§ 400.735-17 Miscellaneous statutory provisions.

Attention of each Bank employee is directed to the following statutory provisions:

(a) The prohibition against a Bank employee participating in any manner upon the deliberation or determination of any matter affecting his personal interests or the interests of any corporation, partnership, or association in which he is directly or indirectly interested (12 U.S.C. 635a(e)).

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

(c) Chapter 11 of Title 18, United States Code, relating to bribery, graft, and conflicts of interest.

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

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

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

(18

(g) The prohibitions against the disclosure of classified information U.S.C. 798; 50 U.S.C. 783).

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

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

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

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

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

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

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

of

(0) The prohibitions against: (1) Embezzlement 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 posses

sion of an employee by reason of his employment (18 U.S.C. 654).

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

(q) 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.

(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. 3048, Feb. 22, 1966, as amended at 32 F.R. 13758, Oct. 3, 1967]

Subpart B-Implementation

The Administrative Officer will cause all Bank employees to read Subparts A through C of this part at the time of their employment and at least annually thereafter. All Bank employees shall have read Subparts A through C of this part not later than 60 days after the effective date of issuance.

§ 400.735-21 Ethics Committee.

A committee on ethics (the Ethics Committee) is hereby established. It shall consist of the First Vice President, as Chairman, the Assistant General Counsel, and the Adiminstrative Officer of the Bank. All notices to the Ethics Committee shall be given to its Chairman and only its Chairman shall speak for the Ethics Committee. The Ethics Committee is authorized and directed to take the actions referred to in §§ 400.735-5(b) (1), 400.735-6(b) (4), 400.7357(b) (1), 400.735-8(b) (4), 400.735-9 (b), 400.735-10, 400.735-11, and 400.73530 (c). The Ethics Committee shall have the duty to assure that no appointment of a regular Bank employee is made if such appointment would create a conflict under § 400.735-6(b) (1) or § 400.7357(b)(2).

[32 F.R. 13758, Oct. 3, 1967]

§ 400.735-22 Counselor on Ethics.

The Chairman of the Ethics Committee shall serve as Counselor to the Bank and as the Bank's designee to the Civil Service Commission on matters covered by Subparts A through C of this part. He shall also coordinate the work of the Deputy Counselor on Ethics mentioned in § 400.735-23.

§ 400.735-23 Deputy Counselor on Ethics.

The General Counsel shall be Deputy Counselor on Ethics and shall be available to give authoritative advice and guidance to each Bank employee on matters covered by Subparts A through C of this part, including any matter arising under § 400.735–7(b) (2).

§ 400.735-24 Availability of counseling.

Each Bank employee may consult the General Counsel at any time for counseling on problems raised by Subparts A through C of this part.

§ 400.735-25 Complaints.

Complaints from any source concerning the subject matter of Subparts A through C of this part, whether emanating from within or outside the Bank, are to be submitted to the Chairman of the Ethics Committee.

§ 400.735-26 Disciplinary and other remedial action.

If a Bank employee violates any of the provisions of Subparts A through C of this part he shall be subject to the penalties provided by law, and to such additional disciplinary and other remedial action, including, among others, dismissal, suspension, or reduction in rank, as is appropriate. Disciplinary and other remedial action shall be effected in accordance with any applicable laws, Executive orders, and regulations.

Subpart C-Special Categories of Bank Employees

§ 400.735-30 Bank employees who are required to submit statements of employment and financial interests.

(a) Statements of employment and financial interests shall be submitted by the following Bank employees:

(1) Every Bank employee paid at a level of the Executive Schedule in subchapter II of chapter 53 of title 5, United States Code, but not including the Bank employees who are subject to section 401(a) of Executive Order 11222, May 8, 1965; and

(2) Those Bank employees in grades GS-13 and above under section 5332 of title 5, United States Code, who occupy positions the basic duties and responsibilities of which require the incumbent to be responsible for making a Bank decision or taking Bank action where the

decision or action has an economic impact on the interests of any non-Federal enterprise.

(b) The time and manner of submission of statements, and the procedures with respect thereto, are specified in Subpart E of this part.

(c) Any Bank employee who considers that his position has been improperly included among those requiring the submission of statements of employment and financial interests may submit the matter for review by the Ethics Committee created pursuant to § 400.735-21 of Subpart B of this part, or in accordance with the Bank's established procedures governing grievances and complaints as prescribed in Staff Memorandum No. 12 dated January 29, 1960.

[31 F.R. 3048, Feb. 22, 1966, as amended at 32 F.R. 13758, Oct. 3, 1967]

§ 400.735-31 Bank employees other than regular full-time.

Most of the statutes on employees' conduct are applicable to all directors, officers, and employees of the Bank, whether full-time or part-time, whether employed or retained on a consulting capacity, and whether compensated or not. However, there are special provisions applicable to part-time officers and employees of the Bank with regard to their activities before Government agencies and the prohibition against outside compensation does not apply to officers and employees who serve without pay or to certain officers and employees who serve part time. Administrative actions and rules applicable to other than fulitime officers or employees of the Bank are covered by Subpart D of this part. § 400.735-32 Presidential appointees.

The rules set forth in Subpart A of this part are applicable to all Bank employees who were appointed to their positions by the President of the United States, except that for purposes of the determination by the official responsible for the Bank employee's appointment referred to in 400.735-7(b)(1), members of the Board of Directors other than the President of the Bank, shall have such determination made by the President of the Bank. In addition, such Bank employees are subject to the provisions of Part IV of Executive Order 11222 of May 8, 1965, relating to submission of statements by Presidential appointees and to the requirement that they not receive compensation or anything of monetary

value for any consultation, lecture, discussion, writing, or appearance, the subject matter of which is devoted substantially to the responsibilities, programs, or operations of the Bank, or which draws substantially on official data or ideas which have not become part of the body of public information. Subpart D-Procedures Applicable to Other Than Regular Full-Time Bank Employees and Certain Related Standards of Conduct

§ 400.735-40 Procedures governing appointment and utilization.

Pursuant to Executive Order 11222, dated May 8, 1965, and Part 735 of Civil Service Commission regulations (5 CFR Part 735), this section sets forth the procedures which shall be observed in appointing and utilizing advisors, consultants, and part-time employees.

(a) No private person shall be requested to appear before the Bank to give advice, comment or service to the Bank except upon initiative of the Bank.

(b) Whenever a private person is requested to appear before the Bank to give advice, comment, or service to the Bank, it shall be determined whether he will appear on his own behalf or in a representative capacity for some party outside the U.S. Government or whether his appearance is under circumstances making him an officer or employee of the Bank.

(c) If he is to appear other than as an officer or employee of the Bank, he shall be caused to read the "Standards of Conduct for Persons Appearing before the Bank other than as Officers or Employees of the Bank" (§ 400.735-41).

(d) If he is to appear under circumstances making him an officer or employee of the Bank, he shall, prior to appointment, make disclosure, to the extent and in accordance with procedures specified by the Chairman of the Ethics Committee, of his private employment and financial interests. Such disclosure shall show, at least, all other employment (including the names of all corporations, companies, firms, State, or local government organizations, research organizations and educational or other institutions in which the prospective officer or employee is serving as employee, officer, member, owner, director, trustee, advisor or consultant) and all financial interests which relate either directly or in

directly to the duties and responsibilities of the prospective officer or employee, but this requirement shall only apply if the salary, on an annual basis, of such prospective officer or employee is equal to or more than the minimum of grade GS-13 under section 5332 of title 5, United States Code, and the position to be filed has basic duties and responsibilities which require the incumbent to be responsible for making a Bank decision or taking Bank action where the decision or action has an economic impact on the interests of any non-Federal enterprise, or if such prospective officer or employee is to be an expert or consultant as defined in Chapter 304 of the Federal Personnel Manual. The Chairman of the Ethics Committee shall inquire as to the duties of the prospective officer or employee and as to confidential information which in the execution of his duties must necessarily be made available to the prospective officer or employee. The Chairman of the Ethics Committee shall determine whether or not the proposed appointment is free from probable conflicts of interest, taking into consideration the likelihood that the appointee may have to act in his official capacity on a matter in which he or someone connected with him has a financial interest, the likelihood that he may have to act in his private capacity with respect to a matter on which he will act in his official capacity or which may be pending before the Bank during the term of his appointment, and the likelihood that the appointee in his official capacity will acquire information which would be significant to him and not otherwise available to him in his private capacity. The Chairman of the Ethics Committee shall consult with the other members of the Ethics Committee on any of the foregoing matters to the extent he deems appropriate.

(e) If the proposed appointment is free from probable conflicts of interest, the candidate shall be given an appointment in writing. This appointment shall not extend for more than 365 days. It shall be determined at the time he is appointed to serve whether or not the appointee is a "special Government employee" for purposes of Public Law 87849. This determination shall be made upon consideration of these factors:

(1) Whether or not he held at any time during the 365 days preceding appointment another appointment for

temporary duties as an officer or employee of the U.S. Government (including in that term the executive and legislative branches of the U.S. Government, any independent agency of the United States, and the District of Columbia). The Chairman of the Ethics Committee shall coordinate with the respective agency or agencies of the U.S. Government the classification of persons who hold or have held such other appointment or appointments.

(2) If he has held no other appointment, an estimate shall be made of the number of days on which he is expected to work for the Bank during the next 365 days. For this computation, parts of days on which duty is performed shall be counted as full working days and Saturdays, Sundays, and holidays on which duty is performed shall be included.

(3) If he has held one or more other appointments: (i) An estimate shall be made for each 365-day period following the date of his other appointment or appointments of the number of days which the appointee is expected to work for the Bank during the remaining days of each such period; (ii) an estimate shall be obtained from each other agency where he has an appointment as to the number of days the appointee is expected to work for such other agency during the remaining days of the 365-day period following the date of his appointment at such agency; and (iii) the number of days shall be obtained which the appointee has actually worked for each other agency subsequent to his appointment at such agency.

(4) If he has held no other appointment and he is estimated to work for the Bank more than 130 days during the next 365, he shall be designated on the Bank's records as "part-time employee (other than special Government employee)." If he is estimated to work for the Bank 130 days or less during the next 365, he shall be designated on the Bank's records as a special Government employee.

(5) If he has held one or more other appointments and if the sum of the number of days worked or estimated to be worked on all such appointments and the Bank's appointment during any of the 365-day periods after any of these appointments is more than 130 days, he shall be designated on the Bank's records as "part-time employee (other than special Government employee)." If such

sum is less than 130 days, he shall be designated on the Bank's records as a special Government employee.

(f) If he is designated as "part-time employee (other than special Government employee)", he shall be informed to that effect, shall be caused to read Subparts A through C of this part, with the instruction that the statements therein (except, if he is serving without compensation, § 400.735-5(a)(3) applicable to regular full-time Bank employees are equally applicable to him.

(g) If he is a special Government employee, he shall be informed to that effect and shall be caused to read the "Standards of Conduct Applicable to Special Government Employees" § 400.735-42).

(h) No person, while carried on the Bank's records as a special Government employee, shall be permitted to act as agent or attorney for anyone in connection with any matter which is or was pending before the Bank at any time when such person is or was carried on the Bank's records except if he has worked for the Bank, as of the day he acts, less than 61 days of the preceding 365 days. For this computation, parts of days on which duty is performed shall be counted as full working days and Saturdays, Sundays and holidays on which duty is performed shall be included.

(i) No person who is or once was carried on the Bank's records as a special Government employee shall be permitted to act as agent or attorney for anyone in connection with any matter which relates to the subject on which he is or was working at he Bank unless his thus acting as agent or attorney occurs with the knowledge and express written approval of the appinting officer responsible for his appointment.

(j) Each person who is retained or employed by the Bank and who is a special Government employee shall be advised of his obligation to keep the Bank informed of any additional appointments which he accepts to perform temporary duties as an officer or employee of the U.S. Government and promptly after each such advice it shall be determined, pursuant to the procedures of paragraph (e) of this section, whether or not such person continues as a special Government employee.

(k) Immediately after appointment of a person as an officer or employee of the Bank other than as a regular, fulltime officer or employee of the Bank or

after designation of a person who is to act as consultant to the Bank or who is to give advice, opinion, or service to the Bank in a capacity other than as a regular full-time director, officer or employee, the appointing officer, in the case of an appointment, or the Chairman of the Ethics Committee, in the case of any such designation, shall advise all directors, officers or employees of the Bank with whom the appointee or designee will deal as to the extent of confidential information to be made available to him with a view to avoiding as much as possible the disclosure of confidential information not needed for his functions or not available to his competitors in his private capacity or concerning the financial interest of himself or with which he is charged in his private capacity. The appointing officer shall instruct the appointee that information made available to him at the Bank must remain confidential in his hands and the Chairman of the Ethics Committee shall cause similar direction to be given to those utilizing the designee.

(1) Unless expressly provided otherwise, the determination required under the foregoing paragraphs shall be made by the officer who appoints or designates the individual in question upon consultation with the Chairman of the Ethics Committee.

(m) The Chairman of the Ethics Committee shall monitor the obligations of all advisors and consultants who do not hold appointments as officers or employees of the Bank. He shall advise those authorizing the services of such advisors and consultants of the requirements of this Subpart D with respect to such persons. Each appointing officer shall observe the requirements of this Subpart D in issuing each appointment as officer or employee of the Bank other than regular full-time employees of the Bank. After each such appointment the appointing officer shall be responsible for giving necessary advices and directions to permit fulfillment of the requirements of this Subpart D with respect to such appointment.

(n) If any officer or employee of the Bank, whether part-time or full-time, violates any of the rules set forth in this Subpart D, or in Subparts A through C of this part, to the extent such rules are applicable to such officer or employee, he shall be subject to the penalties provided by law and to such additional dis

ciplinary action and other remedial action, including, among others, dismissal, suspension, or reduction in rank, as is appropriate. Disciplinary action and other remedial action shall be effected in accordance with any applicable laws, Executive orders, and regulations.

[31 F.R. 3048, Feb. 22, 1966, as amended at 32 F.R. 13758, Oct. 3, 1967]

§ 400.735-41 Standards of conduct for persons appearing before the Bank other than as officers or employees of the Bank.

The following is intended for the guidance of persons who are requested to appear before the Export-Import Bank of Washington to give advice, comment, or service to the Bank but who are not appearing in the status of an officer or employee of the Bank:

(a) Inside information. (1) The first principle of ethical behavior for the temporary or intermittent consultant or advisor is that he must refrain from any use of his public office which is motivated by, or gives the appearance of being motivated by, the desire for private gain for himself or other persons, including particularly those with whom he has family, business or financial ties. The fact that the desired gain, if it materializes, will not take place at the expense of the Bank makes this action no less improper.

(2) An advisor or consultant must conduct himself in a manner devoid of the slightest suggestion that he is exploiting his Bank connection for private advantage. Thus, a consultant or advisor must not, on the basis of any inside information, enter into speculation, or recommend speculation to members of his family or business associates, in commodities, land, or the securities of any private company. He must obey this injunction even though his duties have no connection whatever with the Bank programs or activities which may affect the value of such commodities, land, or securities. And, he should be careful in his personal financial activities to avoid any appearance of acting on the basis of information obtained in the course of his activities with the Bank.

(3) It is important for consultants and advisors to have access to Bank data pertinent to their duties and to maintain familiarity with the Bank's plans and programs and the requirements thereof, within the area of their competence, Since it is frequently in the Bank's in