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8 336.735–17 Gambling, betting, and

lotteries. An employee shall not participate, while on Corporation-owned or leased property or while on duty for the Corporation, in any gambling activity including the operation of a gambling device, in conducting a lottery or pool, in a game for money or property, or in selling or purchasing a numbers slip or ticket. However, this section does not preclude activities:

(a) Necessitated by an employee's law enforcement duties; or

(b) Under section 3 of Executive Order 10927 and similar Corporation-approved activities. 8 336.735–18 General conduct prejudi.

cial to the Government. An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Corporation. $ 336.735–19 Miscellaneous statutory

provisions. Each employee shall acquaint himself with each statute that relates to his ethical and other conduct as an employee of the Corporation and of the Government. In addition to the statutes cited in the body of these regulations the attention of each employee is directed to the following statutory provisions:

(a) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the “Code of Ethics for Government Service.”

(b) Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflicts of interest, as app priate to the employees concerned.

(c) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913).

(d) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

(e) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784).

(f) The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905).

(g) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

(h) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a(c)).

(i) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719).

(j) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917).

(k) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001).

(1) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071).

(m) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508).

(n) The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(0) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(p) The prohibitions against political activities in subchapter III of chapter 73 of title 5, United States Code and 18 U.S.C. 602, 603, 607, and 608.

(q) The prohibition against the disclosure of information by a bank examiner (18 U.S.C. 1906).

(r) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219). [31 F.R. 5751, Apr. 14, 1966, as amended at 32 F.R. 13964, Oct. 7, 1967] Subpart C-Ethical and Other Conduct

and Responsibilities of Special

Corporation Employees § 336.735–21 Use of Corporation em

ployment. A special Corporation employee shall not use his Corporation employment for a purpose that is, or gives the appearance of being, motivated by the desire for private gain for himself or another person, particularly one with whom he has family, business, or financial ties. $ 336.735–22 Use of inside information.

(a) A special Corporation employee shall not use inside information obtained

as a result of his Government employ- interests will be filed by the following ment for private gain for himself or an- employees: other person either by direct action on (a) Those paid at a level of the Exhis part or by counsel, recommendation, ecutive Schedule in subchapter II of or suggestion to another person, particu- Chapter 53 of title 5, United States Code. larly one with whom he has family, busi- (b) Those receiving compensation ness, or financial ties. For the purpose equivalent to that prescribed under secof this section, "inside information" tion 5332 of title 5, United States Code means information obtained under Cor- for grade GS-13 or above whose positions poration authority which has not become are specifically identified in appendix part of the body of public information. A to this part which are included by

(b) A special Corporation employee reason of meeting the following criteria: may teach, lecture, or write in a manner (1) Positions the incumbents of which not inconsistent with $ 336.735–12(d) in are responsible for making a Corporaregard to employees.

tion decision or taking a Corporation

action in regard to: § 336.735–23 Coercion.

(i) Contracting or procurement; A special Corporation employee shall (ii) Administering or monitoring not use his Corporation employment to

grants or subsidies; coerce, or give the appearance of coercing, a person to provide financial benefit

(iii) Regulating or auditing private or to himself or another person, particu

other non-Federal enterprise; or

(iv) Other activities where the delarly one with whom he has family, busi

cision or action has an economic impact ness, or financial ties..

on the interests of any non-Federal § 336.735–24 Gifts, entertainment, and enterprise. favors.

(2) Positions which the Corporation (a) Except as provided in paragraph determines require the incumbent to re(b) of this section, a special Corporation port employment and financial interests employee, while so employed or in con- in order to carry out the purpose of nection with his employment, shall not law, Executive order, this part, and the receive or solicit from a person having Corporation's regulations. business with this Corporation anything (c) Alterations to (deletions from and of value as a gift, gratuity, loan, enter

other amendments of the list of positions tainment, or favor for himself or another in Appendix A to this part may be made person, particularly one with whom he under the criteria in paragraph (b) of has family, business, or financial ties. this section and are effective upon ap

(b) Exemptions to paragraph (a) of proval by the Chairman of the Board this section are the same as those author- and actual notification to the incumized to employees under $ 336.735–11(b). bents. Amendments to the list in appen§ 336.735–25 Miscellaneous statutory

dix A to this part shall be submitted provisions.

annually for publication in the FEDERAL

REGISTER. Each special Corporation employee

[32 F.R. 13964, Oct. 7, 1967] shall acquaint himself with each statute that relates to his ethical and other con- § 336.735–3la Employee's complaint on duct as a special Corporation employee

filing requirement. of the Corporation and of the Govern- An employee may complain to the ment. In addition to the statutes cited Counselor designated in the regulations in the body of the regulations in this in this part that his position has been part, the attention of each special Cor- improperly included in the regulations poration employee is directed to the stat- in this part as one requiring the subutory provisions listed in § 336.735–19. mission of a statement of employment

and financial interests. When a comSubpart D-Statements of Employment and Financial Interests

plaint cannot be resolved or explained

satisfactorily to the employee he shall $ 336.735–31 Employees required to

be granted a review of the matter submit statements.

through the Corporation's grievance Except as provided in § 336.735–32, procedure. statements of employment and financial 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 grants 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 require-. ment imposed by law, order, or regulation. The submission of a statement or supplementary statement by an ployee 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.

em

§ 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. (31 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)

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