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Subtitle A-Office of the Secretary,
Standards of conduct.
Housing and Urban Development-effectuation of Title VI of the Civil
Rights Act of 1964.
41 51 52 71 81
PART 0%STANDARDS OF CONDUCT 11222 of May 8, 1965, 30 F.R. 6469, 3 CFR
1965 Supp.; 5 CFR 735.104. Subpart A-General Provisions Sec.
SOURCE: The provisions of this Part 0 0.735–101 Purpose.
appear at 33 F.R. 15114, Oct. 10, 1968, unless 0.735–102 Definitions.
otherwise noted. 0.735–103 Notification to employees and special Government employees.
Subpart A-General Provisions 0.735-104 Interpretation and advisory sery
$ 0.735–101 Purpose. ice. 0.735–105 Reviewing statements and report
The maintenance of unusually high to ta ing conflicts of interest.
standards of honesty, integrity, impar- ten o 0.735-106 Disciplinary and other remedial
tiality, and conduct by Government. Each action.
employees and special Government em- Z #
ployees is essential to assure the proper sind Subpart B-Conduct and Responsibilities of
performance of the Government business tath Employees
and the maintenance of confidence by men 0.735–201 Basic principle.
citizens in their Government. The avoid- von 0.735-202 Proscribed actions.
ance of misconduct and conflicts of in0.735-203 Gifts, entertainment, and favors.
terest on 0.735–204 Outside employment and other
of Government activity.
employees and special Government em0.735-205 Financial interests.
ployees through informed judgment is 0.735–206 Use of Government property. indispensable to the maintenance of 0.735-207 Misuse of information.
these standards. To accord with these lol 0.735-208 Indebtedness,
concepts, this part sets forth the user 0.735–209 Gambling, betting, and lotteries.
Department's regulations prescribing the 0.735-210 General conduct; and conduct
standards of conduct and responsibilities
, com prejudicial to the Government. 0.735-211 Intermediaries
and governing statements of employment vosib recommendations.
and financial interests for employees and disc 0.735-212 Membership in organizations. special Government employees. 0.735-213 Prohibited activities by former
8 0.735-102 Definitions. employees. 0.735-214 Miscellaneous statutory pro- (a) “Department” means the Departvisions.
ment of Housing and Urban Develop- item
ment. Subpart C-Conduct and Responsibilities of Special Government Employees
(b) "Employee" means an officer or 110c 0.735-301 Use of Government employment.
employee of the Department, but does artis 0.735--302 Use of inside information.
not include a special Government em- lept 0.735-303 Coercion.
ployee. 0.735–304 Gifts, entertainment, and favors. (c) "Special Government employee" stad be 0.735–305 Applicability of other provisions. means an officer or employee of the De
partment appointed to serve with or 'CeneSubpart D-Statements of Employment and Financial Interests
without compensation, for not more than advice
130 days during any period of 365 con0.7354401 Employees required to submit statements.
secutive days, on a full-time, part-time, kent 0.735–402 Employee's complaint on filing or intermittent basis, and who is rerequirement.
tained, designated, appointed, or em0.735-403 Employees not required to submit ployed as a special Government employee this statements.
under the provisions of section 202 of 0.735–404 Time and place for submission of
title 18 of the United States Code. employees' statements.
(d) "Person" means an individual, a 0.735–405 Supplementary statements. 0.735-406 Interests of employee's relatives. corporation, a company, an association, 0.735-407 Information not known by em- a firm, a partnership, a society, a joint ployees.
stock company, or any other organiza0.735–408 Information prohibited.
tion or institution. 0.735-409 Confidentiality of
(e) “Outside employment” means all 0.735-410 Effect of employee's statements on gainful employment other than the perother requirements.
formance of official duties. It includes, 0.735-411 Specific provisions for special Gov
but is not limited to, working for anernment employees.
other employer, the management or opAppendix-List of Positions Subject to Sub
eration of a private business for profit
(including personally owned businesses, AUTHORITY: The provisions of this part 0 Issued under 18 U.S.C. 201 through 209; E.O. partnerships, corporations, and other
business entities), and other self-em- from other sources indicates a conflict ployment.
between the interests of an employee or [33 F.R. 15114, Oct. 10, 1968, as amended at special Government employee and the 34 F.R. 12625, Aug. 2, 1969)
performance of his services for the Gov
ernment and when the conflict or ap$ 0.735–103 Notification to employees and special Government employees.
pearance of conflict is not resolved by
the Department Counselor, he shall reThe provisions of this part and all port the information concerning the revisions thereof shall be brought to the conflict or appearance of conflict to the attention of and made available to:
Secretary. (a) Each employee and special Gov- (c) The employee or special Governernment employee at the time of is
ment employee concerned shall be prosuance and at least annually thereafter; vided an opportunity to explain the con(b) Each new employee and special
flict or appearance of conflict. Government employee at the time of (d) If the resolution of the conflict or entrance on duty.
appearance of conflict contemplates or $ 0.735–104 Interpretation and advisory
includes any of the remedial action indiservice.
cated in $ 0.735-106 with the exception of
paragraph (b) (2), appropriate personnel (a) Department counselor. The Gen
officers of the Department shall be notieral Counsel of the Department is des
fied and shall participate in the deterignated Counselor for the Department
mination of the action proposed to be and shall serve as the Department's des
effected. ignee to the Civil Service Commission on
[33 F.R. 15114, Oct. 10, 1968, as amended at matters covered by this part. He shall
34 F.R. 12625, Aug. 2, 1969) be responsible for coordinating the Department's counseling services and for $ 0.735–106 Disciplinary and other reassuring that counseling and interpreta
medial action. tions on questions of conflicts of interest (a) A violation of this part by an emand other matters covered by this part ployee or special Government employee are available to designated deputy coun
may be cause for appropriate disciplinary selors. He may form ad hoc committees
action, which may be in addition to any to evaluate the effectiveness of the stand
penalty prescribed by law. ards, or to consider any new or unusual
(b) When, after consideration of the question arising from their application. explanation of the employee or special (b) Deputy counselors. Such deputy
Government employee provided by counselors as may be required shall be $ 0.735-105, the Secretary decides that designated by the Secretary or his des
remedial action is required, he shall take ignee from among the staff of the Office
immediate action to end the conflicts or of the General Counsel to give authori
appearance of conflicts of interest. Retative advice and guidance to current
medial action may include, but is not and prospective employees and special limited to: Government employees who seek advice (1) Changes in assigned duties; and guidance on questions of conflicts (2) Divestment by the employee or speof interests and on other matters Cov
cial Government employee of his conered by this part.
flicting interest; and unless otherwise (33 F.R. 15114, Oct. 10, 1968, as amended at provided divestiture is to be completed 34 F.R. 12625, Aug. 2, 1969)
within 60 days after notice of a decision $ 0.735–105 Reviewing statements and
that a conflict exists. reporting conflicts of interests.
(3) Disciplinary action; or
(4) Disqualification for a particular as(a) Subpart D of this part and the
signment. : appendix to this part identify the categories of positions and, as necessary, the Remedial action, whether disciplinary or specific positions in which the incumbent otherwise, shall be effected in accordance is required to submit a statement of em- with any applicable laws, Executive orployment and financial interests to an ders, and regulations. appropriate Department official for re- (c) If any of the remedial action inview.
dicated in this section with the exception (b) When a statement submitted un- of paragraph (b) (2) of this section is der Subpart D of this part and the contemplated, appropriate personnel ofappendix to this part or information ficers of the Department shall be notified
and shall participate in the determination of the action proposed to be effected. Subpart B-Conduct and Responsi
bilities of Employees $ 0.735–201 Basic principle.
(a) Each employee must realize that the Government's basic and controlling purpose in employing him is the public interest, rather than his private or personal interest, and that he can never have a right of tenure that transcends the public good. He can properly be a Government employee only as long as it remains in the public interest for hiin to be one. Public trust and confidence in the integrity of the Government are paramount.
(b) (1) This basic principle applies with special force and effect in the Department of Housing and Urban Development, which deals directly with important segments of the public, and whose success depends upon public trust and confidence in its actions. The official actions of the Department often have a direct bearing upon the financial and other interests of individuals, firms, and institutions with which it does business. Furthermore, the effective accomplishment of the Department's mission is significantly dependent upon a public image that engenders confidence in the Department's integrity. Accordingly, the avoidance of any involvement that tends to damage that image is a responsibility of exceptional importance for all employees who participate in or influence official operating determinations that affect the interests of those with whom the Department does business.
(2) If there is knowledge of an employee's involvement in or association with circumstances reasonably construed to reduce public confidence in the acts or determinations of the Department, such knowledge may be sufficient cause for the initiation of action adverse to the employee. Employees, therefore, are alerted to the gravity with which the Department will view any such involvement, especially if it has to do with conflicts of interest or the compromise of integrity-whether real or only apparent. & 0.735-202 Proscribed actions.
An employee shall avoid any action, whether or not specifically prohibited by the regulations in this subpart, which
might result in, or create the appearance of:
(a) Using public office for private gain;
(b) Giving preferential treatment to any person;
(c) Impeding Government eficiency or economy;
(d) Losing complete independence or impartiality;
(e) Making a Government decision outside official channels; or
(f) Affecting adversely the confidence of the public in the integrity of the Government. $ 0.735–203 Gifts, entertainment, and
favors. (a) Except as provided in paragraphs (b) and (e) of this section, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:
(1) Has, or is seeking to obtain, contractual or other business or financial relations with the Department;
(2) Conducts operations or activities that are regulated by the Department; or
(3) Has interests that may be substantially affected by the performance or nonperformance of the employee's official duty.
(b) The prohibitions of paragraph (a) of this section do not apply in the following cases:
(1) Obvious family or personal relationships, such as those between the parents, children, or spouse of the employee and the employee, when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors;
(2) Acceptance of food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where
employee may properly be in attendance;
(3) The acceptance of loans from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans; and
(4) The acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.
(c) An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiv
ing less pay than himself (5 U.S.C. 7351). However, this paragraph does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness or retirement.
(d) An employee shall not accept a gift, present, decoration, or other thing : from a foreign government unless au
thorized by Congress as provided by the Constitution and in 5 U.S.C. 7342.
(e) Neither this section nor $ 0.735– 204 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses for travel . and such other necessary subsistence as is compatible with this part for which
no Government payment or reimburse1. ment is made. However, this paragraph
does not allow an employee to be reimbursed, or payment to be made on his behalf, for excessive personal living expenses, gifts, entertainment, or other
personal benefits, nor does it allow an e employee to be reimbursed by a person
for travel on oficial business under Department orders when reimbursement
is proscribed by Decision B-128527 of the Comptroller General dated March 7, [ 1967. $ 0.735–204 Outside employment and
other activity. (a) An employee shall not engage in outside employment or other outside activity not compatible with the full and
proper discharge of the duties and rei sponsibilities of his Government employ
ment. Incompatible activities include but are not limited to:
(1) Acceptance of a fee, compensaį tion, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance may result in, or create the appearance of, conflicts of interest;
(2) Outside employment which tends to impair his mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner;
(3) Activities that may be construed by the public to be the official acts of the Department;
(4) Activities that establish relationships or property interests that may re
sult in a conflict between his private interests and his official duties; and
(5) Employment that may involve the use of information secured as a result of employment in the Department to the detriment of the Department or the public interest, or that may give preferential treatment to any person, corporation, public agency, or group.
(6) Engaging directly or indirectly in the purchase, sale or management of real estate, including the financing of realty transactions; except (i) the employee's residence, immediate past residence, vacation or retirement home, or (ii) realty transactions involving a moderate scale of investment properties which are not likely in the foreseeable future to be involved in a HUD program.
(7) Employment related to or similar to the substantive programs conducted by any part of the Department. This includes, but is not limited to, the broad fields of real estate, mortgage lending, property insurance, construction, construction financing, and land and real estate planning.
(8) Employment with any person, firm, or other private organization having business either directly or indirectly with the Department.
(b) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Government (18 U.S.C. 209).
(c) Full-time employees and part-time employees with a regularly scheduled tour of duty must obtain the prior approval of the appropriate deputy counselor before engaging in outside employment in the following categories:
(1) Employment in the same professional field as that of the individual's official position. However, an attorney in this Department may, in off-duty hours and consistent with his official responsibilities, participate, without compensation for his services, in a program to provide legal assistance and representation to poor persons. Such participation shall not include representation or assistance in any judicial matter or proceeding, whether Federal, State, or local, involving programs of this Department or in any other matter or proceeding in which the United States, including the District of Columbia, is a party or has a direct and substantial interest. Notice of intention to participate in such a program shall be given by the attorney in