of matters of mutual in- or payment to be made on his behalf, for terest to Government and industry. excessive personal living expenses, gifts, Participation of employees is appropriate entertainment, or other personal benefits, where the host is the association and nor does it allow an employee to be renot the individual contractor. However, imbursed by a person for travel on official acceptance of entertainment or hospital

business under agency orders when reity from private companies in connec

imbursement is proscribed by Decision tion with such association activities is

B-128527 of the Comptroller General prohibited.

dated March 7, 1967. (2) In the unusual situation where § 10.735–203 Gifts from foreign govemployees would by virtue of the location of the person, firm, corporation, or An employee shall not accept a gift, other entity, or the regulations govern- present, decoration, or other thing from ing its dining facilities, find it incon- a foreign government unless authorized venient or impractical not to accept by Congress as provided by the Constimeals and refreshment at the host's ex- tution and in 5 U.S.C. 7342, and the regupense at said location or facility, per- lations promulgated thereunder pursuant


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