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   Home Page > Executive Branch > Code of Federal Regulations > Electronic Code
   of Federal Regulations

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                e-CFR Data is current as of October 1, 2007

   Title 47: Telecommunication

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PART 19—EMPLOYEE RESPONSIBILITIES AND CONDUCT
   ___________________________________

   Section Contents
   
                        Subpart A—General Provisions

   § 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

   top

§ 19.735-101   Purpose.

   top

   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).

§ 19.735-102   Cross-reference to ethics and other conduct related regulations.

   top

   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.

§ 19.735-103   Definitions.

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   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.

§ 19.735-104   Delegations.

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   (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.

§ 19.735-105   Availability of ethics and other conduct related regulations and
statutes.

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   (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.

§ 19.735-106   Interpretation and advisory service.

   top

   (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.

§ 19.735-107   Disciplinary and other remedial action.

   top

   (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 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

   top

§ 19.735-201   Outside employment and other activity prohibited by the
Communications Act.

   top

   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.

§ 19.735-202   Financial interests prohibited by the Communications Act.

   top

   (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:

   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  theFederal  Registerand 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.

§ 19.735-203   Nonpublic information.

   top

   (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.

   (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 §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
   §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]
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