Supplemental Standards of Ethical Conduct for Employees of the Social Security Administration, 7192-7196 [05-2644]
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7192
Proposed Rules
Federal Register
Vol. 70, No. 28
Friday, February 11, 2005
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
SOCIAL SECURITY ADMINISTRATION
5 CFR Chapter LXXXI
RINs 0960–AE48, 3209–AA15
Supplemental Standards of Ethical
Conduct for Employees of the Social
Security Administration
AGENCY:
Social Security Administration
(SSA).
ACTION:
Notice of proposed rulemaking.
SUMMARY: The Social Security
Administration (SSA), with the
concurrence of the Office of
Government Ethics (OGE), proposes to
issue regulations that would
supplement, for officers and employees
of SSA, the OGE Standards of Ethical
Conduct for Employees of the Executive
Branch. The proposed regulations
would set forth prohibitions and prior
approval requirements for certain
outside employment and other outside
activities for all SSA employees, and
would set forth additional prior
approval requirements for SSA
Administrative Law Judges.
DATES: To be sure that your comments
are considered, we must receive them
by March 14, 2005.
ADDRESSES: You may give us your
comments by: Using our Internet facility
(i.e., Social Security Online) at https://
policy.ssa.gov/pnpublic.nsf/LawsRegs or
the Federal eRulemaking Portal at http:/
/www.regulations.gov; e-mail to
regulations@ssa.gov; telefax to (410)
966–2830; or letter to the Commissioner
of Social Security, P.O. Box 17703,
Baltimore, MD 21235–7703. You may
also deliver them to the Office of
Regulations, Social Security
Administration, 100 Altmeyer Building,
6401 Security Boulevard, Baltimore, MD
21235–6401, between 8 a.m. and 4:30
p.m. on regular business days.
Comments are posted on our Internet
site at https://policy.ssa.gov/
pnpublic.nsf/LawsRegs or you may
inspect them physically on regular
business days by making arrangements
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with the contact person shown in this
preamble.
Electronic Version
The electronic file of this document is
available on the date of publication in
the Federal Register at https://
www.gpoaccess.gov/fr/. It is
also available on the Internet site for
SSA (i.e., Social Security Online) at
https://policy.ssa.gov/pnpublic.nsf/
LawsRegs.
FOR FURTHER INFORMATION CONTACT:
Asim A. Akbari, Office of the General
Counsel, General Law Division,
telephone (410) 966–6581, fax (410)
597–0071, or TTY 1–410–966–5609. For
information on eligibility or filing for
benefits, call our national toll-free
numbers, 1–800–772–1213 or TTY 1–
800–325–0778, or visit our Internet Web
site, Social Security Online, at https://
www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
I. Background
On August 7, 1992, (at 57 FR 35006–
35067) OGE published Standards of
Ethical Conduct for Employees of the
Executive Branch (OGE Standards),
which as corrected and amended are
codified at 5 CFR part 2635. Effective
generally on February 3, 1993, the OGE
Standards established uniform rules
applicable to all executive branch
personnel.
Pursuant to 5 CFR 2635.105,
executive branch agencies are
authorized to publish, with the
concurrence of OGE, supplemental
regulations deemed necessary to
implement their respective ethics
programs. SSA and OGE have
determined that the following proposed
supplemental regulations are necessary
and appropriate in view of SSA’s
programs and operations, and to fulfill
the purposes of the OGE Standards. The
supplemental regulations would be
issued in a new chapter LXXXI,
consisting of part 9101, of 5 CFR.
II. Analysis of the Proposed Regulations
Proposed § 9101.101
General
This proposed section would state the
purpose of the supplemental regulation.
Also, it would include cross-references
to other issuances applicable to SSA
employees, including regulations on
financial disclosure, financial interests,
and employee responsibilities and
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conduct and implementing SSA
guidance and procedures issued in
accordance with the executive branchwide Standards.
Proposed § 9101.102 Outside
Employment and Other Outside
Activities
Under 5 CFR 2635.403(a), an agency
may, by supplemental regulation,
prohibit its employees from having
compensated outside employment,
when the agency determines that having
that outside employment would cause a
reasonable person to question the
impartiality and objectivity with which
agency programs are administered. Such
outside employment prohibited by an
agency’s supplemental regulation
would, in turn, be ‘‘conflicting outside
employment’’ and therefore barred by
the executive branch-wide Standards,
under 5 CFR 2635.802(a). In addition,
under 5 CFR 2635.803 where it is
determined to be necessary or desirable
for the purpose of administering its
ethics program, an agency shall by
supplemental regulation require
employees or any category of employees
to obtain approval before engaging in
specific types of outside activities,
including outside employment.
SSA has determined that SSA
employees’’ having the outside
employment described below would
cause a reasonable person to question
the impartiality and objectivity with
which SSA programs are administered.
In addition, SSA has determined that it
is necessary or desirable for the purpose
of administering its ethics program to
impose on its employees the prior
approval requirements described below.
(a) Applicability. The outside
employment and activity prohibitions
and the prior approval requirements
imposed by paragraphs (c) and (d),
respectively, of this proposed section,
would apply to all SSA employees,
except special Government employees.
Nevertheless, special Government
employees remain subject to other
statutory and regulatory authorities
governing their outside activities,
including bars on their representational
activities at 18 U.S.C. 203(c) and 205(c),
and applicable provisions of 5 CFR part
2635.
(b) Definitions. Proposed
§ 9101.102(b) would set forth definitions
of the terms used in the section.
(c) Prohibited Outside Employment
and Activities. Proposed § 9101.102(c)
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would prohibit an SSA employee from
engaging in consultative or professional
services, for compensation, to prepare,
or assist in the preparation of, any grant
applications, contract proposals,
program reports, or other documents
that are intended for submission to SSA.
Note that such conduct, if undertaken
on an uncompensated basis, though not
expressly prohibited by proposed
paragraph (c), would be subject to the
prior approval requirement in proposed
paragraph (d).
(d) Prior Approval for Outside
Employment and Other Outside
Activities. Proposed § 9101.102(d)
would require employees to obtain
written approval prior to engaging in
certain outside employment or other
outside activities. The prior approval
requirement would be an integral part of
SSA’s ethics program. SSA, with OGE’s
concurrence, believes that the prior
approval requirement is necessary to
ensure that an employee’s participation
in outside employment or other outside
activities does not adversely affect
operations within the employing
component or place the employee at risk
of violating applicable statutes and
regulations governing employee
conduct. SSA deems the prior approval
requirement necessary to preclude the
appearance that an outside employment
or other outside activity mentioned
above may have been obtained through
the use of the employee’s official
position and to address a number of
other potential ethics concerns. Given
that SSA annually provides millions of
dollars of funding in SSA grants,
contracts, cooperative research and
development agreements and other
funding relationships, SSA has
determined that requiring approval
prior to engaging in such SSA-funded
activities is critical to protect against
questions arising regarding the
impartiality and objectivity of its
employees and the administration of
SSA’s programs. In fulfilling its mission,
SSA would be hindered if members of
the public were to question whether
SSA employees were using their public
position or workplace connections for
private remunerative gain attributable,
directly or indirectly, to appropriated
funds. In addition, an appearance of
misuse of an employee’s official
position may arise where an employee
is providing professional or consultative
services; engaging in teaching, speaking,
writing, or editing that relates to his or
her official duties or is undertaken upon
invitation by a prohibited source; or
providing services to a non-Federal
entity as an officer, director, or board
member, or, with certain exceptions for
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nonprofit organizations, as a member of
a group, such as an advisory board.
Therefore, prior approval would be
required for such outside employment
activities as well.
(1) General Approval Requirement.
Proposed § 9101.102(d)(1) would list the
employment or activities, with or
without compensation, for which prior
written approval would be required for
SSA employees. Proposed
§ 9101.102(d)(1)(iii) would exclude from
the prior approval requirement certain
services for enumerated nonprofit
organizations that are uncompensated
(other than reimbursement of expenses)
and do not involve the provision of
professional or consultative services.
Proposed § 9101.102(d)(5) would
likewise exclude those categories of
outside employment and activities
exempted thereunder (see the
discussion of that provision below).
(2) Additional Approval Requirement
Applicable to Administrative Law
Judges (ALJs). Under proposed
§ 9101.102(d)(2), SSA ALJs would be
required to obtain prior written
approval for all outside employment,
with only limited exceptions. SSA has
determined that it is necessary to the
administration of its ethics program to
have this broad prior approval
requirement for its ALJs. SSA ALJs have
the responsibility for issuing decisions
on benefit claims under titles II and XVI
of the Social Security Act. SSA must
ensure the public that the hearing
process is fair and that there is no
appearance that an ALJ has a conflict of
any kind that would undermine the
process. ALJs hear and decide cases
from the public on a daily basis. Thus,
ALJs are one of the most visible SSA
employees to the public. ALJ activities,
both in and out of the office, are
scrutinized by the public. Due to their
heightened notoriety by the public as
compared to other SSA employees, the
proposed prior approval requirement in
§ 9101.102(d)(2) would allow SSA to
assist ALJs in avoiding outside
employment activities that may create a
perception of partiality in the decisionmaking process.
Consistent with the other prior
approval provisions applicable to all
SSA employees, proposed
§ 9101.102(d)(2)(ii) would not require
approval for participation in the
activities of certain enumerated
nonprofit organizations, unless the
participation were to involve the
provision of professional or consultative
services, were to be performed for
compensation (other than
reimbursement of expenses), or,
additionally, the activity relates to the
employee’s official duties within the
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meaning of 5 CFR 2635.807(a)(2)(i)(B)
through (E). Moreover, the proposed
prior approval requirement would not
apply, as provided at
§ 9101.102(d)(2)(iii) as proposed, to
those categories of employment that
have been exempted, pursuant to
§ 9101.102(d)(5) as proposed, based on a
determination that such employment
activities generally would be approved
and are not likely to involve conduct
prohibited by statute or Federal
regulation.
(3) Submission of Requests for Prior
Approval. Proposed § 9101.102(d)(3)
would specify that employees would
have to submit prior approval requests
in writing to their immediate supervisor
at least 30 days in advance in order to
allow a reasonable time before the
proposed activity for the consideration
of the requested approval of outside
activities. Employees would be required
to include information in their prior
approval requests sufficient to assess the
activity. Upon a significant change in
the nature or scope of the outside
employment or in the employee’s SSA
position, proposed § 9101.102(d)(3)(ii)
would require the employee to submit a
revised request for approval.
(4) Standard for Approval. Proposed
§ 9101.102(d)(4) would specify the
standard for approval of outside
employment or other activities. Each
proposed activity would be reviewed on
a case-by-case basis in order to
determine that the activity is not
expected to involve conduct prohibited
by statute or Federal regulation,
including 5 CFR part 2635 and the SSA
supplemental regulations. A proposed
note that would follow § 9101.102
would advise employees that the
granting of approval for an outside
activity does not relieve the employee of
the obligation to abide by all applicable
laws and regulations governing
employee conduct. The note would put
employees on notice that approval
merely constitutes an assessment that
the activity, as described on the
approval request, generally does not
appear likely to violate any criminal
statutes or other ethics rules. The note
would serve as a reminder to employees
that during the course of an otherwise
approvable activity, situations may
arise, or actions may be contemplated
that nevertheless pose ethical concerns.
SSA ethics officials are available to
provide advice and guidance to SSA
employees as to such situations.
(5) Responsibilities of the Designated
Agency Ethics Official or Designee.
Proposed § 9101.102(d)(5) would
provide that the Designated Agency
Ethics Official (DAEO) may issue
instructions or manual issuances that
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will be distributed to all SSA offices
exempting categories of employment or
other activities from the prior approval
requirement, after a determination that
the employment or activities within
those categories would generally be
approved and are not likely to involve
conduct prohibited by statute or Federal
regulation, including the OGE Standards
and this supplemental regulation.
Through these instructions or manual
issuances, SSA may specify internal
procedures governing the submission of
prior approval requests and
maintenance of records, designate
appropriate officials to act on such
requests, and include examples of
outside employment or other outside
activities that are permissible or
impermissible consistent with the OGE
Standards and this part.
Clarity of the Proposed Rules
In addition to your substantive
comments on these proposed rules, we
invite your comments on how to make
the rules easier to understand. For
example:
• Have we organized the material to
suit your needs?
• Are the requirements in the rules
clearly stated?
• Do the rules contain technical
language or jargon that may be avoided
or that is not clear?
• Would a different format (grouping
and order of sections, use of headings,
paragraphing) make the rules easier to
understand?
• Would more (but shorter) sections
be better?
• What else could we do to make the
rules easier to understand?
III. Matters of Regulatory Procedure
In issuing this proposed rule, SSA has
adhered to the regulatory philosophy
and the applicable principles of
regulations set forth in section 1 of
Executive Order 12866 of September 30,
1993. This proposed rule is limited to
agency organization, management, or
personnel matters, and thus is not a
‘‘significant regulatory action,’’ as
defined in sections 3(d) through (f) of
the Executive Order.
Executive Order 12988
As Commissioner of Social Security I
have reviewed this proposed rule in
light of section 3 of Executive Order
12988, Civil Justice Reform, and certify
that it meets the applicable standards
provided therein.
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Paperwork Reduction Act
SSA has determined that the reporting
requirements contained in proposed
§ 9101.102(d) are exempt from coverage
under the Paperwork Reduction Act as
specified in 5 CFR 1320.3(c)(4).
Unfunded Mandates Reform Act
For purposes of the Unfunded
Mandates Reform Act of 1995 (2 U.S.C.
chapter 25, subchapter II), this proposed
regulation will not significantly or
uniquely affect small governments and
will not result in increased expenditures
by State, local, and tribal governments,
or by the private sector, of $100 million
or more (as adjusted for inflation) in any
one year.
Congressional Review Act
SSA has determined that this
rulemaking is a nonmajor rule under the
Congressional Review Act (5 U.S.C.
chapter 8) and will, before the future
final rule takes effect, submit 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 9101
Conflict of interests, Government
employees.
Dated: January 26, 2005.
Jo Anne B. Barnhart,
Commissioner of Social Security.
Approved: February 1, 2005.
Marilyn L. Glynn,
Acting Director, Office of Government Ethics.
Executive Order 12866, Regulatory
Planning and Review
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Regulatory Flexibility Act
SSA has determined under the
Regulatory Flexibility Act (5 U.S.C.
chapter 6) that this proposed regulation
will not have a significant economic
impact on a substantial number of small
entities because it affects only SSA
employees.
For the reasons set forth in the
preamble, the Social Security
Administration, with the concurrence of
the Office of Government Ethics, is
proposing to amend title 5 of the Code
of Federal Regulations by adding a new
chapter LXXXI, consisting of part 9101,
to read as follows:
Chapter LXXXI—Social Security
Administration
PART 9101—SUPPLEMENTAL
STANDARDS OF ETHICAL CONDUCT
FOR EMPLOYEES OF THE SOCIAL
SECURITY ADMINISTRATION
Sec.
9101.101 General.
9101.102 Outside employment and other
outside activities.
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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,
2635.403, 2635.802, 2635.803.
§ 9101.101
General.
(a) Purpose. In accordance with 5 CFR
2635.105, the regulations in this part
apply to employees of Social Security
Administration (SSA) and supplement
the Standards of Ethical 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, SSA
employees are required to comply with
implementing guidance and procedures
issued by SSA in accordance with 5
CFR 2635.105(c). SSA employees are
also subject to the executive branchwide financial disclosure regulations at
5 CFR part 2634, the financial interests
regulations at 5 CFR part 2640, and the
employee responsibilities and conduct
regulations at 5 CFR part 735.
§ 9101.102 Outside employment and other
outside activities.
(a) Applicability. This section applies
to all SSA employees, except special
Government employees.
(b) Definitions. For the purposes of
this section:
Compensation has the meaning set
forth in 5 CFR 2635.807(a)(2)(iii).
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 other similar
facility.
Employment means any form of nonFederal employment or business
relationship involving the provision of
personal services by the employee,
whether or not for compensation, or any
self-employment business activity. It
includes but it is not limited to personal
services as an officer, director,
employee, agent, attorney, consultant,
contractor, general partner, or trustee.
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).
Receive has the meaning set forth in
5 CFR 2635.807(a)(2)(iv).
(c) Prohibited outside employment
and activities—prohibited assistance in
the preparation of grant applications or
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contract proposals. An employee shall
not provide to or on behalf of any
person consultative or professional
services, for compensation, which
includes preparing, or assisting in the
preparation of, any grant application,
contract proposal, program report or
other document intended for
submission to SSA.
(d) Prior approval for outside
employment and other outside
activities. (1) General approval
requirement. Except to the extent that
the SSA Designated Agency Ethics
Official has exempted the employment
or other activity under paragraph (d)(5)
of this section, an employee shall obtain
written approval prior to engaging, with
or without compensation, in the
following outside employment or
activities:
(i) Providing professional or
consultative services, including service
as an expert witness;
(ii) Engaging in teaching, speaking,
writing, or editing that:
(A) Relates to the employee’s official
duties within the meaning of 5 CFR
2635.807(a)(2)(i)(B) through (E); or
(B) Would be undertaken as a result
of an invitation to engage in the activity
that was extended to the employee by a
person who is a prohibited source
within the meaning of 5 CFR
2635.203(d).
(iii) Providing services to a nonFederal entity as an officer, director, or
board member, or as a member of a
group such as a planning commission
advisory council, editorial board,
scientific or technical advisory board or
panel, which require the provision of
advice, counsel or consultation, unless
the service is provided, without
compensation other than reimbursement
of expenses, to a nonprofit charitable,
religious, professional, social, fraternal,
educational, recreational, public service
or civic organization and does not
involve the provision of professional or
consultative services within the
meaning of paragraph (b) of this section.
(iv) Engaging in an activity funded by
an SSA grant, contract, cooperative
research and development agreement, or
other funding relationship.
(2) Additional approval requirement
for Administrative Law Judges. (i) In
addition to the approval requirements
set forth in paragraph (d)(1) of this
section, an SSA Administrative Law
Judge shall obtain written approval
prior to engaging in any outside
employment, except as provided in
paragraphs (d)(2)(ii) and (d)(2)(iii) of
this section.
(ii) The requirement of paragraph
(d)(2)(i) of this section does not apply to
participation in the activities of a
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nonprofit charitable, religious,
professional, social, fraternal,
educational, recreational, public service
or civic organization, unless the
participation involves the provision of
professional or consultative services
within the meaning of paragraph (b) of
this section, is performed for
compensation other than the
reimbursement of expenses, or the
activity relates to the employee’s official
duties within the meaning of 5 CFR
2635.807(a)(2)(i)(B) through (E).
(iii) The requirement of paragraph
(d)(2)(i) of this section shall not apply
to the extent that an employment
activity has been exempted, pursuant to
paragraph (d)(5) of this section.
(3) Submission of request for
approval. (i) An employee seeking to
engage in any of the activities for which
advance approval is required shall allow
not less than 30 days before the
proposed activity for the consideration
of the written request for approval. The
employee shall submit the request for
approval to his or her immediate
supervisor. All requests for prior
approval shall include the following
information:
(A) The employee’s name,
organizational component, position
title, grade and salary;
(B) The nature of the proposed
outside employment or other outside
activity, including a full description of
the specific duties or services to be
performed;
(C) A description of the employee’s
official duties that relate in any way to
the proposed activity;
(D) The name and address of the
person or organization for whom or with
which the work or activity will be done,
including the location where the
services will be performed;
(E) The estimated total time that will
be devoted to the activity. There must
be a statement of the estimated number
of hours per year and a statement of the
anticipated beginning and ending date;
(F) A statement as to whether the
work can be performed entirely outside
of the employee’s regular duty hours
and, if not, the estimated number of
hours of absence that will be required;
(G) The method or basis of any
compensation (e.g., fee, per diem,
honorarium, royalties, stock options,
travel and expenses, or other);
(H) A statement whether the
compensation is derived from an SSA
grant, contract, cooperative agreement,
or other source of SSA funding;
(I) For activities involving the
provision of consultative or professional
services, a statement indicating whether
the client, employer, or other person on
whose behalf the services are to be
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7195
performed is receiving, or intends to
seek, SSA or Federal Government
benefits, an SSA grant, contract,
cooperative research and development
agreement, or other funding
relationship; and
(J) For activities involving teaching,
speaking, writing, or editing, the
proposed text of any disclaimer required
by 5 CFR 2635.807(b)(2) or by the
instructions or manual issuances
authorized under paragraph (d)(5) of
this section. However, no advance
approval for the disclaimer is required
if the disclaimer reads as follows: ‘‘This
(article, book, etc.) was (written, edited)
by (employee’s name) in (his or her)
private capacity. No official support or
endorsement by the Social Security
Administration or the United States is
intended or should be inferred.’’ Where
a disclaimer is required for an article,
book or other writing, the disclaimer
will be printed in a reasonably
prominent position in the writing itself.
(ii) Upon a significant change in the
nature or scope of the outside
employment or in the employee’s SSA
position, the employee must submit a
revised request for approval.
(4) Standard for 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 and this part.
(5) Responsibilities of the Designated
Agency Ethics Official or Designee. The
SSA Designated Agency Ethics Official
may issue an instruction or manual
issuance exempting categories of
employment or other outside activities
from a requirement of prior written
approval based on a determination that
the employment or activities within
those categories would generally be
approved and would not be likely to
involve conduct prohibited by statute or
Federal regulation, including 5 CFR part
2635 and this part. Through these
instructions or manual issuances, SSA
may specify internal procedures
governing the submission of prior
approval requests and maintenance of
records, designate appropriate officials
to act on such requests, and include
examples of outside employment or
other outside activities that are
permissible or impermissible consistent
with the OGE Standards and this part.
Note to § 9101.102: The granting of
approval for an outside activity does not
relieve the employee of the obligation to
abide by all applicable laws and regulations
governing employee conduct. Approval
merely constitutes an assessment that the
activity as described on the submission
generally does not appear likely to violate
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any criminal statutes or other ethics rules.
Employees are reminded that during the
course of an otherwise approvable activity,
situations may arise, or actions may be
contemplated, that nevertheless, pose ethical
concerns. SSA ethics officials are available to
provide advice and guidance to SSA
employees as to such situations.
[FR Doc. 05–2644 Filed 2–10–05; 8:45 am]
BILLING CODE 4191–02–P
NUCLEAR REGULATORY
COMMISSION
10 CFR Parts 2, 30, 40, 50, 52, 60, 63,
70, 71, 72, 73, 76 and 150
RIN: 3150–AH57
Protection of Safeguards Information
Nuclear Regulatory
Commission.
ACTION: Proposed rule.
AGENCY:
SUMMARY: The Nuclear Regulatory
Commission (NRC) is proposing to
amend its regulations for the protection
of Safeguards Information (SGI) to
protect SGI from inadvertent release and
unauthorized disclosure which might
compromise the security of nuclear
facilities and materials. The proposed
amendments are consistent with recent
Commission practices reflected in
orders and threat advisories, issued
since September 11, 2001. The proposed
amendments would affect certain
licensees, information, and materials
not currently specified in the
regulations, but which are within the
scope of Commission authority under
the Atomic Energy Act of 1954, as
amended (AEA).
DATES: The comment period expires
March 28, 2005. Submit comments
specific to the information collections
aspects of this rule March 14, 2005.
Comments received after that date will
be considered if it is practical to do so,
but the NRC is able to ensure
consideration only for comments
received on or before this date.
ADDRESSES: You may submit comments
by any one of the following methods.
Please include the following number
(RIN 3150–AH57) in the subject line of
your comments. Comments on this
rulemaking submitted in writing or in
electronic form will be made available
for public inspection. Because your
comments will not be edited to remove
any identifying or contact information,
the NRC cautions you against including
personal information such as social
security numbers and birth dates in
your submission.
Mail comments to: Secretary, U.S.
Nuclear Regulatory Commission,
VerDate jul<14>2003
12:06 Feb 10, 2005
Jkt 205001
Washington, DC 20555–0001, Attn:
Rulemakings and Adjudications Staff.
E-mail comments to: SECY@nrc.gov. If
you do not receive a reply e-mail
confirming that we have received your
comments, contact us directly at (301)
415–1966. You may also submit
comments via the NRC’s rulemaking
Web site at https://ruleforum.llnl.gov.
Address questions about our rulemaking
Web site to Carol Gallagher at (301)
415–5905; e-mail cag@nrc.gov.
Comments can also be submitted via the
Federal Rulemaking Portal https://
www.regulations.gov.
Hand-deliver comments to: 11555
Rockville Pike, Rockville, Maryland
20852, between 7:30 a.m. and 4:15 p.m.
Federal workdays. (Telephone: (301)
415–1966).
Fax comments to: Secretary, U.S.
Nuclear Regulatory Commission at (301)
415–1101. Publicly available documents
related to this rulemaking may be
examined and copied for a fee at the
NRC’s Public Document Room (PDR),
Public File Area O1F21, One White
Flint North, 11555 Rockville Pike,
Rockville, Maryland. Selected
documents, including comments, can be
reviewed and downloaded
electronically via the NRC rulemaking
Web site at https://ruleforum.llnl.gov.
You may submit comments on the
information collections by the methods
indicated in the Paperwork Reduction
Act Statement.
Publicly available documents created
or received at the NRC after November
1, 1999, are available electronically at
the NRC’s Electronic Reading Room at
https://www.nrc.gov/NRC/ADAMS/
index.html. From this site, the public
can gain entry into the NRC’s
Agencywide Document Access and
Management System (ADAMS), which
provides text and image files of NRC’s
public documents. If you do not have
access to ADAMS or if there are
problems in accessing the documents
located in ADAMS, contact the NRC’s
PDR Reference staff at 1–800–397–4209,
301–415–4737 or by e-mail to
pdr@nrc.gov.
FOR FURTHER INFORMATION CONTACT:
Marjorie Rothschild, Office of the
General Counsel, U.S. Nuclear
Regulatory Commission, Washington,
DC 20555–0001, telephone (301) 415–
1633, e-mail MUR@nrc.gov or Bernard
Stapleton, Office of Nuclear Security
and Incident Response, Nuclear
Regulatory Commission, Washington,
DC 20555–0001, (301) 415–2432, e-mail
BWS2@nrc.gov.
SUPPLEMENTARY INFORMATION:
I. Background
II. Need for Rule
PO 00000
Frm 00005
Fmt 4702
Sfmt 4702
III. Purpose of Rulemaking
IV. Request for Specific Comment
V. Discussion of Proposed Amendments by
Section
VI. Criminal Penalties
VII. Agreement State Issues
VIII. Plain Language
IX. Voluntary Consensus Standards
X. Finding of No Significant Impact:
Environmental Assessment
XI. Paperwork Reduction Act Statement
XII. Regulatory Analysis
XIII. Regulatory Flexibility Analysis
XIV. Backfit Analysis
I. Background
Safeguards Information (SGI) is a
special category of sensitive unclassified
information to be protected from
unauthorized disclosure under section
147 of the Atomic Energy Act of 1954,
as amended (AEA). Although SGI is
considered to be sensitive unclassified
information, it is handled and protected
more like classified National Security
Information than like other sensitive
unclassified information (e.g., privacy
and proprietary information). Part 73,
‘‘Physical Protection of Plants and
Materials,’’ of the Commission’s
regulations in Title 10 of the Code of
Federal Regulations contains
requirements for the protection of SGI.
Commission orders issued since
September 11, 2001, have also imposed
requirements for the designation and
protection of SGI. These requirements
apply to SGI in the hands of any person,
whether or not a licensee of the
Commission, who produces, receives, or
acquires SGI. An individual’s access to
SGI requires both a valid ‘‘need to
know’’ such information and
authorization based on an appropriate
background investigation. Power
reactors, certain research and test
reactors, and spent fuel storage
installations are examples of the
categories of licensees currently within
the scope of the provisions of part 73 for
the protection of SGI. Examples of the
types of information designated as SGI
include the physical security plan for a
licensee’s facility; the design features of
such a licensee’s physical protection
system; and operational procedures for
the licensee’s security organization.
The Commission has authority under
section 147 of the AEA to designate, by
regulation or order, other types of
information as SGI. For example,
section 147.a.(2) allows the Commission
to designate as SGI a licensee’s or
applicant’s detailed security measures
(including security plans, procedures
and equipment) for the physical
protection of source material or
byproduct material in quantities
determined by the Commission to be
significant to the public health and
E:\FR\FM\11FEP1.SGM
11FEP1
]]>Agencies
[Federal Register Volume 70, Number 28 (Friday, February 11, 2005)]
[Proposed Rules]
[Pages 7192-7196]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-2644]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 70, No. 28 / Friday, February 11, 2005 /
Proposed Rules
[[Page 7192]]
SOCIAL SECURITY ADMINISTRATION
5 CFR Chapter LXXXI
RINs 0960-AE48, 3209-AA15
Supplemental Standards of Ethical Conduct for Employees of the
Social Security Administration
AGENCY: Social Security Administration (SSA).
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Social Security Administration (SSA), with the concurrence
of the Office of Government Ethics (OGE), proposes to issue regulations
that would supplement, for officers and employees of SSA, the OGE
Standards of Ethical Conduct for Employees of the Executive Branch. The
proposed regulations would set forth prohibitions and prior approval
requirements for certain outside employment and other outside
activities for all SSA employees, and would set forth additional prior
approval requirements for SSA Administrative Law Judges.
DATES: To be sure that your comments are considered, we must receive
them by March 14, 2005.
ADDRESSES: You may give us your comments by: Using our Internet
facility (i.e., Social Security Online) at https://policy.ssa.gov/
pnpublic.nsf/LawsRegs or the Federal eRulemaking Portal at https://
www.regulations.gov; e-mail to regulations@ssa.gov; telefax to (410)
966-2830; or letter to the Commissioner of Social Security, P.O. Box
17703, Baltimore, MD 21235-7703. You may also deliver them to the
Office of Regulations, Social Security Administration, 100 Altmeyer
Building, 6401 Security Boulevard, Baltimore, MD 21235-6401, between 8
a.m. and 4:30 p.m. on regular business days. Comments are posted on our
Internet site at https://policy.ssa.gov/pnpublic.nsf/LawsRegs or you may
inspect them physically on regular business days by making arrangements
with the contact person shown in this preamble.
Electronic Version
The electronic file of this document is available on the date of
publication in the Federal Register at https://www.gpoaccess.gov/fr/
index.html. It is also available on the Internet site for SSA (i.e.,
Social Security Online) at https://policy.ssa.gov/pnpublic.nsf/LawsRegs.
FOR FURTHER INFORMATION CONTACT: Asim A. Akbari, Office of the General
Counsel, General Law Division, telephone (410) 966-6581, fax (410) 597-
0071, or TTY 1-410-966-5609. For information on eligibility or filing
for benefits, call our national toll-free numbers, 1-800-772-1213 or
TTY 1-800-325-0778, or visit our Internet Web site, Social Security
Online, at https://www.socialsecurity.gov.
SUPPLEMENTARY INFORMATION:
I. Background
On August 7, 1992, (at 57 FR 35006-35067) OGE published Standards
of Ethical Conduct for Employees of the Executive Branch (OGE
Standards), which as corrected and amended are codified at 5 CFR part
2635. Effective generally on February 3, 1993, the OGE Standards
established uniform rules applicable to all executive branch personnel.
Pursuant to 5 CFR 2635.105, executive branch agencies are
authorized to publish, with the concurrence of OGE, supplemental
regulations deemed necessary to implement their respective ethics
programs. SSA and OGE have determined that the following proposed
supplemental regulations are necessary and appropriate in view of SSA's
programs and operations, and to fulfill the purposes of the OGE
Standards. The supplemental regulations would be issued in a new
chapter LXXXI, consisting of part 9101, of 5 CFR.
II. Analysis of the Proposed Regulations
Proposed Sec. 9101.101 General
This proposed section would state the purpose of the supplemental
regulation. Also, it would include cross-references to other issuances
applicable to SSA employees, including regulations on financial
disclosure, financial interests, and employee responsibilities and
conduct and implementing SSA guidance and procedures issued in
accordance with the executive branch-wide Standards.
Proposed Sec. 9101.102 Outside Employment and Other Outside Activities
Under 5 CFR 2635.403(a), an agency may, by supplemental regulation,
prohibit its employees from having compensated outside employment, when
the agency determines that having that outside employment would cause a
reasonable person to question the impartiality and objectivity with
which agency programs are administered. Such outside employment
prohibited by an agency's supplemental regulation would, in turn, be
``conflicting outside employment'' and therefore barred by the
executive branch-wide Standards, under 5 CFR 2635.802(a). In addition,
under 5 CFR 2635.803 where it is determined to be necessary or
desirable for the purpose of administering its ethics program, an
agency shall by supplemental regulation require employees or any
category of employees to obtain approval before engaging in specific
types of outside activities, including outside employment.
SSA has determined that SSA employees'' having the outside
employment described below would cause a reasonable person to question
the impartiality and objectivity with which SSA programs are
administered. In addition, SSA has determined that it is necessary or
desirable for the purpose of administering its ethics program to impose
on its employees the prior approval requirements described below.
(a) Applicability. The outside employment and activity prohibitions
and the prior approval requirements imposed by paragraphs (c) and (d),
respectively, of this proposed section, would apply to all SSA
employees, except special Government employees. Nevertheless, special
Government employees remain subject to other statutory and regulatory
authorities governing their outside activities, including bars on their
representational activities at 18 U.S.C. 203(c) and 205(c), and
applicable provisions of 5 CFR part 2635.
(b) Definitions. Proposed Sec. 9101.102(b) would set forth
definitions of the terms used in the section.
(c) Prohibited Outside Employment and Activities. Proposed Sec.
9101.102(c)
[[Page 7193]]
would prohibit an SSA employee from engaging in consultative or
professional services, for compensation, to prepare, or assist in the
preparation of, any grant applications, contract proposals, program
reports, or other documents that are intended for submission to SSA.
Note that such conduct, if undertaken on an uncompensated basis, though
not expressly prohibited by proposed paragraph (c), would be subject to
the prior approval requirement in proposed paragraph (d).
(d) Prior Approval for Outside Employment and Other Outside
Activities. Proposed Sec. 9101.102(d) would require employees to
obtain written approval prior to engaging in certain outside employment
or other outside activities. The prior approval requirement would be an
integral part of SSA's ethics program. SSA, with OGE's concurrence,
believes that the prior approval requirement is necessary to ensure
that an employee's participation in outside employment or other outside
activities does not adversely affect operations within the employing
component or place the employee at risk of violating applicable
statutes and regulations governing employee conduct. SSA deems the
prior approval requirement necessary to preclude the appearance that an
outside employment or other outside activity mentioned above may have
been obtained through the use of the employee's official position and
to address a number of other potential ethics concerns. Given that SSA
annually provides millions of dollars of funding in SSA grants,
contracts, cooperative research and development agreements and other
funding relationships, SSA has determined that requiring approval prior
to engaging in such SSA-funded activities is critical to protect
against questions arising regarding the impartiality and objectivity of
its employees and the administration of SSA's programs. In fulfilling
its mission, SSA would be hindered if members of the public were to
question whether SSA employees were using their public position or
workplace connections for private remunerative gain attributable,
directly or indirectly, to appropriated funds. In addition, an
appearance of misuse of an employee's official position may arise where
an employee is providing professional or consultative services;
engaging in teaching, speaking, writing, or editing that relates to his
or her official duties or is undertaken upon invitation by a prohibited
source; or providing services to a non-Federal entity as an officer,
director, or board member, or, with certain exceptions for nonprofit
organizations, as a member of a group, such as an advisory board.
Therefore, prior approval would be required for such outside employment
activities as well.
(1) General Approval Requirement. Proposed Sec. 9101.102(d)(1)
would list the employment or activities, with or without compensation,
for which prior written approval would be required for SSA employees.
Proposed Sec. 9101.102(d)(1)(iii) would exclude from the prior
approval requirement certain services for enumerated nonprofit
organizations that are uncompensated (other than reimbursement of
expenses) and do not involve the provision of professional or
consultative services. Proposed Sec. 9101.102(d)(5) would likewise
exclude those categories of outside employment and activities exempted
thereunder (see the discussion of that provision below).
(2) Additional Approval Requirement Applicable to Administrative
Law Judges (ALJs). Under proposed Sec. 9101.102(d)(2), SSA ALJs would
be required to obtain prior written approval for all outside
employment, with only limited exceptions. SSA has determined that it is
necessary to the administration of its ethics program to have this
broad prior approval requirement for its ALJs. SSA ALJs have the
responsibility for issuing decisions on benefit claims under titles II
and XVI of the Social Security Act. SSA must ensure the public that the
hearing process is fair and that there is no appearance that an ALJ has
a conflict of any kind that would undermine the process. ALJs hear and
decide cases from the public on a daily basis. Thus, ALJs are one of
the most visible SSA employees to the public. ALJ activities, both in
and out of the office, are scrutinized by the public. Due to their
heightened notoriety by the public as compared to other SSA employees,
the proposed prior approval requirement in Sec. 9101.102(d)(2) would
allow SSA to assist ALJs in avoiding outside employment activities that
may create a perception of partiality in the decision-making process.
Consistent with the other prior approval provisions applicable to
all SSA employees, proposed Sec. 9101.102(d)(2)(ii) would not require
approval for participation in the activities of certain enumerated
nonprofit organizations, unless the participation were to involve the
provision of professional or consultative services, were to be
performed for compensation (other than reimbursement of expenses), or,
additionally, the activity relates to the employee's official duties
within the meaning of 5 CFR 2635.807(a)(2)(i)(B) through (E). Moreover,
the proposed prior approval requirement would not apply, as provided at
Sec. 9101.102(d)(2)(iii) as proposed, to those categories of
employment that have been exempted, pursuant to Sec. 9101.102(d)(5) as
proposed, based on a determination that such employment activities
generally would be approved and are not likely to involve conduct
prohibited by statute or Federal regulation.
(3) Submission of Requests for Prior Approval. Proposed Sec.
9101.102(d)(3) would specify that employees would have to submit prior
approval requests in writing to their immediate supervisor at least 30
days in advance in order to allow a reasonable time before the proposed
activity for the consideration of the requested approval of outside
activities. Employees would be required to include information in their
prior approval requests sufficient to assess the activity. Upon a
significant change in the nature or scope of the outside employment or
in the employee's SSA position, proposed Sec. 9101.102(d)(3)(ii) would
require the employee to submit a revised request for approval.
(4) Standard for Approval. Proposed Sec. 9101.102(d)(4) would
specify the standard for approval of outside employment or other
activities. Each proposed activity would be reviewed on a case-by-case
basis in order to determine that the activity is not expected to
involve conduct prohibited by statute or Federal regulation, including
5 CFR part 2635 and the SSA supplemental regulations. A proposed note
that would follow Sec. 9101.102 would advise employees that the
granting of approval for an outside activity does not relieve the
employee of the obligation to abide by all applicable laws and
regulations governing employee conduct. The note would put employees on
notice that approval merely constitutes an assessment that the
activity, as described on the approval request, generally does not
appear likely to violate any criminal statutes or other ethics rules.
The note would serve as a reminder to employees that during the course
of an otherwise approvable activity, situations may arise, or actions
may be contemplated that nevertheless pose ethical concerns. SSA ethics
officials are available to provide advice and guidance to SSA employees
as to such situations.
(5) Responsibilities of the Designated Agency Ethics Official or
Designee. Proposed Sec. 9101.102(d)(5) would provide that the
Designated Agency Ethics Official (DAEO) may issue instructions or
manual issuances that
[[Page 7194]]
will be distributed to all SSA offices exempting categories of
employment or other activities from the prior approval requirement,
after a determination that the employment or activities within those
categories would generally be approved and are not likely to involve
conduct prohibited by statute or Federal regulation, including the OGE
Standards and this supplemental regulation. Through these instructions
or manual issuances, SSA may specify internal procedures governing the
submission of prior approval requests and maintenance of records,
designate appropriate officials to act on such requests, and include
examples of outside employment or other outside activities that are
permissible or impermissible consistent with the OGE Standards and this
part.
Clarity of the Proposed Rules
In addition to your substantive comments on these proposed rules,
we invite your comments on how to make the rules easier to understand.
For example:
Have we organized the material to suit your needs?
Are the requirements in the rules clearly stated?
Do the rules contain technical language or jargon that may
be avoided or that is not clear?
Would a different format (grouping and order of sections,
use of headings, paragraphing) make the rules easier to understand?
Would more (but shorter) sections be better?
What else could we do to make the rules easier to
understand?
III. Matters of Regulatory Procedure
Executive Order 12866, Regulatory Planning and Review
In issuing this proposed rule, SSA has adhered to the regulatory
philosophy and the applicable principles of regulations set forth in
section 1 of Executive Order 12866 of September 30, 1993. This proposed
rule is limited to agency organization, management, or personnel
matters, and thus is not a ``significant regulatory action,'' as
defined in sections 3(d) through (f) of the Executive Order.
Executive Order 12988
As Commissioner of Social Security I have reviewed this proposed
rule 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
SSA has determined under the Regulatory Flexibility Act (5 U.S.C.
chapter 6) that this proposed regulation will not have a significant
economic impact on a substantial number of small entities because it
affects only SSA employees.
Paperwork Reduction Act
SSA has determined that the reporting requirements contained in
proposed Sec. 9101.102(d) are exempt from coverage under the Paperwork
Reduction Act as specified in 5 CFR 1320.3(c)(4).
Unfunded Mandates Reform Act
For purposes of the Unfunded Mandates Reform Act of 1995 (2 U.S.C.
chapter 25, subchapter II), this proposed regulation will not
significantly or uniquely affect small governments and will not result
in increased expenditures by State, local, and tribal governments, or
by the private sector, of $100 million or more (as adjusted for
inflation) in any one year.
Congressional Review Act
SSA has determined that this rulemaking is a nonmajor rule under
the Congressional Review Act (5 U.S.C. chapter 8) and will, before the
future final rule takes effect, submit 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 9101
Conflict of interests, Government employees.
Dated: January 26, 2005.
Jo Anne B. Barnhart,
Commissioner of Social Security.
Approved: February 1, 2005.
Marilyn L. Glynn,
Acting Director, Office of Government Ethics.
For the reasons set forth in the preamble, the Social Security
Administration, with the concurrence of the Office of Government
Ethics, is proposing to amend title 5 of the Code of Federal
Regulations by adding a new chapter LXXXI, consisting of part 9101, to
read as follows:
Chapter LXXXI--Social Security Administration
PART 9101--SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES
OF THE SOCIAL SECURITY ADMINISTRATION
Sec.
9101.101 General.
9101.102 Outside employment and other outside activities.
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, 2635.403, 2635.802, 2635.803.
Sec. 9101.101 General.
(a) Purpose. In accordance with 5 CFR 2635.105, the regulations in
this part apply to employees of Social Security Administration (SSA)
and supplement the Standards of Ethical 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,
SSA employees are required to comply with implementing guidance and
procedures issued by SSA in accordance with 5 CFR 2635.105(c). SSA
employees are also subject to the executive branch-wide financial
disclosure regulations at 5 CFR part 2634, the financial interests
regulations at 5 CFR part 2640, and the employee responsibilities and
conduct regulations at 5 CFR part 735.
Sec. 9101.102 Outside employment and other outside activities.
(a) Applicability. This section applies to all SSA employees,
except special Government employees.
(b) Definitions. For the purposes of this section:
Compensation has the meaning set forth in 5 CFR
2635.807(a)(2)(iii).
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 other similar
facility.
Employment means any form of non-Federal employment or business
relationship involving the provision of personal services by the
employee, whether or not for compensation, or any self-employment
business activity. It includes but it is not limited to personal
services as an officer, director, employee, agent, attorney,
consultant, contractor, general partner, or trustee.
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).
Receive has the meaning set forth in 5 CFR 2635.807(a)(2)(iv).
(c) Prohibited outside employment and activities--prohibited
assistance in the preparation of grant applications or
[[Page 7195]]
contract proposals. An employee shall not provide to or on behalf of
any person consultative or professional services, for compensation,
which includes preparing, or assisting in the preparation of, any grant
application, contract proposal, program report or other document
intended for submission to SSA.
(d) Prior approval for outside employment and other outside
activities. (1) General approval requirement. Except to the extent that
the SSA Designated Agency Ethics Official has exempted the employment
or other activity under paragraph (d)(5) of this section, an employee
shall obtain written approval prior to engaging, with or without
compensation, in the following outside employment or activities:
(i) Providing professional or consultative services, including
service as an expert witness;
(ii) Engaging in teaching, speaking, writing, or editing that:
(A) Relates to the employee's official duties within the meaning of
5 CFR 2635.807(a)(2)(i)(B) through (E); or
(B) Would be undertaken as a result of an invitation to engage in
the activity that was extended to the employee by a person who is a
prohibited source within the meaning of 5 CFR 2635.203(d).
(iii) Providing services to a non-Federal entity as an officer,
director, or board member, or as a member of a group such as a planning
commission advisory council, editorial board, scientific or technical
advisory board or panel, which require the provision of advice, counsel
or consultation, unless the service is provided, without compensation
other than reimbursement of expenses, to a nonprofit charitable,
religious, professional, social, fraternal, educational, recreational,
public service or civic organization and does not involve the provision
of professional or consultative services within the meaning of
paragraph (b) of this section.
(iv) Engaging in an activity funded by an SSA grant, contract,
cooperative research and development agreement, or other funding
relationship.
(2) Additional approval requirement for Administrative Law Judges.
(i) In addition to the approval requirements set forth in paragraph
(d)(1) of this section, an SSA Administrative Law Judge shall obtain
written approval prior to engaging in any outside employment, except as
provided in paragraphs (d)(2)(ii) and (d)(2)(iii) of this section.
(ii) The requirement of paragraph (d)(2)(i) of this section does
not apply to 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 or consultative services within the
meaning of paragraph (b) of this section, is performed for compensation
other than the reimbursement of expenses, or the activity relates to
the employee's official duties within the meaning of 5 CFR
2635.807(a)(2)(i)(B) through (E).
(iii) The requirement of paragraph (d)(2)(i) of this section shall
not apply to the extent that an employment activity has been exempted,
pursuant to paragraph (d)(5) of this section.
(3) Submission of request for approval. (i) An employee seeking to
engage in any of the activities for which advance approval is required
shall allow not less than 30 days before the proposed activity for the
consideration of the written request for approval. The employee shall
submit the request for approval to his or her immediate supervisor. All
requests for prior approval shall include the following information:
(A) The employee's name, organizational component, position title,
grade and salary;
(B) The nature of the proposed outside employment or other outside
activity, including a full description of the specific duties or
services to be performed;
(C) A description of the employee's official duties that relate in
any way to the proposed activity;
(D) The name and address of the person or organization for whom or
with which the work or activity will be done, including the location
where the services will be performed;
(E) The estimated total time that will be devoted to the activity.
There must be a statement of the estimated number of hours per year and
a statement of the anticipated beginning and ending date;
(F) A statement as to whether the work can be performed entirely
outside of the employee's regular duty hours and, if not, the estimated
number of hours of absence that will be required;
(G) The method or basis of any compensation (e.g., fee, per diem,
honorarium, royalties, stock options, travel and expenses, or other);
(H) A statement whether the compensation is derived from an SSA
grant, contract, cooperative agreement, or other source of SSA funding;
(I) For activities involving the provision of consultative or
professional services, a statement indicating whether the client,
employer, or other person on whose behalf the services are to be
performed is receiving, or intends to seek, SSA or Federal Government
benefits, an SSA grant, contract, cooperative research and development
agreement, or other funding relationship; and
(J) For activities involving teaching, speaking, writing, or
editing, the proposed text of any disclaimer required by 5 CFR
2635.807(b)(2) or by the instructions or manual issuances authorized
under paragraph (d)(5) of this section. However, no advance approval
for the disclaimer is required if the disclaimer reads as follows:
``This (article, book, etc.) was (written, edited) by (employee's name)
in (his or her) private capacity. No official support or endorsement by
the Social Security Administration or the United States is intended or
should be inferred.'' Where a disclaimer is required for an article,
book or other writing, the disclaimer will be printed in a reasonably
prominent position in the writing itself.
(ii) Upon a significant change in the nature or scope of the
outside employment or in the employee's SSA position, the employee must
submit a revised request for approval.
(4) Standard for 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 and this part.
(5) Responsibilities of the Designated Agency Ethics Official or
Designee. The SSA Designated Agency Ethics Official may issue an
instruction or manual issuance exempting categories of employment or
other outside activities from a requirement of prior written approval
based on a determination that the employment or activities within those
categories would generally be approved and would not be likely to
involve conduct prohibited by statute or Federal regulation, including
5 CFR part 2635 and this part. Through these instructions or manual
issuances, SSA may specify internal procedures governing the submission
of prior approval requests and maintenance of records, designate
appropriate officials to act on such requests, and include examples of
outside employment or other outside activities that are permissible or
impermissible consistent with the OGE Standards and this part.
Note to Sec. 9101.102: The granting of approval for an outside
activity does not relieve the employee of the obligation to abide by
all applicable laws and regulations governing employee conduct.
Approval merely constitutes an assessment that the activity as
described on the submission generally does not appear likely to
violate
[[Page 7196]]
any criminal statutes or other ethics rules. Employees are reminded
that during the course of an otherwise approvable activity,
situations may arise, or actions may be contemplated, that
nevertheless, pose ethical concerns. SSA ethics officials are
available to provide advice and guidance to SSA employees as to such
situations.
[FR Doc. 05-2644 Filed 2-10-05; 8:45 am]
BILLING CODE 4191-02-P
