§ 100.735-2 Responsibilities.

(a) The Board. The Board is responsible for the implementation of the regulations in this part with respect to employees under its jurisdiction.

(b) The General Counsel. The General Counsel is responsible for the implementation of the regulations in this part with respect to employees under his jurisdiction.

(c) Agency Counselor. The Director, Division of Administration, is hereby designated as the Agency Counselor for the purpose of (1) acting as liaison with the Civil Service Commission with respect to matters of employee responsibility and conduct, (2) coordinating the Agency's interpretation and advisory service under § 100.735-3, (3) advising, upon request, Agency officials responsible for reviewing the "Statements of Employment and Financial Interests" provided for in Subpart C of this part, (4) directing employees to review the regulations in this part annually, and (5) implementing and applying the regulations in this part. The Assistant Director, Division of Administration, and Director of Personnel are hereby designated as Assistant Agency Counselors.

(d) Agency Employee Suitability Committee. (1) The Agency Employee Suitability Committee shall continue to serve as a point of initial consideration concerning any matters of employee suitability that arise under Agency and/ or other governmental regulations. In this position the Committee, as required, advises a Board Member, the Board, or the General Counsel concerning the appropriateness of action under such regulations. In addition the Committee is responsible for recommending to the Board and General Counsel, as necessary, guidelines to assure consistent and uniform application of the regulations in this part throughout the Agency.

(2) The Agency Employee Suitability Committee shall be composed of one member and alternate designated by the Board; one member and alternate designated by the General Counsel; and the Director, Division of Administration (who shall serve as Chairman) and as his alternate, the Assistant Director, Division of Administration.

(e) Employees. All new employees shall become familiar with the provisions of the regulations in this part during the period of orientation with the Agency. All employees are expected periodically to review the provisions included in this

part and any subsequent regulations which may be issued.

§ 100.735-3 Advisory and interpretation service.

(a) The incumbents of the following named positions are Deputy Agency Counselors and shall make themselves thoroughly familiar with applicable laws, Executive orders, and regulations in this part:

(1) Regional Directors and respective Assistant General Counsels;

(2) All Washington Office, Branch, and Division Chiefs; and

(3) All persons officially acting in one of the above positions.

(b) Upon request of employees under their supervision, the above incumbents shall be available for necessary consultation and advice. In the consideration of any question or problem arising under the regulations in this part, the above officials or employees with questions or problems may avail themselves of the services of the Agency Counselor.

§ 100.735-4 Disciplinary and other remedial action.

(a) Violations of the regulations in this part by an employes may be cause for appropriate disciplinary or other action which may be in addition to any penalty prescribed by law.

(b) In any instance where a statement submitted under § 100.735-16 or Subpart C of this part or information from any other source indicates a conflict of interest, apparent or real, the employee shall be provided opportunity to explain.

(1) After consideration of the employee's explanation, the appropriate official (see designated officials under § 100.7353(a) (1), (2), (3)) may recommend, in writing to the Chairman of the Board, the General Counsel, or a Board Member, as appropriate, that the interest is not so substantial as to be likely to affect the integrity of the employee's services to the Government and he must so notify the employee in advance of handing the assignment.

(2) If, however, the designated official deems the interest to be so substantial as to be a conflict or an apparent conflict with the employee's assignment, that official must act immediately to end the real or apparent conflict or to prevent a possible conflict by (i) disqualification for a particular assignment or (ii) arrangement by mutual agreement that the employee will divest himself of the in

terest before proceeding with the assignment. Any such action must also be reported with recommendations to the Chairman of the Board, the General Counsel, or a Board Member, as appropriate.

(3) If the designated official determines that further remedial action is necessary, he may recommend to the Chairman of the Board, the General Counsel, or a Board Member, as appropriate, that any of the following actions be taken-(i) Changes in assigned duties, (ii) arrangements for divestment by the employee of his interest, or (iii) disciplinary action.

(c) Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations (see NLRB Administrative Policies and Procedures Manual, Employee Appeals from Adverse Actions, Items 2430-2448 and employee's rights thereunder).

§ 100.735-5 Definitions.

In the regulations in this part:

(a) "Employee" means any officer or employee of the Agency but does not include a special Government employee.

(b) "Special Government employee" means an officer or employee of the Agency who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed one hundred and thirty (130) days during any period of three hundred and sixty-five (365) consecutive days, temporary duties either on a full-time or intermittent basis.

(c) "Person" means an individual, a labor organization, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company, or any other organization or institution. Subpart B-Conduct and Responsibilities of Employees

§ 100.735-11 General provisions.

All employees shall avoid any action whether or not specifically prohibited by this part which might result in or create the appearance of:

(a) Using public office for private gain;

(b) Giving preferential treatment to any person;

(c) Impeding 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.

§ 100.735-12 Gifts, entertainment, and favors.

(a) Except as provided in paragraph (b) of this section (see also § 100.735-14 when travel or subsistence may be involved), 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) Is a party to or has an interest in any case, proceeding, or other matter before the Agency;

(2) Conducts operations or activities or is associated with any operation or activity that falls within the jurisdiction of the National Labor Relations Act, as amended;

(3) Has interests that may be substantially affected by the performance or nonperformance of the employee's duty; or

(4) Has, or is seeking to obtain, contractual or other business or financial relations with the Agency.

(b) Appropriate exceptions to the prohibitions in paragraph (a) of this section are as follows:

(1) Those gifts, gratuities, favors, etc., that are governed by obvious family relationships (such as those between parents, children, or spouse of the employee and the employee) or personal relationships 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) Acceptance of food and refreshments of nominal value on infrequent occasions where, in the course of performing official functions, case handling matters continue through luncheon or dinner, or on other occasions when an employee is properly in attendance.

(3) Arrangement for loans from banks or other financial institutions granted on customary terms.

(4) Acceptance of unsolicited advertising or promotional material, such as pens, pencils, note pads, calendars, and other items of nominal intrinsic value.

(c) An employee shall not solicit a contribution 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

(a) General provisions. Employees shall not engage in outside employment or other outside activity incompatible with the full and proper discharge of the duties and responsibilities of their Government employment. Incompatible employment includes, but is not limited to:

(1) The private practice of law either individually or with another person; however, as an exception, permission of the Board or General Counsel may be requested to engage in such occasional and private legal activities as those involving family or civic matters;

(2) Acceptance of a fee (including forwarding or referral fees), 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, a conflict of interest;

(3) Outside employment which tends to impair an employee's mental or physical capacity to perform his duties and responsibilities in an acceptable manner;

or

(4) Outside employment which tends to limit an employee's availability for any required assignments including, but not limited to, travel, after-hours investigations, interviews, and elections.

(b) Dual compensation. An employee shall not receive any salary or anything of monetary value from a private source as compensation for his services to the Government.

(c) Teaching, writing, and lecturing. (1) Teaching, writing, and lecturing by employees are outside activities which may be permitted so long as all requirements pertaining to conflicts of interest and outside employment (see especially paragraphs (a) (3) and (4) of this section) are observed. 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 Board or General Counsel gives written authorization for the use of nonpublic information on the basis that the use is in the public interest.

(2) No employee of the Agency shall instruct, either directly or indirectly, or be concerned in any manner with the instruction of any person or classes of persons with a view to their special preparation for an examination. of the Civil Service Commission or the Boards of Examiners for the Foreign Services. Any request for exceptions shall be directed to the Agency Counselor.

(d) Employment under State or local government. An employee shall not engage in outside employment under a State or local government, except in those situations allowed by law, Executive order or Civil Service Commission regulation (5 CFR Part 734), and with the consent of the Board or General Counsel.

(e) Requests for authorization and reports of outside employment-(1) Legal practice. Requests directed to the Board or General Counsel, as appropriate, for exception to the prohibition in paragraph (a)(1) of this section, shall at a minimum, include:

(i) Nature of legal activity,

(ii) Relationship of proposed client(s) to employee, if any,

(iii) Expected duration of activity, and (iv) Compensation involved.

(2) Other employment. Before any employee accepts outside employment, he shall obtain permission of his Regional Director, Branch Chief, or the equivalent. Permission shall be granted in accordance with the regulations in this part. Each Regional Director, Branch Chief, or the equivalent shall maintain a record on an individual basis of each request received for outside employment authorization and the official action taken. At least annually, as of June 30, the Division Chief shall require a report from each subordinate authorizing official showing as a minimum: (1) By named employee, the request and official action taken, and (ii) a list by employee of the outstanding authorizations for outside employment.

§ 100.735-14 Other outside activities.

The prohibition of § 100.735-13 shall not preclude an employee from:

(a) Receipt of bona fide reimbursement, unless prohibited by law, for actual expenses for travel and such other necessary subsistence as is compatible with the standards in this part, and for which no Government payment or reimbursement is made (since authority for payment of travel and subsistence to attend meetings is derived from the Government Employees Training Act, see Title 4, item 2022 of the NLRB Administrative Policies and Procedures Manual). However, this provision 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;

(b) Participating in the activities of National or State political parties insofar as such participation is not proscribed by law;

(c) Participating in affairs of or accepting an award for a meritorious public contribution or achievement given by a charitable, religious, professional, social, fraternal, nonprofit educational or recreational, public service, or civic organization; or

(d) Attending, participating in or speaking at special meetings conducted by labor or management organizations or associations thereof where the subject matter relates to the functions or specializations of the Agency; provided such attendance or participation has been approved by the employee's respective Regional Director, Division Chief, or equivalent who is generally responsible for clearing such matters with the Board or General Counsel as appropriate.

§ 100.735-15 Special additional requirements for Presidential appointees. Board Members and the General Counsell (a) shall not engage in any other business, vocation, or employment, and (b) 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 NLRB, or which draws substantially on official data or ideas which have not become part of the body of public information.

(a) General provisions. Under Title 18 of the United States Code entitled Crimes and Criminal Procedure, section 208, provisions of this section apply to all employees whether or not they are required to report under Subpart C of this part. Employees shall not have direct or indirect financial interests that conflict substantially or appear to conflict substantially with their duties and responsibilities as Federal employees or engage, directly or indirectly, in financial transactions as a result of, or primarily relying upon, information obtained through their employment and not available to the public. However, 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, Executive order, or the regulations in this part.

(b) Limitations where financial or other interests are involved. Except as permitted under paragraph (d) of this section, no employee shall participate in any case, proceeding, or other matter before the Agency whenever to his knowledge he, his spouse, minor child, or relative residing in his household is associated with, has a financial interest in, or is seeking employment with, any outside person who has a direct interest in such case, proceeding, or other matter.

(c) Disclosures of financial or other interests. Upon assignment of any case, proceeding, or other matter in which the employee has an interest as described in paragraph (b) of this section, the employees shall complete Form NLRB-4573 (revised) and forward it as follows:

(1) Employees under the General Counsel to their Regional Director, division, branch, or office chief or the equivalent,

(2) Employees on the staff of a Board Member to their respective Board Members or his designee,

(3) Washington Trial Examiners to the Chief Trial Examiner or his associates,

(4) San Francisco Trial Examiners to the Associate Chief Trial Examiner, San Francisco, and

(5) Other employees under the Board to their division, branch, or office chief. In the absence of any of the above officials, the person officially acting in the

An employee is prohibited from directly or indirectly using or allowing the use of Government property of any kind, including property leased to the Government, for other than officially approved activities. An employee has the positive duty to protect and conserve Government property, including equipment, supplies, and other property entrusted or issued to him.

§ 100.735-18 Misuse of information.

Except as permitted in § 100.735-13(c) (1), no employee may directly or indirectly use or allow the use of official information obtained through or in connection with his employment with the Agency which has not been made available to the general public, for the purpose of furthering any private interest. § 100.735-19

Indebtedness.

An employee shall pay each just financial obligation including those imposed by laws in a proper and timely manner. 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 an employer. In the event of a dispute between an employee and an alleged creditor, this section does not require the Agency to determine the validity or amount of the disputed debt. Nevertheless, it is the employee's responsibility to make a reasonable effort to resolve the dispute in a timely manner.

§ 100.735-20 Gambling, betting, and lotteries.

An employee is prohibited from participating 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.

moral, or notoriously disgraceful conduct, or other conduct prejudicial to the Government.

§ 100.735-22

Miscellaneous statutory and nonstatutory provisions.

In order that each employee may acquaint himself with each statute and other provision that relates to his ethical and other conduct, the text of the following are reprinted in the appendix of the National Labor Relations Board Administrative Policies and Procedures Manual for review.

(a) House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B 12, the Code of Ethics for Government Service.

(b) The prohibition against bribery of public officials (18 U.S.C. 201).

(c) The prohibition against receiving compensation for claims, contracts, etc. (18 U.S.C. 203).

(d) The prohibition against prosecuting claims against and other matters affecting the Government (18 U.S.C. 205).

(e) The prohibition against prosecuting claims involving matters connected with former duties-disqualification of partners (18 U.S.C. 207).

(f) The prohibition against an interested person acting as a Government agent (18 U.S.C. 208).

(g) The prohibition against salaries or contributions from other than Government sources (18 U.S.C. 209).

(h) The prohibition against acceptance or solicitation to obtain public office (18 U.S.C. 211).

(i) The prohibition against lobbying appropriated funds (18 U.S.C.

with 1913).

(j) The prohibition against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

(k) The prohibition against employment of member of Communist organization (50 U.S.C. 784).

(1) The prohibition against disclosing of classified information (18 U.S.C. 798). (m) The prohibition against disclosing of confidential information (18 U.S.C. 1905).

(n) The prohibition relating to the habitual use of intoxicants to excess (5 U.S.C. 7352).

(0) The prohibition against the misuse of Government vehicles (31 U.S.C. 638a (c)).

(p) The prohibition against the misuse of franking privilege (18 U.S.C. 1719).