DOT 49 CFR PART 98-2010 ENFORCEMENT OF RESTRICTIONS ON POST-EMPLOYMENT ACTIVITIES.pdf

1、696 49 CFR Subtitle A (10110 Edition) Pt. 98 PART 98ENFORCEMENT OF RE-STRICTIONS ON POST-EMPLOY-MENT ACTIVITIES Subpart AAdministration of Enforcement Proceedings Sec. 98.1 Purpose. 98.2 Definitions. 98.3 Reports of apparent violations. 98.4 Initiation of administrative discipli-nary proceeding. 98.

2、5 Former employee response to notice. 98.6 Examiner. 98.7 Hearing. 98.8 Decision by examiner. 98.9 Decision if hearing waived. 98.10 Appeal. 98.11 Final administrative decision. Subpart BAdministrative Sanctions 98.12 Administrative sanctions. Subpart CJudicial Review 98.13 Judicial review. AUTHORIT

3、Y: 18 U.S.C. 207; Pub. L. 9628. SOURCE: 48 FR 12383, Mar. 24, 1983, unless otherwise noted. Subpart AAdministration of Enforcement Proceedings 98.1 Purpose. The purpose of this part is to set forth the administrative enforcement procedures that the Department of Transportation will follow when there

4、 is an allegation that a former employee of the Department has violated 18 U.S.C. 207. 98.2 Definitions. For the purposes of this part, the fol-lowing definitions apply: (a) Administration means each of the following: (1) The United States Coast Guard. (2) The Federal Aviation Administra-tion. (3) T

5、he Federal Highway Administra-tion. (4) The Federal Railroad Administra-tion. (5) The National Highway Traffic Safety Administration. (6) The Urban Mass Transportation Administration. (7) The Saint Lawrence Seaway De-velopment Corporation. (8) The Research and Special Pro-grams Administration. (9) T

6、he Maritime Administration. (b) Department means the Department of Transportation. (c) 18 U.S.C. 207 means 18 U.S.C. 207 (a), (b), or (c) or any regulations issued under 18 U.S.C. 207. (d) Secretary means the Secretary of Transportation. 98.3 Reports of apparent violations. Any person may report, to

7、 the Assist-ant General Counsel for Environ-mental, Civil Rights and General Law, an apparent violation by a former em-ployee of the Department of 18 U.S.C. 207. 98.4 Initiation of administrative dis-ciplinary proceeding. (a) Whenever the Assistant General Counsel for Environmental, Civil Rights and

8、 General Law has deter-mined that there is reasonable cause to believe that a former Departmental employee has violated 18 U.S.C. 207, the Assistant General Counsel for Environ-mental, Civil Rights, and General Law: (1) Shall expeditiously provide that information to the Director, Office of Governme

9、nt Ethics, and to the Crimi-nal Division, Department of Justice; and (2) After coordinating any proceeding with the Criminal Division, Depart-ment of Justice, to avoid prejudicing criminal proceedings, may institute an administrative disciplinary proceeding in accordance with this part. (b) The pers

10、on who shall provide for the prosecution of the alleged violation in an administrative disciplinary pro-ceeding under this part (hereinafter re-ferred to as the Departmental coun-sel) is: (1) In a case where the last Depart-mental employer of the alleged viola-tor is the Office of the Secretary, the

11、 Assistant General Counsel for Environ-mental, Civil Rights and General Law, or his or her designee; or (2) In a case where the last Depart-mental employer of the alleged viola-tor is an administration, the Chief Counsel, or his or her designee, for that administration. VerDate Mar2010 10:00 Dec 22,

12、 2010 Jkt 220212 PO 00000 Frm 00706 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-697 Office of the Secretary of Transportation 98.8 (c) Before beginning an administra-tive

13、 disciplinary proceeding, the De-partmental counsel shall provide the former employee with actual notice of the institution of a proceeding. This notice must include: (1) A statement of allegations and the basis for those allegations, which statement must be sufficiently detailed to enable the forme

14、r employee to pre-pare an adequate defense; (2) Notification of the right to a hear-ing; (3) An explanation of the method by which a hearing may be requested; and (4) A statement of the possible sanc-tions that may be imposed if a viola-tion by the former employee is found to have occurred. 98.5 For

15、mer employee response to notice. (a) Within 30 working days after serv-ice of a notice pursuant to 98.4(c), the former employee may submit to the Departmental counsel in writing: (1) A request for a hearing, which, if not all issues are disputed by the former employee, should specify those issues th

16、at are; (2) Any evidence and arguments in lieu of a hearing or (3) A statement that the allegations are true and set forth any factors that should be considered in determining the administrative sanction to be im-posed. (b) The Department shall deem the right to a hearing to have been waived by the

17、former employee if the former employee does not submit a request under paragraph (b)(1) of this section within 30 working days after service of notice pursuant to 98.4(c). 98.6 Examiner. (a) The presiding official at a hearing held under this part and the deciding official under 98.9 of this part (h

18、erein-after referred to as the examiner) shall be designated by the Secretary. (b) The examiner shall not have been involved in any of the events specified in the allegations, shall not have been involved in the investigation of the al-legations and the institution of the proceedings under this part

19、, and shall not be or have been employed by the administration, or the Office of the Secretary if applicable, in which the alleged violation occurred. 98.7 Hearing. (a) The examiner shall, within 30 working days of a request for a hearing under 98.5(b), schedule the hearing for a reasonable time, da

20、te, and place. The examiner shall grant any delays or continuances that the examiner deter-mines to be necessary and appropriate for fair resolution of the case, with due regard to the former employees need for adequate time to prepare a defense and for expeditious resolution of alle-gations that ma

21、y be damaging to that former employees reputation. (b) The following rights shall be granted to a former employee who re-quests a hearing under 98.5(b): (1) To represent oneself or to be rep-resented by counsel. (2) To introduce and examine wit-nesses and to submit physical evidence. (3) To confront

22、 and cross-examine ad-verse witnesses. (4) To present oral argument. (5) To obtain a transcript or record-ing of the hearing on request from the official reporter upon payment of the fees fixed therefor. (c) In a hearing under this part, the Federal Rules of Civil Procedure and Evidence do not apply

23、. However, the examiner may make such orders and determinations regarding discovery, admissibility of evidence, conduct of examination and cross-examination, and similar matters the examiner deems necessary or appropriate to en-sure orderliness in the proceedings and fundamental fairness to the part

24、ies. 98.8 Decision by examiner. (a) In a hearing under 98.7 of this part, the Departmental counsel must establish a violation by a preponder-ance of the evidence. (b) The examiner shall make a deci-sion exclusively on matters of record in the proceeding and shall set forth in the decision: (1) All f

25、indings of fact relevant to the matters at issue; (2) All conclusions of law relevant to the matters at issue; and (3) The sanction to be imposed, if any. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00707 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProv

26、ided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-698 49 CFR Subtitle A (10110 Edition) 98.9 98.9 Decision if hearing waived. (a) If the former employee waives or, in accordance with 98.5(b) of this part, is deemed to have waived a hearing under this part,

27、 the examiner shall, after review of the record as it exists, make a decision as to whether the former employee is in violation of 18 U.S.C. 207. (b) In a decision under paragraph (a) of this section, the requirements of 98.8 of this part apply. 98.10 Appeal. (a) Within 30 working days after re-ceip

28、t of a decision issued under 98.8 or 98.9 of this part, either the Depart-mental counsel or the former employee may appeal the decision to the Sec-retary. (b) In making a decision on an ap-peal, the Secretary shall consider only the evidence admitted during the prior proceeding and contained in the

29、record of that proceeding. (c) If the Secretary modifies or re-verses the initial decision, the Sec-retary shall specify the findings of fact and conclusions of law that are dif-ferent from those of the examiner. 98.11 Final administrative decision. The final administrative decision under this part

30、shall be: (a) The decision of the examiner under 98.8(b), if there is no appeal under 98.10; (b) The decision by the examiner under 98.9, if a hearing is waived or is deemed to have been waived and there is no appeal under 98.10; or (c) The decision of the Secretary on an appeal under 98.10. Subpart

31、 BAdministrative Sanctions 98.12 Administrative sanctions. (a) The Secretary, in decisions under 98.10 of this part, and the examiner, in decisions under 98.8 and 98.9 of this part, may impose an administrative sanction against a former employee who, after a final administrative deci-sion under this

32、 part, is found to be in violation of 18 U.S.C. 207. (b) The administrative sanctions that may be imposed under subsection (a) of this section are: (1) Prohibiting the former employee from making, on behalf of any other person except the United States, any formal or informal appearance before, or, w

33、ith the intent to influence, any oral or written communication to, the Department of any of its administra-tions on any matter of business for a period not to exceed five years; or (2) Taking other appropriate discipli-nary action, such as a reprimand or suspension from participation in a par-ticula

34、r matter or matters before the Department. Subpart CJudicial Review 98.13 Judicial review. Any former employee found to have violated 18 U.S.C. 207 by a final admin-istrative decision under this part may seek judicial review of disciplinary ac-tion imposed under this part. PART 99EMPLOYEE RESPONSIBI

35、LITIES AND CONDUCT Subpart AGeneral Sec. 99.7351 Cross-reference to ethical conduct standards and financial disclosure regu-lations. Subparts BE Reserved Subpart FResponsibilities of the Govern-ment Employee and Special Govern-ment Employee Following Departure From Government Service 99.73580 Applic

36、ability. 99.73581 Post-employment duties and re-sponsibilities. APPENDIX A TO PART 99CATEGORIES OF FI-NANCIAL INTERESTS EXEMPTED FROM THE PROHIBITIONS OF SECTION 208(A) OF TITLE 18, UNITED STATES CODE APPENDIXES BD TO PART 99 RESERVED APPENDIX E TO PART 99STATUTES REGU-LATING POST-EMPLOYMENT RESPONS

37、IBIL-ITIES OF GOVERNMENT AND SPECIAL GOV-ERNMENT EMPLOYEES AUTHORITY: 49 U.S.C. 322; E.O. 12674, 54 FR 15159, 3 CFR, 1989 Comp., p. 215, as modified by E.O. 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00708 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-