Appendix A to Part 73 - List of Some Offenses for Which Disciplinary Action May Be Taken
45:1.0.1.1.32.16.1.1.7 : Appendix A
Appendix A to Part 73 - List of Some Offenses for Which
Disciplinary Action May Be Taken
Following is a list of some offenses for which disciplinary
action may be taken under this Part. When a statute applies
specifically to a particular offense, either wholly or in part, the
statute is cited. Neither the list of offenses nor the statutory
citations are all-inclusive. The “Code of Ethics for Government
Service” is not cited because of its general applicability but is
published in its entirety in appendix B.
A. Concerning Efficiency of Operations in General. 1.
Engaging in wasteful actions or behavior in the performance of
assigned duties; conducting non-Government business during official
work hours; or participating in a strike (18 U.S.C. 1918), work
stoppage, slowdown, sickout, or other similar action.
2. Absence without leave, failure to adhere to the rules and
regulations for requesting and obtaining leave, or improper use of
sick leave.
3. Deliberate insubordination or refusal to carry out lawful
orders or assignments given.
4. Disruptive behavior, such as:
a. Inflicting or threatening or attempting to inflict bodily
injury on another (except for necessary defense of self or others)
while on the job or on Federal premises.
b. Discourtesy, disreputable conduct, or use of insulting,
abusive or obscene language to or about other individuals while on
the job.
5. Sexual harassment of employees or members of the public.
6. Failure to observe precautions for safety, such as failure to
use safety equipment when it is provided or ignoring signs, posted
rules or regulations, or written or verbal safety instructions.
7. Unauthorized use, possession, or distribution of alcoholic
beverages (5 U.S.C. 7352) or controlled substances (e.g.,
hallucinogens, such as LSD; stimulants, such as cocaine and
amphetamines; sedatives, such as barbiturates; narcotics and other
drugs or substances, such as hashish and other cannabis
substances).
8. Unauthorized gambling; or canvassing, soliciting, or peddling
on Government premises.
9. Failure to carry or show proper identification or credentials
as required by competent authority; misuse of identification cards
or investigative or identification credentials or badges.
10. Failure to disclose (i.e., report) information, when such
disclosure is not specifically prohibited by law or Executive
Order, that involves (a) violation of law, rule, or regulation, (b)
mismanagement or gross waste of funds or abuse of authority, or (c)
posing a substantial and specific danger to public health or
safety; failure to cooperate in an official Department inquiry.
11. Failure to pay just debts, including taxes to and loans from
governmental sources.
12. Deceit or interference in a Civil Service examination (18
U.S.C. 1917) or in connection with a Government personnel
action.
13. Fraud or false statements in a Government matter. (18 U.S.C.
1001 through 1003.)
14. Supervisory failure to initiate disciplinary or corrective
action when the facts are known and disciplinary or corrective
action is warranted.
15. Employment of a member of an organization that advocates the
overthrow of our constitutional form of government. (5 U.S.C. 7311;
50 U.S.C. 784.)
B. Concerning Government Funds, Property, Documents, and
Records. 1. Actual or attempted embezzlement or theft of
Government or personal money or property either directly or through
use of Government documents, automated equipment, or other means;
actual or attempted embezzlement or theft of the money or property
of another person in the possession of an employee by reason of his
or her employment. (18 U.S.C. 641 and 654.)
2. Failure to account for public money. (18 U.S.C. 643.)
3. Deliberate falsifying of official time and attendance
records; improper use of official travel or forging,
counterfeiting, or otherwise falsifying official Government travel
records or documents. (18 U.S.C. 508.)
4. False record entries or false reports of money or securities.
(18 U.S.C. 2073.)
5. Loss or misuse of or damage to Government property or
endangering persons or Government property through carelessness or
by willful malicious conduct.
6. Mutilating, destroying, or concealing public records. (18
U.S.C. 2071.)
7. Misuse of penalty (postal) privilege. (18 U.S.C. 1719.)
8. Failure to safeguard administratively confidential,
financial, and trade secrets information.
9. Unauthorized use of documents presented or used to procure
the payment of money from or by the Government. (18 U.S.C.
285.)
10. Unauthorized use of a Government vehicle; serious or
repeated violations of traffic regulations while driving a
Government vehicle or a vehicle rented or leased for official
Government purposes; reckless driving or improper operation of any
Government owned, rented, or leased motor vehicle. (31 U.S.C.
1349[b].)
11. Violations of the Privacy Act, including:
a. Willful prohibited disclosure of individually identifiable
information in violation of 5 U.S.C. 552a.
b. Willfully maintaining a system of records without meeting the
notice requirements of the Privacy Act as required by 5 U.S.C.
552a.
12. Violation of regulations concerning the release of
classified information, confidential, or security and investigative
information. (18 U.S.C. 798 and 1905; 21 U.S.C. 331j; and 50 U.S.C.
783.)
C. Concerning Conflicts of Interest and Related Unethical
Conduct: 1. Violations of 18 U.S.C. Chapter 11: Bribery, Graft,
and Conflicts of Interest, including:
a. Having a direct or indirect financial interest (includes
employee ownership of stocks, bonds, or partnership interests in an
entity or employment of the employee, his or her spouse, or
dependent child) that conflicts with one's Government duties
because such entity is either regulated by, has or seeks to do
business with the agency, or has any other particular matter with
or pending before the agency that may give rise to either an actual
conflict or the appearance thereof. (18 U.S.C. 208.)
b. Bribery of a public official; soliciting or accepting
directly or indirectly anything of monetary value, including gifts,
gratuities, favors, entertainment, or loans either as compensation
for governmental services or from individuals who are seeking
contractual or other business or financial relations with the
Department, are conducting operations or activities that are
regulated by the Department, or have interests that may be
substantially affected by the performance or nonperformance of the
employee's official duties; receiving salary or any contribution to
or supplementation of salary from a private source as compensation
for services for the Government. (18 U.S.C. 201 and 209.)
c. Acting as the agent of a foreign principal registered under
the Foreign Agents Registration Act. (18 U.S.C. 219.)
2. Engaging, directly or indirectly, in a financial transaction
as a result of or primarily relying on information that is obtained
through one's official duties and would not be available were the
employee not an employee of the Federal Government.
3. Soliciting a contribution from another employee for a gift to
an official superior, making a donation as a gift to an official
superior, or accepting a gift from an employee receiving less pay
than oneself. (5 U.S.C. 7351.)
4. Engaging, without required permission, in outside activities
that result in or create the appearance of a conflict of
interest.
5. Teaching, lecturing, or writing that depends on specific
information obtained as a result of one's Government employment
when that information is not otherwise available to the public.
6. Failure to obtain required clearance of an official speech or
article.
7. Lobbying with appropriated funds. (18 U.S.C. 1913.)
8. Representation before a Federal agency (other than in the
proper discharge of one's official duties) as an agent or attorney
in a claim against the United States (or receiving any gratuity or
share in any such claim in considertion for assistance given) or as
an agent or attorney for anyone before any department, agency,
court, or otherwise in connection with any proceeding, application,
request for a ruling, or claim on any other particular matter in
which the United States is a party or has a direct and substantial
interest. (18 U.S.C. 205.) (Note: This section notwithstanding, an
employee may, if not inconsistent with the performance of his or
her official duties, act without compensation as an agent or
attorney for another person who is the subject of any disciplinary
or other administrative proceeding or as an agent or attorney for
one's parent, spouse, child, or any person or estate for whom or
which he or she serves as personal fiduciary except in those
matters in which the employee has participated personally and
substantially.)
D. Concerning Prohibited Political and Election
Activities. 1. Activities prohibited by 5 U.S.C. Chapter 73,
Subchapter III, including:
a. Section 7323, “Political contributions; prohibition.”
b. Section 7324, “Influencing elections; taking part in
political campaigns; prohibitions; exceptions.”
2. Activities prohibited by 18 U.S.C. Chapter 29, including:
a. Section 594, “Intimidation of voters.”
b. Section 597, “Expenditures to influence voting.”
c. Section 598, “Coercion by means of relief
appropriations.”
d. Section 600, “Promise of employment or other benefit for
political activity.”
e. Section 601, “Deprivation of employment or other benefit for
political contribution.”
f. Section 602, “Solicitation of political contributions.”
g. Section 604, “Solicitation from persons on relief.”
h. Section 606, “Intimidation to secure political
contributions.”
E. Concerning Prohibited Personnel Practices. 1.
Commission of a prohibited personnel practice (as defined in 5
U.S.C. 2302[b] [1-11]); that is, any employee who has authority to
take, direct others to take, recommend, or approve any personnel
action, shall not, with respect to such authority, commit any of
the following practices:
a. Discriminate for or against any employee or applicant for
employment on the basis of race, color, religion, sex, national
origin, age, handicapping condition, marital status, or political
affiliation.
b. Solicit or consider any recommendation or statement, oral or
written, with respect to any individual who requests or is under
consideration for any personnel action unless such recommendation
or statement is based on the personal knowledge or records of the
person furnishing it and consists of (1) an evaluation of the work
performance ability, aptitude, or general qualifications of such
individual or (2) an evaluation of the character, loyalty, or
suitability of such individual.
c. Coerce the political activity of any person (including the
providing of any political contribution or service) or take any
action against any employee or applicant for employment as a
reprisal for the refusal of any person to engage in such political
activity.
d. Deceive or willfully obstruct any person with respect to such
person's right to compete for employment.
e. Influence any person to withdraw from competition for any
position for the purpose of improving or injuring the prospects of
any other person for employment.
f. Grant any preference or advantage not authorized by law,
rule, or regulation to any employee or applicant for employment
(including defining the scope or manner of competition or the
requirements for any position) for the purpose of improving or
injuring the prospects of any particular person for employment.
g. Appoint, employ, promote, advance, or advocate for
appointment, employment, promotion, or advancement, in or to a
civilian position any individual who is a relative (as defined in 5
U.S.C. 3110) when the civilian position is in the Department or
under his or her jurisdiction or control.
h. Take or fail to take a personnel action with respect to any
employee or applicant for employment as a reprisal for the lawful
disclosure of information.
i. Take or fail to take any personnel action against an employee
or applicant for employment as a reprisal for the exercise of any
appeal right granted by any law, rule, or regulation (including HHS
Instructions and issuances).
j. Discriminate for or against any employee or applicant for
employment on the basis of conduct that does not adversely affect
the performance of the employee or applicant or the performance of
others (except criminal conviction in determining suitability or
fitness).
k. Take or fail to take any personnel action when the taking of
or failure to take such action violates any law, rule, or
regulation implementing, or directly concerning the merit system
principles (as set forth in 5 U.S.C. 2301).
[53 FR 4410, Feb. 16, 1988]