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6. The financial statements at the end of each fiscal year will be audited by independent Certified Public Accountants and will bear a short form certificate. [27 F.R. 8617, Aug. 29, 1962, as amended at 32 F.R. 14223, Oct. 13, 1967]

Bonds

12. FIDELITY BONDS

Each association holding a Certificate of Authorization is required to maintain a fidelity bond to indemnify against loss of money or other property through fraudulent or dishonest acts by employees.

The board of directors of each association shall annually fix the amount and character of fidelity bonds required of those persons handling or having custody of funds or other liquid assets.

The Director shall be advised of the amount and period of coverage.

[27 F.R. 8617, Aug. 29, 1962, as amended at 32 F.R. 14223, Oct. 13, 1967]

Budgets

13. OPERATING BUDGETS

Each association holding a Certificate of Authorization is required to prepare and submit to the Director, by the 31st day of January of each year, an estimated operating budget for the forthand submit to the Administrator, by the 31st day of January of each year, an estimated operating budget for the forthcoming operating season.

Estimates of revenue shall be itemized to reflect the principal sources of income, with pilotage income segregated from other classes of income.

Estimates of expenses shall be on a calendar year basis, with adequate explanation of any unusual or nonrecurring item.

Those items of expense includable in Inter-Association settlement statements as outlined in section 10 of the Uniform Accounting System Manual shall be

segregated and supported by required detail.

Estimates submitted shall be approved by the Association's Board of Directors. [27 F.R. 8617, Aug. 29, 1962, as amended at 32 F.R. 14223, Oct. 13, 1967]

Accounting Records

14. UNIFORM PILOTS SOURCE FORM

The "Pilot's Source Form-Great Lakes Pilotage" is approved for use by pilots in Great Lakes Districts Nos. 1, 2, and 3. This form is to be issued to pilots by authorized United States pilotage pools and changes shall not be made in the format thereof unless authorized by the Director.

Pilots shall complete forms in detail as soon as possible after completion of assignment and return entire set to dispatching office, together with adequate support for reimbursable travel expense.

Upon receipt by the pilot association the forms shall be completed by insertion of rates and charges as specified in the Great Lakes Pilotage Regulations (46 CFR Part 401). The discount for Canadian pilots due to exchange differential shall be reflected as a separate item. The amount of discount shall be based on the United States dollar parity rate as may be established from time to time by the Minister of Finance of Canada.

Copies of the form shall be distributed as follows:

Original to accompany invoice;

First carbon to Director for statistical purposes;

Second carbon to billing office for accounting record;

Third carbon to pilot's own Association for pilot's personal record;

Fourth carbon to corresponding Canadian Association or agency for office use.

Associations shall account by number for all pilot source forms issued.

[28 F.R. 6645, June 27, 1963; 32 F.R. 14223, Oct. 13, 1967]

CHAPTER IV-FEDERAL MARITIME COMMISSION

NOTE: Reorganization Plan No. 7 of 1961, 26 F.R. 7315, 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.

Part 500

SUBCHAPTER A-GENERAL PROVISIONS

Employee responsibilities and conduct.

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SUBCHAPTER B-REGULATIONS AFFECTING MARITIME CARRIERS AND RELATED ACTIVITIES

510 Licensing of independent ocean freight forwarders.

511

512

513

521

522

523

526

527

528

529

530

531

533

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.

534 Green hide weighing practices.

536

537

538

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.

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

SUBCHAPTER A-GENERAL PROVISIONS

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500.735-13

500.735-14

500.735-15

500.735-16

Financial interests.

Use of Government property.
Misuse of information.
Indebtedness.

500.735-17 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
Financial Interests

500.735-31 Statements of employment and financial interests.

500.735-32 Employees required to submit statements.

500.735-33 Employees not required to submit statements.

500.735-34 Time and place for submission of employees' statements. Supplementary statements. Interests of employees' relatives. Information not known by employees.

500.735-35 500.735-36 500.735-37

500.735-38 Information prohibited. 500.735-39 Confidentiality of employees' statements. 500.735-40 Effect of employees' statements on other requirements. 500.735-41 Special Government employees. 500.735-42 Employee's complaint on filing requirement.

AUTHORITY: The provisions of this Part 500 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 500 appear at 31 F.R. 7180, May 17, 1966, unless otherwise noted.

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 180 days during any period of 365 consecutive days, temporary duties either on a full-time or intermittent basis.

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(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,

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