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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. $ 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 supplementary statements. 131 F.R. 5751, Apr. 14, 1966, as amended at 32 F.R. 18964, 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 Regional Director

An Assistant Regional Director (36 F.R. 1249, Jan. 27, 1971)

CHAPTER IV-EXPORT-IMPORT BANK OF

THE UNITED STATES

Part 400 401 402 403

Standards of conduct.
Procedures.
Extension of credit.
Classification, downgrading, declassification, and safeguarding of national

security information.

sons

PART 400 STANDARDS OF Sec.

400.735–31 Bank employees other than regCONDUCT

ular full-time. Sec.

400.735-32 Presidential appointees. 400.735-1 General. Subpart A-Regular Full-time Bank Employees

Subpart D-Procedures Applicable to Other Than Standards of Conduct

Regular Full-Timo 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 per400.785-7

the Financial interest of Bank em

appearing before ployee or connected person or

Bank other than as omcers entity.

or employees of the Bank. 400.735-8 Confidential information.

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

to special Government em400.735–10 Future employment.

ployees. 400.786–11 Recommendation of outside

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

ments of Employment and Financial Interests 400.785–18 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.

400.785-53 Confidentiality of employees' 400.735–16 Courtesy.

statements. 400.735–17 Miscellaneous statutory provi 400.736–54 Effect of employees' statements sions.

on other requirements.

400.785-55 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 Avallability 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 Special Categories of Bank Employees 400.735–30 Bank employees who are re

(a) Subparts A through C of this part quired 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

153 84-05278 11

87-849 effective January 21, 1963, relating to bribery, graft, and conflicts of interest, and to Executive Order 11222, dated May 8, 1965—Prescribing Standards of Ethical Conduct for Government Officers and Employees, and to set forth additional rules which each Bank employee must observe. The references to statutes appearing in Subparts A through C of this part are not intended to be complete and the comments are not intended to be exhaustive. Therefore, even though Bank employees shall be expected to conduct themselves in accordance with Subparts A through C of this part, they shall not regard these requirements as the entire expression of the highest standards of conduct and integrity.

(b) Subpart D of this part prescribes procedures governing the appointment and utilization of other than regular full-time Bank employees, and standards of conduct for persons appearing before the Bank other than as officers or employees of the Bank and standards of conduct applicable to special Government employees.

(c) Subpart E of this part prescribes procedures for the submission of statements of employment and financial interests. Subpart A-Regular Full-Time Bank

Employees Standards of Conduct $ 400.735–5 Gifts, gratuities, entertain

ment, and favors. (a) Constitutional and statutory. (1) Criminal status prohibit a Bank employee from soliciting or receiving anything of value to himself or another in return for being influenced in the performance of an official act. (18 U.S.C. 201)

(2) Criminal statutes prohibit a Bank employee from soliciting or receiving for himself anything of value for or because of any official act performed or to be performed by the Bank employee. (18 U.S.C. 201)

(3) Criminal statutes forbid outside pay for Government work. (18 U.S.C. 209)

(4) Statutes prohibit a Bank employee from soliciting contributions from another Bank employee for a gift to a Bank employee in a superior official position, prohibit a Bank employee in a superior oficial position from accepting a gift presented as a contribution from Bank employees receiving less salary than him

self, and prohibit a Bank employee from making a donation as a gift to a Bank employee in a superior official position. (5 U.S.C. 7351) However, Civil Service Regulations provide that the foregoing does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement.

(5) The Constitution prohibits an officer of the Federal Government from accepting a gift, present, decoration, or other thing from a foreign government unless authorized by act of Congress. (Article I, section 9)

(b) Rules and comment. (1) Except as provided in subparagraph (2) of this paragraph, a Bank employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:

(i) Has, or is seeking to obtain, contractual or other business or financial relations with the Bank; or

(ii) Has interests that may be substantially affected by the performance or nonperformance of the Bank employee's official duty. In those cases in which the tender of any such gift, gratuity or other thing of monetary value occurs under circumstances making the return thereof to the doner either impractical or impossible, or where it is considered that the return thereof would occasion embarrassment to the Bank, the Bank employee shall promptly deliver the item involved to the Administrative Officer of the Bank. All such items delivered to the Administrative Officer shall be disposed of by him in accordance with instructions of the Ethics Committee (see Subpart B of this part).

(2) Notwithstanding the foregoing, a Bank employee may:

(i) Accept gifts, entertainments, or favors given as a result of obvious family or personal relationships (such as those between parents, children, or spouse of the Bank employee and the Bank employee) when the circumstances make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors;

(ii) Accept food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting (including functions sponsored by a government or an embassy and ceremonial func

tions), or on an inspection tour where such Bank employee is authorized by the Bank to be in attendance;

(iii) Accept loans from banks or other financial institutions on customary terms to finance proper and usual activities of einployees, such as home mortgage loans; and

(iv) Accept unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.

(V) Accept table favors, mementos, remembrances, or other tokens bestowed at official functions and other gifts of minimal value received as souvenirs or marks of courtesy from a foreign government, the burden of proof being upon the recipient to establish that the gift is of minimal value (80 Stat. 952). 131 F.R. 3048, Feb. 22, 1966, as amended at 32 F.R. 13758, Oct. 3, 1967) $ 400.735–6 Outside employment and

other activities. (a) Statutory. Criminal statutes forbid a Bank employee, except in discharge of official duty, from representing anyone else before a court or a Government agency in a matter in which the U.S. Government is a party or has a direct and substantial interest. (18 U.S.C. 205.)

(b) Rules and comment. (1) A Bank employee shall not engage in outside employment or other outside activity not compatible with the full and proper discharge of the duties and responsibilities of his Bank employment. Incompatible activities include but are not limited to:

(1) Acceptance of a fee, compensation, gift, payment of expense, or any other thing of monetary value in circumstances in which acceptance may result in, or create the appearance of, conflicts of interest; or

(ii) Outside employment which tends to impair his mental or physical capacity to perform his Bank duties and responsibilities in an acceptable manner.

(2) Bank employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law or regulations. However, a bank employee shall not, either for or without compensation, engage in teaching, lecturing, or writing, including teaching, lecturing, or writing for the purpose of the special preparation of a person or class of persons for an examination of the Commission or Board of Examiners for the Foreign Service, that depends on information obtained as a result of his Bank

employment, except when that information has been made available to the general public or will be made available on request, or when the President of the Bank gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.

(3) (Reservedl

(4) To assure that no possible conflict with Bank duties and interest shall arise, a Bank employee shall disclose the nature of all outside employment to the Ethics Committee and not undertake such employment unless the Ethics Committee shall approve.

(5) This section shall not preclude a Bank employee from:

(i) Participating in discussions and meetings of a professional nature held outside of Washington to which such Bank employee has been invited and from receiving from outside sources bona fide reimbursement for actual expenses of travel and subsistence incurred in connection with his participation if such Bank employee's participation is not a part of his official duties at the Bank.

(ii) Accepting (unless prohibited by law) the unsolicited provision by others of transportation, lodging, or meals or the unsolicited reimbursement by others for the cost thereof, provided acceptance by the Bank employee was made while the Bank employee was on official travel status and was engaged in Bank business, provided the transportation, lodging, or meals which were provided or subject to reimbursement by others, were not excessive in value and provided the Bank employee does not accept reimbursement from the Bank for such transportation, lodging, or meals. However, this paragraph does not allow an employee to be reimbursed, or ayment to be made on his behalf, for excessive personal living expenses, gifts, entertainment or other personal benefits, nor does it allow an employee to be reimbursed by a person for travel on official business under agency orders when reimbursement is proscribed by Decision B-128527 of the Comptroller General dated March 7, 1967.

(iii) Participating in the affairs of or acceptance of an award for a meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit educational and recreational, public service, or civic organization. 131 F.R. 3048, Feb. 22, 1966, as amended at 32 F.R. 13758, Oct. 3, 1967; 33 F.R. 11646, Aug. 16, 1968)

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