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$ 500.411 Conduct, employment or holdings otherwise prohibited and reporting otherwise required by law.

The submission of a Statement of Employment and Financial Interests or Annual Statement, as required by this subpart, does not in any way excuse the person submitting such Statement, from violations of the criminal provisions of section 208 of Title 18 U.S. Code, the provisions of section 201(b) of the Merchant Marine Act, 1936, (46 U.S.C. 1111(b)) or the provisions of Subpart B of this part. Moreover, the submission of any such Statement is in addition to, and not in substitution for, or in derogation of, any similar reporting requirement imposed by law, order, or regulation.

8 500.412 Executive Personnel Financial Disclosure Reports (SF 278).

(a) Background. The Ethics in Government Act of 1978 (Pub. L. 95-521) (the "Act") prescribes a public financial disclosure reporting requirement for certain officers and employees in addition to other requirements of this subpart. The requirements and procedures are set forth in detail in the Act as well as in implementing regulations of the Office of Government Ethics (5 CFR Part 734). This section will not reiterate these detailed requirements nor the instructions for filing that are contained in the Executive Personnel Financial Disclosure Report (SF 278).

(b) Employees required to file. The following Commission employees are required to file the Executive Personnel Financial Disclosure Report:

(1) The five Commissioners;

(2) Officers and employees (including special Government employees) who have served in their position for sixty-one (61) days or more during the preceding calendar year, whose positions are classified and paid at GS-16 or above of the General Schedule, or whose basic rate of pay under other pay schedules is equal to or greater than the rate for GS-16. This category includes employees of the Senior Executive Service as designated by the Office of Government Ethics under 18 U.S.C. 207(d)(1).

(3) Officers or employees in any other position determined by the Director of the Office of Government

Ethics to be of equal classification to GS-16;

(4) Administrative law judges;

(5) Employees in the excepted service in positions which are of a confidential or policymaking character including confidential assistants to the Commissioners, unless their positions have been excluded by the Director of the Office of Government Ethics;

(6) The Designated Agency Ethics Counselor.

(c) Time of filing. (1) Initial appointment-Within five (5) days after transmittal by the President to the Senate of the nomination to a position described in paragraph (b)(1) of this section or within thirty (30) days after first assuming a position described in paragraphs (b)(2), (b)(3), (b)(4), (b)(5), or (b)(6) of this section, a SF 278 must be filed.

(2) Incumbents. No later than May 15 annually, a SF 278 must be filed by incumbents of any of the positions listed in Paragraph (b) of this section.

(3) Terminations. No later than thirty (30) days after an incumbent of a position listed in paragraph (b) of this section terminates that position, the individual shall file a SF 278.

(d) Place of filing. All reports required to be filed by this seciton shall be submitted on or before the due date to the designated Agency Ethics Counselor.

(e) Where to seek help. To seek assistance in completing the Executive Personnel Financial Disclosure Report, an employee may contact the Commission Ethics Counselor or the Deputy Ethics Counselor.

(f) Failure to submit report. Falsification of, or knowing or willful failure to file or report information required to be reported by section 202 of the Act may subject the individual to a civil penalty and to internal disciplinary action, as well as criminal penalties under 18 U.S.C. 1001.

PART 501-OFFICIAL SEAL OF THE FEDERAL MARITIME COMMISSION

Sec.

501.1 Purpose.

501.2 Description.

501.3 Design.

AUTHORITY: 46 U.S.C. App. 1111 and 1114; Reorganization Plan No. 7 of 1961, 26 FR 7315, Aug. 12, 1961.

SOURCE: 49 FR 44369, Nov. 6, 1984, unless otherwise noted.

§ 501.1 Purpose.

To prescribe and give notice of the official seal of the Federal Maritime Commission.

§ 501.2 Description.

(a) Pursuant to section 201(c) of the Merchant Marine Act, 1936, as amended (46 U.S.C. app. 1111(c)), the Federal Maritime Commission hereby prescribes its official seal, as adopted by the Commission on August 14, 1961, the design of which is illustrated below and described as follows:

(1) A shield argent paly of six gules, a chief azure charged with a fouled anchor or; shield and anchor outlined of the third; on a wreath argent and gules, an eagle displayed proper; all on a gold disc within a blue border, encircled by a gold rope outlined in blue, and bearing in white letters the inscription "Federal Maritime Commission" in upper portion and "1961" in lower portion.

(2) The shield and eagle above it are associated with the United States of America and denote the national scope of maritime affairs. The outer rope and fouled anchor are symbolic of seamen and waterborne transportation. The date "1961" has historical significance, indicating the year in which the Federal Maritime Commission was created.

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502.74 Replies to pleadings, motions, applications, etc.

502.75 Proceedings involving assessment agreements.

EXHIBIT No. 1 TO SUBPART E [§ 502.62]—
COMPLAINT FORM AND INFORMATION
CHECKLIST

EXHIBIT No. 2 TO SUBPART E [§ 502.64]-
ANSWER TO COMPLAINT
EXHIBIT NO. 3 TO SUBPART E [§ 502.72]-PE-
TITION FOR LEAVE TO INTERVENE

Subpart F-Settlement; Prehearing Procedure 502.91 Opportunity for informal settlement.

502.92 Special docket applications and fee. 502.93 Satisfaction of complaint. 502.94 Prehearing conference.

502.95 Prehearing statements.

EXHIBIT No. 1 TO SUBPART F [§ 502.92]-APPLICATION FOR REFUND OF OR WAIVER FOR FREIGHT CHARGES DUE TO TARIFF ERROR

Subpart G-Time

502.101 Computation.

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Sec.

Subpart J-Hearings; Presiding Officers;

Evidence

502.141 Hearings not required by statute. 502.142 Hearings required by statute. 502.143 Notice of nature of hearing, jurisdiction and issues.

502.144 Notice of time and place of hearing.

502.145 Presiding officer.

502.146 Commencement of functions of Office of Administrative Law Judges. 502.147 Functions and powers. 502.148 Consolidation of proceedings. 502.149 Disqualification of presiding or participating officer.

502.150 Further evidence required by presiding officer during hearing. 502.151 Exceptions to rulings of presiding officer unnecessary.

502.152 Offer of proof.

502.153 Appeal from ruling of presiding officer other than orders of dismissal in whole or in part.

502.154 Rights of parties as to presentation of evidence.

502.155 Burden of proof.

502.156

Evidence admissible.

502.157 Written evidence.

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502.401
502.402 Policy.

Definitions.

502.403 Persons eligible for service.
502.404 Procedure and fee.
502.405 Assignment of conciliator.
502.406 Advisory opinion.

Subpart V-Paperwork Reduction Act 502.991 OMB control numbers assigned pursuant to the Paperwork Reduction Act.

AUTHORITY: 5 U.S.C. 552, 553, 559; 18 U.S.C. 207; secs. 18, 20, 22, 27 and 43 of the Shipping Act, 1916 (46 U.S.C. app. 817, 820, 821, 826, 841a); secs. 6, 8, 9, 10, 11, 12, 14, 15, 16 and 17 of the Shipping Act of 1984 (46 U.S.C. app. 1705, 1707-1711, 1713-1716); sec. 204(b) of the Merchant Marine Act, 1936 (46 U.S.C. app. 1114(b)); and E.O. 11222 of May 8, 1965 (30 FR 6469).

SOURCE: 49 FR 44369, Nov. 6, 1984, unless otherwise noted.

Subpart A-General Information

§ 502.1 Scope of rules in this part.

The rules in this part govern procedure before the Federal Maritime Commission, hereinafter referred to as the "Commission," under the Shipping Act, 1916, Merchant Marine Act, 1920, Intercoastal Shipping Act, 1933, Merchant Marine Act, 1936, Shipping Act of 1984, Administrative Procedure

Act, and related acts, except that Subpart R of this part does not apply to proceedings subject to sections 7 and 8 of the Administrative Procedure Act, which are to be governed only by Subparts A to Q inclusive, of this part. They shall be construed to secure the just, speedy, and inexpensive determination of every proceeding. [Rule 1.]

§ 502.2 Mailing address; hours; filing of documents.

(a) Documents required to be filed in, and correspondence relating to, proceedings governed by this part should be addressed to "Federal Maritime Commission, Washington, D.C. 20573." The hours of the Commission are from 8:30 a.m. to 5 p.m., Monday to Friday, inclusive, unless otherwise provided by statute or executive order.

(b) Documents relating to matters pending before the Commission are to be filed with the Office of the Secretary, unless otherwise required by § 502.118(b)(4), in the case of exhibits in formal proceedings. Pleadings, correspondence or other documents relating to pending matters should not be submitted to the offices of individual Commissioners. Distribution to Commissioners and other agency personnel is handled by the Office of the Secretary, to ensure that persons in decision-making and advisory positions receive in a uniform and impersonal manner identical copies of submissions, and to avoid the possibility of ex parte communications within the meaning of § 502.11(b). These considerations apply to informal and oral communications as well, such as requests for expedited consideration. [Rule 2.]

§ 502.3 Compliance with rules or orders of Commission.

Persons named in a rule or order shall notify the Commission during business hours on or before the day on which such rule or order becomes effective whether they have complied therewith, and if so, the manner in which compliance has been made. If a change in rates is required, the notification shall specify the tariffs which effect the changes. [Rule 3.]

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