[Federal Register Volume 62, Number 95 (Friday, May 16, 1997)]
[Rules and Regulations]
[Pages 26915-26918]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12898]
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Rules and Regulations
Federal Register
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This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
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The Code of Federal Regulations is sold by the Superintendent of Documents.
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Federal Register / Vol. 62, No. 95 / Friday, May 16, 1997 / Rules and
Regulations
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OFFICE OF GOVERNMENT ETHICS
5 CFR Part 2641
RIN 3209-AA07
Post-Employment Conflict of Interest Restrictions; Exemption of
Positions and Revision of Departmental Component Designations
AGENCY: Office of Government Ethics (OGE).
ACTION: Final rule.
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SUMMARY: The Office of Government Ethics is issuing this rule to
provide notice of the exemption of certain senior employee positions
from the one-year post-employment restriction of 18 U.S.C. 207(c) and
to designate certain additional departmental components and to revoke
certain existing component designations for purposes of 18 U.S.C.
207(c).
EFFECTIVE DATES: The additions to appendix A to part 2641, as set forth
in amendatory paragraph 2 below, are retroactively effective June 2,
1994.
The amendments to appendix B to part 2641, as set forth in
amendatory paragraph 3 below, are effective May 16, 1997.
Finally, the removal of certain designations from appendix B to
part 2641 (and a related footnote redesignation), as set forth in
amendatory paragraph 4 below, are effective on August 14, 1997.
FOR FURTHER INFORMATION CONTACT: Julia Loring Eirinberg, Office of
General Counsel and Legal Policy, Office of Government Ethics;
telephone: 202-208-8000, extension 1108; TDD: 202-208-8025; FAX: 202-
208-8037.
SUPPLEMENTARY INFORMATION:
A. Substantive Discussion
Exemption of Positions
The Director of the Office of Government Ethics (OGE) is authorized
by 18 U.S.C. 207(c)(2)(C) to exempt eligible employee positions from 18
U.S.C. 207(c), the one-year post-employment restriction applicable to
former ``senior'' employees. As explained in 5 CFR 2641.201(d)(1),
termination from an exempted position does not trigger the restriction.
Pursuant to the procedures prescribed in 5 CFR 2641.201(d), the
designated agency ethics official at the Department of Justice
forwarded a letter to OGE dated May 16, 1994, requesting that the
Director of OGE exempt the 21 United States Trustee positions from the
restrictions of 18 U.S.C. 207(c). After carefully reviewing that letter
and other relevant information, I determined as Director of OGE to
exempt the 21 positions from 18 U.S.C. 207(c) in light of the criteria
set forth in 5 CFR 2641.201(d)(5). These exemptions became effective on
June 2, 1994, the date of my written response to the Department of
Justice. See 5 CFR 2641.201(d)(4).
As specified in 5 CFR 2641.201(d)(3)(iii), the Director of OGE
``shall annually publish in appendix A to this part an updated
compilation of all exempted positions or categories of positions.''
Accordingly, appendix A of part 2641 is being amended by this rule to
ensure publication of the exemptions in the CFR. These exemptions were
not published previously due to administrative oversight.
Appendix A of this part, the heading of which is being revised to
conform with that of appendix B, includes parenthetical entries
highlighting the effective dates of the exemptions. As indicated in 5
CFR 2641.201(d)(4), ``[a]n exemption shall inure to the benefit of the
individual who holds the position when the exemption takes effect, as
well as to his successors, but shall not benefit individuals who
terminated senior service prior to the effective date of the
exemption.''
Designation and Revocation of Departmental Components
The Director of OGE is authorized by 18 U.S.C. 207(h) to designate
distinct and separate departmental or agency components in the
executive branch for purposes of 18 U.S.C. 207(c). The representational
bar of 18 U.S.C. 207(c) usually extends to the whole of any department
or agency in which a former senior employee served in any capacity
during the year prior to termination from a senior employee position.
However, eligible senior employees may be permitted to communicate to
or appear before parts of their former department or agency if one or
more components of the department or agency have been designated as
separate agencies or bureaus by OGE.
As specified in 5 CFR 2641.201(e)(3)(iii), the Director of OGE
``shall by rule make or revoke a component designation after
considering the recommendation of the designated agency ethics
official.'' Component designations are listed in appendix B of this
part. Pursuant to the procedures prescribed in 5 CFR 2641.201(e),
several agencies and departments have forwarded letters to OGE
requesting the designation or revocation of components since appendix B
was last revised in 1993 (58 FR 33755-33756 (June 21, 1993)). After
carefully reviewing these requests in light of the criteria in 18
U.S.C. 207(h) as implemented in 5 CFR 2641.201(e)(6), I have determined
to designate or revoke certain components as described below.
As requested by the Department of Commerce, I am revoking the
designation of the United States Travel and Tourism Administration
(USTTA) as a distinct and separate component of that Department. The
USTTA was recently eliminated, although some of its functions continue
to be performed by another component of the Department.
As requested by the Department of Defense (DOD), I am revoking the
designations of the Defense Mapping Agency and the Defense Nuclear
Agency as distinct and separate components of DOD. I am replacing them
with two components which are, in large part, successor components. The
new National Imagery and Mapping Agency absorbed the former Defense
Mapping Agency and has responsibility for certain functions formerly
performed by the Central Intelligence Agency and by several offices
within DOD. The Defense Nuclear Agency was renamed the Defense Special
Weapons Agency in 1996 as a result of a new charter and an expanded
mission. The missions of the two new agencies remain distinct and
separate from the parent Department.
As recommended by the Department of Health and Human Services
(HHS), I
[[Page 26916]]
am revoking the designation of two components and designating several
additional components as a result of a reorganization of that
Department. Specifically, I am revoking the designation of the Social
Security Administration (SSA) as a distinct and separate component of
HHS since the SSA is no longer a part of the Department. I am also
revoking the designation of the Public Health Service (PHS). I am,
however, designating as distinct and separate seven components that had
previously been operating divisions within the PHS: The Agency for
Health Care Policy and Research; the Agency for Toxic Substances and
Disease Registry; the Centers for Disease Control and Prevention, the
Health Resources and Services Administration, the Indian Health
Service, the National Institutes of Health; and the Substance Abuse and
Mental Health Services Administration. Finally, I am designating one
new HHS operating division as an additional distinct and separate
component, the Administration on Aging.
As recommended by the Department of the Interior (DOI), I am
revoking the designation of the Bureau of Mines and the Office of
Territorial and International Affairs to reflect a reorganization of
the DOI that eliminated those two bureaus. I am also revising the
listing for the DOI to indicate that the name of the Office of Surface
Mining has been changed to the Office of Surface Mining Reclamation and
Enforcement.
As recommended by the Department of Justice (DOJ), I am amending
appendix B so that the several Offices of the United States Marshals
Service shall henceforth be considered a single component for purposes
of 18 U.S.C. 207(c). Prior to this rule, the Office of the United
States Marshal for each judicial district had been considered a
separate component from each other such Office. Also, the United States
Marshals Office for each judicial district will, like other designated
DOJ components operating within a district, be considered separate from
each Office of the United States Attorney for that district. In
addition, I am amending the entry for the Independent Counsel to
clarify that the designation applies only with respect to Independent
Counsel appointed by the Attorney General. And, I am correcting the
title of the Office of the Pardon Attorney.
As recommended by the Department of Labor (DOL), I am designating
the Pension and Welfare Benefits Administration (PWBA) as an additional
distinct and separate component of that Department. While the PWBA has
been in existence for some years, it was not previously designated as a
component of the DOL for purposes of 18 U.S.C. 207(c).
I am designating the Surface Transportation Board (STB) as an
additional distinct and separate component of the Department of
Transportation (DOT). The STB, the successor to the Interstate Commerce
Commission, was recently established as an independent entity within
DOT.
As requested by the Department of the Treasury, I am revoking the
designation of the United States Savings Bonds Division (SBD) as a
distinct and separate component of that Department. The
responsibilities of the former SBD have been taken over by the Bureau
of the Public Debt, another component of the Department.
Finally, I am revoking the designation of the Central Liquidity
Facility (CLF) as a component of the National Credit Union
Administration (NCUA). The NCUA recommended the revocation because the
functions of the CLF have been more closely integrated into those of
the NCUA as a whole. Since the CLF was the sole designated component of
the NCUA, I am removing the NCUA from the listing in Appendix B of
``parent'' departments or agencies.
As indicated in 5 CFR 2641.201(e)(4), a designation ``shall be
effective as of the effective date of the rule that creates the
designation, but shall not be effective as to employees who terminated
senior service prior to that date.'' Most designations were effective
as of January 1, 1991. The effective date of subsequent designations is
indicated by means of parenthetical entries in appendix B. The new
component designations made by this rulemaking document are effective
May 16, 1997. As also provided in 5 CFR 2641.201(e)(4), a revocation is
effective 90 days after the effective date of the rule that revokes the
designation. Accordingly, the component designation revocations made in
this rulemaking will take effect August 14, 1997. Revocations are not
effective as to any individual terminating senior service prior to the
expiration of the 90-day period.
B. Matters of Regulatory Procedure
Administrative Procedure Act
Pursuant to 5 U.S.C. 553, as the Director of OGE, I find that good
cause exists for waiving the general notice of proposed rulemaking and
30-day delayed effective date. It is important that OGE's designation
of exempted positions and designation or revocation of separate
departmental or agency components be published in the Federal Register
as promptly as possible. Also, this rule is interpretive in nature and,
thus, it is exempt from the notice and delayed effectiveness
requirements of 5 U.S.C. 553.
Executive Order 12866
In promulgating this final rule, the Office of Government Ethics
has adhered to the regulatory philosophy and applicable principles of
regulation in section 1 of Executive Order 12866, Regulatory Planning
and Review. This rule has not been reviewed by the Office of Management
and Budget under that Executive order since it deals with agency
organization, management, and personnel matters and is not
``significant'' thereunder.
Regulatory Flexibility Act
As Director of the Office of Government Ethics, I certify under the
Regulatory Flexibility Act (5 U.S.C. chapter 6) that this rule will not
have a significant economic impact on a substantial number of entities
because it affects only Federal agencies and current and former Federal
employees.
Paperwork Reduction Act
The Paperwork Reduction Act (44 U.S.C. chapter 35) does not apply
to this rule because it does not contain information collection
requirements that require the approval of the Office of Management and
Budget.
List of Subjects in 5 CFR Part 2641
Conflict of interests, Government employees.
Approved: May 9, 1997.
Stephen D. Potts,
Director, Office of Government Ethics.
Accordingly, for the reasons set forth in the preamble, the Office
of Government Ethics is amending part 2641 of subchapter B of chapter
XVI of title 5 of the Code of Federal Regulations as follows:
PART 2641--[AMENDED]
1. The authority citation for part 2641 continues to read as
follows:
Authority: 5 U.S.C. App. (Ethics in Government Act of 1978); 18
U.S.C. 207; 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.
2. Effective June 2, 1994, appendix A to part 2641 is amended by
revising the appendix heading and by adding a listing for the
Department of Justice between the introductory text and the listing for
the Securities and Exchange Commission to read as follows:
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Appendix A to Part 2641--Positions Exempted from 18 U.S.C. 207(c)
* * * * *
Agency: Department of Justice. Positions: United States Trustee
(21) (effective June 2, 1994).
* * * * *
3. Effective May 16, 1997, appendix B to part 2641 is amended by
revising the listings for the Department of Commerce, the Department of
Defense, the Department of Health and Human Services, the Department of
the Interior, the Department of Justice, the Department of Labor, the
Department of Transportation, the Department of the Treasury and the
National Credit Union Administration, to read as follows:
Appendix B to Part 2641--Agency Components for Purposes of 18 U.S.C.
207(c)
* * * * *
Parent: Department of Commerce
Components:
Bureau of the Census
Bureau of Export Administration (effective January 28, 1992)
Economic Development Administration
International Trade Administration
Minority Business Development Administration
National Oceanic and Atmospheric Administration
National Telecommunications and Information Administration
Patent and Trademark Office
Technology Administration (effective January 28, 1992)
United States Travel and Tourism Administration (effective
January 28, 1992; expiring August 14, 1997)
Parent: Department of Defense
Components:
Department of the Air Force
Department of the Army
Department of the Navy
Defense Information Systems Agency
Defense Intelligence Agency
Defense Logistics Agency
Defense Mapping Agency (expiring August 14, 1997)
Defense Nuclear Agency (expiring August 14, 1997)
Defense Special Weapons Agency (effective May 16, 1997)
National Imagery and Mapping Agency (effective May 16, 1997)
National Security Agency
* * * * *
Parent: Department of Health and Human Services
Components:
Administration on Aging (effective May 16, 1997)
Administration for Children and Families (effective anuary 28,
1992)
Agency for Health Care Policy and Research (effective May 16,
1997)
Agency for Toxic Substances and Disease Registry (effective May
16, 1997)
Centers for Disease Control and Prevention (effective May 16,
1997)
Food and Drug Administration
Health Care Financing Administration
Health Resources and Services Administration (effective May 16,
1997)
Indian Health Service (effective May 16, 1997)
National Institutes of Health (effective May 16, 1997)
Public Health Service (expiring August 14, 1997)
Social Security Administration (expiring August 14, 1997)
Substance Abuse and Mental Health Services Administration
(effective May 16, 1997)
Parent: Department of the Interior
Components: \1\
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\1\ All designated components under the jurisdiction of a
particular Assistant Secreary shall be considered a single component
for purposes of determining the scope of 18 U.S.C. 207(c) as applied
to senior employees serving on the immediate staff of that Assistant
Secreary.
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Bureau of Indian Affairs (effective January 28, 1992)
Bureau of Land Management (effective January 28, 1992)
Bureau of Mines (effective January 28, 1992; expiring August 14,
1997)
Bureau of Reclamation (effective January 28, 1992)
Minerals Management Service (effective January 28, 1992)
National Park Service (effective January 28, 1992)
Office of Surface Mining Reclamation and Enforcement (effective
January 28, 1992)
Office of Territorial and International Affairs (effective
January 28, 1992; expiring August 14, 1997)
U.S. Fish and Wildlife Service (effective January 28, 1992)
U.S. Geological Survey (effective January 28, 1992)
Parent: Department of Justice
Components:
Antitrust Division
Bureau of Prisons (including Federal Prison Industries, Inc.)
Civil Division
Civil Rights Division
Community Relations Service
Criminal Division
Drug Enforcement Administration
Environment and Natural Resources Division
Executive Office for United States Attorneys \2\ (effective
January 28, 1992)
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\2\ The Executive Office for Untied States Attorneys shall not
be considered separate from any Office of the United States Attorney
for a judicial district, but only from other designated components
of the Department of Justice.
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Executive Office for United States Trustees \3\ (effective
January 28, 1992)
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\3\ The Executive Office for Untied States Attorneys shall not
be considered separate from any Office of the United States Trustee
for a region, but only from other designated components of the
Department of Justice.
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Federal Bureau of Investigation
Foreign Claims Settlement Commission
Immigration and Naturalization Service
Independent Counsel appointed by the Attorney General
Office of Justice Programs
Office of the Pardon Attorney (effective January 28, 1992)
Offices of the United States Attorney (94) \4\
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\4\ Each Office of the United States Attorney for a judicial
district shall be considered a separate component from each other
such office.
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Offices of the United States Marshal (94) (expiring August 14,
1997) \5\
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\5\ Each Office of the Untied States Marshal for a judicial
district shall be considered a separate component from each other
such office.
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Offices of the United States Trustee (21) \6\
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\6\ Each Office of the United States Trustee for a region shall
be considered a separate component from each other such office.
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Tax Division
United States Marshals Service (effective May 16, 1997)
United States Parole Commission
Parent: Department of Labor
Components:
Bureau of Labor Statistics
Employment and Training Administration
Employment Standards Administration
Mine Safety and Health Administration
Occupational Safety and Health Administration
Pension and Welfare Benefits Administration (effective May 16,
1997)
* * * * *
Parent: Department of Transportation
Components:
Federal Aviation Administration
Federal Highway Administration
Federal Railroad Administration
Federal Transit Administration
Maritime Administration
National Highway Traffic Safety Administration
Saint Lawrence Seaway Development Corporation
Surface Transportation Board (effective May 16, 1997)
United States Coast Guard
Parent: Department of the Treasury
Components:
Bureau of Alcohol, Tobacco and Firearms
Bureau of Engraving and Printing
Bureau of the Mint
Bureau of the Public Debt
Comptroller of the Currency
Federal Law Enforcement Training Center
Financial Management Center
Internal Revenue Service
Office of Thrift Supervision
United States Customs Service
United States Savings Bonds Division (effective April 7, 1992;
expiring August 14, 1997)
United States Secret Service
Parent: National Credit Union Administration (expiring August
14, 1997)
Component:
Central Liquidity Facility (expiring August 14, 1997)
4. Effective August 14, 1997, appendix B to part 2641 is further
amended by:
A. Removing the listing for the National Credit Union
Administration (and the sole component thereunder);
B. Removing the United States Travel and Tourism Administration
from the listing for the Department of Commerce, the Defense Mapping
Agency and the Defense Nuclear Agency from the listing for the
Department of Defense, the Social Security Administration and the
Public Health Service
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from the listing for the Department of Health and Human Services,
the Bureau of Mines and the Office of Territorial and International
Affairs from the listing for the Department of the Interior, the
United States Savings Bonds Division from the listing for the
Department of the Treasury, and the Offices of the United States
Marshal (94) (and related footnote 5) from the listing for the
Department of Justice; and
C. Redesignating footnote 6 as footnote 5.
[FR Doc. 97-12898 Filed 5-15-97; 8:45 am]
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