[Federal Register Volume 60, Number 105 (Thursday, June 1, 1995)]
[Rules and Regulations]
[Pages 28535-28538]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-13318]
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DEPARTMENT OF THE TREASURY
31 CFR Part 0
Employee Rules of Conduct
AGENCY: Department of the Treasury.
ACTION: Interim rule.
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SUMMARY: The Department of the Treasury is issuing the Employee Rules
of Conduct which will prescribe uniform rules of conduct and procedure
for all employees and officials in the Department.
DATES: This interim rule is effective June 1, 1995. Comments must be
received or postmarked on or before July 3, 1995.
ADDRESSES: Comments should be submitted to the Office of the Assistant
General Counsel (General Law and Ethics), Department of the Treasury,
Room 1410, Washington, DC 20220, Attention: Mr. R. Peter Rittling or by
e-mail at the following address Peter.Rittling@treas.sprint.com.
FOR FURTHER INFORMATION CONTACT: Stephen J. McHale, Henry H. Booth, or
R. Peter Rittling, Office of the Assistant General Counsel (General Law
and Ethics), Department of the Treasury, telephone (202) 622-0450, FAX
(202) 622-1176, e-mail Peter.Rittling@treas.sprint.com.
SUPPLEMENTARY INFORMATION:
I. Background
On August 7, 1992, the Office of Government Ethics (OGE) published
the Standards of Ethical Conduct for Employees of the Executive Branch
(5 CFR Part 2635). The Executive Branch-wide Standards became effective
on February 3, 1993, superseding many, but not all, of the Department-
wide conduct rules published at 31 CFR Part 0 (see also the grace
period extension at 59 FR 4779-4780, February 2, 1994). This rule
making repeals part 0 in its entirety and issues a new part 0. The new
part 0 includes conduct rules previously published in part 0 that were
not superseded and continue to be important to the efficient
functioning of the Department. Many of the regulations included in the
Rules of Conduct have been revised pursuant to changes in the law or
Department policy.
Simultaneously, in a separate rule making, the Department is
issuing as a final rule the Supplemental Standards of Ethical Conduct
for Employees of the Department of the Treasury. The Supplemental
Standards, to be codified at 5 CFR chapter XXI, prescribe Department-
specific ethics regulations supplemental to the Executive Branch-wide
Standards.
II. Analysis of the Regulations
Subpart A--General Provisions
The provisions contained in subpart A state the policy and purpose
of the Rules of Conduct and the responsibilities of the Department's
employees and officials in implementing and complying with the included
regulations. Subpart A also includes a definitional section. The United
States Savings Bonds Division is omitted from the definition of Bureau
in Sec. 0.103 because it was assumed into the Bureau of the Public Debt
and no longer exists as a separate component of the Department.
Subpart B--Rules of Conduct
Subpart B sets out the conduct regulations that all Department
employees and officials are required to follow. Generally, the rules
regulate employee conduct including, for example, the use of Government
vehicles or the use of controlled substances and intoxicants while an
employee is on duty or on Government property. Regulations concerning
conflicts of interest and ethics are contained in the Executive Branch-
wide Standards and the Treasury Supplemental Standards.
Subpart C--Special Government Employees
Section 0.301 of subpart C explains that, with little variation,
special Government employees employed with the Department are required
to comply with the Rules of Conduct to the same degree as regular
employees. Further, Sec. 0.303 requires a special Government employee,
serving concurrently with another Federal agency, to inform the
Department of that fact so that the Department may take the appropriate
administrative actions and avoid any conflict in duties or
remuneration.
Subpart D--Advisers to the Department
Subpart D includes a definition of adviser to the Department and
instructs individuals uncertain about their relationship with the
Department to seek advice from the appropriate ethics official.
Further, Sec. 0.401(b) explains that it is the Department's policy that
advisers should refer to the Rules of Conduct for guidance when working
with the Department even though they are not required to follow the
Rules.
III. Matters of Regulatory Procedure
Administrative Procedure Act
The Department finds that good cause exists for waiving the notice
and comment requirements contained in 5 U.S.C. 553(b) and (d). The
Department of the Treasury Employee Rules of Conduct contain statements
of policy, interpretive rules, and conduct regulations relating solely
to agency management and personnel. Moreover, this rule making
essentially reissues in revised form many of the conduct rules
previously published in 31 CFR Part 0. However, because this rule may
be improved, comments may be submitted on or before July 3, 1995. All
comments will be analyzed and any appropriate changes to the rule will
be incorporated in the subsequent publication of the final rule.
Executive Order 12866, Regulatory Planning and Review
This rule is limited to agency organization, management and
personnel matters; therefore, it is not subject to Executive Order
12866.
Regulatory Flexibility Act
It is hereby certified that this rule will not have a significant
economic impact on a substantial number of small entities. This rule
affects only Federal employees.
List of Subjects in 31 CFR Part 0
Government employees.
Dated: January 29, 1995.
Edward S. Knight,
General Counsel, Department of the Treasury.
For the reasons set forth in the preamble, 31 CFR part 0 is revised
to read as follows:
PART 0--DEPARTMENT OF THE TREASURY EMPLOYEE RULES OF CONDUCT
Subpart A--General Provisions
Sec.
0.101 Purpose.
0.102 Policy.
0.103 Definitions. [[Page 28536]]
Responsibilities
0.104 Designated Agency Ethics Official and Alternate Designated
Agency Ethics Official.
0.105 Deputy Ethics Official.
0.106 Bureau Heads.
0.107 Employees.
Subpart B--Rules of Conduct
0.201 Political activity.
0.202 Strikes.
0.203 Gifts or gratuities from foreign governments.
0.204 Use of controlled substances and intoxicants.
0.205 Care of documents and data.
0.206 Disclosure of information.
0.207 Cooperation with official inquiries.
0.208 Falsification of official records.
0.209 Use of Government vehicles.
0.210 Conduct while on official duty or on Government property.
0.211 Soliciting, selling and canvassing.
0.212 Influencing legislation or petitioning Congress.
0.213 General conduct prejudicial to the Government.
0.214 Nondiscrimination.
0.215 Possession of weapons and explosives.
0.216 Privacy Act.
0.217 Personal financial interests.
Subpart C--Special Government Employees
0.301 Applicability of subpart B.
0.302 Service with other Federal agencies.
Subpart D--Advisers to the Department
0.401 Advisers to the Department.
Authority: 5 U.S.C. 301.
Subpart A--General Provisions
Sec. 0.101 Purpose.
(a) The Department of the Treasury Employee Rules of Conduct
(Rules) are separate from and additional to the Standards of Ethical
Conduct for Employees of the Executive Branch (Executive Branch-wide
Standards) (5 CFR part 2635) and the Supplemental Standards of Ethical
Conduct for Employees of the Department of the Treasury (Treasury
Supplemental Standards) (to be codified at 5 CFR part 3101). The Rules
prescribe employee rules of conduct and procedure and provide for
disciplinary action for the violation of the Rules, the Treasury
Supplemental Standards, the Executive Branch-wide Standards, and any
other rule, regulation or law governing Department employees.
(b) The Rules are not all-inclusive and may be modified by
interpretive guidelines and procedures issued by the Department's
bureaus. The absence of a specific published rule of conduct covering
an action does not constitute a condonation of that action or indicate
that the action would not result in corrective or disciplinary action.
Sec. 0.102 Policy.
(a) All employees and officials of the Department are required to
follow the rules of conduct and procedure contained in the Rules, the
Treasury Supplemental Standards, the Executive Branch-wide Standards of
Ethical Conduct, the Employee Responsibilities and Conduct (5 CFR part
735), and any bureau issued rules.
(b) Employees found in violation of the Rules, the Treasury
Supplemental Standards, the Executive Branch-wide Standards or any
applicable bureau rule may be instructed to take remedial or corrective
action to eliminate the conflict. Remedial action may include, but is
not limited to:
(1) Reassignment of work duties;
(2) Disqualification from a particular assignment;
(3) Divestment of a conflicting interest; or
(4) Other appropriate action.
(c) Employees found in violation of the Rules, the Treasury
Supplemental Standards, the Executive Branch-wide Standards or any
applicable bureau rule may be disciplined in proportion to the gravity
of the offense committed, including removal. Disciplinary action will
be taken in accordance with applicable laws and regulations and after
consideration of the employee's explanation and any mitigating factors.
Further, disciplinary action may include any additional penalty
prescribed by law.
Sec. 0.103 Definitions.
The following definitions are used throughout this part: (a)
Adviser means a person who provides advice to the Department as a
representative of an outside group and is not an employee or special
Government employee as those terms are defined in Sec. 0.103.
(b) Bureau means:
(1) Bureau of Alcohol, Tobacco and Firearms;
(2) Bureau of Engraving and Printing;
(3) Bureau of the Public Debt;
(4) Departmental Offices;
(5) Federal Law Enforcement Training Center;
(6) Financial Management Service;
(7) Internal Revenue Service;
(8) Legal Division;
(9) Office of the Comptroller of the Currency;
(10) Office of the Inspector General;
(11) Office of Thrift Supervision;
(12) United States Customs Service;
(13) United States Mint;
(14) United States Secret Service; and
(15) Any organization designated as a bureau by the Secretary
pursuant to appropriate authority.
(c) Person means an individual, corporation and subsidiaries it
controls, company, association, firm, partnership, society, joint stock
company, or any other organization or institution as specified in 5 CFR
2635.102(k).
(d) Regular employee or employee means an officer or employee of
the Department of the Treasury but does not include a special
Government employee.
(e) Special Government employee means an officer or employee who is
retained, designated, appointed, or employed to perform temporary
duties either on a full-time or intermittent basis, with or without
compensation, for a period not to exceed 130 days during any
consecutive 365-day period. See 18 U.S.C. 202(a).
Responsibilities
Sec. 0.104 Designated Agency Ethics Official and Alternate Designated
Agency Ethics Official.
The Deputy General Counsel is the Department's Designated Agency
Ethics Official (DAEO). The DAEO is responsible for managing the
Department's ethics program, including coordinating ethics counseling
and interpreting questions of conflicts of interest and other matters
that arise under the Executive Branch-wide Standards and Treasury
Supplemental Standards and Rules. See 5 CFR 2638.203. The Senior
Counsel for Ethics is the Alternate Designated Agency Ethics Official.
Sec. 0.105 Deputy Ethics Official.
The Chief Counsel or Legal Counsel for a bureau, or a designee, is
the Deputy Ethics Official for that bureau. The Legal Counsel for the
Financial Crimes Enforcement Network is the Deputy Ethics Official for
that organization. It is the responsibility of the Deputy Ethics
Official to give authoritative advice and guidance on conflicts of
interest and other matters arising under the Executive Branch-wide
Standards, Treasury Supplemental Standards, and the Rules.
Sec. 0.106 Bureau Heads.
Bureau heads or designees are required to:
(a) Provide all employees with a copy of Executive Order 12674, as
amended by Executive Order 12731, the Executive Branch-wide Standards,
the Treasury Supplemental Standards and the Rules; provide all new
employees with an explanation of the contents and application of the
Executive Branch-wide Standards, Treasury Supplemental Standards and
the Rules; and provide all departing employees with an explanation of
the applicable post-employment restrictions contained in 18
[[Page 28537]] U.S.C. 207 and 5 CFR part 2641 and any other applicable
law or regulation.
(b) Provide guidance and assistance to supervisors and employees in
implementing and adhering to the rules and procedures included in the
Executive Branch-wide Standards and Treasury Supplemental Standards and
Rules; obtain any necessary legal advice or interpretation from the
Designated Agency Ethics Official or a Deputy Ethics Official; and
inform employees as to how and from whom they may obtain additional
clarification or interpretation of the Executive Branch-wide Standards,
Treasury Supplemental Standards, Rules, and any other relevant law,
rule or regulation.
(c) Take appropriate corrective or disciplinary action against an
employee who violates the Executive Branch-wide Standards, Treasury
Supplemental Standards or Rules, or any other applicable law, rule or
regulation, and against a supervisor who fails to carry out his
responsibilities in taking or recommending corrective or disciplinary
action when appropriate against an employee who has committed an
offense.
Sec. 0.107 Employees.
(a) Employees are required to:
(1) Read and follow the rules and procedures contained in the
Executive Branch-wide Standards, Treasury Supplemental Standards, and
Rules;
(2) Request clarification or interpretation from a supervisor or
ethics official if the application of a rule contained in the Executive
Branch-wide Standards, Treasury Supplemental Standards, or Rules is not
clear;
(3) Report to the Inspector General or to the appropriate internal
affairs office of the Bureau of Alcohol, Tobacco and Firearms, Customs
Service, Internal Revenue Service, or Secret Service, any information
indicating that an employee, former employee, contractor,
subcontractor, or potential contractor engaged in criminal conduct or
that an employee or former employee violated the Executive Branch-wide
Standards or the Treasury Supplemental Standards or Rules. Legal
Division attorneys acquiring this type of information during the
representation of a bureau shall report it to the appropriate Chief or
Legal Counsel or the Deputy General Counsel, who shall report such
information to the Inspector General or appropriate internal affairs
office; and
(4) Report to the Inspector General information defined in
paragraph (a)(3) of this section relating to foreign intelligence or
national security, as covered in Executive Order 12356. Legal Division
attorneys acquiring this type of information during the representation
of a bureau shall report it to the Deputy General Counsel, who shall
report such information to the Inspector General.
(b) The confidentiality of the source of the information reported
to the Inspector General or the internal affairs office under this
section will be maintained to the extent appropriate under the
circumstances.
Subpart B--Rules of Conduct
Sec. 0.201 Political activity.
(a) Employees may:
(1) Take an active part in political management or in political
campaigns to the extent permitted by law (5 U.S.C. 7321-7326); and
(2) Vote as they choose and express their opinions on political
subjects and candidates.
(b) Employees may not use their official authority or influence to
interfere with or affect election results.
(c) Employees may be disqualified from employment for knowingly
supporting or advocating the violent overthrow of our constitutional
form of government.
Note: The Hatch Act Reform Amendments of 1993 significantly
reduced the statutory restrictions on the political activity of most
Department employees. However, career members of the Senior
Executive Service and employees of the Secret Service, the Internal
Revenue Service, Office of Criminal Investigation, the Customs
Service, Office of Investigative Programs, and the Bureau of
Alcohol, Tobacco and Firearms, Office of Law Enforcement, remain
subject to significant restrictions on their political activities.
Sec. 0.202 Strikes.
Employees shall not strike against the Government.
Sec. 0.203 Gifts or gratuities from foreign governments.
(a) The United States Constitution prohibits employees from
accepting gifts, emoluments, offices, or titles from a foreign
government without the consent of the Congress. Congress has consented
to an employee accepting and retaining a gift from a foreign government
that is of minimal value and offered as a souvenir or mark of courtesy,
unless otherwise prohibited by bureau regulation (5 U.S.C. 7342).
Minimal value is prescribed in 41 CFR part 101-49 and was set at
$225.00 on the date that the Rules became effective.
(b) All gifts exceeding minimal value, the refusal of which would
likely cause offense or embarrassment or otherwise adversely affect the
foreign relations of the United States, shall be accepted and deposited
with the Department within sixty days of acceptance. If the gift is
travel or expenses for travel taking place entirely outside the United
States, it shall be reported within thirty days (see 5 U.S.C.
7342(c)(1)(B)(ii)).
(c) As used in paragraph (b) of this section, Deposit with the
Department means delivery to the Department Gift Unit or other
depository as authorized by the Treasury Directive on Foreign Gifts
(Treasury Directive 61-04).
(d) All foreign gifts must be reported as prescribed in the
Treasury Directive on Foreign Gifts (Treasury Directive 61-04).
Sec. 0.204 Use of controlled substances and intoxicants.
Employees shall not sell, use or possess controlled substances or
intoxicants in violation of the law while on Department property or
official duty, or use a controlled substance or intoxicant in a manner
that adversely affects their work performance.
Sec. 0.205 Care of documents and data.
(a) Employees shall not conceal, remove, alter, destroy, mutilate
or access documents or data in the custody of the Federal Government
without proper authority.
(b) Employees are required to care for documents according to
Federal law and regulation, and Department procedure (18 U.S.C. 2071, 5
U.S.C. 552, 552a).
(c) The term documents includes, but is not limited to, any
writing, recording, computer tape or disk, blueprint, photograph, or
other physical object on which information is recorded.
Sec. 0.206 Disclosure of information.
Employees shall not disclose official information without proper
authority, pursuant to Department or bureau regulation. Employees
authorized to make disclosures should respond promptly and courteously
to requests from the public for information when permitted to do so by
law (31 CFR 1.9, 1.10, and 1.28(b)).
Sec. 0.207 Cooperation with official inquiries.
Employees shall respond to questions truthfully and under oath when
required, whether orally or in writing, and must provide documents and
other materials concerning matters of official interest when directed
to do so by competent Treasury authority.
Sec. 0.208 Falsification of official records.
Employees shall not intentionally make false, misleading or
ambiguous statements, orally or in writing, in connection with any
matter of official interest. Matters of official interest include among
other things: Transactions with the public, [[Page 28538]] government
agencies or fellow employees; application forms and other forms that
serve as a basis for appointment, reassignment, promotion or other
personnel action; vouchers; leave records and time and attendance
records; work reports of any nature or accounts of any kind;
affidavits; entry or record of any matter relating to or connected with
an employee's duties; and reports of any moneys or securities received,
held or paid to, for or on behalf of the United States.
Sec. 0.209 Use of Government vehicles.
Employees shall not use Government vehicles for unofficial
purposes, including to transport unauthorized passengers. The use of
Government vehicles for transporting employees between their domiciles
and places of employment must be authorized by statute (See, e.g., 31
U.S.C. 1344).
Sec. 0.210 Conduct while on official duty or on Government property.
Employees must adhere to the regulations controlling conduct when
they are on official duty or in or on Government property, including
the Treasury Building, Treasury Annex Building and grounds; the Bureau
of Engraving and Printing buildings and grounds; the United States Mint
buildings and grounds; the grounds of the Federal Law Enforcement
Training Center; and Treasury-occupied General Services Administration
buildings and grounds (see 31 CFR parts 91, 407, 605, 700).
Sec. 0.211 Soliciting, selling and canvassing.
Employees shall not solicit, make collections, canvass for the sale
of any article, or distribute literature or advertising in any space
occupied by the Department without appropriate authority.
Sec. 0.212 Influencing legislation or petitioning Congress.
(a) Employees shall not use Government time, money, or property to
petition a Member of Congress to favor or oppose any legislation. This
prohibition does not apply to the official handling, through the proper
channels, of matters relating to legislation in which the Department of
the Treasury has an interest.
(b) Employees, individually or collectively, may petition Congress
or Members of Congress or furnish information to either House of
Congress when not using Government time, money or property (5 U.S.C.
7211).
Sec. 0.213 General conduct prejudicial to the Government.
Employees shall not engage in criminal, infamous, dishonest, or
notoriously disgraceful conduct, or any other conduct prejudicial to
the Government.
Sec. 0.214 Nondiscrimination.
(a) Employees shall not discriminate against or harass any other
employee, applicant for employment or person dealing with the
Department on official business on the basis of race, color, religion,
national origin, sex, sexual orientation, age, or disability. Sexual
harassment is a form of sex discrimination and is prohibited by this
section.
(b) An employee who engages in discriminatory conduct may be
disciplined under these rules. However, this section does not create
any enforceable legal rights in any person.
Sec. 0.215 Possession of weapons and explosives.
(a) Employees shall not possess firearms, explosives, or other
dangerous or deadly weapons, either openly or concealed, while on
Government property or official duty.
(b) The prohibition in paragraph (a) of this section does not apply
to employees who are required to possess weapons or explosives in the
performance of their official duties.
Sec. 0.216 Privacy Act.
Employees involved in the design, development, operation, or
maintenance of any system of records or in maintaining records subject
to the Privacy Act of 1974, as amended (5 U.S.C. 552a), shall comply
with the conduct regulations delineated in 31 CFR 1.28(b).
Sec. 0.217 Personal financial interests.
(a) Employees may hold the following financial interests without
violating 18 U.S.C. 208(a):
(1) The stocks or bonds of a publicly traded corporation with a
value of $1000 or less; and
(2) The stocks or bonds in the investment portfolio of a
diversified mutual fund in which an employee has invested.
(b) The Department has found that the financial interests listed in
paragraph (a) of this section are too remote and inconsequential to
affect the integrity of an employee's service.
Subpart C--Special Government Employees
Sec. 0.301 Applicability of subpart B.
The rules of conduct contained in subpart B of this part apply to
special Government employees employed with the Treasury Department. The
regulations contained in Sec. 0.201 of subpart B, concerning political
activity, apply to special Government employees only on the days that
they serve the Department. Treasury bureaus are responsible for
informing special Government employees employed with them of the
applicability of bureau specific statutes or regulations.
Sec. 0.302 Service with other Federal agencies.
A special Government employee serving concurrently in the
Department and in a Federal agency other than the Department is
required to inform the Department and the agency in which he serves of
the arrangement so that appropriate administrative measures may be
taken.
Subpart D--Advisers to the Department
Sec. 0.401 Advisers to the Department.
(a) An adviser or advisory committee member includes an individual
who provides advice to the Department as a representative of an outside
group and is not an employee or special Government employee of the
Department. Questions concerning whether an individual serves the
Department in the capacity of an adviser, employee, or special
Government employee shall be addressed to the Designated Agency Ethics
Official or a Deputy Ethics Official.
(b) Advisers or advisory committee members are not required to
follow the Rules and are not generally required by the Department to
file financial disclosure statements; nevertheless, they should be
guided by the regulations in this part covering such issues as public
disclosure of official information (Sec. 0.206), conduct (Sec. 0.211
and Sec. 0.213), and gifts or gratuities from Foreign governments
(Sec. 0.203).
[FR Doc. 95-13318 Filed 5-31-95; 8:45 am]
BILLING CODE 4810-25-P
