other outside activity, including teaching, lecturing, writing, consultation, discussion or appearance, with or without compensation, in circumstances which might (1) reasonably result in a conflict of interest or an apparent conflict of interest between his private interests and his official Government duties and responsibilities; or (2) interfere with the efficient performance of his official duties; or (3) bring discredit upon, or cause unfavorable criticism of, the Commission.

(b) Advance authorization for employees to engage in outside employment or other outside activity described in paragraph (a) of this section, in any event, shall be obtained from the Director of Personnel, via supervising channels. See ICC Manual-Administration, pp. 22-781 and 24-311.

§ 1000.735-17 Future employment.

If a member or employee of the Commission entertains a proposal for future employment by any person subject to regulation by the Commission or by associations or representatives of such persons, such member or employee should refrain from participating in the decision or disposition of any matter in which such person, association or representative is known to have a direct or substantial interest, both during such negotiation and, if such employment is accepted, until he severs his connection with the Commission.

§ 1000.735-18 Ex parte communication. Members and employees of the Commission must conform to the standards adopted by the Commission on July 1, 1963, reprinted in Appendix C of the General Rules of Practice of the Commission (Part 1100 of this chapter).

§ 1000.735-19 Use of Federal property.

Members and employees of the Commission shall not directly or indirectly use, or allow the use of, Federal property of any kind, including property leased to the Government, for other than officially approved activities. They also have a positive duty and responsibility to protect and conserve all Federal property, including equipment, supplies and other property, which is entrusted or issued to them.

§ 1000.735-21 Indebtedness.

Members and employees 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 which the agency determines does not, under the circumstances, reflect adversely on the Government as his employer. In the event of dispute between an employee and an alleged creditor, this section does not require an agency to determine the validity or amount of the disputed debt.

§ 1000.735-22 Immoral or notoriously disgraceful conduct.

Members and employees of the Commission shall not engage in criminal, infamous, dishonest, improper or disgraceful conduct which violates common decency or morality or subjects the Commission to adverse criticism or disrepute. § 1000.735-23 Intermediaries.

Members and employees of the Commission shall not recommend or suggest the use of any nongovernmental intermediary (individual, firm, corporation, or other entity) offering any service as consultant, agency representative, attorney, expeditor, or specialist for the purpose of assisting in any negotiations, transactions, or other business with or before this Commission: Provided, however, That making available general reference lists of such nongovernmental intermediaries, the use of which is authorized by the Secretary of the Commission, shall not be deemed to be in violation of this section.

§ 1000.735-24 Gambling, betting, and lotteries.

Members and employees shall not participate, while on federally-owned or leased property or while on duty for the Commission, 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, ticket, chance, voice, share or any other similar device.

§ 1000.735-25 Miscellaneous statutory provisions.

Each member and employee shall acquaint himself with the statutory pro

visions in Appendix II to this subpart which relate to his ethical and other conduct as a member and employee of the Commission and the Government. § 1000.735-26 Statements of employment and financial interests.

(a) All employees in the positions specified in Appendix I to this subpart shall submit to the Director of Personnel within 90 days from the effective date of the regulations in this subpart, or if appointed after said effective date, within 30 days after his entrance on duty, a confidential statement of employment and financial interests on ICC Form No. 1164. Pursuant to the grievance procedures enumerated in ICC ManualAdministration, pp. 22-725, employees so specified may file and have reviewed a complaint that his position has been improperly designated as one requiring the submission of a statement of employment and financial interests.

(b) Any 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. Where no changes or additions occur, a negative report is required.

(c) The financial statements required by this section are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. The submission of financial statements by employees does not permit him or any other person to participate in matters in which participation is prohibited by law, order, or regulation. Notwithstanding the filing of such statements, employees 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 18 U.S.C. 208, or these Canons of Conduct.

(d) The interest, if any, of a spouse, minor child, or any blood relation who is a member of, and resident in an employee's immediate household shall be reported as his interest. If that information is to be supplied by others, it should be so indicated in Part IV of ICC Form 1164.

(e) In the event any of the required information, including holdings placed in trust, is not known to the employee but is known to another person, the employee should request that other person to submit the information on his behalf and

should report such request in Part IV of ICC Form 1164.

(f) Employees are not required to submit any information relating to their connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or any similar organization not conducted as a business enterprise and which is not engaged in the ownership or conduct of a business enterprise. Educational and other institutions doing research and development or related work involving grants of money from contracts with the Government are deemed "business enterprises" for purposes of this report and should be included.

§ 1000.735-27

Review of statements of employment and financial interests. (a) Financial statements shall be held confidential. An officer or employee charged with the review thereof is responsible for maintaining the statements in confidence and shall not allow access to, or allow information to be disclosed from, such statements except to carry out the purposes of these Canons and as the Chairman of the Civil Service Commission may determine for good cause shown.

(b) The Director of Personnel shall review the annual statements and supplementary statements of employment and financial interests for the purpose of ascertaining the existence of conflicts of interests on the part of employees and shall notify the employee concerned, who shall promptly submit an explanation of the conflicts or appearance of conflicts of interest to the Director of Personnel.

(c) The Director of Personnel shall seek the advice of the General Counsel when there is a conflict or appearance of conflict of interest. The General Counsel shall render his opinion to the Director of Personnel who shall inform the employee of necessary steps to be taken to remedy the situation. If the matter is not resolved by appropriate action of the employee or otherwise, the Director of Personnel shall report the conflict or appearance of conflict through the Managing Director and the General Counsel (who is the counselor for the agency) to the Chairman.

(d) Upon consideration of the employee's explanation and the report of the General Counsel, the Chairman shall decide and direct, if necessary, the Director of Personnel to take immediate and

appropriate disciplinary or other remedial action to end the conflict or apparent conflict of interest in accordance with the appropriate procedures specified in ICC Manual-Administration, beginning on p. 22-761.

§ 1000.735-28 Interpretation and advisory service.

(a) The Director of Personnel shall furnish a copy of the Canons of Conduct to each member and employee immediately upon issuance and to each new member and new employee upon his entrance on duty and shall thereafter, annually or as circumstances may warrant, bring to the attention of each member and employee the Canons of Conduct and all revisions thereof.

(b) Legal advice shall be provided to members and employees with respect to interpretations of these Canons of Conduct, questions of conflicts of interest, or any other matters covered therein by designation of a Counselor and Deputy Counselors by the Chairman.

§ 1000.735-29 Specific provisions governing special Government employ

ees.

(a) A special Government employee, as defined in 18 U.S.C. 202, shall not use (1) his Government employment for a purpose that is, or gives the appearance of being, motivated by a desire for private gain for himself or another person particularly one with whom he has family, business, or financial ties; (2) any 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; or (3) his Government 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.

(b) Special Government employees shall adhere to all Canons of Conduct specified in this subpart except §§ 1000.735-16(b) and 1000.735-26. In lieu thereof, each special Government employee shall submit a statement of his employment and financial interests on ICC Form No. 1163, to the Director of Personnel at the time of his employment and shall keep his statement current throughout his employment by submitting supplementary statements whenever

1. Director.

BUREAU OF TRAFFIC

2. Assistant Director

3. Chief, Informal Cases Branch, Section of Rates and Informal Cases.

4. Chairman and Members, Board of Suspension.

5. Chairman and Members, Fourth Section Board.

6. Chairman and Members, Special Permission Board.

7. Chairman and Members, Released Rates Board.

(Secs. 12, 17, 24 Stat. 383, as amended, 385, as amended, secs. 204, 205, 49 Stat. 546, as amended; secs. 304, 316, 54 Stat. 933, 946; secs. 403, 417, 56 Stat. 285, 297; 49 U.S.C. 12, 17, 304, 305, 904, 916, 1003, 1017) [33 F.R 4370, Mar. 9, 1968, as amended at 34 FR 441, Jan. 11, 1969]

APPENDIX II-MISCELLANEOUS STATUTORY
PROVISIONS

Each employee has a positive duty to acquaint himself with each statute that relates to his ethical and other conduct as an employee of the Interstate Commerce Commission and of the Government. Therefore, each member and employee shall acquaint himself with the following statutory and nonstatutory provisions which relates to his ethical and other conduct:

1. House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the Code of Ethics for Government Service;

2. The prohibition against bribery of public officials (18 U.S.C. 201) which imposes a maximum penalty of $20,000 fine or three times the money or thing received, whichever is greater; 15 years' imprisonment; or both; and removal;

3. The prohibition against receiving compensation for claims, contracts, etc. (18 U.S.C. 203), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both; and removal;

4. The prohibition against prosecuting claims against and other matters affecting the Government (18 U.S.C. 205), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both;

5. The prohibition against prosecuting claims involving matters connected with former duties disqualification of partners (18 U.S.C. 207), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both;

6. The prohibition against an interested person acting as a Government agent (18 U.S.C. 208), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both;

7. The prohibition against salaries or contributions from other than Government sources (18 U.S.C. 209), which imposes a maximum penalty of $5,000 fine; 1 year imprisonment; or both;

8. The prohibition against acceptance of solicitation to obtain public office (18 U.S.C.

211), which imposes a maximum penalty of $1,000 fine; 1 year imprisonment; or both; 9. The prohibition against lobbying with appropriated funds (18 U.S.C. 1918), which imposes a maximum penalty of $500 fine; 1 year imprisonment; or both; and removal; 10. The prohibition against disloyalty and striking (5 U.S.C. 7311; 18 U.S.C. 1915), which imposes a maximum penalty of $1,000 fine; 1 year and a day's imprisonment; or both; and removal;

11. The prohibition against employment of member of Communist organization (50 U.S.C. 784), which imposes a maximum penalty of $10,000 fine; 5 years' imprisonment; or both; and removal;

12. The prohibition against disclosing of classified information (18 U.S.C. 789, 50 U.S.C. 788), which imposes a maximum penalty of $10,000 fine; 10 years' imprisonment; or both;

13. The prohibition against disclosing of confidential information (18 U.S.C. 1905), which imposes a maximum penalty of $1,000 fine; 1 year imprisonment; or both; and removal;

14. The prohibition against habitual use of intoxicants to excess (5 U.S.C. 7352), which imposes a maximum penalty of removal;

15. The prohibition against the misuse of Government vehicles (81 U.S.C. 638a(c)), which imposes a maximum penalty of removal;

16. The prohibition against the misuse of franking privilege (18 U.S.C. 1719), which imposes a maximum penalty of $300 fine;

17. The prohibition against the deceit in examination or personnel action (18 U.S.C. 1917), which imposes a maximum penalty of $1,000 fine; 1 year imprisonment; or both;

18. The prohibition against fraud and false statement (18 U.S.C. 1001), which imposes a maximum penalty of $10,000 fine; 5 years' imprisonment; or both;

19. The prohibition against multilating or destroying public records (18 U.S.C. 2071), which imposes a maximum penalty of $2,000 fine; 3 years' imprisonment; or both; and removal;

20. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508), which imposes a maximum penalty of $5,000 fine; 10 years' imprisonment; or both;

21. The prohibition against embezzlement and theft of Government money, property, or records (18 U.S.C. 641), which imposes a maximum penalty of $10,000 fine; 10 years' imprisonment; or both;

22. The prohibition against failure to account for public money (18 U.S.C. 643), which imposes a maximum penalty of fine equal to amount embezzled; imprisonment not more than 10 years; or both;

23. The prohibition against wrongfully converting property of another (18 U.S.C. 654), which imposes a fine equal to amount embezzled: imprisonment not more than 10 years; or both;

24. The prohibition against unauthorized use of documents relating to duties (18 U.S.O.

285), which imposes a maximum penalty of $5,000 fine; 5 years' imprisonment; or both; 25. The prohibition against political activity (Subch. III of Ch. 73, of Title 5, U.S.C.), which imposes a maximum penalty of removal;

26. The prohibition against solicitation of political contributions (18 U.S.C. 602), which imposes a maximum penalty of $5,000 fine; 3 years' imprisonment; or both;

27. The prohibition against solicitation of political contributions in Federal buildings (18 U.S.C. 603), which imposes a maximum penalty of $5,000 fine; 3 years' imprisonment; or both;

28. The prohibition against making political contributions (18 U.S.C. 607), which imposes a maximum penalty of $5,000 fine; 3 years' imprisonment; or both;

29. The prohibition limiting political contributions and purchases (18 U.S.C. 608) which imposes a maximum penalty of $5,000 fine; 3 years' imprisonment; or both;

30. The prohibition against making a donation as a gift to an employee in a superior official position (5 U.S.C. 7351);

31. The prohibition against holding stocks or having other pecuniary interest in any mode of transportation (49 U.S.C. 11 and 305(1));

32. The prohibition against participating in any hearing or proceedings in which there is pecuniary interest (49 U.S.C. 17(3)); and,

33. 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).

between 8:30 a.m. and 5:00 p.m., Monday through Friday.

(a) Copies of tariffs, rate schedules, section 22 quotations or tenders, classifications, powers of attorney, concurrences, and contracts filed with the Commission pursuant to sections 6, 22, 217, 218, 306, 405, and 409 of the Act (49 U.S.C. 6, 22, 317, 318, 906, 1005, and 1009).

(b) Annual and other periodic reports filed with the Commission pursuant to sections 20, 220, 313, and 412 of the Act (49 U.S.C. 20, 320, 913, and 1912).

(c) Annual reports, maps, profiles, and other data filed with the Commission pursuant to section 19a.

(d) All docket files, including pleadings, depositions, exhibits, transcripts of testimony, recommended and proposed reports, exceptions, briefs, and reports and orders of the Commission in any proceeding and carrier operating authorities granted in such proceedings.

(e) File of instruments or documents recorded pursuant to section 20c and index thereto.

(f) ICC Manual-Administration. § 1001.2

Records available at the Commission's regional and detached offices.

Copies of certain rate schedules, tariffs, reports and operating authorities filed by and applicable to motor and water carriers and freight forwarders are available for inspection at field offices the locations of which are set forth in the appendix to this part. Such records are available upon reasonable request during its regular business hours, Monday through Friday. Records not available at the field offices may be obtained and inspected in accordance with the provisions of § 1001.1.

§ 1001.3 Certified copies of records, etc.

Copies of and extracts from public records will be certified by the Secretary, under the seal of the Commission. Persons requesting the Commission to prepare such copies should clearly state the material to be copied, and whether it shall be certified. Charges will be made for certification and for the preparation of copies as provided in Part 1002 of this chapter.