A special Government employee shall not use his Government employment to coerce, or give the appearance of coercing, 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 pro visions. (a) Each special Government employee is subject to the provisions of §§ 0.735-201, 0.735-206 through 0.735210, 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. 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: 99-146-69——2 (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 conflicts-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 grievance 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 paragraph (b) of § 0.735401 may be excluded from the reporting requirement when the Department 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. § 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 officials designated in paragraphs (c) and (d) 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) Employees reporting directly to the Secretary shall submit their statements directly to the Secretary for review; employees reporting directly to the Under Secretary shall submit their statements directly to the Under Secretary for review. (d) Employees under the jurisdiction of Assistant Secretaries, the General Counsel of the Department, the President of FNMA, or the Regional Administrators shall submit their statements directly to the appropriate Assistant Secretary, the General Counsel of the Department, the President of FNMA, or the Regional Administrator for review. § 0.735-405 Supplementary statements. (a) Changes in, or additions to, the information contained in an employee's statement shall be reported to the appropriate reviewing official as described in § 0.735-404 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. 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 employ ees' statements. (a) Each statement of employment and financial interests, and each supplementary statement, shall be held in confi dence 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 officials and employees who: (1) Review the statements are designated in § 0.735-404 (c) and (d); (2) Retain the statements are the same officials and employees who review the statements. § 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 appropriate official specified in § 0.735-404 (c) or (d), Form HUD-844A (Revised), Statement of Employment and Financial Interests. Each statement shall be forwarded to the General Counsel of the Department for review and custody, except that a special Government employee under the jurisdiction of a Regional Administrator shall submit his statement to the Regional Administrator for review and custody. (b) The provisions of 88 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. Each special Government employee shall keep his statement current throughout his employment with the Department by the submission of supplementary statements. 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: (a) Employees paid at a level of the Federal Executive Salary Schedule established by the Federal Executive Salary Act of 1964, as amended, except the Secretary, who is subject to separate reporting requirements under section 401 of Executive Order 11222; (b) Employees in the following positions. OFFICE OF THE SECRETARY Special Assistant to the Secretary. Director, Inspection Division. Deputy Director, Inspection Division. Management Operations and Analysis Officer, Field Supervisory Investigators, Inspection Division. Management Operations and Analysis Officer, Inspection Division. Director, Office of Industry Participation. Director, Office of Urban Technology and Research. Assistant Director, Research and Planning ASSISTANT SECRETARY FOR MORTGAGE CREDIT Assistant Commissioner for Technical Standards. Assistant Agency Counsel. Assistant Agency Controller. Agency Director of Examination and Audit. Assistant Agency Director of Examination and Audit. ASSISTANT SECRETARY FOR RENEWAL AND Deputy Assistant Secretary for Renewal and Deputy Assistant for Problems of the Elderly and the Handicapped. Assistant to the Assistant Secretary for Problems of the Elderly and the Handicapped. Director, Program Development Division. Director, Office of Community Development. Director, Relocation Staff. Director, Plans, Programs and Evaluation Staff. Director, Operational Services Division. Renewal Assistance Administration Deputy Assistant Secretary for Renewal Assistance. General Deputy, Renewal Assistance. Assistant Director for Federal Agency Liaison. Housing Assistance Administration Deputy Assistant Secretary for Housing General Deputy, Housing Assistance. Supply Management Officer, Tenant Services ASSISTANT SECRETARY FOR METROPOLITAN DEVELOPMENT Deputy Assistant Secretary for Metropolitan Development. Director of Intergovernmental Relations and Planning Assistance. Director of Land and Facilities Development Administration. Director, Division of Project Development. Land and Facilities Development Director, Land and Facilities Development General Deputy, Land and Facilities Develop ment Administration. Director, Division of Public Facilities. Deputy Director, Division of Public Facilities. Chief, Field Services Branch. Director, Division of Land Development. Deputy Director, Division of Land Development. Director, Program Coordination and Field Services Branch. Director, Division of Planning Standards. Director, Division of Planning Assistance. Urban Planner (Director, Metropolitan Program Branch). Supervisory Urban Planner, State and Local Program Branch. Office of Intergovernmental Relations and Planning Assistance Director, Intergovernmental Relations and Planning Assistance. Assistant Director, Division of State and Local Relations. Director, Division of Urban Manpower Development. Director of Clearinghouse Services. ASSISTANT SECRETARY FOR MODEL CITIES AND GOVERNMENTAL RELATIONS Deputy Assistant Secretary for Model Cities and Governmental Relations. Model Cities Administration Director, Model Cities Administration. Director, Division of Program Development and Evaluation. Director, Division of Program Operations and Technical Assistance. Staff Director, Neighborhood Centers Staff. Federal Relations Staff Director, Federal Relations Staff. Defense Planning Staff Director, Defense Planning Staff. ASSISTANT SECRETARY FOR ADMINISTRATION Deputy Assistant Secretary for Administration. Financial Systems and Services Director, Office of General Services. Assistant Director, Contracts and Agreements Assistant Director, Supply and Facilities Office of Audit Director, Office of Audit. Deputy Director, Office of Audit. Regional Audit Managers, Office of Audit. REGIONAL OFFICES OF THE DEPARTMENT Regional Administrator. Deputy Regional Administrator. Director, Model Cities Staff. Division of Administration Assistant Regional Administrator for Administration. Director, General Services Branch. Northwest Area Office, Seattle, Wash. Program Coordination and Services Division Director, Relocation Branch. Assistant Regional Administrator for FHA. Director, Project Review Branch. Director, Low-Income Housing and Rent Supplement Branch. Director of Zone Advisory and Technical Services. Metropolitan Development Office Assistant Regional Administrator for Metropolitan Development. Deputy Assistant Regional Administrator for Director, Program Field Service Division. Housing Assistance Office Assistant Regional Administrator for Housing Assistance. Deputy Assistant Regional Administrator for Housing Assistance. Chief, College Housing Loans Branch. Chief, Elderly Housing Loans Branch. Director, Housing Management Division. Renewal Assistance Office Assistant Regional Administrator for Renewal Assistance. Deputy Assistant Regional Administrator for Renewal Assistance. Director, Field Service Division. Neighborhood Facilities Program Director. |