Supplemental Standards of Ethical Conduct for Employees of the U.S. Office of Special Counsel

CourtSpecial Counsel Office
Citation86 FR 29931
Record Number2021-11720
SectionRules and Regulations
Published date04 June 2021
Federal Register, Volume 86 Issue 106 (Friday, June 4, 2021)
[Federal Register Volume 86, Number 106 (Friday, June 4, 2021)]
                [Rules and Regulations]
                [Pages 29931-29932]
                From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
                [FR Doc No: 2021-11720]
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                Rules and Regulations
                 Federal Register
                ________________________________________________________________________
                This section of the FEDERAL REGISTER contains regulatory documents
                having general applicability and legal effect, most of which are keyed
                to and codified in the Code of Federal Regulations, which is published
                under 50 titles pursuant to 44 U.S.C. 1510.
                The Code of Federal Regulations is sold by the Superintendent of Documents.
                ========================================================================
                Federal Register / Vol. 86, No. 106 / Friday, June 4, 2021 / Rules
                and Regulations
                [[Page 29931]]
                 OFFICE OF SPECIAL COUNSEL
                5 CFR Chapter CII
                RIN 3209-AA53
                Supplemental Standards of Ethical Conduct for Employees of the
                U.S. Office of Special Counsel
                AGENCY: U.S. Office of Special Counsel (OSC).
                ACTION: Final rule.
                -----------------------------------------------------------------------
                SUMMARY: The U.S. Office of Special Counsel, with the concurrence of
                the U.S. Office of Government Ethics (OGE), is finalizing a regulation
                for OSC employees that supplements the executive branch Standards of
                Ethical Conduct issued by OGE. The supplemental regulation requires OSC
                employees to seek prior approval before engaging in outside employment
                or activity.
                DATES: This final rule is effective June 4, 2021.
                FOR FURTHER INFORMATION CONTACT: Heidi R. Morrison, Alternate
                Designated Agency Ethics Official, U.S. Office of Special Counsel, by
                email at [email protected] or by telephone at (202) 804-7000.
                SUPPLEMENTARY INFORMATION:
                I. Background
                 On July 24, 2020, OSC, with OGE's concurrence, published a proposed
                rule in the Federal Register, 85 FR 44789, proposing to adopt agency
                specific supplemental regulations requiring OSC employees to obtain
                prior approval before engaging in outside employment or activity. The
                proposed rule provided a 30-day comment period, which ended on August
                24, 2020. During the comment period OSC received one comment from a
                member of the public.
                II. Analysis of Comment Received
                 The comment received strongly supported robust regulations
                requiring OSC employees be held ``to the highest ethical standards,''
                but did not otherwise address the substance of or suggest changes to
                the proposed rule. Therefore, for the reasons detailed in the preamble
                of the proposed rule, OSC, with the concurrence of OGE, is issuing this
                rule in final without changes.
                III. Matters of Regulatory Procedure
                Administrative Procedure Act (APA)
                 This action is taken under the Special Counsel's authority at 5
                U.S.C. 1212(e) to publish regulations in the Federal Register.
                Executive Order 12866 and Executive Order 13771
                 This rule is not a significant rule for purposes of Executive Order
                12866 and has not been reviewed by the Office of Management and Budget.
                This rule is not subject to the requirements of Executive Order 13771
                because this rule results in no more than de minimis costs.
                Regulatory Flexibility Act (RFA)
                 As required by the RFA, OSC certifies that this regulation will not
                have a significant economic impact on a substantial number of small
                entities.
                National Environmental Policy Act (NEPA)
                 This rule will have no physical impact upon the environment and
                therefore will not require any further review under the NEPA.
                Congressional Review Act (CRA)
                 This rule relates to agency personnel and does not substantially
                affect the rights or obligations of non-agency parties. Therefore, it
                does not meet the definition of a ``rule'' at 5 U.S.C. 804 and is not
                subject to the procedures of the CRA.
                Paperwork Reduction Act (PRA)
                 OSC has determined that the PRA does not apply because this
                regulation does not contain any information collection requirements
                that require the approval of the Office of Management and Budget.
                List of Subjects in 5 CFR Part 10201
                 Conflict of interests, Government employees.
                 Approved: May 27, 2021.
                Travis G. Millsaps,
                Deputy Special Counsel for Public Policy, U.S. Office of Special
                Counsel.
                Emory Rounds,
                Director, U.S. Office of Government Ethics.
                0
                For the reasons set forth in the preamble, the U.S. Office of Special
                Counsel, with the concurrence of OGE, is amending title 5 of the Code
                of Federal Regulations by adding a new chapter CII, consisting of part
                10201, to read as follows:
                Title 5--Administrative Personnel
                Chapter CII--U.S. Office of Special Counsel
                PART 10201--SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES
                OF THE U.S. OFFICE OF SPECIAL COUNSEL
                Sec.
                10201.101 General.
                10201.102 Prior approval for outside employment or activity.
                 Authority: 5 U.S.C. 1212(e); 5 U.S.C. 7301; 5 U.S.C. App.
                (Ethics in Government 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, 2635.803.
                Sec. 10201.101 General.
                 (a) Purpose. In accordance with 5 CFR 2635.105, the regulations in
                this part apply to employees of the U.S. Office of Special Counsel
                (OSC) and supplement the Standards of Ethical Conduct for Employees of
                the Executive Branch at 5 CFR part 2635.
                 (b) Other regulations, guidance, and procedures. In addition to the
                standards in 5 CFR part 2635 and this part, all OSC employees are
                required to comply with implementing guidance and procedures issued by
                OSC in accordance with 5 CFR 2635.105(c). OSC employees are also
                subject to all other government-wide regulations concerning executive
                branch ethics including without limitation, financial disclosure
                regulations contained in 5 CFR part 2634, regulations concerning
                financial interests contained in 5 CFR part 2640, post-employment
                conflict of interest restrictions contained in 5 CFR part 2641, outside
                earned income limitations and employment and affiliation restrictions
                applicable to certain noncareer employees contained in 5 CFR part 2636,
                and the regulations concerning executive branch employee
                [[Page 29932]]
                responsibilities and conduct contained in 5 CFR part 735.
                Sec. 10201.102 Prior approval for outside employment or activity.
                 (a) General requirement. Before engaging in any outside employment
                or activity, whether or not for compensation, an OSC employee must
                obtain written approval from the Designated Agency Ethics Official
                (DAEO) or the Alternate Designated Agency Ethics Official (ADAEO),
                except to the extent that OSC has issued an internal instruction
                pursuant to paragraph (d) of this section exempting certain employment
                or activities from this requirement.
                 Note 1 to paragraph (a). 18 U.S.C. 203(d) and 205(e) require
                special approval for certain representational activities in claims
                against the Federal Government and other matters affecting the
                interests of the government.
                 (b) Definition of ``outside employment or activity''. For purposes
                of this section, ``outside employment or activity'' means any form of
                non-Federal employment or business relationship involving the provision
                of services by the employee, whether for compensation or not for
                compensation. It includes, but is not limited to, serving as an
                officer, director, employee, agent, attorney, consultant, contractor,
                general partner, trustee, or teacher. The definition does not include
                participation in the activities of a nonprofit charitable, religious,
                professional, social, fraternal, educational, recreational, public
                service, or civic organization unless such activities involve the
                provision of professional services or advice, or are for compensation
                other than reimbursement of expenses.
                 Note 2 to paragraph (b). Employees who wish to engage in
                compensated speaking or writing in a personal capacity are subject to,
                among other things, the provisions of 5 CFR 2635.703 (concerning use of
                nonpublic information) and 5 CFR 2635.807 (concerning receipt of
                compensation for teaching, speaking, and writing related to one's
                duties), and are encouraged to seek guidance from an agency ethics
                official before engaging in such activities. Certain covered non-career
                employees are also subject to further restrictions on receipt of
                outside compensation pursuant to section 502 of the Ethics in
                Government Act (5 U.S.C. app.). In addition, OSC attorneys should
                consult their applicable state bar rules of professional conduct.
                 (c) Standard for approval. Approval shall be granted by the DAEO or
                ADAEO upon a determination that the outside employment or activity is
                not expected to involve conduct prohibited by statute or Federal
                regulation, including 5 CFR part 2635.
                 (d) Implementation guidance. The DAEO or ADAEO may issue internal
                instructions governing the submission of requests for approval of
                outside employment or activity. The instructions may exempt categories
                of employment or activities from the prior approval requirement of this
                section based on a determination that those categories generally would
                be approved and are not likely to involve prohibited conduct or create
                an appearance of lack of impartiality.
                [FR Doc. 2021-11720 Filed 6-3-21; 8:45 am]
                BILLING CODE 7405-01-P
                

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