[Federal Register Volume 73, Number 231 (Monday, December 1, 2008)]
[Proposed Rules]
[Pages 72748-72751]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-28267]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF ENERGY
10 CFR Part 1010
RIN 1990-AA31
Conduct of Employees and Former Employees; Exemption From Post-
Employment Restrictions for Communications; Furnishing Scientific or
Technological Information
AGENCY: Office of the General Counsel, U.S. Department of Energy.
ACTION: Notice of proposed rulemaking and opportunity for comment.
-----------------------------------------------------------------------
SUMMARY: The Department of Energy (DOE) today issues a proposed rule to
establish procedures under which a former employee of the executive
branch may obtain approval from DOE to make communications to DOE
solely for the purpose of furnishing scientific or technological
information during the period the former employee is subject to post-
employment restrictions set forth in 18 U.S.C. 207(a), (c), and (d).
The proposed rule also would further define the term ``scientific or
technological information,'' for which an exemption is provided by 18
U.S.C. 207(j)(5).
DATES: Public comment on this proposed rule will be accepted until
December 31, 2008.
ADDRESSES: You may submit comments, identified by RIN 1990-AA31, by any
of the following methods:
1. Federal eRulemaking Portal: http://www.regulations.gov. Follow
the instructions for submitting comments.
2. E-mail to [email protected]. Include RIN 1990-AA31
in the subject line of the e-mail. Please include the full body of your
comments in the text of the message or as an attachment.
3. Mail: Address written comments to Sue E. Wadel, Deputy Assistant
General Counsel for General Law, U.S. Department of Energy, Office of
the General Counsel, Mailstop GC-77, Room 6A-211, 1000 Independence
Avenue, SW., Washington, DC 20585.
Due to potential delays in DOE's receipt and processing of mail
sent through the U.S. Postal Service, we encourage respondents to
submit comments electronically to ensure timely receipt. You may obtain
copies of comments submitted in response to this notice of proposed
rulemaking from the contact person.
If you submit information that you believe to be exempt by law from
public disclosure, you should submit one complete copy, as well as one
copy from which the information claimed to be exempt by law from public
disclosure
[[Page 72749]]
has been deleted. DOE is responsible for the final determination with
regard to disclosure or nondisclosure of the information and for
treating it accordingly under the DOE Freedom of Information
regulations at 10 CFR 1004.11.
FOR FURTHER INFORMATION CONTACT: Sue E. Wadel, Deputy Assistant General
Counsel for General Law, U.S. Department of Energy, Office of the
General Counsel, Mailstop GC-77, Room 6A-211, 1000 Independence Avenue,
SW., Washington, DC 20585; (202) 586-1522 or [email protected].
SUPPLEMENTARY INFORMATION:
I. Background
II. Discussion of Proposed Rule
III. Regulatory Review
I. Background
DOE proposes to revise the title of 10 CFR Part 1010 from ``Conduct
of Employees'' to ``Conduct of Employees and Former Employees.'' In
addition, a title will be added identifying 10 CFR section 1010.101 et
seq. as ``Subpart A--Conduct of Employees.'' These proposed revisions
are being made because DOE proposes to amend the Conduct of Employees
regulations at 10 CFR Part 1010 to establish procedures under which a
former employee of the executive branch may obtain approval to make
communications to DOE solely for the purpose of furnishing scientific
or technological information during the period the former employee is
subject to post-employment restrictions set forth in 18 U.S.C. 207(a),
(c), and (d). DOE also proposes a definition of the term ``scientific
or technological information,'' used in 18 U.S.C. 207(j)(5), to provide
former employees with guidance on the types of communications that
would qualify for the exemption from otherwise applicable post-
employment restrictions.
Pursuant to 18 U.S.C. 207(j)(5), former employees of the executive
branch of the United States may make communications with an executive
branch agency ``solely for the purpose of furnishing scientific or
technological information,'' notwithstanding the post-employment
restrictions at 18 U.S.C. 207(a), (c), and (d). Section 207(j)(5)
provides that such communications must be made under procedures
acceptable to the department to which the communication is directed, or
the head of such department must consult with the Director of the
Office of Government Ethics (OGE) and certify in the Federal Register
that the former employee meets certain requirements to make such
communications. The purpose of this proposed rule is to (1) establish
the procedures acceptable to DOE for former executive branch employees
making scientific or technological communications; and (2) provide, in
a definition of the term ``scientific or technological information,''
the criteria for the types of communications of scientific or
technological information that former executive branch employees may
make to DOE pursuant to 18 U.S.C. 207(j)(5).
The proposed rule defines scientific and technological information
as that which is of a scientific or technological character, such as
technical or engineering information relating to the natural sciences.
This proposed definition does not extend to information associated
solely with a nontechnical discipline such as law, economics, or
political science.
II. Discussion of Proposed Rule
Proposed section 10 CFR 1010.202, defines the statutory term
``scientific or technological information,'' providing criteria for
program officials and the Designated Agency Ethics Official (DAEO) to
use when evaluating requests from former employees for approval to
communicate such information to DOE offices and officials. The program
office official and DAEO shall consider the former executive branch
employee's qualifications, the information to be conveyed, the former
executive branch employee's Federal position, the extent of the former
executive branch employee's participation in the same particular
matter, and whether DOE's interest would be served by allowing such
communications. Section 1010.202 also proposes to define the term
``authorized communication'' as the transmission of scientific or
technological information that has been approved by DOE under the
procedures that would be established by this rulemaking.
Proposed section 10 CFR 1010.203, sets forth the procedures under
which a former employee of the executive branch may obtain approval for
communicating scientific or technological information to DOE offices or
officials. A former employee of the executive branch must contact the
program office to which he or she wishes to make such communications.
The Director of the program office, in consultation with the DAEO,
shall advise the former executive branch employee in writing whether he
or she may make such communications.
The proposed regulation does not apply to testimony as an expert in
an adversarial proceeding in which the United States is a party or has
an interest. Restrictions on testimony, and exceptions thereof, are
prescribed in 18 U.S.C. 207(j)(6).
III. Regulatory Review
A. Executive Order 12866
This proposed rule has been determined not to be a significant
regulatory action under Executive Order 12866, ``Regulatory Planning
and Review,'' 58 FR 51735 (October 4, 1993). Accordingly, this action
was not subject to review under that Executive Order by the Office of
Information and Regulatory Affairs of the Office of Management and
Budget.
B. National Environmental Policy Act
DOE has determined that this proposed rule is covered under the
Categorical Exclusion found in DOE's National Environmental Policy Act
regulations at paragraph A.5 of Appendix A to Subpart D, 10 CFR Part
1021, which applies to rulemakings interpreting or amending an existing
rule that do not change the environmental effect thereof. Accordingly,
neither an environmental assessment nor an environmental impact
statement is required.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601, et seq.) requires
preparation of an initial regulatory flexibility analysis for any rule
that by law must be proposed for public comment, unless the agency
certifies that the rule, if promulgated, will not have a significant
economic impact on a substantial number of small entities. As required
by Executive Order 13272, ``Proper Consideration of Small Entities in
Agency Rulemaking,'' 67 FR 53461 (August 16, 2002), DOE published
procedures and policies on February 19, 2003, to ensure that the
potential impacts of its rules on small entities are properly
considered during the rulemaking process (68 FR 7990). DOE has made its
procedures and policies available on the Office of the General
Counsel's Web site: http://www.gc.doe.gov.
DOE has reviewed this proposed rule under the provisions of the
Regulatory Flexibility Act and the procedures and policies published on
February 19, 2003. The proposed rule will only affect individuals who
were formerly employed by the executive branch of the Federal
government if they want to communicate with DOE on scientific or
technological matters. On the basis of the foregoing, DOE certifies
that this proposed rule would not have a
[[Page 72750]]
significant economic impact on a substantial number of small entities.
Accordingly, DOE has not prepared a regulatory flexibility analysis for
this rulemaking. DOE's certification and supporting statement of
factual basis will be provided to the Chief Counsel for Advocacy of the
Small Business Administration pursuant to 5 U.S.C. 605(b).
D. Paperwork Reduction Act
No new record keeping requirements subject to the Paperwork
Reduction Act, 44 U.S.C. 3501, et seq., are imposed by this proposed
rule.
E. Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995, Public Law No. 104-4,
generally requires Federal agencies to examine closely the impacts of
regulatory actions on State, local, and tribal governments. Subsection
101(5) of title I of that law defines a Federal intergovernmental
mandate to include any regulation that would impose upon State, local,
or tribal governments an enforceable duty, except a condition of
Federal assistance or a duty arising from participating in a voluntary
federal program. Title II of that law requires each Federal agency to
assess the effects of Federal regulatory actions on State, local, and
tribal governments, in the aggregate, or to the private sector, other
than to the extent such actions merely incorporate requirements
specifically set forth in a statute. Section 202 of that title requires
a Federal agency to perform a detailed assessment of the anticipated
costs and benefits of any rule that includes a Federal mandate which
may result in costs to State, local, or tribal governments, or on the
private sector, of $100 million or more in any one year (adjusted
annually for inflation). 2 U.S.C. 1532(a) and (b). Section 204 of that
title requires each agency that proposes a rule containing a
significant Federal intergovernmental mandate to develop an effective
process for obtaining meaningful and timely input from elected officers
of State, local, and tribal governments. 2 U.S.C. 1534.
This proposed rule would apply only to former executive branch
employees who want to communicate with DOE on scientific or
technological matters. It would not result in the expenditure by State,
local, and tribal governments in the aggregate, or by the private
sector, of $100 million or more in any one year. Accordingly, this
proposed rule would not impose a Federal mandate on State, local, or
tribal governments or on the private sector.
F. Treasury and General Government Appropriations Act, 1999
Section 654 of the Treasury and General Government Appropriations
Act of 1999, Public Law No. 105-277, requires Federal agencies to issue
a Family Policymaking Assessment for any proposed rule that may affect
family well being. The proposed rule would not have any impact on the
autonomy or integrity of the family as an institution. Accordingly, DOE
has concluded that it is unnecessary to prepare a Family Policymaking
Assessment.
G. Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4,
1999), imposes certain requirements on agencies formulating and
implementing policies or regulations that preempt State law or that
have federalism implications. Agencies are required to examine the
constitutional and statutory authority supporting any action that would
limit the policymaking discretion of the States and carefully assess
the necessity for such actions. DOE has examined this proposed rule and
has determined that it would not preempt State law and would not have a
substantial direct effect on the States, on the relationship between
the Federal government and the States, or on the distribution of power
and responsibilities among the various levels of government. No further
action is required by Executive Order 13132.
H. Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of Executive Order 12988,
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on
Executive agencies the general duty to adhere to the following
requirements: (1) Eliminate drafting errors and ambiguity; (2) write
regulations to minimize litigation; and (3) provide a clear legal
standard for affected conduct rather than a general standard and
promote simplification and burden reduction. With regard to the review
required by section 3(a), section 3(b) of Executive Order 12988
specifically requires that Executive agencies make every reasonable
effort to ensure that the regulation: (1) Clearly specifies the
preemptive effect, if any; (2) clearly specifies any effect on existing
Federal law or regulation; (3) provides a clear legal standard for
affected conduct while promoting simplification and burden reduction;
(4) specifies the retroactive effect, if any; (5) adequately defines
key terms; and (6) addresses other important issues affecting clarity
and general draftsmanship under any guidelines issued by the Attorney
General. Section 3(c) of Executive Order 12988 requires Executive
agencies to review regulations in light of applicable standards in
section 3(a) and section 3(b) to determine whether they are met or it
is unreasonable to meet one or more of them. DOE has completed the
required review and determined that, to the extent permitted by law,
the proposed rule meets the relevant standards of Executive Order
12988.
I. Treasury and General Government Appropriations Act, 2001
The Treasury and General Government Appropriations Act, 44 U.S.C.
3516 note (2001), provides for agencies to review most disseminations
of information to the public under guidelines established by each
agency pursuant to general guidelines issued by OMB.
OMB's guidelines were published at 67 FR 8452 (February 22, 2002),
and DOE's guidelines were published at 67 FR 62446 (October 7, 2002).
DOE has reviewed this proposed rule in accordance with the OMB and DOE
guidelines and has concluded that it is consistent with applicable
policies in those guidelines.
J. Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001), requires Federal agencies to prepare and submit to the
OMB a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that: (1) Is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy, or (3) is designated by the Administrator of the Office of
Information and Regulatory Policy as a significant energy action. For
any proposed significant energy action, the agency must give a detailed
statement of any adverse effects on energy supply, distribution, or use
should the proposal be implemented, and of reasonable alternatives to
the action and their expected benefits on energy supply, distribution,
and use. This regulatory action would not have a significant adverse
effect on the supply, distribution, or use of energy and is therefore
not a significant energy action.
[[Page 72751]]
Accordingly, DOE has not prepared a Statement of Energy Effects.
IV. Approval of the Office of the Secretary
The Secretary of Energy has approved the issuance of this notice of
proposed rulemaking.
List of Subjects in 10 CFR Part 1010
Conduct standards, Conflicts of interest, Ethical conduct,
Government employees.
Issued in Washington, DC, on November 20, 2008.
David R. Hill,
General Counsel.
For the reasons stated in the preamble, DOE proposes to amend
chapter X of Title 10 of the Code of Federal Regulations as set forth
below:
PART 1010--CONDUCT OF EMPLOYEES AND FORMER EMPLOYEES
1. The authority citation for part 1010 is revised to read as
follows:
Authority: 5 U.S.C. 301, 303, 7301; 5 U.S.C. App. (Ethics in
Government Act); 5 U.S.C. App. (Inspector General Act of 1978); E.O.
12674, 54 FR 15159, 3 CFR, 1989 Comp., p. 215, as modified by E.O.
12731, 55 FR 42547, 3 CFR, 1990 Comp., p. 306; 5 CFR 2635.105; 18
U.S.C. 207, 208.
2. The heading to Part 1010 is revised as set forth above.
3. Sections 1010.101 through 1010.104 are designated as Subpart A
and the heading is added to read as set forth below:
Subpart A--Conduct of Employees
* * * * *
Sec. 1010.101 [Amended]
4. Section 1010.101 is amended by removing the word ``part,'' and
adding the word ``subpart'' in its place.
5. A new Subpart B is added to Part 1010 to read as follows:
Subpart B--Procedures for Exemption of Scientific and Technological
Information Communications From Post-Employment Restrictions
Sec.
1010.201 Purpose and scope.
1010.202 Definitions.
1010.203 Procedures for review and approval of requests.
Sec. 1010.201 Purpose and scope.
(a) This subpart sets forth criteria for the types of
communications on scientific or technological matters permitted under
18 U.S.C. 207(j)(5) by defining the term ``scientific or technological
information.'' This subpart also establishes the procedures for
receiving and approving requests from former employees of the executive
branch to make such communications to DOE.
(b) This subpart applies to any former employee of the executive
branch subject to the post-employment conflict of interest restrictions
in 18 U.S.C. 207(a), (c), and (d), who wishes to communicate with DOE
under the exemption in 18 U.S.C. 207(j)(5) for the purpose of
furnishing scientific or technological information to DOE offices or
officials.
(c) This subpart does not apply to a former DOE employee's
testimony as an expert in an adversarial proceeding in which the United
States is a party or has a direct and substantial interest.
Sec. 1010.202 Definitions.
For purposes of this subpart:
(a) Agency designee refers to an individual serving in a position
in DOE requiring appointment by the President of the United States with
the advice and consent of the Senate.
(b) Authorized communication means any transmission of scientific
or technological information to any DOE office or official that is
approved by DOE under Sec. 1010.203 of this subpart.
(c) DOE refers to the U.S. Department of Energy.
(d) Scientific or technological information includes:
(1) Information of a scientific or technological nature, including,
but not limited to, technical or engineering information relating to
the natural sciences;
(2) Information in meritorious or convincing scientific or
technological proposals;
(3) Information that informs Federal officials of the significance
of other scientific or technological alternatives that could impact the
validity, usefulness, or ability to measure the completeness of the
data supplied on those alternatives; or
(4) Information regarding the feasibility, risk, cost, or speed of
implementation of a DOE project or program when necessary to appreciate
fairly the practical significance of the information.
Sec. 1010.203 Procedures for review and approval of requests.
(a) Any former employee of the executive branch subject to the
constraints of the post-employment restrictions of 18 U.S.C. 207(a),
(c), and (d) who wishes to communicate scientific or technological
information to DOE must contact the DOE office with which the former
employee wishes to communicate and request authorization to make such
communication. This request must address, in detail, information
regarding each of the factors set forth in paragraphs (c)(1) through
(c)(6) and (c)(8) of this section.
(b) In consultation with the Designated Agency Ethics Official
(DAEO), the agency designee must advise the former employee in writing
whether the proposed communication is an authorized communication. This
authority cannot be delegated.
(c) In deciding whether a proposed communication is an authorized
communication, the agency designee receiving the request and the DAEO
must consider the following factors:
(1) Whether the former employee has relevant scientific or
technical qualifications;
(2) Whether the former employee has qualifications that are
otherwise unavailable;
(3) The nature of the scientific or technological information to be
conveyed;
(4) The former employee's position prior to termination;
(5) The extent of the former employee's involvement in the matter
at issue during his or her employment, including:
(i) The former employee's involvement in the same particular matter
involving specific parties;
(ii) The time elapsed since the former employee's participation in
such matter; and
(iii) The offices within the Federal department or agency involved
in the matter both during the former employee's period of employment in
the executive branch and at the time the request is being made;
(6) The existence of pending or anticipated matters before the
Federal government from which the former employee or his or her current
employer may financially benefit, including contract modifications,
grant applications, and proposals; and
(7) Whether DOE's interests would be served by allowing the
proposed communication; and
(8) Any other information relevant to deciding if there is an
intent to influence a decision or action of DOE.
[FR Doc. E8-28267 Filed 11-28-08; 8:45 am]
BILLING CODE 6450-01-P