81 FR 8402 - Department of the Treasury Employee Rules of Conduct

DEPARTMENT OF THE TREASURY

Federal Register Volume 81, Issue 33 (February 19, 2016)

The Department of the Treasury (the ``Department'' or ``Treasury'') is updating its Employee Rules of Conduct, which prescribe uniform rules of conduct and procedure for all employees and officials in the Department.

[Federal Register Volume 81, Number 33 (Friday, February 19, 2016)]
[Rules and Regulations]
[Pages 8402-8406]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-03410]


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DEPARTMENT OF THE TREASURY

31 CFR Part 0


Department of the Treasury Employee Rules of Conduct

AGENCY: Department of the Treasury.

ACTION: Interim final rule.

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SUMMARY: The Department of the Treasury (the ``Department'' or 
``Treasury'') is updating its Employee Rules of Conduct, which 
prescribe uniform rules of conduct and procedure

[[Page 8403]]

for all employees and officials in the Department.

DATES: Effective date: February 19, 2016. Comment due date: April 19, 
2016.

ADDRESSES: Treasury invites comments on the topics addressed in this 
Interim Final Rule. Comments may be submitted through one of these 
methods:
     Electronic Submission of Comments: Interested persons may 
submit comments electronically through the Federal eRulemaking Portal 
at http://www.regulations.gov. Electronic submission of comments allows 
the commenter maximum time to prepare and submit a comment, ensures 
timely receipt, and enables the Department to make them available to 
the public. Comments submitted electronically through the http://www.regulations.gov Web site can be viewed by other commenters and 
interested members of the public.
     Mail: Send to Department of the Treasury, Attention: Brian 
Sonfield, Room 2020, 1500 Pennsylvania Avenue NW., Washington, DC 
20220.
    In general, Treasury will post all comments to www.regulations.gov 
without change, including any business or personal information 
provided, such as names, addresses, email addresses, or telephone 
numbers. Treasury will also make such comments available for public 
inspection and copying in Treasury's Library, Department of the 
Treasury, 1500 Pennsylvania Avenue NW., Washington, DC 20220, on 
official business days between the hours of 10 a.m. and 5 p.m. Eastern 
Time. You can make an appointment to inspect comments by telephoning 
(202) 622-0990. All comments received, including attachments and other 
supporting materials, will be part of the public record and subject to 
public disclosure. You should only submit information that you wish to 
make publicly available.

FOR FURTHER INFORMATION CONTACT: Please send questions by email to 
Brian Sonfield at [email protected] or by phone on 202-622-
0450.

SUPPLEMENTARY INFORMATION:

I. Background

    On June 1, 1995, the Department issued Employee Rules of Conduct 
prescribing uniform rules of conduct and procedure for all employees 
and officials in the Department. Treasury is now amending the Employee 
Rules of Conduct to account for current Department structure resulting 
from organizational changes that established new bureaus within 
Treasury and transferred certain functions and/or bureaus from the 
Department. This rule also amends the Rules of Conduct to remove 
provisions that pertain solely to standards of ethical conduct. The 
standards of ethical conduct governing employees of the Department are 
contained in uniform standards of ethical conduct promulgated by the 
Office of Government Ethics that apply to all executive branch 
personnel, codified at 5 CFR part 2635 (Executive Branch-wide 
Standards), and in the Supplemental Standards of Ethical Conduct for 
Employees of the Department of the Treasury, codified at 5 CFR part 
3101 (Treasury Supplemental Standards). Finally, this rule amends the 
Rules of Conduct to ensure the efficient functioning of the Department 
and to conform to changes in the law or Department policy. This 
rulemaking revises part 0 in its entirety.

II. Analysis of the Regulations

Subpart A--General Provisions

    The provisions contained in subpart A state the purpose and 
applicability of the Rules of Conduct, as well as the responsibilities 
of the Department's employees and managers in implementing and 
complying with the included regulations. Subpart A also identifies 
other rules of conduct applicable to Department employees, and it 
includes a definitional section. Omitted from the definition of 
``Bureau'' because they are no longer bureaus of the Department are the 
Bureaus of Alcohol, Tobacco and Firearms (ATF), Federal Law Enforcement 
Training Center (FLETC), the United States Customs Service (USCS), and 
the United States Secret Service (USSS). New bureaus or offices include 
the Alcohol and Tobacco Tax and Trade Bureau (TTB), the Office of the 
Treasury Inspector General for Tax Administration (TIGTA), the Office 
of the Special Inspector General for the Troubled Asset Relief Program 
(SIGTARP), and the Financial Crimes Enforcement Network (FinCEN). 
Additionally, the Office of Thrift Supervision (OTS) was abolished by 
statute and certain functions of OTS have been integrated into the 
Office of the Comptroller of the Currency (OCC). The Department also 
consolidated the Bureau of Public Debt (BPD) and the Financial 
Management Service (FMS) into a new Bureau of the Fiscal Service (BFS).

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 issued charge cards, the care of documents and data, the use 
of government property, and the use of controlled substances and 
intoxicants.

III. Matters of Regulatory Procedure

Administrative Procedure Act

    Under 5 U.S.C. 553(a)(2), rules relating to agency management and 
personnel are exempt from the rulemaking requirements of the 
Administrative Procedure Act (APA). As set forth in the description of 
the interim final rule, this rule affects only the Department and its 
personnel; therefore, the APA requirements for prior notice and 
opportunity to comment and a delayed effective date are inapplicable. 
Even if this rulemaking were subject to APA procedures, the Department 
finds that good cause exists, pursuant to 5 U.S.C. 553(b) and (d), that 
the requirements for prior notice and comment are unnecessary because 
the rule affects only Treasury employees.

Regulatory Flexibility Act

    Because no notice of proposed rulemaking is required, the 
provisions of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) do 
not apply.

Unfunded Mandates Reform Act

    Section 202 of the Unfunded Mandates Reform Act of 1995 (Unfunded 
Mandates Act) requires an agency to prepare a budgetary impact 
statement before promulgating a rule that includes a federal mandate 
that may result in expenditure by State, local, and tribal governments, 
in the aggregate, or by the private sector, of $100 million or more in 
any one year. If a budgetary impact statement is required, section 205 
of the Unfunded Mandates Act also requires an agency to identify and 
consider a reasonable number of regulatory alternatives before 
promulgating a rule. This rule generally sets out the conduct 
regulations that all Department employees and officials are required to 
follow. The Department therefore has determined that the rule will not 
result in expenditures by state, local or tribal governments or by the 
private sector of $100 million or more. Accordingly, the Department has 
not prepared a budgetary impact statement or specifically addressed the 
regulatory alternatives considered.

List of Subjects in 31 CFR Part 0

    Government employees.


0
For the reasons set forth in the preamble, 31 CFR part 0 is revised to 
read as follows:

[[Page 8404]]

PART 0--DEPARTMENT OF THE TREASURY EMPLOYEE RULES OF CONDUCT

Subpart A--General Provisions
Sec.
0.101 Purpose.
0.102 Applicability.
0.103 Other rules of conduct applicable to Department employees.
0.104 Definitions.
0.105 Responsibilities of employees and supervisors.
0.106 Corrective action.
Subpart B--Rules of Conduct
0.201 Acting within scope of authority.
0.202 Conformance with policy and subordination to authority.
0.203 Reporting suspected misconduct.
0.204 Prohibition of reprisal for reporting suspected misconduct.
0.205 Controlled substances and intoxicants.
0.206 Strikes.
0.207 Possession of weapons or explosives.
0.208 Care of agency records.
0.209 Disclosure of records or information.
0.210 Cooperation with official inquiries.
0.211 Falsification of official records.
0.212 Use of government property.
0.213 Government issued charge cards.
0.214 Conduct while on government property.
0.215 Recording government business.
0.216 Influencing legislation or petitioning Congress.
0.217 Nondiscrimination.
0.218 General conduct prejudicial to the government.

    Authority: 5 U.S.C. 301.

Subpart A--General Provisions


Sec.  0.101  Purpose.

    The regulations in this part prescribe procedures and standards of 
conduct that are appropriate to the particular functions and activities 
of the Department of the Treasury (Department).


Sec.  0.102  Applicability.

    (a) Unless otherwise specified, the regulations in this part apply 
to all employees of the Department at all times, regardless of whether 
they are on duty or on leave, including leave without pay.
    (b) The regulations in this part may be supplemented by 
regulations, interpretive guidelines and procedures issued by the 
Department's offices and bureaus. The absence of a specific published 
rule of conduct covering an action or omission does not validate that 
action or omission nor indicate that the action or omission would not 
result in corrective or disciplinary action.


Sec.  0.103  Other rules of conduct applicable to Department employees.

    In addition to the regulations in this part, employees of the 
Department are subject to other applicable statutes and regulations, 
including the following:
    (a) The Standards of Ethical Conduct for Employees of the Executive 
Branch at 5 CFR part 2635;
    (b) The Supplemental Standards of Ethical Conduct for Employees of 
the Department of the Treasury at 5 CFR part 3101;
    (c) Political Activities of Federal Employees regulations at 5 CFR 
part 734;
    (d) The Employee Responsibilities and Conduct regulations at 5 CFR 
part 735; and
    (e) Department of the Treasury Disclosure of Records regulations at 
31 CFR part 1.


Sec.  0.104  Definitions.

    The following definitions are used throughout this part:
    (a) Bureau means:
    (1) Alcohol and Tobacco Tax and Trade Bureau;
    (2) Bureau of Engraving and Printing;
    (3) Bureau of the Fiscal Service;
    (4) Departmental Offices;
    (5) Financial Crimes Enforcement Network;
    (6) Internal Revenue Service;
    (7) Office of the Comptroller of the Currency;
    (8) Office of the Inspector General;
    (9) Office of the Special Inspector General for the Troubled Asset 
Relief Program;
    (10) Office of the Treasury Inspector General for Tax 
Administration;
    (11) United States Mint; and
    (12) Any other organization designated as a bureau by the Secretary 
of the Treasury pursuant to appropriate authority.
    (b) Person means an individual, corporation, company, association, 
firm, partnership, society, joint stock company, or any other entity, 
organization, or institution.
    (c) Employee means an officer or employee of the Department 
regardless of grade, status or place of employment, including an 
employee on leave with pay or on leave without pay. Unless stated 
otherwise, employee shall include a special government employee.
    (d) Special government employee means an officer or employee of the 
Department who is retained, designated, appointed, or employed, 
regardless of type of appointment, to perform temporary duties on a 
full-time or intermittent basis, with or without compensation, for not 
to exceed 130 days during any period of 365-consecutive days. 18 U.S.C. 
202(a).
    (e) On Department property means present in a building, on 
property, or in space owned by, leased by, occupied by, or under the 
control of the Department.


Sec.  0.105  Responsibilities of employees and supervisors.

    (a) Employees shall comply with all generally accepted rules of 
conduct, the specific provisions of this part, and other applicable 
regulations. An employee with questions about generally accepted rules 
of conduct, the specific provisions of this part, and other applicable 
regulations should consult his or her supervisor, a human resources 
specialist, or Bureau counsel.
    (b) Supervisors, because of their day-to-day relationships with 
their employees, are responsible for ensuring that their employees 
maintain high standards of conduct. Supervisors must be familiar with 
this part and other applicable regulations and must apply generally 
accepted rules of conduct, the standards in this part, and the 
standards in other applicable regulations to the work they do and 
supervise. Supervisors shall take appropriate action, including 
disciplinary action, when violations of this part or other applicable 
regulations occur.


Sec.  0.106  Corrective action.

    An employee's violation of generally accepted rules of conduct, the 
standards in this part, or the standards in other applicable 
regulations may result in appropriate corrective or disciplinary 
action, in addition to any penalty prescribed by law.

Subpart B--Rules of Conduct


Sec.  0.201  Acting within scope of authority.

    An employee shall not engage in any conduct or activity that is in 
excess of his or her authority or is otherwise contrary to any law, 
regulation, or Department policy.


Sec.  0.202  Conformance with policy and subordination to authority.

    (a) Employees are required to comply with the lawful directives of 
their supervisor and other management officials.
    (b) Employees shall be familiar and comply with regulations and 
published instructions that relate to their official duties and 
responsibilities.


Sec.  0.203  Reporting suspected misconduct.

    (a) An employee shall immediately report to his or her supervisor, 
to any management official, or to the applicable Office of Inspector 
General:
    (1) Any information that the employee reasonably believes indicates 
a possible offense against the United States by an

[[Page 8405]]

employee of the Department or any other individual working on behalf of 
the Department, including, but not limited to, bribery; fraud; perjury; 
conflict of interest; misuse of funds, government purchase or employee 
travel credit cards, equipment, or facilities; and other conduct which 
is prohibited by title 18 of the United States Code;
    (2) Any suspected violation of a statute, rule, or regulation, 
including this part and the regulations referenced in section 0.103 of 
this part;
    (3) Any instance in which another person inside or outside the 
federal government uses or attempts to use undue influence to induce an 
employee to do or omit to do any official act in derogation of his 
official duty; and,
    (4) Any information that the employee reasonably believes indicates 
the existence of an activity constituting:
    (i) Mismanagement, a gross waste of funds, or abuse of authority;
    (ii) A substantial and specific danger to the public health and 
safety;
    (iii) A threat to the integrity of programs and operations relating 
to the Department; or
    (iv) A violation of merit systems principles or a prohibited 
personnel practice as described in 5 U.S.C. 2301 and 2302.
    (b) Bureau counsel who, during the course of providing advice to or 
representation of a bureau, acquire information of the type described 
in paragraph (a) of this section, shall report the information to the 
reporting employee's supervisor, the Chief or Legal Counsel, or the 
Deputy General Counsel, who shall report such information to the 
relevant Inspector General.
    (c) This section does not cover matters addressed through employee 
grievances, equal employment opportunity complaints, Merit Systems 
Protection Board appeals, classification appeals, or other matters for 
which separate, formal systems have been established.


Sec.  0.204  Prohibition of reprisal for reporting suspected 
misconduct.

    Any employee who has authority to take, direct others to take, 
recommend, or approve any personnel action, shall not, with respect to 
such authority, take or threaten to take any action against any 
employee as a reprisal for providing any information in accordance with 
Sec.  0.203 of this part or through other processes established by law. 
However, if an employee makes a complaint or discloses information with 
the knowledge that it was false, or with willful disregard of its truth 
or falsity, such conduct may be grounds for disciplinary action, and 
such action shall not constitute reprisal.


Sec.  0.205  Controlled substances and intoxicants.

    Employees shall not sell, offer to sell, buy, offer to buy, use, or 
possess, controlled substances in violation of federal law. Employees 
shall not use or be under the influence of alcohol in a manner that 
adversely affects their work performance. Employees may consume alcohol 
on Department property only when authorized in accordance with 
Department or bureau policies and directives.


Sec.  0.206  Strikes.

    Employees shall not participate in a labor strike, work stoppage, 
or work slowdown against the government.


Sec.  0.207  Possession of weapons or explosives.

    (a) Employees shall not possess firearms, explosives, or other 
dangerous weapons, as defined at 40 U.S.C. 5104(a), either openly or 
concealed, while on Department property or while on official duty.
    (b) The prohibition of paragraph (a) of this section does not apply 
to the possession of authorized weapons or explosives by employees who 
are required to possess such authorized weapons or explosives in the 
performance of their official duties.


Sec.  0.208  Care of agency records.

    (a) Employees shall not remove, alter, destroy, mutilate, access, 
copy, or retain documents or data in the custody of the federal 
government or provided to them in the course of their employment, 
without proper authorization.
    (b) The term ``documents'' includes, but is not limited to, any 
written, printed, typed or other graphic material, recording, computer 
tape, disk or hard drive, storage medium, blueprint, photograph, or 
other physical object on which information is recorded, including all 
copies of the foregoing by whatever means made, and any electronic 
file, data, or information stored on or created on a government 
computer, database, application, program, network, or storage medium.


Sec.  0.209  Disclosure of records or information.

    (a) Employees shall not disclose or use official information 
without proper authority. Employees authorized to make disclosures 
should respond promptly and courteously to requests from the public for 
information when permitted to do so by law.
    (b) Employees who have access to information that is classified for 
security reasons in accordance with Executive Order 13526, or any 
successor Executive Order governing Classified National Security 
Information, are responsible for its custody and safekeeping, and for 
assuring that it is not disclosed to unauthorized persons. See 18 
U.S.C. 798; 50 U.S.C. 783(a); 31 CFR part 2.


Sec.  0.210  Cooperation with official inquiries.

    Employees directed by competent Department or other federal 
authority to provide oral or written responses to questions, or to 
provide documents and other materials concerning matters of official 
interest, shall timely respond fully, truthfully, and, when required, 
under oath.


Sec.  0.211  Falsification of official records.

    Employees shall not intentionally or with willful disregard make 
false or misleading statements, orally or in writing, in connection 
with any matter of official interest. Matters of official interest 
include, but are not limited to, the following: Official reports and 
any other official information upon which the Department, the Congress, 
other government agencies, or the public may act or rely; transactions 
with the public, government agencies or other government employees; 
application forms and other forms that serve as a basis for any 
personnel action; vouchers; time and attendance records, including 
leave records; work reports of any nature or accounts of any kind; 
affidavits; record of or data concerning any matter relating to or 
connected with an employee's duties; personnel records; and reports of 
any moneys or securities received, held or paid to, for or on behalf of 
the United States.


Sec.  0.212  Use of government property.

    (a) An employee shall not directly or indirectly use, or allow the 
use of, government property of any kind, including property leased to 
the government, for other than officially approved activities. This 
includes the use of government-provided information technology 
equipment, internet access, cellular telephones, personal digital 
assistants, and other devices in a manner that is inconsistent with the 
Department's policy permitting reasonable personal use. An employee has 
a positive duty to protect and conserve government property including 
equipment, supplies, intellectual property, and other property made 
available, entrusted, or issued to the employee for official use.
    (b) Employees shall not use government vehicles for unofficial 
purposes, including to transport unauthorized passengers. The use of

[[Page 8406]]

government vehicles for transporting employees between their domiciles 
and places of employment is prohibited except when authorized by the 
Secretary pursuant to 31 U.S.C. 1344 or other statute.


Sec.  0.213  Government issued charge cards.

    (a) Employees shall not make improper purchases with government 
contractor-issued charge cards.
    (b) Employees shall timely pay undisputed amounts owed on 
government contractor-issued travel charge cards.


Sec.  0.214  Conduct while on government property.

    (a) Employees must adhere to the regulations that govern the 
conduct of individuals who are in the buildings or space occupied by, 
or on grounds of, particular government property.
    (b) Employees shall not solicit, make collections, canvass for the 
sale of any article, or distribute literature or advertising on 
Department property without appropriate authorization.


Sec.  0.215  Recording government business.

    An employee shall not electronically transmit, or create audio or 
video recordings of, conversations, meetings, or conferences in the 
workplace or while conducting business on behalf of the Department, 
except where doing so is part of the employee's official duties.


Sec.  0.216  Influencing legislation or petitioning Congress.

    Except for the official handling, through the proper channels, of 
matters relating to legislation in which the Department has an 
interest, employees shall not use government time, money, or property 
to petition a Member of Congress to favor or oppose any legislation or 
proposed legislation, or to encourage others to do so.


Sec.  0.217  Nondiscrimination.

    (a) Employees shall not discriminate against or harass any other 
employee, applicant for employment, contractor, or person dealing with 
the Department on official business on the basis of race, color, 
religion, national origin, sex, sexual orientation, age, disability, 
political affiliation, marital status, parental status, veterans 
status, or genetic information.
    (b) Supervisors shall not retaliate against an employee for 
complaining about suspected unlawful discrimination or harassment, 
seeking accommodation for a disability, or otherwise exercising their 
right to be free from unlawful discrimination.
    (c) An employee who engages in discriminatory or retaliatory 
conduct may be disciplined under these regulations, as well as other 
applicable laws. However, this section does not create any enforceable 
legal rights in any person.


Sec.  0.218  General conduct prejudicial to the government.

    An employee shall not engage in criminal, infamous, dishonest, 
immoral, or notoriously disgraceful conduct, or other conduct 
prejudicial to the government.

    Dated: February 12, 2016.
Brodi Fontenot,
Assistant Secretary for Management.
[FR Doc. 2016-03410 Filed 2-18-16; 8:45 am]
 BILLING CODE 4810-25-P