U.S. DEPARTMENT OF AGRICUTLURE 

WASHINGTON, D.C. 20250

DEPARTMENTAL REGULATION 

NUMBER:

4070-735-001 

DATE:

October 4, 2007 

SUBJECT: 

Employee Responsibilities and Conduct 

OPI: 

Office of Human Capital Management 

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 Sale of Personal Property 8 

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. 
DR 4070-735-001 October 4, 2007

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. 

3. SPECIAL INSTRUCTIONS 

This directive supersedes Personnel Bulletin Number 735-1, Employee 

Responsibilities and Conduct, dated November 12, 1996, as extended by 

memorandum dated December 18, 1998. 

4. POLICY 

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. 

5. DEFINITIONS 

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 

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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. 

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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 – United States Code 

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. 

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October 4, 2007 DR 4070-735-001 

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. 

10. SUPPLEMENTATION 

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. 

11. PROHIBITED ACTIVITIES 

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, 

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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 

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October 4, 2007 DR 4070-735-001 

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. 

12. ATTENDANCE AND LEAVE 

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 

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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. 

13. SALE OF PERSONAL PROPERTY 

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. 

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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. 

15. FOREIGN ASSIGNMENTS 

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 

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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. 

18. RETALIATION AND REPRISAL 

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. 

19. REPORTING MISCONDUCT 

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.

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20. MISCELLANEOUS CONDUCT PROVISIONS 

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 Governmentissued 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 

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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. 

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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- 

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