DATE: December 29, 2008

ADMINISTRATIVE EDIT: February 20, 2019

SUBJECT: Responsibilities of the Designated Agency Ethics Official

  1. PURPOSE. Pursuant to 5 CFR 2638.104(c), Treasury's Designated Agency Ethics Official (DAEO) is responsible for coordinating and managing the agency's ethics program. This directive provides a mechanism for the DAEO's continued accomplishment of these responsibilities.
  2. SCOPE. This Directive applies to all bureaus, offices, and organizations in the Department of the Treasury, including the offices of Inspectors General within the Department. The provisions of this Directive shall not be construed to interfere with or impede the authorities or independence of the Department's Inspectors General.
    1. Bureau includes the Departmental Offices (DO), the Treasury bureaus, and the offices of the Inspectors General within the Department.
    2. Designated Agency Ethics Official (or DAEO), pursuant to Treasury Order 107-01, is the Assistant General Counsel for General Law, Ethics and Regulation.
    3. Alternate Designated Agency Ethics Official (or ADAEO), pursuant to Treasury Order 107-01, is the Deputy Assistant General Counsel for Ethics.
    4. Deputy Ethics Official (DEO) is an individual to whom the DAEO has delegated, in writing, the authority to perform any of the DAEO's duties, and who works under the supervision of the DAEO in carrying out such delegated functions.
  4. BACKGROUND. The DAEO, or the ADAEO in the DAEO's absence, is responsible for coordinating and managing the Department's ethics program pursuant to the requirements set forth in 5 CFR 2638.104(c), including ensuring that:
    1. the Department maintains close liaison with, and provides requested information in a complete and timely manner to, the Office of Government Ethics;
    2. each bureau has an effective system and procedure for collecting, tracking, reviewing, and maintaining financial disclosure reports;
    3. each bureau creates and maintains a quality ethics education and training program; and
    4. prompt and effective action, including administrative action, is taken to remedy known violations of ethics rules and laws.
    1. To assist the DAEO in carrying out the ethics program responsibilities assigned under government-wide regulation, the DAEO will designate each bureau's Chief or Legal Counsel as a DEO who may perform these duties, in whole or in part, for that bureau. The DAEO, in consultation with a bureau's Chief or Legal Counsel, may designate one or more additional DEOs for that Bureau, as needed. Pursuant to 5 CFR 2638.104(e), each DEO will work under the oversight of the DAEO in carrying out these delegated functions.
    2. The DAEO will establish and issue, as needed, written Department-wide policies and procedures for the consistent and effective operation of the Department's ethics program, including, but not limited to, such policies and procedures regarding:
      1. 1) issuing conflict of interest waivers, pursuant to 18 USC § 208(b)(1) or (b)(3); and
      2. 2) periodically reviewing the effectiveness of the DEOs' performance of delegated ethics program functions.
  6. AUTHORITY. 5 CFR Part 2638.
  7. REFERENCES. Treasury Order 107-01, “Ethics in Government Act of 1978, As Amended” dated January 22, 2008.
  8. OFFICES OF PRIMARY INTEREST. Office of the General Counsel.


Robert F. Hoyt
General Counsel