reporting individual, with certain modifications;

(13) A description of holdings of an income from a trust or other financial arrangement. Holdings of or the source of income from any qualified blind trust, as defined in this section, need not be reported, but the individual shall report the category of the amount of income received;

Any report filed under this provision will be available to the public upon request.

Any individual who knowingly and willfully falsifies or fails to file or report required information shall be liable to a maximum civil penalty of $5,000, and personnel or other action in accordance with applicable law or regulation.

6. Acts affecting a personal financial interest (18 U.S.C. 208)

No officer or employee of the United States shall participate personally and substantially, through decision, in relation to any judicial or other proceeding, application, contract, claim, controversy, or other matter in which he or she has a direct or indirect financial interest.

Prior full disclosure of financial interest and written determination that such interest is not substantial may permit such participation.

Violation of this prohibition is punishable by a maximum fine of $10,000, or imprisonment for not more than two years, or both. 7. Unathorized use of documents relating to claims (18 U.S.C. 285)

No one, without authority, shall remove or use any document prepared, or intended to be used, to procure the payment of any claim against the United States.

Violation of this prohibitions is punishable by a maximum fine of $5,000. or imprisonment for not more than five years, or both.

8. Salary of government officials and employees payable only by United States (18 U.S.C. 209)

No official or employee of the United States shall receive compensation for services as an officer or employee of the Government from any source other than the Government of the United States.

No individual or entity shall pay or supplement the salary of any such officer or employee for services as an officer or employee of the United States.

Violation of these prohibition is punishable by a maximum fine of $5,000, or imprisonment for more than one year, or both.

9. Bribery of public officials (18 U.S.C. 201)

No person or entity shall directly or indirectly give, offer, or promise anything of value to a public official with intent to: (a) Influence any official act, (b) influence such public official to commit or allow the commission of any fraud on the United States,

or (c) induce such public official to act in violation of his or her lawful duty.

No public official shall directly or indirectly solicit, accept, or agree to receive anything of value for himself or herself, or another, in return for: (a) Being influenced in the performance of any official act, (b) being influenced to commit or allow the commission of any fraud on the United States, or (c) being induced to act in violation of his or her official duty.

Violation of these prohibitions is punishable by a fine of not more than $20,000 or three times the monetary equivalent of the thing of value, whichever is greater, or a maximum of 15 years' imprisonment, or both; and removal.

10. Acceptance or solicitation to obtain appointive public office (18 U.S.C. 211)

No one shall solicit or receive money or anything of value in consideration for assistance in obtaining for any person appointive office or employment with the United States.

Violation of this prohibition is punishable by a maximum fine of $1,000, or imprisonment for not more than one year, or both. 11. Gifts to superior (5 U.S.C. 7351) No employee shall: (a) Solicit a contribution from another employee for a gift to a superior, (b) make a donation as a gift to a superior, or (c) accept a gift from one to whom he or she is an official superior.

Violation of these prohibitions is punishable by a maximum penalty of removal. 12. Lobbying with appropriated funds (18 U.S.C. 1913)

No officer or employee of the United States, in the absence of express authorization by Congress, shall use, directly or indirectly, money appropriated by Congress to pay for any personal service, written matter, or other device intended to influence a Member of Congress to favor or oppose any legislation or appropriation by Congress.

Violation of this prohibition is punishable by a maximum fine of $500, or imprisonment for not more than one year, or both; and removal.

13. Diclosure of confidential information (18 U.S.C. 1905)

No officer or employee of the United States shall publish, disclose, or make known in any manner or to any extent not authorized by law, any confidential information made known to him or her in the course of his or her employment or official duties.

Violation of this prohibition is punishable by a maximum fine of $1,000, or imprisonment for not more than one year, or both; and removal.

14. Disclosure of classified information (18 U.S.C. 798)

No one shall knowingly and willfully communicate or otherwise make available to an

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unauthorized person, or publish or use in any manner prejudicial to the interest of the United States, any classified information.

Violation of this prohibition is punishable by a maximum fine of $10,000, or imprisonment for not more than ten years, or both. 15. Excessive and habitual use of intoxicants (5 U.S.C. 7352)

No individual shall habitually use intoxicating beverages to excess.

Violation of this prohibition is punishable by removal.

16. Misuse of franking privilege (18 U.S.C. 1719)

No one shall make use of any official envelope, label, or endorsement authorized by law, to avoid the payment of postage on private letters, packages, or other matters in the mail.

Violation of this prohibition is punishable by a maximum fine of $300.

17. Interference with Civil Service Examinations (18 U.S.C. 1917)

No member or employee of the United States Civil Service Commission or an individual in the public service shall willfully and corruptly obstruct an individual in respect of his or her right of examination for competitive service, or falsely grade or report on the examination or proper standing of an individual examined; or make a false representation concerning the examination grade or proper standing of an individual examined; or furnish to an individual any special information for the purpose of improving or harming the prospects of an individual examined, being employed, or promoted.

Violation of these prohibitions is punishable, for each offense, by a maximum fine of $1,000, or imprisonment for not more than one year, or both.

18. Fraud and false statements (18 U.S.C. 1001)

No one, concerning any matter within the jurisdiction of the United States, shall knowingly and willfully falsify or conceal a material fact, or make any false, fictitious, or fraudulent statements, or make or use any document knowing such document to contain any false, fictitious, or fraudulent statement.

Violation of these prohibitions is punishable by a maximum fine of $10,000, or imprisonment for not more than five years, or both.

19. Concealment, mutilation, or destruction of Government documents (18 U.S.C. 2071)

No one shall willfully and unlawfully conceal, remove, mutilate, falsify, destroy, or intentionally carry away any Government document.

Violation of this prohibition is punishable by a maximum fine of $2,000, or imprisonment for not more than three years, or

both. Violation by one having custody of such document shall result in the custodian's removal from office.

20. Forgery of Government transportation requests (18 U.S.C. 508)

No one shall forge or counterfeit, knowingly alter, use, or sell any form or request provided by the Government for transportation by common carrier.

Violation of this prohibition is punishable by a maximum fine of $5,000, or imprisonment for not more than ten years, or both. 21. Misuse of Government vehicles (31 U.S.C. 638a(c))

No officer or employee of the Government shall willfully use or authorize the use of any Government-owned or leased passenger motor vehicle or aircraft for other than official purposes.

Violation of this prohibition is punishable by a maximum penalty of removal.

22. Accounting for public money (18 U.S.C. 643)

An officer or employee of the United States who receives public money which he or she is not authorized to retain as salary must render an account of such money as provided by law.

An officer or employee who fails to render such an account is guilty of embezzlement, and shall be fined a sum equal to the amount of money embezzled, or imprisoned for not more than ten years, or both.

23. Theft of Government money or property (18 U.S.C. 641)

No one shall embezzle, steal, or knowingly convert, or, without authority, sell or convey documents, money, or things of value of the United States.

No one shall receive or retain such items knowing them to be embezzled, stolen or converted.

Violation of these prohibitions is punishable by a maximum fine of $10,000, and imprisonment for not more than ten years, or both.

24. Wrongful conversion of property of another (18 U.S.C. 654)

No officer or employee of the United States shall embezzle or wrongfully convert to his or her own use money or property of another which comes into his or her control in the execution of such employment of office.

Violation of this prohibition is punishable by a fine of not more than the value of the money or property thus converted, or imprisonment for not more than ten years, or both.

25. Restrictions on political activities (5 U.S.C. 7321-7327)

No federal employee shall use his or her official authority or influence for the purpose of interfering with or affecting the result of an election; or shall take an active

part in political management, or in political campaigns (5 U.S.C. 7324).

Violation of these prohibitions is punishable by a maximum penalty of removal.

26. Solicitation of political contributions (18 U.S.C. 602)

No public official or employee of the United States shall directly or indirectly solicit or receive contributions for any political purpose whatever from any other such officer or employee.

Violation of this prohibition is punishable by a maximum fine of $5,000, or imprisonment for not more than three years, or both.

27. Solicitation of political contributions in federal buildings (18 U.S.C. 603)

No one shall solicit or receive any contribution of money or other thing of value for any political purpose in any Federal building.

Violation of this prohibition is punishable by a maximum fine of $5,000, or imprisonment for not more than three years, or both.

28. Pecuniary interest in regulated carrier (49 U.S.C. 10301(d), 10306(e), and 10344(e))

No Commission member, administrative law judge, employee board member, or joint board member may have a pecuniary interest in, hold an official relation to, or own stock in or bonds of, a carrier providing transportation by any mode.

29. Members' outside employment (49 U.S.C. 10301(d))

A member of the Commission may not engage in another business, vocation, or employment.

30. Officers and employees acting as agents of foreign principals (18 U.S.C. 219) No officer or employee of the United States shall act as an agent of a foreign principal registered under the Foreign Agents Registration Act of 1938, as amended. (22 U.S.C. 611 et seq.)

Violation of this prohibition is punishable by a maximum fine of $10,000, or imprisonment for not more than two years, or both. 31. Striking against the Government (15 U.S.C. 7311(3), 18 U.S.C. 1918(3))

An individual shall not accept or hold a position in the Government of the United States, if he or she participates in a strike against the Government.

Violation of this prohibition is punishable by a maximum fine of $1,000, or imprisonment for not more than one year and a day, or both.

[44 FR 4610, Jan. 22, 1979. Redesignated and amended at 48 FR 30881, July 5, 1983]

Subpart C-Additional Canons of Conduct for Members

AUTHORITY: Sec. 6, 36 Stat. 915, as amended, secs. 12, 20, 24 Stat. 383, as amended, 386, as amended, sec. 25, 41 Stat. 498, as amended, sec. 220, 49 Stat. 563 as amended, sec. 313, 54 Stat. 944, as amended, sec. 412, 56 Stat. 294, as amended; 45 U.S.C. 29, 49 U.S.C. 12, 20, 26, 320, 913, 1012, 5 CFR Part 735.

SOURCE: 44 FR 4617, Jan. 22, 1979, unless otherwise noted.

§ 1000.736-1 General policy.

Members of the Interstate Commerce Commission should participate in establishing, maintaining, and enforcing, and should themselves observe, high standards of conduct so that the integrity and independence of the Commission may be preserved. The provisions of these canons should be construed and applied to further that objective. Members of the Commission shall observe the standards of personal conduct in the Canons of Conduct for Members and Employees as set forth in Subpart B of this part.

§ 1000.736-2 Maintaining independence.

Members should not allow their family, social, or other relationships to influence their official conduct or judgment. They should not lend the prestige of their office to advance the private interests of others; nor should members convey the impression that they are subject to influence by others. Members should not change or tailor their views to appease any particular interest or group.

§ 1000.736-3 Official duties.

(a) Official duties, both administative and adjudicative, should be carried out diligently and impartially. Insofar as it is consistent with the dignity and responsibilities of their official positions, members should maintain contact with the persons outside the agency who may be affected by their functions.

(b) Members have the obligation to urge the Congress, whenever necessary, to amend, modify, or repeal particular parts of the statutes they administer.

(c) The members' decision to investigate should be based only on the facts known to them and the reasonable inferences from those facts. A member should never suggest, vote for, or participate in an investigation for reasons of animus, prejudice, or vindictiveness.

(d) Members have the obligation to adopt rules necessary to carry out the national transportation policy. The rules should not be burdensome; on the other hand, necessary rules should be adopted, modified, or repealed as changing requirements demand.

§ 1000.736-4 Extra-official activities.

Members must not engage in any business, employment, or vocation while in office, nor may they use the power of their offices or the influence of their names to promote the business interests of others. Members may participate in nonbusiness endeavors, such as civic and charitable activities, that do not reflect adversely upon their impartiality or interfere with the performance of official duties.

§ 1000.736-5 Qualification to participate.

Members should disqualify themselves in any matter in which their impartiality might reasonably be questioned. They should weigh carefully the question of their qualification in any matter where they or their relatives or former business associates or clients are involved. If an interested person suggests that a member should disqualify himself or herself in a particular matter because of bias or prejudice, the member shall be the sole judge of his or her own qualification.

Subpart D-Administrative Enforcement of Improper Post-Employment Activity

AUTHORITY: 18 U.S.C. 207(j), 49 U.S.C. 10321 and 5 U.S.C. 553.

SOURCE: 48 FR 30882, July 5, 1983, unless otherwise noted.

alty prescribed by law. This subpart is established pursuant to the provisions of 18 U.S.C. 207(j) and 5 CFR 737.27 to implement agency procedures for administrative enforcement of post-employment restrictions.

§ 1000.737-2 Initiation of enforcement action.

Information regarding a possible violation of 18 U.S.C. 207 by a former Commissioner or former Commission employee may be brought to the attention of the Commission by filing such information with the Ethics Counselor.

§ 1000.737-3 Review and investigation.

(a) Upon receipt of information regarding a possible violation of 18 U.S.C. 207, and after determining that such information appears non-frivolous, the Ethics Counselor shall forward the information to the Commission with any recommendations he or she may wish to make on administrative action; the Counselor shall also expeditiously provide such information, along with any comments or Commission regulations, to the Director of the Office of Government Ethics and to the Criminal Division, Department of Justice. The Commission shall coordinate any investigation or administrative action with the Department of Justice to avoid prejudicing criminal proceedings, unless the Department of Justice communicates to the Commission that it does not intend to initiate criminal prosecution.

(b) Whenever the Commission has determined after appropriate review that there is reasonable cause to believe that a former Commissioner or Commission employee has violated 18 U.S.C. 207, it may designate the matter for an administrative disciplinary proceeding.

§ 1000.737-4 Notice of proceeding and opportunity for a hearing.

(a) Upon designating such matter for an administrative disciplinary proceeding, the Commission shall provide the former Commissioner or former Commission employee with notice of an intention to institute a proceeding

and an opportunity for a hearing. Such notice shall include:

(1) A statement of allegations (and the basis thereof) sufficiently detailed to enable the former government employee to prepare an adequate defense; (2) Notification of the right to a hearing; and

(3) An explanation of the method by which a hearing may be requested.

(b) If such former Commissioner or Commission employee fails to request a hearing within ten (10) calendar days of receipt of the notice or has waived the opportunity for a hearing, the Commission may take such administrative action as outlined in § 1000.737-10, of this subpart. The former employee shall submit a written request for a hearing to the Chairman, Interstate Commerce Commission, 12th and Constitution Ave., NW., Washington, D.C. 20423.

§ 1000.737-5 Presiding official.

(a) The presiding official at proceedings under this section shall be the Chairman or an individual designated by the Chairman to make an initial decision. This person shall be called the examiner.

(b) The examiner at such proceeding must be a Commissioner, a member of a Review Board, an Administrative Law Judge or an attorney employed by the Commission. An employee selected and appointed as an examiner shall be authorized, in writing, by the Chairman to administer oaths or affirmations under 5 U.S.C. 2903(b)(2). The examiner shall be provided with appropriate administrative and secretarial support.

(c) The examiner shall be impartial. No individual who has participated in any manner in the decision to initiate the proceedings may serve as the examiner in those proceedings.

§ 1000.737-6 Time, date, and place of hearing.

(a) The hearing shall be conducted at a reasonable time, date and place. In setting a hearing date, the examiner shall give due regard to the former government employee's need for adequate time to prepare a defense and an expeditious resolution of allega

tions that may be damaging to his or her reputation.

(b) Official notice of the time, date and place shall be sent by registered mail, return receipt requested, to the former employee. The mailing shall include a copy of these procedures.

(c) Hearings will be closed unless an open hearing is requested by the former employee. A request for an open hearing shall be made at least ten (10) days prior to the hearing date. § 1000.737-7 Hearing rights.

The hearing shall include, at a minimum the following rights for all parties:

(a) To represent oneself or to be represented by counsel;

(b) To introduce and examine witnesses and to submit physical evidence;

(c) To confront and cross-examine adverse witnesses and to submit physical evidence;

(d) To present oral argument; and (e) To a transcript or recording of proceedings, on request.

§ 1000.737-8 Burden of proof.

In any hearing under this subpart, the Commission shall have the burden of proof and must establish substantial evidence of a violation.

§ 1000.737-9 Hearing decision.

(a) The examiner shall make a determination based exclusively on matters of record in the proceeding, and shall set forth in the decision all findings of fact and conclusions of law relevant to the matters at issue. Copies of the decision shall be furnished promptly to the former employee and his or her counsel.

(b) Within 30 days after the initial decision either party to the proceeding may appeal the decision to the Commission. Unless the Commission orders otherwise, other parties to the proceeding may file comments within 20 days after such appeal is filed, and the party that filed such appeal may file a reply within 10 days after the period for filing comments has expired. The Commission shall base its decision on such appeal solely on the record of the