[Title 31 CFR A]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 31 - MONEY AND FINANCE: TREASURY]
[Part 0 - DEPARTMENT OF THE TREASURY EMPLOYEE RULES OF CONDUCT]
[Subpart A - General Provisions]
[From the U.S. Government Printing Office]


31MONEY AND FINANCE: TREASURY12002-07-012002-07-01falseASubpart AMONEY AND FINANCE: TREASURYDEPARTMENT OF THE TREASURY EMPLOYEE RULES OF CONDUCT
                      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

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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 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

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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.