Page images
PDF
EPUB

value for any consultation, lecture, dis- directly to the duties and responsibilities cussion, writing, or appearance, the of the prospective officer or employee, subject matter of which is devoted sub- but this requirement shall only apply if stantially to the responsibilities, pro- the salary, on an annual basis, of such grams, or operations of the Bank, or prospective officer or employee is equal which draws substantially on official to or more than the minimum of grade data or ideas which have not become GS-13 under section 5332 of title 5, part of the body of public information. United States Code, and the position to Subpart D-Procedures Applicable to

be filed has basic duties and responsi

bilities which require the incumbent to Other Than Regular Full-Time Bank

be responsible for making a Bank deciEmployees and Certain Related

sion or taking Bank action where the Standards of Conduct

decision or action has an economic im8 400.735–40 Procedures governing ap

pact on the interests of any non-Federal pointment and utilization.

enterprise, or if such prospective officer

or employee is to be an expert or conPursuant to Executive Order 11222, sultant as defined in Chapter 304 of the dated May 8, 1965, and Part 735 of Civil Federal Personnel Manual. The ChairService Commission regulations (5 CFR man of the Ethics Committee shall inPart 735), this section sets forth the quire as to the duties of the prospective procedures which shall be observed in officer or employee and as to confidential appointing and utilizing advisors, con- information which in the execution of sultants, and part-time employees.

his duties must necessarily be made (a) No private person shall be re- available to the prospective officer or emquested to appear before the Bank to ployee. The Chairman of the Ethics give advice, comment or service to the Committee shall determine whether or Bank except upon initiative of the Bank. not the proposed appointment is free

(b) Whenever a private person is re- from probable conflicts of interest, takquested to appear before the Bank to give ing into consideration the likelihood that advice, comment, or service to the Bank, the appointee may have to act in his it shall be determined whether he will official capacity on a matter in which he appear on his own behalf or in a rep- or someone connected with him has a resentative capacity for some party out- financial interest, the likelihood that side the U.S. Government or whether his he may have to act in his private capacappearance is under circumstances mak- ity with respect to a matter on which ing him an officer or employee of the he will act in his official capacity or Bank.

which may be pending before the Bank (c) If he is to appear other than as an during the term of his appointment, and officer or employee of the Bank, he shall the likelihood that the appointee in his be caused to read the “Standards of Con- official capacity will acquire information duct for Persons Appearing before the which would be significant to him and Bank other than as Officers or Employees not otherwise available to him in his of the Bank” (§ 400.735–41).

private capacity. The Chairman of the (d) If he is to appear under circum- Ethics Committee shall consult with the stances making him an officer or em- other members of the Ethics Committee ployee of the Bank, he shall, prior to ap- on any of the foregoing matters to the pointment, make disclosure, to the extent extent he deems appropriate. and in accordance with procedures speci- (e) If the proposed appointment is fied by the Chairman of the Ethics Com- free from probable conflicts of interest, mittee, of his private employment and the candidate shall be given an appointfinancial interests. Such disclosure shall ment in writing. This appointment show, at least, all other employment (in- shall not extend for more than 365 days. cluding the names of all corporations, It shall be determined at the time he is companies, firms, State, or local govern- appointed to serve whether or not the ment organizations, research organiza- appointee is a "special Government emtions and educational or other institu- ployee" for purposes of Public Law 87tions in which the prospective officer or 849. This determination shall be made employee is serving as employee, officer, upon consideration of these factors: member, owner, director, trustee, advi- (1) Whether or not he held at any sor or consultant) and all financial in- time during the 365 days preceding terests which relate either directly or in- appointment another appointment for temporary duties as an officer or em- sum is less than 130 days, he shall be desployee of the U.S. Government (includ- ignated on the Bank's records as a special ing in that term the executive and legis- Government employee. lative branches of the U.S. Government, (f) If he is designated as “part-time any independent agency of the United employee (other than special GovernStates, and the District of Columbia). ment employee)”, he shall be informed The Chairman of the Ethics Committee to that effect, shall be caused to read shall coordinate with the respective Subparts A through C of this part, with agency or agencies of the U.S. Govern- the instruction that the statements ment the classification of persons who therein (except, if he is serving without hold or have held such other appoint- compensation, $ 400.735–5(a) (3) appliment or appointments.

cable to regular full-time Bank employ(2) If he has held no other appoint- ees are equally applicable to him. ment, an estimate shall be made of the (g) If he is a special Government emnumber of days on which he is expected ployee, he shall be informed to that efto work for the Bank during the next 365 fect and shall be caused to read the days. For this computation, parts of “Standards of Conduct Applicable to days on which duty is performed shall Special Government Employees” be counted as full working days and $ 400.735–42). Saturdays, Sundays, and holidays on (h) No person, while carried on the which duty is performed shall be Bank's records as a special Government included.

employee, shall be permitted to act as (3) If he has held one or more other agent or attorney for anyone in connecappointments: (i) An estimate shall be tion with any matter which is or was made for each 365-day period following pending before the Bank at any time the date of his other appointment or ap- when such person is or was carried on the pointments of the number of days which Bank's records except if he has worked the appointee is expected to work for the for the Bank, as of the day he acts, less Bank during the remaining days of each than 61 days of the preceding 365 days. such period; (ii) an estimate shall be For this computation, parts of days on obtained from each other agency where which duty is performed shall be counted he has an appointment as to the number as full working days and Saturdays, Sunof days the appointee is expected to work days and holidays on which duty is perfor such other agency during the remain- formed shall be included. ing days of the 365-day period following (i) No person who is or once was carthe date of his appointment at such ried on the Bank's records as a special agency; and (iii) the number of days Government employee shall be permitted shall be obtained which the appointee

to act as agent or attorney for anyone has actually worked for each other in connection with any matter which reagency subsequent to his appointment at lates to the subject on which he is or was such agency.

working at he Bank unless his thus act(4) If he has held no other appoint- ing as agent or attorney occurs with the ment and he is estimated to work for the knowledge and express written approval Bank more than 130 days during the next of the appinting officer responsible for 365, he shall be designated on the Bank's his appointment. records as “part-time employee (other (j) Each person who is retained or than special Government employee)." employed by the Bank and who is a speIf he is estimated to work for the Bank cial Government employee shall be ad130 days or less during the next 365, he vised of his obligation to keep the Bank shall be designated on the Bank's records informed of any additional appointments as a special Government employee.

which he accepts to perform temporary (5) If he has held one or more other

duties as an officer or employee of the appointments and if the sum of the num

U.S. Government and promptly after ber of days worked or estimated to be

each such advice it shall be determined, worked on all such appointments and the

pursuant to the procedures of paragraph Bank's appointment during any of the

(e) of this section, whether or not such

person continues as a special Govern365-day periods after any of these ap

ment employee. pointments is more than 130 days, he

(k) Immediately after appointment of shall be designated on the Bank's records

a person as an officer or employee of as “part-time employee (other than spe- the Bank other than as a regular, fullcial Government employee).” If such time officer or employee of the Bank or

155 36-028—70-11

after designation of a person who is to ciplinary action and other remedial acact as consultant to the Bank or who is tion, including, among others, dismissal, to give advice, opinion, or service to the suspension, or reduction in rank, as is Bank in a capacity other than as a regu- appropriate. Disciplinary action and lar full-time director, officer or employee, other remedial action shall be effected in the appointing officer, in the case of an accordance with any applicable laws, appointment, or the Chairman of the Executive orders, and regulations. Ethics Committee, in the case of any (31 F.R. 3048, Feb. 22, 1966, as amended at such designation, shall advise all di- 32 F.R. 13758, Oct. 3, 1967) rectors, officers or employees of the Bank with whom the appointee or designee

§ 400.735–41 Standards of conduct for will deal as to the extent of confidential

persons appearing before the Bank

other than as officers or employees of information to be made available to him

the Bank. with a view to avoiding as much as possible the disclosure of confidential infor

The following is intended for the mation not needed for his functions or

guidance of persons who are requested to not available to his competitors in his

appear before the Export-Import Bank private capacity or concerning the fi- of Washington to give advice, comment, nancial interest of himself or with which

or service to the Bank but who are not he is charged in his private capacity.

appearing in the status of an officer or The appointing officer shall instruct the

employee of the Bank: appointee that information made avail

(a) Inside information. (1) The first able to him at the Bank must remain

principle of ethical behavior for the confidential in his hands and the Chair- temporary or intermittent consultant or man of the Ethics Committee shall cause advisor is that he must refrain from similar direction to be given to those any use of his public office which is utilizing the designee.

motivated by, or gives the appearance (1) Unless expressly provided other

of being motivated by, the desire for wise, the determination required under private gain for himself or other persons, the foregoing paragraphs shall be made including particularly those with whom by the officer who appoints or designates he has family, business or financial ties. the individual in question upon consulta- The fact that the desired gain, if it tion with the Chairman of the Ethics materializes, will not take place at the Committee.

expense of the Bank makes this action (m) The Chairman of the Ethics Com- no less improper. mittee shall monitor the obligations of (2) An advisor or consultant must all advisors and consultants who do not conduct himself in a manner devoid of hold appointments as officers or em- the slightest suggestion that he is exployees of the Bank. He shall advise ploiting his Bank connection for private those authorizing the services of such advantage. Thus, a consultant or adadvisors and consultants of the require- visor must not, on the basis of any inments of this Subpart D with respect to side information, enter into speculation, such persons. Each appointing officer or recommend speculation to members shall observe the requirements of this of his family or business associates, in Subpart D in issuing each appointment commodities, land, or the securities of as officer or employee of the Bank other any private company. He must obey than regular full-time employees of the this injunction even though his duties Bank. After each such appointment the have no connection whatever with the appointing officer shall be responsible Bank programs or activities which may for giving necessary advices and direc- affect the value of such commodities, tions to permit fulfillment of the require

land, or securities. And, he should be ments of this Subpart D with respect to

careful in his personal financial activisuch appointment.

ties to avoid any appearance of acting (n) If any officer or employee of the

on the basis of information obtained in

the course of his activities with the Bank. Bank, whether part-time or full-time, violates any of the rules set forth in this

(3) It is important for consultants

and advisors to have access to Bank data Subpart D, or in Subparts A through C

pertinent to their duties and to maintain of this part, to the extent such rules are

familiarity with the Bank's plans and applicable to such officer or employee,

programs and the requirements thereof, he shall be subject to the penalties pro- within the area of their competence, vided by law and to such additional dis- Since it is frequently in the Bank's interest that information of this nature (a) Use of Government employment. be made generally available to an af- A special Government employee shall not fected industry, there is generally no use his Government employment for a impropriety in a consultant's or advisor's purpose that is, or gives the appearance utilizing such information in the course of being, motivated by the desire for of his non-Bank activities after it has private gain for himself or another perbecome so available. However, a con- son, particularly one with whom he has sultant or advisor may, in addition, ac- family, business, or financial ties. quire information which is not generally (b) Use of inside information. (1) available to those outside the Bank. In A special Government employee shall not that event, he may not use such informa- use inside information obtained as a retion for the special benefit of a business sult of his Government employment for or other entity by which he is employed private gain for himself or another peror retained or in which he has a financial son either by direct action on his part or interest.

by counsel, recommendation, or sugges(4) Consultants and advisors are en- tion to another person, particularly couraged to confer with appropriate per- one with whom he has family, business, sons at the Bank to assist them in the or financial ties. For the purpose of this identification of information not gen- paragraph, “inside information" means erally avaliable and in the resolution of information obtained under Governany actual or potential conflict between ment authority which has not become duties to the Bank and to private em- part of the body of public information. ployers or clients.

(2) A special Government employee is (5) Occasionally an individual who encouraged to engage in teaching, lecbecomes a consultant or advisor to the turing, and writing that is not prohibBank is, subsequent to his designation ited by law or regulations. However, as such, requested by a private enter- a special Government employee shall not, prise to act in a similar capacity. In either for or without compensation, ensome cases the request may give the ap- gage in teaching, lecturing, or writing pearance of being motivated by the de- that is dependent on information obsire of the private employer to secure tained as a result of his Bank employinside information. Where the consultant ment, except when that information has or advisor has reason to believe that been made available to the general pubthe request for his services is so moti- lic or will be available on request, or vated, he should make a choice between when the President of the Bank gives acceptance of the tendered private em- written authorization for the use of nonployment and continuation of his Bank public information on the basis that the consultancy. In such circumstances he use is in the public interest. may not engage in both.

(c) Coercion. A special Government (b) Abuse of position. An advisor or employee shall not use his Government consultant shall not use his position in employment to coerce, or give the apany way to coerce, or give the appear- pearance of coercing, a person to provide ance of coercing, another person to pro- financial benefit to himself or another vide any financial benefit to him or per- person, particularly one with whom he sons with whom he has family, business,

has family, business, or financial ties. or financial ties.

(d) Gifts, entertainment, and favors. (c) Gifts. An advisor or consultant

(1) Except as provided in subparagraph shall not receive or solicity anything of

(2) of this paragraph, a special Governvalue as a gift, gratuity, or favor for

ment employee shall not solicit or accept, himself or persons with whom he has

directly or indirectly, any gift, gratuity, family, business, or financial ties, if the

favor, entertainment, loan, or any other acceptance thereof would result in his

thing of monetary value, from a person loss of complete independence or im

who: partiality in serving the Bank.

(i) Has, or is seeking to obtain, con§ 400.735-42 Standards of conduct ap- tractual or other business or financial

plicable to special Government em- relations with the bank; or ployees.

(ii) Has interest that may be subThe following is intended for the stantially affected by the performance or guidance of special Government em- nonperformance of the special Governployees who are working for the Bank: ment employee's official duty.

In those cases in which the tender of agent or attorney for anyone in connecany such gift, gratuity, or other thing of tion with any matter which is or was monetary value occurs under circum- pending before the Bank at any time stances making the return thereof to the when such person is or was carried on donor either impractical or impossible, the Bank's records except if he has or where it is considered that the re- worked for the Bank, as of the day he turn thereof would occasion embarrass- acts, less than 61 days of the preceding ment to the Bank, the special Govern- 365 days, but the exception shall not ment employee shall promptly deliver apply if such person had been disqualithe item involved to the Administrative fied with respect to the same matter at Officer of the Bank. All such items de- any previous time. livered to the Administrative Officer (g) Representation on matter worked shall be disposed of by him in accordance on. No person who is or once was carwith instructions of the Ethics Com- ried on the Bank's records as a special mittee.

Government employee shall be permitted (2) Notwithstanding the foregoing, a to act as agent or attorney for anyone in special Government employee may: connection with any matter which re

(i) Accept gifts, entertainments, or lates to the subject on which he is or was favors given as a result of obvious family working at the Bank unless his thus or personal relationships (such as those acting as agent or attorney occurs with between parents, children, or spouse of the knowledge and express written apthe special Government employee and proval of the appointing officer responthe special Government employee) when sible for his appointment. the circumstances make it clear that it (h) Statements of employment and is those relationships rather than the financial interests. Statements of embusiness of the persons concerned which ployment and financial interests shall are the motivating factors;

be submitted by every special Govern(ii) Accept food and refreshments of ment employee who is being paid at a nominal value on infrequent occasions in salary which, on an annual basis, is the ordinary course of a luncheon or equal to or more than the minimum of dinner meeting or other meeting (in- grade GS-13 under section 5332 of title cluding functions sponsored by a govern- 5, United States Code, and whose basic ment or an embassy and ceremonial duties and responsibilities require him functions), or on an inspection tour to be responsible for making a Bank dewhere such special Government em- cision or taking Bank action where the ployee is authorized by the Bank to be in decision or action has an economic imattendance;

pact on the interests of any non-Federal (iii) Accept loans from banks or other enterprise; and by every special Governfinancial institutions on customary ment employee who is an expert or conterms to finance proper and normal ac- sultant as defined in Chapter 304 of the tivities of employees, such as home Federal Personnel Manual. The time and mortgage loans; and

manner of submission of statements, and (iv) Accept unsolicited advertising or the procedures with respect thereto are promotional material, such as pens, pen- specified in Subpart E of this part. cils, note pads, calendars, and other (i) Statutory provisions. Attention is items of nominal intrinsic value.

directed to the following statutory (e) Further disclosure. If a special provisions: Government employee submitted to the (1) The prohibition against a Bank Bank information as to his private em- employee participating, in any manner, ployment and financial interests, he upon the deliberation or determination shall advise the Bank of any major of any matter affecting his personal inchange in such information promptly terest or the interests of any corporaafter such change has occurred. A spe

tion, partnership, or association in which cial Government employee shall prompt

he is directly or indirectly interested (12 ly advise the Bank of any additional

U.S.C. 635a (e)). employment with other Government agencies which he may have accepted

(2) The prohibition against bribes and after his appointment by the Bank.

related offenses (18 U.S.C. 201). (f) Representation on matter pend

(3) The prohibition against gifts ing. No person while carried on the among Government employees who are Bank's records as a special Government in the position of superior-subordinate employee shall be permitted to act as to each other (5 U.S.C. 113).

« PreviousContinue »