§ 300.735-404 Reporting employment and financial interests-detailees.

(a) When a member of the uniformed services or an employee of a Government agency other than the Commission is assigned or detailed to the Commission to perform duties of a type that would require the submission of a financial disclosure statement if performed by an employee of the Commission, the individual so assigned or detailed (referred to in this section as a "detailee") shall submit a financial disclosure statement as provided in § 3000.735-402(c) on the form furnished by the designated agency official. The detailee shall submit the statement at the start of the detail and shall submit supplementary statements as may be required, by the designated agency official.

(b) Paragraphs (c), (d), (e), (f), (g), (h), (i), and (j) of § 3000.735-402 are applicable to statements submitted under this section.

[44 FR 27660, May 11, 1979]

$3000.735-405 Reviewing statements; remedial action.

(a) Each statement submitted under this subpart shall be reviewed by the designated agency official or his designee. The review is for the purpose of determining whether there exists a conflict, or appearance of conflict, between the interests of the employee or special Government employee concerned and the performance of his service for the Commission. If the designated agency official believes that such a conflict or appearance of conflict exists, the designated agency official shall provide the employee with an opportunity to explain the conflict or appearance of a conflict. When the reviewer determines that additional information is needed to make an adequate review, the employee shall disclose such additional information. If the designated agency official conIcludes that remedial action should be taken, he shall refer the statement to the Chairman of the Commission with his recommendation for such action. The Chairman of the Commission, after consideration of the employee's explanation and such investigation as he considers appropriate, shall direct

§ 3000.735-501 Ex parte communications prohibited. Decision-making

Commission personnel, as defined in § 3001.7(a), shall not, either in an official or unofficial capacity, participate in any ex parte communication-either oral or written-with any person regarding (1) a particular matter (substantive or procedural) at issue in contested proceedings before the Commission or (2) the substantive merits of a matter that is likely to become a particular matter at issue in contested proceedings before the Comission. A particular matter is at issue in contested proceedings before the Commission when it is a subject of controversy in a hearing held under 39 U.S.C. 3624 or 3661(c). However, this section does not prohibit participation in off-the-record proceedings conducted under regulations adopted by the Commission for hearings held under 39 U.S.C. 3624 or 3661(c).

[45 FR 65581, Oct. 3, 1980]

§ 3000.735-502 Public record of ex parte

communications.

As ex parte communications (either oral or written) may occur inadvert

ently notwithstanding § 3000.735-501, the employee who receives such a communication, shall-within 2 workdays after the receipt of such a communication-prepare a written report concerning the communication.

The report shall identify the employee and the person or persons who participated in the ex parte communication; the circumstances which resulted in the communication; the substance of the communication; and the relationship of the communication to a particular matter at issue or likely to become at issue in contested proceedings before the Commission. When the ex parte communication concerns a particular matter at issue in a proceeding before the Commission, a copy of the report shall be submitted to each party to the proceeding. The report is a public record of the Commission and a copy thereof shall be available to any member of the public on request. This section does not apply to ex parte communications under paragraph 3000.735-501(b).

[36 FR 5412, Mar. 23, 1971, as amended at 38 FR 24899, Sept. 11, 1973]

APPENDIX A-CODE OF ETHICS FOR
GOVERNMENT SERVICE

Resolved by the House of Representatives (the Senate concurring), That it is the sense of the Congress that the following Code of Ethics should be adhered to by all Government employees, including office-holders:

CODE OF ETHICS FOR GOVERNMENT SERVICE Any person in Government service should: 1. Put loyalty to the highest moral principles and to country above loyalty to persons, party, or Government department.

2. Uphold the Constitution, laws, and legal regulations of the United States and of all governments therein and never be a party to their evasion.

3. Give a full day's labor for a full day's pay; giving to the performance of his duties his earnest effort and best thought.

4. Seek to find and employ more efficient and economical ways of getting tasks accomplished.

5. Never discriminate unfairly by the dispensing of special favors or privileges to anyone, whether for remuneration or not; and never accept, for himself or his family, favors or benefits under circumstances which might be construed by reasonable persons as influencing the performance of his governmental duties.

6. Make no private promises of any kind binding upon the duties of office, since a Government employee has no private word which can be binding on public duty.

7. Engage in no business with the Government, either directly or indirectly, which is inconsistent with the conscientious performance of his governmental duties.

8. Never use any information coming to him confidentially in the performance of governmental duties as a means for making private profit.

9. Expose corruption wherever discovered. 10. Uphold these principles, ever conscious that public office is a public trust. Passed July 11, 1958.

Subpart E-Rules Applicable to Rate and Service Complaints

Sec.

3001.81 Applicability.

3001.82 Scope and nature of complaints. 3001.83 Contents of complaints.

3001.84 Answers by the Postal Service. 3001.85 Informal procedures. 3001.86 Proceedings on the record. 3001.87 Commission determinations.

Subpart F-Rules Applicable to the Filing of Testimony by Intervenors

3001.91 Applicability and general policy. 3001.92 Submissions by intervenors.

Subpart G-Rules Applicable to the Filing of Periodic Reports by the U.S. Postal Service 3001.101 Applicability and general policy. 3001.102 Filing of reports.

Subpart H-Rules Applicable to Appeals of Postal Service Determinations To Close or Consolidate Post Offices

3001.110 Applicability.

3001.111 Initiation of review proceedings. 3001.112 The record on review. 3001.113 Filing of the record.

3001.114 Suspension pending review.

3001.115 Briefs on appeal.

3001.116 Posting of documents by Postal Service for inspection by affected postal patrons.

AUTHORITY: 39 U.S.C. 3603, 3622, 3623, 84 Stat. 759-761; (5 U.S.C. 553), 80 Stat. 383, unless otherwise noted.

SOURCE: 36 FR 396, Jan. 12, 1971, unless otherwise noted.

NOMENCLATURE CHANGE NOTE: 37 FR 25027, Nov. 25, 1972.

(a) "Act" means the Postal Reorganization Act (84 Stat. 719, title 39, U.S.C.), as amended.

(b) "Postal Service" means the U.S. Postal Service established by the Act. (c) "Commission" or "Commissioner" means, respectively, the Postal Rate Commission established by the Act or a member thereof.

(d) "Secretary" means the Secretary or the Acting Secretary of the Commission.

(e) "Presiding officer" means the Chairman of the Commission in proceedings conducted by the Commission en banc or the Commissioner or Administrative Law Judge of the Commission designated to preside at hearings or conferences.

(f) "Person" means an individual, a partnership, corporation, trust, unincorporated association, public or private organization, or governmental agency.

(g) "Party" means the Postal Service, a complainant, an appellant, or a person who has been permitted to intervene in a proceeding before the Commission.

(h) "Participant" means any party and the officer of the Commission who is designated to represent the interests of the general public and, for purposes of §§ 3001.11(e), 12, 21, 23, 24, 29, 30, 31, and 32 only, it also means persons granted limited participation.

(i) "Complainant" means a person or interested party who as permitted by section 3662 of the Act files a complaint with the Commission in the form and manner hereinafter prescribed.

(j) "Hearing" means a hearing under sections 556 and 557 of title 5, U.S.C. (80 Stat. 386), as provided by sections 3624, 3661, and 3662 of the Act.

(k) "Record" means the transcript of testimony and exhibits, together with all papers and requests filed in the proceeding, which constitutes the exclusive record for decision.

(1) "Effective date" of an order or notice issued by the Commission or an officer thereof means the date of issuance unless otherwise specifically provided.

(m) "Appellant" means a person who as permitted by 39 U.S.C. 404(b) appeals to the Commission a determination of the Postal Service to close or consolidate a post office.

(n) "Commission meeting" means the deliberations of at least three Commissioners where such deliberations determine or result in the joint conduct or disposition of official Commission business, but does not include deliberations required or permitted by § 3001.43(d) or § 3001.43(e).

(0) "Ex parte communication" means an oral or written communication not on the public record with respect to which reasonable prior notice to all participants and limited participators is not given, but it shall not include requests for status reports on any matter or proceeding covered by subchapter II of chapter 5 of title 5 or a proceeding conducted pursuant to Subpart H of this part.

(p) "Domestic Mail Classification Schedule" means the classification schedule, including schedules of full and phased rates and fees, adopted by the Decision of the Governors of the U.S. Postal Service Re Recommended Decision of the Postal Rate Commission Regarding the Proper Scope and Extent of the Mail Classification

Schedule, issued April 3, 1979, and any amendments thereto adopted pursuant to the procedures of subchapter III, chapter 36, title 39 of the U.S.C.

[36 FR 396, Jan. 12, 1971, as amended at 38 FR 4327, Feb. 13, 1973; 42 FR 8142, Feb. 2, 1977; 42 FR 10992, Feb. 25, 1977; 42 FR 13290, Mar. 10, 1977; 44 FR 26075, May 4, 1979]

§ 3001.6 Appearances.

(a) By whom. An individual may appear in his own behalf; a member of a partnership may represent the partnership; and an officer may represent a corporation, trust, unincorporated association, or governmental agency. A person may be represented in a proceeding by an attorney at law admitted to practice and in good standing before the Supreme Court of the United States, the highest court of any State or Territory of the United States or the District of Columbia, or the Court of Appeals or the District Court for the District of Columbia.

(b) Authority to act. When an officer of any party or an attorney acting in a representative capacity appears in

person or signs a paper filed with the Commission, his personal appearance or signature shall constitute a representation to the Commission that he is authorized to represent the particular party in whose behalf he acts. Any person appearing before or transacting business with the Commission in a representative capacity may be required by the Commission or the presiding officer to file evidence of his authority to act in such capacity.

(c) Designation for service. A person intending to appear before the Commission or its presiding officer in a representative capacity for a party in a proceeding shall file with the Commission a notice of appearance in the form prescribed by the Secretary unless the person is named in an initial filing of the party whom he represents as a person to whom communications from the Commission in regard to the filing are to be addressed. Failure to file a notice required by this paragraph shall constitute a waiver of the right to service of documents.

(d) Standards of conduct. Individuals practicing before the Commission shall conform to the standards of ethical conduct required of practitioners in the courts of the United States.

(e) Disqualification and suspension. After hearing, the Com ission may disqualify and deny, temporarily or permanently, the privilege of appearing and practicing before it in any way to any individual who is found not to possess the requisite qualifications, or to have engaged in unethical or improper

professional conduct. Contumacious conduct at any hearing before the Commission or its presiding officer shall be ground for exclusion of any individual from such hearing and for summary suspension for the duration of the hearing by the Commission or the presiding officer.

(84 Stat. 759-761, 764; 390 U.S.C. 3603, 36223624, 3661, 3662)

[36 FR 396, Jan. 12, 1971, as amended at 38 FR 4327, Feb. 13, 1973]

§ 3001.7 Ex parte communications.

(a) Definitions—(1) Decision-making Commission personnel. Subject to the exception stated in paragraph (a)(2)(ii) of this section, the following categories of persons are designated "decision-making Commission person

nel":

(i) The Commission and their personal office staffs;

(ii) The General Counsel and his staff;

(iii) The Director of the Office of Technical Analysis and Planning and his staff.

(iv) Any other employee who may reasonably be expected to be involved in the decisional process.

(2) Non-decision-making Commission personnel. The following categories of persons are designated "non-decision-making Commission personnel":

(i) All Commission personnel other than decision-making Commission personnel;

(ii) Decision-making Commission personnel not participating in the decisional process owing to the prohibitions of § 3001.8 or 39 CFR 3000.735, Subpart C.

(b) Prohibition. In any agency proceeding that is required to be conducted in accordance with section 556 of title 5 or a proceeding conducted pursuant to Subpart H of this part, except to the extent required for the disposition of ex parte matters as authorized by law

(1) Interested persons outside the Commission and non-decision-making Commission personnel shall not make or knowingly cause to be made to any Commission decision-making personnel ex parte communications relevant to the merits of the proceeding;

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