[Unified Agenda of Federal Regulations]
[Office of Government Ethics Semiannual Regulatory Agenda]
[From the U.S. Government Printing Office, www.gpo.gov]
_______________________________________________________________________
Part XXXIII
Office of Government Ethics
_______________________________________________________________________
Semiannual Regulatory Agenda
=======================================================================
OFFICE OF GOVERNMENT ETHICS (OGE)
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS
5 CFR Ch. XVI
Semiannual Regulatory Agenda, April 1994
AGENCY: Office of Government Ethics.
ACTION: Semiannual agenda of substantive regulations.
_______________________________________________________________________
SUMMARY: The following Office of Government Ethics (OGE) substantive
regulations are scheduled for development or review during the period
from April 1, 1994, through March 31, 1995. This agenda fulfills OGE's
responsibility to publish a semiannual regulatory agenda under
Executive Order 12866 ``Regulatory Planning and Review'' and has been
prepared in accordance with guidance received from the Office of
Management and Budget. None of the OGE regulations in this April 1994
agenda will have a significant economic impact on a substantial number
of small entities as defined under the Regulatory Flexibility Act, 5
U.S.C. chapter 6. In addition, none of the listed OGE regulatory
actions are procurement-related. Since E.O. 12866 is so recent, most of
OGE's responses thereunder, as indicated in this agenda, are
``undetermined'' because a decision has not yet been reached with the
Office of Management and Budget as to their status. Furthermore, the
organizational and procedural rules of OGE are not listed herein.
This publication in the Federal Register does not impose a
binding obligation on the Office of Government Ethics with respect
to any particular item on its agenda. The dates shown for the
future steps of each action are estimates and not commitments to
act by the date shown. Moreover, other substantive OGE regulatory
actions, in addition to the entries listed, are not precluded.
FOR FURTHER INFORMATION CONTACT: William E. Gressman, Office of
Government Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC
20005-3917; telephone: (202) 523-5757, extension 1110; FAX: (202) 523-
6325.
Approved: March 3, 1994.
Stephen D. Potts,
Director, Office of Government Ethics.
Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identifier
Number Number
----------------------------------------------------------------------------------------------------------------
4292 Standards of Ethical Conduct for Employees of the Executive Branch.................... 3209-AA04
4293 Interpretation of 18 USC 209, the Constraint Against Private Supplementation of
Salaries of Executive Branch Officials and Employees.................................. 3209-AA12
4294 Interpretation, Exemptions, and Waiver Guidance Concerning 18 USC 208 (Acts Affecting
a Personal Financial Interest)........................................................ 3209-AA09
----------------------------------------------------------------------------------------------------------------
Final Rule Stage
----------------------------------------------------------------------------------------------------------------
Regulation
Sequence Title Identifier
Number Number
----------------------------------------------------------------------------------------------------------------
4295 Financial Disclosure, Qualified Trusts, and Certificates of Divestiture for Executive
Branch Employees...................................................................... 3209-AA00
4296 Public Financial Disclosure, Conflicts of Interest, and Certificates of Divestiture
for Executive Branch Officials........................................................ 3209-AA06
4297 Executive Agency Supplemental Financial Disclosure Regulations Issued Jointly With the
Concurrence of the Office of Government Ethics........................................ 3209-AA16
4298 Executive Agency Supplemental Standards of Ethical Conduct Regulations Issued Jointly
With the Concurrence of the Office of Government Ethics............................... 3209-AA15
4299 Limitations on Outside Employment and Prohibition of Honoraria; Confidential Reporting
of Payments to Charities in Lieu of Honoraria......................................... 3209-AA13
4300 Executive Agency Ethics Training Programs............................................. 3209-AA07
4301 Post-Employment Conflict of Interest Restrictions..................................... 3209-AA14
----------------------------------------------------------------------------------------------------------------
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Proposed Rule Stage
_______________________________________________________________________
4292. STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES OF THE EXECUTIVE BRANCH
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC 7301; 5 USC 7351; 5 USC 7353; 5 USC app (Ethics
in Government Act of 1978); EO 12674; EO 12731
CFR Citation: 5 CFR 2635 (New & Revision)
Legal Deadline: None
Abstract: Regulation implementing certain provisions of Executive Order
12674 on Principles of Ethical Conduct, as modified by EO 12731, and
the Ethics Reform Act of 1989 (Pub. L. 101-194), as amended. Effective
February 3, 1993, this new ethical conduct standards regulation
superseded executive branch employee conduct and gifts rules of prior 5
CFR part 735, subparts A (except old section 735.106, separately
superseded along with Subpart D thereof -- see RIN 3209-AA00), B, and
C, and the interim gifts rule at old 5 CFR 2635.101, as well as
pertinent portions of agency conduct regulations issued thereunder. For
certain existing agency standards setting forth financial interest
prohibitions and prior approval for outside employment/activities, an
extended grace period is in effect until February 3, 1995, or until
individual concerned agencies issue supplemental regulations, with
Office of Government Ethics concurrence.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
NPRM 07/23/91 56 FR 33778
NPRM Comment Period End 09/20/91
Final Overall Regulation on
Standards of Ethical Conduct 08/07/92 57 FR 35006
Correction 10/27/92 57 FR 48557
Correction 11/04/92 57 FR 52583
5 CFR 2635.403(a) and 2635.803
Grace Period Extension 02/02/94 59 FR 4779
NPRM on Widely Attended
Gatherings and Gifts From
Political Organizations 06/00/94
NPRM on Participation in
Professional Associations 08/00/95
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: Leslie L. Wilcox, Associate General Counsel, Office of
Government Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC
20005-3917, 202 523-5757
RIN: 3209-AA04
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Proposed Rule Stage
_______________________________________________________________________
4293. INTERPRETATION OF 18 USC 209, THE CONSTRAINT AGAINST PRIVATE
SUPPLEMENTATION OF SALARIES OF EXECUTIVE BRANCH OFFICIALS AND EMPLOYEES
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC app (Ethics in Government Act of 1978, title
IV); EO 12674; EO 12731
CFR Citation: 5 CFR 2639 (New)
Legal Deadline: None
Abstract: Proposed regulation to interpret section 209 of title 18,
U.S.C., prohibiting the private supplementation of the Government
salary of executive branch officers and employees.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
NPRM 06/00/95
NPRM Comment Period End 08/00/95
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: Stephen J. McCleary, Associate General Counsel, Office
of Government Ethics, Suite 500, 1201 New York Avenue NW., Washington,
DC 20005-3917, 202 523-5757
RIN: 3209-AA12
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Proposed Rule Stage
_______________________________________________________________________
4294. INTERPRETATION, EXEMPTIONS, AND WAIVER GUIDANCE CONCERNING 18 USC
208 (ACTS AFFECTING A PERSONAL FINANCIAL INTEREST)
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 18 USC 208; 5 USC app (Ethics in Government Act of
1978, title IV); EO 12674; EO 12731
CFR Citation: 5 CFR 2640 (New)
Legal Deadline: None
Abstract: Proposed regulation will interpret section 208(a) of title
18, U.S.C., which prohibits officers and employees of the executive
branch from officially participating personally and substantially in a
particular matter in which there is a personal financial interest or a
financial interest of a related person or organization (absent a waiver
under 18 U.S.C. 208(b)). It will also list and describe interests which
are considered to be too remote or too inconsequential to affect the
integrity of the services of executive branch officers or employees, in
accordance with 18 U.S.C. 208(b)(2). Such interests will be exempt from
the restrictions of 18 U.S.C. 208(a), generally requiring
disqualification. The proposed regulation will also provide guidance to
executive branch agencies as to the kinds of interests that are not so
substantial as to be deemed likely to affect the integrity of the
services the Government may expect from an employee and which,
therefore, may be waived from the general rule of disqualification
under 18 U.S.C. 208(a) pursuant to 18 U.S.C. 208(b)(1). In addition,
guidance will be (cont)
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
NPRM 08/00/94
NPRM Comment Period End 10/00/94
Small Entities Affected: None
Government Levels Affected: Federal
Additional Information: ABSTRACT CONT: provided concerning the issuance
of waivers to special Government employee advisory committee members
pursuant to 18 U.S.C. 208(b)(3).
Agency Contact: Marilyn L. Glynn, Associate General Counsel, Office of
Government Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC
20005-3917, 202 523-5757
RIN: 3209-AA09
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Final Rule Stage
_______________________________________________________________________
4295. FINANCIAL DISCLOSURE, QUALIFIED TRUSTS, AND CERTIFICATES OF
DIVESTITURE FOR EXECUTIVE BRANCH EMPLOYEES
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC app (Ethics in Government Act of 1978); 26 USC
1043; EO 12674; EO 12731
CFR Citation: 5 CFR 2634 (New & Revision); 5 CFR 735.106 (Revision); 5
CFR 735.401 to 735.412 (Revision)
Legal Deadline: None
Abstract: Regulation revising the executive branch public and
confidential financial disclosure report systems for high-level
officials and certain mid-level employees, respectively, in light of
the changes to the Ethics in Government Act effected by the Ethics
Reform Act of 1989 (Pub. L. 101-194), as amended. The new disclosure
provisions apply to public reports filed since January 1, 1991. Subpart
I of the regulation has, effective October 5, 1992, superseded prior 5
CFR part 735, subpart D (and 5 CFR 735.106), along with executive
agency regulations thereunder, and established a revised system of
confidential reporting, modeled generally on the public reporting
system, for executive branch agency mid-level employees with sensitive
duties and special Government employees.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
NPRM 12/02/86 51 FR 43359
Interim Final Rule 04/07/92 57 FR 11800
Correction 05/22/92 57 FR 21854
Correction 12/31/92 57 FR 62605
Revised Interim Final Rule 07/21/93 58 FR 38911
Proposed Amendment to Interim
Final Rule 09/01/93 58 FR 46096
Technical Amendments to Interim
Final Rule 11/30/93 58 FR 63023
Technical (Paperwork) Amendments
to Interim Final Rule 06/00/94
Final Action 02/00/95
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: G. Sid Smith, Associate General Counsel, Office of
Government Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC
20005-3917, 202 523-5757
RIN: 3209-AA00
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Final Rule Stage
_______________________________________________________________________
4296. PUBLIC FINANCIAL DISCLOSURE, CONFLICTS OF INTEREST, AND
CERTIFICATES OF DIVESTITURE FOR EXECUTIVE BRANCH OFFICIALS
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC app (Ethics in Government Act of 1978); 26 USC
1043
CFR Citation: 5 CFR 2634.1001 to 2634.1004
Legal Deadline: None
Abstract: Regulation implementing a provision of the Ethics Reform Act
of 1989 (Pub. L. 101-194), as amended by Pub. L. 101-280, providing for
tax deferral if sale of property by an executive branch official (or
related person) is deemed necessary to comply with conflict of interest
requirements pursuant to a certificate of divestiture issued by the
Office of Government Ethics.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
Interim Final Rule 04/18/90 55 FR 14407
Final Action 06/00/95
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: Norman B. Smith, Senior Associate General Counsel,
Office of Government Ethics, Suite 500, 1201 New York Avenue NW.,
Washington, DC 20005-3917, 202 523-5757
RIN: 3209-AA06
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Final Rule Stage
_______________________________________________________________________
4297. EXECUTIVE AGENCY SUPPLEMENTAL FINANCIAL DISCLOSURE REGULATIONS
ISSUED JOINTLY WITH THE CONCURRENCE OF THE OFFICE OF GOVERNMENT ETHICS
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC 7301; 5 USC app (Ethics in Government Act of
1978); 26 USC 1043; EO 12674; EO 12731; 5 CFR 2634.104
CFR Citation: 5 CFR 2634; 5 CFR ch XXI et seq
Legal Deadline: None
Abstract: The supplemental executive agency financial disclosure
regulations, once issued jointly with the concurrence of the Office of
Government Ethics (OGE) at agency expense in new chapters at the end of
5 CFR, after OGE approval, supplement for each individual agency
concerned the new OGE executive branch financial disclosure
regulations, as codified in 5 CFR part 2634. The supplemental
regulations, as they are issued in accordance with sections 201(d) and
301(a) of EO 12674, as modified by EO 12731, will set forth those
agency-specific provisions as are needed under particular laws and
regulations for certain agencies in order to complement the executive
branchwide financial disclosure provisions.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
Final Action 06/00/96
FDIC Employees (5 CFR Ch. XXII) Interim Final Rule 07/26/93 (58 FR
39625)
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: G. Sid Smith, Associate General Counsel, Office of
Government Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC
20005-3917, 202 523-5757
RIN: 3209-AA16
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Final Rule Stage
_______________________________________________________________________
4298. EXECUTIVE AGENCY SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT
REGULATIONS ISSUED JOINTLY WITH THE CONCURRENCE OF THE OFFICE OF
GOVERNMENT ETHICS
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC 7301; 5 USC app (Ethics in Government Act of
1978); EO 12674; EO 12731; 5 CFR 2635.105
CFR Citation: 5 CFR 2635; 5 CFR ch XXI et seq
Legal Deadline: None
Abstract: The supplemental executive agency standards of ethical
conduct regulations, once issued jointly with the concurrence of the
Office of Government Ethics (OGE) at agency expense in new chapters at
the end of 5 CFR, after OGE approval, supplement for each individual
agency concerned the new OGE executive branch standards of ethical
conduct, as codified at 5 CFR part 2635. The supplemental regulations,
as they are issued in accordance with section 201(a) and 301(a) of EO
12674, as modified by EO 12731, will set forth those agency-specific
provisions under applicable law and regulation, such as restrictions on
holding certain financial interests and designation of departmental
subunits, which are needed for certain agencies to round out the
executive branchwide ethical standards for employees of particular
departments and agencies.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
5 CFR 2635.403(a) and 2635.803
Grace Period Extension 02/02/94 59 FR 4779
Final Action 06/00/96
CFTC Employees (5 CFR Ch. XLI) Final Rule 10/12/93 (58 FR 52637)
DoD Employees (5 CFR Ch. XXVI) Interim Final Rule 09/10/93 (58 FR
47619)
FTC Employees (5 CFR Ch. XLVII) Interim Final Rule 05/27/93 (58 FR
30695)
ICC Employees (5 CFR Ch. XL) Final Rule 08/06/93 (58 FR 41989)
OPIC Employees (5 CFR Ch. XXXIII) Interim Final Rule 06/17/93 (58 FR
33319)
PRC Employees (5 CFR Ch. XLVI) Final Rule 08/12/93 (58 FR 42839)
Treasury Employees (5 CFR Ch. XXI) NPRM 08/03/93 (58 FR 41193)
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: Leslie L. Wilcox, Associate General Counsel, Office of
Government Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC
20005-3917, 202 523-5757
RIN: 3209-AA15
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Final Rule Stage
_______________________________________________________________________
4299. LIMITATIONS ON OUTSIDE EMPLOYMENT AND PROHIBITION OF HONORARIA;
CONFIDENTIAL REPORTING OF PAYMENTS TO CHARITIES IN LIEU OF HONORARIA
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC app (Ethics in Government Act of 1978); EO
12674; EO 12671
CFR Citation: 5 CFR 2636
Legal Deadline: None
Abstract: Regulation implementing, effective January 1, 1991, the
prohibition on honoraria as well as the new limitations on outside
employment, as provided in the 1989 Ethics Reform Act revisions to the
Ethics in Government Act, as since amended. A separate provision (not
yet effective) of the regulation will govern reports by certain
executive branch officials of payments, in lieu of honoraria, donated
on their behalf to charities.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
Interim Final Rule 01/17/91 56 FR 1721
Deferral of Effective Date of 5
CFR 2636.205 05/10/91 56 FR 21589
Deferral of Effective Date of 5
CFR 2636.205 10/11/91 56 FR 51319
Revision of Honorarium
Definition in 5 CFR 2636.203(a) 01/08/92 57 FR 601
Deferral of Effective Date of 5
CFR 2636.205 02/14/92 57 FR 5369
Technical Correction to Interim
Final Rule 12/30/93 58 FR 69176
Make 5 CFR 2636.205 Effective
and Revise Section 07/00/94
Amendments to Interim Final Rule10/00/94
Final Action 06/00/95
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: Leslie L. Wilcox, Associate General Counsel, Office of
Government Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC
20005-3917, 202 523-5757
RIN: 3209-AA13
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Final Rule Stage
_______________________________________________________________________
4300. EXECUTIVE AGENCY ETHICS TRAINING PROGRAMS
Legal Authority: 5 USC app (Ethics in Government Act of 1978); EO
12674; EO 12731
CFR Citation: 5 CFR 2638.701 to 2638.704 (New)
Legal Deadline: None
Abstract: Regulation specifying the responsibilities of executive
branch agencies and their designated agency ethics officials to develop
and implement orientation and annual ethics training courses and to
distribute appropriate guidance materials to their employees under
sections 301(b) and (c) of E.O. 12674, as modified by E.O. 12731. Also
requires agencies to submit annual ethics training plans to the Office
of Government Ethics for review.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
NPRM 09/18/90 55 FR 38335
NPRM Comment Period End 11/17/90
Final Rule on Executive Agency
Ethics Training Programs 04/07/92 57 FR 11886
Correction 04/27/92 57 FR 15219
Amendment 12/10/92 57 FR 58399
Correction 12/28/92 57 FR 61612
Interim Amendments to Liberalize
Certain Training Requirements 03/16/94 59 FR 12145
Interim Final Rule Comment
Period End 05/16/94 59 FR 12145
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: John C. Condray, Attorney Advisor, Office of Government
Ethics, Suite 500, 1201 New York Avenue NW., Washington, DC 20005-3917,
202 523-5757
RIN: 3209-AA07
_______________________________________________________________________
_______________________________________________________________________
OFFICE OF GOVERNMENT ETHICS (OGE) Final Rule Stage
_______________________________________________________________________
4301. POST-EMPLOYMENT CONFLICT OF INTEREST RESTRICTIONS
Significance:
Subject to OMB review: Undetermined
Economically significant: Undetermined
Regulatory Plan entry: Undetermined
Legal Authority: 5 USC app (Ethics in Government Act of 1978, secs 402
& 404); 18 USC 207; EO 12674; EO 12731
CFR Citation: 5 CFR 2641; 5 CFR 2637 (Continuation)
Legal Deadline: None
Abstract: Interpretive regulation giving guidance for the executive
branch on the various substantive restrictions of the current version
of the post-Government employment conflict of interest statute 18
U.S.C. 207, which became effective January 1, 1991, pursuant to title I
of the Ethics Reform Act of 1989 (Pub. L. 101-194), as amended. Parts
of the regulation, dealing with procedures for waivers by the Office of
Government Ethics of certain senior official constraints (based on
executive agency hardship), designated senior employees, and separate
agency designations, have already been published in the Federal
Register. The Office of Government Ethics also has continued to publish
in the CFR the interpretive regulation, 5 CFR part 2637 (but now
without the no-longer-effective former Senior Employee and old agency
component designation listings), under the lifetime bar of the prior
version of the post-employment law which still applies to executive
branch employees who left the Government before January 1, 1991. Once a
complete current post-employment law regulation is published, the old
part 2637 regulation will be removed from the CFR.
Timetable:
_________________________________________________________________________
Action Date FR Cite
_________________________________________________________________________
Interim Final Rule 02/01/91 56 FR 3951
Designation of Senior Employees
and Separate Agency Components 01/28/92 57 FR 3115
Designation of Additional
Separate Agency Component 04/07/92 57 FR 11673
Amendment to Prior Post-
employment Regulation (Part
2637) 12/31/92 57 FR 62467
Amendment to Interim Final Rule
(Part 2641) 06/21/93 58 FR 33755
Technical Amendment to Authority
Citation of 5 CFR Part 2637 12/30/93 58 FR 69176
Interim Final Rule 08/00/94
Small Entities Affected: None
Government Levels Affected: Federal
Agency Contact: Julia Loring Eirinberg, Associate General Counsel,
Office of Government Ethics, Suite 500, 1201 New York Avenue NW.,
Washington, DC 20005-3917, 202 523-5757
RIN: 3209-AA14
[FR Doc. 94-6363 Filed 04-22-94; 8:45 am]
BILLING CODE 6345-01-F