[Federal Register Volume 75, Number 183 (Wednesday, September 22, 2010)]
[Rules and Regulations]
[Pages 57657-57658]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-23564]

Rules and Regulations
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Federal Register / Vol. 75, No. 183 / Wednesday, September 22, 2010 / 
Rules and Regulations

[[Page 57657]]


5 CFR Part 9201

Supplemental Standards of Ethical Conduct for Employees of the 
Special Inspector General for Iraq Reconstruction

AGENCY: Special Inspector General for Iraq Reconstruction.

ACTION: Final rule.


SUMMARY: The Special Inspector General for Iraq Reconstruction (SIGIR), 
with the concurrence of the Office of Government Ethics (OGE), is 
publishing a final regulation for employees of the SIGIR that 
supplements the executive-branch-wide Standards of Ethical Conduct 
(Standards) issued by OGE. With certain exceptions, this supplemental 
regulation requires SIGIR employees, except special Government 
employees, to obtain approval before engaging in outside employment.

DATES: This final rule is effective September 22, 2010.

FOR FURTHER INFORMATION CONTACT: Michael H. Mobbs, Deputy General 
Counsel, Telephone- 703-604-0429; [email protected]



    In 1992, OGE published Standards of Ethical Conduct for Employees 
of the Executive Branch (Standards) which became effective on February 
3, 1993. The Standards, as corrected and amended, are codified at 5 CFR 
part 2635. The Standards set uniform ethical conduct standards 
applicable to all executive branch personnel. Section 2635.105 of the 
Standards authorizes agencies, with the concurrence of OGE, to publish 
agency-specific supplemental regulations that are necessary to properly 
implement their respective ethics programs. The SIGIR, with OGE's 
concurrence, published an interim rule in the Federal Register on June 
24, 2010, requesting comments to be received by August 23, 2010. The 
SIGIR received no comments. Accordingly, SIGIR has adopted the interim 
rule as final.

Analysis of the Regulations

Section 9201.101 General

    Section 9201.101 explains that the regulations in part 9201 apply 
to employees of the SIGIR and supplement the OGE Standards. This 
section also includes cross-references to other issuances applicable to 
SIGIR employees, including the regulations concerning executive branch 
financial disclosure, financial interests, and employee 
responsibilities and conduct, as well as implementing SIGIR guidance 
and procedures issued in accordance with OGE Standards.

Section 9201.102 Prior Approval for Outside Employment and Other 
Outside Activities

    In accordance with 5 CFR 2635.803, the SIGIR has determined it is 
necessary for the purpose of administering its ethics program to 
require its employees to obtain approval before engaging in outside 
employment or activities. This approval requirement will help to ensure 
that potential ethical problems are resolved before employees begin 
outside employment or activities that could involve a violation of 
applicable statutes and standards of conduct.
    Section 9201.102(a) provides that a SIGIR employee, other than a 
special Government employee, must obtain advance written approval from 
the employee's supervisor and the concurrence of the Designated Agency 
Ethics Official (DAEO) or alternate DAEO before engaging in any outside 
employment except to the extent that the SIGIR DAEO or alternate DAEO 
has issued an instruction or manual pursuant to paragraph (e) of this 
section exempting an activity or class of activities from this 
    Section 9201.102(b) broadly defines outside employment to cover any 
form of non-Federal employment or business relationship involving the 
provision of personal services, whether or not for compensation, other 
than the discharge of official duties. It includes writing when done 
under an arrangement with another person or entry for production or 
publication of the written product. It does not, however, include 
participation in the activities of non-profit charitable, religious, 
professional, social, fraternal, educational, recreational, public 
service, or civic organizations, unless such activities are for 
compensation other than reimbursement of expense, the organization's 
activities are devoted substantially to matters relating to the 
employee's official duties as defined in 5 CFR 2635.807(a)(2)(i)(B) 
through (E) and the employee will serve as an officer or director of 
the organization, or the activities will involve the provision of 
consultative or professional services. Consultative services means the 
provision of personal services by an employee, including the rendering 
of advice or consultation, which requires advanced knowledge in a field 
of science or learning customarily acquired by a course of specialized 
instruction and study in an institution of higher education, hospital, 
or similar facility. Professional services means the provision of 
personal services by an employee, including the rendering of advice or 
consultation, which involves application of the skills of a profession 
as defined in 5 CFR 2636.305(b)(1) or involves a fiduciary relationship 
as defined in 5 CFR 2636.305(b)(2). A note following paragraph (b) of 
Sec.  9201.102 pertains to the special approval requirement set out in 
both 18 U.S.C. 203(d) and 205(e) respectively, for certain 
representational activities otherwise covered by the conflict of 
interest restrictions on compensation and activities of employees in 
claims against and other matters affecting the Government. The note 
explains that an employee who wishes to act as agent or attorney for, 
or otherwise represent his parents, spouse, child, or any person for 
whom, or any estate for which, he is serving as guardian, executor, 
administrator, trustee or other personal fiduciary in such matters must 
obtain the approval required by law of the Government official 
responsible for the employee's appointment in addition to the 
regulatory approval required in Sec.  9201.102.
    Section 9201.102(c) sets out the procedures for requesting prior 
approval to engage in outside employment initially, or within seven 
calendar days of a significant change in the nature or scope of the 
outside employment or the employee's official position.

[[Page 57658]]

    Section 9201.102(d) sets out the standard to be applied by the 
employee's supervisor and the DAEO or alternate DAEO in acting on 
requests for prior approval of outside employment as broadly defined by 
9201.102(b). Approval shall be granted only upon a determination that 
the outside employment is not expected to involve conduct prohibited by 
statute or Federal regulation, including 5 CFR part 2635.
    Section 9201.102(e) provides that the SIGIR DAEO or alternate DAEO 
can issue instructions or manual issuances governing the submission of 
requests for approval of outside employment, which may exempt 
categories of employment from the prior approval requirement of this 
section based on a determination that employment within those 
categories would generally be approved and is not likely to involve 
conduct prohibited by statute or Federal regulation, including 5 CFR 
part 2635. The instructions or issuances may include examples of 
outside employment that are permissible or impermissible consistent 
with this part and 5 CFR part 2635.

Administrative Procedure Act

    Pursuant to 5 U.S.C. 553(b) the SIGIR found good cause existed for 
waiving the general notice of proposed rulemaking and opportunity for 
public comment as to the interim rule. Notice and comment before the 
effective date were waived because the rule concerns matters of agency 
organization, practice and procedure. Written comments were invited to 
be submitted prior to August 24, 2010, 60 days after the publication of 
the interim rule; however no comments were received.

Executive Orders 12866 and 12988

    Because this rule relates to SIGIR personnel, it is exempt from the 
provisions of Executive Orders Nos. 12866 and 12988.

Regulatory Flexibility Act

    SIGIR has determined, pursuant to 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 
primarily affects SIGIR employees.

Paperwork Reduction Act

    The Paperwork Reduction Act, 44 U.S.C. chapter 35, does not apply 
because this rulemaking does not contain information collection 
requirements subject to the approval of the Office of Management and 

Congressional Review Act

    SIGIR has determined that this rule is not a rule as defined in 5 
U.S.C. 804, and thus, does not require review by Congress.

List of Subjects in 5 CFR Part 9201

    Conflict of interest, Government employees.

Accordingly, for the reasons set forth in the preamble, the Special 
Inspector General for Iraq Reconstruction, with the concurrence of the 
Office of Government Ethics, is adopting the interim rule published at 
75 FR 35957 on June 24, 2010, as final without change.

Stuart W. Bowen, Jr.,
Special Inspector General for Iraq Reconstruction.
    Approved: June 10, 2010.
Robert I. Cusick,
Director, Office of Government Ethics.
[FR Doc. 2010-23564 Filed 9-21-10; 8:45 am]