[Federal Register Volume 76, Number 77 (Thursday, April 21, 2011)]
[Rules and Regulations]
[Pages 22293-22295]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-9027]



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 Rules and Regulations
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  Federal Register / Vol. 76, No. 77 / Thursday, April 21, 2011 / Rules 
and Regulations  

[[Page 22293]]



COURT SERVICES AND OFFENDER SUPERVISION AGENCY FOR THE DISTRICT OF 
COLUMBIA

5 CFR Chapter LXX

[CSOSA-0009-P]
RIN 3209-AA15 and 3225-AA07


Supplemental Standards of Ethical Conduct for Employees of the 
Court Services and Offender Supervision Agency for the District of 
Columbia

AGENCY: Court Services and Offender Supervision Agency for the District 
of Columbia.

ACTION: Interim rule with request for comments.

-----------------------------------------------------------------------

SUMMARY: The Court Services and Offender Supervision Agency for the 
District of Columbia (CSOSA or Agency), with the concurrence of the 
Office of Government Ethics (OGE), is issuing interim regulations for 
employees of CSOSA and for employees of the District of Columbia 
Pretrial Services Agency (PSA), an independent entity within CSOSA, 
that supplement the Standards of Ethical Conduct (Standards) for 
Employees of the Executive Branch issued by OGE. CSOSA's supplemental 
regulations address requirements for outside employment. These 
requirements are necessary to address ethical conduct standards 
pertinent to an agency with a criminal justice mission.

DATES: This interim rule is effective April 21, 2011. Written comments 
must be received by May 23, 2011.

ADDRESSES: You may submit comments, identified by RIN numbers 3209-AA15 
and 3225-AA07, by any of the following methods:
    1. Federal eRulemaking Portal: http://www.regulations.gov. Follow 
the instructions for submitting comments.
    2. E-mail to [email protected]. Include RIN numbers 
3209-AA15 and 3225-AA07 in the subject line of the message.
    3. Mail to Theresa A. Rowell, Assistant General Counsel, Office of 
the General Counsel, Court Services and Offender Supervision Agency, 
Room 1378, 633 Indiana Avenue, NW., Washington, DC 20004.
    4. Hand Delivery or Courier to Theresa A. Rowell, Assistant General 
Counsel, Office of the General Counsel, Court Services and Offender 
Supervision Agency, Room 1378, 633 Indiana Avenue, NW., Washington, DC 
20004.

FOR FURTHER INFORMATION CONTACT: Theresa A. Rowell, Assistant General 
Counsel, Office of General Counsel, telephone: (202) 220-5364; e-mail: 
[email protected].

SUPPLEMENTARY INFORMATION: 

I. Background

    Section 2635.105 of the Standards authorizes executive branch 
agencies to publish, with the concurrence of OGE, agency-specific 
supplemental regulations that are necessary to implement their 
respective ethics programs. Accordingly, CSOSA, with the concurrence of 
OGE, has determined that the following supplemental regulation is 
necessary for the success of its ethical program.

II. Analysis of the Regulations

Section 8001.101 General

    Section 8001.101 explains that these regulations supplement the 
executive-wide Standards and remind CSOSA and PSA employees that they 
remain subject to the Standards and to executive branch-wide financial 
disclosure regulations.

Section 8001.102 Prior Approval for Outside Employment

    Where it is determined to be necessary or desirable for the purpose 
of administering an agency's ethics program, 5 CFR 2635.803 authorizes 
an agency to issue supplemental regulations requiring agency employees 
to obtain prior approval before engaging in outside employment. Given 
the nature of its criminal justice mission, CSOSA and PSA have 
determined that it is necessary to monitor the outside employment of 
CSOSA and PSA employees, to ensure public confidence in the 
impartiality and objectivity with which CSOSA and PSA carry out their 
mission, and to avoid any appearance of misuse of position. CSOSA 
provides supervision, through qualified supervision officers, to 
offenders on probation, parole, and supervised release for violation of 
District of Columbia Code offenses. Accordingly, CSOSA supervises all 
offenders placed on probation by the Superior Court of the District of 
Columbia (Superior Court), and all individuals on parole pursuant to 
the District of Columbia Code. CSOSA provides supervision to offenders 
from other jurisdictions in accordance with the provisions of the 
Interstate Parole and Probation Compact. PSA is responsible for 
securing pertinent data and providing for any judicial officer in the 
District of Columbia or any officer or member of the Metropolitan 
Police Department issuing citations, reports containing verified 
information concerning any individual with respect to whom a bail or 
citation determination is to be made. PSA supervises defendants 
released from custody by the Superior Court and by the United States 
District Court during the pretrial period by monitoring compliance with 
conditions of release and by assuring that they appear for scheduled 
court hearings. PSA also provides courtesy supervision of defendants 
for other Federal and State pretrial agencies. An employee's outside 
employment may conflict with the employee's official duties or create 
the appearance that the employee is violating the law or ethical 
standards due to contacts with offenders/defendants, their families 
and/or close associates during the course of such employment.
    Section 8001.102(a) requires CSOSA and PSA employees to obtain 
prior written approval from the employee's immediate supervisor and the 
Designated Agency Ethics Official (DAEO) before engaging in outside 
employment. The approval requirement will help to ensure that potential 
ethical problems are identified and resolved before employees begin 
outside employment that could involve a violation of applicable 
statutes and standards of conduct.
    Section 8001.102(b) defines employment to cover any form of non-
Federal employment, business relationship, or activity involving the 
provision of personal services by the

[[Page 22294]]

employee, whether or not for compensation. It includes, but is not 
limited to, personal services as an officer, director, employee, agent, 
attorney, consultant, contractor, general partner, trustee, teacher, or 
speaker. It includes writing when done under an arrangement with 
another person for production or publication of the written product. It 
does not, however, include participation in the activities of a 
nonprofit charitable, religious, professional, social, fraternal, 
educational, recreational, public service, or civic organization, 
unless the participation involves the provision of professional 
services or advice for compensation other than reimbursement for actual 
expenses, the organization's activities are devoted substantially to 
matters relating to the employee's official duties, or involves conduct 
prohibited by statute or Federal regulation, including 5 CFR part 2635 
and paragraph (c) of this section.
    Section 8001.102(c) establishes the standard to be used in 
approving requests for outside employment. 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. The employee's immediate supervisor and the 
DAEO will approve or deny the employee's request within seven (7) 
calendar days of receiving sufficient information from the employee to 
make such determination.
    Section 8001.102(d) states the scope of the approval, which will be 
for a period of three years. At the end of three years, the employee 
shall submit a renewed request for approval in accordance with this 
section. However, where there is a significant change in the nature or 
scope of the outside employment or in the employee's official position 
within the Agency prior to the three-year period, the employee must, 
within ten (10) calendar days, submit a renewed request for approval.
    Section 8001.102(e) sets out the procedures for requesting prior 
approval to engage in outside employment. The employee shall submit the 
request, through the employee's immediate supervisor, to the DAEO. The 
employee shall complete a form provided by the DAEO that will set 
forth, at the minimum, the description of the employee's current 
position; information on the prospective employment, including the 
nature of the service to be performed, the anticipated date, and number 
of hours of work per week; whether the prospective employer has any 
contractual relationship with the Federal government; whether the 
employee will come in contact with defendants, offenders, family 
members, or their representatives in the course of the outside 
employment; whether the prospective employment involves any criminal 
justice matters; whether the employee will be required to testify as an 
expert witness in any matter related to the prospective employment; and 
whether the prospective employment involves solicitation or advertising 
services. The request must be submitted not less than ten (10) calendar 
days prior to the date the proposed employment will begin, in order to 
allow completion of the review before the anticipated start of the 
outside employment.
    Section 8001.102(f) describes the appeal process if the request is 
denied by the DAEO. The employee may appeal to the Agency Director if 
the request is denied.
Matters of Regulatory Procedure

Administrative Procedure Act

    Pursuant to 5 U.S.C. 553(b) and (d)(3), CSOSA has found good cause 
for waiving, as unnecessary and contrary to the public interest, the 
general notice of proposed rulemaking, the opportunity for advanced 
public comment, and the 30-day delay in effectiveness as to this 
interim rule. The reason for this determination is based on the fact 
that (1) the rulemaking is related to the internal organization, 
procedure, and practice of the Agency; and (2) the rulemaking pertains 
to Agency management and personnel. Nonetheless, this is an interim 
rulemaking with provision for a 30-day public comment period. The 
Agency will review all comments received during the comment period and 
will consider any modifications that appear appropriate in adopting 
these rules as final, with the concurrence and co-signature of the 
Office of Government Ethics.

Executive Order 12866

    Because this rule relates to CSOSA and PSA personnel, it is exempt 
from the provisions of Executive Order No. 12866.

Executive Order 13132

    This rule will not have substantial direct effects on the States, 
on the relationship between the national government and the States, or 
on distribution of power and responsibilities among the various levels 
of government. Therefore, in accordance with Executive Order 13132, 
CSOSA has determined that this rule does not have sufficient federalism 
implications to warrant the preparation of a Federalism Assessment.

Regulatory Flexibility Act

    CSOSA, in accordance with the Regulatory Flexibility Act (5 U.S.C. 
605(b)), has reviewed this rule and by approving it certifies that this 
rule will not have a significant economic impact upon a substantial 
number of small entities. This rule pertains to Agency management, and 
its economic impact is limited to the Agency's appropriated funds.

Unfunded Mandates Reform Act of 1995

    This rule will not result in the expenditure by State, local and 
Tribal governments, in the aggregate, or by the private sector, of 
$100,000,000 or more in any one year, and it will not significantly or 
uniquely affect small governments. Therefore, CSOSA has determined that 
no actions are necessary under the provisions of the Unfunded Mandates 
Reform Act of 1995.

Small Business Regulatory Enforcement Fairness Act of 1996

    This rule is not a major rule as defined by sec. 804 of the Small 
Business Regulatory Enforcement Fairness Act of 1996. This rule will 
not result in an annual effect on the economy of $100,000,000 or more; 
a major increase in costs or prices; or significant adverse effects on 
competition, employment, investment, productivity, innovation, or on 
the ability of United States-based companies to compete with foreign-
based companies in domestic and export markets.

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 
Budget.

Congressional Review Act

    CSOSA 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.

Plain Language Instructions

    We want to make CSOSA's documents easy to read and understand. If 
you have suggestions on how to improve the clarity of these 
regulations, write, e-mail, or call the Office of General Counsel at 
the address or telephone number given above in the ADDRESSES and FOR 
FURTHER INFORMATION CONTACT captions.

[[Page 22295]]

List of Subjects in 5 CFR Part 8001

    Conflict of interests, Government employees.

    Accordingly, for the reasons set for in the preamble, the Court 
Services and Offender Supervision Agency for the District of Columbia, 
with the concurrence of the Office of Government Ethics, is amending 
title 5 of the Code of Federal Regulations by adding a new chapter LXX, 
consisting of part 8001, to read as follows.

CHAPTER LXX--COURT SERVICES AND OFFENDER SUPERVISION AGENCY FOR THE 
DISTRICT OF COLUMBIA

PART 8001--SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES 
OF THE COURT SERVICES AND OFFENDER SUPERVISION AGENCY

Sec.
8001.101 General.
8001.102 Prior approval for outside employment.

    Authority: 5 U.S.C. 7301; 5 U.S.C. App. (Ethics in Government 
Act of 1978); 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; 5 
CFR 2635.105, 2635.801, 2635.802, 2635.803.


Sec.  8001.101  General.

    (a) Purpose. In accordance with 5 CFR 2635.105, the regulations in 
this part apply to the employees of the Court Services and Offender 
Supervision Agency (CSOSA or Agency), and the employees of the Pretrial 
Services Agency (PSA or Agency), an independent entity within CSOSA. 
The regulations in this part supplement the Standards of Conduct for 
Employees of the Executive Branch contained in 5 CFR part 2635.
    (b) Cross-references. In addition to 5 CFR part 2635 and this part, 
CSOSA and PSA employees are subject to the executive branch financial 
disclosure regulations at 5 CFR part 2634, the regulations concerning 
executive branch financial interest contained in 5 CFR part 2640, and 
the regulations concerning executive branch employee responsibilities 
and conduct contained in 5 CFR part 735.


Sec.  8001.102  Prior approval for outside employment.

    (a) Prior approval requirement. An employee, other than a special 
Government employee, must obtain written approval from the employee's 
immediate supervisor and the Designated Agency Ethics Official (DAEO) 
before engaging in any outside employment, whether or not for 
compensation.
    (b) Definition of employment. For purposes of this section, 
``employment'' means any form of non-Federal employment, business 
relationship or activity involving the provision of personal services 
by the employee, whether or not for compensation. It includes, but is 
not limited to, personal services as an officer, director, employee, 
agent, attorney, consultant, contractor, general partner, trustee, 
teacher, or speaker. It includes writing when done under an arrangement 
with another person for production or publication of the written 
product. It does not, however, include participation in the activities 
of a nonprofit charitable, religious, professional, social, fraternal, 
educational, recreational, public service, or civic organization, 
unless the participation involves the provision of professional 
services or advice for compensation other than reimbursement for actual 
expenses, the organization's activities are devoted substantially to 
matters relating to the employee's official duties, or involves conduct 
prohibited by statute or Federal regulation, including 5 CFR part 2635 
and paragraph (c) of this section.
    (c) Standard of approval. Approval shall be granted only upon a 
determination that the outside employment or activity is not expected 
to involve conduct prohibited by statute or Federal regulation, 
including 5 CFR part 2635. The employee's immediate supervisor and the 
DAEO shall approve or deny the employee's request for prior approval of 
outside employment within seven (7) calendar days of receiving from the 
employee complete information necessary to make such a determination.
    (d) Scope of approval. Approval will be for a period of three 
years, after which the employee must request renewed approval in 
accordance with this section. If during the approved three-year period 
there is a significant change in the nature or scope of the outside 
employment or in the employee's Agency position or duties, the employee 
shall submit a renewed request for approval within ten (10) calendar 
days of the change.
    (e) Submission of application. The employee shall submit the 
request on a form provided by the DAEO through the employee's immediate 
supervisor. The request must be submitted not less than ten (10) 
calendar days prior to the date the proposed employment will begin, in 
order to allow for completion of the review before the anticipated 
start of the outside employment. The form shall set forth at the 
minimum the description of the employee's current position; information 
on the prospective employment, including the nature of the service to 
be performed, the anticipated date, and number of hours of work per 
week; whether the prospective employer has any contractual relationship 
with the Federal government; whether the employee will come in contact 
with defendants, offenders, family members, or their representatives in 
the course of the outside employment; whether the prospective 
employment involves any criminal justice matters; whether the employee 
will be required to testify as an expert witness in any matter related 
to the prospective employment; and whether the prospective employment 
involves solicitation or advertising services.
    (f) Appeal. If the Designated Agency Ethics Official denied the 
request, the employee may appeal that decision to the Agency Director.

Adrienne Poteat,
Deputy Director, Court Services and Offender Supervision Agency.
Robert I. Cusick,
Director, Office of Government Ethics.
[FR Doc. 2011-9027 Filed 4-20-11; 8:45 am]
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