立

ec.

36.735-40 Specific provisions or regulations

for special Corporation employees.

36.735-41 Reviewing statements and reporting conflicts of interest. 36.735-42 Disciplinary and other remedial action.

Appendix A-Employees who must fle tatements.

AUTHORITY: The provisions of this Part 336 ssued under E.O. 11222; 3 CFR, 1964-1965 Comp.; 5 CFR 735.104.

SOURCE: The provisions of this Part 336 ppear at 31 F.R. 5751, Apr. 14, 1966, unless >therwise noted.

Subpart A-General Provisions

§ 336.735-1 Purpose.

The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Corporation employees and special Corporation employees is essential to assure the proper performance of the Corporation business and the maintenance of confidence by citizens in their Government. The avoidance of misconduct and conflicts of interests on the part of Corporation employees and special Corporation employees through informed judgment is indispensable to the maintenance of these standards. To accord with these concepts, this part sets forth the Corporation's regulations covering the Corporation's employees and special Corporation employees, prescribing standards of conduct and responsibilities, and governing statements reporting employment and finan#cial interests.

§ 336.735-2 Definitions.

In this part:

(a) "Employee" means an officer or employee of the Corporation, but does not include a special Corporation employee.

(b) "Executive order" means Executive Order 11222 of May 8, 1965.

(c) "Person" means an individual, a bank, a corporation, a company, an association, a firm, a partnership, a society a joint stock company, or any other organization or institution.

(d) "Special Corporation employee" #means a "special Government employee" as defined in section 202 of Title 18 of the United States Code.

§ 336.735-3 Effective date, distribution, and counseling.

(a) This part and any amendment thereto shall be effective after approval by the Civil Service Commission and upon the publication in FEDERAL REGISTER.

(b) The Personnel Division of the Corporation shall distribute one copy (and supply additional copies on request) of this part to every employee and every special Corporation employee within 90 days after the effective date, and to each new employee and special Corporation employee at the time of entrance on duty, and distribute to every employee and every special Corporation employee each calendar year thereafter a reminder of the basic provisions of this part.

(c) A Counselor designated herein and Deputy Counselors, appointed by the Chariman of the Board, shall be available for counseling and guidance respecting statutes and regulations affecting employee responsibility and conduct, including interpretations of the provisions of this part, and each employee and special Corporation employee shall be notified of this service by the Personnel Division at the time he receives a copy of this part.

(d) The Assistant to the Chairman of the Board of Directors of the Corporation shall act as the Corporation's Counselor. Subpart B-Ethical and Other Conduct and Responsibilities of Employees § 336.735-10 Proscribed actions.

An employee shall avoid any action, whether or not specifically prohibited by this subpart which might result in, or create the appearance of:

(a) Using public office for private gain;

(b) Giving preferential treatment to any person;

(c) Impeding Corporation efficiency or economy;

(d) Losing complete independence or impartiality;

(e) Making a Corporation decision outside official channels; or

(f) Affecting adversely the confidence of the public in the integrity of the Corporation.

[32 F.R. 13964, Oct. 7, 1967] § 336.735-11

favors.

Gifts, entertainment, and

(a) Except as provided in paragraphs (b) and (f) of this section, an 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:

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

(2) Conducts operations or activities that are regulated or examined or may be regulated or examined by the Corporation;

(3) Has interests that may be substantially affected by the performance or noperformance of his official duty.

(b) Paragraph (a) of this section shall not apply:

(1) Where obvious family or personal relationships govern (such as those between the parents, children, or spouse of the employee and the 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;

(2) To the acceptance of food, refreshments, and accompanying entertainment of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other function or on an inspection tour where an employee is properly in attendance;

(3) The acceptance of lodging on rare or infrequent occasions where an employee is properly in attendance and circumstances thereof are reported to the Corporation;

(4) To the acceptance of unsolicited advertising or promotional material such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value; and

(5) To the acceptance and loans from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans. However, a Corporation examiner or assistant examiner shall not accept a loan of gratuity from any bank examined by him or any bank he has the authority to examine or from any person connected therewith (18 U.S.C. 212 and 213).

(c) [Reserved]

(d) An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351). However, this paragraph 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.

(e) An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and in Public Law 89-673, 80 Stat. 952.

(f) Neither this section nor § 336.73512 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for which no Corporation payment or reimbursement is made. However, this paragraph does not allow an employee to be reimbursed, or payment 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 Corporation orders when reimbursement is prescribed by the Corporation.

[31 F.R. 5751, Apr. 14, 1966, as amended at 32 F.R. 13964, Oct. 7, 1967]

§ 336.735-12 Outside employment.

(a) An 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 Corporation 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 interests; or

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

(b) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Corporation (18 U.S.C. 209).

(c) A Corporation examiner or assistant examiner shall not perform any other service, for compensation, for any bank, or for any person connected therewith (18 U.S.C. 1909).

(d) Employees are encouraged to engage in teaching, lecturing, speaking and writing relating to the Corporation's functions or responsibilities. However, an employee shall not, either for or with

out compensation, engage in any such activity that is dependent on information obtained as a result of his Corporation employment except when that information has been made available to the general public or will be made available on request, or when the Corporation Chairman gives written authorization for use of nonpublic information on the basis that the use is in the public interest. And no employee shall write for publication or accept invitations to speak before banking or other public organizations on matters concerning the Corporation without prior approval and prior clearance of their manuscript by the Corporation. In addition, an employee who is a Presidential appointee covered by section 401(a) of the Executive Order shall not receive compensation or anything of monetary value for any consultation, lecture, discussion, writing, or appearance, the subjecct matter of which is devoted substantially to the responsibilities, programs, or operations of the Corporation, or which draws substantially on official data or ideas which have not become part of the body of public information.

(e) An employee shall not engage in outside employment under a State or local government, except in accordance with Part 734 of the Civil Service Regulations (5 CFR Part 734).

(f) This section does not preclude an employee from:

(3) Engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Corporation employment.

(b) This section does not preclude an employee from having a financial interest or engaging in financial transactions to the same extent as a private citizen not employed by the Corporation so long as it is not prohibited by law, the Executive Order, this section, or the regulations in this part.

(c) Having concluded that an employee's indirect financial interest in insured bank or other corporate stock through ownership of shares in widely held mutual funds which do not specialize in any particular industry is too remote and inconsequential to affect the integrity of such employee's services, general approval is hereby granted for employees to own shares in such mutual funds.

[31 F.R. 5751, Apr. 14, 1966, as amended at 32 F.R. 13964, Oct. 7, 1967; 37 F.R. 12715, June 28, 1972]

§ 336.735-14 Use of Corporation property.

An employee shall not directly or indirectly use, or allow the use of, Corporation property of any kind, including property leased to the Corporation, for other than officially approved activities. An employee has a positive duty to protect and conserve Corporation property, including equipment, supplies, and other property entrusted or issued to him. § 336.735-15 Misuse of information.

For the purpose of furthering a private interest, an employee shall not, except as provided in § 336.735-12 (d), directly or indirectly use, or allow the use of, official information obtained through or in connection with his Corporation employment which has not been made available to the general public.

§ 336.735-16 Indebtedness.

An employee shall pay each just flnancial obligation in a proper and timely manner, especially one imposed by law such as Federal, State, or local taxes. For the purpose of this section, a "just financial obligation" means one acknowledged by the employee or reduced to judgment by a court, and "in a proper and timely manner" means in a manner that the Corporation will not be called upon to assist a creditor in the collection

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.

§ 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 appropriate 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 employment.

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 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.

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 Employment 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

grants or subsidies;

monitoring

(iii) 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]

§ 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