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$ 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).
(g) The prohibitions against the disclosure of classified information (18 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).
(0) 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 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 § 400.735–20 Dissemination.
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), 400.735– 7(b) (1), 400.735–8(b) (4), 400.735–9(b), 400.735–10, 400.735–11, and 400.735– 30(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 $ 400.735– 7(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 decision or action has an economic imEthics.
pact on the interests of any non-Federal The General Counsel shall be Deputy
enterprise. Counselor on Ethics and shall be avail
(b) The time and manner of submisable to give authoritative advice and
sion of statements, and the procedures guidance to each Bank employee on mat
with respect thereto, are specified in ters covered by Subparts A through C of
Subpart E of this part. this part, including any matter arising
(c) Any Bank employee who considers under $ 400.735–7(b) (2).
that his position has been improperly in
cluded among those requiring the sub$ 400.735–24 Availability of counseling. mission of statements of employment Each Bank employee may consult the
and financial interests may submit the General Counsel at any time for coun
matter for review by the Ethics Commitseling on problems raised by Subparts A tee created pursuant to $ 400.735–21 of through C of this part.
Subpart B of this part, or in accordance with the Bank's established procedures
governing grievances and complaints as $ 400.735–25 Complaints.
prescribed in Staff Memorandum No. 12 Complaints from any source concern- dated January 29, 1960. ing the subject matter of Subparts A (31 F.R. 3048, Feb. 22, 1966, as amended at through C of this part, whether emanat- 32 F.R. 13758, Oct. 3, 1967) ing from within or outside the Bank, are to be submitted to the Chairman of the
§ 400.735-31 Bank employees other
than regular full-time. Ethics Committee.
Most of the statutes on employees' $ 400.735–26 Disciplinary and other
conduct are applicable to all directors, remedial action.
officers, and employees of the Bank, If a Bank employee violates any of the whether full-time or part-time, whether provisions of Subparts A through C of employed or retained on a consulting this part he shall be subject to the penal- capacity, and whether compensated or ties provided by law, and to such addi- not. However, there are special provitional disciplinary and other remedial sions applicable to part-time officers and action, including, among others, dismis- employees of the Bank with regard to sal, suspension, or reduction in rank, as their activities before Government agenis appropriate. Disciplinary and other cies and the prohibition against outside remedial action shall be effected in ac- compensation does not apply to officers cordance with any applicable laws, Ex- and employees who serve without pay ecutive orders, and regulations.
or to certain officers and employees who
serve part time. Administrative actions Subpart 6-Special Categories of
and rules applicable to other than fuliBank Employees
time officers or employees of the Bank § 400.735–30 Bank employees who are
are covered by Subpart D of this part. required to submit statements of em- $ 400.735–32 Presidential appointees. ployment and financial interests.
The rules set forth in Subpart A of this (a) Statements of employment and fi- part are applicable to all Bank employees nancial interests shall be submitted by who were appointed to their positions by the following Bank employees:
the President of the United States, ex(1) Every Bank employee paid at a
cept that for purposes of the determinalevel of the Executive Schedule in sub
tion by the official responsible for the chapter II of chapter 53 of title 5, United Bank employee's appointment referred to States Code, but not including the Bank
in $ 400.735–7(b) (1), members of the employees who are subject to section Board of Directors other than the Presi401(a) of Executive Order 11222, May 8, dent of the Bank, shall have such de1965; and
termination made by the President of (2) Those Bank employees in grades the Bank. In addition, such Bank emGS-13 and above under section 5332 of ployees are subject to the provisions of title 5, United States Code, who occupy Part IV of Executive Order 11222 of May positions the basic duties and respon- 8, 1965, relating to submission of statesibilities of which require the incumbent ments by Presidential appointees and to be responsible for making a Bank de- to the requirement that they not receive cision or taking Bank action where the compensation or anything of monetary 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
be filed has basic duties and responsiSubpart D— Procedures Applicable to
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 im$ 400.735–40 Procedures governing ap
pact on the interests of any non-Federal
enterprise, or if such prospective officer pointment and utilization.
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, 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 hol 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,
pursuant to the procedures of paragraph worked on all such appointments and the
(e) of this section, whether or not such Bank's appointment during any of the
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
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