[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
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  Federal Register / Vol. 62, No. 95 / Friday, May 16, 1997 / Rules and 
Regulations  

[[Page 26915]]


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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:

[[Page 26917]]

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

[[Page 26918]]

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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