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CHAPTER IV-FEDERAL MARITIME COMMISSION

NOTE: Reorganization Plan No. 7 of 1961, 26 F.R. 7815, Aug. 12, 1961, established the Federal Maritime Commission and transferred thereto certain functions of the Federal Maritime Board. See General Order 1, Federal Maritime Commission, 26 F.R. 7788, Aug. 19, 1961.

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SUBCHAPTER B-REGULATIONS AFFECTING MARITIME CARRIERS AND RELATED ACTIVITIES

510 Licensing of independent ocean freight forwarders.

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Reports by common carriers by water in the domestic offshore trades. Reports of rate base and income account by vessel operating common carriers in the domestic offshore trades.

Audits and Auditing Procedures.

Time for filing and commenting on certain agreements.

Regulations for filing copies of agreements under section 15, Shipping
Act, 1916.

Admission, withdrawal and expulsion provisions of steamship conference
agreements.

Free time and demurrage charges on import property applicable to all common carriers by water.

Shippers' requests and complaints.

Self-policing systems.

Rules governing the right of independent action in agreements.
Interpretations and statements of policy.

Publication, posting and filing of freight and passenger rates, fares, and
charges in the Domestic Offshore Trade.

Filing of tariffs by terminal operators.

Green hide weighing practices.

Filing of tariffs by common carriers by water in the foreign commerce of the
United States and by conferences of such carriers.

Conference agreement provisions relating to concerted activities.

538 Dual-rate contract systems in the foreign commerce of the United States. 540 Security for the protection of the public.

SUBCHAPTER A-GENERAL PROVISIONS

PART 500-EMPLOYEE RESPONSI

BILITIES AND CONDUCT

Subpart A---General Provisions

Sec.

500.735-1

500.735-2

500.735-3

500.735-4

500.735-5

Subpart B

500.735-10

500.735-11

500.735-12

500.735-13

500.735-14

500.735-15

500.735-16

500.735-17

Purpose.

Definitions.

Interpretation and advisory service.

Reviewing statements and re-
porting conflicts of interest.
Disciplinary and other remedial
action.

General Standards of Conduct
Proscribed actions.

Gifts, entertainment, and favors.
Outside employment and other
activity.

Financial interests.

Use of Government property.
Misuse of information.
Indebtedness.

Gambling, betting, and lotteries. 500.735-18 General conduct prejudicial to the Government.

500.735.19 Miscellaneous statutory provisions.

Subpart C-Special Government Employees
Standards of Conduct

500.735-21 Special Government employees; use of Government employment.

500.735-22 Special Government employees; use of inside information. 500.735-23 Special Government employees; coercion.

Subpart D-Statements of Employment and

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Subpart A-General Provisions § 500.735-1 Purpose.

The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Government employees and special Government employees is essential to assure the proper performance of the Government business and the maintenance of confidence by citizens in their Government. The avoidance of misconduct and conflicts of interest on the part of Government employees through informed judgment is indispensable to the maintenance of these standards. Reorganization Plan No. 7 of 1961, which established the Federal Maritime Commission, provided that officials or employees of the Commission are prohibited from employment with, or to have any pecuniary interest in, or hold any official relationship with, carriers by water, shipbuilder contractors, or other persons, firms, associations or corporations with whom the Commission may have business relations. The following sections of this part are in accordance with the requirements of the Civil Service Commission's Regulations (5 CFR Part 735) under Executive Order 11222, dated May 8, 1965.

§ 500.735-2 Definitions.

(a) "Commission" means the Federal Maritime Commission unless otherwise designated.

(b) "Employee" means officer or employee of the Commission including a special Government employee as defined in 18 U.S.C. 202.1

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

(d) "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.

§ 500.735-3 Interpretation and advisory service.

(a) The Chairman of the Commission shall designate an employee with the ap

118 U.S.C. 202 defines a "special Government employee" as including an officer or employee of any independent agency of the United States who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed 130 days during any period of 365 consecutive days, temporary duties either on a full-time or intermittent basis.

propriate legal experience and in whom he has complete personal confidence to be the Counsellor for the Commission on matters in connection with the regulations in this part. The Counsellor shall also serve as the Commission's designee to the Civil Service Commission on matters covered by the regulations in this part. He shall exercise responsibility for effectuation and coordination of the Commission's regulations and provide counseling and interpretations on questions of conflicts of interest and other matters covered by the regulations in this part.

(b) [Deleted]

(c) Employees shall be notified of the availability of counseling services and of how and where these services are available. This notification shall be made within 90 days after approval of the regulations in this part by the Civil Service Commission and periodically thereafter. In the case of a new employee appointed after this notification, notification shall be made at the time of his entrance on duty.

[32 F.R. 13382, Sept. 22, 1967]

§ 500.735-4 Reviewing statements and reporting conflicts of interest.

(a) There is hereby established a system for the review of statements of employment and financial interest submitted under § 500.735-31. This system of review is designed to disclose conflicts of interest or apparent conflicts of interest on the part of employees.

(b) The Counsellor or Deputy Counsellor shall review each such statement. Whenever it appears to the Counsellor that a statement contains evidence of a conflict of interest he shall notify the person signing that statement and shall discuss with him the information which gives rise to the apparent or real conflict and offer him an opportunity to explain the conflict or appearance of conflict. If the conflict or appearance of conflict is not resolved after this discussion the information concerning the confiict or appearance of conflict shall be reported to the Chairman of the Commission by the Counsellor.

§ 500.735-5 Disciplinary and other remedial action.

(a) A violation of the regulations in this part by an employee may be cause for an appropriate disciplinary action.

(b) After consideration of the explanation of the employee as provided in § 500.735-4 and the Chairman decides

that remedial action is required, he shall take immediate action to end the conflicts or appearance of conflicts of interest. Remedial action may include, but is not limited to:

(1) Changes in assigned duties;

(2) Divestment by the employee or special Government 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 laws, executive orders, and regulations.

Subpart B-General Standards of Conduct

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An employee shall avoid any action, whether or not specifically prohibited by this subpart, which might result in, or create the appearance of:

(a) Using public office for private gain;

(b) Giving preferential treatment to any person;

(c) Impending Government efficiency or economy;

(d) Losing complete independence or impartiality;

(e) Making a Government decision outside official channels; or

(f) Affecting adversely the confidence of the public in the integrity of the Government.

[32 F.R. 13382, Sept. 22, 1967] § 500.735-11

favors.

Gifts, entertainment, and

(a) Except as provided in paragraphs (b) and (f) 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, contractural or other business or financial relations with the Commission;

(2) Conducts operations or activities that are regulated by the Commission;

or

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

(b) Exceptions to paragraph (a) of this section are as follows:

(1) This section shall not be construed to proscribe conduct involving 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 it is those relationships rather than the business of the persons concerned which are the motivating factors;

(2) Under this section Commission employees are permitted to accept food and refreshments of nominal value on infrequent occasions in the ordinary course of a luncheon or dinner meeting or other meeting or on an inspection tour where an employee may properly be in attendance;

(3) Under this section employees are permitted to 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

(4) Under this section employees shall be permitted to accept unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.

(5) Under this section, Commission employees may participate in keel layings, christenings, and ship launchings and accept meals, accommodations, and entertainment related thereto when the invitation to such an event is addressed to the Commission and the Chairman of the Commission approves the acceptance of the invitation.

(c) [Deleted]

(d) An employee shall not solicit contributions from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351). However, this paragraph does not prohibit the use of completely voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement.

(e) An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and in Public Law 89-673, 80 Stat. 952.

(f) Neither this section nor § 500.73512 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for which no Government payment or reimbursement is made. 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. [32 F.R. 13382, Sept. 22, 1967] § 500.735-12 other activity.

Outside employment and

(a) An 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 Government employment. Incompatible activities inIclude but are not limited to:

(1) 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

(2) Outside employment which tends to impair his mental or physical capacity to perform his Government duties and responsibilities in an acceptable manner.

(b) An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Government (18 U.S.C. 209). This paragraph does not apply to special Government employees.

(c) Employees are encouraged to engage in teaching, lecturing, and writing that is not prohibited by law, the Executive Order, or the regulations in this part. However, an employee shall not, either for or without compensation, engage in teaching, lecturing, or writing that is dependent on information obtained as a result of his Government employment, except when that information has been made available to the general public or will be made available on request, or when the Chairman gives written authorization for the use of nonpublic information on the basis that the use is in the public interest. In addition, an employee who is a Presidential appointee covered by section 401(a) of the Executive Order shall not receive compensation or anything of monetary value for any consultation, lecture, discussion, writing, or appearance the subject matter of which is devoted substantially to the responsibilities, programs, or operations of the Commission, or which draws substantially on official data or ideas which have not become part of the body of public information.

(d) An employee shall not engage in outside employment under a State or local government, except in certain circumstances authorized by Part 734 of the Civil Service Commission Regulations (5 CFR Part 743) and explained in the Federal Personnel Manual, Part 734.

(e) This section does not preclude an employee from:

(1) [Deleted]

(2) Participation in the activities of National or State political parties not proscribed by law.

(3) Participation 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.

[31 F.R. 7180, May 17, 1966, as amended at 32 F.R. 13383, Sept. 22, 1967]

§ 500.735-13 Financial interests.

(a) An employee shall not:

(1) Have a direct or indirect financial interest that conflicts substantially, or appears to conflict substantially, with his Government duties and responsibilities; or

(2) Engage in, directly or indirectly, a financial transaction as a result of, or primarily relying on, information obtained through his Government 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 Government so long as it is not prohibited by law, the Executive Order, Civil Service regulations, or the regulations in this part.

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An employee shall not directly or indirectly use, or allow the use of, Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has a positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him. § 500.735-15 Misuse of information.

For the purpose of furthering a private interest, an employee shall not, except as provided in § 500.735-12(c) directly or indirectly use, or allow the use of, official information obtained through or in connection with his Government employ

ment which has not been made available to the general public.

§ 500.735-16 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 which the Commission 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 the Commission to determine the validity or amount of the disputed debt. § 500.735-17

lotteries.

Gambling, betting, and

An employee shall not participate, while on Government-owned or leased property or while on duty for the Government, 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 Commission approved activities. § 500.735-18

General conduct prejudicial to the Government.

An employee shall not engage in criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government.

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