The STANDARDS of CONDUCT SYSTEM - PowerPoint PPT Presentation

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  3. PRODUCERS/INSTRUCTORS CREDITS PROPS Erin Allen Debbie Holland Ray Dunlap Bill Daley Ken McDonald Barbara Coen Maureen Villarreal Bill Cerbone TECHNICAL ADVISORS SOUND EDITOR Allyssa Wheaton-Rodriguez Bill Loftus Chris Kinnear PRODUCTION DESIGN Vickie Spinks

  4. Helen R. Kanovsky, General Counsel • Bill Daley, Regional Counsel • Associate Regional Counsels for Ethics: Ken McDonald, Barbara Coen, Maureen Villarreal, and Bill Cerbone Office of General Counsel

  5. Criminal Conflicts of Interest • Financial – 18 U.S.C. § 208 • Employees can’t participate in matters affecting • their personal financial interests • Or fin. interests of spouse, minor children, gen. partners, organizations in which employee is serving as officer, director, or employee • -For example, you can’t evaluate the bid of a spouse to do mowing at HUD properties. • Or fin. interests of anyone employee is negotiating with for employment

  6. Representational – 18 U.S.C. §§ 203 & 205 • Limit representational activities by employees before federal agencies/courts • Can represent self or immed. family before fed. agencies/courts (w/approval) • Post Employment – 18 U.S.C. §207 • Can’t represent new employer on previous HUD work (lifetime ban) • Can’t represent new employer on previous HUD work supervised (2 years) Criminal Conflicts of Interest

  7. Post employment - Procurement Integrity • Entity w/HUD contract over $10M offers job to HUD employee • Hatch Act – Political do’s & don’ts • Don’t personally engage in fundraising • Don’t put up partisan campaign posters in the workplace • U.S. Office of Special Counsel enforces the Hatch Act ( • The HUD Reform Act of 1989 • Don’t disclose info in applications for HUD funds prior to funding decision • Anti-lobbying Restrictions – 18 U.S.C. § 1913 • Employees can’t lobby Congress using appropriated funds • Don’t write your Congressman on HUD equipment Important Statutes & Regulations

  8. Travel-related Rules & Regulations • Government credit card can only be used for HUD travel • Communications with Registered Lobbyists about Recovery Act Funds • If receive a communication about Recovery Act matters, ask if the communication is from a federally registered lobbyist.  • If it is, then certain restrictions apply and the communications must be documented in a particular manner. • Offer to Fund Travel From Non-Federal Sources • Is a gift to the Department and not the employee • Must be approved by General Counsel & the Deputy Secretary Important Statutes & Regulations

  9. Government-wide Standards of Ethical Conduct – 5 C.F.R. Part 2635 • Gifts from outside sources • Don’t accept gifts from someone who does business with • HUD unless the gift fits within one of the exceptions to the • “no gift “rule • If don’t know what a gift is worth, need to find out • If you wouldn’t take it if a TV crew was watching, don’t take it • Gifts between employees • Don’t give gifts to supervisor unless the gift fits within • one of the exceptions to the “no gift “rule

  10. Government-Wide Standards of Ethical Conduct5 C.F.R. Part 2635 • Impartiality in official duties • Can’t prefer one private entity over another • For example, don’t recommend a particular law firm • or CPA • Misuse of Position • Can’t use federal position to benefit yourself or • someone else • For example, don’t ask for relative to be moved up on • Section 8 waiting list. • Outside Employment/Activities (Paid or Volunteer) • Can’t conflict with official position • Can swing a hammer for an organization receiving • HUD funds, but can’t sit on board.

  11. HUD Standards of Ethical Conduct 5 C.F.R. Part 7501 • Prohibited Outside Activities • REAL ESTATE BUSINESS ACTIVITY • Employee may not actively participate in real estate business • For example, cannot gather information about visitors to a • model home for a realty company • INVESTMENTS • HUD-related investments restricted for employee, spouse • and minor child • For example, cannot own FNMA or FHLMC securities

  12. HUD Mortgage Insurance • Insurance only on the employee's principal residence and, under very limited circumstances, one other single family residence • Buying HUD Owned Homes • Restrictions are set out in HUD Housing Notice 05-10 • If employee is eligible, may only be purchased for use as the employee’s principal residence HUD Standards of Ethical Conduct

  13. Prior Approval Requirement for Certain Paid or Unpaid Employment • Employment in same professional field as HUD position (for example, a HUD lawyer writing a will) • Employment with organization which directly or indirectly receives HUD assistance • Employment with a state or local government HUD Standards of Ethical Conduct

  14. Contest Coming! Fun during ethics training??? Priceless

  15. WARNING Everyone in the illustrations is a HUD employee unless the slide or I tell you otherwise.

  16. It's a tough month for two supervisors. Rudolph is in the hospital for a nose job, and Snowman is melting under the pressure of deadlines. Under the ethics rules: (a) The employees are limited to spending $10 apiece for get well gifts for Rudolph; (b) The employees are limited to spending $20 apiece for get well gifts for Rudolph; (c) The employees can "pool" funds to buy Snowman a gift for Boss's day; (d) Both (a) and (c); (e) None of the above. Illustration

  17. The answer is (e). There is no limit on gifts for special, infrequent occasions such as hospitalizations, marriages, births, adoptions or retirement. Employees should not pool funds for a gift for Boss’s day. Answer

  18. Bret Fahre got an offer to work for Viking Homes when visiting Greenbey, one of its HUD projects. He turned it down, but had second thoughts and has called Viking to explore their offer. Under the ethics rules: (a) Bret can work on Viking projects until Viking gives him a firm offer; (b) Bret should notify his supervisor that he needs to be recused from Viking work; (c) Bret can supervise an employee working on Viking projects, but cannot do direct work on Viking matters; (d) Bret cannot ever work for Viking; (e) None of the above. Illustration

  19. The answer is (b). An employee should not touch matters pertaining to anyone with whom they are discussing possible employment. Bret’s supervisor needs to “intercept” any Viking matters. Answer

  20. Pilgrim inherited a beat up house in Plymouth Rock. He plans to fix up this turkey while continuing to rent it to the current tenant, Hee Gobbles. Under the ethics rules: (a) Pilgrim can continue to rent the property to Hee Gobbles even if he is a Section 8 tenant; (b) Pilgrim can continue to rent the property to Hee Gobbles only if he is not a Section 8 tenant; (c) Pilgrim's goose is cooked unless he immediately sells the property, because he would be in a real estate business; (d) None of the above. Illustration

  21. The answer is (a). As a general rule, a HUD employee cannot receive Section 8 as a landlord. There are a few exceptions, such as where an employee inherits a property which already has a Section 8 tenant. However, when that tenant moves out, a new Section 8 tenant cannot move in. Answer

  22. Walter Melon has been approached by Kantee Lope Bank about putting on a joint event about FHA home loans. They think it will be a “juicy” event which will “produce”good results. Under HUD's rules: (a) HUD can co-sponsor this event if Kantee charges no fee for participants; (b) HUD can co-sponsor this event if the registration fee will only cover Kantee's expenses; (c) HUD can co-sponsor this event if it "pairs" up with a nonprofit instead; (d) HUD can co-sponsor this event if both Kantee and a nonprofit participate and there is no registration fee; (e) both (c) and (d). ILLUSTRATION

  23. The answer is (c). HUD's policy on co-sponsoring events indicates we will not co-sponsor an event with a "for profit" entity. ANSWER

  24. Gecko, a paralegal in OGC, has been doing bookkeeping for Caveman, Inc. and for a city while off duty. Under the ethics rules: (a) Gecko needs ethics approval for the Caveman work, but not the city work; (b) Gecko needs ethics approval for the city work, but not the Caveman work; (c) Gecko needs ethics approval for both jobs; (d) Gecko does not need ethics approval for either job. ILLUSTRATION

  25. The answer is (b). Employees need prior approval to work for a local or state government. He would need approval for both jobs if he was a HUD accountant. answer

  26. FurrAball is a volunteer for Puppy, Inc. a non-profit organization. Puppy wants to apply to the DOD to convert an old army building into an animal shelter. Under the ethics rules: (a) Furr can sign the application on behalf of Puppy; (b) Furr can't advocate for Puppy with the DOD, but can work at the shelter; (c) Furr can't communicate with the DOD, and must immediately sever all ties with Puppy; (d) Furr can't put a notice on HUD's bulletin board about adopting animals from Puppy. ILLUSTRATION

  27. The answer is (b). Criminal statutes limit representational activities by government employees before federal departments, agencies, and courts. Accordingly, Furr cannot represent Puppy before the DOD, either in person or by written communication which she signs. ANSWER ALERT: Furr can represent herself or her family before the federal government (w/approval).

  28. Barbie convinced her co-workers to select Matell to provide software to HUD. Barbie's husband, Ken, works for Matell and gets commissions from sales to HUD. Barbie lied to her supervisors about the date Ken began working for Matell and sent an internal HUD email to Ken about a possible sale to HUD. (a) Barbie may be criminally prosecuted for a felony conflict of interest under 18 USC 208; (b) Barbie may be criminally prosecuted for wire fraud; (c) Barbie may be criminally prosecuted for making a false statement to HUD; (d) all of the above; (e) both (a) and (c), but not (b). ILLUSTRATION

  29. The answer is (d). This example was based loosely on an actual criminal case. ANSWER

  30. Cindy Lou, a new employee at the Whoville office, went last night to a gathering hosted by the Grinch Housing Authority. The Whobeast dinner was valued at $25, and she was given a $10 mug and a $5 pen which she wants to keep. Under the ethics rules: (a) Cindy must pay the HA $40; (b) Cindy must pay the HA $30; (c) Cindy must pay the HA $25; (d) Cindy must pay the HA $20; (e) Cindy needs to pay nothing. ILLUSTRATION

  31. The answer is (c). You can't accept a gift over the limit by paying part of its value. She can keep the mug and pen, because they are under the $20 limit for a single occasion (assuming she hasn't received other gifts this calendar year over $30 total from the Grinch). ANSWER

  32. The following are true/false questions. Both sides will simultaneously have a chance to answer them (the spokespersons should hold up their answer when I say to). Note that high level HUD employees may have different Hatch Act restrictions than those mentioned today. HATCH ACT QUESTIONS

  33. Eagar Beever can display a bumper sticker on his car for a Senate candidate. True or false VOTE FOR SENATOR

  34. TRUE, but if Eagar takes his car on a HUD trip, he should cover up the bumper sticker. ANSWER

  35. While off-duty, Bruce Moose can address a political convention in support of a candidate for governor. TRUE OR FALSE

  36. True. Off-duty employees can make campaign speeches so long as the employees do no fundraising as a part of the speech, the speech is not on federal property, and the employee is not wearing anything referring to HUD. answer

  37. Survay, who works in Multifamily Housing, can accept an appointment to the local zoning board. True or false

  38. FALSE. There is too much of a potential for conflict with HUD here. ANSWER

  39. Tommy Tortoise can go door to door in his neighborhood asking people to vote for A. Hare, a candidate for the State House. TRUE OR FALSE

  40. TRUE, but he should not be wearing anything with a HUD logo. answer

  41. Bukworm can run for a seat on the local library board since none of the candidates are affiliated with a political party. TRUE OR FALSE

  42. TRUE, the Hatch Act permits this. However, Bukworm must notify Regional Counsel and obtain written approval before running, because this is required by a HUD regulation. answer


  44. Cliff works in a big HUD office. His wife, Clare Uxtable, has a daycare business called Rug Rats R Us. Under the rules: (a) Cliff can send email to all employees in his office offering them a discount; (b) Cliff can post a Rug Rats flyer on the bulletin board listing his work extension; (c) Cliff can use the HUD fax machine to send a one page billing notice to a parent; (d) Cliff can send a one page billing notice via email to a parent during a break; (e) None of the above. ILLUSTRATION RUGRATS R US DAY CARE

  45. The answer is (e). HUD equipment cannot be used for an outside business, even on a limited basis. A bulletin board notice should list only non-work phone numbers and addresses. ANSWER

  46. LepRakaun Homes Company asks Lucky Lou to provide a letter of recommendation to Pot of Gold Bank for a non-HUD project. Lou worked with LepRakaun on some HUD projects. Under the ethics rules: (a) Lou can't provide a recommendation for the company; (b) Lou can provide the letter on HUD letterhead using his HUD title; (c) Lou can provide the letter without using HUD letterhead or his HUD title; (d) Lou can provide a verbal recommendation; (e) Both (c) and (d). ILLUSTRATION

  47. The answer is (a). With certain exceptions, an employee cannot use his Government position to endorse any product, service or business. If you get a request for a recommendation for an individual, please contact our office for ethics advice. ANSWER

  48. Conan supervised Lenno from 2006-2008 on a project called “NBeeC “owned by Foxy. Conan never directly touched anything pertaining to Foxy for HUD. Under the ethics rules can Conan go to work in 2010 for Foxy and act as Foxy's representative to HUD on NBeeC? ILLUSTRATION

  49. Yes, because Conan never worked on “NBeeC” and did not supervise Leno during his last year at HUD. A former supervisor, for two years after leaving HUD, cannot communicate to a federal agency on behalf of a new employer on a matter which was under his supervision during his last year at HUD. answer

  50. Poe Tato, a new HUD employee, is in a stew. She has received an invitation to an evening dinner honoring a local housing authority official and doesn't know if she can go. Under the ethics rules: (a) She can attend only if she doesn't eat the $20 steak dinner; (b) She can go only if she pays the cost of the dinner; (c) She can attend and eat the dinner and pay nothing; (d) She must turn down the invitation. ILLUSTRATION