Page images
PDF
EPUB
[merged small][merged small][ocr errors][merged small][merged small]

Subtitle A-Office of the Secretary,
Department of Housing and

Urban Development

[ocr errors][ocr errors][merged small][merged small][merged small][ocr errors][ocr errors][merged small][merged small]

Standards of conduct.
Nondiscrimination in Federally-assisted programs of the Department of

Housing and Urban Development-effectuation of Title VI of the Civil

Rights Act of 1964.
Practice and Procedure for Hearings Under Part 1 of This Subtitle.
Urban renewal.
Open-space land.
Rent Supplement Payments.
Neighborhood Facilities.
Equal Employment Opportunity; policy and procedures.
Seal.
Public Information.

2
3
4
5
6
7
11
15

[merged small][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors]

re

PART OSTANDARDS OF CONDUCT Sec.

0.735–205 Financial interests. Subpart A-General Provisions

0.735–206 Use of Government property. Sec.

0.735-207 Misuse of information. 0.735–101 Purpose.

0.735-208 Indebtedness. 0.735–102 Definitions.

0.735–209 Gambling, betting, and lotteries. 0.735–103 Notification to employees and spe- 0.735–210 General conduct; and conduct cial Government employees.

prejudicial to the Government. 0.735–104 Interpretation

and advisory

0.735–211 Intermediaries and product recservice.

ommendations. 0.735–105 Reviewing statements and

0.735-212 Membership in organizations. porting conflicts of interest.

0.735-213 Miscellaneous

statutory provi. 0.735–106 Disciplinary and other remedial

sions.
action.
Subpart B-Conduct and Responsibilities of

Subpart C—Conduct and Responsibilities of

Special Government Employees
Employees
0.735-201 Basic principle.

0.735-301 Use of Government employment. 0.735-202 Proscribed actions.

0.735–302 Use of inside information. 0.735–203 Gifts, entertainment, and favors.

0.735–303 Coercion. 0.735–204 Outside employment and other

0.735–304 Gifts, entertainment, and favors. activity.

0.735–305 Applicability of other proyisions.

[ocr errors][ocr errors][ocr errors]

Subpart D-Statements of Employment and

Financial Interests Sec. 0.735–401 Employees required to submit

statements. 0.735–402 Employee's complaint on filing re

quirement. 0.735-403 Employees not required to sub

mit statements. 0.735–404 Time and place for submission of

of employees' statements. 0.735–405 Supplementary statements. 0.735–406 Interests of employee's relatives. 0.735-407 Information not known by em

ployees. 0.735–408 Information prohibited. 0.735–409 Confidentiality of employees'

statements. 0.735–410 Effect of employee's statements

on other requirements. 0.735–411 Specific provisions for special

Government employees. Appendix-List of Positions Subject to Subpart D.

AUTHORITY: The provisions of this Part 0 issued under 18 U.S.C. 201 through 209; E.O. 11222 of May 8, 1965, 30 F.R. 6469, 3 CFR 1965 Supp.; 5 CFR 735.104.

SOURCE: The provisions of this Part 0 appear at 32 F.R. 13921, Oct. 6, 1967, unless otherwise noted.

Subpart A—General Provisions $ 0.735–101 Purpose.

The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Government em. ployees and special Government employees is essential to assure the proper performance of the Government business and the maintenance of confidence by citizens in their Government. The avoidance of misconduct and conflicts of interest on the part of Government employees and special Government employees through informed judgment is indispensable to the maintenance of these standards. To accord with these concepts, this part sets forth the Department's regulations prescribing standards of conduct and responsibilities, and governing statements of employment and financial interests for employees and special Government employees. $ 0.735–102 Definitions.

(a) “Department” means the Department of Housing and Urban Development.

(b) “Employee" means an officer or employee of the Department, but does not include a special Government employee.

(c) "Special Government employee" means an officer or employee of the Department appointed to serve with or without compensation, for not more than 130 consecutive days during any period of 365 days, on a full-time, parttime, or intermittent basis, and who is retained, designated, appointed, or employed as a special Government employee under the provisions of section 202 of Title 18 of the United States Code.

(d) "Person" means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution.

(e) “Outside employment” means all gainful employment other than the performance of official duties. It includes, but is not limited to, working for another employer, the management or operation of a private business for profit (including personally owned businesses, partnerships, corporations, and other business entities), and other self-employment. $ 0.735–103 Notification to employees

and special Government employees. The provisions of this part and all revisions thereof shall be brought to the attention of and made available to:

(a) Each employee and special Government employee at the time of issuance and at least annually thereafter;

(b) Each new employee and special Government employee at the time of entrance on duty. $ 0.735–104 Interpretation and advisory

service. (a) Department counselor. The General Counsel of the Department is designated Counselor for the Department and shall serve as the Department's designee to the Civil Service Commission on matters covered by this part. He shall be responsible for coordinating the Department's counseling services and for assuring that counseling and interpretations on questions of conflicts of interest and other matters covered by this part are available to designated deputy counselors. He may form ad hoc committees to evaluate the effectiveness of the standards, or to consider any new or unusual question arising from their application.

(b) Deputy counselors. Such deputy counselors as may be required shall be designated by the Secretary or his designee from among the staff of the Office of the General Counsel and other

[ocr errors][merged small][ocr errors]
[merged small][merged small][merged small][merged small][merged small][ocr errors][merged small][merged small][merged small][merged small]

legal staff of the Department to give (2) Divestment by the employee or
authoritative advice and guidance to special Government employee of his con-
current and prospective employees and flicting interest;
special Government employees who seek (3) Disciplinary action; or
advice and guidance on questions of con- (4) Disqualification for a particular
flicts of interest and on other matters assignment.
covered by this part.

Remedial action, whether disciplinary $ 0.735–105 Reviewing statements and or otherwise, shall be effected in accordreporting conflicts of interest.

ance with any applicable laws, Execu

tive orders, and regulations. (a) Subpart D of this part and the

(c) If any of the remedial action indiappendix to this part identify the cate

cated in this section with the exception gories of positions and, as necessary, the

of paragraph (b) (2) of this section is specific positions in which the incumbent

contemplated, appropriate personnel ofis required to submit a statement of em

ficers of the Department shall be notiployment and financial interests to an appropriate Department official for

fied and shall participate in the deter

mination of the action proposed to be review.

effected.
(b) When a statement submitted
under Subpart D of this part and the Subpart B-Conduct and Responsi-
appendix to this part or information

bilities of Employees
from other sources indicates a conflict
between the interests of an employee or

$ 0.735-201

Basic principle. special Government employee and the (a) Each employee must realize that performance of his services for the Gov- the Government's basic and controlling ernment and when the conflict or ap- purpose in employing him is the public pearance of conflict is not resolved by interest, rather than his private or perthe reviewing official, he shall report the sonal interest, and that he can never information concerning the conflict or have a right of tenure that transcends appearance of conflict to the Secretary the public good. He can properly be a through the Counselor.

Government employee only as long as it (c) The employee or special Govern- remains in the public interest for him to ment employee concerned shall be pro- be one. Public trust and confidence in the vided an opportunity to explain the con- integrity of the Government are paraflict or appearance of conflict.

mount. (d) If the resolution of the conflict or (b) (1) This basic principle applies appearance of conflict contemplates or with special force and effect in the Deincludes any of the remedial action in- partment of Housing and Urban Develdicated in g 0.735–106 with the excep- opment, which deals directly with imtion of paragraph (b) (2), appropriate portant segments of the public, and personnel officers of the Department whose success depends upon public trust shall be notified and shall participate in and confidence in its actions. The offithe determination of the action proposed

cial actions of the Department often to be effected.

have a direct bearing upon the financial $ 0.735–106 Disciplinary and other re

and other interests of individuals, firms, medial action.

and institutions with which it does busi(a) A violation of this part by an em

ness. Furthermore, the effective accomployee or special Government employee

plishment of the Department's mission

is significantly dependent upon a public may be cause for appropriate disciplinary action, which may be in addition to any

image that engenders confidence in the penalty prescribed by law.

Department's integrity. Accordingly, the (b) When, after consideration of the

avoidance of any involvement that tends explanation of the employee or special

to damage that image is a responsibility Government employee provided by

of exceptional importance for all em$ 0.735–105, the Secretary decides that

ployees who participate in or influence remedial action is required, he shall take

official operating determinations that afimmediate action to end the conflicts

fect the interests of those with whom the or appearance of conflicts of interest.

Department does business.
Remedial action may include, but is not

(2) If there is knowledge of an employee's involvement in or association with circumstances reasonably con

strued to reduce public confidence in the

[merged small][merged small][merged small][ocr errors][merged small][ocr errors][ocr errors][ocr errors][ocr errors][merged small][merged small]

limited to:

(1) Changes in assigned duties;

[ocr errors][ocr errors]

acts or determinations of the Depart- frequent occasions in the ordinary course
ment, such knowledge may be sufficient of a luncheon or dinner meeting or other
cause for the initiation of action ad- meeting or on an inspection tour where
verse to the employee. Employees, there- an employee may properly be in attend-
fore, are alerted to the gravity with ance;
which the Department will view any such (3) The acceptance of loans from
involvement, especially if it has to do with banks or other financial institutions on
conflicts of interest or the compromise customary terms to finance proper and
of integrity-whether real or only ap- usual activities of employees, such as
parent.

home mortgage loans; and $ 0.735–202 Proscribed actions.

(4) The acceptance of unsolicited ad

vertising or promotional material, such An employee shall avoid any action, whether or not specifically prohibited by

as pens, pencils, note pads, calendars, and

other items of nominal intrinsic value. the regulations in this subpart, which might result in, or create the appearance

(c) An employee shall not solicit a

contribution from another employee for of:

a gift to an official superior, make a do(a) Using public office for private

nation as a gift to an official superior, or gain;

accept a gift from an employee receiving (b) Giving preferential treatment to

less pay than himself (5 U.S.C. 7351). any person;

However, this paragraph does not pro(c) Impeding Government efficiency

hibit a voluntary gift of nominal value or economy; (d) Losing complete independence or

or donation in a nominal amount made impartiality;

on a special occasion such as marriage,

illness, or retirement. (e) Making a Government decision outside official channels; or

(d) An employee shall not accept a (f) Affecting adversely the confidence

gift, present, decoration, or other thing of the public in the integrity of the Gov

from a foreign government unless au

thorized by Congress as provided by the ernment.

Constitution and in 5 U.S.C. 7342. $ 0.735–203 Gifts, entertainment, and (e) Neither this section nor $ 0.735– favors.

204 precludes an employee from receipt (a) Except as provided in paragraphs

of bona fide reimbursement, unless pro(b) and (e) of this section, an employee

hibited by law, for expenses for travel shall not solicit or accept, directly or in

and such other necessary subsistence as directly, any gift, gratuity, favor, enter- is compatible with this part for which tainment, loan, or any other thing of no Government payment or reimbursemonetary value, from a person who:

ment is made. However, this paragraph (1) Has, or is seeking to obtain, con

does not allow an employee to be reimtractual or other business or financial re

bursed, or payment to be made on his lations with the Department;

behalf, for excessive personal living ex(2) Conducts operations or activities

penses, gifts, entertainment or other perthat are regulated by the Department;

sonal benefits, nor does it allow an em

ployee to be reimbursed by a person for or (3) Has interests that may be sub

travel on official business under Depart

ment orders when reimbursement is prostantially affected by the performance or nonperformance of the employee's

scribed by Decision B-128527 of the official duty.

Comptroller General dated March 7,

1967. (b) The prohibitions of paragraph (a) of this section do not apply in the follow

$ 0.735–204 Outside employment and ing cases:

other activity. (1) Obvious family or personal rela- (a) An employee shall not engage in tionships, such as those between the par- outside employment or other outside acents, children, or spouse of the employee tivity not compatible with the full and and the employee, when the circum- proper discharge of the duties and restances make it clear that it is those rela- sponsibilities of his Government employtionships rather than the business of the ment. Incompatible activities include but persons concerned which are the moti- are not limited to: vating factors;

(1) Acceptance of a fee, compensation, (2) The acceptance of food and re- gift, payment of expense, or any other freshments of nominal value on in- thing of monetary value in circumstances

[ocr errors][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors][ocr errors]
[merged small][merged small][merged small][ocr errors][merged small][merged small]

in which acceptance may result in, or writing that is dependent on information create the appearance of, conflicts of obtained as a result of his Government interest;

employment, except when that informa(2) Outside employment which tends tion has been made available to the gento impair his mental or physical capacity eral public or will be made available on to perform his Government duties and request, or when the Secretary or his responsibilities in an acceptable manner; designee gives written authorization for

(3) Activities that may be construed the use of nonpublic information on the by the public to be the official acts of the basis that the use is in the public interest. Department;

(1) Each employee including the Sec(4) Activities that establish relation

retary, and including each full-time ships or property interests that may re- member of a committee, board, or comsult in a conflict between his private mission appointed by the President, shall interests and his official duties; and not receive compensation or anything of

(5) Employment that may involve the monetary value for any consultation, lecuse of information secured as a result

ture, discussion, writing, or appearance, of employment in the Department to the

the subject matter of which is devoted detriment of the Department or the substantially to the responsibilities, propublic interest, or that may give prefer

grams, or operations of the Department, ential treatment to any person, corpora- or which draws substantially on official tion, public agency, or group.

data or ideas which have not become part (b) An employee shall not receive any of the body of public information pursusalary or anything of monetary value

ant to the regulations in this part. from a private source as compensation

(2) An employee may use his name for his services to the Government (18

and title in connection with articles for U.S.C. 209).

publication which bear upon his work in (c) Full-time employees and part-time

the Department only if he obtains the employees with a regularly scheduled

approval of the appropriate deputy tour of duty must obtain the prior ap

counselor. proval of the appropriate deputy coun- (f) This section does not preclude an selor before engaging in outside employ

employee from: ment in the following categories:

(1) Participation in the activities of (1) Employment related to or similar

National or State political parties not to the substantive programs conducted

proscribed by law. by any part of the Department. This in

(2) Participation in the affairs of or cludes but is not limited to the broad fields of real estate, mortgage lending,

acceptance of an award for a meritorious property insurance, construction, con

public contribution or achievement given struction financing, and land and real

by a charitable, religious, professional, estate planning.

social, fraternal, nonprofit educational (2) Employment in the same profes

and recreational, public service, or civic sional field as that of the individual's

organization. official position.

$ 0.735-205

Financial interests.
(3) Employment with any person, firm,
or other private organization having

(a) An employee shall not:
business either directly or indirectly

(1) Have a direct or indirect financial with the Department.

interest that conflicts substantially, or (4) Employment by State, local, or

appears to conflict substantially, with his other governmental body.

Government duties and responsibilities. (d) No full-time employee or part

(2) Engage in, directly or indirectly, a time employee with a regularly scheduled

financial transaction as a result of, or tour of duty shall maintain a publicly

primarily relying on, information oblisted place of business without the prior

tained through his Government employapproval of the appropriate deputy

ment. counselor.

(3) Acquire securities issued by the (e) Employees are encouraged to en

Federal National Mortgage Association. gage in teaching, lecturing, and writing

(4) Acquire ownership of stock or that is not prohibited by law, Executive order, Civil Service Commission regula

other interest in a rental project financed

with an FHA insured mortgage as long tions, or this part. However, an employee shall not, either for or without compen

as the insurance is in force. sation, engage in teaching, lecturing, or

(5) Acquire ownership of FHA debentures or certificates of claim.

[ocr errors][ocr errors][ocr errors][merged small]
« PreviousContinue »