Directive 365.1 1/4/90 EMPLOYEE
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Directive 365.1 -- Employee Responsibility and Conduct Page 1 of 39 Directive 365.1 1/4/90 EMPLOYEE RESPONSIBILITIES AND CONDUCT I. PURPOSE This Directive: A. Provides information for employees on activities and conduct prohibited by law and Department regulations, and sets forth responsibilities of supervisors and employees. B. Consists of the following: 1. Attachment 1, AMS Ethics and Conduct Policies. 2. Attachment 2, Employee Responsibilities and Conduct. (Reprint of Appendix I of Employee Handbook. Sections of major importance are emphasized by bold outline.) 3. Attachment 3, Prohibited Personnel Practices. (Excerpted from Civil Service Reform Act of 1978.) 4. Attachment 4, USDA Table of Disciplinary Penalties. (Reprint of DPM Chapter 751, Appendix A.) II. This Directive replaces AMS Instruction 365-1, Rev. 1, Employee REPLACEMENT Responsibilities and Conduct, dated 5/10/84; AMS Instruction 344-4, Rev.1, HIGHLIGHTS Strike Prevention and Strike Contingency Plans, dated 6/16/80; and AMS Bulletin 89-2, dated 2/17/89. III. A. Supervisors shall: RESPONSIBILITIES 1. Maintain high standards of ethics and conduct; 2. Be familiar with the regulations governing ethics and conduct contained in Attachments 1 and 2; 3. Adhere to the restrictions contained in the prohibited personnel practices in Attachment 3; and 4. Report cases of misconduct in accordance with Section IV of this Directive. B. Employees shall: 1. Maintain high standards of ethics and conduct; 2. Be aware of and adhere to the regulations contained in this and other pertinent Directives; 3. Direct questions on responsibilities and conduct to their supervisors; and 4. Report cases of alleged or suspected misconduct, alleged or suspected bribery attempts, violations of law, rules, or regulations, mismanagement, fraud, waste, or abuse of authority to the appropriate official(s). IV. A. Violations of, or failure to follow, laws, regulations, policies, or REPORTING instructions concerning employee responsibilities and conduct or program MISCONDUCT matters, or any other offenses against the Department, shall promptly be reported as follows: 1. Employees who have reason to believe that misconduct, including mismanagement, fraud, waste, or abuse, has been committed shall report it promptly to an appropriate supervisor. In circumstances where the employee feels the report should not be routed through http://agnis/sites/AMSIssuances/Shared%20Documents/365-1.htm 8/8/2008 Directive 365.1 -- Employee Responsibility and Conduct Page 2 of 39 the immediate supervisor, it should be forwarded to a higher level of supervision. Possible violations of law and irregularities may be reported to the USDA "Hotline" (employees in the Washington, DC, metropolitan area may call 472-1388, or field employees may call (toll free) 800-424-9121). 2. Supervisors shall promptly report known, alleged, or suspected misconduct through appropriate channels to the organizational level which has authority to initiate an investigation or otherwise take action on the matter. Supervisors who fail to report misconduct (or take other appropriate action) are evading their responsibilities and subjecting themselves to possible disciplinary action. B. Alleged or suspected bribery or bribery attempts shall be reported directly to the Office of Inspector General (OIG), by telephone: Employees in Washington, DC, metropolitan area may call 447-7257; field employees may call collect -- 202/447-7257 (day or night). In addition, any suspected bribe offered to, solicited by, or accepted by another employee must also be immediately reported to OIG. Employees must follow OIG's instructions to avoid jeopardizing any subsequent investigation and to avoid disclosing the information to anyone without prior approval of OIG. V. A. A disciplinary action may be proposed for violations of the regulations DISCIPLINARY contained in this Directive or other such cause as will promote the PENALTIES efficiency of the Service. Penalties may include an official letter of reprimand, suspension, demotion, or removal. Attachment 4 contains the USDA Table of Disciplinary Penalties (reprint from DPM Chapter 751, Appendix A). B. The relevant factors used in determining the appropriate penalty may include: 1. The nature and seriousness of the offense, and its relation to the employee's duties, position, and responsibilities, including whether the offense was intentional, technical or inadvertent, or was committed maliciously or for gain, or was frequently repeated; 2. The employee's job level and type of employment, including supervisory or fiduciary role, contacts with the public, and prominence of the position; 3. The employee's past disciplinary record; 4. The employee's past work record, including length of service, performance on the job, ability to get along with fellow workers, and dependability; 5. The effect of the offense upon the employee's ability to perform at a satisfactory level and its effect upon supervisors' confidence in the employee's ability to perform assigned duties; 6. Consistency of the penalty with those imposed upon other employees for the same or similar offenses; 7. Consistency of the penalty with the Agency table of penalties; 8. The notoriety of the offense or its impact upon the reputation of the Agency; 9. The clarity with which the employee was on notice of any rules that were violated in committing the offense, or had been warned about the conduct in question; 10. Potential for the employee's rehabilitation; http://agnis/sites/AMSIssuances/Shared%20Documents/365-1.htm 8/8/2008 Directive 365.1 -- Employee Responsibility and Conduct Page 3 of 39 11. Mitigating circumstances surrounding the offense such as unusual job tensions, personality problems, mental impairment, harassment, or bad faith, malice or provocation on the part of others involved in the matter; and 12. The adequacy and effectiveness of alternative sanctions to deter such conduct in the future by the employee or others. VI. Direct inquiries and requests for guidance to the Employee Relations Branch, INQUIRIES Personnel Division (202/FTS 447-5721). L. P. Massaro Deputy Administrator, Management Attachments: Attachment 1 -- AMS Ethics and Conduct Policies Attachment 2 -- Employee Responsibilities and Conduct (Reprint of Appendix I of Employee Handbook. Sections of major importance are emphasized by bold outline.) Attachment 3 -- Prohibited Personnel Practices. (Excerpted from Civil Service Reform Act of 1978.) Attachment 4 -- USDA Table of Disciplinary Penalties. (Reprint of DPM Chapter 751, Appendix A.) Return to the AMS Issuances Table of Contents Attachment 1 AMS Directive 365.1 1/4/90 AMS Ethics and Conduct Policies The AMS Ethics and Conduct Policies which follow are intended to supplement Departmental conduct regulations and other rules governing employee conduct. These policies include those restrictions which, because of AMS' functions and mission, are of special importance to AMS employees, and/or are more restrictive extensions of USDA conduct regulations. I. BRIBES The acceptance of bribes in connection with official duties is a criminal offense punishable by fine and imprisonment, and such action subjects an employee to removal from service. Due to the nature of work performed by employees of the Agency, particularly those employees engaged in inspection, grading, certification, and examining duties, the possibility of an offer of a bribe or gratuity exists. Employees must avoid the appearance of impropriety. Failure to report an offer of a bribe is grounds for disciplinary action. EMPLOYEES SHALL IMMEDIATELY REPORT AN OFFER OF A BRIBE DIRECTLY, BY TELEPHONE, TO THE OFFICE OF THE INSPECTOR GENERAL (OIG). (See IV. B. of this Directive). http://agnis/sites/AMSIssuances/Shared%20Documents/365-1.htm 8/8/2008 Directive 365.1 -- Employee Responsibility and Conduct Page 4 of 39 II. ATTENDANCE AND LEAVE A. An employee shall normally obtain advance authorization from his/her supervisor for absence from duty. When the absence results from illness or an emergency situation, the employee must notify his/her supervisor as soon as possible. Employees must also be punctual in reporting for work and returning from authorized lunch and break periods. 2. Failure to follow proper leave procedures may result in an employee being placed in an absence without leave (AWOL) status and subject the employee to disciplinary action. 3. For additional information, see Attachment 2 (Section 0.735-15). III. USE OF OFFICIAL TELEPHONE FOR PRIVATE BUSINESS An employee shall not use official telephones for personal calls (local, long distance, or Federal Telecommunications System (FTS)), except as explicitly authorized by AMS Directive 226.2, Voice Telecommunications. IV. FALSIFICATION OF OFFICIAL RECORDS An employee shall not falsify any official record or document (either for personal gain or administrative convenience), or conceal material facts by omissions from official records. Such falsification or concealment are grounds for severe disciplinary action and/or legal action. Examples of falsification include: A. Falsification of Travel Vouchers. All claims for reimbursement of money spent in travel must be made with absolute accuracy and truthfulness. Travel vouchers must show the travel exactly as performed. For example: If an employee in travel status voluntarily returns home for the weekend, rather than remain at the temporary duty station, this fact must be stated on the travel voucher. If travel is not recorded exactly as performed, the travel reported on the voucher