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Rules
for All Foreign Service (including SFS)
Cable
#: 035613 of 02/18/2004 1. Summary: Now that we are in an election year, the Department is providing rules on permissible political activities for department employees. Four types of rules exist: Senate-confirmed presidential appointees, political appointees who are not Senate confirmed, career foreign and civil service employees (other than career SES employees), and career SES employees. Before acting, you should ensure that you are referencing the guidance that addresses your particular circumstances. 2. This cable specifically addresses the rules applicable to the political activities of career Foreign and Civil Service employees (other than career SES employees). Septels will address rules applicable to the political activities of other types of employees. 3. The rules incorporate the 1993 revisions to the Hatch Act (Pub. L. 103-94) and implementing regulations (5 CFR Part 734). You should be aware that violations of the Hatch Act restrictions can lead to criminal and civil penalties, as well as disciplinary action. 4.
If you have further questions in the area of political activities,
please contact L/Ethics, preferably by e-mail at legal-l-ethics-attorneys.
You may also fax questions to (202)647-6794, and, if necessary, phone
at (202)647-4646. 5. Permissible Activities NOTE: If
you are a career employee at the Department of State, whether you
are in the Civil or Foreign Service, other than a career Senior Executive
Service ("SES") employees, the Hatch Act permits for you
to take an active part in political campaigns and other political
activities when not on duty. Under the amendments, however, you are
prohibited from personally soliciting, accepting or receiving partisan
political contributions, running for partisan political Time, place and manner restrictions: you may NOT engage in the otherwise permissible partisan political activities listed below while on duty, or in a government office or building, or wearing a uniform, badge, insignia or other item identifying you as a USG employee, or using a government owned or leased vehicle, or using a privately owned vehicle that is used on a recurrent basis for official business or that is clearly identified as being on government business. "On duty" includes the time period during which you are either (1) in a pay status other than paid leave, compensatory time off, credit hours, time off as an incentive award, or excused or authorized absence (including leave without pay), or (2) representing any agency or instrumentality of the United States in an official capacity. Permissible Activities Registration and Voting: You may register and vote. Freedom of Expression: You may: -- Express personal opinions on partisan political subjects and candidates, subject to the prohibition on misuse of official position described below; -- Sign a partisan political petition as an individual; -- Display partisan pictures, signs, stickers, badges or buttons as an individual expression of opinion; -- Place a partisan bumper sticker on your privately owned vehicle and park it in the State Department garage or Columbia Plaza or Embassy lot. If the car is used for official business on a recurrent basis or is clearly identified as being used on official business, however, you must cover the sticker while the car is being used for official business; and -- Place a sign or banner supporting a partisan political candidate at your home. Political Contributions: You may make financial contributions to partisan political candidates, parties or organizations, including to campaign committees or party committees, subject to state and federal limitations. Political Party Participation: You may: -- Join and maintain membership in a partisan political party or club; and -- Hold office in or organize a partisan political party or club or be a delegate to a party convention as long as the duties of the office do not involve personal solicitation, acceptance or receipt of political contributions. Working for a Candidate or Party: You may: -- Initiate, circulate, and sign nominating petitions for candidates for partisan political office or other political petitions; -- Campaign for or against, make campaign speeches for or against, and distribute campaign literature for or against candidates in partisan elections; -- Host, help organize and attend a partisan political rally or meet-the-candidate event which is not a fundraiser (see the rules on fundraisers below); -- Serve as officer or chairperson of a partisan political fundraising organization or committee as long as you do not personally solicit, accept, or receive political contributions; -- Give a speech or keynote address at a partisan political fundraiser, as long as you do not solicit political contributions; -- Allow your name (but not your official title) to appear on an invitation to a partisan political fundraiser as a guest speaker as long as the reference in no way suggests that you solicit or encourage contributions; -- Organize mail or phone solicitations, or stuff envelopes with requests for partisan political contributions (including funds, in-kind contributions, paid and unpaid services from businesses and paid and unpaid services from individuals), as long as you do not personally solicit, accept or receive contributions; -- Help organize a partisan fundraiser including supplying names for the invitation list as long as you do not personally solicit, accept, or receive contributions; -- Donate an item to be auctioned off in a fundraising raffle for the benefit of a partisan candidate's campaign; -- Solicit, accept, or receive uncompensated volunteer services related to partisan fundraising from an individual other than a subordinate; and -- Attend a partisan political convention or rally, fundraising function, election party or meet-the candidate event. Endorsements: You may endorse or oppose a candidate for partisan political office in a political advertisement, broadcast, campaign literature, or similar material, provided you do not reference your title or official position. Voter Registration: You may assist in partisan voter registration efforts. Get out the Vote: You may drive voters in a private vehicle to polling places for a partisan political candidate, group or party. Working at a Polling Station: You may: -- Act as a recorder, watcher, challenger or similar officer at a polling place for a partisan election; or -- Serve as an election judge or clerk, or in a similar position, performing nonpartisan duties as prescribed by state or local law. Running for Office: If you reside in a designated location, which includes most cities and counties in the Washington, DC area, you may run as an independent candidate for election to partisan political office at the municipal level and accept political contributions in connection with municipal elections, but you may not personally solicit political contributions from the general public. Nonpartisan Activities: You may: -- Express personal opinions on nonpartisan political subjects and candidates, subject to the prohibition on misuse of official position described below; -- Sign a nonpartisan political petition as an individual; -- Provide foreign policy briefings in your official capacity to candidates and political groups on a nonpartisan basis; -- Participate in nonpartisan activities of a civic, community, social, labor, or professional organization, such as nonpartisan voter registration efforts; -- Campaign for or against nonpartisan issues, such as referendum questions, constitutional amendments, or municipal reforms; -- Participate actively as a candidate or in support of a candidate in a nonpartisan election; and -- Serve as an election judge or clerk, or in a similar position, performing nonpartisan duties as prescribed by state or local law. Authorized Statements of Administration Policy: You may defend or debate current administration foreign policy in an appropriate forum in your official capacity, when properly authorized. Support for a Candidate who is a Family Member: If your spouse or other family member is a candidate for partisan political office, you may: -- Attend a fundraiser or rally supporting him or her, stand in the receiving line, sit at the head table, distribute flyers and urge others to vote for him or her, provided that you do not personally solicit, accept, or receive contributions of money or paid or unpaid services or sell or collect money for tickets to the fundraiser or rally. -- Appear with your candidate family member in a political advertisement, broadcast, campaign literature, or similar material and urge others to vote for your spouse or family member as long as you do not personally solicit political contributions. 7. Prohibited Activities Running for Office: You may not run for nomination or as a candidate for election to a partisan political office, unless you are running as an independent candidate for a partisan political office on the local level in a designated municipality. Fundraising: You may not personally solicit, accept, or receive a partisan political contribution (except in certain circumstances involving a Federal labor union), including by allowing your name to be listed on a fundraising invitation as a point of contact for the fundraiser or as part of the host committee for such an event, or by personally hosting a fundraiser at your residence. A "political contribution" includes funds, in-kind goods, and paid or unpaid personal services. -- Exception: you may solicit, accept and receive uncompensated volunteer services from individuals who are not your subordinates (e.g., you may work in a phone bank asking individuals to volunteer). -- Exception: Your spouse may host a fundraiser at your home, and you may attend and help organize it (e.g., by supplying names for the invitation list, addressing invitations, checking coats or serving drinks at the event) as long as you do not personally solicit, accept or receive political contributions. Misuse of Official Position: You may not: -- Use your official authority or influence for the purpose of interfering with or affecting the result of an election (for example, you may not use your official authority to coerce any person to participate in partisan political activity, or solicit, accept, or receive partisan political contributions from anyone, with the exception for uncompensated voluntary services from individuals noted above); --
Knowingly solicit or discourage the participation in any partisan
political activity of any employee or person regulated by or doing
business with the Department (for example, someone who has a matter
pending before the -- Use your official title while participating in otherwise permissible political activities. Recommendations: If you are involved in examining or appointing an applicant for the competitive service, you may not receive or consider a recommendation of the applicant by a Senator or Representative, except as to the character or residence of the applicant. Rules
for Presidential Appointees Cable
#: 035610 of 02/18/2004 1. SUMMARY: NOW THAT WE ARE IN AN ELECTION YEAR, THE DEPARTMENT IS PROVIDING RULES ON PERMISSIBLE POLITICAL ACTIVITIES FOR DEPARTMENT EMPLOYEES. FOUR TYPES OF RULES EXIST: SENATE-CONFIRMED PRESIDENTIAL APPOINTEES, POLITICAL APPOINTEES WHO ARE NOT SENATE CONFIRMED, CAREER FOREIGN AND CIVIL SERVICE EMPLOYEES (OTHER THAN CAREER SES EMPLOYEES), AND CAREER SES EMPLOYEES. BEFORE ACTING, YOU SHOULD ENSURE THAT YOU ARE REFERENCING THE GUIDANCE THAT ADDRESSES YOUR PARTICULAR CIRCUMSTANCES. 2. THIS CABLE SPECIFICALLY ADDRESSES THE RULES APPLICABLE TO THE POLITICAL ACTITIVIES OF SENATE-CONFIRMED PRESIDENTIAL EMPLOYEES. SEPTELS WILL ADDRESS RULES APPLICABLE TO THE POLITICAL ACTIVITIES OF OTHER TYPES OF EMPLOYEES. THE SECRETARY HAS APPROVED THESE RESTRICTIONS, WITH WHICH THE WHITE HOUSE COUNSEL'S OFFICE CONCURS. 3. THE RULES INCORPORATE THE 1993 REVISIONS TO THE HATCH ACT (PUB. L. 103-94) AND IMPLEMENTING REGULATIONS (5 CFR PART 734). IN ADDITION, THEY INCORPORATE POLICY RESTRICTIONS SPECIFIC TO THE DEPARTMENT OF STATE. YOU SHOULD BE AWARE THAT VIOLATIONS OF THESE RESTRICTIONS COULD LEAD TO CRIMINAL AND CIVIL PENALTIES, AS WELL AS DISCIPLINARY ACTION. 4.
IF YOU HAVE FURTHER QUESTIONS IN THE AREA OF POLITICAL ACTIVITIES,
PLEASE CONTACT JIM THESSIN AT (202)647-8460 (THESSINJH@STATE.GOV)
OR L/ETHICS, PREFERABLY BY E-MAIL AT LEGAL-L-ETHICS-ATTORNEYS. YOU
MAY ALSO FAX QUESTIONS TO (202)647-6794, AND, IF NECESSARY, PHONE
AT 647-4646. END 5. IF YOU ARE A SENATE-CONFIRMED PRESIDENTIAL EMPLOYEE OR A CAREER EMPLOYEE SERVING IN SUCH POSITIONS, YOU ARE SUBJECT TO SEVERAL RESTRICTIONS UNDER THE HATCH ACT AMENDMENTS, INCLUDING PROHIBITIONS ON SOLICITING, ACCEPTING OR RECEIVING PARTISAN POLITICAL CONTRIBUTIONS AND RUNNING FOR PARTISAN POLITICAL OFFICE. IF YOUR POST OF ASSIGNMENT IS ABROAD, YOU ARE ALSO BARRED FROM OTHERWISE ENGAGING IN PARTISAN POLITICAL ACTIVITIES WHILE "ON DUTY." WITH FEW EXCEPTIONS, YOU ARE ALWAYS "ON DUTY" AT YOUR POST OF ASSIGNMENT. 6. REGULATIONS IMPLEMENTING THE 1993 HATCH ACT AMENDMENTS SPECIFICALLY PROVIDE AGENCIES WITH DISCRETION TO IMPOSE ADDITIONAL RESTRICTIONS ON SENATE-CONFIRMED PRESIDENTIAL APPOINTEES. THE DEPARTMENT HAS A LONG-STANDING POLICY OF LIMITING PARTICIPATION IN PARTISAN CAMPAIGNS BY ITS TOP OFFICIALS AND POLITICAL APPOINTEES IN RECOGNITION OF THE BIPARTISAN CHARACTER OF OUR FOREIGN POLICY. THE SECRETARY HAS APPROVED THESE RESTRICTIONS AND THEY ARE INCORPORATED INTO THE LIST OF "DO'S" AND "DON'T'S" BELOW. 7. PERMISSIBLE ACTIVITIES NOTE: REGARDLESS OF WHERE YOU ARE ASSIGNED, THE COMBINATION OF HATCH ACT REQUIREMENTS AND DEPARTMENT POLICY EFFECTIVELY BARS YOU FROM ENGAGING IN PARTISAN POLITICAL ACTIVITIES WHILE "ON DUTY," OR IN A GOVERNMENT OFFICE OR BUILDING, OR WEARING A UNIFORM, BADGE OR SIMILAR ITEM IDENTIFYING YOU AS A USG EMPLOYEE, OR USING A GOVERNMENT OWNED OR LEASED VEHICLE, OR USING A PRIVATELY OWNED VEHICLE THAT IS USED ON A RECURRENT BASIS FOR OFFICIAL BUSINESS OR THAT IS CLEARLY IDENTIFIED AS BEING ON GOVERNMENT BUSINESS. IN MANY CIRCUMSTANCES, YOU ARE ALSO PRECLUDED FROM ENGAGING IN PARTISAN POLITICAL ACTIVITIES EVEN WHEN YOU ARE "OFF DUTY." "ON DUTY" INCLUDES ANY TIME PERIOD DURING WHICH YOU ARE REPRESENTING ANY AGENCY OR INSTRUMENTALITY OF THE UNITED STATES IN AN OFFICIAL CAPACITY. THE LEGISLATIVE HISTORY SUGGESTS THAT AMBASSADORS MAY BE CONSIDERED TO BE ON DUTY TWENTY-FOUR HOURS A DAY WHILE THEY ARE AT POST. IF YOUR POST OF ASSIGNMENT IS ABROAD, THEREFORE, YOU SHOULD NOT PARTICIPATE IN PARTISAN POLITICAL ACTIVITIES WHILE AT POST. REGISTRATION AND VOTING: YOU MAY REGISTER AND VOTE. FREEDOM OF EXPRESSION: YOU MAY: --EXPRESS PERSONAL OPINIONS ON PARTISAN POLITICAL SUBJECTS AND CANDIDATES SUBJECT TO THE PROHIBITION ON MISUSE OF OFFICIAL POSITION DESCRIBED BELOW; --SIGN A PARTISAN POLITICAL PETITION AS AN INDIVIDUAL; --IF YOUR POST OF ASSIGNMENT IS IN THE UNITED STATES, PLACE A PARTISAN BUMPER STICKER ON YOUR PRIVATELY OWNED VEHICLE AND PARK IT IN THE STATE DEPARTMENT GARAGE, NAVY HILL, COLUMBIA PLAZA OR OTHER USG PARKING FACILITY. IF THE CAR IS USED FOR OFFICIAL BUSINESS ON A RECURRENT BASIS OR IS CLEARLY IDENTIFIED AS BEING USED ON OFFICIAL BUSINESS, HOWEVER, YOU MUST COVER THE STICKER WHILE THE CAR IS BEING USED FOR OFFICIAL BUSINESS; AND --IF YOUR POST OF ASSIGNMENT IS IN THE UNITED STATES, PLACE A SIGN OR BANNER SUPPORTING A PARTISAN POLITICAL CANDIDATE AT YOUR HOME. POLITICAL PARTY MEMBERSHIP: YOU MAY JOIN AND MAINTAIN MEMBERSHIP IN A PARTISAN POLITICAL PARTY OR GROUP. POLITICAL CONTRIBUTIONS: YOU MAY MAKE FINANCIAL CONTRIBUTIONS TO PARTISAN POLITICAL CANDIDATES, PARTIES OR ORGANIZATIONS, INCLUDING TO CAMPAIGN COMMITTEES OR PARTY COMMITTEES, SUBJECT TO STATE AND FEDERAL LIMITATIONS. PRIOR RELATIONSHIP TO A CANDIDATE: IF YOUR POST OF ASSIGNMENT IS IN THE UNITED STATES, YOU MAY PROVIDE POLITICAL ADVICE ON AN UNCOMPENSATED BASIS TO A PARTISAN CANDIDATE WITH WHOM YOU HAVE HAD A PRIOR RELATIONSHIP. AUTHORIZED STATEMENTS OF ADMINISTRATION POLICY: YOU MAY DEBATE OR DEFEND CURRENT ADMINISTRATION FOREIGN POLICY IN AN APPROPRIATE FORUM IN AN OFFICIAL CAPACITY, WHEN PROPERLY AUTHORIZED. NONPARTISAN ACTIVITIES: YOU MAY: --EXPRESS PERSONAL OPINIONS ON NONPARTISAN POLITICAL SUBJECTS AND CANDIDATES SUBJECT TO THE PROHIBITION ON MISUSE OF OFFICIAL POSITION DESCRIBED BELOW; --SIGN A NONPARTISAN POLITICAL PETITION AS AN INDIVIDUAL; --PROVIDE FOREIGN POLICY BRIEFINGS IN YOUR OFFICIAL CAPACITY TO CANDIDATES AND POLITICAL GROUPS ON A NONPARTISAN BASIS; --PARTICIPATE IN NONPARTISAN ACTIVITIES OF A CIVIC, COMMUNITY, SOCIAL, LABOR, OR PROFESSIONAL ORGANIZATION, SUCH AS NONPARTISAN VOTER REGISTRATION EFFORTS; --CAMPAIGN FOR OR AGAINST NONPARTISAN ISSUES, SUCH AS REFERENDUM QUESTIONS, CONSTITUTIONAL AMENDMENTS, OR MUNICIPAL REFORMS; --PARTICIPATE ACTIVELY AS A CANDIDATE OR IN SUPPORT OF A CANDIDATE IN A NONPARTISAN ELECTION; AND --SERVE AS AN ELECTION JUDGE OR CLERK, OR IN A SIMILAR POSITION, PERFORMING NONPARTISAN DUTIES AS PRESCRIBED BY STATE OR LOCAL LAW. 8. PROHIBITED ACTIVITIES RUNNING FOR OFFICE: YOU MAY NOT RUN FOR A NOMINATION OR AS A CANDIDATE FOR ELECTION TO A PARTISAN POLITICAL OFFICE. WORKING FOR A PARTY OR CANDIDATE: YOU MAY NOT: --TAKE A VISIBLE OR ACTIVE MANAGEMENT POSITION IN A PARTISAN POLITICAL CAMPAIGN, E.G., BY SERVING AS A CAMPAIGN OFFICER; --SERVE AS AN OFFICER OR ORGANIZER OF A POLITICAL PARTY OR OTHER PARTISAN POLITICAL GROUP; --SERVE AS A DELEGATE, ALTERNATE OR PROXY TO A POLITICAL PARTY CONVENTION; --ATTEND A POLITICAL PARTY CONVENTION OR AN ELECTION NIGHT CELEBRATION, UNLESS AUTHORIZED TO ATTEND BY THE DESIGNATED AGENCY ETHICS OFFICIAL - DEPUTY LEGAL ADVISER JIM THESSIN - DUE TO SPECIAL CIRCUMSTANCES; --HOST, HELP ORGANIZE OR ATTEND PARTISAN POLITICAL RALLIES OR MEET-THE-CANDIDATE EVENTS; --ENDORSE OR OPPOSE A CANDIDATE FOR PARTISAN POLITICAL OFFICE IN A POLITICAL ADVERTISEMENT, BROADCAST, CAMPAIGN LITERATURE, OR SIMILAR MEDIUM; --WORK AT THE POLLS ON BEHALF OF A PARTISAN CANDIDATE OR POLITICAL PARTY BY ACTING AS A CHECKER, CHALLENGER OR WATCHER, OR IN A SIMILAR PARTISAN POSITION; OR --OTHERWISE VOLUNTEER OR WORK IN A PARTISAN CAMPAIGN IN A ROLE THAT INVOLVES DIRECT CONTACT WITH THE ELECTORATE, INCLUDING ADVANCE WORK. FUNDRAISING: YOU MAY NOT KNOWINGLY SOLICIT, ACCEPT, OR RECEIVE A PARTISAN POLITICAL CONTRIBUTION, REGARDLESS OF WHETHER THE CANDIDATE IS A SPOUSE OR FAMILY MEMBER. A "POLITICAL CONTRIBUTION" INCLUDES FUNDS, IN-KIND GOODS, AND PAID OR UNPAID PERSONAL SERVICES. IN PARTICULAR, YOU MAY NOT: --SELL TICKETS FOR OR OTHERWISE PROMOTE FUNDRAISING ACTIVITIES SUCH AS POLITICAL DINNERS FOR A PARTISAN CANDIDATE OR POLITICAL COMMITTEE; --SPEAK AT PARTISAN FUNDRAISING EVENTS; --ALLOW YOUR NAME AND/OR OFFICIAL TITLE TO BE LISTED ON A PARTISAN FUNDRAISING INVITATION, OR AS PART OF A HOST COMMITTEE FOR SUCH AN EVENT; --SERVE AS AN INDIVIDUALLY-NAMED GUEST OF HONOR AT A PARTISAN FUNDRAISING EVENT; --PERSONALLY HOST A PARTISAN FUNDRAISER AT YOUR RESIDENCE IN THE UNITED STATES (ALTHOUGH YOUR SPOUSE MAY HOST A FUNDRAISER AT YOUR RESIDENCE PROVIDED HE OR SHE IS HOSTING IT IN HIS OR HER OWN RIGHT AND NOT AS A SURROGATE FOR YOU AND PROVIDED YOU DO NOT ATTEND); OR --ATTEND PARTISAN POLITICAL FUNDRAISERS. MISUSE OF OFFICIAL POSITION: YOU MAY NOT: --USE YOUR OFFICIAL AUTHORITY OR INFLUENCE FOR THE PURPOSE OF INTERFERING WITH OR AFFECTING THE RESULT OF AN ELECTION (FOR EXAMPLE, YOU MAY NOT USE YOUR OFFICIAL AUTHORITY TO COERCE ANY PERSON TO PARTICIPATE IN PARTISAN POLITICAL ACTIVITY, OR SOLICIT, ACCEPT, OR RECEIVE PARTISAN POLITICAL CONTRIBUTIONS FROM ANYONE, INCLUDING A SUBORDINATE); --KNOWINGLY SOLICIT OR DISCOURAGE THE PARTICIPATION IN ANY PARTISAN POLITICAL ACTIVITY OF ANY EMPLOYEE OR PERSON REGULATED BY OR DOING BUSINESS WITH THE DEPARTMENT (FOR EXAMPLE, SOMEONE WHO HAS A MATTER PENDING BEFORE THE DEPARTMENT); OR --USE YOUR OFFICIAL TITLE WHILE PARTICIPATING IN OTHERWISE PERMISSIBLE POLITICAL ACTIVITIES. RECOMMENDATIONS: IF YOU ARE INVOLVED IN EXAMINING OR APPOINTING AN APPLICANT FOR THE COMPETITIVE SERVICE, YOU MAY NOT RECEIVE OR CONSIDER A RECOMMENDATION OF THE APPLICANT BY A SENATOR OR REPRESENTATIVE, EXCEPT AS TO THE CHARACTER OR RESIDENCE OF THE APPLICANT. SPECIAL RULE-SUPPORT FOR A CANDIDATE WHO IS A FAMILY MEMBER: IF YOUR SPOUSE OR OTHER FAMILY MEMBER IS A CANDIDATE FOR PARTISAN POLITICAL OFFICE, YOU SHOULD SEEK FURTHER GUIDANCE FROM L/ETHICS. SPECIAL RULES IF YOUR POST OF ASSIGNMENT IS ABROAD: IN ADDITION TO THE OTHER RESTRICTIONS DESCRIBED ABOVE, YOU MAY NOT: --HOST EVENTS AT THE EMBASSY OR THE OFFICIAL RESIDENCE IN HONOR OF OR FOR THE BENEFIT OF PARTISAN POLITICAL CANDIDATES OR GROUPS FROM THE UNITED STATES, ALTHOUGH INDIVIDUALS WHO ARE PART OF A PARTISAN POLITICAL GROUP MAY BE INVITED TO OTHER EVENTS HOSTED BY THE EMBASSY (CONSULT WITH L/ETHICS BEFORE RECEIVING A PARTISAN POLITICAL CANDIDATE OR GROUP AT POST); --LEAVE YOUR POST OF ASSIGNMENT TO RETURN TO THE UNITED STATES PRIMARILY TO TAKE PART IN PARTISAN POLITICAL ACTIVITIES; OR --WHILE AT POST OR OTHERWISE ON DUTY, PROVIDE POLITICAL GUIDANCE TO A PARTISAN CANDIDATE WITH WHOM YOU HAVE HAD A PRIOR RELATIONSHIP.
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