Page images
PDF
EPUB

as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties. For the purpose of this section, "inside information" means information obtained under Corporation authority which has not become part of the body of public information.

(b) A special Corporation employee may teach, lecture, or write in a manner not inconsistent with $ 336.735–12(d) in regard to employees. $ 336.735–23 Coercion.

A special Corporation employee shall not use his Corporation 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. § 336.735–24 Gifts, entertainment, and

favors. (a) Except as provided in paragraph (b) of this section, a special Corporation employee, while so employed or in connection with his employment, shall not receive or solicit from a person having business with this Corporation anything of 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) Exemptions to paragraph (a) of this section are the same as those authorized to employees under $ 336.735–11(b). § 336.735–25 Miscellaneous statutory

provisions. Each special Corporation employee shall acquaint himself with each statute that relates to his ethical and other conduct as a special Corporation employee of the Corporation and of the Government. In addition to the statutes cited in the body of the regulations in this part, the attention of each special Corporation employee is directed to the statutory provisions listed in § 336.735–19. Subpart D-Statements of Employ

ment and Financial Interests § 336.735–31 Employees required to

submit statements. Except as provided in $ 336.735–32, statements of employment and financial

interests will be filed by the following employees:

(a) Those paid at a level of the Executive Schedule in subchapter II of Chapter 53 of title 5, United States Code.

(b) Those receiving compensation equivalent to that prescribed under section 5332 of title 5, United States Code for grade GS-13 or above whose positions are specifically identified in appendix A to this part which are included by reason of meeting the following criteria:

(1) Positions the incumbents of which are responsible for making a Corporation decision or taking a Corporation action in regard to:

(i) Contracting or procurement;

(ii) Administering or monitoring grants or subsidies;

ii) Regulating or auditing private or other non-Federal enterprise; or

(iv) Other activities where the decision or action has an economic impact on the interests of any non-Federal enterprise.

(2) Positions which the Corporation determines require the incumbent to report employment and financial interests in order to carry out the purpose of law, Executive order, this part, and the Corporation's regulations.

(c) Alterations to (deletions from and other amendments of the list of positions in Appendix A to this part may be made under the criteria in paragraph (b) of this section and are effective upon approval by the Chairman of the Board and actual notification to the incumbents. Amendments to the list in appendix A to this part shall be submitted annually for publication in the FEDERAL REGISTER. [32 F.R. 13964, Oct. 7, 1967] 8 336.735–31a Employee's complaint on

filing requirement. An employee may complain to the Counselor designated in the regulations in this part that his position has been improperly included in the regulations in this part as one requiring the submission of a statement of employment and financial interests. When a complaint cannot be resolved or explained satisfactorily to the employee he shall be granted a review of the matter through the Corporation's grievance procedure. 132 F.R. 13964, Oct. 7, 1967]

§ 336.735–32 Employees not required

to submit statements. Employees subject to separate reporting requirements under section 401 of the Executive order. [32 F.R. 13964, Oct. 7, 1967) § 336.735–33 Time and place for sub

mission of employees' statements. An employee required to submit statements of employment and financial interest under $ 336.735–31 shall submit that statement to the Assistant to the Chairman of the Board of Directors not later than:

(a) Ninety days after the effective date of the agency regulations issued under this part if employed on or before that effective date; or

(b) Thirty days after his entrance on duty, but not earlier than ninety days after the effective date, if appointed after that effective date. § 336.735–34 Supplementary state

ments. Changes in, or addition to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement os of June 30 each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required by this section, each employee shall at all times 'avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of section 208 of title 18, United States Code, or Subpart B of this part. [32 F.R. 13964, Oct. 7, 1967] $ 336.735–35 Interests of employees'

relatives. 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 of the employee who are residents of the employee's household. $ 336.735–36 Information not known

by employees. If any information required to be included on a statement of employment and financial interests 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. § 336.735–37 Information prohibited.

This subpart does not require an employee to submit on a statement of employment and financial interests or supplementary statement any information relating to the employee's 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 rants of money from or contracts with the Government are deemed “business enterprises” and are required to be included in an employee's statement of employment and financial interests. § 336.735–38 Confidentiality of employ

ees' statements. The Corporation shall hold statements of employment and financial interest, and each supplementary statement, in confidence. All statements shall be received, reviewed, and retained in the office of the assistant to the Chairman of the Board of Directors who is 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 purposes of this part. The Corporation may not disclose information from a statement except as the Chairman of the Corporation or the Civil Service Commission may determine for good cause shown. [32 F.R. 13964, Oct. 7, 1967) $ 336.735–39 Effect of employees' state

ments on other requirements. The statements of employment and financial interests and supplementary statements required of employees 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 manner in which his or the other person's participation is prohibited by law, order, or regulation.

$ 336.735–40 Specific provisions of reg.

ulations for special Corporation em

ployees. (a) Except as provided in paragraph (b) of this section, each special Corporation employee shall submit a statement of employment and financial interests which reports:

(1) All other employment; and

(2) The financial interests of the special Corporation employee which the Corporation determines are relevant in the light of the duties he is to perform.

(b) The Chairman of the Corporation may waive the requirement in paragraph (a) of this section for the submission of a statement of employment and financial interests in the case of a special Corporation employee, who is not a consultant or an expert when the Chairman finds that the duties of the position held by that special Corporation employee are of a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Corporation. For the purpose of this paragraph, “consultant” and “expert” have the meanings given those terms by Chapter 304 of the Federal Personnel Manual, but do not include a physician, dentist, or allied medical specialist whose services are procured to provide care and service to patients.

(c) A statement of employment and financial interests required to be submitted under this section shall be submitted not later than the time of employment of the special Corporation employee. Each special Corporation employee shall keep his statement current throughout his employment with the Corporation by the submission of sup.plementary statements. 131 F.R. 5751, Apr. 14, 1966, as amended at 32 F.R. 13964, Oct. 7, 1967) § 336.735–41 Reviewing statements and

reporting conflicts of interest. (a) When a statement submitted under this subpart or information from other sources indicates a conflict between the interests of an employee or special Corporation employee and the performance of his services for the Corporation, the Counselor designated

in the regulations in this part shall investigate and dispose of the matter in such manner as he may deem appropriate. When the conflict or appearance of conflict is not resolved by the Counselor, the information concerning the conflict or appearance of conflict shall be reported to the Chairman of the Board of Directors.

(b) The employee or special Corporation employee concerned shall have a reasonable opportunity, orally and/or in writing to explain the conflict or appearance of conflict. $ 336.735–42 Disciplinary and other

remedial actions. (a) A violation of the regulations in this part by an employee or special Corporation employee may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law.

(b) When, after consideration of the explanation of the employee or special Corporation employee provided by § 336.735–41, the Chairman of the Board decides that remedial action is required, he shall take immediate action to end the conflicts or appearance of conflicts of interest. Remedial action includes, but is not limited to:

(1) Changes in assigned duties;

(2) Divestment by the employee or special Corporation employee of his conflicting interest;

(3) Disciplinary action; or

(4) Disqualification for a particular assignment. Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable law, Executive orders, and regulations. APPENDIX A-EMPLOYEES WHO MUST FILE

STATEMENTS

SPECIFIC POSITIONS

A Head, Associate Head or Assistant Head of a Division or Office of the Corporation (regardless of his specific title)

An Adviser or Assistant to the Board of Directors

A Supervising Examiner

An Assistant Supervising Examiner (32 F.R. 13965, Oct. 7, 1967)

CHAPTER IV-EXPORT-IMPORT BANK OF

THE UNITED STATES

Part 400 401 402

Standards of conduct.
Procedures.
Extension of credit.

PART 400_STANDARDS OF

Sec.
CONDUCT

400.735–31 Bank employees other than reg

ular full-time. Sec.

400.735–32 Presidential appointees. 400.735-1 General.

Subpart D-Procedures Applicable to Other Than Subpart A-Regular Full-time Bank Employees— Standards of Conduct

Regular Full-Time Bank Employees and Certain

Related Standards of Conduct 400.735–5 Gifts, gratuities, entertainment, and favors.

400.735–40 Procedures governing appoint400.735-6 Outside employment and other

ment and utilization. activities.

400.735–41 Standards of conduct for per400.735–7 Financial interest of Bank em

sons appearing before the ployee or connected person or

Bank other than as officers entity.

or employees of the Bank. 400.7358 Confidential information.

400.735-42 Standards of conduct applicable 400.735-9 Former employees.

to special Government em400.735–10 Future employment.

ployees. 400.735-11 Recommendation of outside

Subpart - Procedures for Submission of Stateservices. 400.735–12 Use of Government property.

ments of Employment and Financial Interests 400.735–13 Personal financial integrity.

400.735-50 Applicability. 400.735–14 Gambling, betting, and lotteries.

400.735-51 Time and place for submission. 400.735-15 General conduct prejudicial to

400.735-52 Form of statements, the Bank.

400.735–53 Confidentiality of employees' 400.735–16 Courtesy.

statements. 400.735–17 Miscellaneous statutory provi

400.735–54 Effect of employees' statements sions.

on other requirements.

400.735-55 Review of statements and remeSubpart B- Implementation

dial action. 400.735-20 Dissemination. 400.735–21 Ethics Committee.

AUTHORITY: The provisions of this part 400 400.735–22 Counselor on Ethics.

issued under E.O. 11222; 3 CFR 1964-1965 400.735–23 Deputy Counselor on Ethics.

Comp.; 5 CFR 735.104. 400.735–24 Availability of counseling.

SOURCE: The provisions of this part 400 400.735–25 Complaints.

appear at 31 F.R. 3048, Feb. 22, 1966, unless 400.735–26 Disciplinary and other remedial otherwise noted. action.

$ 400.735–1 General. Subpart C—Special Categories of Bank Employees 400.735–30 Bank employees who are

(a) Subparts A through C of this part

required to submit statements

are issued to direct attention of Bank of employment and financial employees to certain important proviinterests.

sions of statute, in particular Public Law 87–849 effective January 21, 1963, relat- self, and prohibit a Bank employee from ing to bribery, graft, and conflicts of in- making a donation as a gift to a Bank terest, and to Executive Order 11222, employee in a superior official position. dated May 8, 1965—Prescribing Stand- (5 U.S.C. 7351) However, Civil Service ards of Ethical Conduct for Government Regulations provide that the foregoing Officers and Employees, and to set forth does not prohibit a voluntary gift of additional rules which each Bank em- nominal value or donation in a nominal ployee must observe. The references to amount made on a special occasion such statutes appearing in Subparts A as marriage, illness, or retirement. through C of this part are not intended (5) The Constitution prohibits an to be complete and the comments are officer of the Federal Government from not intended to be exhaustive. There- accepting a gift, present, decoration, or fore, even though Bank employees shall other thing from a foreign government be expected to conduct themselves in unless authorized by act of Congress. accordance with Subparts A through C (Article I, section 9) of this part, they shall not regard these (b) Rules and comment. (1) Except requirements as the entire expression of as provided in subparagraph (2) of this the highest standards of conduct and paragraph, a Bank employee shall not integrity.

solicit or accept, directly or indirectly, (b) Subpart D of this part pre- any gift, gratuity, favor, entertainment, scribes procedures governing the ap- loan, or any other thing of monetary pointment and utilization of other than value, from a person who: regular full-time Bank employees, and (i) Has, or is seeking to obtain, constandards of conduct for persons ap- tractual or other business or financial pearing before the Bank other than as relations with the Bank; or officers or employees of the Bank and (ii) Has interests that may be substandards of conduct applicable to spe- stantially affected by the performance cial Government employees.

or nonperformance of the Bank em(c) Subpart of this part pre- ployee's official duty. scribes procedures for the submission of

In those cases in which the tender of any statements of employment and financial interests.

such gift, gratuity or other thing of

monetary value occurs under circumSubpart A-Regular Full-Time Bank stances making the return thereof to the Employees Standards of Conduct doner either impractical or impossible, or

where it is considered that the return $ 400.735–5 Gifts, gratuities, entertain- thereof would occasion embarrassment ment, and favors.

to the Bank, the Bank employee shall (a) Constitutional and statutory. (1) promptly deliver the item involved to Criminal status prohibit a Bank em

the Administrative Officer of the Bank. ployee from soliciting or receiving any

All such items delivered to the Adminthing of value to himself or another in istrative Officer shall be disposed of by return for being influenced in the per- him in accordance with instructions of formance of an official act. (18 U.S.C. the Ethics Committee (see Subpart B of 201)

this part). (2) Criminal statutes prohibit a Bank

(2) Notwithstanding the foregoing, a employee from soliciting or receiving for

Bank employee may: himself anything of value for or because (i) Accept gifts, entertainments, or of any official act performed or to be favors given as a result of obvious family performed by the Bank employee. (18 or personal relationships (such as those U.S.C. 201)

between parents, children, or spouse of (3) Criminal statutes forbid outside the Bank employee and the Bank empay for Government work. (18 U.S.C. ployee) when the circumstances make it 209)

clear that it is those relationships rather (4) Statutes prohibit a Bank employee

than the business of the persons confrom soliciting contributions from an

cerned which are the motivating factors; other Bank employee for a gift to a Bank (ii) Accept food and refreshments of employee in a superior official position, nominal value on infrequent occasions prohibit a Bank employee in a superior in the ordinary course of a luncheon or official position from accepting a gift

dinner meeting or other meeting (includpresented as a contribution from Bank ing functions sponsored by a government employees receiving less salary than him- or an embassy and ceremonial func

« PreviousContinue »