Interpretation, Exemptions and Waiver Guidance Concerning the Federal Criminal Conflict of Interest Statute Prohibiting Acts Affecting a Personal Financial Interest; Amendment to Definition of “Employee”, 61099-61100 [2016-21293]
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61099
Rules and Regulations
Federal Register
Vol. 81, No. 172
Tuesday, September 6, 2016
ACTION:
(Acts Affecting A Personal Financial
Interest); Amendment to Definition of
‘Employee.’ ’’
Instructions: All submissions must
include OGE’s agency name and the
Regulation Identifier Number (RIN),
3209–AA09, for this rulemaking. All
comments, including attachments and
other supporting materials, will become
part of the public record and be subject
to public disclosure. Comments may be
posted on OGE’s Web site, www.oge.gov.
Sensitive personal information, such as
account numbers or Social Security
numbers, should not be included.
Comments generally will not be edited
to remove any identifying or contact
information.
FOR FURTHER INFORMATION CONTACT:
Christopher J. Swartz, Assistant
Counsel, Office of Government Ethics,
Suite 500, 1201 New York Avenue NW.,
Washington, DC 20005–3917;
Telephone: 202–482–9300; TTY: 800–
877–8339; Fax: 202–482–9237.
SUPPLEMENTARY INFORMATION:
The U.S. Office of
Government Ethics is issuing this
interim final rule to make a technical
modification to the definition of
‘‘employee’’ in its regulations
implementing the federal criminal
conflict of interest statute concerning
acts affecting a personal financial
interest, in order to ensure their
continued applicability to all
individuals subject to requirements of
the statute.
DATES: This interim regulation is
effective September 6, 2016. Comments
are invited and are due in writing by
November 7, 2016.
ADDRESSES: You may submit comments,
in writing, to OGE on this interim final
rule, identified by RIN 3209–AA09, by
any of the following methods:
E-Mail: usoge@oge.gov. Include the
reference ‘‘Interpretation, Exemptions
and Waiver Guidance Concerning 18
U.S.C. 208 (Acts Affecting A Personal
Financial Interest); Amendment to
Definition of ‘Employee’ ’’ in the subject
line of the message.
Fax: (202) 482–9237.
Mail/Hand Delivery/Courier: Office of
Government Ethics, Suite 500, 1201
New York Avenue NW., Washington,
DC 20005–3917, Attention:
‘‘Interpretation, Exemptions and Waiver
Guidance Concerning 18 U.S.C. 208
I. Background
The U.S. Office of Government Ethics
(OGE) is issuing this interim final rule
making a technical modification to the
definition of ‘‘employee’’ in its
regulations implementing 18 U.S.C. 208.
Section 208(a) prohibits participation in
particular matters affecting a covered
individual’s personal and imputed
financial interests. Section 208(b)(2)
authorizes OGE to promulgate
regulatory exemptions describing
financial interests that are ‘‘too remote
or too inconsequential’’ to warrant
disqualification pursuant to section
208(a). Pursuant to 5 U.S.C. app.
402(b)(1) and Executive Order 12674 of
April 12, 1989 (as modified by
Executive Order 12731), OGE is
responsible for providing uniform
regulations interpreting section 208. In
addition, section 208(d)(2) specifically
directs OGE to adopt ‘‘uniform
regulations for . . . exemptions’’ from
the applicability of section 208(a).
Consistent with these authorities, in
1996 OGE issued uniform regulations at
5 CFR part 2640 interpreting 18 U.S.C.
208 and establishing exemptions for all
individuals subject to section 208(a). 61
FR 66830 (Dec. 18, 1996).
OGE established this uniform
coverage by defining ‘‘employee’’ to
mean ‘‘an officer or employee of the
executive branch of the United States, or
This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by
the Superintendent of Documents. Prices of
new books are listed in the first FEDERAL
REGISTER issue of each week.
OFFICE OF GOVERNMENT ETHICS
5 CFR Part 2640
RIN 3209–AA09
Interpretation, Exemptions and Waiver
Guidance Concerning the Federal
Criminal Conflict of Interest Statute
Prohibiting Acts Affecting a Personal
Financial Interest; Amendment to
Definition of ‘‘Employee’’
AGENCY:
Office of Government Ethics
(OGE).
Interim final rule with request
for comments.
ehiers on DSK5VPTVN1PROD with RULES
SUMMARY:
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of any independent agency of the
United States, a Federal Reserve bank
director, officer, or employee, or an
officer or employee of the District of
Columbia,’’ including ‘‘a special
Government employee as defined in 18
U.S.C. 202.’’ 5 CFR 2640.102(b). The
language of this definition in 5 CFR part
2640 carefully covered all individuals
then subject to the statute, including
certain individuals who were not
executive branch employees. Compare
id. with 18 U.S.C. 208(a) (covering ‘‘an
officer or employee of the executive
branch of the United States
Government, or of any independent
agency of the United States, a Federal
Reserve bank director, officer, or
employee, or an officer or employee of
the District of Columbia, including a
special Government employee’’). The
applicability of 5 CFR part 2640 was,
thus, coextensive with the applicability
of section 208.
Recently, however, a cross-reference
in the organic statute of a newly created
board has expanded the coverage of the
requirements of section 208 to include
the board’s members and staff, who
would not otherwise be subject to
section 208. Public Law 114–187,
section 109(a) (2016). In order to ensure
the continued applicability of 5 CFR
part 2640 to all individuals subject to
section 208, this interim regulation adds
the phrase ‘‘. . . , or any other
individual subject to requirements of 18
U.S.C. 208’’ at the end of the first
sentence of the definition of
‘‘employee.’’ This technical amendment
will guard against uncertainty as to the
applicability of 5 CFR part 2640 to the
members and staff of this board, as well
as to others who may in the future
become subject to section 208. Prior to
issuing this regulation, OGE consulted
with the Office of Personnel
Management and the Department of
Justice, and pursuant to section 201(c)
of Executive Order 12674, as modified
by Executive Order 12731, has obtained
the concurrence of the Department of
Justice.
II. Matters of Regulatory Procedure
Administrative Procedure Act
Pursuant to sections 553(b) and
553(d)(3) of title 5 of the United States
Code, the Director of the Office of
Government Ethics has found good
cause for dispensing with the usual
requirements of notice and comment
E:\FR\FM\06SER1.SGM
06SER1
61100
Federal Register / Vol. 81, No. 172 / Tuesday, September 6, 2016 / Rules and Regulations
and a 30-day delay in the rule’s effective
date. Because this minor amendment is
strictly technical in nature, providing
notice and comment and delaying the
effective date are unnecessary.
Moreover, in clarifying the meaning of
‘‘employee,’’ this rule is an
interpretative rule and thus exempt
from notice and comment and a delay
in effective date pursuant to 5 U.S.C.
553(b) and 553(d)(2), respectively.
Finally, this rule recognizes exemptions,
which exempts the rule from the 30-day
delayed effective date pursuant to 5
U.S.C. 553(d)(1). Nonetheless, this
interim final rule provides a 60-day
comment period for agencies and the
public. The Office of Government Ethics
will review any comments received
during the comment period and
consider any modifications to this rule
that appear warranted.
Regulatory Flexibility Act
As Director of the Office of
Government Ethics, I certify under the
Regulatory Flexibility Act (5 U.S.C.
chapter 6) that this interim final rule
would not have a significant economic
impact on a substantial number of small
entities because it primarily affects
covered employees.
Paperwork Reduction Act
The Paperwork Reduction Act (44
U.S.C. chapter 35) does not apply
because this regulation does not contain
information collection requirements that
require approval of the Office of
Management and Budget.
ehiers on DSK5VPTVN1PROD with RULES
Unfunded Mandates Reform Act
For purposes of the Unfunded
Mandates Reform Act of 1995 (2 U.S.C.
chapter 25, subchapter II), this interim
final rule would not significantly or
uniquely affect small governments and
will not result in increased expenditures
by State, local, and tribal governments,
in the aggregate, or by the private sector,
of $100 million or more (as adjusted for
inflation) in any one year.
Congressional Review Act
The Office of Government Ethics has
determined that this rulemaking
involves a nonmajor rule under the
Congressional Review Act (5 U.S.C.
chapter 8) and will, before the interim
final rule takes effect, submit a report
thereon to the U.S. Senate, House of
Representatives and General Accounting
Office in accordance with that law.
regulation set forth in section 1 of
Executive Order 12866, Regulatory
Planning and Review. The Office of
Management and Budget has
determined that this technical rule
amendment is not ‘‘significant’’ under
Executive Order 12866.
NUCLEAR REGULATORY
COMMISSION
Executive Order 12988
Revision of Fee Schedules; Fee
Recovery for Fiscal Year 2016;
Correction
As Director of the Office of
Government Ethics, I have reviewed this
interim final rule in light of section 3 of
Executive Order 12988, Civil Justice
Reform, and certify that it meets the
applicable standards provided therein.
List of Subjects in 5 CFR Part 2640
Conflict of interests, Government
employees.
Approved: August 30, 2016.
Walter M. Shaub, Jr.,
Director, Office of Government Ethics.
Accordingly, for the reasons set forth
in the preamble, the Office of
Government Ethics amends 5 CFR part
2640 as follows:
PART 2640—INTERPRETATION,
EXEMPTIONS AND WAIVER
GUIDANCE CONCERNING 18 U.S.C.
208 (ACTS AFFECTING A PERSONAL
FINANCIAL INTEREST)
1. The authority citation for part 2640
continues to read as follows:
■
Authority: 5 U.S.C. App. (Ethics in
Government Act of 1978); 18 U.S.C. 208; E.O.
12674, 54 FR 15159, 3 CFR, 1989 Comp., p.
215, as modified by E.O. 12731, 55 FR 42547,
3 CFR, 1990 Comp., p. 306.
2. Revise the first sentence of
§ 2640.102(b) to read as follows:
■
§ 2640.102
Definitions.
*
*
*
*
*
(b) Employee means an officer or
employee of the executive branch of the
United States, or of any independent
agency of the United States, a Federal
Reserve bank director, officer, or
employee, an officer or employee of the
District of Columbia, or any other
individual subject to requirements of 18
U.S.C. 208. * * *
*
*
*
*
*
[FR Doc. 2016–21293 Filed 9–2–16; 8:45 am]
BILLING CODE 6345–03–P
Executive Order 12866
In promulgating this rule amendment,
the Office of Government Ethics has
adhered to the regulatory philosophy
and the applicable principles of
VerDate Sep<11>2014
15:06 Sep 02, 2016
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10 CFR Part 171
[NRC–2015–0223]
RIN 3150–AJ66
Nuclear Regulatory
Commission.
ACTION: Final rule; correcting
amendment.
AGENCY:
The U.S. Nuclear Regulatory
Commission (NRC) published a final
rule amending regulations that became
effective August 23, 2016. The fiscal
year (FY) 2016 final fee rule, published
June 24, 2016, amended the licensing,
inspection, special project, and annual
fees charged to NRC applicants and
licensees. This document corrects the
annual fee for materials licensees in the
category ‘‘Nuclear laundries’’ from the
FY 2016 rate of $0 to the FY 2015 rate
of $40,100. This correction allows
Agreement States to continue to collect
fees in this fee category.
DATES: Effective Date: September 6,
2016.
SUMMARY:
Please refer to Docket ID
NRC–2015–0223 when contacting the
NRC about the availability of
information for this action. You may
obtain publicly-available information
related to this action by any of the
following methods:
• Federal Rulemaking Web site: Go to
https://www.regulations.gov and search
for Docket ID NRC–2015–0223. Address
questions about NRC dockets to Carol
Gallagher; telephone: 301–415–3463;
email: Carol.Gallagher@nrc.gov. For
technical questions, contact the
individual listed in the FOR FURTHER
INFORMATION CONTACT section of this
document.
• NRC’s Agencywide Documents
Access and Management System
(ADAMS): You may obtain publiclyavailable documents online in the
ADAMS Public Documents collection at
https://www.nrc.gov/reading-rm/
adams.html. To begin the search, select
‘‘ADAMS Public Documents’’ and then
select ‘‘Begin Web-based ADAMS
Search.’’ For problems with ADAMS,
please contact the NRC’s Public
Document Room (PDR) reference staff at
1–800–397–4209, 301–415–4737, or by
email to pdr.resource@nrc.gov.
• NRC’s PDR: You may examine and
purchase copies of public documents at
the NRC’s PDR, Room O1–F21, One
ADDRESSES:
E:\FR\FM\06SER1.SGM
06SER1
Agencies
[Federal Register Volume 81, Number 172 (Tuesday, September 6, 2016)]
[Rules and Regulations]
[Pages 61099-61100]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-21293]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.
========================================================================
Federal Register / Vol. 81, No. 172 / Tuesday, September 6, 2016 /
Rules and Regulations
[[Page 61099]]
OFFICE OF GOVERNMENT ETHICS
5 CFR Part 2640
RIN 3209-AA09
Interpretation, Exemptions and Waiver Guidance Concerning the
Federal Criminal Conflict of Interest Statute Prohibiting Acts
Affecting a Personal Financial Interest; Amendment to Definition of
``Employee''
AGENCY: Office of Government Ethics (OGE).
ACTION: Interim final rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: The U.S. Office of Government Ethics is issuing this interim
final rule to make a technical modification to the definition of
``employee'' in its regulations implementing the federal criminal
conflict of interest statute concerning acts affecting a personal
financial interest, in order to ensure their continued applicability to
all individuals subject to requirements of the statute.
DATES: This interim regulation is effective September 6, 2016. Comments
are invited and are due in writing by November 7, 2016.
ADDRESSES: You may submit comments, in writing, to OGE on this interim
final rule, identified by RIN 3209-AA09, by any of the following
methods:
E-Mail: usoge@oge.gov. Include the reference ``Interpretation,
Exemptions and Waiver Guidance Concerning 18 U.S.C. 208 (Acts Affecting
A Personal Financial Interest); Amendment to Definition of `Employee'
'' in the subject line of the message.
Fax: (202) 482-9237.
Mail/Hand Delivery/Courier: Office of Government Ethics, Suite 500,
1201 New York Avenue NW., Washington, DC 20005-3917, Attention:
``Interpretation, Exemptions and Waiver Guidance Concerning 18 U.S.C.
208 (Acts Affecting A Personal Financial Interest); Amendment to
Definition of `Employee.' ''
Instructions: All submissions must include OGE's agency name and
the Regulation Identifier Number (RIN), 3209-AA09, for this rulemaking.
All comments, including attachments and other supporting materials,
will become part of the public record and be subject to public
disclosure. Comments may be posted on OGE's Web site, www.oge.gov.
Sensitive personal information, such as account numbers or Social
Security numbers, should not be included. Comments generally will not
be edited to remove any identifying or contact information.
FOR FURTHER INFORMATION CONTACT: Christopher J. Swartz, Assistant
Counsel, Office of Government Ethics, Suite 500, 1201 New York Avenue
NW., Washington, DC 20005-3917; Telephone: 202-482-9300; TTY: 800-877-
8339; Fax: 202-482-9237.
SUPPLEMENTARY INFORMATION:
I. Background
The U.S. Office of Government Ethics (OGE) is issuing this interim
final rule making a technical modification to the definition of
``employee'' in its regulations implementing 18 U.S.C. 208. Section
208(a) prohibits participation in particular matters affecting a
covered individual's personal and imputed financial interests. Section
208(b)(2) authorizes OGE to promulgate regulatory exemptions describing
financial interests that are ``too remote or too inconsequential'' to
warrant disqualification pursuant to section 208(a). Pursuant to 5
U.S.C. app. 402(b)(1) and Executive Order 12674 of April 12, 1989 (as
modified by Executive Order 12731), OGE is responsible for providing
uniform regulations interpreting section 208. In addition, section
208(d)(2) specifically directs OGE to adopt ``uniform regulations for .
. . exemptions'' from the applicability of section 208(a). Consistent
with these authorities, in 1996 OGE issued uniform regulations at 5 CFR
part 2640 interpreting 18 U.S.C. 208 and establishing exemptions for
all individuals subject to section 208(a). 61 FR 66830 (Dec. 18, 1996).
OGE established this uniform coverage by defining ``employee'' to
mean ``an officer or employee of the executive branch of the United
States, or of any independent agency of the United States, a Federal
Reserve bank director, officer, or employee, or an officer or employee
of the District of Columbia,'' including ``a special Government
employee as defined in 18 U.S.C. 202.'' 5 CFR 2640.102(b). The language
of this definition in 5 CFR part 2640 carefully covered all individuals
then subject to the statute, including certain individuals who were not
executive branch employees. Compare id. with 18 U.S.C. 208(a) (covering
``an officer or employee of the executive branch of the United States
Government, or of any independent agency of the United States, a
Federal Reserve bank director, officer, or employee, or an officer or
employee of the District of Columbia, including a special Government
employee''). The applicability of 5 CFR part 2640 was, thus,
coextensive with the applicability of section 208.
Recently, however, a cross-reference in the organic statute of a
newly created board has expanded the coverage of the requirements of
section 208 to include the board's members and staff, who would not
otherwise be subject to section 208. Public Law 114-187, section 109(a)
(2016). In order to ensure the continued applicability of 5 CFR part
2640 to all individuals subject to section 208, this interim regulation
adds the phrase ``. . . , or any other individual subject to
requirements of 18 U.S.C. 208'' at the end of the first sentence of the
definition of ``employee.'' This technical amendment will guard against
uncertainty as to the applicability of 5 CFR part 2640 to the members
and staff of this board, as well as to others who may in the future
become subject to section 208. Prior to issuing this regulation, OGE
consulted with the Office of Personnel Management and the Department of
Justice, and pursuant to section 201(c) of Executive Order 12674, as
modified by Executive Order 12731, has obtained the concurrence of the
Department of Justice.
II. Matters of Regulatory Procedure
Administrative Procedure Act
Pursuant to sections 553(b) and 553(d)(3) of title 5 of the United
States Code, the Director of the Office of Government Ethics has found
good cause for dispensing with the usual requirements of notice and
comment
[[Page 61100]]
and a 30-day delay in the rule's effective date. Because this minor
amendment is strictly technical in nature, providing notice and comment
and delaying the effective date are unnecessary. Moreover, in
clarifying the meaning of ``employee,'' this rule is an interpretative
rule and thus exempt from notice and comment and a delay in effective
date pursuant to 5 U.S.C. 553(b) and 553(d)(2), respectively. Finally,
this rule recognizes exemptions, which exempts the rule from the 30-day
delayed effective date pursuant to 5 U.S.C. 553(d)(1). Nonetheless,
this interim final rule provides a 60-day comment period for agencies
and the public. The Office of Government Ethics will review any
comments received during the comment period and consider any
modifications to this rule that appear warranted.
Regulatory Flexibility Act
As Director of the Office of Government Ethics, I certify under the
Regulatory Flexibility Act (5 U.S.C. chapter 6) that this interim final
rule would not have a significant economic impact on a substantial
number of small entities because it primarily affects covered
employees.
Paperwork Reduction Act
The Paperwork Reduction Act (44 U.S.C. chapter 35) does not apply
because this regulation does not contain information collection
requirements that require approval of the Office of Management and
Budget.
Unfunded Mandates Reform Act
For purposes of the Unfunded Mandates Reform Act of 1995 (2 U.S.C.
chapter 25, subchapter II), this interim final rule would not
significantly or uniquely affect small governments and will not result
in increased expenditures by State, local, and tribal governments, in
the aggregate, or by the private sector, of $100 million or more (as
adjusted for inflation) in any one year.
Congressional Review Act
The Office of Government Ethics has determined that this rulemaking
involves a nonmajor rule under the Congressional Review Act (5 U.S.C.
chapter 8) and will, before the interim final rule takes effect, submit
a report thereon to the U.S. Senate, House of Representatives and
General Accounting Office in accordance with that law.
Executive Order 12866
In promulgating this rule amendment, the Office of Government
Ethics has adhered to the regulatory philosophy and the applicable
principles of regulation set forth in section 1 of Executive Order
12866, Regulatory Planning and Review. The Office of Management and
Budget has determined that this technical rule amendment is not
``significant'' under Executive Order 12866.
Executive Order 12988
As Director of the Office of Government Ethics, I have reviewed
this interim final rule in light of section 3 of Executive Order 12988,
Civil Justice Reform, and certify that it meets the applicable
standards provided therein.
List of Subjects in 5 CFR Part 2640
Conflict of interests, Government employees.
Approved: August 30, 2016.
Walter M. Shaub, Jr.,
Director, Office of Government Ethics.
Accordingly, for the reasons set forth in the preamble, the Office
of Government Ethics amends 5 CFR part 2640 as follows:
PART 2640--INTERPRETATION, EXEMPTIONS AND WAIVER GUIDANCE
CONCERNING 18 U.S.C. 208 (ACTS AFFECTING A PERSONAL FINANCIAL
INTEREST)
0
1. The authority citation for part 2640 continues to read as follows:
Authority: 5 U.S.C. App. (Ethics in Government Act of 1978); 18
U.S.C. 208; 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.
0
2. Revise the first sentence of Sec. 2640.102(b) to read as follows:
Sec. 2640.102 Definitions.
* * * * *
(b) Employee means an officer or employee of the executive branch
of the United States, or of any independent agency of the United
States, a Federal Reserve bank director, officer, or employee, an
officer or employee of the District of Columbia, or any other
individual subject to requirements of 18 U.S.C. 208. * * *
* * * * *
[FR Doc. 2016-21293 Filed 9-2-16; 8:45 am]
BILLING CODE 6345-03-P