[Federal Register: May 16, 1997 (Volume 62, Number 95)] [Rules and Regulations] [Page 26915-26918] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr16my97-1] ======================================================================== Rules and Regulations Federal Register ________________________________________________________________________ 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 under 50 titles pursuant to 44 U.S.C. 1510. The Code of Federal Regulations is sold by the Superintendent of Documents. Prices of new books are listed in the first FEDERAL REGISTER issue of each week. ======================================================================== [[Page 26915]] ======================================================================= ----------------------------------------------------------------------- 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. ----------------------------------------------------------------------- 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\ --------------------------------------------------------------------------- \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. --------------------------------------------------------------------------- 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) --------------------------------------------------------------------------- \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. --------------------------------------------------------------------------- Executive Office for United States Trustees \3\ (effective January 28, 1992) --------------------------------------------------------------------------- \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. --------------------------------------------------------------------------- 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\ --------------------------------------------------------------------------- \4\ Each Office of the United States Attorney for a judicial district shall be considered a separate component from each other such office. --------------------------------------------------------------------------- Offices of the United States Marshal (94) (expiring August 14, 1997) \5\ --------------------------------------------------------------------------- \5\ Each Office of the Untied States Marshal for a judicial district shall be considered a separate component from each other such office. --------------------------------------------------------------------------- Offices of the United States Trustee (21) \6\ --------------------------------------------------------------------------- \6\ Each Office of the United States Trustee for a region shall be considered a separate component from each other such office. --------------------------------------------------------------------------- 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] BILLING CODE 6345-01-U