DOT 49 CFR PART 99-2010 EMPLOYEE RESPONSIBILITIES AND CONDUCT.pdf

1、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, the examiner shall, after review of the record as it exists, make a decision as to whether th

2、e 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-ceipt of a decision issued under 98.8 or 98.9 of this part, either the Depart-mental counsel or th

3、e 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 record of that proceeding. (c) If the Secretary modifies or re-verses the initial decision, th

4、e 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 shall be: (a) The decision of the examiner under 98.8(b), if there is no appeal under 98.10; (

5、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 BAdministrative Sanctions 98.12 Administrative sanctions. (a) The Secretary, in decisions und

6、er 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 part, is found to be in violation of 18 U.S.C. 207. (b) The administrative sanctions that may

7、 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, with the intent to influence, any oral or written communication to, the Department of any of it

8、s 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-ticular matter or matters before the Department. Subpart CJudicial Review 98.13 Judicial review. Any

9、 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 RESPONSIBILITIES AND CONDUCT Subpart AGeneral Sec. 99.7351 Cross-reference to ethical conduct standards

10、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 Applicability. 99.73581 Post-employment duties and re-sponsibilities. APPENDIX A TO PART 99CATEGORIE

11、S 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 RESPONSIBIL-ITIES OF GOVERNMENT AND SPECIAL GOV-ERNMENT EMPLOYEES AUTHORITY: 49 U.S.C. 322; E.O. 1267

12、4, 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 n

13、etworking permitted without license from IHS-,-,-699 Office of the Secretary of Transportation Pt. 99, App. A SOURCE: Amdt. 9910, 42 FR 3119, Jan. 14, 1977, unless otherwise noted. Subpart AGeneral 99.7351 Cross-reference to ethical conduct standards and financial disclosure regulations. Employees o

14、f the Department of Transportation are subject to the exec-utive branch-wide Standards of Ethical Conduct at 5 CFR part 2635, the Depart-ment of Transportation regulations at 5 CFR part 6001 which supplement the executive branch-wide standards and the executive branch-wide financial disclosure regul

15、ations at 5 CFR part 2634. 61 FR 39904, July 31, 1996 Subparts BE Reserved Subpart FResponsibilities of the Government Employee and Special Government Em-ployee Following Departure From Government Service 99.73580 Applicability. The provisions of this subpart apply only to employees who terminated g

16、ov-ernment service before January 1, 1991. 58 FR 7995, Feb. 11, 1993 99.73581 Post-employment duties and responsibilities. The duties and obligations of a Gov-ernment employee (or a special Gov-ernment employee) do not end when government service terminates by re-tirement, resignation, or for any ot

17、her reason. In fact the U.S. Code sets forth specific criminal penalties for certain activities by former Government em-ployees. To summarize broadly, section 207 of title 18, U.S. Code, prohibits a former Government employee from acting as agent or attorney in various types of proceedings and matte

18、rs on be-half of a non-Government party when the employee was involved in the sub-ject matter while working for the Gov-ernment. The duration and nature of the prohibitions depend in part on the depth of the employees involvement in the matter while in Government serv-ice. Section 208 of the same ti

19、tle re-lates to activities performed while a Government employee that benefit an employees prospective private em-ployer. All Government employees and special Government employees should become familiar with the provisions of the two statutory sections cited, which have been made a part of this regu

20、la-tion as appendix E, so that they will be aware of the restrictions which might affect them upon their termination from the Government service. APPENDIX A TO PART 99CATEGORIES OF FINANCIAL INTERESTS EXEMPTED FROM THE PROHIBITIONS OF SECTION 208(a) OF TITLE 18, UNITED STATES CODE I. (a) Pursuant to

21、 the authority of section 208(b) of title 18, United States Code, the fol-lowing are exempted from the prohibitions of section 208(a) of title 18, United States Code, because they are too remote or too incon-sequential to affect the integrity of an em-ployees services in any matter in which he may a

22、ct in his governmental capacity. (1) Any holding in a widely held mutual fund, or regulated investment company, which does not specialize in an industry in which the possibility of conflict arise. (2) Continued participation in a bona fide pension, retirement, group life, health, or ac-cident insura

23、nce plan or other employee wel-fare or benefit plan that is maintained by a business or nonprofit organization by which the employee was formerly employed, to the extent that the employees rights in the plans are vested and require no additional services by him or further payments to the plans by th

24、e organization with respect to the services of the employee. In addition, to the extent that the welfare or benefit plan is a profit sharing or stock bonus plan, this ex-emption does not apply and the procedures prescribed in 99.73515c (c) through (e) will apply to the interest of that employee in t

25、he plan. (3) Participation in an air carrier frequent flyers or substantially similar program that is available to the general public on the same terms and conditions and involves no direct financial interest in the carrier, such as stockholdings or similar types of invest-ment interests. Amdt.9910,

26、 42 FR 3119, Jan. 14, 1977, as amended by Amdt. 9914, 53 FR 16414, May 9, 1988 VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00709 Fmt 8010 Sfmt 8002 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without lic

27、ense from IHS-,-,-700 49 CFR Subtitle A (10110 Edition) Pt. 99, App. E APPENDIXES BD TO PART 99 RESERVED APPENDIX E TO PART 99STATUTES REGULATING POST-EMPLOYMENT RE-SPONSIBILITIES OF GOVERNMENT AND SPECIAL GOVERNMENT EMPLOYEES NOTE: This appendix applies only to em-ployees who terminated government

28、service before January 1, 1991. 207 Disqualification of former officers and employees in matters connected with former duties or offical responsibilities; disquali-fication of partners. (a) Whoever, having been an officer or em-ployee of the executive branch of the United States Government, of any i

29、ndependent agency of the United States, or of the Dis-trict of Columbia, including a special Gov-ernment employee, after his employment has ceased, knowingly acts as agent or attorney for anyone other than the United States in connection with any judicial or other pro-ceeding, application, request f

30、or a ruling or other determination, contract, claim, con-troversy, charge, accusation, arrest, or other particular matter involving a specific party or parties in which the United States is a party or has a direct and substantial interest and in which he participated personally and substantially as

31、an officer or employee, through decision, approval, disapproval, rec-ommendation, the rendering of advice, inves-tigation, or otherwise, while so employed, or (b) Whoever, having been so employed, within one year after his employment has ceased, appears personally before any court or department or a

32、gency of the Government as agent, or attorney for, anyone other than the United States in connection with any proceeding, application, request for a ruling or other determination, contract, claim, con-troversy, charge, accusation, arrest, or other particular matter involving a specific party or part

33、ies in which the United States is a party or directly and substantially inter-ested, and which was under his official re-sponsibility as an officer or employee of the Government at any time within a period of one year prior to the termination of such re-sponsibility: Shall be fined not more than $10

34、,000 or im-prisoned for not more than two years, or both: Provided, That nothing in subsection (a) or (b) prevents a former officer or em-ployee, including a former special Govern-ment employee, with outstanding scientific or technological qualifications from acting as attorney or agent or appearing

35、 personally in connection with a particular matter in a scientific or technological field if the head of the department or agency concerned with the matter shall make a certification in writing, published in the FEDERAL REGISTER, that the national interest would be served by such action or appearanc

36、e by the former offi-cer or employee. (c) Whoever, being a partner of an officer or employee of the executive branch of the United States Government, of any inde-pendent agency of the United States, or of the District of Columbia, including a special Government employee, acts as agent or at-torney f

37、or anyone other than the United States, in connection with any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, ar-rest, or other particular matter in which the United States is a party or has a direct and subst

38、antial interest and in which such offi-cer or employee of the Government or spe-cial Government employee participates or has participated personally and substan-tially as a Government employee through de-cision, approval, disapproval, recommenda-tion, the rendering of advice, investigation or otherw

39、ise, or which is the subject of his official responsibility: Shall be fined not more than $5,000, or im-prisoned not more than one year, or both. A partner of a present or former officer or employee of the executive branch of the United States Government, of any inde-pendent agency of the United Sta

40、tes, or of the District of Columbia or of a present or former special Government employee shall as such be subject to the provisions of sec-tions 203, 205, and 207 of this title only as ex-pressly provided in subsection (c) of this sec-tion. (Added Pub. L. 87349, section 1(a), Oct. 23, 1962, 76 Stat

41、. 1123.) 203 Acts affecting a personal financial inter-est. (a) Except as permitted by subsection (b) hereof, whoever, being an officer or employee of the executive branch of the United States Government, of any independent agency of the United States, or of the District of Co-lumbia, including a sp

42、ecial Government em-ployee, participates personally and substan-tially as a Government officer or employee, through decision, approval, disapproval, rec-ommendation, the rendering of advice, inves-tigation, or otherwise, in a judicial or other proceeding, application, request for a ruling or other d

43、etermination, contract, claim, con-troversy, charge, accusation, arrest, or other particular matter in which, to his knowl-edge, he, his spouse, minor child, partner, or-ganization in which he is serving as officer, director, trustee, partner or employee, or any person or organization with whom he i

44、s negotiating or has any arrangement con-cerning prospective employment, has a fi-nancial interest: Shall be fined not more than $10,000, or im-prisoned not more than two years, or both. (b) Subsection (a) hereof shall not apply (1) if the officer or employee first advises the VerDate Mar2010 10:00

45、Dec 22, 2010 Jkt 220212 PO 00000 Frm 00710 Fmt 8010 Sfmt 8002 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-701 Office of the Secretary of Transportation Subtitle A, App. Government official

46、responsible for appoint-ment to his position of the nature and cir-cumstances of the judicial or other pro-ceeding, application, request for a ruling or other determination, contract, claim, con-troversy, charge, accusation, arrest, or other particular matter and makes full disclosure of the financi

47、al interest and receives in ad-vance a written determination made by such official that the interest is not so substan-tial as to be deemed likely to affect the in-tegrity of the services which the Govern-ment may expect from such officer or em-ployee, or (2) if, by general rule or regulation publis

48、hed in the FEDERAL REGISTER, the fi-nancial interest has been exempted from the requirements of clause (1) hereof as being too remote or too inconsequential to affect the integrity of Government officers or employ-ees services. (Added Pub. L. 87849, section 1(a), Oct. 23, 1962, 76 Stat. 1124.) New 1

49、8 U.S.C. 208. This section forbids cer-tain actions by an officer or employee of the Government in his role as a servant or rep-resentative of the Government. Its thrust is therefore to be distinguished from that of sections 203 and 205 which forbid certain ac-tions in his capacity as a representative of persons outside the Government. Subsection (a) in substance requires an of-ficer or employee of the executive branch,