(2) The employee does not participate by vote in the policy determinations of the organization. (3) The Department is in no way bound by any vote or action taken by the organization. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12625, Aug. 2, 1969] § 0.735-213 Prohibited activities by former employees. A former officer or employee or former Special Government employee of the executive branch of the U.S. Government, of any independent agency of the United States or of the District of Columbia shall not: (a) At any time after his Government employment has ended, knowingly act as an agent or attorney for anyone other than the United States, in connection with any matter involving a specific party or parties in which the United States is a party or has a direct or substantial interest and in which he participated personally and substantially as an officer or employee for the Government through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise while so employed. (18 U.S.C. 207 (a).) (b) Within 1 year after his Government employment has ended, appear personally before any court or department or agency of the Government as agent, or attorney for, anyone other than the United States in connection with any matter involving a specific party or parties in which the United States is a party or directly or substantially interested, and which was under his official responsibility as an officer or employee of the Government at any time within a period of one year prior to the termination of such responsibility (18 U.S.C. 202(b) and 207 (b)). § 0.735-214 Miscellaneous statutory provisions. Each employee shall acquaint himself with each statute that relates to his ethical and other conduct as an employee of the Department and of the Government. The attention of each employee is directed to the following statutory provision: (a) House Concurrent Resolution 175, 85th Congress, second session, 72 Stat. B12, the "Code of Ethics for Government Service." (b) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned. (c) The prohibition against lobbying with appropriate funds (18 U.S.C. 1913). (d) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918). (e) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784). (f) The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905). (g) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352). (h) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a (c)). (i) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719). (j) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917). (k) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001). (1) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071). (m) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508). (n) The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654). (0) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285). (p) The prohibitions against political activities in subchapter III of chapter 73 of title 5, United States Code, and 18 U.S.C. 602, 603, 607, and 608. (q) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219). Subpart C-Conduct and Responsibilities of Special Government Employees $0.735-301 Use of Government employment. A special Government employee shall not use his Government employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties. $0.735-302 Use of inside information. (a) A special Government employee shall not use inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Government authority which has not become part of the body of public information. (b) Special Government employees may teach, lecture, or write in a manner consistent with the provisions of § 0.735-204 (e). $0.735-303 Coercion. A special Government employee shall not use his Government employment to coerce, or give the appearance of coercion, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties. $0.735-304 Gifts, entertainment, and favors. (a) Except as provided in paragraph (b) of this section, a special Government employee, while so employed or in connection with his employment, shall not receive or solicit from a person having business with the Department anything of monetary value as a gift, gratuity, loan, entertainment, or favor for himself, or another person, particularly one with whom he has family, business, or financial ties. (b) The exceptions of § 0.735–203(b), which are applicable to employees, are also applicable to special Government employees. § 0.735-305 Applicability of other provisions. (a) Each special Government employee is subject to the provisions of $$ 0.735201, 0.735-205(b), 0.735-206 through 0.735-210, 0.735-212, 0.735-213, 0.735-214, and 0.735-411. (b) Each special Government employee shall acquaint himself with each statute listed in § 0.735-214. A special Government employee engaged on an irregular or occasional basis is bound by the political activity restrictions of the former Hatch Act cited in § 0.735-214 (p) only while in an active duty status and for the entire 24 hours of any day during which he is actually employed. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12625, Aug. 2, 1969] Subpart D-Statements of Employment and Financial Interests § 0.735-401 Employees required to submit statements. Except as provided in § 0.735-403, the following categories of employees shall submit statements of employment and financial interest: (a) Employees paid at a level of the Executive schedule in subchapter II of chapter 53 of title 5, United States Code. (b) Employees classified at GS-13 or above who are in positions identified in the appendix to this part as positions the incumbents of which are responsible for making a Government decision or taking a Government action in regard to: (1) Contracting or procurement; (2) Administering or monitoring grants or subsidies; (3) Regulating or auditing private or other non-Federal enterprise; or (4) Other activities where the decision or action has an economic impact on the interests of any non-Federal enterprise. (c) Employees classified at GS-13 or above who are in positions which the Department has determined have duties and responsibilities which require the incumbent to report employment and financial interests in order to avoid involvement in a possible conflict-of-interest situation and carry out the purpose of law, Executive order, and this part. The positions are identified in the appendix to this part. (d) Employees classified below GS-13 who are in positions which otherwise meet the criteria in paragraph (b) or (c) of this section. These positions have been approved by the Civil Service Commission as exceptions that are essential to protect the integrity of the Government and avoid employee involvement in a possible conflict-of-interest situation. The positions are identified in the appendix to this part by footnote 1. § 0.735-402 Employee's complaint on filing requirement. Employees have the opportunity for review through the Department's griev ance procedures of a complaint by an employee that his position has been improperly included under these regulations as one requiring the submission of a statement of employment and financial interests. $0.735-403 Employees not required to submit statements. (a) Employees in positions that meet the criteria in § 0.735-401 (b) may be excluded from the reporting requirement when the Department Counselor determines that: (1) The duties of a position are such that the likelihood of the incumbent's involvement in a conflict-of-interest situation is remote; (2) The duties of a position are at such a level of responsibility that the submission of a statement of employment and financial interests is not necessary because of the degree of supervision and review over the incumbent or the inconsequential effect on the integrity of the Government. (b) A statement of employment and financial interests is not required by this subpart from the Secretary or a full-time member of a committee, board, or commission appointed by the President. These employees are subject to separate reporting requirements under section 401 of the Executive order. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12625, Aug. 2, 1969] $ 0.735-404 Time and place for submission of employees' statements. (a) An employee required to submit a statement of employment and financial interests pursuant to § 0.735-401 and the appendix to this part shall submit that statement on Form HUD-844 (Revised) to the official designated in paragraph (c) of this section not later than : (1) Ninety days after the effective date of this part if employed on or before that effective date; or (2) Thirty days after his entrance on duty, but not earlier than 90 days after the effective date, if appointed after that effective date. (b) Additions to, deletions from, and other amendments of the list of positions in the appendix to this part may be made from time to time as necessary to carry out the purpose of the law, Executive Order 11222, and Part 735 of the Civil Service Commission Regulations (5 CFR Part 735). Such amendments are effective upon actual notification to the incumbents. The amended list shall be submitted at least annually for publication in the Federal Register. (c) All employees shall submit their statements directly to the General Counsel of the Department as Department Counselor for review and custody. Such statements shall be enclosed in sealed envelopes marked "Standards of Conduct-Department Counselor: Administratively Confidential". Statements previously submitted to other than the Department Counselor for review shall be transferred to the Department Counselor for custody. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12625, Aug. 2, 1969] $ 0.735-405 Supplementary statements. (a) Changes in, or additions to, the information contained in an employee's statement shall be reported to the Department Counselor in a supplementary statement as of June 30 each year. If no changes or additions occur, a negative report is required. (b) Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest or engaging in outside employment or other activity that could result, or taking an action that would result, in a violation of the conflict-of-interest provisions of section 208 of title 18, United States Code, or Subpart B of this part. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12626, Aug. 2, 1969] $0.735-406 Interests of employee's relatives. The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this section, "member of an employee's immediate household" means those blood relations who are residents of the employee's household. 8 0.735-407 Information not known by employees. If any information required to be included on a statement or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit information in his behalf. § 0.735-408 Information prohibited. This subpart does not require an employee to report information relating to his connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or a similar organization not conducted as a business enterprise. For the purpose of this section, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed "business enterprises" and are required to be included in an employee's statement. $ 0.735-409 Confidentiality of employees' statements. (a) Each statement of employment and financial interests, and each supplementary statement, shall be held in confidence by the Department. To insure this confidentiality, the Civil Service Commission regulations provide that: (1) The Department shall designate which officials and employees are to review and retain the statements; (2) Officials and employees designated under subparagraph (1) of this paragraph are responsible for maintaining the statements in confidence and shall not allow access to, or allow information to be disclosed from, a statement except to carry out the purpose of this part; and (3) The Department may not disclose information from a statement except as the Civil Service Commission or the Secretary may determine for good cause shown. (b) For the purpose of carrying out the provisions of paragraph (a)(1) of this section, the Department Counselor shall review and retain employees' statements. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12626, Aug. 2, 1969] 8 0.735-410 Effect of employee's statements on other requirements. The statements and supplementary statements required of employees pursuant to this part are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. The submission of a statement or supplementary statement by an employee does not permit him or any other person to participate in a matter in which his or the other person's participation is prohibited by law, order, or regulation. § 0.735-411 Specific provisions for special Government employees. (a) Except as provided in paragraph (c) of this section, each special Government employee shall submit to the Department Counselor for review and custody Form HUD-844-A (Revised), Statement of Employment and Financial Interests. (b) The provisions of §§ 0.735-407 through 0.735-410 are applicable to a special Government employee who is required to file a statement. (c) The Secretary or his designee may waive the provisions of this section for the submission of a statement in the case of a special Government employee who is not a consultant or an expert when the Department finds that the duties of the position held by that special Government employee are of a nature and at such level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. For the purpose of this paragraph, “consultant" and "expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual. (d) A statement required to be submitted under this section shall be submitted not later than the time of employment of the special Government employee shall keep his statement current throughout his employment with the Department by the submission of supplementary statements. [33 F.R. 15114, Oct. 10, 1968, as amended at 34 F.R. 12626, Aug. 2, 1969] APPENDIX-LIST OF POSITIONS SUBJECT TO SUBPART D Officers and employees in the following positions are subject to the provisions of Subpart D of this part: OFFICE OF THE SECRETARY Special Assistants to the Secretary. Federal Insurance Administrator. Executive Assistant. Administrative Officer to the Secretary. Director, Office of Industrial Participation. Special Assistant to the Secretary for Labor Relations. Deputy Assistant Secretary for Equal Opportunity. Director, Office of Housing Opportunity. Deputy Director, Office of Housing Opportunity. Director, Investigation Division. Director, Conciliation Division. Director, Office of Contract Compliance and Employment Opportunity. Director, Business Development Division. Director, Job Development Division. Director, Education and Training Office. Director, Program Planning and Evaluation Office. ASSISTANT SECRETARY FOR HOUSING PRODUCTION AND MORTGAGE CREDIT AND FEDERAL HOUSING COMMISSIONER Assistant Secretary. Deputy Assistant Secretary for Housing Production and Mortgage Credit and Deputy Federal Housing Commissioner. Executive Assistant Commissioner. Assistant Commissioner for Field Operations. Assistant Commissioner for Technical and Credit Standards. Assistant Commissioner for Programs. Assistant Commissioner for Subsidized Housing Programs. Assistant Commissioner for Unsubsidized Insured Housing Programs. Assistant Commissioner for Rehabilitation. Assistant Commissioner for Administration. Assistant Commissioner for Property Improvement. Assistant Commissioner-Comptroller. Administrator, Office of Interstate Land Sales Registration. Deputy Assistant Commissioner for Technical and Credit Standards. Deputy Assistant Commissioner for Subsidized Housing Programs. Director, Mortgage Insurance Programs Support Division. Director, Architecture and Engineering Division. Director, Subsidized Mortgage Insurance Division. Director, Publicly Financed Housing Division. Director, Multifamily Division. Director, Single Family Division. Director, Compliance Coordination. Director, Management and Operations Assistance Division. |