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APPENDIX B-(RESERVED)

APPENDIX C-[RESERVED)

APPENDIX D—(RESERVED] APPENDIX E-STATUTES REGULATING

POST-EMPLOYMENT RESPONSIBIL-
ITIES OF GOVERNMENT AND SPECIAL

GOVERNMENT EMPLOYEES NOTE: This appendix applies only to employees who terminated government service before January 1, 1991. 8 207 Disqualification of former officers and

employees in matters connected with former duties or offical responsibilities; disquali

fication of partners. (a) Whoever, having been an officer or employee of the executive branch of the United States Government of any independent agency of the United States, or of the District of Columbia, including a special Government employee, after his employment has ceased, knowingly acts as agent or attorney for anyone other than the United States in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States is a party or has a direct and substantial interest and in which he participated personally and substantially as an officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, while so employed, or

(b) Whoever, having been so employed, within one year after his employment has ceased, appears personally before any court or department or agency of the Government as agent, or attorney for, anyone other than the United States in connection with any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States is a party or directly and substantially interested, and which was under his official responsibility as an officer or employee of the Government at any time within a period of one year prior to the termination of such responsibility:

Shall be fined not more than $10,000 or imprisoned for not more than two years, or both: Provided, That nothing in subsection (a) or (b) prevents a former officer or employee, including a former special Government employee, with outstanding scientific or technological qualifications from acting as attorney or agent or appearing personally in connection with a particular matter in a scientific or technological field if the head of the department or agency concerned with

the matter shall make a certification in writing, published in the FEDERAL REGISTER, that the national interest would be served by such action or appearance by the former officer or employee.

(c) Whoever, being a partner of an officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, acts as agent or attorney for anyone other than the United States, in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which the United States is a party or has a direct and substantial interest and in which such offi. cer or employee of the Government or special Government employee participates or has participated personally and substantially as a Government employee through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, or which is the subject of his official responsibility:

Shall be fined not more than $5,000, or imprisoned not more than one year, or both.

A partner of a present or former officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia or of a present or former special Government employee shall as such be subject to the provisions of sections 203, 205, and 207 of this title only as expressly provided in subsection (c) of this section. (Added Pub. L. 87-349, section 1(a), Oct. 23, 1962, 76 Stat. 1123.) 8 203 Acts affecting a personal financial inter

est. (a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Columbia, including a special Government employee, participates personally and substantially as a Government officer or employee. through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter in which, to his knowledge, he, his spouse, minor child, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concern. ing prospective employment, has a financial interest:

Shall be fined not more than $10,000, or imprisoned not more than two years, or both.

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(b) Subsection (a) hereof shall not apply (1) if the officer or employee first advises the Government official responsible for appointment to his position of the nature and circumstances of the judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financial interest and receives in advance a written determination made by such official that the interest is not so substantial as to be deemed likely to affect the integrity of the services which the Government may expect from such officer or employee, or (2) if, by general rule or regulation published in the FEDERAL REGISTER, the financial interest has been exempted from the requirements of clause (1) hereof as being too remote or too inconsequential to affect the integrity of Government officers' or employees' services. (Added Pub. L. 87-849, section 1(a), Oct. 23, 1962, 76 Stat. 1124.)

New 18 U.S.C. 208. This section forbids certain actions by an officer or employee of the Government in his role as a servant or rep resentative of the Government. Its thrust is therefore to be distinguished from that of sections 203 and 205 which forbid certain actions in his capacity as a representative of Dersons outside the Government.

Subsection (a) in substance requires an officer or employee of the executive branch, an independent agency or the District of Columbia, including a special Government employee, to refrain from participating as such in any matter in which, to his knowledge, he, his spouse, minor child or partner has a financial interest. He must also remove himself from a matter in which a business or nonprofit organization with which he is connected or is seeking employment has a financial interest.

Subsection (b) permits the agency of an officer or employee to grant him an ad hoc exemption from subsection (a) if the outside flnancial interest in a matter is deemed not substantial enough to have an effect on the integrity of his services. Financial interests of this kind may also be made nondisqualifying by a general regulation published in the FEDERAL REGISTER.

Section 208 is similar in purpose to the former 18 U.S.C. 434 but prohibits a greater variety of conduct than the “transaction of business with * * * (a) business entity" to which the prohibition of section 434 was limited. In addition, the provision in section 208 including the interests of a spouse and others is new, as is the provision authorizing exemptions for insignificant interest. (Amdt. 99-10, 42 FR 3119, Jan. 14, 1977, as amended by 58 FR 7995, Feb. 11, 1993)

Appendix to Subtitle - United

SUBPART A-GENERAL
States Railway Association- SECTION 1. Purpose and policy. (a) These
Employee Responsibilities and regulations implement Pub. L. 93-236. The
Conduct

Regional Rail Reorganization Act of 1973.
They prescribe standards of ethical and

other conduct, and reporting requirements, SUBPART A-GENERAL

for employees of the United States Railway Sec.

Association (the Association). The standards 1 Purpose and policy.

and requirements are appropriate to the par3 Definitions.

ticular functions and activities of the Asso5 Applicability.

ciation.

(b) The absence of a specific published SUBPART B-ETHICAL AND OTHER CONDUCT AND

standard of conduct covering an act tending RESPONSIBILITIES OF EMPLOYEES

to discredit an employee of the Association

does not mean that the act is condoned, is 7 General.

permissible, or would not call for and result 9 Gifts, entertainment, and favors.

in corrective or disciplinary action. 11 Outside employment and other activi- (c) Personnel of the Association shall obties.

serve standards of conduct that will reflect 13 Financial interests.

credit on the Association. 15 Conflicts of interest.

SEC. 3. Definitions. Unless the context re17 Disqualification arising from personal fi- quires otherwise, the following definitions nancial interests.

apply in these regulations: 19 Use of Association property or official 'Association" means the United States title.

Railway Association established by Pub. L. 21 Misuse of information.

93-236. 23 Indebtedness.

"Chairman" means the Chairman of the 25 Miscellaneous provisions.

Board of Directors of the Association.

“Employee" means an officer or employee SUBPART C-STATEMENTS OF EMPLOYMENT AND

of the Association. FINANCIAL INTEREST

"General Counsel" means the General

Counsel of the Association, or his designee. 31 Employees required to submit statement. "Includes" means "includes but is not lim33 Time and place for submission of em- ited to." ployee statements.

"May" is used in a permissive sense to 35 Supplementary statements.

state authority or permission to do the act 37 Committee on Commerce, information prescribed, and the words "a person may not known by employee.

not

mean that a person is not re39 Information not required.

quired, authorized, or permitted to do the 41 Confidentiality of employee's statement. act prescribed. 43 Interpretation and advisory service.

"Shall” is used in an imperative sense.

SEC. 5. Applicability. These regulations SUBPART D-DISQUALIFICATION OF FORMER EM- apply to each employee of the Association.

PLOYEES IN MATTERS CONNECTED WITH
FORMER DUTIES OR OFFICIAL RESPONSIBIL- SUBPART B-ETHICAL AND OTHER CONDUCT AND
ITIES; DISQUALIFICATION OF PARTNERS

RESPONSIBILITIES OF EMPLOYEES 51 Matters in which employee participated Sec. 7. General. (a) Each employee shall personally and substantially.

avoid any action, whether or not specifically 53 Matters under employee's official respon- prohibited by these regulations, which might sibility.

result in or create the appearance of: 55 Employee with outstanding scientific or

(1) Using his Association office for private technological qualifications.

gain; 57 Partner of employee.

(2) Giving preferential treatment to any

person; APPENDIX 1-CATEGORIES OF FINANCIAL IN- (3) Impeding the efficiency or economy of

TERESTS EXEMPTED FROM THE PROHIBI- the Association;
TIONS OF SECTIONS 13(A), 15, AND 17(A)

(4) Losing complete independence or imAPPENDIX 2--LIST OF EMPLOYEES REQUIRED partiality;

TO SUBMIT STATEMENTS OF EMPLOYMENT (5) Making an Association decision outside
AND FINANCIAL INTERESTS, UNDER SEC- of official channels; or
TION 31 (Reserved)

(6) Affecting adversely the confidence of AUTHORITY: Sec. 202(a)(5)(2) of the Regional

the public in the integrity of the AssociaRail Reorganization Act of 1973 (Pub. L. 93–

tion. 236).

(b) An employee may not engage in crimi

nal, infamous, dishonest, immoral, or notoriSOURCE: 39 FR 3825, Jan. 30, 1974.

ously disgraceful conduct, or any conduct

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in paragraph (e) of this section, or except as permitted by statute, an employee may not participate personally and substantially as an employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise, in a judicial or other proceeding, application, request for a ruling or other determination, contract, claim controversy, charge, accusation, or other particular matter in which, to his knowledge, he, his spouse, minor child, a blood relative who is a resident of the employee's household, partner, organization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, has a financial interest, unless he shall cause the financial interest involved to be divested, or request a determination of the propriety of his participation in any matter by informing the General Counsel of the nature and circumstances of the matter and financial interest involved.

(b) After examining the information submitted the General Counsel may:

(1) Relieve the employee from participation in the matter and, if possible, reassign it to another employee who is not subordinate to the relieved employee;

(2) Approve the employee's participation upon determining in writing that the interest involved is not so substantial as to be likely to affect the integrity of the services the Association may expect from the employee;

(3) Recommend the reassignment of the employee; or

(4) If none of these alternatives is feasible, direct the employee to cause the financial interest to be divested so that it no longer comes within the scope of this section.

(C) In any case in which the General Counsel has reason to believe that an employee may have an interest that would be disqualifying under this section, he shall discuss the matter with the employee. If he finds that the interest exists, he may take any of the actions stated in paragraph (b) of this section.

(d) In any case in which the employee is dissatisfied with the General Counsel's decision, the employee may appeal the matter to the Chairman of the Association for reconsideration and final determination of the appropriate action.

(e) Information concerning categories of financial interests which are exempted from the prohibitions of $$ 13(a), 15, and paragraph (a) of this section as being too remote or too inconsequential to affect the integrity of an employee's interest in a matter, are set forth in Appendix 1.

SEC. 19. Use of Association property or official title. (a) An employee may not, directly or indirectly, use or allow the use of Association property of any kind, including property

leased to the Association, for other than an officially approved activity. Each employee has a positive duty to protect and conserve Association property, including equipment, supplies, and other property entrusted or issued to him.

(b) An employee may not, directly or indirectly, use or allow the use of his title or position in connection with any commercial enterprise or in endorsing any commercial product or service.

SEC. 21. Misuse of information. An employee may not, for the purpose of furthering a private interest, directly or indirectly, use or allow the use of official information ob tained through or in connection with his Association employment, if that information has not been made available by the Association to the general public.

SEC. 23. Indebtedness. Each employee shall pay his just financial obligations in a proper and timely manner, especially those imposed by law such as Federal, State, or local taxes. For the purposes of this section “just financial obligations" means those that are recognized as such by the employee or reduced to a judgment by a court, and win a proper and timely manner" means in a manner which the Association determines does not, under the circumstances, reflect adversely on the Association as his employer. The Association will not determine the validity or amount of a disputed debt and will not initiate action to collect such debts.

SEC. 25. Miscellaneous provisions. (a) Each employee shall acquaint himself with these regulations which relate to his ethical and other conduct as an employee of the Association.

(b) In the appointment of personnel and in assignment of their duties, the President of the Association shall take steps to avoid, to as great an extent as possible, any conflict between the Association duties and the private interests of such personnel.

SUBPART C-STATEMENTS OF EMPLOYMENT AND

FINANCIAL INTEREST

SEC. 31. Employees required to submit statement. (a) Each of the following employees shall submit a statement of employment and financial interest on a form provided by the Association:

(1) Each employee who within the preceding two years was employed by or served as an attorney or consultant to, a railroad or a company significantly engaged in the manufacture, construction or supply of railroad facilities and equipment, including, but not limited to, rolling stock, terminal facilities, signal equipment, track and road bed, and electrical and communication transmission equipment. The General Counsel shall decide, in a doubtful case, whether the relationship to the railroad industry is sufficiently significant as to require submission

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