DEPARTMENTAL
REGULATION
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NUMBER: 4070-735-001 |
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SUBJECT: Employee Responsibilities and Conduct |
DATE: October
4, 2007 |
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OPI: Office of Human Capital Management |
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Section Page
1
Purpose 1
2
References 2
3
Special
Instructions 2
4
Policy 2
5
Definitions 2
6
Abbreviations 4
7
Responsibilities 4
8
Delegation of
Authority 4
9
Employee
Notification 5
10
Supplementation 5
11
Prohibited Activities 5
12
Attendance and
Leave 7
13
14
Use of Government
Vehicles 9
15
Foreign
Assignments 9
16
Computers 9
17
Personally
Identifiable Information 10
18
Retaliation and
Reprisal 10
19
Reporting
Misconduct 10
20
Miscellaneous
Conduct Provisions 11
21
Disciplinary or
Adverse Action 13
1. PURPOSE
The
purpose of this directive is to set forth the Department of Agriculture’s
(USDA) policies, procedures, and standards on employee responsibilities and
conduct. Although it specifically
addresses many ethics and conduct requirements, it is not intended to cover all
possible situations.
2. REFERENCES
This
directive must be used in conjunction with:
a.
5 United States
Code (USC), Chapter 73, Suitability, Security, and Conduct;
b.
Executive Orders
12674 and 12731, Principles of Ethical Conduct for Government Officers and
Employees;
c.
5 Code of Federal
Regulations (CFR), part 735, Employee Responsibilities and Conduct;
d.
5
CFR, part 2635, Standards of Ethical Conduct for Employees of the Executive
Branch (hereinafter referred to as “Standards”);
and
e.
5 CFR, part
8301, Supplemental Standards of Ethical Conduct for Employees of the Department
of Agriculture (hereinafter referred to as “USDA
Supplement”). Employees shall adhere
to these and other related standards, policies, and regulations promulgated by
USDA and its agencies.
This
directive supersedes Personnel Bulletin Number 735-1, Employee Responsibilities
and Conduct, dated November 12, 1996, as extended by memorandum dated December
18, 1998.
It
is USDA’s policy that its employees:
a.
Maintain high
standards of honesty, integrity, and impartiality;
b.
Adhere to the
rules set forth in this directive, as well as all directives referenced in section
2 of this directive;
c.
Comply with lawful
supervisory direction; and
d.
Comply with work-related
laws, regulations, and policies.
For
the purpose of this directive, the following terms are defined as set forth
below:
a. Agency. An organizational unit of the Department,
other than a staff office as defined below, whose head reports to an Under Secretary.
b. Ethics
Advisor (EA). Employees within the USDA Office of Ethics
(OE) responsible for providing ethics advice and guidance.
c. Deputy
Ethics Official (DEO). An employee
delegated the authority by the Designated Agency Ethics Official under Office
of Ethics Issuance 02-2, to administer ethics program functions within an
agency or staff office.
d. Designated
Agency Ethics Official (DAEO). The employee
designated by the Secretary to manage the USDA Ethics Program in accordance
with
5 CFR § 2638.203.
e. Personally
Identifiable Information. Any information
about an individual maintained by an agency, including, but not limited to,
financial transactions, medical history, or criminal history, and information
which can be used to distinguish or trace an individual’s identity, such as
their name, social security number, date and place of birth, mother’s maiden
name, biometric records, etc. including any other personal information which is
linked or linkable to an individual.
f. Office
of Ethics (OE). Office within USDA
Departmental Administration responsible for administering ethics regulations
and statutes governing employee conduct; conducting public confidential
financial disclosure reporting programs; developing and implementing
supplemental ethics policies; providing advice and assistance to USDA
employees; training employees on all ethics statutes, regulations, and
policies.
g. Staff
Office. A Departmental
administrative office whose head reports to the Secretary.
h. Staff
Office Head. The head of a staff
office or an official who has been delegated the authority to act for the head
of the staff office in the matter concerned.
i.
Supervisor. An employee having authority to hire,
transfer, suspend, lay off, recall, promote, discharge, assign, reward, or
discipline other employees; or having responsibility to direct them, adjust
their grievances, or effectively recommend such action if, in connection with
the foregoing, the exercise of authority is not of a merely routine or clerical
nature but requires the use of independent judgment.
6. ABBREVIATIONS
AWOL – Absence Without Leave
CFR – Code of Federal Regulations
DAEO – Designated Agency Ethics Official
DEO – Deputy Ethics Official
EA – Ethics Advisor
GSA – General Services Administration
MSPB – Merit Systems Protection Board
OE – Office of Ethics
OPM – Office of Personnel Management
OSC – Office of Special Counsel
PII – Personally Identifiable Information
USC –
USDA – Department of Agriculture
7. RESPONSIBILITIES
a. Agency and Staff Office Heads are responsible for:
(1) Ensuring that every current employee is provided with a current copy of this directive within 90 days of its issuance; and
(2) Ensuring that every new employee is furnished a copy of this directive at the time of appointment.
b. Supervisors are responsible for:
(1) Maintaining high standards of ethical conduct. They must become familiar with and comply with the requirements in this directive, the Standards, and the USDA Supplement; and
(2) Responding to employee questions on matters covered by this directive, the Standards, and the USDA Supplement, and/or referring employee ethics questions to the USDA Office of Ethics or an appropriate EA.
8. DELEGATION OF AUTHORITY
Unless
otherwise stated, any authorities delegated in this directive may be
redelegated to a level of management that has the experience and/or training to
administer the authority.
9. EMPLOYEE NOTIFICATION
The
employee notifications set forth in section 7(a) of this directive may be provided
either electronically or by hard copy. In
conjunction with receiving a copy of this directive, every employee must be
provided information on where to direct questions regarding its content.
Agencies
and staff offices may supplement this directive with prior approval of the
Director, Office of Human Capital Management.
Supplemental regulations issued by agencies or staff offices may not
conflict with, but may expand upon and be more restrictive than, the contents
of this directive. Agencies and staff
offices must provide copies of any supplemental regulations to employees as
required in sections 7(a) and 9 of this directive.
Employees are prohibited from:
a. Engaging
in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct,
or other conduct prejudicial to the Government at any time;
b. Conducting
or participating in any gambling activity including the operation of a gambling
device, conducting a lottery or pool, a game for money or property, or selling
or purchasing a numbers slip or ticket while on Government-owned or Government-leased
property or while on duty for the Government.
This does not preclude:
(1) Activities
necessitated by an employee's official duties; or
(2)
Fundraising
permitted under section 7 of Executive Order 12353 and similar agency-approved
authorities;
c. Engaging
in teaching, lecturing, or writing, as part of their official duties performed at or for any educational
institution or other organization that discriminates because of race, creed,
color, sex, religion, age, national origin, physical or mental disability, or
sexual orientation in the admission or subsequent treatment of students;
d. Engaging
in teaching, lecturing, or writing, with or without compensation, to prepare a
person or class of persons for an examination administered by the Office of
Personnel Management (OPM) or the Board of Examiners for the Foreign Service
that depends on information obtained as a result of the employee's government
employment. This does not preclude such
teaching, lecturing, or writing if:
(1) Prior written authorization is obtained
from the Director of OPM, or his or her designee, or by the Director General of
the Foreign Service or his or her designee, as applicable. Employees should seek advice from OE
concerning the application of the restrictions on compensated teaching,
speaking, and writing under the Standards
(5 CFR §2635.807) and the requirement to seek prior USDA approval for
outside employment under the USDA Supplement,
even when authorization has been obtained; or
(2) The information upon which the preparation is based has been made available to the general public or will be made available to the general public on request;
e. Using
an intoxicating substance on Government-owned or Government-leased property (except
when authorized by the Office of Operations for the Washington, D.C. complex; the
Agency Head in field locations owned by USDA; or the Agency Head in field
locations leased by USDA or controlled by the General Services Administration
(GSA), upon concurrence by the lessor or the appropriate GSA official in
accordance with policy contained in Departmental Regulation 1630-001), “Use of
Alcoholic Beverages and Narcotics in USDA Occupied Space”, or transporting or
using an intoxicating substance in a Government-owned or leased vehicle;
f. Harassing
employees by word or action, or knowingly making false accusations against
employees;
g. Monitoring
telephone conversations, recording telephone conversations by device, or
authorizing or permitting others under their administrative control to monitor
telephone conversations or record telephone conversations by device, except:
(1) As authorized by the Inspector General or his or her designee, with the prior consent of one party to a telephone conversation and when necessary in a criminal investigation;
(2) When all parties agree in advance; or
(3) In the context of a telephone call center or similar operations. In such situations, supervisors may monitor or record telephone conversations for the purpose of evaluating performance of employees with proper notice to all parties to the communication;
h. Utilizing
any device to monitor or record non-telephone conversations, except:
(1) As authorized by the Inspector General or his or her designee, with the prior consent of one party to a non-telephone conversation and when necessary in a criminal investigation;
(2) When all parties agree in advance; or
(3) When in the context of telephone call center or similar operation. In such situations, supervisors may monitor or record telephone conversations for the purpose of evaluating performance of employees with proper notice to all parties to the communication;
i. Soliciting
for the sale of any article, or selling any article, including but not limited
to candy or other items for schools or charities, kitchenware or other home
furnishings, paper products, cosmetic products; or any other items whatsoever,
in person or by distributing or posting literature, advertising material, or
any other graphic matter, in or on Government-owned or leased property, or
property occupied by USDA, unless authorized by law or regulation;
j. Engaging
in sexual misconduct including, but not limited to, unwelcomed sexual advances, requests
for sexual favors, and other verbal or physical conduct of a sexual nature,
when submission to or rejection of this conduct explicitly or implicitly
affects an individual's employment, unreasonably interferes with an
individual's work performance, or creates an intimidating, hostile, or
offensive work environment;
k. Failing
to take appropriate action on complaints or proven acts of sexual harassment
(this applies to supervisor or managers who know or should have known of those
acts);
l. Displaying
discourteous conduct or disrespect to a coworker, another Federal employee, or
a member of the public when acting in an official capacity;
m. Failing
to wear or use specified safety equipment, or failing to report obvious unsafe
conditions while on official duty; and/or
n.
Making threats
against other employees, members of the public, or Government property.
a. Every
employee must observe designated duty hours and be punctual in reporting for
work and returning from lunch periods. Tardiness
can result in employees being placed in a non-pay status for unauthorized
absence; i.e., absence without leave (AWOL).
b. Every
employee must normally obtain advance authorization for any absence from
duty. Approval of leave is a
discretionary matter reserved to the supervisor. The use of leave is not a right afforded to
an employee, but is conditioned on the needs of USDA service. Where absence from duty results from illness
or an emergency, an employee is required to notify his or her supervisor or
other appropriate person as soon as possible.
When an employee fails to properly notify his or her supervisor, the
absence may be charged as AWOL.
c. Leave
is administered in accordance with 5 CFR § 630 and applicable USDA, agency, and
staff office policies.
a. Personal property offered for sale by USDA may be purchased by employees only when the sale of such property is based upon competitive bids.
b. No purchase may be made by an employee who:
(1) Was
formerly accountable for the property;
(2) Formerly
used the property; or
(3) Was in any way connected with its condemnation, declaration as excess, or sale.
The
above prohibitions do not apply in the following situations:
(1) Surplus
perishable products may be sold to employees at the best price obtainable in
quantities not exceeding the needs of their immediate households;
(2) Surplus
Government property may be sold to employees when it is being sold to the
general public; and
(3) Special
clothing and other articles or personal equipment purchased for the exclusive
use of and fitted to an individual employee may, when not otherwise usable by
USDA and in all respects are surplus to the needs of the Government, be sold to
such employees at the best price obtainable in the event of their separation
from USDA or permanent assignment to duties not requiring such clothing or
equipment.
14. USE OF GOVERNMENT VEHICLES
a. Every
employee is prohibited, unless specifically authorized by the agency in
accordance with Departmental Regulation 5400-5, “Use of Government Vehicles for
Home to Work”, from storing Government-owned or Government-leased motor
vehicles at or near their private residence or at other unauthorized locations
including, but not limited to, homes of relatives or friends, or from using
such vehicles for transportation between their residence and place of
employment.
b. No employee
shall use Government-owned or Government-leased vehicles to transport
unauthorized passengers.
c. Every
employee is required to wear seat belts whenever riding as an operator or as a passenger
in a truck, automobile, or other passenger vehicle in the performance of
official duties or while on official time.
d. Unless
authorized to do so in the performance of official duties, every employee is
prohibited from using Government-owned or Government-leased vehicles to
transport firearms or explosives.
An employee
serving on foreign assignment must fully comply with Department of State’s
regulations governing the post to which he or she is assigned.
16. COMPUTERS AND TELECOMMUNICATIONS EQUIPMENT
a. Unless
an employee has specific authorization, he or she is prohibited from accessing
any USDA or Federal government electronic, laser, or magnetic system of storing
information, or computer software, not expressly identified for public or
general access. This prohibition
includes, but is not limited to computers of all types, floppy diskettes,
compact or laser discs, and magnetic tapes.
Employees without specific authorization may be subject to disciplinary
or adverse action regardless of whether they use, damage, or make alterations
to the stored information.
b. Every
employee must adhere to the requirements of Departmental Manual 3525-000, “Internet
and E-Mail Security” and other policies and regulations involving the use of
information technology, telecommunications resources, and equipment owned and
leased by USDA. Every employee must
comply with acceptable use policies for telecommunication equipment as contained
in Departmental Regulation 3300-001, “Telecommunications
and Internet Services and Use”, and in Departmental Regulation 1710-001,
“Interception and Monitoring of Conversations.”
17. PERSONALLY IDENTIFIABLE INFORMATION
a.
Every employee who
has access to personally identifiable information (PII) of other employees,
contractors, or the general public through the course of his or her employment
at USDA is required to safeguard and protect such information from unauthorized
disclosure.
b.
Every employee is
required to immediately report any known or suspected breach of the PII
safeguards or policies, or actual unauthorized disclosure of PII to his or her
supervisor.
No
employee may retaliate against another, by word or action, for filing
complaints about safety problems, for filing grievances under either the
negotiated or administrative grievance system, for filing complaints of
discrimination, for assisting the investigators of USDA, or for engaging in any
other protected activity.
a. Every
employee is required to report actions by other employees that they know, or
have a reasonable basis to believe, are violations of law or regulation. A report may be made to the USDA Office of
Inspector General, the employee’s supervisor, or any appropriate USDA
management official.
b. Violations include, but are not limited
to:
(1) Fraud,
waste, and abuse of Government resources;
(2) Criminal
activity of any kind;
(3) Violations
of Federal personnel rules;
(4) Sexual
harassment;
(5) Prohibited
personnel practices; and
(6) Violations
of this directive, the Standards, or
the USDA Supplement.
a. Fiscal
Responsibility. Any money, property,
or other item of value received by or coming into the custody of an employee in
connection with the discharge of his or her duties must be accounted for,
deposited, appropriately secured, properly maintained, or otherwise disposed of
in accordance with established procedures.
Fiscal responsibility includes the proper use of Government-issued
credit cards and the timely payment of claims.
b. Cooperation
with Oversight Agencies. Every employee
is required under Subchapter A., Part 5, Regulations, Investigation, and
Enforcement (Rule V) to provide OPM, the Merit Systems Protection Board (MSPB),
and the Office of Special Counsel (OSC), and their authorized representatives,
all information and testimony in regard to matters arising under laws, rules,
and regulations administered by OPM, MSPB, and OSC, the disclosure of which is
not otherwise prohibited by law or regulation.
c. Cooperation
with USDA Investigations. Every employee
is required to provide all information he or she possesses to authorized
representatives of USDA when called upon, if the inquiry relates to official
matters and the information is obtained in the course of employment or as a
result of relationships incident to such employment. Such activities include participating in interviews
requested by authorized representatives of USDA and furnishing signed,
sworn/affirmed statements to the authorized representatives. Failure to respond to requests for
information, including the furnishing of signed sworn/affirmed statements in a
timely manner, or failure to appear as a witness in official proceedings may
result in disciplinary action. (Nothing set
forth herein shall be deemed to infringe upon an employee's right to invoke the
protection of the Fifth Amendment to the United States Constitution with
respect to self-incrimination in a criminal investigation or for a bargaining
unit employee to request union representation in accordance with his or her
rights under 5 USC §7114 (a)(2)(B) – Weingarten Rights.)
d. Details,
Reassignments and Transfers. Supervisors
have the authority to transfer, detail, and reassign an employee whenever
necessary to meet operational needs, subject to applicable regulations and
collective bargaining agreement provisions.
Every employee has an obligation to accept a transfer, detail, or reassignment. Failure to accept a transfer, detail, or
reassignment may result in an adverse action including separation of the
employee.
e. Firearms
and Weapons. In accordance with 18
USC §930 and its exceptions, every employee is prohibited from knowingly
possessing or causing the presence of a firearm or other dangerous weapons in a
Federal facility (i.e. a building or part thereof, owned, or leased by the
Federal government, where Federal employees are regularly present for the
purpose of performing their
official
duties), or in a Federal court facility.
f. Prohibited
Personnel Practices. Every employee
who has the authority to take, direct others to take, recommend, or approve any
personnel action (Prohibited Personnel Practices, 5
USC §2302 (b)), is prohibited from:
(1) Discriminating on the basis of race, color, religion, sex, age, national origin, disability, marital status, or political affiliation;
(2) Soliciting or considering employment recommendations based on factors other than personal knowledge or records of job-related abilities or characteristics;
(3) Coercing
the political activity of any person;
(4) Deceiving
or willfully obstructing any person from competing for employment;
(5) Influencing
any person to withdraw from job competition for the purpose of improving or
injuring the prospects of any other person for employment;
(6) Granting any preference or advantage not authorized by law, rule, or regulation to improve or injure the prospects of any particular person for employment;
(7) Engaging
in nepotism (hiring, promoting, or advancing relatives);
(8) Taking
reprisal for whistleblowing;
(9) Taking reprisal for the exercise of an
appeal right;
(10) Discriminating
based on personal conduct which does not adversely affect the performance of
the employee, applicant, or others;
(11) Violating
veteran’s preference requirements; or
(12) Violating any law, rule, or regulation implementing or directly concerning merit system principles.
21. DISCIPLINARY OR ADVERSE ACTION
a. A
violation of any of the responsibilities and conduct standards contained in
this directive may be cause for disciplinary or adverse action.
b. Disciplinary
or adverse action shall be effected in accordance with applicable law and
regulations.
-END-