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adjourn the meeting whenever he considers it to be in the public interest.

(c) Minutes shall be kept of each meeting. As a minimum, the minutes must contain a record of the persons present, a description of the matter discussed and conclusions reached, and a copy of any report received, issued, or approved by the committee. The accuracy of all minutes must be certified by a full-time, salaried officer or employee of the Government who was present during the meeting to which the minutes pertain.

(d) The Secretary or his designee may waive any requirement of this section in any case in which he determines that:

(1) Compliance with that requirement would interfere with the proper functioning of the committee or would be impracticable;

(2) Adequate provisions are made to assure otherwise that the operation of the committee is subject to Government control and purpose; and

(3) The waiver is in the public interest.

who is required to adjourn the meeting whenever he considers it to be in the public interest.

(c) A verbatim transcript shall be kept of the proceedings at each meeting, including the name of each person present, his affiliation, and the capacity in which he attended, except in any case in which the Secretary or his designee determines that a verbatim transcript would interfere with the proper functioning of the committee or would be impracticable and therefore waives the requirement as being in the public interest. In such a case the procedure prescribed in 895.9(c) applies.

(d) No industry advisory Committee may receive, compile, or discuss data or reports showing the current or projected commercial operations of any identified business enterprise. (33 FR 467, Jan. 12, 1968, as amended by Amdt. 95–1, 33 FR 6913, May 3, 1968)


$95.11 Meetings; industry advisory

committees. (a) Meetings of an industry advisory committee may be held only at the call of a full-time, salaried officer or employee of the Department, with an agenda formulated by that officer or employee.

(b) Each meeting shall be chaired by a full-time, salaried officer or ployee of the Government who is required to adjourn the meeting whenever he considers it to be in the public interest. The Secretary or his designee may waive the requirements of this paragraph in any case in which he determines that:

(1) Compliance with that requirement would interfere with the proper functioning of the committee or would be impracticable;

(2) Adequate provisions are made to assure otherwise that the operation of the committee is subject to Government control and purpose;

(3) The waiver is in the public interest; and

(4) The meeting will be conducted in the presence of a full-time, salaried officer or employee of the Government

895.13 Antitrust laws.

The activities of advisory committees are subject to the antitrust laws and committee members are not immune from prosecution under those laws. The Department of Justice takes the position that it retains complete freedom to institute proceedings, either civil or criminal, or both, in the event that any particular plan or course of action is used to accomplish unlawful private ends, and to institute civil actions to enjoin continuance of any act or practices found not to be in the public interest and persisted in after notice to desist. This part is intended to minimize the possibility of violating the antitrust laws. Industry representatives and Government personnel officially connected with advisory committees should be advised of the antitrust aspects of the committee activity. 895.15 Conflicts of interest statutes,

orders, and regulations. There is a body of statutes, orders, and regulations prescribed by the President, the Secretary, and other authorities, dealing with conflicts of interest and designed to prevent any conflict between the official duties and status of Government officers and employees and their private interest. Government officers and employees are re

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898.2 Definitions.

For the purposes of this part, the following definitions apply:

(a) Administration means each of the following:

(1) The United States Coast Guard.

(2) The Federal Aviation Administration.

(3) The Federal Highway Administration.

(4) The Federal Railroad Administration.

(5) The National Highway Traffic Safety Administration.

(6) The Urban Mass Transportation Administration.

(7) The Saint Lawrence Seaway Development Corporation.

(8) The Research and Special Programs Administration.

(9) The 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 the Assistant General Counsel for Environmental, Civil Rights and General Law, an apparent violation by a former employee of the Department of 18 U.S.C. 207.

Subpart A-Administration of Enforcement


Sec. 98.1 Purpose. 98.2 Definitions. 98.3 Reports of apparent violations. 98.4 Initiation of administrative discipli

nary proceeding. 98.5 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 B-Administrative Sanctions

98.12 Administrative sanctions.

Subpart C-Judicial Review

98.13 Judicial review.

AUTHORITY: 18 U.S.C. 207; Pub. L. 96-28.

SOURCE: 48 FR 12383, Mar. 24, 1983, unless otherwise noted.

Subpart A-Administration of

Enforcement Proceedings

8 98.4 Initiation of administrative dis

ciplinary proceeding. (a) Whenever the Assistant General Counsel for Environmental, Civil Rights and General Law has determined that there is reasonable cause to believe that a former Departmental employee has violated 18 U.S.C. 207, the Assistant General Counsel for Environmental, Civil Rights, and General Law:

(1) Shall expeditiously provide that information to the Director, Office of Government Ethics, and to the Criminal Division, Department of Justice; and

(2) After coordinating any proceeding with the Criminal Division, Department of Justice, to avoid prejudicing criminal proceedings, may institute an administrative disciplinary proceeding in accordance with this part.

$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 is an allegation that a former employee of the Department has violated 18 U.S.C. 207.

(b) The person who shall provide for the prosecution of the alleged violation in an administrative disciplinary proceeding under this part (hereinafter referred to as the “Departmental counsel") is:

(1) In a case where the last Departmental employer of the alleged violator is the Office of the Secretary, the Assistant General Counsel for Environmental, Civil Rights and General Law, or his or her designee; or

(2) In a case where the last Departmental employer of the alleged violator is an administration, the Chief Counsel, or his or her designee, for that administration.

(C) Before beginning an administrative disciplinary proceeding, the Departmental 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 former employee to prepare an adequate defense;

(2) Notification of the right to a hearing;

(3) An explanation of the method by which a hearing may be requested; and

(4) A statement of the possible sanctions that may be imposed if a violation by the former employee is found to have occurred.

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 (hereinafter 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 allegations and the institution of the proceedings under this part, and shall not be or have been employed by the administration, or the Office of the Secretary if appli able, 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, date, and place. The examiner shall grant any delays or continuances that the examiner determines to be necessary and appropriate for fair resolution of the case, with due regard to the former employee's need for adequate time to prepare a defense and for expeditious resolution of allegations that may be damaging to that former employee's reputation.

(b) The following rights shall be granted to a former employee who requests a hearing under $98.5(b):

(1) To represent oneself or to be represented by counsel.

(2) To introduce and examine witnesses and to submit physical evidence.

(3) To confront and cross-examine adverse witnesses.

(4) To present oral argument.

(5) To obtain a transcript or recording 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. However, the examiner may make such orders and determinations regarding discovery, admissibility of evidence, conduct of examiration and cross-examination, and similar matters the examiner deems necessary or appropriate to ensure orderliness in the proceedings and fundamental fairness to the parties.

8 98.5 Former employee response to

notice. (a) Within 30 working days after service 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 that 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 imposed.

(b) The Department shall deem the right to a hearing to have been waived by the former employee if the former employee does not submit a request under paragraph (b)(1) of this section

150-197 0-94--22

$98.8 Decision by examiner.

Subpart B-Administrative (a) In a hearing under $98.7 of this

Sanctions part, the Departmental counsel must establish a violation by a preponder

898.12 Administrative sanctions. ance of the evidence.

(a) The Secretary, in decisions under (b) The examiner shall make a deci- $98.10 of this part, and the examiner, in sion exclusively on matters of record in decisions under $98.8 and $98.9 of this the proceeding and shall set forth in

part, may impose an administrative the decision:

sanction against a former employee (1) All findings of fact relevant to the

who, after a final administrative decimatters at issue;

sion under this part, is found to be in (2) All conclusions of law relevant to violation of 18 U.S.C. 207. the matters at issue; and

(b) The administrative sanctions that (3) The sanction to be imposed, if

may be imposed under subsection (a) of any.

this section are: $98.9 Decision if hearing waived.

(1) Prohibiting the former employee

from making, on behalf of any other (a) If the former employee waives or,

person except the United States, any in accordance wth $98.5(b) of this part, formal or informal appearance before, is deemed to have waived a hearing

or, with the intent to influence, any under this part, the examiner shall, oral or written communication to, the after review of the record as it exists,

Department of any of its administramake a decision as to whether the

tions on any matter of business for a former employee is in violation of 18

period not to exceed five years; or U.S.C. 207.

(2) Taking other appropriate discipli(b) In a decision under paragraph (a)

nary action, such as a reprimand or of this section, the requirements of

suspension from participation in a par$ 98.8 of this part apply.

ticular matter or matters before the $ 98.10 Appeal.

Department. (a) Within 30 working days after receipt of a decision issued under $98.8 or

Subpart C-Judicial Review $98.9 of this part, either the Depart

898.13 Judicial review. mental counsel or the former employee may appeal the decision to the Sec- Any former employee found to have retary.

violated 18 U.S.C. 207 by a final admin(b) In making a decision on an ap- istrative decision under this part may peal, the Secretary shall consider only

seek judicial review of disciplinary acthe evidence admitted during the prior

tion imposed under this part. proceeding and contained in the record of that proceeding.

PART 99-EMPLOYEE (c) If the Secretary modifies or re- RESPONSIBILITIES AND CONDUCT verses the initial decision, the Secretary shall specify the findings of fact

Subparts A{-(Reserved) and conclusions of law that are different from those of the examiner. Subpart F-Responsibilities of the Govern

ment Employee and Special Gover898.11 Final administrative decision.

ment Employee Following Departure The final administrative decision From Government Service under this part shall be: (a) The decision of the examiner

Sec. under $98.8(b), if there is no appeal

99.735-80 Applicability. under $98.10;

99.735-81 Post-employment duties and re(b) The decision by the examiner

sponsibilities. under $98.9, if a hearing is waived or is


TERESTS EXEMPTED FROM THE PROHIBIdeemed to have been waived and there

TIONS OF SECTION 208(a) OF TITLE 18, UNITis no appeal under $98.10; or

ED STATES CODE (c) The decision of the Secretary on APPENDIX B (RESERVED) an appeal under $98.10.





AUTHORITY: 49 U.S.C. 322; E.O. 12674, 54 FR
15159, CFR, 1989 Comp., P 215, as modified by
E.O. 12731, 55 FR 42547, 3 CFR, 1990 Comp., P.

SOURCE: Amdt. 99-10, 42 FR 3119, Jan. 14, 1977, unless otherwise noted.

employee's prospective private employer. 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 regulation as appendix E, so that they will be aware of the restrictions which might affect them upon their termination from the Government service.

Subparts A-E (Reserved)



PROHIBITIONS OF SECTION 208(a) OF Subpart F-Responsibilities of the

TITLE 18, UNITED STATES CODE Government Employee and Special Government Em- I. (a) Pursuant to the authority of section ployee Following Departure 208(b) of title 18. United States Code, the folFrom Government Service

lowing are exempted from the prohibitions of section 208(a) of title 18, United States Code,

because they are too remote or too incon$99.735-80 Applicability.

sequential to affect the integrity of an emThe provisions of this subpart apply ployee's services in any matter in which he only to employees who terminated gov

may act in his governmental capacity. ernment service before January 1, 1991.

(1) Any holding in a widely held mutual

fund, or regulated investment company, (58 FR 7995, Feb. 11, 1993)

which does not specialize in an industry in

which the possibility of conflict arise. $99.735-81 Post-employment duties

(2) Continued participation in a bona fide and responsibilities.

pension, retirement, group life, health, or acThe duties and obligations of a Gov- cident insurance plan or other employee welernment employee (or a special Gov

fare or benefit plan that is maintained by a ernment employee) do not end when

business or nonprofit organization by which

the employee was formerly employed, to the government service terminates by re

extent that the employee's rights in the tirement, resignation, or for any other

plans are vested and require no additional reason. In fact the U.S. Code sets forth

services by him or further payments to the specific criminal penalties for certain plans by the organization with respect to the activities by former Government em- services of the employee. In addition, to the ployees. To summarize broadly, section extent that the welfare or benefit plan is a 207 of title 18, U.S. Code, prohibits a profit sharing or stock bonus plan, this exformer Government employee from emption does not apply and the procedures acting as agent or attorney in various

prescribed in $99.735–150 (c) through (e) will types of proceedings and matters on be

apply to the interest of that employee in the half of a non-Government party when


(3) Participation in an air carrier frequent the employee was involved in the sub

flyers or substantially similar program that ject matter while working for the Gov

is available to the general public on the ernment. The duration and nature of

same terms and conditions and involves no the prohibitions depend in part on the direct financial interest in the carrier, such depth of the employee's involvement in as stockholdings or similar types of investthe matter while in Government serv- ment interests. ice. Section 208 of the same title re

(Amdt.99-10, 42 FR 3119, Jan. 14, 1977, as lates to activities performed while a amended by Amdt. 99-14, 53 FR 16414, May 9, Government employee that benefit an 1988)

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