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designation through the Department's (b) Every special Government emgrievance procedures.
ployee should become familiar with
the statutes listed at $0.735.212. $ 0.735–304 Reporting and review requirements.
8 0.735–402 Outside employment, activities (a) Confidential statements of em
and financial interests. ployment and financial interest and (a) Special Government employees supplementary statements:
may not engage in outside employ(1) Shall be submitted on forms pre- ment and activities or have financial scribed by the Department Counselor; interests that conflict with the respon
(2) Shall contain information re- sibilities and duties of Federal employquired by the Department Counselor ment. However, because special Govregarding the employment back- ernment employees usually are emground and financial interests of the ployed outside the Department, they employee, the employee's spouse and may engage in employment or activifamily members, and
ties prohibited other Federal employ(3) Shall be submitted at the times ees under $0.735-203 when there is no and places designated by the Depart- actual conflict of interest. Special ment Counselor.
Government employees may also have (b) Notwithstanding paragraph (a) financial interests prohibited other of this section, the Department Coun- Federal employees under $ 0.735selor shall not require reporting of in- 204(a)(1) through (a)(5) when there is formation relating to the interests of no actual conflict of interest. an employee, or his or her spouse and (b) Notwithstanding the provisions family members, in professional asso
of paragraph (a) of this section, a speciations or charitable, religious, social, cial Government employee may not difraternal, recreational, public service,
rectly or indirectly seek or receive civic, or political organizations or simi
compensation for services rendered by lar organizations not conducted as
himself, herself or others in connecbusiness enterprises.
tion with any proceeding, application, (c) The appropriate Deputy Counsel
request for ruling, contract, claim or or shall review and retain employees'
other particular matter in which the statements and shall advise employees
United States is a party or has a direct as to corrective action if necessary.
and substantial interest and: 80.735–305 Confidentiality of employees'
(1) Which is before any Federal or statements.
District of Columbia department or
agency and in which he or she particiTo insure the confidentiality of
pated personally and substantially for statements filed under $ 0.735-302, the
the Government, or appropriate Deputy Counselors shall
(2) Which is pending before the Denot allow access to, or allow informa
partment, provided that a special Govtion to be disclosed from, statements
ernment employee who has served in except as the Office of Personnel
the Department no more than 60 days Management or the Department
in the previous 365 days shall be Counselor may determine for good
bound only as to a matter in which he cause shown.
or she participated personally and sub
stantially (18 U.S.C. 203). Subpart D-Conduct and Responsibil
(c) Notwithstanding the provisions ities of Special Government Em
of paragraph (a) of this section, a speployees
cial Government employee may not
act, with or without compensation, as 8 0.735–401 Applicable provisions.
an agent or attorney for another in (a) Every special Government em- prosecuting a claim against the United ployee is subject to the provisions of States, or in connection with any pro$$ 0.735-101 through 0.735-106, 0.735- ceeding, application, request for 201, 0.735-202, 0.735-204(d), 0.735-205 ruling, contract or other particular through 0.735-210.
matter in which the United States is a party or has a direct and substantial lar or occasional basis, but only on interest, and
days in which service is rendered and (1) Which is before any Federal or then for the entire 24 hours of such District of Columbia department, service day. agency or court and in which he or she participated personally and substan
8 0.735–404 Financial reporting. tially for the Government, or
(a) Special Government employees (2) Which is pending before the De- who will work more than 60 days in a partment, provided that this clause
calendar year must submit public fishall not apply in the case of a special nancial disclosure reports in accordGovernment employee who has served
ance with the provisions of title Il of in the Department no more than 60
the Ethics in Government Act of 1978 days in the previous 365 days (18 when their rate of pay is equal to or U.S.C. 205).
greater than the basic rate for GS-16, (d) Permissible exceptions to the
Step 1. Such employees are covered by prohibitions set forth in paragraphs the reporting requirements at 5 CFR (b) and (c) of this section include:
part 734. (1) Representation without compen- (b) All special Government employ. sation in connection with a discipli
ees not required to file under paranary, loyalty, or personnel proceeding: graph (a) of this section shall submit
(2) Representation with or without Confidential Statements of Employcompensation of parents, spouse, ment and Financial Interests and supchild, and those to whom the employ. plementary statements to the appra ee owes a fiduciary duty except in priate Deputy Counselor for review those matters in which the employee and custody. has participated personally and sub
(c) The provisions of $80.735-304 stantially as a Government employee and 0.735-305 are applicable to a speor which are the subject of his official
cial Government employee who is reresponsibility; and
quired to file a statement under para(3) Statements required to be made
graph (b) of this section. under penalty for perjury or contempt.
8 0.735–405 Post employment restrictions. (e) A special Government employee
All special Government employees seeking to engage in one of the excepted activities should consult in advance
are bound by the restrictions concernwith a Deputy Counselor.
ing post employment set forth in (f) The Secretary may allow a spe
$ 0.735-501 (a) and (b) and are subject cial Government employee to repre
to the provisions regarding disciplisent his or her regular employer or an.
nary proceedings set forth in subpart other person or organization before
E. However, the restrictions set forth the Department in the performance of
in $0.735-501 (c) and (d) apply only to work under a grant or a contract. The
special Government employees who Secretary must first certify in the FED
serve as Senior Employees, as defined ERAL REGISTER that such representa
in 5 CFR 737.3(a)(6), over sixty days in tion is in the national interest. (18
any calendar year. The exception to U.S.C. 205).
the post employment restrictions set (g) The prohibitions set forth in
forth in $0.735-501(f) for former emparagraphs (b) and (c) of this section
ployees employed by an Indian tribe are in addition to any other restric
also apply to former special Governtions contained in this subpart and do
ment employees. not permit any activities which are otherwise prohibited.
Subpart Conduct and Responsibil
ities of Former Employees 8 0.735–403 Political activities. Special Government employees are
80.735–501 Prohibited activities by former bound by the political activity restric
employees. tions cited in $ 0.735-211. Such restric- (a) No former employee, after termitions also apply to a special Govern nating Government employment, shall ment employee engaged on an irregu- knowingly act as agent or attorney for,
or otherwise represent another in any partment, or in which it has a direct formal or informal appearance before, and substantial interest. or with the intent to influence, make (e) The prohibitions set forth in any oral or written communication on paragraphs (a) through (d) of this secbehalf of another to, any agency, em- tion will be applied in accordance with ployee or court of the United States or
regulations of the Office of Governthe District of Columbia, in connec- ment Ethics as set forth in 5 CFR part tion with any particular Government 737. matter involving a specific party, 'in (f) The prohibitions in paragraphs which matter such employee partici- (a) through (d) of this section do not pated personally and substantially as a
bar a former employee employed by Department employee.
an Indian tribe from representing the (b) No former employee, within two
tribe in connection with any matter years after terminating employment
pending before any Federal departby the United States, shall knowingly
ment, agency, court or commission. act as agent or attorney for, or other
However, a former employee who inwise represent another in any formal
tends to engage in representational acor informal appearance before, or with tivities must advise the head of the dethe intent to influence, make any oral
partment, agency, court, or commisor written communication on behalf of
sion, in writing, of any personal and another to, any agency, employee or substantial involvement he or she may court of the United States or the Dis
have had as a federal employee in the trict of Columbia, in connection with
matter (25 U.S.C. 450i(f)). any particular Government matter involving a specific party, if such matter 8 0.735-502 Disciplinary action. was actually pending under the employee's official responsibility as an of
(a) Disciplinary action may be taken
against any former Department emficer or employee within a period of
ployee or special Government employone year prior to the termination of such responsibility.
ee (hereafter referred to as former em(c) No former Senior Employee, as
ployee) found under this subpart to
have violated the post employment redefined in 5 CFR 737.3(a)(6), within
strictions set forth in $$ 0.735-405 and two years after terminating employment by the United States, shall
0.735-501 of this part. knowingly represent or aid, counsel,
(b) The Department Counselor or a advise, consult, or assist in represent
Deputy Counselor may initiate disciing another by personal presence at
plinary proceedings. For purposes of any formal or informal appearance
this subpart, such an official is rebefore any agency, employee or court
ferred to as an Initiating Official. of the United States or the District of (c) Disciplinary action may consist Columbia, in connection with any particular Government matter involving a (1) Prohibiting the former employee specific party, in which matter he or from making, on behalf of another, she participated personally and sub- except the United States, any informal stantially.
or formal appearance before, or with (d) For a period of one year after the intent to influence, any oral or terminating employment by the
written communication to the DepartUnited States, no former Senior Em- ment, on any matter of business for a ployee shall knowingly act as an agent period not to exceed five years. This or attorney for, or otherwise repre
prohibition may be accomplished by sent, anyone in a formal or informal directing Department personnel to appearance before, or with the intent refuse to participate in any such apto influence, make any written or oral pearance or to accept any such comcommunication on behalf of anyone, munication; or to the Department or any of its offi.
(2) Other appropriate disciplinary cers or employees, in connection with actions, including but not limited to: any particular Government matter, (i) Prohibiting, for a definite period whether or not involving a specific of not more than five years, the party, which is pending before the De- former employee from any representa
tional activity in connection with a ticipated in any manner in the decispecific office in the Department, or sion to initiate disciplinary action. with a specific matter, in which the employee had an interest;
8 0.735-504 Notice. (ii) Issuing a letter of warning to the (a) The Initiating Official shall former employee.
notify the former employee of the pro
posed disciplinary action in writing, by 8 0.735–503 Initiating disciplinary pro
registered or certified mail, return receedings.
ceipt requested, or by any other means (a) The Initiating Official, upon re- which gives actual notice or is reasonceiving information indicating grounds ably calculated to give actual notice. for disciplinary action, shall request
(b) The Notice shall include: that the Office of the Inspector Gen
(1) A statement of allegations and eral conduct an investigation and
the basis thereof sufficiently detailed report all relevant investigative find
to enable the former employee to preings back to the Initiating Official.
pare an adequate defense; (b) The Inspector General shall co
(2) A statement that the former emordinate all investigations under this subpart with the Department of Jus- right to counsel if he or she requests a
ployee is entitled to a hearing with a tice as appropriate.
(c) All investigations under this sub- hearing within 15 days after receiving part shall be conducted in a manner
the notice; which protects the privacy of former
(3) A statement explaining the employees. To the extent possible, in
method by which a hearing may be reformation received as a result of the quested including the name, business Inspector General's investigation shall address, and telephone number of the remain confidential except as neces- person to be contacted if there are fur. sary to carry out the purposes of this ther questions; subpart.
(4) A statement explaining the right (d) After the Inspector General re- to submit documentary evidence and a ports the facts of the investigation to report to the hearing officer if a hear. the Initiating Official, the Initiating ing is not requested and the method Official shall determine either:
by which evidence may be submitted; (1) That there is reasonable cause to and believe that a violation has occurred, (5) The disciplinary action proposed. in which event the Initiating Official shall expeditiously provide all relevant 8 0.735-505 Hearings. information, along with any comments or agency regulations, to the Director
(a) Formal rules of evidence and proof the Office of Government Ethics
cedure applicable to a proceeding in a (OGE); in addition, the Initiating Offi
court of law will not be applied. Parcial shall commence disciplinary
ties may object to clearly irrelevant action against the former employee by material, but technical objections to serving notice in accordance with testimony as used in a court of law will $ 0.735-504; or
not be sustained. (2) That there is no reasonable basis (b) A former employee, against for believing that a violation has oc- whom disciplinary action is proposed, curred, in which event the Initiating
is entitled to a hearing upon a written Official shall advise the former em- request submitted to the hearing offiployee and the Inspector General's cer within 15 days after the former office of that determination.
employee receives notice as set forth (e) In the event disciplinary action is in $ 0.735-504. If no timely request is ! initiated, the Department Counselor made, the hearing officer may proceed shall promptly appoint an impartial under $0.735-506 to make a decision hearing officer who shall be a member without a hearing. of the HUD Board of Contract Ap- (c) An attorney from the Depart peals or an Administrative Law Judge. ment's legal staff shall represent the The hearing officer shall not have par Department in the matter.
(d) The hearing shall be conducted evidence and reports received prior to at a reasonable time, date, and place the decision. as set by the hearing officer.
(1) In setting a hearing date, the 8 0.735-507 Appeals. hearing officer shall give due regard to
(a) The former employee may appeal the former employee's need for ade
the hearing officer's decision finding a quate time to prepare a defense and to
violation of the post-employment rean expeditious resolution of allegations that may be damaging to the
strictions, as set forth in $$ 0.735-405
and 0.735-501 of this part, to the Secformer employee's reputation. (2) Notice of the time, date, and
retary by making a written request place of such hearing shall be trans
within 20 days of the decision. mitted in writing to all interested par
(b) Upon receiving an appeal, the ties by the hearing officer and shall Secretary or his or her designee shall include a statement indicating the
review the decision of the hearing offinature of the proceedings and their cer. The decision of the Secretary or purpose.
designee shall be based solely on: (e) At a hearing, the former employ- (1) The record of the proceedings if ee shall have the right to:
there has been a hearing; (1) Represent himself or herself or
(2) The record upon which the hear. be represented by counsel;
ing officer made his or her decision if (2) Introduce and examine witnesses there has not been a hearing; or and submit relevant evidence;
(3) Those portions of the record (3) Confront and cross-examine ad
cited by the parties to limit the issues. verse witnesses;
(c) If the decision of the hearing of. (4) Present oral argument; and
ficer is modified or reversed, the deci. (5) Receive a transcript or recording of the proceedings, upon request.
sion by the Secretary or designee shall (f) In a hearing, the Department has
state any findings of fact or concluthe burden of proof and must estab
sions of law which differ from the lish substantial evidence of a violation.
findings or conclusions of the hearing (g) The hearing officer shall make a officer. determination based exclusively on matters of record in the proceeding
8 0.735-508 Sanctions. and shall set forth in the decision all Disciplinary action may be imposed findings of fact and conclusions of law by the hearing officer if there was no relevant to the matters at issue.
appeal, or by the Secretary or his or
her designee if there was an appeal, $ 0.735_506 Decision without a hearing.
against a former government employ(a) If no hearing is requested under ee found to have violated the post-em. $0.735-505(b), the hearing officer ployment restrictions set forth in shall make a decision on the basis of evidence submitted under paragraph The sanctions shall not exceed those
$80.735-405 and 0.735-501 of this part. (b) of this section. The proposed disci
proposed by the Initiating Official in plinary action shall be sustained upon
the notice which initiated the discipli& showing, by substantial evidence, of
nary action against the former emcause as specified in $0.735-502.
ployee. Notice shall be provided to all interested parties stating the findings of fact
8 0.735-509 Judicial review. and conclusions of law, the sanctions to be imposed if a violation has been Any person found to have violated found, and the procedure for filing an the post-employment restrictions set appeal to the Secretary.
forth in 88 0.735-405 and 0.735-501 of (b) If no hearing is requested, the this part, may seek judicial review of former employee and the Initiating the Department's final administrative Official may submit relevant informa- determination. tion and reports on their behalf to the hearing officer. In making a decision the hearing officer shall consider all