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ness, 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 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, articularly 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 0.735– 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 s 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 Employ

ment and Financial Interests $ 0.735–401 Employees required to sub

mit 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 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 $ 0.735– 401 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;

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(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 sub

mission 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. $ 0.735–406 Interests of employee's rel.

atives. 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. $ 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 invoiving grants of money from or contracts with the Goyernment 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 special Government employee who is reconfidentiality, the Civil Service Com- quired to file a statement. mission regulations provide that:

(c) The Secretary or his designee may

waive the provisions of this section for (1) The Department shall designate

the submission of a statement in the case which officials and employees are to re

of a special Government employee who view and retain the statements;

is not a consultant or an expert when (2) Officials and employees designated

the Department finds that the duties of under subparagraph (1) of this para

the position held by that special Governgraph are responsible for maintaining

ment employee are of a nature and at the statements in confidence and shall

such level of responsibility that the subnot allow access to, or allow information

mission of the statement by the incumto be disclosed from, a statement except

bent is not necessary to protect the integto carry out the purpose of this part; and

rity of the Government. For the purpose (3) The Department may not disclose information from a statement except as

of this paragraph, “consultant” and

"expert" have the meanings given those the Civil Service Commission or the Sec

terms by Chapter 304 of the Federal Perretary may determine for good cause

sonnel Manual. shown.

(d) A statement required to be sub(b) For the purpose of carrying out

mitted under this section shall be subthe provisions of paragraph (a) (1) of

mitted not later than the time of this section, the officials and employees

employment of the special Government who:

employee. Each special Government em(1) Review the statements are desig

ployee shall keep his statement current nated in $ 0.735–404 (c) and (d);

throughout his employment with the De(2) Retain the statements are the

partment by the submission of supplesame officials and employees who review

mentary statements. the statements.

APPENDIX-LIST OF POSITIONS SUBJECT TO $ 0.735–410 Effect of employee's state

SUBPART D ments on other requirements.

Officers and employees in the following poThe statements and supplementary

sitions are subject to the provisions of Substatements required of employees pur

part D of this part: suant to this part are in addition to, and

(a) Employees paid at a level of the Fednot in substitution for, or in derogation

eral Executive Salary Schedule established

by the Federal Executive Salary Act of 1964, of, any similar requirement imposed by

as amended, except the Secretary, who is sublaw, order, or regulation. The submission

Ject to separate reporting requirements unof a statement or supplementary state- der section 401 of Executive Order 11222; ment by an employee does not permit him (b) Employees in the following positions. or any other person to participate in a

OFFICE OF THE SECRETARY matter in which his or the other person's participation is prohibited by law, order,

Special Assistant to the Secretary.

Administrative Officer. or regulation.

Director, Inspection Division. $ 0.735-411 Specific provisions for spe

Deputy Director, Inspection Division. cial Government employees.

Director, Office of Equal Opportunity.

Executive Assistant to the Secretary. (a) Except as provided in paragraph Management Operations and Analysis Officer, (c) of this section each special Govern- Inspection Division. ment employee shall submit to the ap- Field Supervisory Investigators, Inspection propriate official specified in $ 0.735-404

Division. (c) or (d), Form HUD-844A (Revised),

Management Operations and Analysis Officer,

Inspection Division. Statement of Employment and Financial

Director, Office of Industry Participation. Interests. Each statement shall be for- Director, Office of Urban Technology and warded to the General Counsel of the

Research. Department for review and custody, ex

Assistant Director, Research and Planning

Control. cept that a special Government employee under the jurisdiction of a Regional Ad

AND FEDERAL HOUSING COMMISSIONER ministrator shall submit his statement to the Regional Administrator for review

Executive Assistant Commissioner.

Assistant Commissioner for Field Operations. and custody.

General Counsel. (b) The provisions of $ $ 0.735–407

Assistant Commissioner for Technical Standthrough 0.735–410 are applicable to a ards.

ASSISTANT

SECRETARY

FOR

MORTGAGE

CREDIT

Assistant Agency Counsel.

Agency Controller. Assistant Agency Controller. Agency Director of Examination and Audit. Assistant Agency Director of Examination

and Audit.

ASSISTANT SECRETARY FOR RENEWAL AND

HOUSING ASSISTANCE

Assistant Commissioner for Multifamily

Housing. Assistant Commissioner for Programs. Assistant Commissioner for Home Mortgages. Assistant Commissioner for Administration. Assistant Commissioner for Property Dis

position. Assistant Commissioner for Property Im

provement. Assistant Commissioner-Comptroller. Associate General Counsel. Regional Operations Commissioner, Region I. Regional Operations Commissioner, Region

III. Regional Operations Commissioner, Region

IV. Regional Operations Commissioner, Region

V. Regional Operations Commissioner, Region

VI. Deputy Assistant Commissioner for Techni

cal Standards. Deputy Assistant Commissioner for Programs. Deputy Assistant Commissioner for Multi

family Housing. Director, Project Mortgage Servicing Division. Director, Project Mortgage Insurance Divi

sion. Director, Architectural Division. Director of Compliance Coordination. Director, Audit Division. Director, Management Division. Supervisory Contract Specialist (Chief, Con

tracting Section). Director, Community Disposition Staff. Deputy Director, Community Disposition

Staff. Field Office Director, Community Disposition

Staff.
Field:
Director, New York Multifamily Housing

Insuring Office.
Director, Insuring Office.
Deputy Director, Insuring Office.
Assistant Director, Insuring Office.1
Assistant Director (Chief of Operations).1
Chief Underwriter.1
State Director (New York).
Assistant State Director.

Deputy Assistant Secretary for Renewal and

Housing Assistance. Deputy Assistant for Problems of the Elderly

and the Handicapped. Assistant to the Assistant Secretary for Prob

lems 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. Director, Neighborhood Programs Division. Director, Redevelopment Division. Director, Rehabilitation and Codes Division. Director, Program Management Division. Chief Counsel, Renewal Assistance Admin

istration. Assistant Director for Federal Agency Liaison.

Housing Assistance Administration Deputy Assistant Secretary for Housing

Assistance. General Deputy, Housing Assistance. Director, Tenant Services Division. Supply Management Officer, Tenant Services

Division.

ASSISTANT SECRETARY FOR METROPOLITAN

DEVELOPMENT

GOVERNMENT NATIONAL MORTGAGE ASSOCIATION

Executive Vice President.
Vice President.
Assistant Vice President.
Loan Manager.
Assistant Loan Manager,
General Counsel.
Secretary-Treasurer.
Assistant Secretary-Treasurer.
Controller.
Deputy Controller.
Director of Examination and Audit.
Assistant Director of Examination and Audit.
Field:

Agency Manager.
Assistant Agency Manager.
Deputy Assistant Manager.
Agency Counsel.

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. Director, New Systems Study Project. Land and Facilities Development

Administration Director, Land and Facilities Development

Administration. 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 Develop

ment. Director, Program Coordination and Field

Services Branch.

1 See $ 0.735 401(d).

Assistant Director, Contracts and Agreements

Division, Office of General Services. Director, Supply and Facilities Management

Division, Office of General Services. Assistant Director, Supply and Facilities

Management Division, Office of General
Services.

Office of Audit
Director, Office of Audit.
Deputy Director, Office of Audit.
Regional Audit Managers, Office of Audit.

REGIONAL OFFICES OF THE DEPARTMENT

Deputy Director, Program Field Services

Branch.
Director, Engineering Standards Staff.
Deputy Director for Finance Standards.

Urban Transportation Administration Director, Urban Transportation Administra

tion. Deputy Director, Urban Transportation

Administration. Director, Division of Demonstration Programs

and Studies. Director, Division of Project Development.

Plans, Program and Evaluation Staff Director, Plans, Program and Evaluation Staff. Office of Planning Standards and

Coordination Director, Division of Metropolitan Area

Analysis. Director, Division of Planning Standards. Director, Division of Planning Assistance. Urban Planner (Director, Metropolitan Pro

gram 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.

Regional Administrator.
Deputy Regional Administrator.
Director, Model Cities Staff.

Division of Administration
Assistant Regional Administrator for Admin-

istration. Director, General Services Branch.

Northwest Area Office, Seattle, Wash. Director, Northwest Area Office. Deputy Director, Northwest Area Office. Director, Metropolitan Development Division. Director, Housing Assistance Division. Chief, Administration Branch. Program Coordination and Services Division Assistant Regional Administrator for Pro

gram Coordination and Services. Director, Planning Branch. Director, Economic and Market Analysis

Branch. Director, Relocation Branch. Assistant Regional Administrator for FHA. Director, Project Review Branch. Director, Low-Income Housing and Rent Sup

plement Branch. Director of Zone Advisory and Technical Services.

Metropolitan Development Office Assistant Regional Administrator for Metro

politan Development. Deputy Assistant Regional Administrator for

Metropolitan Development.
Director, Program Field Service Division.
Chief, Engineering Branch.

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 Development Division.
Chief, Land 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.

ASSISTANT SECRETARY FOR ADMINISTRATION

Deputy Assistant Secretary for Administration.

Financial Systems and Services Director, Financial Systems and Services.

Office of General Services Director, Office of General Services. Deputy Director, Office of General Services. Director, Contracts and Agreements Division,

Office of General Services.

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