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fit to himself or another person, particularly one with whom he has family, business, or financial ties.

§ 19.735-305 Gifts, entertainment, and favors.

(a) Except as provided in paragraph (b) of this section, a special Government employee, while so employed or in connection with his employment, shall not receive or solicit from a person having business with his agency anything of value as a gift, gratuity, loan, entertainment, or favor for himself or another person particularly one with whom he has family, business, or financial ties.

(b) The same exceptions applying to the acceptance of gifts, entertainment, and favors by Government employees which are set forth under § 19.735–202(b) apply to special Government employees of the Commission.

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Each special Government employee of the Commission shall acquaint himself with the following major statutory prohibitions relating to his ethical and other conduct as well as those set forth in § 19.735-210 in this part.

(a) Section 4(b) of the Communications Act which is reprinted in pertinent part in §19.735-204(c)(1) in this part.

(b) Sections 203 and 205 of Title 18 of the United States Code which provide that a special Government employee:

(1) May not, except in the discharge of his official duties, represent anyone else before a court or Government agency in a matter in which the United States is a party or has an interest and in which he has at any time participated personally and substantially for the Government.

(2) May not, except in the discharge of his official duties, represent anyone else in a matter pending before the agency he serves unless he has served there no more than 60 days during the past 365. He is bound by this restraint despite the fact that the matter is not one in which he has ever participated personally and substantially.

to:

(3) These prohibitions do not extend

(1) Representation of another person without compensation in a disciplinary, loyalty, or other personnel matter; or

(ii) The giving of testimony under oath or from making statements required to be made under penalty for perjury or contempt; or

(iii) Representation, with the approval of the Government official responsible for his appointment, of his own parents, spouse, or child, in matters in which he has not participated personally and substantially and which are not the subject of his official responsibility.

(c) Section 208 of Title 18 of the United States Code which provides that a special Government employee may not participate in his governmental capacity in any matter in which he, his spouse, minor child, outside business associate or person with whom he is negotiating for employment has a flnancial interest.

(1) This prohibition shall not apply if the employee advises the Government officials responsible for his appointment of the nature of the matter, makes full disclosure of the financial interest, and receives in advance a written determination that the interest is not so substantial as to be deemed likely to affect the integrity of the employee's services.

(d) Section 207 of Title 18 of the United States Code provides prohibitions relating to special Government employees and their partners respecting appearances before agencies of the United States. See §§1.25 and 1.29 of this chapter.

(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; 47 U.S.C. 154, 303; 18 U.S.C. 207(j))

[31 FR 2725, Feb. 15, 1966, as amended at 48 FR 38242, Aug. 23, 1983; 48 FR 44803, Sept. 30, 1983]

Subpart D-Statements of Employment and Financial Interests

SOURCE: 31 FR 2726, Feb. 15, 1966, unless otherwise noted.

§ 19.735-401 Form and content of statements.

The statements of employment and financial interests required under this subpart for use by employees and spe

cial Government employees of the Commission are in accordance with the formats prescribed by the Office of Personnel Management in the Federal Personnel Manual.

$19.735-402 Specific

provisions of agency regulations for employees. The regulations issued under this subpart are in accordance with the reporting requirements set forth in §§ 735.403 through 735.411 of the Office of Personnel Management Regulations (5 CFR 735.403 through 735.411).

§19.735-403 Employees required to submit statements.

(a) A "Confidential Statement of Employment and Financial Interests" (FCC Form A-54) shall be required from the following employees of the Commission:

(1) Employees who are in Grades GS13 through GS-15.

(2) Those employees who are in Grades GS-11 through GS-12 who are Heads or Supervisors or Assistant Heads or Supervisors of field offices.

(3) All purchasing agents.

(4) All employees serving as auditors or accountants, with the principal duty of auditing private enterprises.

(5) All employees in the offices of the Commissioners not subject to the reporting requirements of subpart E of this part.

(6) Employees in positions classified below GS-13 may be required to file if the positions they hold meet the criteria established in 5 CFR 735.403 and the requirement to file has been specifically justified by the Commission to the Office of Personnel Management.

(b) A "Confidential Statement of EmInterests" ployment and Financial

shall be required from Commissioners and employees who are subject to separate reporting requirements under subpart E of this part or section 401 of Executive Order 11222, but such statement shall be filed on FCC Form A-54A.

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

[48 FR 44803, Sept. 30, 1983]

§ 19.735-403a Employee's complaint on filing requirement.

An employee who believes that his position has been improperly included under the Commission's regulations requiring the filing of a statement of employment and financial interests is entitled to seek review of his complaint under the Commission's grievance procedure.

[32 FR 13458, Sept. 26, 1967]

§ 19.735-404 [Reserved]

§ 19.735-405 Submission and review of employees' statements.

(a) An employee required to submit a statement of employment and financial interests pursuant to §19.735-403 shall submit that statement on the prescribed form not later than thirty days after his or her entrance on duty.

(b) An employee required to submit a statement of employment and financial interests shall submit that statement to the office of the Managing Director.

(c) An employee required to submit a statement of employment and financial interests will be individually notified of his or her obligation to file.

(d) Financial statements submitted under subpart D shall be reviewed by the Designated Agency Ethics Official.

(e) When a statement submitted under subpart D of this part or information from other sources indicates a conflict between the interests of an employee or special Government employee and the performance of his or her services for the Government, the information concerning the conflict or appearance of conflict shall be reported to the Managing Director and the employee or special Government employee concerned shall be provided an opportunity to explain the conflict or appearance of conflict.

(f) When, after explanation by the employee or special Government employee involved, the conflict or appearance of conflict is not resolved, the information concerning the conflict or appearance of conflict shall be reported to the Chairman through the Designated Agency Ethics Official (see 47 CFR 0.231(i)) for appropriate administrative action.

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Changes in, or additions to, the information contained in an employee's statement of employment and financial interests shall be reported in a supplementary statement as of June 30 each year. If no changes or additions occur, a negative report is required. Notwithstanding the filing of the annual report required by this section, each employee shall at all times avoid acquiring a financial interest that could result, or take an action that would result, in a violation of the conflicts-of-interest provisions of section 208 of Title 18, United States Code, or subpart B of this part.

[32 FR 13458, Sept. 26, 1967]

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The interest of a spouse, minor child, or other member of an employee's immediate household is considered to be an interest of the employee. For the purpose of this section, "member of an employee's immediate household" means those blood relations who are residents of the employee's household. § 19.735-408 Information not known by employees.

If any information required to be included on a statement of employment and financial interests or supplementary statement, including holdings placed in trust, is not known to the employee but is known to another person, the employee shall request that other person to submit information in his behalf.

§ 19.735-409 Information prohibited.

This subpart does not require an employee to submit on a statement of employment and financial interests or supplementary statement any information relating to the employee's connection with, or interest in, a professional society or a charitable, religious, social, fraternal, recreational, public service, civic, or political organization or a similar organization not con

ducted as a business enterprise. For the purpose of this section, educational and other institutions doing research and development or related work involving grants of money from or contracts with the Government are deemed "business enterprises" and are required to be included in an employee's statement of employment and financial interests.

$19.735-410 Confidentiality of employees' statements.

Each statement of employment and financial interests, and each supplementary statement, shall be held in confidence and shall be retained in the Office of the Managing Director. Each employee charged with reviewing a statement is responsible for maintaining the statements in confidence and shall not allow access to or allow information to be disclosed from a statement except to carry out the purpose of this part or as otherwise required by law. Information from these statements shall not be disclosed except as the Office of Personnel Management or the Chairman may determine for good cause shown.

[54 FR 15195, Apr. 17, 1989]

§ 19.735-411 Effect of employees' statements on other requirements.

The statements of employment and financial interests and supplementary statements required of employees are in addition to, and not in substitution for, or in derogation of, any similar requirement imposed by law, order, or regulation. The submission of a statement or supplementary statement by an employee does not permit him or any other person to participate in a matter in which his or the other person's participation is prohibited by law, order or regulation.

$19.735-412 Procedure for obtaining

waivers of the applicability of section 4(b) of the Communications Act and the Federal conflicts of interest statutes.

(a) Waiver of section 4(b) of the Communications Act. (47 U.S.C. 154(b))

(1) As indicated in §19.735–204 of this chapter, no member of the Commission or person in its employ shall have any financial interest delineated in 47

U.S.C. 154(b)(2)(A), except that the Commission may waive this prohibition under specific circumstances. (See $19.735-204 (c)(3))

(2) 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 Office or Bureau, who will endorse the request with an appropriate recommendation and forward the request to the Managing Director. The Managing Director, in consultation with the General Counsel, has delegated authority to waive the applicability of section 4(b) of the Communications Act (47 U.S.C. 154(b)). (See 47 CFR 0.231(e))

(3) All requests for waiver shall be in writing and in the required detail. The dollar value of the financial interest sought to be waived shall be expressed explicitly or in categories of value provided for in OPM's government ethics regulations. (See 5 CFR 734.304)

(4) Before any waiver is granted, the General Counsel shall be furnished a copy of all relevant documents and shall be afforded an opportunity to comment thereon.

(5) Copies of all waiver requests and the action taken thereon shall be maintained in the Office of Managing Director.

(b) Waiver of sections 203, 205 and 208 of the criminal code (18 U.S.C. 203, 205 and 208):

(1) As indicated in §19.735-204 of this chapter, no employee of the Commission may, except in the discharge of his or her official duties, represent anyone before a court or Government agency in a matter in which the United States is a party or has an interest. (18 U.S.C. 203 and 205). Nor may an employee participate in his governmental capacity in any matter in which he, his spouse, minor child, outside business associate or person with whom he is negotiating for employment has a financial interest. (18 U.S.C. 208). These prohibitions may, however, be waived in certain circumstances. (18 U.S.C. 205, 208(b))

(2) Requests for waiver of the applicability of the above Federal conflicts of interest statutes may be submitted as follows:

(i) In the case of employees generally, to the Head of the Office or Bureau to which the employee is assigned;

(ii) In the case of Heads of Offices and Bureaus, to the Chairman; and

(iii) In the case of employees in the immediate offices of a Commissioner, to the Commissioner.

(3) All waiver requests shall be in writing and in the required detail. Before any waiver is granted, the General Counsel shall be furnished a copy of all relevent documents and shall be afforded an opportunity to comment thereon.

(4) Commissioners may grant waivers to employees of their immediate offices.

(5) The Managing Director, in consultation with the general Counsel, has delegated authority to waive the applicability of the conflicts of interest statutes of all other employees. The official to whom the waiver request is submitted will endorse it with an appropriate recommendation and forward it to the Managing Director for approval. (See 47 CFR 0.231(e))

(6) Copies of all requests for waivers and the action taken thereon shall be maintained in the Office of Managing Director.

(7) An employee who deems him or herself disqualified from participating in any matter pending before the Commission and who does not request a waiver shall file a statement of disqualification and nonparticipation with the Head of the Bureau or Office to which assigned and with the Managing Director.

(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; 47 U.S.C. 154, 303)

[48 FR 38242, Aug. 23, 1983]

$19.735-413 Specific

reporting requirements for special Government employees.

(a) The reporting requirements for special Government employees are the same as those applying to Government employees which are also set forth in this subpart.

(b) Except as provided in paragraph (c) of this section, special Government employees shall be required to submit a statement of employment and financial interests which reports:

(1) All other employment; and

(2) The financial interests of the special Government employee which relate either directly or indirectly to the

duties and responsibilities of the special Government employee.

(c) The Chairman may waive the requirement in paragraph (b) of this section for the submission of a statement of employment and financial interests in the case of a special Government employee who is not a consultant or an expert when the Commission finds that the duties of the position held by that special Government employee are of a nature and at such a level of responsibility that the submission of the statement by the incumbent is not necessary to protect the integrity of the Government. For the purpose of this paragraph, "consultant" and "expert" have the meanings given those terms by Chapter 304 of the Federal Personnel Manual, but do not include:

(1) A physician, dentist, or allied medical specialist whose services are procured to provide care and service to patients; or

(2) A veterinarian whose services are procured to provide care and service to animals.

(d) A statement of employment and financial interests required to be submitted under this section shall be submitted not later than the time of employment of the special Government employee as provided in the Commission's regulations. Each special Government employee shall keep his statement current throughout his employment with the Commission by the submission of supplementary statements.

(e) As indicated in §19.735-306, a special Government employee is subject to certain prohibitions of the Federal conflicts of interest statutes contained in sections 203, 205, and 208 of Title 18 of the United States Code. The procedures for obtaining a waiver of these statutes are the same as those applying to Government employees which are set forth in §19.735-412.

Subpart E-Financial

Reporting Requirements of the Ethics in Government Act

AUTHORITY: 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)).

SOURCE: 48 FR 44803, Sept. 30, 1983, unless otherwise noted.

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and policymaking employees, as specified in this subpart, must file a Financial Disclosure Report annually or as otherwise required by this subpart. The provisions of this subpart are issued in accordance with the reporting requirements of the "Ethics in Government Act of 1978," Pub. L. 95-521, 92 Stat. 1824 (Oct. 26, 1978), as amended by Pub. L. 96-19, 93 Stat. 37 (June 13, 1979). See 5 CFR part 734.

§ 19.741 Persons required to file.

(a) Incumbents. Individuals who have served in the following positions for more than 60 days during any calendar year must file an "Executive Personnel Financial Disclosure Report" (OPM Standard Form 278) on or before May 15 of the succeeding year with the Designated Agency Ethics Official: (1) Commissioners;

(2) Members of the Review Board; (3) Administrative Law Judges;

(4) All employees (including special Government employees as defined in 18 U.S.C. 202) whose rate of pay (excluding "step" increases) equals or exceeds the base pay of grade GS-16 of the General Schedule; and

(5) All employees in positions excepted from the competitive service by reason of being of a confidential or policymaking character, such positions to include (but are not necessarily limited to) legal, engineering, confidential and special assistants to the Commissioners and other employees in the excepted service whose positions are policymaking or confidential in character, provided that a person in such position whose rate of basic pay is less than the base pay of grade GS-16 and who has no role in advising or making policy determinations may be excluded from the requirements of this section upon compliance with the requirements of 5 CFR 734.203.

(6) Designated Agency Ethics Official.

(b) The following individuals must file with the Designated Agency Ethics Official an "Executive Personnel Financial Disclosure Report" (OPM Standard Form 278) within the time specified for each:

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