visions in Appendix II to this subpart which relate to his ethical and other conduct as a member and employee of the Commission and the Government. § 1000.735-26 Statements of employ ment and financial interests.

(a) All employees in the positions specified in Appendix I to this subpart shall submit to the Director of Personnel within 90 days from the effective date of the regulations in this subpart, or if appointed after said effective date, within 30 days after his entrance on duty, a confidential statement of employment and financial interests on ICC Form No. 1164. Pursuant to the grievance procedures enumerated in ICC ManualAdministration, pp. 22-725, employees so specified may file and have reviewed a complaint that his position has been improperly designated as one requiring the submission of a statement of employment and financial interests.

(b) Any changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement as of June 30 each year. Where no changes or additions occur, a negative report is required.

(c) The financial statements required by this section are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. The submission of financial statements by employees does not permit him or any other person to participate in matters in which participation is prohibited by law, order, or regulation. Notwithstanding the filing of such statements, employees shall at all times avoid acquiring a financial interest that could result, or taking an action that would result in a violation of the conflicts-of-interest provisions of 18 U.S.C. 208, or these Canons of Conduct.

(d) The interest, if any, of a spouse, minor child, or any blood relation who is a member of, and resident in an employee's immediate household shall be reported as his interest. If that information is to be supplied by others, it should be so indicated in Part IV of ICC Form 1164.

(e) In the event any of the required information, including holdings placed in trust, is not known to the employee but is known to another person, the employee should request that other person to submit the information on his behalf and

should report such request in Part IV of ICC Form 1164.

(f) Employees are not required to submit any information relating to their connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or any similar organization not conducted as a business enterprise and which is not engaged in the ownership or conduct of a business enterprise. Educational and other institutions doing research and development or related work involving grants of money from contracts with the Government are deemed "business enterprises" for purposes of this report and should be included.

§ 1000.735-27

Review of statements of employment and financial interests. (a) Financial statements shall be held confidential. An officer or employee charged with the review thereof is responsible for maintaining the statements in confidence and shall not allow access to, or allow information to be disclosed from, such statements except to carry out the purposes of these Canons and as the Chairman of the Civil Service Commission may determine for good cause shown.

(b) The Director of Personnel shall review the annual statements and supplementary statements of employment and financial interests for the purpose of ascertaining the existence of conflicts of interests on the part of employees and shall notify the employee concerned, who shall promptly submit an explanation of the conflicts or appearance of conflicts of interest to the Director of Personnel.

(c) The Director of Personnel shall seek the advice of the General Counsel when there is a conflict or appearance of conflict of interest. The General Counsel shall render his opinion to the Director of Personnel who shall inform the employee of necessary steps to be taken to remedy the situation. If the matter is not resolved by appropriate action of the employee or otherwise, the Director of Personnel shall report the conflict or appearance of conflict through the Managing Director and the General Counsel (who is the counselor for the agency) to the Chairman.

(d) Upon consideration of the employee's explanation and the report of the General Counsel, the Chairman shall decide and direct, if necessary, the Direc

(a) The Director of Personnel shall furnish a copy of the Canons of Conduct to each member and employee immediately upon issuance and to each new member and new employee upon his entrance on duty and shall thereafter, annually or as circumstances may warrant, bring to the attention of each member and employee the Canons of Conduct and all revisions thereof.

(b) Legal advice shall be provided to members and employees with respect to interpretations of these Canons of Conduct, questions of conflicts of interest, or any other matters covered therein by designation of a Counselor and Deputy Counselors by the Chairman.

§ 1000.735-29 Specific provisions governing special Government employ

ees.

(a) A special Government employee, as defined in 18 U.S.C. 202, shall not use (1) his Government employment for a purpose that is, or gives the appearance of being, motivated by a desire for private gain for himself or another person particularly one with whom he has family, business, or financial ties; (2) any inside information obtained as a result of his Government employment for private gain for himself or another person either by direct action on his part or by counsel, recommendation, or suggestion to another person, particularly one with whom he has family, business, or financial ties; or (3) his Government employment to coerce, or give the appearance of coercing, a person to provide financial benefit to himself or another person, particularly one with whom he has family, business, or financial ties.

employees

(b) Special Government shall adhere to all Canons of Conduct specified in this subpart except §§ 1000.735-16(b) and 1000.735-26. In lieu thereof, each special Government employee shall submit a statement of his employment and financial interests on ICC Form No. 1163, to the Director of Personnel at the time of his employment and shall keep his statement current throughout his employment by submit

ting supplementary statements whenever any change in, or addition to, the information contained in his statement occurs.

§ 1000.735-30 Disciplinary and other remedial action.

Any violation of these Canons of Conduct by an employee shall be cause for appropriate disciplinary or other remedial action as provided in ICC ManualAdministration, beginning on p. 22–761, which may be in addition to any penalty prescribed by law.

APPENDIX I-LIST OF EMPLOYEES REQUIRED TO SUBMIT ICC FORM No. 1164

OFFICE OF THE MANAGING DIRECTOR

1. Managing Director.

2. Assistant Managing Director.

3. Director of Personnel.

4. Regional Managers.

5. Chief and Assistant Chief, Section of Administrative Services.

OFFICE OF THE SECRETARY

1. Director.

BUREAU OF TRAFFIC

2. Assistant Director

3. Chief, Informal Cases Branch, Section of Rates and Informal Cases.

4. Chairman and Members, Board of Suspension.

5. Chairman and Members, Fourth Section Board.

6. Chairman and Members, Special Permission Board.

7. Chairman and Members, Released Rates Board.

8. Chairman and Members, The Tariff Rules Board.

(Secs. 12, 17, 24 Stat. 383, as amended, 385, as amended, secs. 204, 205, 49 Stat. 546, as amended; secs. 304, 316, 54 Stat. 933, 946; secs. 403, 417, 56 Stat. 285, 297; 49 U.S.C. 12, 17, 304, 305, 904, 916, 1003, 1017) [33 F.R 4370, Mar. 9, 1988, as amended at 34 FR 441, Jan. 11, 1969; 35 F.R. 10448, June 26, 1970]

APPENDIX II-MISCELLANEOUS STATUTORY
PROVISIONS

Each employee has a positive duty to acquaint himself with each statute that relates to his ethical and other conduct as an employee of the Interstate Commerce Commission and of the Government. Therefore, each member and employee shall acquaint himself with the following statutory and nonstatutory provisions which relates to his ethical and other conduct:

1. House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the Code of Ethics for Government Service;

2. The prohibition against bribery of public officials (18 U.S.C. 201) which imposes a maximum penalty of $20,000 fine or three times the money or thing received, whichever is greater; 15 years' imprisonment; or both; and removal;

3. The prohibition against receiving compensation for claims, contracts, etc. (18 U.S.C. 203), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both; and removal;

4. The prohibition against prosecuting claims against and other matters affecting the Government (18 U.S.C. 205), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both;

5. The prohibition against prosecuting claims involving matters connected with former duties-disqualification of partners (18 U.S.C. 207), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both;

6. The prohibition against an interested person acting as a Government agent (18 U.S.C. 208), which imposes a maximum penalty of $10,000 fine; 2 years' imprisonment; or both;

7. The prohibition against salaries or contributions from other than Government sources (18 U.S.C. 209), which imposes a maximum penalty of $5,000 fine; 1 year imprisonment; or both;

8. The prohibition against acceptance of solicitation to obtain public office (18 U.S.C.

211), which imposes a maximum penalty of $1,000 fine; 1 year imprisonment; or both; 9. The prohibition against lobbying with appropriated funds (18 U.S.C. 1913), which imposes a maximum penalty of $500 fine; 1 year imprisonment; or both; and removal; 10. The prohibition against disloyalty and striking (5 U.S.C. 7311; 18 U.S.C. 1915), which imposes a maximum penalty of $1,000 fine; 1 year and a day's imprisonment; or both; and removal;

11. The prohibition against employment of member of Communist organization (50 U.S.C. 784), which imposes a maximum penalty of $10,000 fine; 5 years' imprisonment; or both; and removal;

12. The prohibition against disclosing of classified information (18 U.S.C. 789, 50 U.S.C. 783), which imposes a maximum penalty of $10,000 fine; 10 years' imprisonment; or both;

13. The prohibition against disclosing of confidential information (18 US.C. 1905), which imposes a maximum penalty of $1,000 fine; 1 year imprisonment; or both; and removal;

14. The prohibition against habitual use of intoxicants to excess (5 U.S.C. 7352), which imposes a maximum penalty of removal;

15. The prohibition against the misuse of Government vehicles (81 U.S.C. 638a(c)), which imposes a maximum penalty of removal;

16. The prohibition against the misuse of franking privilege (18 U.S.C. 1719), which imposes a maximum penalty of $300 fine;

17. The prohibition against the deceit in examination or personnel action (18 U.S.C. 1917), which imposes a maximum penalty of $1,000 fine; 1 year imprisonment; or both;

18. The prohibition against fraud and false statement (18 U.S.C. 1001), which imposes a maximum penalty of $10,000 fine; 5 years' imprisonment; or both;

19. The prohibition against multilating or destroying public records (18 U.S.C. 2071), which imposes a maximum penalty of $2,000 fine; 3 years' imprisonment; or both; and removal;

20. The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508), which imposes a maximum penalty of $5,000 fine; 10 years' imprisonment; or both;

21. The prohibition against embezzlement and theft of Government money, property, or records (18 U.S.C. 641), which imposes a maximum penalty of $10,000 fine; 10 years' imprisonment; or both;

22. The prohibition against failure to account for public money (18 U.S.C. 643), which imposes a maximum penalty of fine equal to amount embezzled; imprisonment not more than 10 years; or both;

23. The prohibition against wrongfully converting property of another (18 U.S.C. 654), which imposes a fine equal to amount embezzled; imprisonment not more than 10 years; or both;

24. The prohibition against unauthorized use of documents relating to duties (18 U.S.C.