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(b) Neutrals selected by the parties. (1) In cases where the party members of a PL Board created under Public Law 89-456 mutually agree upon a neutral person to be a member of the Board, the party members will jointly so notify the Mediation Board, which Board will then issue a certificate of appointment to the neutral and arrange to compensate him as under paragraph (a) of this section.

(2) The same procedure will apply in cases where carrier and employee representatives are unable to agree upon the establishment and jurisdiction of a PL Board, and mutually agree upon a procedural neutral person to sit with them as a member and determine such issues. § 1207.4 Designation of PL Boards, filing of agreements, and disposition of records.

All

(a) Designation of PL Boards. special adjustment boards created under Public Law 89-456 will be designated PL Boards, and will be numbered serially, commencing with No. 1, in the order of their docketing by the National Mediation Board.

(b) Filing of agreements. The original agreement creating the PL Board under Public Law 89-456 shall be filed with the National Mediation Board at the time it is executed by the parties. A copy of such agreement shall be filed by the parties with the Administrative Officer of the National Railroad Adjustment Board, Chicago, Ill.

(c) Disposition of records. Since the provisions of section 2(a) of Public Law 89-456 apply also to the awards of PL Boards created under this Act, two copies of all awards made by the PL Boards, together with the record of proceedings upon which such awards are based, shall be forwarded by the neutrals who are members of such Boards, or by the parties in case of disposition of disputes by PL Boards without participation of neutrals, to the Administrative Officer of the National Railroad Adjustment Board, Chicago, Ill., for filing, safekeeping, and handling under the provisions of section 2(q), as may be required.

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(a) Public policy and the successful effectuation of the NMB's mission require that Board members and the employees of the NMB maintain a reputation for impartiality and integrity. Labor and management and other interested parties participating in mediation efforts must have assurance, as must labor organizations and individuals involved in questions of representation, that confidential information disclosed to Board members and employees of the NMB will not be divulged, voluntarily or by compulsion.

(b) Notwithstanding this general policy, the Board will under all circumstances endeavor to make public as much information as can be allowed. § 1208.4

Material relating to representation function.

(a) The documents constituting the record of a case, such as the notices of hearing, motions, rulings, orders, stenographic reports of the hearing, briefs, exhibits, findings upon investigation, determinations of craft or class, interpretations, dismissals, withdrawals, and certifications, are matters of official rec

ord and are available for inspection and examination during the usual business hours at the Board's offices in Washington.

(b) This part notwithstanding, the Board will treat as confidential the evidence submitted in connection with a representation dispute and the investigatory file pertaining to the representation function.

§ 1208.5 Material relating to mediation function-confidential.

(a) All files, reports, letters, memoranda, documents, and papers (hereinafter referred to as confidential documents) relating to the mediation function of the NMB, in the custody of the NMB or its employees relating to or acquired in their mediatory capacity under any applicable section of the Railway Labor Act of 1926, as amended, are hereby declared to be confidential. No such confidential documents or the material contained therein shall be disclosed to any unauthorized person, or be taken or withdrawn, copied or removed from the custody of the NMB or its employees by any person or by any agent of such person or his representative without the explicit consent of the NMB.

(b) However, the following specific documents: Invocation or proffer of mediation, the reply or replies of the parties, the proffer of arbitration and replies thereto, and the notice of failure of mediatory efforts in cases under section 5, First, of the Railway Labor Act, as amended, are matters of official record

and are available for inspection and examination.

(c) Interpretations of mediation agreements by the NMB, arising out of section 5, Second, of the Railway Labor Act, as amended, are public records and are therefore open for public inspection and examination.

§ 1208.6 Compliance with subpoenas.

(a) No person connected in any official way with the NMB shall produce or present any confidential records of the Board or testify on behalf of any party to any cause pending in any court, or before any board, commission, committee, tribunal, investigatory body, or administrative agency of the U.S. Government, or any State or Territory of the United States, or the District of Columbia, or any municipality with respect to matters coming to his knowledge in his official capacity or with respect to any information contained in confidential documents of the NMB, whether in answer to any order, subpoena, subpoena duces tecum, or otherwise without the express written consent of the Board.

(b) Whenever any subpoena or subpoena duces tecum calling for confidential documents, or the information contained therein, or testimony as described above shall have been served on any such person, he will appear in answer thereto, and unless otherwise expressly permitted by the Board, respectfully decline, by reason of this section, to produce or present such confidential documents or to give such testimony.

CHAPTER XII-FEDERAL MEDIATION AND

CONCILIATION SERVICE

Part

1400 Standards of conduct, responsibilities, and discipline.

1401 Availability of information.

1402 Procedures of the Service.

1403 Functions and duties.

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1400.735-33 Use of inside information.
1400.735-34

Coercion.

1400.735-35 Miscellaneous statutory provi

sions.

Subpart D-Statements of Employment and
Financial Interests

1400.735-40 Employees.

1400.735-41 Special Government employees.
1400.735-42 Confidentiality of statements.

Subpart E-Review of Statements, Disciplinary
Action: Responsibilities and Procedures
1400.735-50 Agency counselor.
1400.735-51

Director.

1400.735-52 Supervisor reporting.
1400.735-53 Reports to the Director.

Subpart F-Disciplinary Actions and
Penalties

1400.735-60 Disciplinary actions.

1400.735-61 Notice to and appeal of em-
ployee.

Appendix-Code of Professional Conduct for
Labor Mediators.

AUTHORITY: The provisions of this Part 1400 issued under E.O. 11222 of May 8, 1965, 30 F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR 735.104.

SOURCE: The provisions of this Part 1400 appear at 31 F.R. 5423, Apr. 6, 1966, unless otherwise noted.

Subpart A-General

§ 1400.735-1 Introduction.

(a) This part establishes a revised code of conduct, ethics, and responsibilities for all employees of the Service.

(b) The maintenance of high moral and ethical standards in the public service is essential both to efficiency in the conduct of Government business and to assuring the confidence of the public in their Government. Unwavering integrity and standards of behavior that reflect credit on the Government are required. The nature of Service operations requires that such a high standard of personal integrity and conduct must be established for and adhered to by its employees.

(c) The elimination of conflicts of interest and apparent conflicts of interest in the Federal service is one of the most important objectives in establishing general standards of conduct. A conflict of interest situation may be defined as one in which a Federal employee's private interest, usually of an economic nature, conflicts or raises a reasonable question of conflict with his public duties and responsibilities. The potential conflict is of concern whether it is real or only apparent. In this part are listed some of the kinds of conduct or activity prohibited or restricted by law, regulation, or commonly accepted standards of good conduct. These prohibitions are not allinclusive; in addition, employees should refrain from any action prejudicial to the best interest of the Service.

(d) The failure of an employee to observe the basic principles of good conduct, ethics. and integrity will result in immediate remedial, adverse or disciplinary action of a severity in keeping with the offense committed and in accordance with equitable administrative practice. The regulations in this part covering Employees of the Service and special Government employees are established in conformity with Part 735 of the Civil Service Regulations, 5 CFR Part 735.

§ 1400.735-2 Definitions.

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

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

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

(d) "Special Government employee" means a person appointed by the Service to a position as defined in FPM 735, Appendix C, and FPM 304-3.

§ 1400.735-3 Advice and counseling service.

The Director will designate a counselor for the Service on all matters relating to the conduct and responsibilities of employees, and special Government employees, under the Executive order. The counselor is responsible for providing individual employees with interpretations on questions of conflicts of interest, and other matters covered by this part. (Due to the small size of the Federal Mediation and Conciliation Service, it is unrealistic to designate deputy counselors, and therefore, all questions concerning matters covered in this part should be directed to the one counselor appointed by the Director.)

Subpart B-Employees: Ethical and Other Conduct and Responsibilities

§ 1400.735-10 Gifts, entertainment, and favors.

(a) Except as provided in paragraph (b) 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 Federal Mediation and Conciliation Service;

(2) Conducts operations or activities that are affected by Federal Mediation and Conciliation Service functions; or

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

(b) Exceptions may be necessary and appropriate in view of the nature of Federal Mediation and Conciliation Service work, and the duties and responsibilities of its employees. Appropriate exceptions are those that:

(1) Govern obvious family or personal relationships (such as those between the parents, children, or spouse of the employee and the employee) when the circumstances make it clear that those relationships rather than the business of the persons concerned are the motivating factors;

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

(3) Permit acceptance of loans from banks or other financial institutions on

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