[Federal Register Volume 67, Number 148 (Thursday, August 1, 2002)]
[Rules and Regulations]
[Pages 49856-49857]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-19369]


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OFFICE OF GOVERNMENT ETHICS

5 CFR Part 2634

RIN 3209-AA00


Technical Amendments to Regulations Governing Filing Extensions 
and Late Filing Fee Waivers

AGENCY: Office of Government Ethics (OGE).

ACTION: Final rule; technical amendments.

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SUMMARY: The Office of Government Ethics is issuing a final rule to 
amend the executive branchwide regulations that describe procedures for 
granting filing extensions and late filing fee waivers under the public 
financial disclosure system to delegate certain authority to employing 
departments and agencies. These amendments will expedite both processes 
and free up OGE resources.

EFFECTIVE DATE: September 3, 2002.

FOR FURTHER INFORMATION CONTACT: Donald A. Williams, Senior Desk 
Officer, Program Services Division, Office of Government Ethics; 
Telephone: 202-208-8000, extension 1151; TDD: 202-208-8025; FAX: 202-
208-8039.

SUPPLEMENTARY INFORMATION: In this rulemaking, OGE is making technical 
amendments to subparts B and G of its executive branchwide financial 
disclosure regulation codified at 5 CFR part 2634. Section 2634.201(f) 
of subpart B sets forth procedures for granting public financial 
disclosure report filers extensions of time for filing which shall not 
exceed a total of 90 days, including the existing maximum 45 days that 
can be granted by the agency reviewing official and the additional not-
to-exceed 45 days that can be granted by the Director of the Office of 
Government Ethics. The Office of Government Ethics is revising this 
provision to provide the agency reviewing official the authority to 
grant public filers the additional extensions of time currently granted 
by the OGE Director, which shall not exceed 45 days.
    Section 2634.704 of subpart G sets forth procedures governing 
requests for, and the granting of, late filing fee waivers for public 
filers who submit their reports more than 30 days after the due date. 
Under section 2634.704(b), the OGE Director may waive the late filing 
fee if she determines that the delay in filing was caused by 
extraordinary circumstances that made the delay reasonably necessary. 
The Office of Government Ethics is revising this provision to provide 
the designated agency ethics official the authority to waive the late 
filing fee. The revision expands the definition of extraordinary 
circumstances to include administrative oversight culminating in the 
failure to notify a new entrant, first-time annual, or termination 
public filer of the filing requirement.
    The Office of Government Ethics believes that the delegations of 
authority and other changes embodied in these technical amendments are 
consistent with its oversight responsibilities pursuant to the Ethics 
in Government Act of 1978, 5 U.S.C appendix, as well as the applicable 
provisions (sections 101(g) and 104(d) dealing with filing extensions 
and late filing fee waivers, respectively) of the Act. Furthermore, 
these changes will expedite both processes, grant agencies additional 
authority to make determinations affecting their employees, and free up 
OGE resources to pursue other important Government ethics 
responsibilities.

Matters of Regulatory Procedure

Administrative Procedure Act

    Pursuant to 5 U.S.C. 553(b) and (d), as Director of the Office of 
Government Ethics, I find good cause exists for waiving the general 
notice of proposed rulemaking and the opportunity for public comment as 
to these revisions. The notice and comment are being waived because 
these technical amendments concern matters of agency organization, 
practice and procedure. Moreover, it is in the public interest that 
these technical revisions which grant additional authority to the 
agencies take effect promptly.

Executive Order 12866

    In promulgating these technical amendments, OGE has adhered to the 
regulatory philosophy and the applicable principles of regulation set 
forth in section 1 of Executive Order 12866, Regulatory Planning and 
Review. These amendments have not been reviewed by the Office of 
Management and Budget under the Executive order since they are not 
deemed ``significant'' thereunder.

Executive Order 12988

    As Director of the Office of Government Ethics, I have reviewed 
this final amendatory regulation in light of section 3 of Executive 
Order 12988, Civil Justice Reform, and certify that it meets the 
applicable standards provided therein.

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 rulemaking 
will not have a significant economic impact on a substantial number of 
small entities because it only affects executive branch public 
financial disclosure report filers and the administration of the 
reporting system within executive branch agencies.

Paperwork Reduction Act

    The Paperwork Reduction Act (44 U.S.C. chapter 35) does not apply 
because these final rule technical amendments do not contain 
information collection requirements that require the approval of the 
Office of Management and Budget.

[[Page 49857]]

Unfunded Mandates Reform Act

    For purposes of the Unfunded Mandates Reform Act of 1995 (2 U.S.C. 
chapter 25, subchapter II), this rule will not significantly or 
uniquely affect small governments and will not result in increased 
expenditures by State, local, and tribal governments, in the aggregate, 
or by the private sector, of $100 million or more (as adjusted for 
inflation) in any one year.

Congressional Review Act

    The Office of Government Ethics has determined that this amendatory 
rulemaking is a nonmajor rule under the Congressional Review Act (5 
U.S.C. chapter 8) and has submitted a report thereon to the United 
States Senate, House of Representatives and General Accounting Office 
in accordance with that law.

List of Subjects in 5 CFR Part 2634

    Certificates of divestiture, Conflict of interests, Financial 
disclosure, Government employees, Penalties, Privacy, Reporting and 
recordkeeping requirements, Trusts and trustees.

    Approved: July 25, 2002.
Amy L. Comstock,
Director, Office of Government Ethics.


    For the reasons set forth in the preamble, the Office of Government 
Ethics is amending 5 CFR part 2634 as follows:

PART 2634--EXECUTIVE BRANCH FINANCIAL DISCLOSURE, QUALIFIED TRUSTS, 
AND CERTIFICATES OF DIVESTITURE

    1. The authority citation for part 2634 continues to read as 
follows:

    Authority: 5 U.S.C. App. (Ethics in Government Act of 1978); 26 
U.S.C. 1043; Pub. L. 101-410, 104 Stat. 890, 28 U.S.C. 2461 note 
(Federal Civil Penalties Inflation Adjustment Act of 1990), as 
amended by Sec. 31001, Pub. L. 104-134, 110 Stat. 1321 (Debt 
Collection Improvement Act of 1996); 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.

Subpart B--Persons Required To File Public Financial Disclosure 
Reports

    2. Section 2634.201 is amended by revising paragraph (f) to read as 
follows:


Sec. 2634.201  General requirements, filing dates, and extensions.

* * * * *
    (f) Extensions. The reviewing official may, for good cause shown, 
grant to any public filer or class thereof an extension of time for 
filing which shall not exceed 45 days. The reviewing official may, for 
good cause shown, grant an additional extension of time which shall not 
exceed 45 days. The employee shall set forth in writing specific 
reasons why such additional extension of time is necessary. The 
reviewing official must approve or deny such requests in writing. Such 
records shall be maintained as part of the official report file. (For 
extensions on confidential financial disclosure reports, see 
Sec. 2634.903(d).)

Subpart G--Penalties

    3. Section 2634.704 is amended by revising paragraph (b) to read as 
follows:


Sec. 2634.704  Late filing fee.

* * * * *
    (b) Exceptions. (1) The designated agency ethics official may waive 
the late filing fee if he determines that the delay in filing was 
caused by extraordinary circumstances, including the agency's failure 
to notify a new entrant, first-time annual filer, or termination filer 
of the requirement to file the public financial disclosure report, 
which made the delay reasonably necessary.
    (2) Employees requesting a waiver of the late filing fee from the 
designated agency ethics official must request the waiver in writing 
with supporting documentation. The designated agency ethics official's 
determination must be made in writing to the employee with a copy 
placed in the employee's public financial disclosure report file. The 
designated agency ethics official may consult with the Office of 
Government Ethics prior to approving any waiver of the late filing fee.
* * * * *
[FR Doc. 02-19369 Filed 7-31-02; 8:45 am]
BILLING CODE 6345-01-P