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(f) Neither this section nor $ 336.735– Chairman gives written authorization 12 precludes an employee from receipt for use of nonpublic information on the of bona fide reimbursement, unless pro
basis that the use is in the public interest. hibited by law, for expenses of travel and And no employee shall write for publicasuch other necessary subsistence as is tion or accept invitations to speak before compatible with this part for which no banking or other public organizations on Corporation payment or reimbursement matters concerning the Corporation is made. However, this paragraph does without prior approval and prior clearnot allow an employee to be reimbursed, ance of their manuscript by the Corporaor payment to be made on his behalf, for tion. In addition, an employee who is a excessive personal living expenses, gifts, Presidential appointee covered by secentertainment, or other personal bene- tion 401(a) of the Executive Order shall fits, nor does it allow an employee to be not receive compensation or anything reimbursed by a person for travel on of monetary value for any consultation, official business under Corporation or- lecture, discussion, writing, or appearders when reimbursement is prescribed ance, the subject matter of which is deby the Corporation.
voted substantially to the responsibilities, 131 F.R. 5751, Apr. 14, 1966, as amended at programs, or operations of the Corpora32 F.R. 13964, Oct. 7, 1967)
tion, or which draws substantially on
official data or ideas which have not be8 336.735-12 Outside employment. come part of the body of public informa(a) An employee shall not engage in
tion. outside employment or other outside
(e) An employee shall not engage in activity not compatible with the full and
outside employment under a State or proper discharge of the duties and re
local government, except in accordance sponsibilities of his Corporation employ
with Part 734 of the Civil Service Regu
lations (5 CFR Part 734).
(f) This section does not preclude an (1) Acceptance of a fee, compensa
employee from: tion, gift, payment of expense, or any
(1) [Reserved] other thing of monetary value in cir- (2) Participation in the activities of cumstances in which acceptance may
National or State political parties not result in, or create the appearance of, proscribed by law. conflicts of interests; or
(3) Participation in the affairs of or (2) Outside employment which tends acceptance of an award for a meritorious to impair his mental or physical capacity public contribution or achievement given to perform his Corporation duties and by a charitable, religious, professional, responsibilities in an acceptable manner. social, fraternal, nonprofit educational
(b) An employee shall not receive any and recreational, public service, or civic salary or anything of monetary value organization. from a private source as compensation (31 F.R. 5751, Apr. 14, 1966, as amended at for his services to the Corporation (18 32 F.R. 13964, Oct. 7, 1967) U.S.C. 209).
(c) A Corporation examiner or assist-
$ 336.735-13 Financial interests.
(1) Own, directly or indirectly, or con(d) Employees are encouraged to eri
trol the ownership of stock in an insured gage in teaching, lecturing, speaking
bank, without full disclosure in writing and writing relating to the Corporation's
to, and with the approval of, the Board functions or responsibilities. However,
of Directors of the Corporation,
(2) Have a direct or indirect financial activity that is dependent on informa
interest that conflicts substantially, or tion obtained as a result of his Corpora
appears to conflict substantially, with tion employment except when that in- his Corporation duties and responsibiliformation has been made available to
ties; or the general public or will be made avail
(3) Engage in, directly or indirectly, able on request, or when the Corporation
a financial transaction as a result of,
Title 12--Chapter III
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. 131 F.R. 5751, Apr. 14, 1966, as amended at 32 F.R. 13964, Oct. 7, 1967)
§ 336.735–17 Gambling, betting, and
lotteries. 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 crim. inal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Corporation.
§ 336.735–14 Use of Corporation prop
erty. 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.
§ 336.735-19 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.
$ 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 financial 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 of a just financial obligation, and which the Corporation determines does not, under the circumstances, reflect adversely on it as the employer. In the event of dispute between an employee and an alleged creditor, this section does not require the Corporation to determine the validity or amount of the disputed debt.
(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 ha- particularly one with whom he has fambitual use of intoxicants to excess (5 ily, business, or financial ties. U.S.C. 7352).
§ 336.735–22 Use of inside information. (h) The prohibition against the misuse of a Government vehicle (31 U.S.C.
(a) A special Corporation employee 638a (c)).
shall not use inside information obtained
as a result of his Government employ(i) The prohibition against the mis
ment for private gain for himself or anuse of the franking privilege (18 U.S.C. 1719).
other person either by direct action on
his part or by counsel, recommendation, (j) The prohibition against the use of
or suggestion to another person, particudeceit in an examination or personnel
larly one with whom he has family, busiaction in connection with Government
ness, or financial ties. For the purpose employment (18 U.S.C. 1917).
of this section, "inside information" (k) The prohibition against fraud or means information obtained under Corfalse statements in a Government matter
poration authority which has not become (18 U.S.C. 1001).
part of the body of public information. (1) The prohibition against mutilating (b) A special Corporation employee or destroying a public record (18 U.S.C.
may teach, lecture, or write in a manner 2071).
not inconsistent with $ 336.735-12(d) in (m) The prohibition against counter
regard to employees. feiting and forging transportation requests (18 U.S.C. 508).
§ 336.735-23 Coercion. (n) The prohibitions against (1) em- A special Corporation employee shall bezzlement of Government money or not use his Corporation employment to property (18 U.S.C. 641); (2) failing to coerce, or give the appearance of coercaccount for public money (18 U.S.C. ing, a person to provide financial benefit 643); and (3) embezzlement of the to himself or another person, particumoney or property of another person in larly one with whom he has family, busithe possession of an employee by reason ness, or financial ties. of his employment (18 U.S.C. 654).
(0) The prohibition against unau- $ 336.735–24 Gifts, entertainment, and thorized use of documents relating to favors. claims from or by the Government (18 U.S.C. 285).
(a) Except as provided in paragraph
(b) of this section, a special Corporation (p) The prohibitions against political
employee, while so employed or in conactivities in subchapter III of chapter
nection with his employment, shall not 73 of title 5, United States Code and 18
receive or solicit from a person having U.S.C. 602, 603, 607, and 608.
business with this Corporation anything (q) The prohibition against the dis- of value as a gift, gratuity, loan, enterclosure of information by a bank exam- tainment, or favor for himself or another iner (18 U.S.C. 1906).
person, particularly one with whom he (r) The prohibition against an em- has family, business, or financial ties. ployee acting as the agent of a foreign (b) Exemptions to paragraph (a) of principal registered under the Foreign this section are the same as those authorAgents Registration Act (18 U.S.C. 219). ized to employees under $ 336.735–11(b). 131 F.R. 5751, Apr. 14, 1966, as amended at 32 F.R. 13964, Oct. 7, 1967)
$ 336.735-25 Miscellaneous statutory Subpart C-Ethical and Other Conduct
provisions. and Responsibilities of Special Cor
Each special Corporation employee poration Employees
shall acquaint himself with each statute
that relates to his ethical and other con$ 336.735-21 Use of Corporation em- duct as a special Corporation employee ployment.
of the Corporation and of the GovernA special Corporation employee shall
ment. In addition to the statutes cited not use his Corporation employment for
in the body of the regulations in this a purpose that is, or gives the appearance
part, the attention of each special Corof being, motivated by the desire for pri
poration employee is directed to the statvate gain for himself or another person,
utory provisions listed in § 336.735-19.
and financial interests. When a complaint cannot be resolved or explained satisfactorily to the employee he shall be granted a review of the matter through the Corporation's grievance procedure. (32 F.R. 13964, Oct. 7, 1967) $ 336.735–32 Employees not required
to submit statements. Employees subject to separate reporting requirements under section 401 of the Executive order. [32 F.R. 13964, Oct. 7, 1967)
$ 336.733–33 Time and place for sub
mission of employees' statements. An employee required to submit statements of employment and financial interest under $ 336.735–31 shall submit that statement to the Assistant to the Chairman of the Board of Directors not later than:
(a) Ninety days after the effective date of the agency regu'ations issued under this part if employed on or before that effective date; or
(b) Thirty days after his entrance on duty, but not earlier than ninety days after the effective date, if appointed after that effective date.
politi nizati enter tion, doing lated from are a
$ 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;
monitoring grants or subsidies;
(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. 132 F.R. 13964, Oct. 7, 1967) § 336.735–3la 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
§ 336.735–34 Supplementary state
ments. Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement as of June 30 each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or taking an action that would result, in a violation of the conflicts-of-interest provisions of section 208 of title 18, United States Code, or Subpart B of this part. (32 F.R. 13964, Oct. 7, 1967]
§ 336.735–35 Interests of employees
' relatives. The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this section, “member of an employee's immediate household" means
those blood relations of the employee who 8 336.735-39 Effect of employees' stateare residents of the employee's house
ments on other requirements. hold.
The statements of employment and fi8 336.735–36 Information not known
nancial interests and supplementary by employees.
statements required of employees are in
addition to, and not in substitution for, If any information required to be
or in derogation of, any similar requireincluded on a statement of employment
ment imposed by law, order, or regulaand financial interests or supplementary
tion. The submission of a statement or statement, including holdings placed in
supplementary statement by an emtrust, is not known to the employee but
ployee does not permit him or any other is known to another person, the employee
person to participate in a manner in shall request that other person to submit
which his or the other person's particinformation in his behalf.
ipation is prohibited by law, order, or § 336.735-37 Information prohibited. regulation.
This subpart does not require an em- $ 336.735-40 Specific provisions of regployee to submit on a statement of em
ulations for special Corporation em. ployment and financial interests or sup
ployees. plementary statement any information
(a) Except as provided in paragraph relating to the employee's connection
(b) of this section, each special Corporawith, or interest in, a professional society
tion employee shall submit a statement or a charitable, religious, social, frater
of employment and financial interests nal, recreational, pubiic service, civic, or
which reports: political organization or a similar orga
(1) All other employment; and nization not conducted as a business
(2) The financial interests of the speenterprise. For the purpose of this sec
cial Corporation employee which the tion, educational and other institutions
Corporation determines are relevant in doing research and development or re
the light of the duties he is to perform. lated work involving grants of money from or contracts with the Government
(b) The Chairman of the Corporation are deemed "business enterprises” and
may waive the requirement in paragraph are required to be included in an em
(a) of this section for the submission of a ployee's statement of employment and
statement of employment and financial financial interests.
interests in the case of a special Corporation employee, who is not a consultant or
an expert when the Chairman finds that § 336.735–38 Confidentiality of employ- the duties of the position held by that ees' statements.
special Corporation employee are of a The Corporation shall hold statements
nature and at such a level of responof employment and financial interest, sibility that the submission of the stateand each supplementary statement, in
ment by the incumbent is not necessary confidence. All statements shall be re- to protect the integrity of the Corporaceived, reviewed, and retained in the of- tion. For the purpose of this paragraph, fice of the assistant to the Chairman of
"consultant” and “expert" have the the Board of Directors who is responsible
meanings given those terms by Chapter for maintaining the statements in con
304 of the Federal Personnel Manual, but fidence and shall not allow access to, or
do not include a physician, dentist, or allow information to be disclosed from,
allied medical specialist whose services a statement except to carry out the pur
are procured to provide care and service pose of this part. The Corporation may to patients. not disclose information from a state
(c) A statement of employment and ment except as the Chairman of the Cor- financial interests required to be subporation or the Civil Service Commission mitted under this section shall be submay determine for good cause shown. mitted not later than the time of employ132 F.R. 13964, Oct. 7, 1967)
ment of the special Corporation em