(Secs. 4(1) and 303(r), Communications Act of 1934, as amended at 47 U.S.C. 154(1) and 303(r); 18 U.S.C. 207(j))

[48 FR 44802, Sept. 30, 1983]

§ 19.735-105 Interpretation and advisory service.

(a)(1) The head of the Internal Control and Security Office is designated as the agency's ethics official for purposes of 5 CFR parts 734 and 737. The General Counsel is designated as legal counselor for the Commission to provide guidance on matters relating to ethical conduct. The General Counsel is to serve as the Commission's designee to the Office of Personnel Management on matters covered by 5 CFR part 735.

(2) The Office of the General Counsel is responsible for coordination of the Commisson's legal counseling services provided under paragraph (b) of this section and for assuring that legal counseling and interpretation on questions of conflict of interest and other matters covered by this part are available.

(b) The counseling services provided by the Office of the General Counsel include the giving of advice and guidance to each employee and special Government employee who seeks advice and guidance on questions of conflicts of interest and other matters covered by this part.

(c) If an employee is in doubt about any matter covered by this part, or if he has a question as to the propriety of a past or contemplated line of conduct, he should discuss his problem with his immediate supervisor, or the Office of General Counsel.

(d) Requests for interpretative rulings concerning the applicability of the new order and regulations in this part in implementation thereof may be submitted through the employee's supervisor to the Office of the General Counsel.

(e) At the time of an employee's entrance on duty and at least once each calendar year thereafter, the Commission's employees and special Government employees shall be notified of the availability of counseling services and of how and where these services are available.

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(r); 18 U.S.C. 207(j))

[31 FR 2722, Feb. 15, 1966, as amended at 48 FR 44802, Sept. 30, 1983; 54 FR 15195, Apr. 17, 1989]

§ 19.735-106 [Reserved]

§ 19.735-107 Disciplinary and other remedial action.

(a) A violation of the regulations in this part by an employee or special Government employee may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law.

(b) In carrying out the Commission's Review and Inspection Program with respect to employee conduct, 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 counselor for the Commission.

(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 these rules. Should the Inspector General choose to conduct the investigation, he will promptly notify the Chairman. 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 Pub. L. 100-504 or 5

U.S.C. Appendix 3. The Inspector General will be provided with the results of all investigations in which he chooses not to participate.

(d) When, after consideration of the explanation of the employee or special Government employee provided by $19.735-405(e), the Chairman decides that remedial action is required, he shall take immediate action to end the conflicts or appearance of conflicts of interest. Remedial action may include, but is not limited to:

(1) Changes in assigned duties;

(2) Divestment by the employee or special Government employee of his conflicting interest;

(3) Action under the Commission's Review and Inspection Program resulting in one of the following actions:

(1) When investigation reveals that the charges are groundless the person designated by the Chairman to assist in administration of the program may give 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.

(v) 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:

(a) Written reprimand. A formal letter containing a complete statement of the offense and official censure;

(b) Suspension. A temporary nonpay status and suspension from duty;

(c) Removal for cause. Separation for cause in case of a serious offense. 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.

(4) Disqualification for a particular assignment.

Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations.

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(r); 18 U.S.C. 207(j))

[31 FR 2722, Feb. 15, 1966, as amended at 48 FR 44803, Sept. 30, 1983; 54 FR 15195, Apr. 17, 1989]

Other

Subpart B-Ethical and Conduct and Responsibilities of Employees

§ 19.735-201 Specific provisions.

The regulations issued under this subpart contain provisions covering the standards of and governing the ethical and other conduct of FCC employees set forth in §§ 735.201a through 735.210 of the Office of Personnel Management Regulations (5 CFR 735.201a through 735.210), as well as those set forth in the Executive order and the Federal Conflicts of Interest statutes and the Federal Communications Act of 1934, as amended. They are not meant to restrict unduly a Commission employee's social activities. Each employee must judge for himself whether his social activities may or may not compromise or appear to compromise his position as a public servant. [31 FR 2723, Feb. 15, 1966]

§ 19.735-201a Proscribed actions.

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

(a) Using public office for private gain;

(b) Giving preferential treatment to any person;

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended at 47 U.S.C. 154(1) and 303(r); 18 U.S.C. 207(j))

[48 FR 44802, Sept. 30, 1983]

§ 19.735-105 Interpretation and advisory service.

(a)(1) The head of the Internal Control and Security Office is designated as the agency's ethics official for purposes of 5 CFR parts 734 and 737. The General Counsel is designated as legal counselor for the Commission to provide guidance on matters relating to ethical conduct. The General Counsel is to serve as the Commission's designee to the Office of Personnel Management on matters covered by 5 CFR part 735.

(2) The Office of the General Counsel is responsible for coordination of the Commisson's legal counseling services provided under paragraph (b) of this section and for assuring that legal counseling and interpretation on questions of conflict of interest and other matters covered by this part are available.

(b) The counseling services provided by the Office of the General Counsel include the giving of advice and guidance to each employee and special Government employee who seeks advice and guidance on questions of conflicts of interest and other matters covered by this part.

(c) If an employee is in doubt about any matter covered by this part, or if he has a question as to the propriety of a past or contemplated line of conduct, he should discuss his problem with his immediate supervisor, or the Office of General Counsel.

(d) Requests for interpretative rulings concerning the applicability of the new order and regulations in this part in implementation thereof may be submitted through the employee's supervisor to the Office of the General Counsel.

(e) At the time of an employee's entrance on duty and at least once each calendar year thereafter, the Commission's employees and special Government employees shall be notified of the availability of counseling services and of how and where these services are available.

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(1) and 303(r); 18 U.S.C. 207(j))

[31 FR 2722, Feb. 15, 1966, as amended at 48 FR 44802, Sept. 30, 1983; 54 FR 15195, Apr. 17, 1989]

§ 19.735-106 [Reserved]

§ 19.735-107 Disciplinary and other remedial action.

(a) A violation of the regulations in this part by an employee or special Government employee may be cause for appropriate disciplinary action which may be in addition to any penalty prescribed by law.

(b) In carrying out the Commission's Review and Inspection Program with respect to employee conduct, 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 counselor for the Commission.

(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 these rules. Should the Inspector General choose to conduct the investigation, he will promptly notify the Chairman. 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 Pub. L. 100-504 or 5

U.S.C. Appendix 3. The Inspector General will be provided with the results of all investigations in which he chooses not to participate.

(d) When, after consideration of the explanation of the employee or special Government employee provided by $19.735-405(e), the Chairman decides that remedial action is required, he shall take immediate action to end the conflicts or appearance of conflicts of interest. Remedial action may include, but is not limited to:

(1) Changes in assigned duties;

(2) Divestment by the employee or special Government employee of his conflicting interest;

(3) Action under the Commission's Review and Inspection 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 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.

(v) 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:

(a) Written reprimand. A formal letter containing a complete statement of the offense and official censure;

(b) Suspension. A temporary nonpay status and suspension from duty;

(c) Removal for cause. Separation for cause in case of a serious offense. 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.

(4) Disqualification for a particular assignment.

Remedial action, whether disciplinary or otherwise, shall be effected in accordance with any applicable laws, Executive orders, and regulations.

(Secs. 4(1) and 303(r), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(r); 18 U.S.C. 207(j))

[31 FR 2722, Feb. 15, 1966, as amended at 48 FR 44803, Sept. 30, 1983; 54 FR 15195, Apr. 17, 1989]

Other

Subpart B-Ethical and Conduct and Responsibilities of Employees

§ 19.735-201 Specific provisions.

The regulations issued under this subpart contain provisions covering the standards of and governing the ethical and other conduct of FCC employees set forth in §§ 735.201a through 735.210 of the Office of Personnel Management Regulations (5 CFR 735.201a through 735.210), as well as those set forth in the Executive order and the Federal Conflicts of Interest statutes and the Federal Communications Act of 1934, as amended. They are not meant to restrict unduly a Commission employee's social activities. Each employee must judge for himself whether his social activities may or may not compromise or appear to compromise his position as a public servant. [31 FR 2723, Feb. 15, 1966]

§ 19.735-201a Proscribed actions.

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

(a) Using public office for private gain;

(b) Giving preferential treatment to any person;

(c) Impeding Government efficiency or economy;

(d) Losing complete independence or impartiality;

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

(f) Affecting adversely the confidence of the public in the integrity of the Government.

[32 FR 13457, Sept. 26, 1967]

§ 19.735-202 Gifts, entertainment, and favors.

(a) Except as provided in paragraphs (b) and (f) 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 Commission;

(2) Conducts operations or activities that are regulated by the Commission;

or

(3) Has interests that may be substantially affected by the performance or nonperformance of his (the employee's) official duty; or

(4) Is in any way attempting to affect the employee's official actions at the Commission.

(5) Is offering anything of monetary value to an employee because of the employee's official position.

(b) The prohibitions enumerated in paragraph (a) of this section do not apply in the situations enumerated below:

(1) Where obvious family (such as those between the parents, children, or spouse of the employee and the employee) or other personal relationships make it clear that it is those relationships rather than the business of the persons concerned which are the motivating factors;

(2) Food and refreshments, not lavish in kind, may be accepted when (i) offered free in the course of a meeting or other group function, not connected with an inspection or investigation, at which attendance is desirable because it will assist the Commission employee in performing his or her official duties; or (ii) provided to all panelists or speakers when a Commission employee is participating as a panelist or speak

er in a program, seminar or educational conference.

The Commission's Office of General Counsel shall make a prior written determination as to the propriety of accepting invitations from regulated entities or interested persons as described in 47 CFR 19.735-202(a)(1) through (5), and shall keep a log of its decisions. Approval may be requested by any Commission employee or the organizer of the group function;

(3) Loans may be obtained from banks or other financial institutions on customary terms to finance proper and usual activities of employees, such as home mortgage loans;

(4) Unsolicited advertising or promotional material such as pens, pencils, note pads, calendars and other items of nominal intrinsic value may be accepted, as well as literature relating to the communications field.

(5) Gifts given for participation in a program, seminar or educational conference may be accepted only when such gifts are (i) of nominal intrinsic value; (ii) in the nature of a remembrance traditional to the particular sponsoring entity; (iii) provided to all participants in the program.

NOTE: These situations are elaborated upon in an October 23, 1987, Refreshments by Executive Branch Employees.

(c) [Reserved]

(d) An employee shall not solicit a contribution from another employee for a gift to an official superior, make a donation as a gift to an official superior, or accept a gift from an employee receiving less pay than himself (5 U.S.C. 7351). However, this paragraph does not prohibit a voluntary gift of nominal value or donation in a nominal amount made on a special occasion such as marriage, illness, or retirement.

(e) An employee shall not accept a gift, present, decoration, or other thing from a foreign government unless authorized by Congress as provided by the Constitution and in Pub. L. 89-673, 80 Stat. 952.

(f) Neither this section nor § 19.735-203 precludes an employee from receipt of bona fide reimbursement, unless prohibited by law, for expenses of travel and such other necessary subsistence as is compatible with this part for