Reporting Violations to the Office of the Inspector General and the Office of Professional Responsibility; Delegations of Authority, 54412-54415 [E6-15315]
Download as PDF
<![CDATA[
54412
Federal Register / Vol. 71, No. 179 / Friday, September 15, 2006 / Rules and Regulations
Drug Administration, 5100 Paint Branch
Pkwy., College Park, MD 20740–3835,
301–436–1302.
SUPPLEMENTARY INFORMATION: In the
Federal Register of June 2, 2006 (71 FR
31927), FDA amended the color additive
regulations to add § 73.350 Mica-based
pearlescent pigments (21 CFR 73.350) to
provide for the safe use safe use of
titanium dioxide coated mica-based
pearlescent pigments as color additives
in the following foods: Cereals,
confections and frostings, gelatin
desserts, hard and soft candies
(including lozenges), nutritional
supplement tablets and gelatin capsules,
and chewing gum.
FDA gave interested persons until
July 3, 2006, to file objections or
requests for a hearing. The agency
received no objections or requests for a
hearing on the final rule. Therefore,
FDA finds that the effective date of the
final rule that published in the Federal
Register of June 2, 2006, should be
confirmed.
List of Subjects in 21 CFR Part 73
Color additives, Cosmetics, Drugs,
Medical devices.
I Therefore, under the Federal Food,
Drug, and Cosmetic Act (21 U.S.C. 321,
341, 342, 343, 348, 351, 352, 355, 361,
362, 371, 379e) and under authority
delegated to the Commissioner of Food
and Drugs, and redelegated to the
Director, Office of Food Additive Safety,
notice is given that no objections or
requests for a hearing were filed in
response to the June 2, 2006, final rule.
Accordingly, the amendments issued
thereby became effective July 5, 2006.
Dated: September 8, 2006.
Laura M. Tarantino,
Director, Office of Food Additive Safety,
Center for Food Safety and Applied Nutrition.
[FR Doc. E6–15275 Filed 9–14–06; 8:45 am]
BILLING CODE 4160–01–S
DEPARTMENT OF JUSTICE
28 CFR Parts 0 and 45
[AG Order No. 2835–2006]
Reporting Violations to the Office of
the Inspector General and the Office of
Professional Responsibility;
Delegations of Authority
Department of Justice.
Final rule.
AGENCY:
ycherry on PROD1PC64 with RULES
ACTION:
SUMMARY: This final rule amends the
regulations of the Department of Justice
to codify the obligation to report
misconduct to the Office of the
Inspector General (OIG) and the
VerDate Aug<31>2005
14:39 Sep 14, 2006
Jkt 208001
Department of Justice Office of
Professional Responsibility (OPR), to
reflect the conferral of statutory law
enforcement authority on OIG special
agents, to update the structure,
functions, and responsibilities of OPR,
and to reflect the current organizational
structure of the OIG.
DATES: Effective Date: September 11,
2006.
FOR FURTHER INFORMATION CONTACT:
Mary Anne Hoopes, Associate Counsel,
Office of Professional Responsibility,
United States Department of Justice,
Washington, DC 20530 (202) 514–3365
(regarding matters related to OPR), or
Gail A. Robinson, General Counsel,
Office of the Inspector General, United
States Department of Justice,
Washington, DC 20530 (202) 616–0646
(regarding matters related to the OIG).
SUPPLEMENTARY INFORMATION: 1. This
rule amends 28 CFR part 0 to clarify the
delegation of authority by the Attorney
General to the Counsel for Professional
Responsibility and to codify authority of
the Inspector General. This rule permits
OPR and the OIG to investigate specific
matters, make such recommendations as
appropriate to the Deputy Attorney
General and the Attorney General, and
coordinate their activities to improve
the professionalism of the Department
and to reduce waste, fraud, and abuse.
2. This rule amends 28 CFR part 45
by adding three new sections. The rule
codifies the Attorney General’s April 12,
2002 Memorandum For Department of
Justice Employees Regarding the Duty to
Report Misconduct and Cooperate with
Investigators. This Memorandum
provides for notifying the OIG of fraud,
waste, abuse, or misconduct, except for
those matters in the jurisdiction of OPR.
This rule is not a substantive change,
but merely codifies existing practice.
The rule also implements section 308 of
the Department of Justice
Appropriations Authorization Act for
FY 2002 and 2003, Public Law 107–273
(Nov. 2, 2002), which amended 5 U.S.C.
app. 3, 8E, and which provides in
pertinent part:
The Attorney General shall ensure by
regulation that any component of the
Department of Justice receiving a
nonfrivolous allegation of criminal
wrongdoing or administrative misconduct by
an employee of the Department of Justice,
except with respect to allegations described
in subsection (b)(3) [matters within the
investigative jurisdiction of the Department
of Justice Office of Professional
Responsibility], shall report that information
to the Inspector General.
This rule is also a codification of
preexisting principles as set forth in the
United States Attorneys’ Manual,
PO 00000
Frm 00012
Fmt 4700
Sfmt 4700
§ 1–4.100, Standards of Conduct
Allegations of Misconduct by
Department of Justice Employees
Reporting Misconduct Allegations.
Although the language of section 308 of
P.L. 107–273 is not identical to the prior
regulations on this subject, the Attorney
General interprets the statutory language
as intended to codify the prior and
existing practice.
3. This rule revises the description of
OPR to reflect the changes made in that
Office’s jurisdiction since its creation on
December 9, 1975, including AG Order
833–79 (45 FR 27754–55, April 24,
1980); AG Order 1931–94 (November 8,
1994), AG Order 2167–98 (63 FR 35847,
July 8, 1998), AG Order 2190–98 (63 FR
62937–01, November 10, 1998), and AG
Order 2492–2001 (66 FR 37902–01, July
20, 2001).
As originally constituted, OPR’s
jurisdiction was extraordinarily broad.
OPR was empowered to ‘‘[r]eceive and
review any information or allegation
concerning conduct by a Department
employee that may be in violation of
law, regulations or orders, or of
applicable standards of conduct or may
constitute mismanagement, gross waste
of funds, abuse of authority, or a
substantial and specific danger to public
health or safety.’’ 28 CFR 0.39a(a). Its
role in investigating those allegations,
however, was relatively narrow, in
keeping with its small size. OPR was to
‘‘[m]ake such preliminary inquiry as
may be necessary to determine whether
the matter should be referred to another
official within the Department,’’ 28 CFR
0.39a(c), and then to make an
appropriate referral either to the head of
the Department of Justice component to
which the employee was assigned, or to
that component’s internal inspection
unit, if no violation of law was alleged,
or to the appropriate investigative
agency, if the conduct appeared to
involve a violation of law, 28 CFR
0.39a(d)(1) and (2). OPR then received
reports from the investigating
component on the status and outcome of
investigations referred by OPR. 28 CFR
0.39a(e)(1). If OPR deemed it
inappropriate to refer an allegation to
the employing component, it was to
refer the matter to the Attorney General
and the Deputy Attorney General, or, if
that would be inappropriate, to the
Associate Attorney General or the
Solicitor General. 28 CFR 0.39a(d)(3). In
that event, OPR was to ‘‘recommend
what further action should be
undertaken’’ with respect to the
allegation, ‘‘including the assignment of
any task force or individual to
undertake the action recommended.’’ 28
CFR 0.39a(g). Finally, under 28 CFR
0.39a(h), OPR was authorized to
E:\FR\FM\15SER1.SGM
15SER1
ycherry on PROD1PC64 with RULES
Federal Register / Vol. 71, No. 179 / Friday, September 15, 2006 / Rules and Regulations
‘‘[u]ndertake any investigation of a
matter referred under paragraph (d)(3) of
this section that may be assigned by the
Attorney General, the Deputy Attorney
General, the Associate Attorney General,
or the Solicitor General, or cooperate
with any other organization, task force,
or individual that may be assigned by
such official to undertake the
investigation.’’ 28 CFR 0.39a(h).
Consistent with the Attorney General’s
authority to assign functions within the
Department, the regulations provided
that OPR was also authorized to
‘‘[u]ndertake any other responsibilities
assigned by the Attorney General
including duties relating to the
improvement of the performance of the
Department.’’ 28 CFR 0.39a(k).
Following the creation of the OIG in
1989, the role of OPR was focused
specifically on addressing allegations of
misconduct by Department attorneys
and law enforcement personnel,
accomplished through direct
investigation by OPR or by OPR’s
oversight of the Offices of Professional
Responsibility of the Federal Bureau of
Investigation (FBI) and the Drug
Enforcement Administration (DEA). In
2001, general oversight of those offices
was transferred to the OIG, while OPR
was charged with investigating
allegations of misconduct involving
Department attorneys that relate to the
exercise of their authority to investigate,
litigate, or provide legal advice, as well
as allegations of misconduct by law
enforcement personnel when they are
related to allegations of attorney
misconduct within the jurisdiction of
OPR.
The Department believes that it is
appropriate to update the organizational
language within 28 CFR part 0 at this
time to reflect more accurately the
delegations of authority and
investigative assignments made by
statute and the Attorney General.
Although the organic provisions of 28
CFR part 0 do not create substantive or
procedural rights as a general
proposition, clarity of understanding of
the organization of, and responsibilities
within, the Department benefits the
public in general. In this instance, the
Department is clarifying the internal
investigative functions of OPR.
4. This rule also amends 28 CFR part
0 to reflect the conferral of statutory law
enforcement authority on OIG special
agents. The Department’s organizational
regulations, 28 CFR 0.29j, authorized
OIG special agents to perform law
enforcement functions as Special
Deputy United States Marshals. Section
812 of the Homeland Security Act, Pub.
L. 107–296, § 812, 116 Stat. 2135, 2222
(Nov. 25, 2002), amending section 6(e)
VerDate Aug<31>2005
14:39 Sep 14, 2006
Jkt 208001
of the Inspector General Act of 1978,
provided that the Attorney General may,
through the adoption of guidelines,
authorize Special Agents under the
direction of an Assistant Inspector
General for Investigations to exercise the
following law enforcement powers:
(A) To carry a firearm while engaged
in official duties or as expressly
authorized by the Attorney General;
(B) to make arrests, while engaged in
official duties or as expressly authorized
by the Attorney General, (i) for federal
offenses committed in the officer’s
presence, or
(ii) for any federal felony if the agent
has reasonable grounds to believe that
the person has committed or is
committing such felony; and
(C) to seek and execute federal arrest
and search warrants issued upon
probable cause.
As provided for in this section, the
Attorney General adopted the Attorney
General Guidelines for Offices of
Inspector General with Statutory Law
Enforcement Authority (‘‘Attorney
General Guidelines’’ or ‘‘Guidelines’’)
on December 8, 2003, authorizing and
governing the exercise of these
authorities for Inspector General offices
of the Departments and agencies
specified in section 6(e)(3) of the
Inspector General Act, as amended.
These Guidelines are applicable to
Inspectors General under section 6(e) of
the Inspector General Act, as amended,
and Special Agents under their
authority, and apply operational
guidelines and policies of the
Department of Justice in the
performance of criminal law
enforcement investigations, e.g., the
Attorney General’s Guidelines on
General Crimes, Racketeering
Enterprise, and Terrorism Enterprise
Investigations; the Attorney General’s
Guidelines Regarding the Use of
Confidential Informants; and the
Attorney General’s Memorandum on
Procedures for Lawful, Warrantless
Monitoring of Verbal Communications,
as amended and updated, and any other
Attorney General guidelines applicable
to criminal investigative practices. The
Attorney General Guidelines and these
operational guidelines are subject to
change.
In view of the promulgation of the
Attorney General Guidelines, the
Department is making conforming
amendments to the existing regulations
governing the Department’s OIG, in
order to reflect the provisions of section
6(e) and the issuance of the Attorney
General’s Guidelines.
5. This rule also amends 28 CFR
0.29(a) to reflect the current
organizational structure of the OIG.
PO 00000
Frm 00013
Fmt 4700
Sfmt 4700
54413
Regulatory Matters
This rule was not published for public
comment and takes effect immediately
because it pertains to matters of internal
agency management. See 5 U.S.C. 553(b)
and (d). In accordance with 5 U.S.C.
605(b), the Attorney General certifies
that this rule does not have a significant
adverse economic impact on a
substantial number of small entities and
does not have an effect beyond the
internal operating procedures of the
Department.
This rule is not considered to be a
‘‘rule’’ within the meaning of section
3(d) of Executive Order 12866, nor does
this rule have federalism implications
warranting the preparation of a
federalism assessment in accordance
with section 6 of Executive Order
12612. This rule is not a ‘‘rule’’ within
the meaning of the Congressional
Review Act, 5 U.S.C. 801 et seq.
List of Subjects
28 CFR Part 0
Government employees, Delegations
of authority.
28 CFR Part 45
Government employees, Ethics.
Accordingly, by virtue of the authority
vested in me as Attorney General,
including 5 U.S.C. 301 and 28 U.S.C.
509, 510, Part 0 and Part 45 of title 28
of the Code of Federal Regulations are
amended as follows:
I
PART 0—ORGANIZATION OF THE
DEPARTMENT OF JUSTICE
1. The authority citation for part 0
continues to read as follows:
I
Authority: 5 U.S.C. 302; 28 U.S.C. 509,
510, 515–519.
2. Paragraph (a) of § 0.29 is revised to
read as follows:
I
§ 0.29
Organization.
(a) The Office of the Inspector General
consists of an immediate office, which
is composed of the Inspector General,
the Deputy Inspector General, and the
Office of the General Counsel, and five
major divisions, each headed by an
Assistant Inspector General. The five
OIG divisions are: Audit; Investigations;
Evaluation and Inspections; Oversight
and Review; and Management and
Planning.
*
*
*
*
*
I 3. Section 0.29j is revised to read as
follows:
§ 0.29j
Law enforcement authority.
Subject to guidelines promulgated by
the Attorney General, Special Agents of
E:\FR\FM\15SER1.SGM
15SER1
54414
Federal Register / Vol. 71, No. 179 / Friday, September 15, 2006 / Rules and Regulations
the Office of the Inspector General are
authorized to:
(a) Detect and assist in the
prosecution of crimes in violation of the
laws of the United States and to conduct
such other investigations regarding
matters that are within the jurisdiction
of the Inspector General;
(b) Serve legal writs, summons,
complaints, and subpoenas issued by
the Inspector General or by a Federal
grand jury;
(c) Receive, transport, and provide
safekeeping of arrestees and other
persons in the custody of the Attorney
General or detained aliens;
(d) Arrest without warrant any person
for an offense against the United States
committed in the presence of the
Special Agent or whom the Special
Agent has reasonable grounds to believe
has committed or is committing a felony
cognizable under the laws of the United
States;
(e) Seek and execute search and arrest
warrants;
(f) Carry firearms while on-duty; and
(g) Carry firearms while off-duty as
authorized by the Inspector General.
I 4. Subpart G–2 is revised to read as
follows:
Subpart G–2—Office of Professional
Responsibility
Sec.
0.39 Office of Professional Responsibility.
0.39a Functions.
0.39b Confidentiality of information.
0.39c Relationship to other departmental
units.
Subpart G–2—Office of Professional
Responsibility
§ 0.39 Office of Professional
Responsibility.
The Office of Professional
Responsibility (DOJ–OPR) shall be
headed by a Counsel, who shall be
appointed by the Attorney General and
subject to the general supervision and
direction of the Attorney General or,
whenever appropriate, the Deputy
Attorney General.
ycherry on PROD1PC64 with RULES
§ 0.39a
Functions.
(a) The Counsel shall:
(1) Receive, review, investigate and
refer for appropriate action allegations
of misconduct involving Department
attorneys that relate to the exercise of
their authority to investigate, litigate or
provide legal advice, as well as
allegations of misconduct by law
enforcement personnel when such
allegations are related to allegations of
attorney misconduct within the
jurisdiction of DOJ–OPR;
(2) Receive, review, investigate and
refer for appropriate action;
VerDate Aug<31>2005
14:39 Sep 14, 2006
Jkt 208001
(i) Any allegation of reprisal against
an employee or applicant who discloses
information pursuant to paragraph (a)(1)
of this section; and
(ii) Allegations of reprisal taken
against any Federal Bureau of
Investigation employee for disclosing
information pursuant to 28 CFR 27.1;
(3) Report to the responsible
Department official the results of
inquiries and investigations arising
under paragraphs (a)(1) and (2) of this
section, and, when appropriate, make
recommendations for disciplinary and
other corrective action;
(4) Refer any allegation not arising
under paragraphs (a)(1) or (2) of this
section to the Inspector General or
another appropriate Department official;
(5) Notify any person who has made
allegations pursuant to paragraphs (a)(1)
or (2) of this section and any person
who was the subject of such allegations
of the completion and, as appropriate,
the results of, any inquiry or
investigation undertaken, where such
notification is permitted by law and
consistent with the law enforcement
interests of the Department;
(6) Engage in liaison with the bar
disciplinary authorities of the states,
territories, and the District of Columbia
with respect to professional misconduct
matters;
(7) Submit an annual report to the
Attorney General summarizing the work
of the Office;
(8) Submit recommendations to the
Attorney General and the Deputy
Attorney General on the need for
changes in policies and procedures that
become evident during the course of the
Counsel’s inquiries and investigations;
(9) Review proposals from
Department employees to refer to
appropriate licensing authorities
apparent professional misconduct by
attorneys outside the Department, and
make such referrals where warranted,
except that referrals made pursuant to 8
CFR 1003.106(d) do not require the
Counsel’s review; and
(10) Perform any other responsibilities
assigned by the Attorney General or the
Deputy Attorney General.
(b) For the purpose of paragraph
(a)(2)(i) of this section, any disclosure
by an employee or applicant to a
supervisor, Professional Responsibility
Officer, the Office of Professional
Responsibility, the Office of the
Inspector General, the Executive Office
for United States Attorneys, or other
appropriate individual or component
shall constitute disclosure to the
Attorney General or the Counsel.
PO 00000
Frm 00014
Fmt 4700
Sfmt 4700
§ 0.39b
Confidentiality of information.
The Counsel shall not disclose the
identity of any person submitting an
allegation of misconduct or reprisal
pursuant to 28 CFR 0.39a(a)(1) or (2)
unless the person consents to the
disclosure of his identity or the
disclosure is necessary to carry out the
authority of the Office of Professional
Responsibility, including conducting an
investigation or referring the allegation
to another component.
§ 0.39c
units.
Relationship to other departmental
(a) Primary responsibility for assuring
the maintenance of the highest
standards of professional responsibility
by Department employees rests with the
heads of the offices, divisions, bureaus,
and boards of the Department.
(b) The heads of the offices, divisions,
bureaus, and boards shall assure that
any judicial finding of misconduct or
serious judicial criticism relating to the
duties described in § 0.39(a)(1), or any
nonfrivolous allegation of serious
misconduct concerning an employee in
their component and relating to those
duties, is reported to the Counsel.
(c) The heads of the offices, divisions,
bureaus, and boards shall provide
information and assistance requested by
the Counsel in connection with any
inquiries or investigations conducted by
the Counsel or by the Counsel’s staff. As
set forth in part 45, all Department
personnel, including the subject(s) of
any inquiry or investigation, shall
cooperate fully with any investigation
conducted by the Counsel or his
designee.
PART 45—EMPLOYEE
RESPONSIBILITIES
5. The authority citation for part 45 is
revised to read as follows:
I
Authority: 5 U.S.C. 301, 7301, App. 3, 6;
18 U.S.C. 207; 28 U.S.C. 503, 528; DOJ Order
1735.1.
6. Part 45 is amended by adding new
§§ 45.11, 45.12, and 45.13, to read as
follows:
I
§ 45.11 Reporting to the Office of the
Inspector General.
Department of Justice employees have
a duty to, and shall, report to the
Department of Justice Office of the
Inspector General, or to their supervisor
or their component’s internal affairs
office for referral to the Office of the
Inspector General:
(a) Any allegation of waste, fraud, or
abuse in a Department program or
activity;
(b) Any allegation of criminal or
serious administrative misconduct on
E:\FR\FM\15SER1.SGM
15SER1
Federal Register / Vol. 71, No. 179 / Friday, September 15, 2006 / Rules and Regulations
the part of a Department employee
(except those allegations of misconduct
that are required to be reported to the
Department of Justice Office of
Professional Responsibility pursuant to
§ 45.12); and
(c) Any investigation of allegations of
criminal misconduct against any
Department employee.
§ 45.12 Reporting to the Department of
Justice Office of Professional
Responsibility.
Department employees have a duty to,
and shall, report to the Department of
Justice Office of Professional
Responsibility (DOJ–OPR), or to their
supervisor, or their component’s
internal affairs office for referral to DOJ–
OPR, any allegations of misconduct by
a Department attorney that relate to the
exercise of the attorney’s authority to
investigate, litigate or provide legal
advice, as well as allegations of
misconduct by law enforcement
personnel when such allegations are
related to allegations of attorney
misconduct within the jurisdiction of
DOJ–OPR.
§ 45.13 Duty to cooperate in an official
investigation.
Department employees have a duty to,
and shall, cooperate fully with the
Office of the Inspector General and
Office of Professional Responsibility,
and shall respond to questions posed
during the course of an investigation
upon being informed that their
statement will not be used to
incriminate them in a criminal
proceeding. Refusal to cooperate could
lead to disciplinary action.
Dated: September 11, 2006.
Alberto R. Gonzales,
Attorney General.
[FR Doc. E6–15315 Filed 9–14–06; 8:45 am]
BILLING CODE 4410–BD–P
PENSION BENEFIT GUARANTY
CORPORATION
29 CFR Parts 4022 and 4044
Benefits Payable in Terminated SingleEmployer Plans; Allocation of Assets
in Single-Employer Plans; Interest
Assumptions for Valuing and Paying
Benefits
Pension Benefit Guaranty
Corporation.
ACTION: Final rule.
ycherry on PROD1PC64 with RULES
AGENCY:
SUMMARY: The Pension Benefit Guaranty
Corporation’s regulations on Benefits
Payable in Terminated Single-Employer
Plans and Allocation of Assets in
VerDate Aug<31>2005
14:39 Sep 14, 2006
Jkt 208001
Single-Employer Plans prescribe interest
assumptions for valuing and paying
benefits under terminating singleemployer plans. This final rule amends
the regulations to adopt interest
assumptions for plans with valuation
dates in October 2006. Interest
assumptions are also published on the
PBGC’s Web site (https://www.pbgc.gov).
DATES: Effective October 1, 2006.
FOR FURTHER INFORMATION CONTACT:
Catherine B. Klion, Manager, Regulatory
and Policy Division, Legislative and
Regulatory Department, Pension Benefit
Guaranty Corporation, 1200 K Street,
NW., Washington, DC 20005, 202–326–
4024. (TTY/TDD users may call the
Federal relay service toll-free at 1–800–
877–8339 and ask to be connected to
202–326–4024.)
SUPPLEMENTARY INFORMATION: The
PBGC’s regulations prescribe actuarial
assumptions—including interest
assumptions—for valuing and paying
plan benefits of terminating singleemployer plans covered by title IV of
the Employee Retirement Income
Security Act of 1974. The interest
assumptions are intended to reflect
current conditions in the financial and
annuity markets.
Three sets of interest assumptions are
prescribed: (1) A set for the valuation of
benefits for allocation purposes under
section 4044 (found in Appendix B to
part 4044), (2) a set for the PBGC to use
to determine whether a benefit is
payable as a lump sum and to determine
lump-sum amounts to be paid by the
PBGC (found in Appendix B to part
4022), and (3) a set for private-sector
pension practitioners to refer to if they
wish to use lump-sum interest rates
determined using the PBGC’s historical
methodology (found in Appendix C to
part 4022).
This amendment (1) adds to
Appendix B to part 4044 the interest
assumptions for valuing benefits for
allocation purposes in plans with
valuation dates during October 2006, (2)
adds to Appendix B to part 4022 the
interest assumptions for the PBGC to
use for its own lump-sum payments in
plans with valuation dates during
October 2006, and (3) adds to Appendix
C to part 4022 the interest assumptions
for private-sector pension practitioners
to refer to if they wish to use lump-sum
interest rates determined using the
PBGC’s historical methodology for
valuation dates during October 2006.
For valuation of benefits for allocation
purposes, the interest assumptions that
the PBGC will use (set forth in
Appendix B to part 4044) will be 6.00
percent for the first 20 years following
the valuation date and 4.75 percent
PO 00000
Frm 00015
Fmt 4700
Sfmt 4700
54415
thereafter. These interest assumptions
represent a decrease (from those in
effect for September 2006) of 0.20
percent for the first 20 years following
the valuation date and are otherwise
unchanged. These interest assumptions
reflect the PBGC’s recently updated
mortality assumptions, which are
effective for terminations on or after
January 1, 2006. See the PBGC’s final
rule published December 2, 2005 (70 FR
72205), which is available at https://
www.pbgc.gov/docs/05–23554.pdf.
Because the updated mortality
assumptions reflect improvements in
mortality, these interest assumptions are
higher than they would have been using
the old mortality assumptions.
The interest assumptions that the
PBGC will use for its own lump-sum
payments (set forth in Appendix B to
part 4022) will be 3.00 percent for the
period during which a benefit is in pay
status and 4.00 percent during any years
preceding the benefit’s placement in pay
status. These interest assumptions
represent a decrease (from those in
effect for September 2006) of 0.25
percent in the immediate annuity rate
and are otherwise unchanged. For
private-sector payments, the interest
assumptions (set forth in Appendix C to
part 4022) will be the same as those
used by the PBGC for determining and
paying lump sums (set forth in
Appendix B to part 4022).
The PBGC has determined that notice
and public comment on this amendment
are impracticable and contrary to the
public interest. This finding is based on
the need to determine and issue new
interest assumptions promptly so that
the assumptions can reflect current
market conditions as accurately as
possible.
Because of the need to provide
immediate guidance for the valuation
and payment of benefits in plans with
valuation dates during October 2006,
the PBGC finds that good cause exists
for making the assumptions set forth in
this amendment effective less than 30
days after publication.
The PBGC has determined that this
action is not a ‘‘significant regulatory
action’’ under the criteria set forth in
Executive Order 12866.
Because no general notice of proposed
rulemaking is required for this
amendment, the Regulatory Flexibility
Act of 1980 does not apply. See 5 U.S.C.
601(2).
List of Subjects
29 CFR Part 4022
Employee benefit plans, Pension
insurance, Pensions, Reporting and
recordkeeping requirements.
E:\FR\FM\15SER1.SGM
15SER1
]]>Agencies
[Federal Register Volume 71, Number 179 (Friday, September 15, 2006)]
[Rules and Regulations]
[Pages 54412-54415]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-15315]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF JUSTICE
28 CFR Parts 0 and 45
[AG Order No. 2835-2006]
Reporting Violations to the Office of the Inspector General and
the Office of Professional Responsibility; Delegations of Authority
AGENCY: Department of Justice.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule amends the regulations of the Department of
Justice to codify the obligation to report misconduct to the Office of
the Inspector General (OIG) and the Department of Justice Office of
Professional Responsibility (OPR), to reflect the conferral of
statutory law enforcement authority on OIG special agents, to update
the structure, functions, and responsibilities of OPR, and to reflect
the current organizational structure of the OIG.
DATES: Effective Date: September 11, 2006.
FOR FURTHER INFORMATION CONTACT: Mary Anne Hoopes, Associate Counsel,
Office of Professional Responsibility, United States Department of
Justice, Washington, DC 20530 (202) 514-3365 (regarding matters related
to OPR), or Gail A. Robinson, General Counsel, Office of the Inspector
General, United States Department of Justice, Washington, DC 20530
(202) 616-0646 (regarding matters related to the OIG).
SUPPLEMENTARY INFORMATION: 1. This rule amends 28 CFR part 0 to clarify
the delegation of authority by the Attorney General to the Counsel for
Professional Responsibility and to codify authority of the Inspector
General. This rule permits OPR and the OIG to investigate specific
matters, make such recommendations as appropriate to the Deputy
Attorney General and the Attorney General, and coordinate their
activities to improve the professionalism of the Department and to
reduce waste, fraud, and abuse.
2. This rule amends 28 CFR part 45 by adding three new sections.
The rule codifies the Attorney General's April 12, 2002 Memorandum For
Department of Justice Employees Regarding the Duty to Report Misconduct
and Cooperate with Investigators. This Memorandum provides for
notifying the OIG of fraud, waste, abuse, or misconduct, except for
those matters in the jurisdiction of OPR. This rule is not a
substantive change, but merely codifies existing practice. The rule
also implements section 308 of the Department of Justice Appropriations
Authorization Act for FY 2002 and 2003, Public Law 107-273 (Nov. 2,
2002), which amended 5 U.S.C. app. 3, 8E, and which provides in
pertinent part:
The Attorney General shall ensure by regulation that any
component of the Department of Justice receiving a nonfrivolous
allegation of criminal wrongdoing or administrative misconduct by an
employee of the Department of Justice, except with respect to
allegations described in subsection (b)(3) [matters within the
investigative jurisdiction of the Department of Justice Office of
Professional Responsibility], shall report that information to the
Inspector General.
This rule is also a codification of preexisting principles as set
forth in the United States Attorneys' Manual, Sec. 1-4.100, Standards
of Conduct Allegations of Misconduct by Department of Justice Employees
Reporting Misconduct Allegations. Although the language of section 308
of P.L. 107-273 is not identical to the prior regulations on this
subject, the Attorney General interprets the statutory language as
intended to codify the prior and existing practice.
3. This rule revises the description of OPR to reflect the changes
made in that Office's jurisdiction since its creation on December 9,
1975, including AG Order 833-79 (45 FR 27754-55, April 24, 1980); AG
Order 1931-94 (November 8, 1994), AG Order 2167-98 (63 FR 35847, July
8, 1998), AG Order 2190-98 (63 FR 62937-01, November 10, 1998), and AG
Order 2492-2001 (66 FR 37902-01, July 20, 2001).
As originally constituted, OPR's jurisdiction was extraordinarily
broad. OPR was empowered to ``[r]eceive and review any information or
allegation concerning conduct by a Department employee that may be in
violation of law, regulations or orders, or of applicable standards of
conduct or may constitute mismanagement, gross waste of funds, abuse of
authority, or a substantial and specific danger to public health or
safety.'' 28 CFR 0.39a(a). Its role in investigating those allegations,
however, was relatively narrow, in keeping with its small size. OPR was
to ``[m]ake such preliminary inquiry as may be necessary to determine
whether the matter should be referred to another official within the
Department,'' 28 CFR 0.39a(c), and then to make an appropriate referral
either to the head of the Department of Justice component to which the
employee was assigned, or to that component's internal inspection unit,
if no violation of law was alleged, or to the appropriate investigative
agency, if the conduct appeared to involve a violation of law, 28 CFR
0.39a(d)(1) and (2). OPR then received reports from the investigating
component on the status and outcome of investigations referred by OPR.
28 CFR 0.39a(e)(1). If OPR deemed it inappropriate to refer an
allegation to the employing component, it was to refer the matter to
the Attorney General and the Deputy Attorney General, or, if that would
be inappropriate, to the Associate Attorney General or the Solicitor
General. 28 CFR 0.39a(d)(3). In that event, OPR was to ``recommend what
further action should be undertaken'' with respect to the allegation,
``including the assignment of any task force or individual to undertake
the action recommended.'' 28 CFR 0.39a(g). Finally, under 28 CFR
0.39a(h), OPR was authorized to
[[Page 54413]]
``[u]ndertake any investigation of a matter referred under paragraph
(d)(3) of this section that may be assigned by the Attorney General,
the Deputy Attorney General, the Associate Attorney General, or the
Solicitor General, or cooperate with any other organization, task
force, or individual that may be assigned by such official to undertake
the investigation.'' 28 CFR 0.39a(h). Consistent with the Attorney
General's authority to assign functions within the Department, the
regulations provided that OPR was also authorized to ``[u]ndertake any
other responsibilities assigned by the Attorney General including
duties relating to the improvement of the performance of the
Department.'' 28 CFR 0.39a(k).
Following the creation of the OIG in 1989, the role of OPR was
focused specifically on addressing allegations of misconduct by
Department attorneys and law enforcement personnel, accomplished
through direct investigation by OPR or by OPR's oversight of the
Offices of Professional Responsibility of the Federal Bureau of
Investigation (FBI) and the Drug Enforcement Administration (DEA). In
2001, general oversight of those offices was transferred to the OIG,
while OPR was charged with investigating allegations of misconduct
involving Department attorneys that relate to the exercise of their
authority to investigate, litigate, or provide legal advice, as well as
allegations of misconduct by law enforcement personnel when they are
related to allegations of attorney misconduct within the jurisdiction
of OPR.
The Department believes that it is appropriate to update the
organizational language within 28 CFR part 0 at this time to reflect
more accurately the delegations of authority and investigative
assignments made by statute and the Attorney General. Although the
organic provisions of 28 CFR part 0 do not create substantive or
procedural rights as a general proposition, clarity of understanding of
the organization of, and responsibilities within, the Department
benefits the public in general. In this instance, the Department is
clarifying the internal investigative functions of OPR.
4. This rule also amends 28 CFR part 0 to reflect the conferral of
statutory law enforcement authority on OIG special agents. The
Department's organizational regulations, 28 CFR 0.29j, authorized OIG
special agents to perform law enforcement functions as Special Deputy
United States Marshals. Section 812 of the Homeland Security Act, Pub.
L. 107-296, Sec. 812, 116 Stat. 2135, 2222 (Nov. 25, 2002), amending
section 6(e) of the Inspector General Act of 1978, provided that the
Attorney General may, through the adoption of guidelines, authorize
Special Agents under the direction of an Assistant Inspector General
for Investigations to exercise the following law enforcement powers:
(A) To carry a firearm while engaged in official duties or as
expressly authorized by the Attorney General;
(B) to make arrests, while engaged in official duties or as
expressly authorized by the Attorney General, (i) for federal offenses
committed in the officer's presence, or
(ii) for any federal felony if the agent has reasonable grounds to
believe that the person has committed or is committing such felony; and
(C) to seek and execute federal arrest and search warrants issued
upon probable cause.
As provided for in this section, the Attorney General adopted the
Attorney General Guidelines for Offices of Inspector General with
Statutory Law Enforcement Authority (``Attorney General Guidelines'' or
``Guidelines'') on December 8, 2003, authorizing and governing the
exercise of these authorities for Inspector General offices of the
Departments and agencies specified in section 6(e)(3) of the Inspector
General Act, as amended. These Guidelines are applicable to Inspectors
General under section 6(e) of the Inspector General Act, as amended,
and Special Agents under their authority, and apply operational
guidelines and policies of the Department of Justice in the performance
of criminal law enforcement investigations, e.g., the Attorney
General's Guidelines on General Crimes, Racketeering Enterprise, and
Terrorism Enterprise Investigations; the Attorney General's Guidelines
Regarding the Use of Confidential Informants; and the Attorney
General's Memorandum on Procedures for Lawful, Warrantless Monitoring
of Verbal Communications, as amended and updated, and any other
Attorney General guidelines applicable to criminal investigative
practices. The Attorney General Guidelines and these operational
guidelines are subject to change.
In view of the promulgation of the Attorney General Guidelines, the
Department is making conforming amendments to the existing regulations
governing the Department's OIG, in order to reflect the provisions of
section 6(e) and the issuance of the Attorney General's Guidelines.
5. This rule also amends 28 CFR 0.29(a) to reflect the current
organizational structure of the OIG.
Regulatory Matters
This rule was not published for public comment and takes effect
immediately because it pertains to matters of internal agency
management. See 5 U.S.C. 553(b) and (d). In accordance with 5 U.S.C.
605(b), the Attorney General certifies that this rule does not have a
significant adverse economic impact on a substantial number of small
entities and does not have an effect beyond the internal operating
procedures of the Department.
This rule is not considered to be a ``rule'' within the meaning of
section 3(d) of Executive Order 12866, nor does this rule have
federalism implications warranting the preparation of a federalism
assessment in accordance with section 6 of Executive Order 12612. This
rule is not a ``rule'' within the meaning of the Congressional Review
Act, 5 U.S.C. 801 et seq.
List of Subjects
28 CFR Part 0
Government employees, Delegations of authority.
28 CFR Part 45
Government employees, Ethics.
0
Accordingly, by virtue of the authority vested in me as Attorney
General, including 5 U.S.C. 301 and 28 U.S.C. 509, 510, Part 0 and Part
45 of title 28 of the Code of Federal Regulations are amended as
follows:
PART 0--ORGANIZATION OF THE DEPARTMENT OF JUSTICE
0
1. The authority citation for part 0 continues to read as follows:
Authority: 5 U.S.C. 302; 28 U.S.C. 509, 510, 515-519.
0
2. Paragraph (a) of Sec. 0.29 is revised to read as follows:
Sec. 0.29 Organization.
(a) The Office of the Inspector General consists of an immediate
office, which is composed of the Inspector General, the Deputy
Inspector General, and the Office of the General Counsel, and five
major divisions, each headed by an Assistant Inspector General. The
five OIG divisions are: Audit; Investigations; Evaluation and
Inspections; Oversight and Review; and Management and Planning.
* * * * *
0
3. Section 0.29j is revised to read as follows:
Sec. 0.29j Law enforcement authority.
Subject to guidelines promulgated by the Attorney General, Special
Agents of
[[Page 54414]]
the Office of the Inspector General are authorized to:
(a) Detect and assist in the prosecution of crimes in violation of
the laws of the United States and to conduct such other investigations
regarding matters that are within the jurisdiction of the Inspector
General;
(b) Serve legal writs, summons, complaints, and subpoenas issued by
the Inspector General or by a Federal grand jury;
(c) Receive, transport, and provide safekeeping of arrestees and
other persons in the custody of the Attorney General or detained
aliens;
(d) Arrest without warrant any person for an offense against the
United States committed in the presence of the Special Agent or whom
the Special Agent has reasonable grounds to believe has committed or is
committing a felony cognizable under the laws of the United States;
(e) Seek and execute search and arrest warrants;
(f) Carry firearms while on-duty; and
(g) Carry firearms while off-duty as authorized by the Inspector
General.
0
4. Subpart G-2 is revised to read as follows:
Subpart G-2--Office of Professional Responsibility
Sec.
0.39 Office of Professional Responsibility.
0.39a Functions.
0.39b Confidentiality of information.
0.39c Relationship to other departmental units.
Subpart G-2--Office of Professional Responsibility
Sec. 0.39 Office of Professional Responsibility.
The Office of Professional Responsibility (DOJ-OPR) shall be headed
by a Counsel, who shall be appointed by the Attorney General and
subject to the general supervision and direction of the Attorney
General or, whenever appropriate, the Deputy Attorney General.
Sec. 0.39a Functions.
(a) The Counsel shall:
(1) Receive, review, investigate and refer for appropriate action
allegations of misconduct involving Department attorneys that relate to
the exercise of their authority to investigate, litigate or provide
legal advice, as well as allegations of misconduct by law enforcement
personnel when such allegations are related to allegations of attorney
misconduct within the jurisdiction of DOJ-OPR;
(2) Receive, review, investigate and refer for appropriate action;
(i) Any allegation of reprisal against an employee or applicant who
discloses information pursuant to paragraph (a)(1) of this section; and
(ii) Allegations of reprisal taken against any Federal Bureau of
Investigation employee for disclosing information pursuant to 28 CFR
27.1;
(3) Report to the responsible Department official the results of
inquiries and investigations arising under paragraphs (a)(1) and (2) of
this section, and, when appropriate, make recommendations for
disciplinary and other corrective action;
(4) Refer any allegation not arising under paragraphs (a)(1) or (2)
of this section to the Inspector General or another appropriate
Department official;
(5) Notify any person who has made allegations pursuant to
paragraphs (a)(1) or (2) of this section and any person who was the
subject of such allegations of the completion and, as appropriate, the
results of, any inquiry or investigation undertaken, where such
notification is permitted by law and consistent with the law
enforcement interests of the Department;
(6) Engage in liaison with the bar disciplinary authorities of the
states, territories, and the District of Columbia with respect to
professional misconduct matters;
(7) Submit an annual report to the Attorney General summarizing the
work of the Office;
(8) Submit recommendations to the Attorney General and the Deputy
Attorney General on the need for changes in policies and procedures
that become evident during the course of the Counsel's inquiries and
investigations;
(9) Review proposals from Department employees to refer to
appropriate licensing authorities apparent professional misconduct by
attorneys outside the Department, and make such referrals where
warranted, except that referrals made pursuant to 8 CFR 1003.106(d) do
not require the Counsel's review; and
(10) Perform any other responsibilities assigned by the Attorney
General or the Deputy Attorney General.
(b) For the purpose of paragraph (a)(2)(i) of this section, any
disclosure by an employee or applicant to a supervisor, Professional
Responsibility Officer, the Office of Professional Responsibility, the
Office of the Inspector General, the Executive Office for United States
Attorneys, or other appropriate individual or component shall
constitute disclosure to the Attorney General or the Counsel.
Sec. 0.39b Confidentiality of information.
The Counsel shall not disclose the identity of any person
submitting an allegation of misconduct or reprisal pursuant to 28 CFR
0.39a(a)(1) or (2) unless the person consents to the disclosure of his
identity or the disclosure is necessary to carry out the authority of
the Office of Professional Responsibility, including conducting an
investigation or referring the allegation to another component.
Sec. 0.39c Relationship to other departmental units.
(a) Primary responsibility for assuring the maintenance of the
highest standards of professional responsibility by Department
employees rests with the heads of the offices, divisions, bureaus, and
boards of the Department.
(b) The heads of the offices, divisions, bureaus, and boards shall
assure that any judicial finding of misconduct or serious judicial
criticism relating to the duties described in Sec. 0.39(a)(1), or any
nonfrivolous allegation of serious misconduct concerning an employee in
their component and relating to those duties, is reported to the
Counsel.
(c) The heads of the offices, divisions, bureaus, and boards shall
provide information and assistance requested by the Counsel in
connection with any inquiries or investigations conducted by the
Counsel or by the Counsel's staff. As set forth in part 45, all
Department personnel, including the subject(s) of any inquiry or
investigation, shall cooperate fully with any investigation conducted
by the Counsel or his designee.
PART 45--EMPLOYEE RESPONSIBILITIES
0
5. The authority citation for part 45 is revised to read as follows:
Authority: 5 U.S.C. 301, 7301, App. 3, 6; 18 U.S.C. 207; 28
U.S.C. 503, 528; DOJ Order 1735.1.
0
6. Part 45 is amended by adding new Sec. Sec. 45.11, 45.12, and 45.13,
to read as follows:
Sec. 45.11 Reporting to the Office of the Inspector General.
Department of Justice employees have a duty to, and shall, report
to the Department of Justice Office of the Inspector General, or to
their supervisor or their component's internal affairs office for
referral to the Office of the Inspector General:
(a) Any allegation of waste, fraud, or abuse in a Department
program or activity;
(b) Any allegation of criminal or serious administrative misconduct
on
[[Page 54415]]
the part of a Department employee (except those allegations of
misconduct that are required to be reported to the Department of
Justice Office of Professional Responsibility pursuant to Sec. 45.12);
and
(c) Any investigation of allegations of criminal misconduct against
any Department employee.
Sec. 45.12 Reporting to the Department of Justice Office of
Professional Responsibility.
Department employees have a duty to, and shall, report to the
Department of Justice Office of Professional Responsibility (DOJ-OPR),
or to their supervisor, or their component's internal affairs office
for referral to DOJ-OPR, any allegations of misconduct by a Department
attorney that relate to the exercise of the attorney's authority to
investigate, litigate or provide legal advice, as well as allegations
of misconduct by law enforcement personnel when such allegations are
related to allegations of attorney misconduct within the jurisdiction
of DOJ-OPR.
Sec. 45.13 Duty to cooperate in an official investigation.
Department employees have a duty to, and shall, cooperate fully
with the Office of the Inspector General and Office of Professional
Responsibility, and shall respond to questions posed during the course
of an investigation upon being informed that their statement will not
be used to incriminate them in a criminal proceeding. Refusal to
cooperate could lead to disciplinary action.
Dated: September 11, 2006.
Alberto R. Gonzales,
Attorney General.
[FR Doc. E6-15315 Filed 9-14-06; 8:45 am]
BILLING CODE 4410-BD-P
