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(8) The prohibitions set forth in paragraphs (b) and (c) of this section are in addition to any other restrictions contained in this subpart and do not permit any activities which are otherwise prohibited. $0.785 403 Political activities.

Special Government employees are bound by the political activity restrictions cited in 80.735–211. Such restrictions also apply to a special Government employee engaged on an irregular or occasional basis, but only on days in which service is rendered and then for the entire 24 hours of such service day. $0.738 404 Financial reporting.

(a) Special Government employees who will work more than 60 days in a calendar year must submit public financial disclosure reports in accordance with the provisions of title Il of the Ethics in Government Act of 1978 when their rate of pay is equal to or greater than the basic rate for G8-16, Step 1. Such employees are covered by the reporting requirements at 5 CFR part 734.

(b) All special Government employees not required to file under paragraph (a) of this section shall submit Confidential Statements of Employment and Financial Interests and supplementary statements to the appropriate Deputy Counselor for review and custody.

(c) The provisions of $80.735304 and 0.735 305 are applicable to a special Government employee who is required to file a statement under paragraph (b) of this section. $0.786_406 Post employment restrictions.

All special Government employees are bound by the restrictions concerning post employment set forth in 80.735_501 (a) and (b) and are subject to the provisions regarding disciplinary proceedings set forth in subpart E. However, the restrictions set forth in $0.735_501 (c) and (d) apply only to special Government employees who serve as Senior Employees, as defined in 5 CFR 737.3(a)(6), over sixty days in any calendar year. The exception to the post employment restrictions set forth in 80.735501(1) for former employees employed by an Indian tribe also apply to former special Government employees.

any particular Government matter involving a specific party, in which matter such employee participated personally and substantially as a Department employee.

(b) No former employee, within two years after terminating employment by the United States, shall knowingly act as agent or attorney for, or otherwise represent another in any formal or informal appearance before, or with the intent to influence, make any oral or written communication on behalf of another to, any agency, employee or court of the United States or the District of Columbia, in connection with any particular Government matter involving a specific party, if such matter was actually pending under the employee's official responsibility as an officer or employee within a period of one year prior to the termination of such responsibility.

(c) No former Senior Employee, as defined in 5 CFR 737.3(a)(6), within two years after terminating employment by the United States, shall knowingly represent or aid, counsel, advise, consult, or assist in rep resenting another by personal presence at any formal or informal appearance before any agency, employee or court of the United States or the District of Columbia, in connection with any particular Government matter involving a specific party, in which matter he or she participated personally and substantially.

(d) For a period of one year after terminating employment by the United States, no former Senior Employee shall knowingly act as an agent or attorney for, or otherwise rep resent, anyone in a formal or informal appearance before, or with the intent to influence, make any written or oral communication on behalf of anyone, to the Department or any of its officers or employees, in connection with any particular Government matter, whether or not involving a specific party, which is pending before the Department, or in which it has a direct and sub stantial interest.

(e) The prohibitions set forth in paragraphs (a) through (d) of this section will be applied in accordance with regulations of the Office of Government Ethics as set forth in 6 CFR part 737.

(f) The prohibitions in paragraphs (a) through (d) of this section do not bar a former employee employed by an Indian tribe from representing the tribe in connection with any matter pending before any Federal department, agency, court or commission. However, a former employee who intends to engage in representational activities must advise the head of the department, agency, court, or commission, in writing, of any personal and substantial involvement he or she may have had as a federal employee in the matter (25 U.S.C. 4501(O)).

Subpart E-Conduct and Responsibilities of

Former Employees $0.786_501 Probibited activities by former

employees. (a) No former employee, after terminating Government employment, shall knowingly act as agent or attorney for, or otherwise represent another in any formal or informal appearance before, or with the intent to influence, make any oral or written communication on behalf of another to, any agency, employee or court of the United States or the District of Columbia, in connection with

80.786-502 Disciplinary action.

(a) Disciplinary action may be taken against any former Department employee or special Government employee (hereafter referred to as former employee) found under this subpart to have violated the post employment restrictions set forth in $80.735 405 and 0.735 501 of this part.

(b) The Department Counselor or a Deputy Counselor may initiate disciplinary proceedings. For purposes of this subpart, such an official is referred to as an Initiating Official.

(c) Disciplinary action may consist of:

(1) Prohibiting the former employee from making, on behalf of another, except the United States, any informal or formal appearance before, or with the intent to influence, any oral or written communication to the Department, on any matter of business for a period not to exceed five years. This prohibition may be accomplished by directing Department personnel to refuse to participate in any such appearance or to accept any such communication; or

(2) Other appropriate disciplinary actions, including but not limited to:

(1) Prohibiting, for a definite period of not more than five years, the former employee from any representational activity in connection with a specific office in the Department, or with a specific matter, in which the employee had an interest;

(11) Issuing a letter of warning to the former employee. 30.735-503 Initiating disciplinary proceed

ings. (a) The Initiating Official, upon receiving information indicating grounds for disciplinary action, shall request that the Office of the Inspector General conduct an investigation and report all relevant investigative findings back to the Initiating Official.

(b) The Inspector General shall coordinate all investigations under this subpart with the Department of Justice as appropriate.

(c) All investigations under this subpart shall be conducted in a manner which protects the privacy of former employees. To the extent possible, information received as a result of the Inspector General's investigation shall remain confidential except as necessary to carry out the purposes of this subpart.

(d) After the Inspector General reports the facts of the investigation to the Initiating Official, the Initiating Official shall determine either:

(1) That there is reasonable cause to believe that a violation has occurred, in which event the Initiating Official shall expeditiously provide all relevant information, along with any comments or agency regulations, to the Director of the Office of Government Ethics (OGE); in addition, the Initiating Official shall commence disciplinary ac

tion against the former employee by serving notice in accordance with $0.735-604; or

(2) That there is no reasonable basis for believing that a violation has occurred, in which event the Initiating Official shall advise the former employee and the Inspector General's office of that determination.

(e) In the event disciplinary action is initiated, the Department Counselor shall promptly appoint an impartial hearing officer who shall be a member of the HUD Board of Contract Appeals or an Administrative Law Judge. The hearing officer shall not have participated in any manner in the decision to initiate disciplinary action. 80.786-504 Notice.

(a) The Initiating Official shall notify the former employee of the proposed disciplinary action in writing, by registered or certified mail, return receipt requested, or by any other means which gives actual notice or 18 reasonably calculated to give actual notice.

(b) The Notice shall include:

(1) A statement of allegations and the basis thereof sufficiently detailed to enable the former employee to prepare an adequate defense;

(2) A statement that the former employee is entitled to a hearing with a right to counsel if he or she requests a hearing within 15 days after receiving the notice;

(3) A statement explaining the method by which a hearing may be requested including the name, business address, and telephone number of the person to be contacted if there are further questions;

(4) A statement explaining the right to submit documentary evidence and a report to the hearing officer if a hearing is not requested and the method by which evidence may be submitted; and

(5) The disciplinary action proposed. 80.785-506 Hearings.

(a) Formal rules of evidence and procedure applicable to a proceeding in a court of law will not be applied. Parties may object to clearly irrelevant material, but technical objections to testimony as used in a court of law will not be sustained.

(b) A former employee, against whom disciplinary action is proposed, is entitled to a hearing upon a written request submitted to the hearing officer within 15 days after the former employee receives notice as set forth in $0.735–504. If no timely request is made, the hearing officer may proceed under $0.735506 to make a decision without a hearing.

(C) An attorney from the Department's legal staff shall represent the Department in the matter.

(d) The hearing shall be conducted at a reasonable time, date, and place as set by the hearing officer.

(1) In setting a hearing date, the hearing officer shall give due regard to the former

(2) The record upon which the hearing officer made his or her decision if there has not been a hearing; or

(3) Those portions of the record cited by the parties to limit the issues.

(c) If the decision of the hearing officer is modified or reversed, the decision by the Secretary or designee shall state any findings of fact or conclusions of law which differ from the findings or conclusions of the hearing officer.

employee's need for adequate time to prepare a defense and to an expeditious resolution of allegations that may be damaging to the former employee's reputation.

(2) Notice of the time, date, and place of such hearing shall be transmitted in writing to all interested parties by the hearing officer and shall include a statement indicating the nature of the proceedings and their purpose.

(e) At a hearing, the former employee shall have the right to:

(1) Represent himself or herself or be rep resented by counsel;

(2) Introduce and examine witnesses and submit relevant evidence;

(3) Confront and cross-examine adverse witnesses;

(4) Present oral argument; and

(5) Receive a transcript or recording of the proceedings, upon request.

(1) In a hearing, the Department has the burden of proof and must establish substantial evidence of a violation.

(8) The hearing officer shall make a determination based exclusively on matters of record in the proceeding and shall set forth in the decision all findings of fact and conclusions of law relevant to the matters at issue...

$0.736-508 Sanctions.

Disciplinary action may be imposed by the hearing officer if there was no appeal, or by the Secretary or his or her designee if there was an appeal, against a former government employee found to have violated the postemployment restrictions set forth in $80.735 405 and 0.735-501 of this part. The sanctions shall not exceed those proposed by the Initiating Official in the notice which initiated the disciplinary action against the former employee.

80.736_509 Judicial review.

Any person found to have violated the post-employment restrictions set forth in $80.735-405 and 0.735-501 of this part, may seek judicial review of the Department's final administrative determination.

$0.735_506 Decision without a hearing.

(a) If no hearing is requested under $0.735 505(b), the hearing officer shall make a decision on the basis of evidence submitted under paragraph (b) of this section. The proposed disciplinary action shall be sustained upon a showing, by substantial evidence, of cause as specified in 80.735-502. Notice shall be provided to all interested parties stating the findings of fact and conclusions of law, the sanctions to be imposed if a violation has been found, and the procedure for filing an appeal to the Secretary.

(b) If no hearing is requested, the former employee and the Initiating Official may submit relevant information and reports on their behalf to the hearing officer. In making a decision the hearing officer shall consider all evidence and reports received prior to the decision.

PART 1-NONDISCRIMINATION IN

FEDERALLY ASSISTED PROGRAMS OF THE DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT-EFFECTUATION OF TITLE VI OF THE CIVIL RIGHTS ACT OF 1964

$0.736–507 Appeals.

(a) The former employee may appeal the hearing officer's decision finding a violation of the post-employment restrictions, as set forth in $80.735 405 and 0.735–501 of this part, to the Secretary by making a written request within 20 days of the decision.

(b) Upon receiving an appeal, the Secretary or his or her designee shall review the decision of the hearing officer. The decision of the Secretary or designee shall be based solely on:

(1) The record of the proceedings if there has been a hearing;

Sec. 1.1 Purpose. 1.2 Definitions. 1.3 Application of Part 1. 1.4 Discrimination prohibited. 1.5 Assurances required. 1.6 Compliance information. 1.7 Conduct of investigations. 1.8 Procedure for effecting compliance. 1.9 Hearings. 1.10 Decisions and notices. 1.11 Judicial review. 1.12 Effect on other regulations; forms and

instructions. AUTHORITY: Sec. 602, 78 Stat. 252, 42 U.S.C. 2000d-1; sec. 7(d), 79 Stat. 670, 42 U.S.C. 3535(d); and the laws listed in appendix A to this part 1.

SOURCE: 38 FR 17949, July 5, 1973, unless otherwise noted.

g 1.1 Purpose.

The purpose of this part 1 is to effectuate the provisions of title VI of the Civil Rights Act of 1964 (hereafter referred to as the Act) to the end that no person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance from the Department of Housing and Urban Development. 81.2 Definitions.

As used in this part 1–

(a) The term Department means the Department of Housing and Urban Development.

(b) The term Secretary means the Secretary of Housing and Urban Development.

(c) The term responsible Department official means the Secretary or, to the extent of any delegation of authority by the Secretary to act under this part 1, any other Department official to whom the Secretary may hereafter delegate such authority.

(d) The term United States means the States of the United States, the District of Columbia, Puerto Rico, the Virgin Islands, American Samoa, Guam, Wake Island, the Canal Zone, and the territories and possessions of the United States, and the term State means any one of the foregoing.

(e) The term Federal financial assistance includes: (1) Grants, loans, and advances of Federal funds, (2) the grant or donation of Federal property and interests in property, (3) the detail of Federal personnel, (4) the sale and lease of, and the permission to use (on other than a casual or transient basis), Federal property or any interest in such property without consideration or at a nominal consideration, or at a consideration which is reduced for the purpose of assisting the recipient, or in recognition of the public interest to be served by such sale or lease to the recipient, and (5) any Federal agreement, arrangement, or other contract which has as one of its purposes the provision of assistance. The term Federal financial assistance does not include a contract of insurance or guaranty.

(f) The term recipient means any State, political subdivision of any State, or instrumentality of any State or political subdivision, any public or private agency, institution, organization, or other entity, or any individual, in any State, to whom Federal financial assistance is extended, directly or through another recipient, for any program or activity, or who otherwise participates in carrying out such program or activity (such as a redeveloper in the Urban Renewal Program), including any successor, assign, or transferee thereof, but such term does not include any ultimate beneficiary under any such program or activity.

(g) The term applicant means one who submits an application, contract, request, or plan requiring Department approval as a condition to eligibility for Federal financial assistance, and the term application means such an application, contract, request, or plan. g 1.3 Application of Part 1.

This part 1 applies to any program or activity for which Federal financial assistance autho ed under a administered by the Department, including any program or activity assisted under the statutes listed in appendix A of this part 1. It applies to money paid, property transferred, or other Federal financial assistance extended to any such program or activity on or after January 3, 1965. This part 1 does not apply to: (a) Any Federal financial assistance by way of insurance or guaranty contracts, (b) money paid, prop erty transferred, or other assistance extended to any such program or activity before January 3, 1965, (c) any assistance to any person who is the ultimate beneficiary under any such program or activity, or (d) any employment practice, under any such program or activity, of any employer, employment agency, or labor organization, except to the extent described in $1.4(c). The fact that certain financial assistance is not listed in appendix A shall not mean, if title VI of the Act is otherwise applicable, that such financial assistance is not covered. Other financial assistance under statutes now in force or hereinafter enacted may be added to this list by notice published in the FEDERAL REGISTER.

81.4 Discrimination prohibited.

ity as an employee but only to the ex(a) General. No person in the United

tent set forth in paragraph (c) of this States shall, on the ground of race,

section). color, or national origin, be excluded

(vii) Deny a person the opportunity from participation in, be denied the

to participate as a member of a planbenefits of, or be otherwise subjected

ning or advisory body which is an inteto discrimination under any program

gral part of the program. or activity to which this part 1 applies.

(2)(i) A recipient, in determining the (b) Specific discriminatory actions pro

types of housing, accommodations, fahibited. (1) A recipient under any pro

cilities, services, financial aid, or other gram or activity to which this part 1

benefits which will be provided under applies may not, directly or through

any such program or activity, or the contractual or other arrangements, on

class of persons to whom, or the situathe ground of race, color, or national

tions in which, such housing, accomorigin:

modations, facilities, services, finan(i) Deny a person any housing, ac

cial aid, or other benefits will be procommodations, facilities, services, fi

vided under any such program or activnancial aid, or other benefits provided ity, or the class of persons to be afunder the program or activity;

forded an opportunity to participate in (ii) Provide any housing, accom

any such program or activity, may not, modations, facilities, services, finan directly or through contractual or cial aid, or other benefits to a person

other arrangements, utilize criteria or which are different, or are provided in methods of administration which have a different manner, from those pro the effect of subjecting persons to disvided to others under the program or

crimination because of their race, activity;

color, or national origin, or have the (iii) Subject a person to segregation effect of defeating or substantially imor separate treatment in any matter pairing accomplishment of the objecrelated to his receipt of housing, ac tives of the program or activity as recommodations, facilities, services, fi spect to persons of a particular race, nancial aid, or other benefits under the color, or national origin. program or activity;

(ii) A recipient, in operating low-rent (iv) Restrict a person in any way in housing with Federal financial assistaccess to such housing, accommoda ance under the United States Housing tions, facilities, services, financial aid, Act of 1937, as amended (42 U.S.C. 1401 or other benefits, or in the enjoyment et seq.), shall assign eligible applicants of any advantage or privilege enjoyed to dwelling units in accordance with a by others in connection with such plan, duly adopted by the recipient and housing, accommodations, facilities, approved by the responsible Departservices, financial aid, or other bene ment official, providing for assignment fits under the program or activity; on a community-wide basis in sequence

(v) Treat a person differently from based upon the date and time the appliothers in determining whether he satis cation is received, the size or type of fies any occupancy, admission, enroll unit suitable, and factors affecting ment, eligibility, membership, or other preference or priority established by requirement or condition which per the recipient's regulations, which are sons must meet in order to be provided not inconsistent with the objectives of any housing, accommodations, facili title VI of the Civil Rights Act of 1964 ties, services, financial aid, or other and this part 1. The plan may allow an benefits provided under the program or applicant to refuse a tendered vacancy activity;

for good cause without losing his (vi) Deny a person opportunity to standing on the list but shall limit the participate in the program or activity number of refusals without cause as through the provision of services or prescribed by the responsible Departotherwise, or afford him an oppor ment official. tunity to do so which is different from (iii) The responsible Department offithat afforded others under the program cial is authorized to prescribe and proor activity (including the opportunity mulgate plans, exceptions, procedures, to participate in the program or activ- and requirements for the assignment

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