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& 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. (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 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 appearanceof 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 AMEMPLOYEES 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

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PART 400-STANDARDS OF

CONDUCT Sec. 400.735-1 General. Subpart A-Regular Full-time Bank Employees

Standards of Conduct 400.735-5 Gifts, gratuities, entertainment,

Sec. 400.735-31 Bank employees other than reg

ular full-time. 400.735-32 Presidential appointees. Subpart D-Procedures Applicable to Other Than

Regular Full-Time Bank Employees and certain

Related Standards of Conduct 400.735–40 Procedures governing appoint

ment and utilization. 400.735–41 Standards of conduct for per

sons appearing before the Bank other than as officers

or employees of the Bank. 400.735–42 Standards of conduct applicable

to special Government em

ployees. Subpart E-Procedures for Submission of State

ments of Employment and Financial Interests 400.735–50 Applicability. 400.735-51 Time and place for submission. 400.735–52 Form of statements. 400.735–53 Confidentiality of employees'

statements. 400.735-54 Effect of employees' statements

on other requirements. 400.735-55 Review of statements and reme

dial action. AUTHORITY: The provisions of this part 400 issued under E.O. 11222; 3 CFR 1964–1965 Comp.; 5 CFR 735.104.

SOURCE: The provisions of this Part 400 appear at 31 F.R. 3048, Feb. 22, 1966, unless otherwise noted. § 400.735-1 General.

(a) Subparts A through C of this part are issued to direct attention of Bank employees to certain important provisions of statute, in particular Public Law

and favors. 400.735–6 Outside employment and other

activities. 400.735-7 Financial interest of Bank em

ployee or connected person or

entity. 400.735–8 Confidential information. 400.735-9 Former employees. 400.735–10 Future employment. 400.735-11 Recommendation of outside

services. 400.735–12 Use of Government property. 400.735–13 Personal financial integrity. 400.735–14 Gambling, betting, and lotteries. 400.735-15 General conduct prejudicial to

the Bank. 400.735–16 Courtesy. 400.735–17 Miscellaneous statutory provi

sions,

Subpart B-Implementation 400.735–20 Dissemination. 400.735-21 Ethics Committee. 400.735-22 Counselor on Ethics. 400.735–23 Deputy Counselor on Ethics. 400.735–24 Availability of counseling. 400.735-25 Complaints. 400.735–26 Disciplinary and other remedial

action. Subpart C—Special Categories of Bank Employees 400.735–30 Bank employees who are re

quired to submit statements of employment and financial interests.

66-027-72-- --11

87-849 effective January 21, 1963, relat- self, and prohibit a Bank employee from ing to bribery, graft, and conflicts of in- making a donation as a gift to a Bank terest, and to Executive Order 11222, employee in a superior official position. dated May 8, 1965—Prescribing Stand- (5 U.S.C. 7351) However, Civil Service ards of Ethical Conduct for Government Regulations provide that the foregoing Officers and Employees, and to set forth does not prohibit a voluntary gift of additional rules which each Bank em- nominal value or donation in a nominal ployee must observe. The references to amount made on a special occasion such statutes appearing in Subparts А as marriage, illness, or retirement. through C of this part are not intended (5) The Constitution prohibits an to be complete and the comments are officer of the Federal Government from not intended to be exhaustive. There- accepting a gift, present, decoration, or fore, even though Bank employees shall other thing from a foreign government be expected to conduct themselves in unless authorized by act of Congress. accordance with Subparts A through C (Article I, section 9) of this part, they shall not regard these (b) Rules and comment. (1) Except requirements as the entire expression of as provided in subparagraph (2) of this the highest standards of conduct and paragraph, a Bank employee shall not integrity.

solicit or accept, directly or indirectly, (b) Subpart D of this part pre- any gift, gratuity, favor, entertainment, scribes procedures governing the ap- loan, or any other thing of monetary pointment and utilization of other than value, from a person who: regular full-time Bank employees, and (i) Has, or is seeking to obtain, constandards of conduct for persons ap- tractual or other business or financial pearing before the Bank other than as relations with the Bank; or officers or employees of the Bank and (ii) Has interests that may be substandards of conduct applicable to spe- stantially affected by the performance cial Government employees.

or nonperformance of the Bank em(c) Subpart E of this part pre- ployee's official duty. scribes procedures for the submission of

In those cases in which the tender of any statements of employment and financial Interests.

such gift, gratuity or other thing of

monetary value occurs under circumSubpart A-Regular Full-Time Bank stances making the return thereof to the Employees-Standards of Conduct doner either impractical or impossible, or

where it is considered that the return § 400.735–5 Gifts, gratuities, entertain- thereof would occasion embarrassment ment, and favors.

to the Bank, the Bank employee shall (a) Constitutional and statutory. (1) promptly deliver the item involved to Criminal status prohibit a Bank em- the Administrative Officer of the Bank. ployee from soliciting or receiving any- All such items delivered to the Adminthing of value to himself or another in istrative Officer shall be disposed of by return for being influenced in the per- him in accordance with instructions of formance of an official act. (18 U.S.C. the Ethics Committee (see Subpart B of 201)

this part). (2) Criminal statutes prohibit a Bank (2) Notwithstanding the foregoing, a employee from soliciting or receiving for Bank employee may: himself anything of value for or because (i) Accept gifts, entertainments, or of any official act performed or to be favors given as a result of obvious family performed by the Bank employee. (18 or personal relationships (such as those U.S.C. 201)

between parents, children, or spouse of (3) Criminal statutes forbid outside the Bank employee and the Bank empay for Government work. (18 U.S.C. ployee) when the circumstances make it 209)

clear that it is those relationships rather (4) Statutes prohibit a Bank employee

than the business of the persons confrom soliciting contributions from an- cerned which are the motivating factors; other Bank employee for a gift to a Bank

(ii) Accept food and refreshments of employee in a superior official position, nominal value on infrequent occasions prohibit a Bank employee in a superior in the ordinary course of a luncheon or official position from accepting a gift dinner meeting or other meeting (includpresented as a contribution from Bank ing functions sponsored by a government employees receiving less salary than him- 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 employees, 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, frorn 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:

(i) 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) (Reserved)

(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 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 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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