200.735-112

General conduct prejudicial to the Government.

An employee shall not engage in crimi1, infamous, dishonest, immoral, or toriously disgraceful conduct, or other nduct prejudicial to the Government. 200.735-113 Miscellaneous statutory provisions. Each employee shall familiarize himIf with each statute that relates to his nical and other conduct as a Governent employee, including the following atutes:

(a) House Concurrent Resolution 175, th Congress, 2d Session, 72 Stat. B12, e "Code of Ethics for Government rvice."

(b) Chapter 11 of Title 18, United ates Code, relating to bribery, graft, ad conflicts of interest.

(c) The prohibition against lobbying appropriated funds (18 U.S.C.

th

13).

(d) The prohibitions against disyalty and striking (5 U.S.C. 7311, 18 S.C. 1918).

(e) The prohibition against the emoyment of a member of a Communist ganization (50 U.S.C. 784).

(f) The prohibitions against (1) the sclosure of classified information (18 S.C. 798, 50 U.S.C. 783); and (2) the sclosure of confidential information 8 U.S.C. 1905).

(g) The provision relating to the abitual use of intoxicants to excess U.S.C. 7352).

(h) The prohibition against the misse of a Government vehicle (31 U.S.C. 8a (c)).

(i) The prohibition against the misse of the franking privilege (18 U.S.C. 19).

(j) The prohibition against the use of eceit in an examination or personnel etion in connection with Government пployment (18 U.S.C. 1917).

(k) The prohibition against fraud or lse statements in a Government matter 18 U.S.C. 1001).

(1) The prohibition against mutilating destroying a public record (18 U.S.C.

071).

(m) The prohibition against counteriting and forging transportation reests (18 U.S.C. 508).

(n) The prohibitions against (1) emezzlement of Government money or roperty (18 U.S.C. 641); (2) failing to

36-039-70--35

account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654).

(0) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285).

(p) The prohibitions against political activities in subchapter III of chapter 73 of title 5, United States Code and 18 U.S.C. 602, 603, 607, and 608.

(q) The prohibition against an employee acting as an agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219). [31 FR. 2593, Feb. 10, 1966, as amended at 32 F.R. 16210, Nov. 28, 1967]

Subpart C-Provisions Governing Statements of Employment and Financial Interests

§ 200.735-114 Employees required to submit statements.

The following employees shall submit statements of employment and financial interests:

(a) Employees paid at a level of the Executive Schedule in subchapter II of chapter 53 of title 5, United States Code.

(b) Employees in grade GS-15 or above of section 5332 of title 5, United States Code, or in comparable or higher positions not subject to that section.

(c) Employees in the following positions:

(1) General Counsel.

(2) Assistant General Counsel.

(3) Chief of the Technical Service. (4) Assistant Chief of the Technical Service.

(5) Chief of the Economics Division.
(6) The Secretary.

(7) Director of Investigation.

(8) Assistant to the Director of Investigation.

(9) Special Industrial Advisor. (10) Director of Administration. (11) Chiefs of Commodity Divisions. (12) Special Advisor to the Commission for Trade Agreements.

(d) Any employee designated to exercise the authority of any position enumerated in paragraph (c) of this section in the absence of the employee in such position.

[32 F.R. 16210, Nov. 28, 1967]

§ 200.735-114a Employee complaints

on filing requirements.

Any employee who believes that his position has been improperly included under the reporting requirements of section 200.735-114 may obtain a review thereof through the Commission's grievance procedures.

[32 F.R. 16211, Nov. 28, 1967]

§ 200.735-115 Forms-Interests not to be reported.

(a) Statements required to be submitted by the provisions of this subpart shall be prepared on forms (the format of which is prescribed by the Civil Service Commission) available from the Deputy Counselor.

(b) Pursuant to the authority contained in 18 U.S.C. 208 (b) (2), it has been determined that the categories of financial interests hereinafter described are, to the extent indicated, exempted from the application of the prohibition of 18 U.S.C. 208(a) and need not be reported to the Deputy Counselor. Such interests are too remote or too inconsequential to affect the integrity of a Commission employee's services in any matter in which he may act in his governmental capacity. Therefore, the provisions of 18 U.S.C. 208(a) do not preclude the participation by a Commission employee, including a special Commission employee, in matters of a type covered by the prohibition of section 208(a) where the financial interest involved has been exempted hereunder. The following financial interests need not be reported under this subpart:

(1) Ownership of shares of common or preferred stocks, including warrants to purchase such shares, and of corporate bonds or other corporate securities, if the current aggregate market value of the stocks and other securities so owned in any single corporation does not exceed $5,000, and provided such stocks and securities are listed for trading on the New York or the American Stock Exchange. This exemption extends also to any financial interests that the corporation whose stocks or other securities are so owned may have in other business entities.

(2) Ownership of bonds other than corporate bonds, regardless of the value of such interest. This exemption extends also to any financial interests that the organization whose bonds are so owned may have in other business entities.

(3) Ownership of shares of a mutual fund or regulated investment company

regardless of the value of such interest. This exemption extends also to any financial interests that the mutual fund or investment company may have in other business entities.

[32 F.R. 16211, Nov. 28, 1967]

§ 200.735-116 Time and place for submission of employees' statements.

(a) An employee required to submit such a statement shall submit it not later than:

(1) Ninety days after the effective date of the regulations in this part, if employed on or before that effective date; or

(2) Thirty days after his entrance on duty, but not earlier than ninety days after the effective date, if appointed after the effective date.

(b) Each such statement shall be submitted to the Office of the General Counsel of the Commission and shall be marked "Submitted in Confidence to the Deputy Counselor": Provided, That the statements of the General Counsel and Deputy Counselor shall be submitted directly to the Counselor.

§ 200.735-117 Supplementary state.

ments.

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. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report under this section, each employee 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 section 208 of title 18, United States Code, or the regulations in this part. [32 F.R. 16211, Nov. 28, 1967]

§ 200.735-118 Interests of employees' relatives.

The interest of a spouse, minor child or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this section, "member of an employee's immediate household" means those blood relations who are residents of the employee's household.

§ 200.735-119 Information not known by employees.

If any information required to be included in a statement of employment and financial interests or supplementary

tement, including holdings placed in st, is not known to the employee but known to another person, the emyee shall request that other person submit information in his behalf. 00.735-120 Information prohibited. An employee is not required to submit a statement of employment and finan1 interests or supplementary statement y information relating to the employs connection with, or interest in, a ofessional society or a charitable, relius, social, fraternal, recreational, blic service, civic, or political organiion or similar organization not concted as a business enterprise. For the rpose of this section, educational and her institutions doing research and deopment or related work involving ants of money from, or contracts with, e Government are deemed "business Cerprises" and are required to be inded in an employee's statement of ployment and financial interests. 200.735-121

Confidentiality of em

ployees' statements.

Each statement of employment and ancial interests, and each suppleentary statement, shall be held in conence. To ensure this confidentiality, e Deputy Counselor is authorized to view and retain the statements. He all be responsible for maintaining the tements in confidence and shall not Low access to, or allow information to disclosed from, a statement except to rry out the purpose of this part. The eputy Counselor may not disclose inforation from the statement except as the vil Service Commission or the Chairan of the Tariff Commission may demine for good cause shown. 2 F.R. 16211, Nov. 28, 1967]

ployee who is not a consultant or an expert when the Commission finds that the duties of the position held by that special Government employee are of a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. For the purpose of this paragraph, "consultant" and "expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual,

(c) A statement of employment and financial interests required to be submitted under this section shall be submitted as provided for employees in § 200.735-116. Each special Government employee shall keep his statement current throughout his employment with the Commission by the submission of supplementary statements.

[31 F.R. 2593, Feb. 10, 1966, as amended at 32 F.R. 16211, Nov. 28, 1967]

§ 200.735-123 Effect of employees' and special Government employees' statements on other requirements.

The statements of employment and financial interests and supplementary statements required of employees and special Government employees 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 a statement or supplementary statement by an employee or special Government employee does not permit him or any other person to participate in a matter which his or the other person's participation in is prohibited by law, order, or regulation.

PART 201-RULES OF GENERAL APPLICATION

Sec.

201.15

time.

Attorneys or agents.

201.16 Service of process.

AUTHORITY: The provisions of this Part 201 issued under sec. 335, 72 Stat. 680, sec. 401, 76 Stat. 902; 19 U.S.C. 1335, 1802.

SOURCE: The provisions of this Part 201 appear at 27 F.R. 12118, Dec. 7, 1962, unless otherwise noted.

§ 201.1 Applicability of part.

This Part 201 relates generally to functions and activities of the Commission under various statutes and other legal authority. Rules having special application appear separately in Parts 202 to 207, inclusive, of this chapter. In case of inconsistency between a rule of general application and a rule of special application, the latter is controlling.

Subpart A-Miscellaneous

As used in this chapter:

(a) "Commission" means the United States Tariff Commission;

(b) "Tariff Act" means the Tariff Act of 1930, as amended (19 U.S.C. 1001, et seq.);

(c) "Trade Expansion Act" means the Trade Expansion Act of 1962 (Public Law 87-794, 76 Stat. 872; 19 U.S.C. 1801, et seq.);

(d) "Antidumping Act" means the Antidumping Act, 1921, as amended (42 Stat. 11, 68 Stat. 1138, 72 Stat. 583; 19 U.S.C. 160, et seq.).

§ 201.3 Commission offices, mailing address, and hours.

(a) Offices. The principal office of the Commission is located in the Tariff Commission Building on E Street between 7th and 8th Streets NW., Washington, D.C. A branch office of the Commission is maintained in the Customhouse, New York City.

(b) Mailing address. All communications to the Commission should be addressed to the "Secretary, U.S. Tariff Commission, Washington 25, D.C.".

(c) Hours. The hours of the Commission are from 8:45 a.m. to 5:15 p.m., eastern standard or daylight saving time, whichever is in effect where the offices are located.

§ 201.4

Performance of functions. (a) Conduct of business. A majority of the members of the Commission constitutes a quorum. The Commission may meet and exercise its powers at any place, and may, by one or more of its members, or by such agents as it may designate, prosecute any inquiry necessary to its duties in any part of the United States or in any foreign country. (b) Alteration or waiver of_rules.

Rules in this chapter may be amended, waived, suspended, or revoked by the Commission only. A rule may be waived or suspended only when in the judgment of the Commission there is good and sufficient reason therefor, provided the rule is not a matter of procedure required by law.

(c) Authority to make decisions. Authority to interpret the Commission's rules and the laws applying to the Commission, and to make findings, determinations, or other decisions not relating to matters of internal management, is retained in the Commission itself and is not delegated.

§ 201.5

Disclosure of information.

(a) Material available to the public. The following information and reports (except confidential business data as defined in § 201.6) may be inspected by persons concerned, on request to the Secretary of the Commission, either in the Washington office or in the New York City office of the Commission: (1) Applications, petitions, and other formal documents filed with the Commission, (2) notices to the public concerning Commission matters, (3) transcripts of testimony taken and exhibits submitted at hearings, (4) reports to the President, to either or both Houses of Congress, or to Committees of Congress, release of which has been authorized by the President or the legislative body concerned, (5) reports and other documents issued for general distribution.

(b) Material not available to the public. Reports to the President, to either or both Houses of Congress, or to Committees of Congress, the release of which has not been authorized by the Presi dent or the legislative body concerned, and confidential business data as defined in § 201.6, are not available to the public. § 201.6 Confidential business data.

(a) Definition. Confidential business data consist of any information which concerns or relates to the trade secrets,

ocesses, operations, style of work, or paratus, or to the identity, confidential tistical data, amount or source of any come, profits, losses, or expenditures of y person, firm, partnership, corporan, or association, the disclosure of ich is not authorized by law or by the rty furnishing such information. (b) Identification of information subtted in confidence. Business data ich it is desired shall be treated as fidential shall be submitted on sepase sheets each clearly marked at the › "Business Confidential". When subtted at public hearings such business ta shall be offered as a confidential exɔit with a brief description of the nare of the information.

(c) Acceptance of information in conence. The Commission may refuse to cept in confidence any information ich it determines is not entitled to nfidential treatment. In the event of ch refusal, the person submitting such formation will be notified thereof with statement of the reasons and (if the formation was submitted voluntarily) ll be permitted to withdraw its tender. bpart B-Initiation and Conduct of Investigations

201.7 Initiation of investigations. Investigations may be initiated by the ommission on the Commission's own otion, upon request of the President, pon resolution of the Committee on ays and Means of the House of Repsentatives or the Committee on Fiance of the Senate, upon resolution of ther branch of Congress, or upon apication, petition, complaint, or request private parties, as required or provided r in the pertinent statute, Presidential oclamation, Executive Order, or in this apter.

201.8 Filing of documents.

(a) Where to file; date of filing. Docuents shall be filed at the office of the ecretary of the Commission in Washgton, D.C. Such documents, if proply filed, will be deemed to be filed on e date on which they are actually reeived in the Commission.

(b) Conformity with rules. No docuent aiming at the initiation of any inestigation by the Commission shall be onsidered properly filed unless it conrms with the pertinent rules prescribed I this chapter. Substantial compliance ith the pertinent rules may be accepted

by the Commission provided good and sufficient reason is stated in the document for inability to comply fully with the pertinent rules.

(c) Specifications for documents. All documents filed under this chapter shall be on paper not larger than 82 by 11 inches in size, except that tables, charts, and similar material may be larger but folded (if practicable) to the size of the document to which attached. The left margin shall be at least 11⁄2 inches wide, and if the document is bound it shall be bound on the left side. Documents may be reproduced by printing or any other process, provided all copies are clear and legible.

(d) Number of copies. A signed original and nineteen (19) true copies of each document shall be filed. The name of the person signing the original shall be typewritten or otherwise reproduced on each copy.

(e) Identification of party filing document. Every document filed with the Commission for the purpose of initiating any investigation shall show on the first page thereof the name and address of the party or parties by whom, or on whose behalf the document is filed and shall be signed by the party filing the document or by a duly authorized officer, attorney, or agent of such party. any attorney or agent filing the document shall give his address.) The signature of the person signing such a document constitutes a certification that he has read the document, that to the best of his knowledge and belief the statements contained therein are true, and that the person signing the document was duly authorized to sign it.

(Also,