[Federal Register Volume 64, Number 59 (Monday, March 29, 1999)]
[Rules and Regulations]
[Pages 14829-14830]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-7519]
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FEDERAL TRADE COMMISSION
16 CFR Part 4
Appearances Before the Commission; Restrictions As To Former
Members and Employees
AGENCY: Federal Trade Commission (FTC).
ACTION: Final rule.
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SUMMARY: The Commission is amending its rule governing the appearance
of former members and employees, Rule 4.1(b), to more closely track the
post-employment restrictions of the criminal conflict of interest
statute, 18 U.S.C. 207.
EFFECTIVE DATE: These amendments are effective March 29, 1999.
FOR FURTHER INFORMATION CONTACT: Ira S. Kaye, 202-326-2426, or Shira
Pavis Minton, 202-326-2479, Attorneys, Office of the General Counsel,
FTC, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
SUPPLEMENTARY INFORMATION: The Commission is revising paragraph (b) of
Commission Rule 4.1, 16 CFR 4.1, which currently prohibits a former
employee's participation, ``behind-the-scenes,'' in a Commission matter
that had been pending under his or her official responsibility before
departing the Commission, provided that the former employee had not
participated in the matter personally and substantially (which includes
actively supervising it), and that nonpublic documents or information
about the matter had not, and would not have been likely to have, come
to the former employee's attention. Under these circumstances, the
rule, like 18 U.S.C. 207, will permit a former employee to render in-
house assistance in connection with the representation in question (see
5 CFR 2637.201(b)(6)). The rule, however, will continue to prohibit
making an appearance before, or communication to, a member or employee
of the Commission with the intent to influence that person in
connection with the matter.
The Commission will continue to monitor closely the post-employment
activites of its former employees. The Clearance Rule will continue to
require them to file clearance requests before participating in matters
that were pending in the Commission before they departed, even if they
had not participated in those matters, and even if they plan to render
only behind-the-scenes assistance.
The Commission also is deleting, from two paragraphs, language that
it had added to the rule as part of its 1998 amendments. 63 FR 15758
(April 1, 1998). First, the Commission is deleting the last sentence of
paragraph (b)(5)(vii) of the Rule to clarify that, although the rule
generally allows former employees to participate in rulemaking
proceedings, a former ``senior employee'' may not communicate with or
appear before a Commission employee regarding any matter, including a
rulemaking proceeding, within the first year after leaving the
Commission. Second, the Commission is deleting from paragraph
(b)(1)(iii) the words ``and the employee left the Commission within the
previous three years[.]'' The amendment restores the Commission's
authority to prohibit participation by a former employee who left more
than three years earlier, where nonpublic documents or information that
would still convey a present advantage would likely have come to her
attention.
These rule amendments relate solely to agency practice, and, thus,
are not subject to the notice and comment requirements of the
Administrative Procedure Act, 5 U.S.C. 553(a)(2), or to the
requirements of the Regulatory Flexibility Act, 5 U.S.C. 601(2).
[[Page 14830]]
The submissions required by the amended rule do not generally
involve the ``collection of information'' as that term is defined by
the Paperwork Reduction Act (``PRA''), 44 U.S.C. 3501-3520. Submission
of a request for clearance to participate or a screening affidavit is
ordinarily required only during the conduct of an administrative action
or investigation involving a specific individual or entity. Such
submissions are exempt from the coverage of the PRA. 5 CFR
1320.4(a)(2). To the limited extent that the rule could require a
submission outside the context of an investigation or action involving
a specific party, the information collection aspects of the rule have
been cleared by the Office of Management and Budget and assigned OMB
clearance no.3084-0047.
List of Subjects in 16 CFR Part 4
Administrative practice and procedure.
For the reasons set forth in the preamble, the Federal Trade
Commission amends Title 16, chapter I, subchapter A, of the Code of
Federal Regulations as follows:
PART 4--MISCELLANEOUS RULES
1. The authority citation for part 4 continues to read as follows:
Authority: Sec. 6, 38 Stat. 721; 15 U.S.C. 46.
Sec. 4.1 [Amended]
2. Section 4.1(b)(1) introductory text is amended by adding,
between the words ``under'' and ``paragraph (b)(1)(iv),'' the words
``paragraph (b)(1)(ii) or''.
3. Section 4.1(b)(1)(iii) is amended by removing the words ``and
the employee left the Commission within the previous three years''.
4. Section 4.1(b)(5)(vii) is amended by removing the final
sentence.
By direction of the Commission.
Donald S. Clark,
Secretary.
[FR Doc. 99-7519 Filed 3-26-99; 8:45 am]
BILLING CODE 6750-01-M
