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(b) Neutrals selected by the parties. Sec. (1) In cases where the party members

1208.4 Material relating to representation of a PL Board created under Public Law

function.

1208.5 Material relating to mediation func89_456 mutually agree upon a neutral

tion-confidential. person to be a member of the Board, the

1208.6 Compliance with subpoenas. party members will jointly so notify the Mediation Board, which Board will then

AUTHORITY: The provisions of Part 1208 are

issued under Stat. 577, as amended: 45 U.S.C. issue a certificate of appointment to the

151-163. neutral and arrange to compensate him as under paragraph (a) of this section.

SOURCE: The provisions of this Part 1208 (2) The same procedure will apply in

appear at 32 F.R. 15831, Nov. 17, 1967, unless

otherwise noted. cases where carrier and employee representatives are unable to agree upon the $ 1208.1 Purpose. establishment and jurisdiction of a PL

The purpose of this section is to set Board, and mutually agree upon a pro

forth the basic policies of the NMB in cedural neutral person to sit with them

regard to the availability and disclosure as a member and determine such issues.

of information in the possession of the § 1207.4. Designation of PL Boards, fil- NMB. ing of agreements, and disposition of

8 1208.2 Place at which information records.

may be obtained. (a) Designation of PL Boards. AU

Any individual, carrier, or labor organi. special adjustment boards created under

zation desiring information regarding Public Law 89_456 will be designated PL

the operations of the NMB should comBoards, and will be numbered serially,

municate directly with the Executive commencing with No. 1, in the order of

Secretary of the NMB. General inquiries their docketing by the National Media

for information concerning the Board tion Board.

should also be addressed to the Executive (b) Filing of agreements. The orig

Secretary, National Mediation Board, inal agreement creating the PL Board

Washington, D.C. 20572. under Public Law 89–456 shall be filed with the National Mediation Board at $ 1208.3 General policy. the time it is executed by the parties.

(a) Public policy and the successful A copy of such agreement shall be filed

effectuation of the NMB's mission reby the parties with the Administrative

quire that Board members and the emOfficer of the National Railroad Adjust- ployees of the NMB maintain a reputament Board, Chicago, Ill.

tion for impartiality and integrity. Labor (c) Disposition of records. Since the

and management and other interested provisions of section 2(a) of Public Law

parties participating in mediation efforts 89-456 apply also to the awards of PL

must have assurance, as must labor orBoards created under this Act, two copies

ganizations and individuals involved in of all awards made by the PL Boards, to

questions of representation, that confi. gether with the record of proceedings

dential information disclosed to Board upon which such awards are based, shall

members and employees of the NMB be forwarded by the neutrals who are will not be divulged, voluntarily or by members of such Boards, or by the compulsion. parties in case of disposition of disputes (b) Notwithstanding this general polby PL Boards without participation of icy, the Board will under all circumneutrals, to the Administrative Officer

stances endeavor to make public as much of the National Railroad Adjustment information as can be allowed. Board, Chicago, Ill., for filing, safekeep

$ 1208.4 Material relating to represening, and handling under the provisions of

tation function. section 2(q), as may be required.

(a) The documents constituting the PART 1208-AVAILABILITY OF

record of a case, such as the notices of INFORMATION

hearing, motions, rulings, orders, steno

graphic reports of the hearing, briefs, Sec.

exhibits, findings upon investigation, de1208.1 Purpose. 1208.2 Place at which information may be

terminations of craft or class, interpreobtained.

tations, dismissals, withdrawals, and cer1208.3 General policy.

tifications, are matters of official rec

ord and are available for inspection and examination during the usual business hours at the Board's offices in Washington.

(b) This part notwithstanding, the Board will treat as confidential the evidence submitted in connection with a representation dispute and the investigatory file pertaining to the representation function. $ 1208.5 Material relating to mediation

function-confidential. (a) All files, reports, letters, memoranda, documents, and papers (hereinafter referred to as confidential documents) relating to the mediation function of the NMB, in the custody of the NMB or its employees relating to or acquired in their mediatory capacity under any applicable section of the Railway Labor Act of 1926, as amended, are hereby declared to be confidential. No such confidential documents or the material contained therein shall be disclosed to any unauthorized person, or be taken or withdrawn, copied or removed from the custody of the NMB or its employees by any person or by any agent of such person or his representative without the explicit consent of the NMB.

(b) However, the following specific documents: Invocation or proffer of mediation, the reply or replies of the parties, the proffer of arbitration and replies thereto, and the notice of failure of mediatory efforts in cases under section 5, First, of the Railway Labor Act, as amended, are matters of official record

and are available for inspection and examination.

(c) Interpretations of mediation agreements by the NMB, arising out of section 5, Second, of the Railway Labor Act, as amended, are public records and are therefore open for public inspection and examination. $ 1208.6 Compliance with subpoenas.

(a) No person connected in any oficial way with the NMB shall produce or present any confidential records of the Board or testify on behalf of any party to any cause pending in any court, or before any board, commission, committee, tribunal, investigatory body, or administrative agency of the U.S. Government, or any State or Territory of the United States, or the District of Columbia, or any municipality with respect to matters coming to his knowledge in his official capacity or with respect to any information contained in confidential documents of the NMB, whether in answer to any order, subpoena, subpoena duces tecum, or otherwise without the express written consent of the Board.

(b) Whenever any subpoena or subpoena duces tecum calling for confidential documents, or the information contained therein, or testimony as described above shall have been served on any such person, he will appear in answer thereto, and unless otherwise expressly permitted by the Board, respectfully decline, by reason of this section, to produce or present such confidential documents or to give such testimony.

CHAPTER XII-FEDERAL MEDIATION AND

CONCILIATION SERVICE

Part
1400 Standards of conduct, responsibilities, and discipline.
1401 Availability of information.
1402 Procedures of the Service.
1403 Functions and duties.
1404 Arbitration.

PART 1400STANDARDS OF CON- Sec.

1400.735–33 Use of inside information. DUCT, RESPONSIBILITIES, AND

1400.735-34 Coercion. DISCIPLINE

1400.735–35 Miscellaneous statutory pro

visions. Subpart A-General Sec.

Subpart D-Statements of Employment and 1400.735-1 Introduction.

Financial Interests 1400.785–2 Definitions. 1400.735–3

1400.735-40 Employees. Advice and counseling service.

1400.735-41 Special Government employees. Subpart B-Employees: Ethical and Other Conduct 1400.735–42 Confidentiality of statements. and Responsibilities

Subpart - Review of Statements, Disciplinary 1400.735–10 Proscribed actions.

Action: Responsibilities and Procedures 1400.735–11 Gifts, entertainment, and fa

1400.735–50 Agency Counselor. vors. 1400.735–12 Outside employment, business

1400.735-51 Director. activities, or interests (paid

1400.735–52 Supervisor reporting. or unpaid).

1400.735–53 Reports to the Director. 1400.735–13 Financial interest and responsi

Subpart F-Disciplinary Actions and Penalties bilities. 1400.735–14 Use of Government property.

1400.735-60 Disciplinary actions. 1400.735–15 Misuse of information.

1400.735–61 Notice to and appeal of em1400.735-16 Indebtedness.

ployee. 1400.735–17 Gambling, betting, and

Appendix-Code of Professional Conduct for lotteries. 1400.735–18 General conduct prejudicial to

Labor Mediators. the Government.

AUTHORITY: The provisions of this part 1400.786–19 Influencing

Members of

1400 issued under E.O. 11222 of May 8, 1965, Congress. 1400.735–20 Code of Professional Conduct

30 F.R. 6469, 3 CFR, 1966 Supp.; 5 CFR

735.104. for Labor Mediators. 1400.735-21 Miscellaneous statutory pro

SOURCE: The provisions of this Part 1400 visions.

appear at 33 F.R. 5765, Apr. 13, 1968, unless Subpart C—Special

otherwise noted. Government Employees: Ethical and Other Conduct and Responsibilities

Subpart A-General 1400.735–30 Applicability of Subpart B of this part.

§ 1400.735–1 Introduction. 1400.735–31 Representation of persons out

(a) This part establishes a revised side Government. 1400.735–32 Use of Government employ

code of conduct, ethics, and responsiment.

bilities for all employees of the Service.

(b) The maintenance of high moral and ethical standards in the public service is essential both to efficiency in the conduct of Government business and to assuring the confidence of the public in their Government. Unwavering integrity and standards of behavior that reflect credit on the Government are required. The nature of Service operations requires that such a high standard of personal integrity and conduct must be established for and adhered to by its employees.

(c) The elimination of conflicts of interest and apparent conflicts of interest in the Federal service is one of the most important objectives in establishing general standards of conduct. A conflict of interest situation may be defined as one in which a Federal employee's private interest, usually of an economic nature, conflicts or raises a reasonable question of conflict with his public duties and responsibilities. The potential conflict is of concern whether it is real or only apparent. In this part are listed some of the kinds of conduct or activity prohibited or restricted by law, regulation, or commonly accepted standards of good conduct. These prohibitions are not allinclusive; in addition, employees should refrain from any action prejudicial to the best interests of the Service.

(d) The failure of an employee to observe the basic principles of good conduct, ethics, and integrity will result in immediate remedial, adverse or disciplinary action of a severity in keeping with the offense committed and in accordance with equitable administrative practice. The regulations in this part covering Employees of the Service and special Government employees are established in conformity with Part 735 of the Civil Service Regulations, 5 CFR Part 735. § 1400.735–2 Definitions.

(a) "Executive order” means Executive Order 11222 of May 8, 1965.

(b) "Person” means an individual, a corporation, a company, an association, a firm, a partnership, a society, a joint stock company

or any other organization or institution.

(c) “Employee" means an officer or employee of the Service, but does not include a special Government employee.

(d) “Special Government employee" means a person apopinted by the Service to a position as defined in FPM 735, Appendix C, and FPM 304–3.

§ 1400.735–3 Advice and counseling

service. The Director will designate a counselor for the Service on all matters relating to the conduct and responsibilities of employees, and special Government employees, under the Executive order. The counselor is responsible for providing individual employees with interpretations on questions of conflicts of interest, and other matters covered by this part. (Due to the small size of the Federal Mediation and Conciliation Service, it is unrealistic to designate deputy counselors, and therefore, all questions concerning matters covered in this part should be directed to the one counselor appointed by the Director.) Subpart B-Employees: Ethical and

Other Conduct and Responsibilities § 1400.735–10 Proscribed actions.

An employee shall avoid any action, whether or not specifically prohibited by this part which might result in or create the appearance of:

(a) Using public ofice for private gain;

(b) Giving preferential treatment to any person;

(c) Impeding Government eficiency or economy;

(d) Losing complete independence or impartiality;

(e) Making a Government decision outside oficial channels; or

(f) Affecting adversely the confidence of the public in the integrity of the Government. § 1400.735–11 Gifts, entertainment, and

favors. (a) Except as provided in paragraph (b) of this section, an employee shall not solicit or accept, directly or indirectly, any gift, gratuity, favor, entertainment, loan, or any other thing of monetary value, from a person who:

(1) Has, or is seeking to obtain, contractual or other business or financial relations with the Federal Mediation and Conciliation Service;

(2) Conducts operations or activities that are affected by Federal Mediation and Conciliation Service functions; or

(3) Has interests that may be substantially affected by the performance or nonperformance of his official duty.

(b) Exceptions may be necessary and appropriate in view of the nature of the Federal Mediation and Conciliation Serv

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