Supplemental Standards of Ethical Conduct, 23766-23769 [2017-10636]
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Federal Register / Vol. 82, No. 99 / Wednesday, May 24, 2017 / Proposed Rules
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4 17
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[FR Doc. 2017–10622 Filed 5–23–17; 8:45 am]
POSTAL REGULATORY COMMISSION
39 CFR Part 3000
[Docket No. RM2017–4; Order No. 3907]
Supplemental Standards of Ethical
Conduct
Postal Regulatory Commission.
Proposed rulemaking.
AGENCY:
ACTION:
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SUMMARY: The Commission proposes to
delete its existing ethics rules to avoid
duplication and those changes proposed
to by the Commission with the
concurrence of the Office of
Government Ethics.
DATES: Comments are due: June 23,
2017.
FOR FURTHER INFORMATION CONTACT:
David A. Trissell, General Counsel, at
202–789–6820.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Introduction
II. Background
III. Summary of the Proposed Regulatory
Changes
IV. Section-by-Section Analysis of the
Proposed Changes to 39 CFR Subpart A
of Part 3000
V. Section-by-Section Analysis of the
Proposed Changes to the Title Identified
in Subchapter A of Chapter III of Title 39
VI. Administrative Actions
VII. Ordering Paragraphs
I. Introduction
The Postal Regulatory Commission
(Commission) establishes a rulemaking
docket to consider amending the
Commission’s ethics rules, 39 CFR
subpart A of part 3000. The Commission
proposes to delete its existing ethics
rules to avoid duplication of 5 CFR part
2635 and those changes proposed to 5
CFR part 5601 by the Commission with
the concurrence of the Office of
Government Ethics (OGE).1 This
rulemaking also proposes to replace the
deleted ethics rules with new rules that
reflect the Commission’s current
regulatory role under the Postal
Accountability and Enhancement Act
(PAEA), Public Law 109–435, 120 Stat.
3198 (2006). The proposed rules aim to
treat employees’ and former employees’
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interactions with the Postal Service
substantially the same as if those
interactions were with entities that are
not part of the federal government.
II. Background
BILLING CODE 6351–01–P
1 See Order No. 3906, Notice of Proposed
Rulemaking on Amendments to Supplemental
Standards of Ethical Conduct for Employees of the
Postal Regulatory Commission, May 19, 2017.
3 17
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Dated: May 19, 2017.
Christopher J. Kirkpatrick,
Secretary of the Commission.
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A. The Existing 39 CFR Subpart A of
Part 3000
The ethics rules contained in 39 CFR
subpart A of part 3000 were adopted in
a 1971 rulemaking, in which the Civil
Service Commission promulgated
employee conduct regulations on the
Commission’s behalf.2 In 1993, the
Commission collaborated with OGE to
revise the Commission’s ethics rules in
39 CFR subpart A of part 3000. The
ethics rules in 39 CFR subpart A of part
3000 retained ‘‘those portions of the
current standards of conduct not
superseded by [OGE’s] amendments to
title 5 of the Code of Federal
Regulations and incorporate[d]
provisions of the Supplemental
Standards of Ethical Conduct for
Employees of the Postal Rate
Commission issued in 5 CFR part 5601
with the concurrence of [OGE].’’ 3 The
Commission amended the ethics rules
in 2001 to eliminate a redundant
provision.4
In 2006, the PAEA made several
changes to the Commission’s regulatory
role. Specifically, the PAEA eliminated
the responsibility to adjudicate omnibus
rate cases each year, which set rates for
all Postal Service products.5 Instead,
under the PAEA the Commission,
among other responsibilities, approves
or denies discrete Postal Service
requests to change rates of market
dominant products or competitive
products.6 Proposed rate changes
include requests to change rates of
general applicability, e.g., retail rates
available to the public, and rates not of
general applicability, e.g., negotiated
service agreements (NSAs) with private
parties. See id. Post-PAEA, the
Commission must make an Annual
Compliance Determination report
concerning whether the rates or fees in
effect for the year satisfied statutory and
regulatory requirements and whether
any service standards in effect during
2 See
36 FR 5412 (Mar. 23, 1971).
FR 42873 (Aug. 12, 1993).
4 66 FR 32544 (Jun. 15, 2001).
5 Public Law 109–435, 120 Stat. 3198, sections
201–202 (2006) (amending 39 U.S.C. 3621–3622
(2005) and repealing sections 3623–3624).
6 The PAEA introduced the division of Postal
Service products into market dominant products
(products delivered under the Postal Service
monopoly) and competitive products (all other
products). 39 U.S.C. 3621–3622 and 39 CFR part
3010 (regulation of rates for market dominant
products); 39 U.S.C. 3631–3634 and 39 CFR part
3015 (regulation of rates for competitive products).
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the year were not met. See 39 U.S.C.
3653(b).
In 2007, the Commission amended its
ethics rules to reflect the renumbering of
its statutory authority and revised the
agency’s name due to the enactment of
the PAEA. In 2016, the Commission
amended its ethics rules to redesignate
the numbering to be consistent with the
Federal Register Document Drafting
Handbook and to correct the listed
authority.7 Neither amendment
modernized the Commission’s ethics
rules to reflect the PAEA’s
enhancements to the Commission
responsibilities.
B. Other Existing Ethics Laws and Rules
There are several government wide
ethics rules and laws that do not apply
in certain instances involving intrafederal government interactions because
of the acknowledgment of a low
probability of ethical problems arising
in those settings. However, while the
Postal Service is also a federal
government entity, it regularly appears
in dockets before the Commission
requesting relief on certain matters
(either of its own volition or because the
law mandates the Postal Service seek
relief or permission from the
Commission depending on the issue).
This situation presents the appearance
of, if not actual, conflicts that would
occur in any other scenario if the Postal
Service were a non-federal government
entity, and for which these types of
rules were intended to apply. But for the
Postal Service’s status as a federal
government entity, the same ethics
restrictions would apply. These changes
are aimed at fixing this unintended
consequence.
Existing 5 CFR part 2641 and 18
U.S.C. 207 are post-employment
restrictions applicable to former federal
employees, including Commission
employees. There are certain exceptions
to these post-employment restrictions,
such as former Commission employees
working for a different agency in the
executive branch. See 39 U.S.C.
207(j)(1); 39 CFR 2641.301(a). Therefore,
5 CFR part 2641 or 18 U.S.C. 207 does
not appear to apply to former
Commission employees working for the
Postal Service.
Existing § 2635.604 and proposed
§ 5601.103 of title 5 8 require
Commission employees seeking nonfederal employment to provide notice of
disqualification from particular
Commission matters. Therefore,
§ 2635.604 and proposed § 5601.103 of
FR 42534, 42540 (Jun. 30, 2016).
Commission, with the concurrence of OGE,
proposes to amend 5 CFR part 5601. See supra n.1.
title 5 do not appear to apply to a
Commission employee seeking
employment with the Postal Service.
Subpart B of 5 CFR part 2635 restricts
Commission employees from accepting
gifts from sources outside the federal
government. Subpart C of 5 CFR part
2635 restricts Commission employees
from accepting gifts from a lower-paid
employee or giving gifts to an official
superior. Therefore, in most cases,
neither subpart would prohibit a
Commission employee from accepting a
gift from the Postal Service or a Postal
Service employee since the Postal
Service is part of the federal
government.
III. Summary of the Proposed
Regulatory Changes
The Commission proposes to revise
its existing ethics rules for several
reasons. To avoid duplication of 5 CFR
part 2635 and the proposed 5 CFR part
5601,9 the Commission proposes to
delete the text and titles of existing
§§ 3000.5, 3000.10, 3000.15, and
3000.20.
To reflect the substantial changes to
the Commission’s regulatory role after
the 2006 enactment of the PAEA, which
placed the Commission in the unique
position of directly regulating the Postal
Service, a federal agency, the
Commission proposes new ethics rules
that will treat employees’ interactions
with the Postal Service substantially the
same as if those interactions were with
private entities. The proposed ethics
rules are intended to protect the
integrity of the Commission’s programs
and processes and maintain public
confidence that Commission employees
are fulfilling their duties impartially and
objectively. The proposed ethics rules
reflect lessons learned through the
Commission’s experiences with the
existing ethics rules.
IV. Section-by-Section Analysis of the
Proposed Changes to 39 CFR Subpart A
of Part 3000
The rules in 39 CFR subpart A of part
3000 apply only to Commission
personnel and former Commission
personnel.
A. Section 3000.5
The deletion of the existing language
of § 3000.5. Because the text of the
existing § 3000.5 is redundant to
proposed § 5601.101(a) of title 5,10 the
Commission proposes deleting the
existing text and title of § 3000.5.
Proposed § 3000.5 Post-employment
restrictions. Federal employees,
7 81
8 The
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9 See
supra n.1.
supra n.1.
10 See
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including Commission employees, may
not contact an employee of any federal
agency or court on behalf of another
person or entity concerning an official
matter with which the former employee
was involved as a government
employee. See 18 U.S.C. 207(a)(1).
Federal employees, including
Commission employees, may not
contact an employee of any federal
agency or court on behalf of another
person or entity concerning an official
matter that was pending under the
former employee’s official responsibility
during the last year of his or her federal
government employment. See 18 U.S.C.
207(a)(2). Neither restriction applies to
former Commission employees that
subsequently work for the Postal
Service.
Because Commission employees
obtain specific technical knowledge and
skills in the course of their employment
that may advantage a subsequent
employer, including the Postal Service,
and may disadvantage the Commission
and the public, the Commission
proposes to add post-employment
restrictions that are applicable to all
employers, including the Postal Service.
The Commission proposes retitling
§ 3000.5 of title 39 as post-employment
restrictions.
Paragraph (a) of proposed § 3000.5
would prohibit any former employee of
the Commission from practicing or
acting as an attorney, expert witness, or
representative in connection with any
proceeding or matter before the
Commission that the former employee
handled, advised, or participated in the
consideration of while working at the
Commission. Paragraph (b) of proposed
§ 3000.5 would prohibit any former
employee of the Commission, for one
year after leaving the Commission, from
practicing or acting as an attorney,
expert witness, or representative in
connection with any proceeding or
matter before the Commission that was
under the former employee’s official
responsibility as defined in 18 U.S.C.
202(b).
Paragraph (a) of § 3000.5’s permanent
ban on such participation in particular
matters and Paragraph (b) of § 3000.5’s
one year ban on participation in matters
under official responsibility applies to
the former employee’s practice or action
before the Commission on behalf of any
participant, including the Postal
Service. The proposed § 3000.5 does not
reduce any responsibilities imposed
upon former government employees
under any other applicable law
including executive orders, such as
Executive Order No. 13490, 74 FR 4673
(Jan. 26, 2009); statute, such as 18 U.S.C.
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207; or other regulations, such as 5 CFR
part 2641.
B. Section 3000.10
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The deletion of the existing language
of § 3000.10. Because the text of the
existing § 3000.10 is redundant to 5 CFR
part 2638, the Commission proposes
deleting the existing text and title of
§ 3000.10.
Proposed § 3000.10 Additional
required notification of disqualification
when seeking employment. Existing
§ 2635.604 of title 5 requires federal
employees, including Commission
employees, to recuse themselves from
participating in matters that may
directly and predictably affect the
financial interest of a prospective
employer. Proposed § 5601.103 of title 5
specifies the procedure for Commission
employees to provide notice.11 Federal
employees, including Commission
employees, required to file public
financial disclosure reports (OGE form
278(e)), must comply with additional
notification requirements set forth in
§ 2635.607 of title 5 and the Stop
Trading on Congressional Knowledge
Act of 2012.12 None of these
requirements apply to former
Commission employees that seek
employment with the Postal Service.
However, a Commission employee
seeking employment with the Postal
Service may experience an actual or an
appearance of a conflict of interest
between his or her subsequent
employment prospects and current
work.
Therefore, the Commission proposes
to require its employees who seek
employment with the Postal Service to
provide notice of disqualification
consistent with the rules applicable to
seeking non-federal employment. The
Commission proposes retitling § 3000.10
as ‘‘additional required notification of
disqualification when seeking
employment.’’ Proposed paragraph (a) of
§ 3000.10 would require a Commission
employee seeking employment with the
Postal Service to provide notice
consistent with proposed § 5601.103(a)
of title 5. Proposed paragraph (b) of
§ 3000.10 permits the employee to
withdraw notice of disqualification
consistent with proposed § 5601.103(b)
of title 5.
C. Section 3000.15
The deletion of the existing language
of § 3000.15. Because the text of the
existing § 3000.15 is redundant to the
proposed § 5601.102 of title 5,13 the
Commission proposes deleting the
existing text and title of § 3000.15.
Proposed § 3000.15 Additional
restriction on gifts. Executive Order No.
11570, as amended by Executive Order
No. 12107, requires Commission
regulations to prohibit the receipt of
anything of value by a Commission
employee ‘‘from an individual or
organization having, or likely to have,
business with the Commission.’’ 14
Unless an exception applies, federal
employees, including Commission
employees, generally may not accept
gifts that are given because of their
official positions or that come from
certain prohibited sources. 5 CFR
2635.202(a). The definition of ‘‘gift’’
excludes ‘‘[a]nything which is paid for
by the Government.’’ 5 CFR
2635.203(b)(7). Therefore, even though
the Postal Service regularly appears
before and seeks relief from the
Commission, things of value given by
the Postal Service to Commission
employees are not considered gifts
under the existing regulations. By
contrast, § 2635.202(a) of title 5
generally prohibits acceptance of gifts
that come from non-federal government
entities that regularly appear before or
seek relief from the Commission.
The Commission proposes revising
§ 3000.15 to similarly prohibit a
Commission employee from accepting a
gift from the Postal Service unless first
permitted by an exception or exclusion
contained in § 2635 other than
§ 2635.203(b)(7) of title 5. The
Commission proposes to retitle
§ 3000.15 as ‘‘additional limitation on
acceptance of anything of value.’’ The
Commission believes that proposed
§ 3000.15 is consistent with Executive
Order No. 11570, as amended by
Executive Order No. 12107.
D. Section 3000.20
The deletion of the existing language
of § 3000.20. Because the text of the
existing section 3000.20 is redundant to
the proposed §§ 5601.104(a) and (b) and
5601.103(a) of title 5,15 the Commission
proposes deleting the existing text and
title of § 3000.20.
Proposed § 3000.20 Reserved. The
Commission proposes to reserve
§ 3000.20.
13 See
supra n.1.
Executive Order No. 11570, 35 FR 18183
(Nov. 24, 1970); Executive Order No. 12107, 44 FR
1055 (Dec. 28, 1978).
15 See supra n.1.
14 See
11 See
supra n.1.
Public Law 112–105, 126 Stat. 291, 303–
04, section 17 (2012).
12 See
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V. Section-by-Section Analysis of the
Proposed Changes to the Title Identified
in Subchapter A of Chapter III of Title
39
Title identified in subchapter A of
chapter III of title 39. The Commission
proposes removing the existing heading
‘‘Subchapter A—Personnel’’ from
chapter III of title 39. The existing
heading is incorrect because several
parts of subchapter A of chapter III of
title 39 do not relate to personnel.
Further, the existing heading is
unnecessary because there are no
additional subchapters within chapter
III of title 39.
VI. Administrative Actions
The Commission establishes Docket
No. RM2017–4 for consideration of
matters raised by this Order. Additional
information concerning this rulemaking
may be accessed via the Commission’s
Web site at https://www.prc.gov.
Interested persons may submit
comments no later than 30 days from
the date of the publication of this notice
in the Federal Register. Pursuant to 39
U.S.C. 505, Samuel M. Poole is
designated as an officer of the
Commission (Public Representative) to
represent the interests of the general
public in this proceeding.
VII. Ordering Paragraphs
It is ordered:
1. The Commission establishes Docket
No. RM2017–4 for consideration of the
matters raised by this Order.
2. Interested persons may submit
comments no later than 30 days from
the date of the publication of this notice
in the Federal Register.
3. Pursuant to 39 U.S.C. 505, the
Commission appoints Samuel M. Poole
to serve as an officer of the Commission
(Public Representative) to represent the
interests of the general public in this
proceeding.
4. The Secretary shall arrange for
publication of this order in the Federal
Register.
By the Commission.
Stacy L. Ruble,
Secretary.
List of Subjects in 39 CFR Part 3000
Conflict of interests.
For the reasons discussed in the
preamble, the Commission proposes to
amend chapter III of title 39 of the Code
of Federal Regulations as follows:
CHAPTER III—POSTAL REGULATORY
COMMISSION
1. Under the authority of 39 U.S.C.
503 remove the heading of subchapter
A.
■
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Federal Register / Vol. 82, No. 99 / Wednesday, May 24, 2017 / Proposed Rules
PART 3000—STANDARDS OF
CONDUCT
2. The authority citation for part 3000
continues to read as follows:
■
Authority: 39 U.S.C. 503; 504, 3603; E.O.
12674; 54 FR 15159; 3 CFR,1989 Comp., p.
215, as modified by E.O. 12731, 56 FR 42547,
3 CFR, 1990 Comp., p. 396, 5 CFR parts 2634
and 2635.
3. Revise subpart A of part 3000 to
read as follows:
■
unless another exception or exclusion to
§ 2635.203 of title 5 applies or a waiver
is granted by the DAEO.
§ 3000.20
[Reserved]
[FR Doc. 2017–10636 Filed 5–23–17; 8:45 am]
BILLING CODE 7710–FW–P
ENVIRONMENTAL PROTECTION
AGENCY
[EPA–HQ–OPPT–2017–0244; FRL–9962–85]
Sec.
3000.5 Post-employment restriction.
3000.10 Additional required notification of
disqualification when seeking
employment.
3000.15 Additional restriction on gifts.
3000.20 [Reserved]
§ 3000.5
Post-employment restrictions.
All former employees of the Postal
Regulatory Commission (Commission)
are subject to the following restrictions
on appearance and practice before the
Commission on behalf of any
participant, including the United States
Postal Service (Postal Service):
(a) No former employee of the
Commission may practice or act as an
attorney, expert witness, or
representative in connection with any
proceeding or matter before the
Commission that the former employee
has handled, advised, or participated in
the consideration of while in the service
of the Commission.
(b) No former employee of the
Commission may within 1 year after his
or her employment has ceased, practice
before or act as an attorney, expert
witness, or representative in connection
with any proceeding or matter before
the Commission that was under the
official responsibility of such
individual, as defined in 18 U.S.C.
202(b), while in the service of the
Commission.
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§ 3000.10 Additional required notification
of disqualification when seeking
employment.
(a) An employee that seeks
employment with the Postal Service
must provide written notice to the
Designated Agency Ethics Official
(DAEO) consistent with § 5601.103(a) of
title 5.
(b) An employee may withdraw
written notice under paragraph (a) of
this section consistent with
§ 5601.103(b) of title 5.
§ 3000.15 Additional limitation on
acceptance of anything of value.
Regardless of § 2635.203(b)(7) of title
5, a Commission employee may not
accept a gift from the Postal Service,
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17:40 May 23, 2017
Jkt 241001
Written comments must be
received on or before June 8, 2017.
Comments postmarked after the close of
the comment period will be stamped
‘‘late’’ and may or may not be
considered by the Agency.
DATES:
Submit your comments,
identified by docket identification (ID)
number EPA–HQ–OPPT–2017–0244, by
one of the following methods:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the online
instructions for submitting comments.
Do not submit electronically any
information you consider to be
Confidential Business Information (CBI)
or other information whose disclosure is
restricted by statute.
• Mail: Document Control Office
(7407M), Office of Pollution Prevention
and Toxics (OPPT), Environmental
Protection Agency, 1200 Pennsylvania
Ave. NW., Washington, DC 20460–0001.
• Hand Delivery: To make special
arrangements for hand delivery or
delivery of boxed information, please
follow the instructions at https://
www.epa.gov/dockets/contacts.html.
Additional instructions on
commenting or visiting the docket,
along with more information about
dockets generally, is available at https://
www.epa.gov/dockets.
ADDRESSES:
40 CFR Part 770
Subpart A—General Provisions
23769
RIN 2070–AK35
Compliance Date Extension;
Formaldehyde Emission Standards for
Composite Wood Products
Environmental Protection
Agency (EPA).
ACTION: Proposed rule.
AGENCY:
SUMMARY: EPA is proposing to amend a
final rule that published in the Federal
Register on December 12, 2016,
concerning formaldehyde emission
standards for composite wood products.
EPA is publishing this proposed
amendment to extend the Toxic
Substances Control Act (TSCA) Title VI
final rule compliance dates including:
extending the December 12, 2017 date
for emission standards, recordkeeping,
and labeling provisions until March 22,
2018; extending the December 12, 2018
date for import certification provisions
until March 22, 2019; and extending the
December 12, 2023 date for provisions
applicable to producers of laminated
products until March 22, 2024.
Additionally, this proposed amendment
would extend the transitional period
during which the California Air
Resources Board (CARB) Third Party
Certifiers (TPC) may certify composite
wood products under TSCA Title VI
without an accreditation issued by an
EPA TSCA Title VI Accreditation Body
so long as the TPC remains approved by
CARB, is recognized by EPA, and
complies with all aspects of the
December 12, 2016 final rule. Extension
of these compliance dates and the
transitional period for CARB TPCs adds
regulatory flexibility for regulated
entities, reduces compliance burdens,
and helps to prevent disruptions to
supply chains. EPA believes that the
proposed amendment is noncontroversial and does not expect to
receive any adverse comments.
Therefore, in addition to this Notice of
Proposed Rulemaking, elsewhere in this
issue of the Federal Register, EPA is
promulgating the amendment as a direct
final rule.
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For
technical information contact: Erik
Winchester, National Program
Chemicals Division, Office of Pollution
Prevention and Toxics, Environmental
Protection Agency, 1200 Pennsylvania
Ave. NW., Washington, DC 20460–0001;
telephone number: (202) 564–6450;
email address: winchester.erik@epa.gov.
For general information contact: The
TSCA-Hotline, ABVI-Goodwill, 422
South Clinton Ave., Rochester, NY
14620; telephone number: (202) 554–
1404; email address: TSCA-Hotline@
epa.gov.
FOR FURTHER INFORMATION CONTACT:
For
further information about the proposed
changes to the compliance dates, please
see the information provided in the
direct final action, with the same title,
that is located in the ‘‘Rules and
Regulations’’ section of this issue of the
Federal Register.
SUPPLEMENTARY INFORMATION:
List of Subjects in 40 CFR Part 770
Environmental protection,
Formaldehyde, Incorporation by
reference, Reporting and recordkeeping
requirements, Third-party certification,
Toxic substances, Wood.
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]]>Agencies
[Federal Register Volume 82, Number 99 (Wednesday, May 24, 2017)]
[Proposed Rules]
[Pages 23766-23769]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-10636]
=======================================================================
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POSTAL REGULATORY COMMISSION
39 CFR Part 3000
[Docket No. RM2017-4; Order No. 3907]
Supplemental Standards of Ethical Conduct
AGENCY: Postal Regulatory Commission.
ACTION: Proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Commission proposes to delete its existing ethics rules to
avoid duplication and those changes proposed to by the Commission with
the concurrence of the Office of Government Ethics.
DATES: Comments are due: June 23, 2017.
FOR FURTHER INFORMATION CONTACT: David A. Trissell, General Counsel, at
202-789-6820.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Introduction
II. Background
III. Summary of the Proposed Regulatory Changes
IV. Section-by-Section Analysis of the Proposed Changes to 39 CFR
Subpart A of Part 3000
V. Section-by-Section Analysis of the Proposed Changes to the Title
Identified in Subchapter A of Chapter III of Title 39
VI. Administrative Actions
VII. Ordering Paragraphs
I. Introduction
The Postal Regulatory Commission (Commission) establishes a
rulemaking docket to consider amending the Commission's ethics rules,
39 CFR subpart A of part 3000. The Commission proposes to delete its
existing ethics rules to avoid duplication of 5 CFR part 2635 and those
changes proposed to 5 CFR part 5601 by the Commission with the
concurrence of the Office of Government Ethics (OGE).\1\ This
rulemaking also proposes to replace the deleted ethics rules with new
rules that reflect the Commission's current regulatory role under the
Postal Accountability and Enhancement Act (PAEA), Public Law 109-435,
120 Stat. 3198 (2006). The proposed rules aim to treat employees' and
former employees' interactions with the Postal Service substantially
the same as if those interactions were with entities that are not part
of the federal government.
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\1\ See Order No. 3906, Notice of Proposed Rulemaking on
Amendments to Supplemental Standards of Ethical Conduct for
Employees of the Postal Regulatory Commission, May 19, 2017.
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II. Background
A. The Existing 39 CFR Subpart A of Part 3000
The ethics rules contained in 39 CFR subpart A of part 3000 were
adopted in a 1971 rulemaking, in which the Civil Service Commission
promulgated employee conduct regulations on the Commission's behalf.\2\
In 1993, the Commission collaborated with OGE to revise the
Commission's ethics rules in 39 CFR subpart A of part 3000. The ethics
rules in 39 CFR subpart A of part 3000 retained ``those portions of the
current standards of conduct not superseded by [OGE's] amendments to
title 5 of the Code of Federal Regulations and incorporate[d]
provisions of the Supplemental Standards of Ethical Conduct for
Employees of the Postal Rate Commission issued in 5 CFR part 5601 with
the concurrence of [OGE].'' \3\ The Commission amended the ethics rules
in 2001 to eliminate a redundant provision.\4\
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\2\ See 36 FR 5412 (Mar. 23, 1971).
\3\ 58 FR 42873 (Aug. 12, 1993).
\4\ 66 FR 32544 (Jun. 15, 2001).
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In 2006, the PAEA made several changes to the Commission's
regulatory role. Specifically, the PAEA eliminated the responsibility
to adjudicate omnibus rate cases each year, which set rates for all
Postal Service products.\5\ Instead, under the PAEA the Commission,
among other responsibilities, approves or denies discrete Postal
Service requests to change rates of market dominant products or
competitive products.\6\ Proposed rate changes include requests to
change rates of general applicability, e.g., retail rates available to
the public, and rates not of general applicability, e.g., negotiated
service agreements (NSAs) with private parties. See id. Post-PAEA, the
Commission must make an Annual Compliance Determination report
concerning whether the rates or fees in effect for the year satisfied
statutory and regulatory requirements and whether any service standards
in effect during
[[Page 23767]]
the year were not met. See 39 U.S.C. 3653(b).
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\5\ Public Law 109-435, 120 Stat. 3198, sections 201-202 (2006)
(amending 39 U.S.C. 3621-3622 (2005) and repealing sections 3623-
3624).
\6\ The PAEA introduced the division of Postal Service products
into market dominant products (products delivered under the Postal
Service monopoly) and competitive products (all other products). 39
U.S.C. 3621-3622 and 39 CFR part 3010 (regulation of rates for
market dominant products); 39 U.S.C. 3631-3634 and 39 CFR part 3015
(regulation of rates for competitive products).
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In 2007, the Commission amended its ethics rules to reflect the
renumbering of its statutory authority and revised the agency's name
due to the enactment of the PAEA. In 2016, the Commission amended its
ethics rules to redesignate the numbering to be consistent with the
Federal Register Document Drafting Handbook and to correct the listed
authority.\7\ Neither amendment modernized the Commission's ethics
rules to reflect the PAEA's enhancements to the Commission
responsibilities.
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\7\ 81 FR 42534, 42540 (Jun. 30, 2016).
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B. Other Existing Ethics Laws and Rules
There are several government wide ethics rules and laws that do not
apply in certain instances involving intra-federal government
interactions because of the acknowledgment of a low probability of
ethical problems arising in those settings. However, while the Postal
Service is also a federal government entity, it regularly appears in
dockets before the Commission requesting relief on certain matters
(either of its own volition or because the law mandates the Postal
Service seek relief or permission from the Commission depending on the
issue). This situation presents the appearance of, if not actual,
conflicts that would occur in any other scenario if the Postal Service
were a non-federal government entity, and for which these types of
rules were intended to apply. But for the Postal Service's status as a
federal government entity, the same ethics restrictions would apply.
These changes are aimed at fixing this unintended consequence.
Existing 5 CFR part 2641 and 18 U.S.C. 207 are post-employment
restrictions applicable to former federal employees, including
Commission employees. There are certain exceptions to these post-
employment restrictions, such as former Commission employees working
for a different agency in the executive branch. See 39 U.S.C.
207(j)(1); 39 CFR 2641.301(a). Therefore, 5 CFR part 2641 or 18 U.S.C.
207 does not appear to apply to former Commission employees working for
the Postal Service.
Existing Sec. 2635.604 and proposed Sec. 5601.103 of title 5 \8\
require Commission employees seeking non-federal employment to provide
notice of disqualification from particular Commission matters.
Therefore, Sec. 2635.604 and proposed Sec. 5601.103 of title 5 do not
appear to apply to a Commission employee seeking employment with the
Postal Service.
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\8\ The Commission, with the concurrence of OGE, proposes to
amend 5 CFR part 5601. See supra n.1.
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Subpart B of 5 CFR part 2635 restricts Commission employees from
accepting gifts from sources outside the federal government. Subpart C
of 5 CFR part 2635 restricts Commission employees from accepting gifts
from a lower-paid employee or giving gifts to an official superior.
Therefore, in most cases, neither subpart would prohibit a Commission
employee from accepting a gift from the Postal Service or a Postal
Service employee since the Postal Service is part of the federal
government.
III. Summary of the Proposed Regulatory Changes
The Commission proposes to revise its existing ethics rules for
several reasons. To avoid duplication of 5 CFR part 2635 and the
proposed 5 CFR part 5601,\9\ the Commission proposes to delete the text
and titles of existing Sec. Sec. 3000.5, 3000.10, 3000.15, and
3000.20.
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\9\ See supra n.1.
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To reflect the substantial changes to the Commission's regulatory
role after the 2006 enactment of the PAEA, which placed the Commission
in the unique position of directly regulating the Postal Service, a
federal agency, the Commission proposes new ethics rules that will
treat employees' interactions with the Postal Service substantially the
same as if those interactions were with private entities. The proposed
ethics rules are intended to protect the integrity of the Commission's
programs and processes and maintain public confidence that Commission
employees are fulfilling their duties impartially and objectively. The
proposed ethics rules reflect lessons learned through the Commission's
experiences with the existing ethics rules.
IV. Section-by-Section Analysis of the Proposed Changes to 39 CFR
Subpart A of Part 3000
The rules in 39 CFR subpart A of part 3000 apply only to Commission
personnel and former Commission personnel.
A. Section 3000.5
The deletion of the existing language of Sec. 3000.5. Because the
text of the existing Sec. 3000.5 is redundant to proposed Sec.
5601.101(a) of title 5,\10\ the Commission proposes deleting the
existing text and title of Sec. 3000.5.
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\10\ See supra n.1.
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Proposed Sec. 3000.5 Post-employment restrictions. Federal
employees, including Commission employees, may not contact an employee
of any federal agency or court on behalf of another person or entity
concerning an official matter with which the former employee was
involved as a government employee. See 18 U.S.C. 207(a)(1). Federal
employees, including Commission employees, may not contact an employee
of any federal agency or court on behalf of another person or entity
concerning an official matter that was pending under the former
employee's official responsibility during the last year of his or her
federal government employment. See 18 U.S.C. 207(a)(2). Neither
restriction applies to former Commission employees that subsequently
work for the Postal Service.
Because Commission employees obtain specific technical knowledge
and skills in the course of their employment that may advantage a
subsequent employer, including the Postal Service, and may disadvantage
the Commission and the public, the Commission proposes to add post-
employment restrictions that are applicable to all employers, including
the Postal Service. The Commission proposes retitling Sec. 3000.5 of
title 39 as post-employment restrictions.
Paragraph (a) of proposed Sec. 3000.5 would prohibit any former
employee of the Commission from practicing or acting as an attorney,
expert witness, or representative in connection with any proceeding or
matter before the Commission that the former employee handled, advised,
or participated in the consideration of while working at the
Commission. Paragraph (b) of proposed Sec. 3000.5 would prohibit any
former employee of the Commission, for one year after leaving the
Commission, from practicing or acting as an attorney, expert witness,
or representative in connection with any proceeding or matter before
the Commission that was under the former employee's official
responsibility as defined in 18 U.S.C. 202(b).
Paragraph (a) of Sec. 3000.5's permanent ban on such participation
in particular matters and Paragraph (b) of Sec. 3000.5's one year ban
on participation in matters under official responsibility applies to
the former employee's practice or action before the Commission on
behalf of any participant, including the Postal Service. The proposed
Sec. 3000.5 does not reduce any responsibilities imposed upon former
government employees under any other applicable law including executive
orders, such as Executive Order No. 13490, 74 FR 4673 (Jan. 26, 2009);
statute, such as 18 U.S.C.
[[Page 23768]]
207; or other regulations, such as 5 CFR part 2641.
B. Section 3000.10
The deletion of the existing language of Sec. 3000.10. Because the
text of the existing Sec. 3000.10 is redundant to 5 CFR part 2638, the
Commission proposes deleting the existing text and title of Sec.
3000.10.
Proposed Sec. 3000.10 Additional required notification of
disqualification when seeking employment. Existing Sec. 2635.604 of
title 5 requires federal employees, including Commission employees, to
recuse themselves from participating in matters that may directly and
predictably affect the financial interest of a prospective employer.
Proposed Sec. 5601.103 of title 5 specifies the procedure for
Commission employees to provide notice.\11\ Federal employees,
including Commission employees, required to file public financial
disclosure reports (OGE form 278(e)), must comply with additional
notification requirements set forth in Sec. 2635.607 of title 5 and
the Stop Trading on Congressional Knowledge Act of 2012.\12\ None of
these requirements apply to former Commission employees that seek
employment with the Postal Service. However, a Commission employee
seeking employment with the Postal Service may experience an actual or
an appearance of a conflict of interest between his or her subsequent
employment prospects and current work.
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\11\ See supra n.1.
\12\ See Public Law 112-105, 126 Stat. 291, 303-04, section 17
(2012).
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Therefore, the Commission proposes to require its employees who
seek employment with the Postal Service to provide notice of
disqualification consistent with the rules applicable to seeking non-
federal employment. The Commission proposes retitling Sec. 3000.10 as
``additional required notification of disqualification when seeking
employment.'' Proposed paragraph (a) of Sec. 3000.10 would require a
Commission employee seeking employment with the Postal Service to
provide notice consistent with proposed Sec. 5601.103(a) of title 5.
Proposed paragraph (b) of Sec. 3000.10 permits the employee to
withdraw notice of disqualification consistent with proposed Sec.
5601.103(b) of title 5.
C. Section 3000.15
The deletion of the existing language of Sec. 3000.15. Because the
text of the existing Sec. 3000.15 is redundant to the proposed Sec.
5601.102 of title 5,\13\ the Commission proposes deleting the existing
text and title of Sec. 3000.15.
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\13\ See supra n.1.
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Proposed Sec. 3000.15 Additional restriction on gifts. Executive
Order No. 11570, as amended by Executive Order No. 12107, requires
Commission regulations to prohibit the receipt of anything of value by
a Commission employee ``from an individual or organization having, or
likely to have, business with the Commission.'' \14\
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\14\ See Executive Order No. 11570, 35 FR 18183 (Nov. 24, 1970);
Executive Order No. 12107, 44 FR 1055 (Dec. 28, 1978).
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Unless an exception applies, federal employees, including
Commission employees, generally may not accept gifts that are given
because of their official positions or that come from certain
prohibited sources. 5 CFR 2635.202(a). The definition of ``gift''
excludes ``[a]nything which is paid for by the Government.'' 5 CFR
2635.203(b)(7). Therefore, even though the Postal Service regularly
appears before and seeks relief from the Commission, things of value
given by the Postal Service to Commission employees are not considered
gifts under the existing regulations. By contrast, Sec. 2635.202(a) of
title 5 generally prohibits acceptance of gifts that come from non-
federal government entities that regularly appear before or seek relief
from the Commission.
The Commission proposes revising Sec. 3000.15 to similarly
prohibit a Commission employee from accepting a gift from the Postal
Service unless first permitted by an exception or exclusion contained
in Sec. 2635 other than Sec. 2635.203(b)(7) of title 5. The
Commission proposes to retitle Sec. 3000.15 as ``additional limitation
on acceptance of anything of value.'' The Commission believes that
proposed Sec. 3000.15 is consistent with Executive Order No. 11570, as
amended by Executive Order No. 12107.
D. Section 3000.20
The deletion of the existing language of Sec. 3000.20. Because the
text of the existing section 3000.20 is redundant to the proposed
Sec. Sec. 5601.104(a) and (b) and 5601.103(a) of title 5,\15\ the
Commission proposes deleting the existing text and title of Sec.
3000.20.
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\15\ See supra n.1.
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Proposed Sec. 3000.20 Reserved. The Commission proposes to reserve
Sec. 3000.20.
V. Section-by-Section Analysis of the Proposed Changes to the Title
Identified in Subchapter A of Chapter III of Title 39
Title identified in subchapter A of chapter III of title 39. The
Commission proposes removing the existing heading ``Subchapter A--
Personnel'' from chapter III of title 39. The existing heading is
incorrect because several parts of subchapter A of chapter III of title
39 do not relate to personnel. Further, the existing heading is
unnecessary because there are no additional subchapters within chapter
III of title 39.
VI. Administrative Actions
The Commission establishes Docket No. RM2017-4 for consideration of
matters raised by this Order. Additional information concerning this
rulemaking may be accessed via the Commission's Web site at https://www.prc.gov. Interested persons may submit comments no later than 30
days from the date of the publication of this notice in the Federal
Register. Pursuant to 39 U.S.C. 505, Samuel M. Poole is designated as
an officer of the Commission (Public Representative) to represent the
interests of the general public in this proceeding.
VII. Ordering Paragraphs
It is ordered:
1. The Commission establishes Docket No. RM2017-4 for consideration
of the matters raised by this Order.
2. Interested persons may submit comments no later than 30 days
from the date of the publication of this notice in the Federal
Register.
3. Pursuant to 39 U.S.C. 505, the Commission appoints Samuel M.
Poole to serve as an officer of the Commission (Public Representative)
to represent the interests of the general public in this proceeding.
4. The Secretary shall arrange for publication of this order in the
Federal Register.
By the Commission.
Stacy L. Ruble,
Secretary.
List of Subjects in 39 CFR Part 3000
Conflict of interests.
For the reasons discussed in the preamble, the Commission proposes
to amend chapter III of title 39 of the Code of Federal Regulations as
follows:
CHAPTER III--POSTAL REGULATORY COMMISSION
0
1. Under the authority of 39 U.S.C. 503 remove the heading of
subchapter A.
[[Page 23769]]
PART 3000--STANDARDS OF CONDUCT
0
2. The authority citation for part 3000 continues to read as follows:
Authority: 39 U.S.C. 503; 504, 3603; E.O. 12674; 54 FR 15159; 3
CFR,1989 Comp., p. 215, as modified by E.O. 12731, 56 FR 42547, 3
CFR, 1990 Comp., p. 396, 5 CFR parts 2634 and 2635.
0
3. Revise subpart A of part 3000 to read as follows:
Subpart A--General Provisions
Sec.
3000.5 Post-employment restriction.
3000.10 Additional required notification of disqualification when
seeking employment.
3000.15 Additional restriction on gifts.
3000.20 [Reserved]
Sec. 3000.5 Post-employment restrictions.
All former employees of the Postal Regulatory Commission
(Commission) are subject to the following restrictions on appearance
and practice before the Commission on behalf of any participant,
including the United States Postal Service (Postal Service):
(a) No former employee of the Commission may practice or act as an
attorney, expert witness, or representative in connection with any
proceeding or matter before the Commission that the former employee has
handled, advised, or participated in the consideration of while in the
service of the Commission.
(b) No former employee of the Commission may within 1 year after
his or her employment has ceased, practice before or act as an
attorney, expert witness, or representative in connection with any
proceeding or matter before the Commission that was under the official
responsibility of such individual, as defined in 18 U.S.C. 202(b),
while in the service of the Commission.
Sec. 3000.10 Additional required notification of disqualification
when seeking employment.
(a) An employee that seeks employment with the Postal Service must
provide written notice to the Designated Agency Ethics Official (DAEO)
consistent with Sec. 5601.103(a) of title 5.
(b) An employee may withdraw written notice under paragraph (a) of
this section consistent with Sec. 5601.103(b) of title 5.
Sec. 3000.15 Additional limitation on acceptance of anything of
value.
Regardless of Sec. 2635.203(b)(7) of title 5, a Commission
employee may not accept a gift from the Postal Service, unless another
exception or exclusion to Sec. 2635.203 of title 5 applies or a waiver
is granted by the DAEO.
Sec. 3000.20 [Reserved]
[FR Doc. 2017-10636 Filed 5-23-17; 8:45 am]
BILLING CODE 7710-FW-P
