[Title 47 CFR 19]
[Code of Federal Regulations (annual edition) - October 1, 2004 Edition]
[Title 47 - TELECOMMUNICATION]
[Chapter I - FEDERAL COMMUNICATIONS COMMISSION]
[Subchapter A - GENERAL]
[Part 19 - EMPLOYEE RESPONSIBILITIES AND CONDUCT]
[From the U.S. Government Printing Office]
47TELECOMMUNICATION12004-10-012004-10-01falseEMPLOYEE RESPONSIBILITIES AND CONDUCT19PART 19TELECOMMUNICATIONFEDERAL COMMUNICATIONS COMMISSIONGENERAL
PART 19_EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents
Subpart A_General Provisions
Sec.
19.735-101 Purpose.
19.735-102 Cross-reference to ethics and other conduct related
regulations.
19.735-103 Definitions.
19.735-104 Delegations.
19.735-105 Availability of ethics and other conduct related regulations
and statutes.
19.735-106 Interpretation and advisory service.
19.735-107 Disciplinary and other remedial action.
Subpart B_Employee Responsibilities and Conduct
19.735-201 Outside employment and other activity prohibited by the
Communications Act.
19.735-202 Financial interests prohibited by the Communications Act.
19.735-203 Nonpublic information.
Authority: 5 U.S.C. 7301; 47 U.S.C. 154 (b), (i), (j), and 303(r).
Source: 61 FR 56112, Oct. 31, 1996, unless otherwise noted.
Subpart A_General Provisions
Sec. 19.735-101 Purpose.
The regulations in this part prescribe procedures and standards of
conduct that are appropriate to the particular functions and activities
of the Commission, and are issued by the Commission under authority
independent of the uniform Standards of Ethical Conduct for Employees of
the Executive Branch at 5 CFR part 2635 or otherwise in accordance with
5 CFR 2635.105(c).
[[Page 864]]
Sec. 19.735-102 Cross-reference to ethics and other conduct related
regulations.
In addition to the rules in this part, employees of the Federal
Communications Commission (Commission) are subject to the Standards of
Ethical Conduct for Employees of the Executive Branch at 5 CFR part 2635
and the Commission's regulations at 5 CFR part 3901 which supplement the
executive branch-wide standards, the executive branch financial
disclosure regulations at 5 CFR part 2634 and the Commission's
regulations at 5 CFR part 3902 which supplement the executive branch-
wide financial disclosure regulations, and the employee responsibilities
and conduct regulations at 5 CFR part 735.
Sec. 19.735-103 Definitions.
Commission means the Federal Communications Commission.
Communications Act means the Communications Act of 1934, as amended,
47 U.S.C. 151 et seq.
Employee means an officer or employee of the Commission including
special Government employees within the meaning of 18 U.S.C. 202(a) and
the Commissioners.
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.
Sec. 19.735-104 Delegations.
(a) The Commission has delegated to the Chairman responsibility for
the detection and prevention of acts, short of criminal violations,
which could bring discredit upon the Commission and the Federal service.
(b) Approvals under 18 U.S.C. 205(e). (1) Commissioners may approve
the representational activities permitted by 18 U.S.C. 205(e) by other
employees in their immediate offices. The Designated Agency Ethics
Official has delegated authority to grant such approvals for all other
employees except Commissioners.
(2)(i) Requests for approval of the activities permitted by 18
U.S.C. 205(e) shall be in writing and submitted as follows:
(A) In the case of employees in the immediate offices of a
Commissioner, to the Commissioner;
(B) In the case of Heads of Offices and Bureaus, to the Chairman;
and
(C) In the case of all other employees except Commissioners, to the
Head of the Office or Bureau to which the employee is assigned.
(ii) An official (other than the Chairman or another Commissioner)
to whom a request for approval under 18 U.S.C. 205(e) is submitted shall
forward it to the Designated Agency Ethics Official with the official's
recommendation as to whether the request should be granted.
(3) Copies of all requests for approval under 18 U.S.C. 205(e) and
the action taken thereon shall be maintained by the Designated Agency
Ethics Official.
(c) Waivers under 18 U.S.C. 208. (1) Commissioners may waive the
applicability of 18 U.S.C. 208(a), in accordance with 18 U.S.C.
208(b)(1) or 208(b)(3) and section 301(d) of Executive Order 12731, for
other employees in their immediate offices. The Designated Agency Ethics
Official has delegated authority to make such waiver determinations for
all other employees except Commissioners.
(2)(i) Requests for waiver of the applicability of 18 U.S.C. 208(a)
shall be in writing and submitted as follows:
(A) In the case of employees in the immediate offices of a
Commissioner, to the Commissioner;
(B) In the case of Heads of Offices and Bureaus, to the Chairman;
and
(C) In the case of all other employees except Commissioners, to the
Head of the Office or Bureau to which the employee is assigned.
(ii) An official (other than the Chairman or another Commissioner)
to whom a waiver request is submitted shall forward it to the Designated
Agency Ethics Official with the official's recommendation as to whether
the waiver should be granted.
(3) Copies of all requests for waivers and the action taken thereon
shall be maintained by the Designated Agency Ethics Official.
[[Page 865]]
Sec. 19.735-105 Availability of ethics and other conduct related
regulations and statutes.
(a)(1) The Commission shall furnish each new employee, at the time
of his or her entrance on duty, with a copy of:
(i) The Standards of Ethical Conduct for Employees of the Executive
Branch (5 CFR part 2635);
(ii) The Supplemental Standards of Ethical Conduct for Employees of
the Federal Communications Commission (5 CFR part 3901); and
(iii) The Commission's Employee Responsibilities and Conduct
regulations in this part.
(2) The Head of each Office and Bureau has the responsibility to
secure from every person subject to his or her administrative
supervision a statement indicating that the individual has read and is
familiar with the contents of the regulations in this part, and the
regulations at 5 CFR parts 2635 and 3901, and to advise the Designated
Agency Ethics Official that all such persons have provided such
statements. Each new employee shall execute a similar statement at the
time of entrance on duty. Periodically, and at least once a year, the
Designated Agency Ethics Official shall take appropriate action to
ensure that the Head of each Office and Bureau shall remind employees
subject to his or her administrative supervision of the content of the
regulations in 5 CFR parts 2635 and 3901 and this part.
(b) Copies of pertinent provisions of the Communications Act of
1934; title 18 of the United States Code; the Standards of Ethical
Conduct for Employees of the Executive Branch (5 CFR part 2635); the
Commission's Supplemental Standards of Ethical Conduct (5 CFR part
3901); and the Commission's employee responsibilities and conduct
regulations in this part shall be available in the office of the
Designated Agency Ethics Official for review by employees.
Sec. 19.735-106 Interpretation and advisory service.
(a) Requests for interpretative rulings concerning the applicability
of 5 CFR parts 2635 and 3901, and this part, may be submitted through
the employee's supervisor to the General Counsel, who is the
Commission's Designated Agency Ethics Official pursuant to the
delegation of authority at 47 CFR 0.251(a).
(b) At the time of an employee's entrance on duty and at least once
each calendar year thereafter, the Commission's employees shall be
notified of the availability of counseling services on questions of
conflict of interest and other matters covered by this part, and of how
and where these services are available.
Sec. 19.735-107 Disciplinary and other remedial action.
(a) A violation of the regulations in this part by an employee may
be cause for appropriate disciplinary action which may be in addition to
any penalty prescribed by law.
(b) The Chairman will designate an officer or employee of the
Commission who will promptly investigate all incidents or situations in
which it appears that employees may have engaged in improper conduct.
Such investigation will be initiated in all cases where complaints are
brought to the attention of the Chairman, including: Adverse comment
appearing in publications; complaints from members of Congress, private
citizens, organizations, other Government employees or agencies; and
formal complaints referred to the Chairman by the Designated Agency
Ethics Official.
(c) The Inspector General will be promptly notified of all
complaints or allegations of employee misconduct. The Inspector General
will also be notified of the planned initiation of an investigation
under this part. Such notification shall occur prior to the initiation
of the investigation required by paragraph (a) of this section. The
Inspector General may choose to conduct the investigation in accordance
with the rules in this part. Should the Inspector General choose to
conduct the investigation, he will promptly notify the Chairman. In such
case, the Inspector General will serve as the designated officer and be
solely responsible for the investigation. In carrying out this function,
the Inspector General may obtain investigative services from
[[Page 866]]
other Commission offices, other governmental agencies or non
governmental sources and use any other means available to him in
accordance with Public Law 100-504 or the Inspector General Act of 1978,
as amended, 5 U.S.C. Appendix. The Inspector General will be provided
with the results of all investigations in which he chooses not to
participate.
(d) The employee concerned shall be provided an opportunity to
explain the alleged misconduct. When, after consideration of the
employee's explanation, the Chairman decides that remedial action is
required, he shall take remedial action. Remedial action may include,
but is not limited to:
(1) Changes in assigned duties;
(2) Divestiture by the employee of his conflicting interest;
(3) Action under the Commission's Ethics Program resulting in one of
the following actions:
(i) When investigation reveals that the charges are groundless, the
person designated by the Chairman to assist in administration of the
program may give a letter of clearance to the employee concerned, and
the case will not be recorded in his Official Personnel Folder;
(ii) If, after investigation, the case investigator deems the act to
be merely a minor indiscretion, he may resolve the situation by
discussing it with the employee. The case will not be recorded in the
employee's Official Personnel Folder;
(iii) If the case administrator considers the problem to be of
sufficient importance, he may call it to the attention of the Chairman,
who in turn may notify the employee of the seriousness of his act and
warn him of the consequences of a repetition. The case will not be
recorded in the employee's Official Personnel Folder, unless the
employee requests it;
(iv) The Chairman may, when in his opinion circumstances warrant,
establish a special review board to investigate the facts in a case and
to make a full report thereon, including recommended action; or
(v)(A) If the Chairman decides that formal disciplinary action
should be taken, he may prepare for Commission consideration a statement
of facts and recommend one of the following:
(1) Written reprimand. A formal letter containing a complete
statement of the offense and official censure;
(2) Suspension. A temporary non pay status and suspension from duty;
or
(3) Removal for cause. Separation for cause in case of a serious
offense.
(B) Only after a majority of the Commission approves formal
disciplinary action will any record resulting from the administration of
this program be placed in the employee's Official Personnel Folder; or
(4) Disqualification for a particular assignment.
(e) Remedial action, whether disciplinary or otherwise, shall be
effected in accordance with any applicable laws, Executive orders, and
regulations.
Subpart B_Employee Responsibilities and Conduct
Sec. 19.735-201 Outside employment and other activity prohibited by
the Communications Act.
Under section 4(b) of the Communications Act, at 47 U.S.C.
154(b)(2)(A)(iv), no employee of the Commission may be in the employ of
or hold any official relation to any person significantly regulated by
the Commission under that Act. In addition, the Commissioners are
prohibited by section 4(b) of the Communications Act, at 47 U.S.C.
154(b)(4), from engaging in any other business, vocation, profession, or
employment.
Note: Under the Supplemental Standards of Ethical Conduct for
Employees of the Federal Communications Commission, at 5 CFR 3901.102,
professional employees of the Commission must obtain approval before
engaging in the private practice of the same profession as that of the
employee's official position, whether or not for compensation.
Sec. 19.735-202 Financial interests prohibited by the Communications Act.
(a) No Commissioner shall have a pecuniary interest in any hearing
or proceeding in which he participates. (47 U.S.C. 154(j).)
(b)(1) Section 4(b) of the Communications Act, at 47 U.S.C.
154(b)(2)(A), provides:
[[Page 867]]
No member of the Commission or person employed by the Commission
shall:
(i) Be financially interested in any company or other entity engaged
in the manufacture or sale of telecommunications equipment which is
subject to regulation by the Commission;
(ii) Be financially interested in any company or other entity
engaged in the business of communication by wire or radio or in the use
of the electromagnetic spectrum;
(iii) Be financially interested in any company or other entity which
controls any company or other entity specified in clause (i) or clause
(ii), or which derives a significant portion of its total income from
ownership of stocks, bonds, or other securities of any such company or
other entity; or
(iv) Be employed by, hold any official relation to, or own any
stocks, bonds, or other securities of, any person significantly
regulated by the Commission under this act; except that the prohibitions
established in this subparagraph shall apply only to financial interests
in any company or other entity which has a significant interest in
communications, manufacturing, or sales activities which are subject to
regulation by the Commission.
(2) To determine whether an entity has a significant interest in
communications related activities that are subject to Commission
regulations, the Commission shall consider, without excluding other
relevant factors, the criteria in section 4(b) of the Communications
Act, at 47 U.S.C. 154(b)(3). These criteria include:
(i) The revenues and efforts directed toward the telecommunications
aspect of the business;
(ii) The extent of Commission regulation over the entity involved;
(iii) The potential economic impact of any Commission action on that
particular entity; and
(iv) The public perception regarding the business activities of the
company.
(3)(i) Section 4(b) of the Communications Act, at 47 U.S.C.
154(b)(2)(B)(i), permits the Commission to waive the prohibitions at 47
U.S.C. 154(b)(2)(A). The Act's waiver provision at 47 U.S.C.
154(b)(2)(B)(i) provides:
The Commission shall have authority to waive, from time to time, the
application of the prohibitions established in subparagraph (A) of
section 4(b) to persons employed by the Commission if the Commission
determines that the financial interests of a person which are involved
in a particular case are minimal, except that such waiver authority
shall be subject to the provisions of section 208 of title 18, United
States Code. The waiver authority established in this subparagraph shall
not apply with respect to members of the Commission.
(ii)(A) Requests for waiver of the provisions of 47 U.S.C.
154(b)(2)(A) may be submitted by an employee to the Head of the
employee's Office or Bureau, who will endorse the request with an
appropriate recommendation and forward the request to the Designated
Agency Ethics Official. The Designated Agency Ethics Official has
delegated authority to waive the applicability of 47 U.S.C.
154(b)(2)(A).
(B) All requests for waiver shall be in writing and in the required
detail. The dollar value for the financial interest sought to be waived
shall be expressed explicitly or in categories of value provided at 5
CFR 2634.301(d).
(C) Copies of all waiver requests and the action taken thereon shall
be maintained by the Designated Agency Ethics Official. In any case in
which the Commission exercises the waiver authority established in
section 4(b) of the Communications Act, the Commission shall publish
notice of such action in the Federal Register and shall furnish notice
of such action to the appropriate committees of each House of the
Congress. Each such notice shall include information regarding the
identity of the person receiving the waiver, the position held by such
person, and the nature of the financial interests which are the subject
of the waiver.
Sec. 19.735-203 Nonpublic information.
(a) Except as authorized in writing by the Chairman pursuant to
paragraph (b) of this section, or otherwise as authorized by the
Commission or its rules, nonpublic information shall not be disclosed,
directly or indirectly, to any person outside the Commission. Such
information includes, but is not limited to, the following:
(1) The content of agenda items (except for compliance with the
Government in the Sunshine Act, 5 U.S.C. 552b); or
(2) Actions or decisions made by the Commission at closed meetings
or by circulation prior to the public release of such information by the
Commission.
[[Page 868]]
(b) An employee engaged in outside teaching, lecturing, or writing
shall not use nonpublic information obtained as a result of his
Government employment in connection with such teaching, lecturing, or
writing except when the Chairman gives written authorization for the use
of that nonpublic information on the basis that its use is in the public
interest.
(c) This section does not prohibit the disclosure of an official
Commission meeting agenda listing titles and summaries of items for
discussion at an open Commission meeting. Also, this section does not
prohibit the disclosure of information about the scheduling of
Commission agenda items.
(d) Any person regulated by or practicing before the Commission
coming into possession of written nonpublic information (including
written material transmitted in electronic form) as described in
paragraph (a) of this section under circumstances where it appears that
its release was inadvertent or otherwise unauthorized shall promptly
return the written information to the Commission's Office of the
Inspector General without further distribution or use of the written
nonpublic information. Any person regulated by or practicing before the
Commission who willfully violates this section by failing to promptly
notify the Commission's Office of the Inspector General of the receipt
of written nonpublic information (including written material transmitted
in electronic form) that he knew or should have known was released
inadvertently or in any otherwise unauthorized manner may be subject to
appropriate sanctions by the Commission. In the case of attorneys
practicing before the Commission, such sanctions may include
disciplinary action under the provisions of Sec. 1.24 of this chapter.
Note: Employees also should refer to the provisions of the Standards
of Ethical Conduct for Employees of the Executive Branch, at 5 CFR
2635.703, on the use of nonpublic information. Additionally, employees
should refer to Sec. 19.735-107 of this part, which provides that
employees of the Commission who violate this part may be subject to
disciplinary action which may be in addition to any other penalty
prescribed by law. As is the case with section 2635.703, this part is
intended only to cover knowing unauthorized disclosures of nonpublic
information.
[61 FR 56112, Oct. 31, 1996, as amended at 65 FR 66185, Nov. 3, 2000]