3 FAM 8320
Nepotism
(CT:PER-756; 12-12-2014)
(Office of Origin: HR/PC)
3 FAM 8321 overview
(CT:PER-756; 12-12-2014)
(State Only)
This material applies equally to Foreign Service and Civil
Service employees, interns/externs, detailees, and fellows of the U.S.
Department of State and does not apply to overseas local hires (e.g. Locally
Employed (LE) Staff - foreign national or U.S. citizen) hired pursuant to
personal services agreements, personal services contracts, direct hire Foreign
Service National appointments, part-time or intermittent temporary
appointments, or Eligible Family Members hired under family member appointments
(FMA/Temporary), which are addressed also in 3 FAM 8310 and 3 FAH-1 H-8300.
3 FAM 8322 AUTHORITies
(CT:PER-719; 01-08-2014)
(State Only)
Authorities are found under:
5 U.S.C. 3110, Employment of relatives; restrictions;
5 U.S.C. 2302(b)(7), Prohibited personnel practices;
18 U.S.C. 208, Acts affecting a personal financial interest;
5 CFR 2640, Interpretation, exemptions, waiver guidance
concerning 18 U.S.C. 208; and
5 CFR 310, Employment of relatives.
3 FAM 8323 DEFINITIONS
(CT:PER-756; 12-12-2014)
(State Only)
a. For the purpose of these nepotism regulations:
(1) A relative is a husband, wife, domestic partner
as defined in 3 FAM 1600, father, mother, son, daughter, brother, sister,
uncle, aunt, first cousin, nephew, niece, father-in-law, mother-in-law, son-in-law,
daughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother,
stepson, stepdaughter, stepbrother, stepsister, half-brother, or half-sister;
(2) An employee is a Foreign Service or Civil
Service employee of the U.S. Department of State, or a PSC employee, with the
exception of overseas local hires, which are addressed in separate nepotism
regulations set forth at 3 FAM 8310 and 3 FAH-1 H-8300;
(3) "General supervision" refers to a
situation where an employee occupies a position at any level in the line of
supervision over another employee;
(4) Office refers to (a) a unit composed of at least
12 full-time or part-time permanent positions, or (b) a unit for which the
Office Director reports directly to a Managing Director, a Deputy Assistant
Secretary, an Ambassador-at-Large or the equivalent, an Assistant Secretary or
the equivalent, an Undersecretary, a Deputy Secretary, or the Secretary;
(5) Office Director refers to the head of an office;
(6) "Personal Services Contract (PSC)" refers
to a contract with an individual pursuant to express statutory authority that
is characterized by the employer-employee relationship it creates between the
U.S. government and the contractor;
(7) "PSC employee" refers to a person hired
through a personal services contract and
not through direct U.S. government hiring;
and
(8) "Public official" refers to an employee
of the Department of State who has the authority by law, rule, or regulation,
or to whom the authority has been delegated, to appoint, employ, promote, or
advance individuals, or to recommend individuals for appointment, employment,
promotion, or advancement in connection with employment in the Department of
State.
3 FAM 8324 GENERAL
(CT:PER-719; 01-08-2014)
(State Only)
An employee must scrupulously insulate himself or herself
from acts benefiting, affecting, or giving the appearance of benefiting or
affecting a relatives career or responsibilities, or which might reasonably be
anticipated to benefit, affect, or give the appearance of benefitting or
affecting a relatives career or responsibilities. An employee who fails to
scrupulously insulate the exercise of his or her official authority from
actions affecting, or giving the appearance of affecting, a relatives career
advancement risks violation of 5 U.S.C. 3110 and the prohibited personnel
practice provisions of 5 U.S.C. 2302(b)(7).
3 FAM 8325 EMERGENCY EXCEPTIONS
(CT:PER-719; 01-08-2014)
(State Only)
When necessary to meet urgent needs resulting from an
emergency posing an immediate threat to life or property, or a national
emergency as defined in 5 CFR 230.402(a)(1), a public official may employ
relatives to meet those needs without regard to the restrictions in 5 U.S.C.
3110, and this part. Such appointments are temporary and may not exceed one
month, but may be extended for a second month if the emergency need still
exists, consistent with 5 CFR 310.202.
3 FAM 8326 PROHIBITED CONDITIONS
(CT:PER-756; 12-12-2014)
(State Only)
a. An employee may not appoint, employ, promote,
advance, assign, or advocate for appointment, employment, promotion,
advancement, or assignment in or to a Department of State position, any
individual who is a relative of that employee. An individual must not be
appointed, employed, promoted, advanced, or assigned in or to a Department of
State position if such appointment, employment, promotion, advancement, or
assignment has been advocated by an employee who is a relative of the
individual. In most instances, an individual appointed, employed, promoted,
advanced, assigned or for whom such action is advocated in violation of this
paragraph is not entitled to pay, and money may not be paid from the Department
of Treasury as pay to such an individual.
b. Neither an employee nor anyone over whom the employee
exercises general supervision may participate in an employment selection or
assignment process when a relative of that employee is likely to be a candidate
for a position under consideration. The employment selection process includes,
but may not be limited to, participation as selecting official or member of an
employment committee, defining position requirements, establishment of
qualification standards for the position, preparation or approval of position
vacancy announcements, classification of the position, or setting,
establishing, or recommending pay levels. The assignment process includes, but
may not be limited to, involvement in the bidding process or any other
determinations related to the position to which an employee is to be assigned.
An employees participation in an employment selection or assignment process,
or the participation in the employment selection or assignment process of an
individual under the general supervision of that employee, may disqualify the
employees relative from consideration for that position.
c. No employee may exercise general
supervision (as defined above) over a relative. Moreover, no employee may,
with respect to a relative, sign or approve any official actions directly
affecting a relative, including but not limited to appointment affidavits and
personnel actions. An employee may not grant security clearances, certify time
and attendance records, approve travel, or certify payments; initiate,
participate in, or approve awards or disciplinary actions; prepare or approve
job descriptions; establish work requirements; act as a certifying or
contracting officer on documents which are signed by a relative; approve
official documents (such as passports or visas) prepared by a relative; or
otherwise have a working relationship which has or gives the appearance of
having direction or control over the duties, assignment, promotion, or career
of a relative.
d. An employee and
a relative may not be placed into positions wherein they jointly control
government resources, property, or money, or establish government policy; or
where an employee may reasonably be expected to audit, inspect, evaluate,
promote, advance, or approve work assigned to a relative; and
e. An employee and
a relative may not be placed into positions that would require reconfiguration
of lines of supervision and work processes in such a manner as would be
reasonably expected to have an adverse effect on the mission of the government
or other employees.
3 FAM 8327 ANTI-NEPOTISM REVIEW
PROCEDURES
(CT:PER-756; 12-12-2014)
(State Only)
a. Posts and bureaus must request and receive the
approval of the Director General of the Foreign Service and Director of Human
Resources (DGHR) before employing or assigning a relative in or to the same
post or bureau if any of the following conditions apply:
(1) Because of the special responsibilities and
authorities of these positions, the employee or prospective employee is (a) a
relative of an ambassador, chief of mission, deputy chief of mission, principal
officer, deputy principal officer, and is to be employed or assigned to the
same post or, (b) a relative of any employee hired domestically at the level of
a Deputy Assistant Secretary or higher and is to be employed or assigned: (i)
domestically to a position with the Department in the same bureau or under the
relatives general supervision or (ii) overseas to a post that reasonably is
anticipated to come within the responsibility or authority of the relative
based domestically;
(2) Any elements of the Prohibited Conditions,
listed in 3 FAM
8326 might appear to potentially exist;
(3) The employee and the
relative, if both assigned or employed domestically, are to be placed in a
position where the employee and relative work under the same Office Director;
or
(4) Substantial
rearrangement or realignment of duties or responsibilities required in order to
comply with the requirements of this regulation.
b. To the extent not
otherwise prohibited pursuant to 3 FAM 8326, the DGHR may approve or disapprove employment
or assignment of relatives abroad and domestically, consistent with these
regulations. The Director of the Bureau of Human Resources, Office of Career
Development and Assignments (HR/CDA) is authorized to act on behalf of the DGHR
with respect to the employment or assignment of Foreign Service relatives
abroad and domestically, the Director of the Office of Civil Service Hiring and
Resource Management (HR/CSHRM) with respect to Civil Service domestically. Posts
and/or bureaus seeking the employment or assignment of relatives subject to
these provisions must submit requests to approve the employment or assignment
by decision memorandum to the DGHR or the relevant HR office, as appropriate. Approval
or disapproval by the DGHR (or the relevant HR office) of a request for
employment or assignment is subject to clearance by the Assistant Legal Adviser
for Employment Law (L/EMP). Appeals of determinations by the relevant HR
office may be addressed to the DGHR, who may sustain or amend any
determination. Appeals should be transmitted by the appropriate bureau to
M/DGHR.
c. In reviewing requests for approval of employment, assignment, or Alternative
Supervisory Arrangements (ASA), the DGHR should consider, in addition to the
matters set forth elsewhere in these provisions, issues such as the potential
impact of the proposed arrangement on (1) the morale and perceptions of other
Department employees; (2) the willingness of Department employees serving under
one or both of the employees in question to pursue actions or raise disputed
matters that might bear upon or conflict with the work conducted by the other
relative or those under that other relative's supervision; and (3) the
Department's interest in ensuring that judgments offered by the employees in
question to those higher up the supervisory chain are independent and that the
decision-making process is not skewed by the existence of the relationship
between employees.
d. Requests by a bureau or post for approval to hire or
assign a relative should include the following information, as appropriate:
(1) Action requested
(including brief overview of the proposed positions/assignments);
(2) Concurrence (including a
brief statement of concurrence from post and/or bureau management);
(3) Background (including a
description of the circumstances related to staffing the job(s) and any other
considerations underlying the proposed employment or assignment);
(4) Supervision (including the
proposed chain of command, contingencies for when supervisors and others up the
chain of command are on leave or otherwise absent, and the proposed rating and
reviewing structure for the employees in question);
(5) Handling of awards
(relatives must recuse themselves from all actions or activity involving
performance-based awards to another relative or to an employee under the direct
supervision of a relative);
(6) Supervision by each relative of
other employees (including a description of the positions supervised
(Foreign Service, Civil Service, or Locally Employed (LE) Staff) and any
relevant information regarding plans for rating or reviewing those employees);
(7) Resource allocation issues
(including information regarding internal controls and what, if any, role a
relative might have in any financial or resource allocation matters involving
the other relative's section or office; a description of who will approve
travel and other expense vouchers, and decide upon any allocation of
representational or other funds and resources for the relative's section or
office; and information, if relevant, regarding management of ICASS, housing
board issues, additional budget issues, and responsibilities regarding
certification);
(8) Official correspondence and
cables (including, if relevant, a description of how correspondence and
cables handled by a relative's section will be handled);
(9) Property management
(including, if relevant, information related to leasing, inventory, or property
management issues);
(10) Certification of time and
attendance (if relevant);
(11) Cash accountability (if
relevant);
(12) Management (including, in
the event one relative is to be reviewed by an officer at another post with
regional responsibilities, a description of the plan for visits and continuing
contacts with the regional supervisor or Washington officials);
(13) Consular (including
information regarding internal control management and the integrity of the visa
process);
(14) Ethical considerations;
(15) Viability of the arrangement;
and
(16) Agreement of all significant
parties (including signatures by all affected parties and relevant
management officials to indicate willingness to abide by the terms and
conditions of the proposed ASA, if approved).
e. Determinations by the DGHR remain in effect only so
long as the approved employment conditions and the individuals in the chain of
command remain unchanged.
f. The concurrence of a supervisor or higher
management official to an ASA is not binding on his/her successor. Should a
new supervisor or higher management official not wish to participate in or
approve a pre-existing alternative supervisory arrangement, it will be revoked,
and the Department may determine that one relative may have to choose between
either electing to request LWOP or facing curtailment or reassignment.
3 FAM 8328 AND 8329 UNASSIGNED