96-18020. Supplemental Standards of Ethical Conduct for Employees of the Office of Personnel Management  

  • [Federal Register Volume 61, Number 137 (Tuesday, July 16, 1996)]
    [Rules and Regulations]
    [Pages 36993-36997]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 96-18020]
    
    
    
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    Federal Register / Vol. 61, No. 137 / Tuesday, July 16, 1996 / Rules 
    and Regulations
    
    [[Page 36993]]
    
    
    
    OFFICE OF PERSONNEL MANAGEMENT
    
    5 CFR Part 1001
    
    5 CFR Chapter XXXV
    
    RIN 3206-AG87, 3209-AA15
    
    
    Supplemental Standards of Ethical Conduct for Employees of the 
    Office of Personnel Management
    
    AGENCY: Office of Personnel Management (OPM).
    
    ACTION: Interim rule with request for comments.
    
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    SUMMARY: The Office of Personnel Management, with the concurrence of 
    the Office of Government Ethics (OGE), is issuing an interim rule for 
    employees of OPM that supplements the executive branch-wide Standards 
    of Ethical Conduct (Standards) issued by OGE. The interim rule contains 
    a notice requirement designed to ensure that OPM employees do not use 
    their official positions or nonpublic information to obtain an 
    advantage for themselves or for certain other persons on competitive 
    and other examinations relating to Federal service, and a requirement 
    for OPM employees to obtain prior approval before engaging in certain 
    types of outside activities. The Office of Personnel Management is also 
    repealing that portion of its internal standards of conduct regulations 
    that was retained on an interim basis pending issuance of its 
    supplemental regulations, and those portions of its internal standards 
    of conduct regulations that were superseded by the new Standards or by 
    the executive branch financial disclosure regulations issued by OGE. 
    The Office of Personnel Management is retaining in its internal 
    standards of conduct regulation a separate Privacy Act conduct code and 
    adding a cross-reference to ethics and other conduct-related statutes 
    and regulations.
    
    DATES: Interim rule effective July 16, 1996. Comments must be received 
    on or before August 15, 1996.
    
    ADDRESSES: Send comments to: Lorraine Lewis, General Counsel, Office of 
    Personnel Management, Room 7353, Theodore Roosevelt Building, 1900 E 
    Street, NW., Washington, DC 20415.
    
    FOR FURTHER INFORMATION CONTACT: Nancy Lee Gregg, Alternate Designated 
    Agency Ethics Official, Office of the General Counsel, Office of 
    Personnel Management, (202) 606-1701.
    
    SUPPLEMENTARY INFORMATION:
    
    I. Background
    
        On August 7, 1992, OGE published new Standards of Ethical Conduct 
    for Employees of the Executive Branch. See 57 FR 35006-35067, as 
    corrected at 57 FR 48557, 57 FR 52583, and 60 FR 51667, with additional 
    grace period extensions for certain existing provisions at 59 FR 4779-
    4780, 60 FR 6390-6391, and 60 FR 66857-66858. The Standards, codified 
    at 5 CFR part 2635 and effective February 3, 1993, established uniform 
    standards of ethical conduct that apply to all executive branch 
    personnel. With the concurrence of OGE, 5 CFR 2635.105 authorizes 
    executive branch agencies to publish agency-specific supplemental 
    regulations necessary to implement their respective ethics programs. 
    The Office of Personnel Management, with OGE's concurrence, has 
    determined that the following supplemental regulations, being codified 
    in new 5 CFR chapter XXXV, consisting of part 4501, are necessary in 
    light of OPM's unique programs and operations for the successful 
    implementation of OPM's ethics program.
        The Office of Personnel Management is simultaneously repealing the 
    provisions of its internal employee responsibilities and conduct 
    regulations in 5 CFR part 1001 which have already been superseded or 
    which will be superseded upon issuance of these supplemental 
    regulations, and is replacing those provisions with a new section that 
    provides cross-references to 5 CFR part 2635 and other precepts that 
    pertain to employee conduct. A Privacy Act conduct code is also being 
    retained.
    
    II. Analysis of the Regulations
    
    Section 4501.101  General
    
        Section 4501.101 explains that the regulations apply to all OPM 
    employees and supplement the executive branch-wide Standards in 5 CFR 
    part 2635. Section 4501.101 also provides a cross-reference to the 
    executive branch employee responsibilities and conduct regulations 
    contained in 5 CFR part 735, the OPM employee responsibilities and 
    conduct regulations in 5 CFR part 1001, the executive branch-wide 
    financial disclosure regulations contained in 5 CFR part 2634, and the 
    executive branch-wide regulation regarding outside employment at 5 CFR 
    part 2636.
    
    Section 4501.102  Examination Information
    
        Section 4501.102 supplements the prohibitions on use of public 
    office for private gain at 5 CFR 2635.702 and the prohibitions on use 
    of nonpublic information at 5 CFR 2635.703.
        Under Sec. 4501.102(a), an OPM employee who takes part in the 
    construction of written tests or other assessment devices, has access 
    to such material, or is involved in the examination rating process must 
    notify his or her supervisor before filing to take a competitive 
    examination, an internal competitive examination or an Armed Services 
    entrance examination. Supervisory notification is also required when an 
    employee knows that the employee's spouse, minor child, or business 
    general partner intends to take such an examination.
        As indicated by the supervisory responsibilities set forth in 
    paragraph (b) of Sec. 4501.102, the purpose of the notification 
    requirement is to ensure, either by the assignment of official duties 
    that will not place the employee in contact with information relating 
    to the examination to be taken or by substituting an examination about 
    which the employee does not have information, that the employee does 
    not have knowledge of questions on, answers to, or methods of scoring 
    the test or other assessment device in issue. Proper exercise of these 
    supervisory responsibilities will foreclose the possibility of any 
    suggestion that an OPM employee who has a role in devising tests or 
    other assessment devices has profited unfairly, or that the employee's 
    spouse, minor child, or general partner has profited unfairly,
    
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    from possible use of nonpublic information or other knowledge gained in 
    the course of the employee's official duties. It also protects the 
    integrity of the examination process and ensures that the prospects of 
    others subject to that process are not diminished by any OPM employee's 
    use of nonpublic information or use of public office for private gain.
        The examination information provisions of Sec. 4501.102 are similar 
    to, but more specific than, those which had been in effect under OPM's 
    employee responsibilities and conduct regulations at 5 CFR 1001.735-
    206, which is now being repealed (see below). Whereas Sec. 1001.735-206 
    had imposed the notice requirement on all OPM employees, Sec. 4501.102 
    applies only to those OPM employees who have some direct connection 
    with the examination process.
    
    Section 4501.103  Prior Approval for Certain Outside Activities
    
        Under 5 CFR 2635.803, agencies may, by supplemental regulations, 
    require employees to obtain approval before engaging in outside 
    employment and activities. Under 5 CFR 1001-735.203, which is now being 
    revoked, OPM employees have long been required to provide notice of, or 
    obtain approval for, proposed outside employment and activity under a 
    variety of circumstances. OPM has found this requirement useful in 
    ensuring that the outside employment activities of employees conform 
    with all applicable laws and regulations. In accordance with 5 CFR 
    2635.803, OPM has determined that it is necessary to the administration 
    of its ethics program to continue to require prior approval for certain 
    types of outside employment and activities that pose a potential for 
    employees to engage in conduct that might violate applicable laws and 
    regulations.
        As compared to the requirement that has been imposed by 5 CFR 1001-
    735.203, Sec. 4501.103(a) has been changed to clarify the requirement, 
    and to narrow its scope, consistent with the Standards. Section 1001-
    735.203 has required OPM employees, other than special Government 
    employees, who engage in any kind of outside paid employment on a 
    substantially regular basis to provide notice of such employment to 
    their supervisors. In addition, Sec. 1001-735.203 has required OPM 
    employees to obtain approval before serving as members of committees or 
    boards which plan or advise on training courses or programs offered by 
    non-Government organizations; before accepting appointments as faculty 
    members for after-hours teaching; and in order to hold elective office 
    in the employee's local community government. In contrast to 
    Sec. 1001.735.203, Sec. 4501.-103(a) requires prior approval for four 
    types of outside activities on the part of OPM employees (again 
    excluding special Government employees).
        Under Sec. 4501.103(a)(1), the first type of outside activity for 
    which OPM employees must obtain prior approval is the provision of 
    professional services that involve the application of the same 
    specialized skills or the same educational background as performance of 
    the employee's official duties. Such outside activities may raise a 
    strong possibility of a violation of the Standards. For purposes of 
    this section, ``professional services'' is defined in 
    Sec. 4501.103(d)(3) on the basis of the definition of ``profession'' 
    established by OGE in its executive branch-wide regulations at 5 CFR 
    2636.305(b)(1), and means the provision of personal services by an 
    employee, including the rendering of advice or consultation, which 
    involves application of the skills of a profession. Secretarial and 
    clerical positions are not, for purposes of this requirement, 
    considered to provide ``professional services.''
        Under Sec. 4501.103(a)(2), the second type of outside activity for 
    which OPM employees must obtain prior approval is teaching, speaking, 
    or writing that relates to the employee's official duties. Unlike the 
    requirement in 5 CFR 1001.735-203 for prior approval of after hours 
    teaching, this section requires prior approval of outside speaking and 
    writing, as well as outside teaching, but only if it ``relates to the 
    employee's official duties.'' Consistent with the Standards, the term 
    ``relates to the employee's official duties'' is defined in 
    Sec. 4501.103(d)(5) as having the meaning given in 5 CFR 2635.-
    807(a)(2)(i)(B) through (a)(2)(i)(E). Under that definition, teaching, 
    speaking, or writing relates to the employee's official duties if the 
    invitation to teach, speak, or write is extended primarily because of 
    the employee's official position; if the invitation or the offer of 
    compensation (when the employee is to be compensated for the activity) 
    is extended by a person whose interests may be affected substantially 
    by the employee's performance or nonperformance of his or her official 
    duties; if the activity draws substantially on ``nonpublic 
    information,'' a term which Sec. 4501.103(d)(2) defines as having the 
    meaning set forth in Sec. 2635.703(b) of the Standards and which 
    therefore includes information that the employee gains by reason of 
    Federal employment and that the employee knows or reasonably should 
    know has not been made available to the general public; if the subject 
    of the activity deals in significant part with OPM programs, operations 
    or policies or with the employee's current or recent assignments; or, 
    in the case of a noncareer employee as defined in 5 CFR 2636.303(a), if 
    the subject of the activity deals in significant part with the general 
    subject matter area, industry, or economic sector primarily affected by 
    the programs and operations of OPM.
        Under Sec. 4501.103(a)(3), the third type of outside activity for 
    which OPM employees must obtain prior approval is certain service for a 
    ``prohibited source.'' The term ``prohibited source'' is defined in 
    Sec. 4501.103(d)(4) as having the meaning set forth in Sec. 2635.203(d) 
    of the Standards, and therefore means any person who is (and also any 
    organization more than half of whose members are) seeking official 
    action by OPM, doing or seeking to do business with OPM, regulated by 
    OPM, or substantially affected by the performance or nonperformance of 
    the employee's duties. The kind of services for a prohibited source for 
    which Sec. 4501.103(a)(3) requires prior approval are those which could 
    raise a question of conflicting financial interests under subpart D of 
    the Standards or a question of loss of impartiality in performing 
    official duties under subpart E of the Standards. Those services 
    include service as an officer, director, trustee, general partner, 
    employee, agent, attorney, consultant, contractor, or ``active 
    participant.'' The term ``active participant'' is defined in 
    Sec. 4501.103(d)(1) as having the meaning set forth in subpart E of the 
    Standards, at 5 CFR 2635.502(b)(1)(v). In accordance with that 
    definition, payment of dues to an organization, or the donation or 
    solicitation of financial support, alone does not constitute active 
    participation.
        An exception to the prior approval requirement in Sec. 4501.-
    103(a)(3) excludes from the prior approval requirement therein a number 
    of uncompensated and volunteer activities that are unlikely to raise 
    issues under the Standards. Specifically, employees do not have to 
    obtain approval before providing the services listed in 
    Sec. 4501.103(a)(3), if the service is without compensation (other than 
    reimbursement of expenses) and the prohibited source for which the 
    service is to be provided is a nonprofit charitable, religious, 
    professional, social, fraternal, educational, recreational, public 
    service, or civic
    
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    organization. However, prior approval for such an activity is required 
    if the activity is covered by another of the prior approval 
    requirements in this section. In addition, because OPM exercises 
    general supervision over all operations of the Combined Federal 
    Campaign (CFC), through which nonprofit organizations receive or seek 
    to receive charitable fundraising support in the Federal workplace, 
    prior approval is required by Sec. 4501.103(a)(3) if the organization 
    that is a prohibited source receives or seeks to receive fundraising 
    support through the CFC, and the employee's official duties would 
    involve him in administration of the CFC program.
        Under Sec. 4501.103(a)(4), the fourth type of outside activity for 
    which OPM employees must obtain prior approval is the provision of 
    services, other than clerical services or service as a fact witness, on 
    behalf of any other person in connection with a particular matter in 
    which the United States is a party, or in which the United States has a 
    direct and substantial interest, or if the provision of services 
    involves the preparation of materials for submission to, or 
    representation before, a Federal court or executive branch agency. 
    Under 5 CFR 2635.805, employees are required to obtain authorization 
    before acting as expert witnesses, other than on behalf of the United 
    States, in any proceeding before a Federal court or agency in a matter 
    in which the United States is a party or has a direct and substantial 
    interest. Paragraph (a)(4) of Sec. 4501.103 is intended to cover such 
    testimony as an outside activity, thus eliminating the need to create a 
    separate procedure for the required authorization. In addition, 
    requiring prior approval under these circumstances will help employees 
    to avoid violating the representational bars in 18 U.S.C. 203 and 205. 
    Consistent with the Federal Service Labor Management Relations Statute 
    (5 U.S.C. chapter 71) and the ``personnel administration proceedings'' 
    exception at 18 U.S.C. 205(d), an exception in Sec. 4501.103(a)(4) 
    provides that prior approval is not required for OPM employees acting 
    on behalf of the labor organization that is the exclusive 
    representative of the OPM employees in the unit it represents to 
    represent an employee who is the subject of disciplinary, loyalty, or 
    other personnel administration proceedings in connection with those 
    proceedings.
        Section 4501.103(b) sets forth the procedures for submitting a 
    request for approval of an outside activity, specifying the information 
    to be included in the employee's request, and the contents of a 
    certification the employee is to submit with the request for approval.
        Section 4501.103(c) specifies the standard for granting approval. 
    Approval shall be granted only upon a determination by the agency 
    official designated authority to make such a determination that the 
    outside employment is not expected to involve conduct prohibited by 
    statute or Federal regulation.
        Section 4501.103(d) defines the terms ``active participant,'' 
    ``nonpublic information,'' ''professional services,'' ``prohibited 
    source,'' and ``relates to the employee's official duties,'' for 
    purposes of the section, as explained above, consistent with the 
    Standards and other regulations issued by OGE.
        Requiring prior approval will give OPM managers the opportunity to 
    review the proposed employment or activity in light of the employee's 
    official duties and to consult with an agency ethics official 
    concerning the applicability of Federal conflict of interest statutes 
    and ethics regulations to the proposed activity. The executive branch-
    wide Standards, at 5 CFR 2635.802, explain that an activity conflicts 
    with an employee's official duties if it is prohibited by statute or by 
    an agency supplemental regulation, or if, under the standards set forth 
    in Secs. 2635.402 and 2635.502 of the Standards, it would require the 
    employee's disqualification from matters so central or critical to the 
    performance of the employee's official duties that the employee's 
    ability to perform the duties of his or her position would be 
    materially impaired. Even where prior approval is not required, 
    conflict of interest statutes and the Standards may restrict the 
    actions of employees in connection with participation in such 
    activities or organizations.
    
    III. Repeal of Portions of OPM's Internal Regulations Regarding 
    Employee Conduct and Related Modifications
    
        The interim rule repeals those portions of the regulations at 5 CFR 
    part 1001 governing OPM employees' responsibilities and conduct that 
    were superseded by the executive branch-wide Standards of Ethical 
    Conduct at 5 CFR part 2635, or by the financial disclosure regulations 
    at 5 CFR part 2634, the requirement for prior approval of outside 
    employment at 5 CFR 1001.735-203 (which now appears, in revised form, 
    at 5 CFR 4501.103), and 5 CFR 1001.735-208, which was in the nature of 
    a directive to OPM procurement personnel. It also repeals portions of 
    part 1001 that duplicate the employee responsibilities and conduct 
    regulations contained in 5 CFR part 735.
        These actions leave in 5 CFR part 1001 only the code of conduct 
    required by the Privacy Act of 1974, at 5 U.S.C. 552a(e)(9). The 
    Privacy Act code of conduct for OPM employees, previously contained at 
    5 CFR 1001.735-206a, is redesignated as Sec. 1001.102 and follows a new 
    Sec. 1001.101 which provides a cross-reference to ethics and other 
    conduct-related statutes and regulations.
    
    IV. Matters of Regulatory Procedure
    
    Administrative Procedure Act
    
        Under 5 U.S.C. 1103(b)(1) and 1105, these regulations are not 
    subject to the rulemaking requirements of the Administrative Procedure 
    Act, at 5 U.S.C. 553 (b), (c), and (d), because they apply solely to 
    OPM or its employees. Furthermore, OPM finds good cause that it is in 
    the public interest that these internal regulations take effect as an 
    interim rule upon the date of publication of this Federal Register 
    rulemaking document.
    
    Executive Order 12866
    
        In promulgating these interim regulations, OPM has adhered to the 
    regulatory philosophy and the applicable principles of regulation set 
    forth in section 1 of Executive Order 12866, Regulatory Planning and 
    Review. These regulations have not been reviewed by the Office of 
    Management and Budget under that Executive order, as they deal with 
    agency management and personnel matters and are not, in any event, 
    ``significant'' thereunder.
    
    Regulatory Flexibility Act
    
        As Director of OPM, I certify that this regulation will not have 
    significant economic impact on a substantial number of small entities 
    within the meaning of the Regulatory Flexibility Act (5 U.S.C. chapter 
    6).
    
    Paperwork Reduction Act
    
        As Director of OPM, I have determined that the Paperwork Reduction 
    Act (44 U.S.C. chapter 35) 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
    
    5 CFR Part 1001
    
        Conflict of interests, Government employees.
    
    5 CFR Part 4501
    
        Conflict of interests, Government employees.
    
    
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        Dated: July 2, 1996.
    James B. King,
    Director, Office of Personnel Management.
        Approved: July 5, 1996.
    F. Gary Davis,
    Deputy Director, Office of Government Ethics.
        For the reasons set forth in the preamble, the Office of Personnel 
    Management, with the concurrence of the Office of Government Ethics, is 
    amending title 5 of the Code of Federal Regulations as follows:
    
    CHAPTER I--OFFICE OF PERSONNEL MANAGEMENT
    
    PART 1001--EMPLOYEE RESPONSIBILITIES AND CONDUCT
    
        1. The authority citation for part 1001 is revised to read as 
    follows:
    
        Authority: 5 U.S.C. 552a, 7301.
    
    Subparts A, B, C and D [Amended]
    
        2. Subpart A, consisting of Secs. 1001.735-101 through 1001.735-
    103; Secs. 1001.735-201 through 1001.735-206 and 1001.735-207 through 
    1001.735-214 of subpart B; and subparts C and D, consisting of 
    Secs. 1001.735-301 through 1001.735-304 and 1001.735-401 through 
    1001.735-412, respectively, of part 1001 are removed.
        3. A new Sec. 1001.101 is added to read as follows:
    
    
    Sec. 1001.101  Cross-reference to financial disclosure requirements and 
    other conduct rules.
    
        In addition to the regulations contained in this part, employees of 
    the Office of Personnel Management (OPM) should refer to:
        (a) The Standards for Ethical Conduct for Employees of the 
    Executive Branch at 5 CFR part 2635;
        (b) The OPM regulations at 5 CFR part 4501, which supplement the 
    executive branch-wide standards;
        (c) The Employee Responsibilities and Conduct regulations at 5 CFR 
    part 735;
        (d) The executive branch financial disclosure regulations at 5 CFR 
    part 2634;
        (e) The executive branch outside employment regulations at 5 CFR 
    part 2636; and
        (f) The restrictions upon use of political referrals in employment 
    matters at 5 U.S.C. 3303.
        4. Section 1001.735-206a is redesignated as Sec. 1001.102, and the 
    heading is revised to read ``Privacy Act rules of conduct.''
        5. A new chapter XXXV, consisting of part 4501, is added to read as 
    follows:
    
    CHAPTER XXXV--OFFICE OF PERSONNEL MANAGEMENT
    
    PART 4501--SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR EMPLOYEES 
    OF THE OFFICE OF PERSONNEL MANAGEMENT
    
    Sec.
    4501.101  General.
    4501.102  Examination information.
    4501.103  Prior approval for certain outside activities.
    
        Authority: 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, 2635.702, 2635.703, 2635.-802, 2635.803, 2635.805.
    
    
    Sec. 4501.101  General.
    
        In accordance with 5 CFR 2635.105, the regulations in this part 
    apply to employees of the Office of Personnel Management (OPM) and 
    supplement the Standards of Ethical Conduct for Employees of the 
    Executive Branch contained in 5 CFR part 2635. In addition to the 
    regulations in 5 CFR part 2635 and this part, OPM employees are subject 
    to the responsibilities and conduct regulations contained in 5 CFR 
    parts 735 and 1001, the executive branch-wide financial disclosure 
    regulations contained in 5 CFR part 2634, and the executive branch 
    regulations regarding outside employment at 5 CFR part 2636.
    
    
    Sec. 4501.102  Examination information.
    
        (a) An employee of OPM who takes part in the construction of 
    written tests or any other assessment device, has access to such 
    material, or is involved in the examination rating process, shall 
    notify his supervisor, in writing, when he intends to file for a 
    competitive examination, an internal competitive examination, or an 
    Armed Services entrance examination. The employee also must give such 
    notice if he knows that his spouse, minor child, or business general 
    partner intends to take any of these examinations.
        (b) The employee's supervisor or other appropriate authority will 
    arrange the employee's duty assignments to prevent his contact with 
    materials related to the examination or examinations that will be 
    taken. If the test material involved in the forthcoming examination has 
    already been exposed to the employee, arrangements will be made for the 
    employee or other person concerned to be given an alternate test.
        (c) The employee's supervisor is responsible for seeing that 
    notifications given by employees under this section are transmitted 
    promptly to the Test Security Officer in OPM's Employment Service.
    
    
    Sec. 4501.103  Prior approval for certain outside activities.
    
        (a) Prior approval requirement. An employee, other than a special 
    Government employee, shall obtain written approval before engaging--
    with or without compensation--in the following outside activities:
        (1) Providing professional services involving the application of 
    the same specialized skills or the same educational background as 
    performance of the employee's official duties;
        (2) Teaching, speaking, or writing that relates to the employee's 
    official duties;
        (3) Serving as an officer, director, trustee, general partner, 
    employee, agent, attorney, consultant, contractor, or active 
    participant for a prohibited source, except that prior approval is not 
    required by this paragraph (a)(3) to provide such service without 
    compensation (other than reimbursement of expenses) for a prohibited 
    source that is a nonprofit charitable, religious, professional, social, 
    fraternal, educational, recreational, public service, or civic 
    organization, unless prior approval for the activity is required by 
    paragraph (a)(1), (a)(2), or (a)(4) of this section, or unless the 
    organization receives or seeks to receive fundraising support through 
    the Combined Federal Campaign (CFC) under 5 CFR part 950 and the 
    employee's official duties involve the administration of the CFR 
    program; or
        (4)(i) Except as provided in paragraph (a)(4)(ii) of this section, 
    providing services, other than clerical services or service as a fact 
    witness, on behalf of any other person in connection with a particular 
    matter:
        (A) In which the United States is a party;
        (B) In which the United States has a direct and substantial 
    interest; or
        (C) If the provision of services involves the preparation of 
    materials for submission to, or representation before, a Federal court 
    or executive branch agency.
        (ii) Prior approval is not required by paragraph (a)(4)(i) of this 
    section for OPM employees acting on behalf of the labor organization 
    that is the exclusive representative of the OPM employees in the unit 
    it represents to provide services as an agent or attorney for, or 
    otherwise to represent, such an OPM employee who is the subject of 
    disciplinary, loyalty, or other personnel administration proceedings in 
    connection with those proceedings.
        (b) Submission of requests for approval. (1) Requests for approval 
    shall
    
    [[Page 36997]]
    
    be submitted in writing to the agency designee, through normal 
    supervisory channels. Such requests shall include, at a minimum, the 
    following:
        (i) The employee's name and position title;
        (ii) The name and address of the person or organization for whom 
    the outside activity is to be performed;
        (iii) A description of the proposed outside activity, including the 
    duties and services to be performed while engaged in the activity; and
        (iv) The proposed hours that the employee will engage in the 
    outside activity, and the approximate dates of the activity.
        (2) Together with his request for approval, the employee shall 
    provide a certification that:
        (i) The outside activity will not depend in any way on nonpublic 
    information;
        (ii) No official duty time or Government property, resources, or 
    facilities not available to the general public will be used in 
    connection with the outside activity; and
        (iii) The employee has read subpart H (``Outside Activities'') of 5 
    CFR part 2635.
        (3) Upon a significant change in the nature or scope of the outside 
    activity or in the employee's official position, the employee shall 
    submit a revised request for approval.
        (c) Approval of requests. Approval shall be granted only upon a 
    determination by the agency designee, in consultation with an agency 
    ethics official when such consultation is deemed necessary by the 
    agency designee, that the outside activity is not expected to involve 
    conduct prohibited by statute or Federal regulation, including 5 CFR 
    part 2635.
        (d) Definitions. For purposes of this section:
        (1) Active participant has the meaning set forth in 5 CFR 
    2635.502(b)(1)(v).
        (2) Nonpublic information has the meaning set forth in 5 CFR 
    2635.703(b).
        (3) Professional services means the provision of personal services 
    by an employee, including the rendering of advice or consultation, 
    which involves application of the skills of a profession as defined in 
    5 CFR 2636.305(b)(1).
        (4) Prohibited source has the meaning set forth in 5 CFR 
    2635.203(d).
        (5) Relates to the employee's official duties has the meaning set 
    forth in 5 CFR 2635.807(a)(2)(i)(B) through (a)(2)(i)(E).
    
    [FR Doc. 96-18020 Filed 7-15-96; 8:45 am]
    BILLING CODE 6325-01-M
    
    
    

Document Information

Effective Date:
7/16/1996
Published:
07/16/1996
Department:
Personnel Management Office
Entry Type:
Rule
Action:
Interim rule with request for comments.
Document Number:
96-18020
Dates:
Interim rule effective July 16, 1996. Comments must be received on or before August 15, 1996.
Pages:
36993-36997 (5 pages)
RINs:
3206-AG87: Employee Responsibilities and Conduct; Supplemental Standards of Ethical Conduct for Employees of the Office of Personnel Management, 3209-AA15: Executive Agency Supplemental Standards of Ethical Conduct Regulations Issued Jointly With the Concurrence of the Office of Government Ethics
RIN Links:
https://www.federalregister.gov/regulations/3206-AG87/employee-responsibilities-and-conduct-supplemental-standards-of-ethical-conduct-for-employees-of-the, https://www.federalregister.gov/regulations/3209-AA15/executive-agency-supplemental-standards-of-ethical-conduct-regulations-issued-jointly-with-the-concu
PDF File:
96-18020.pdf
CFR: (10)
5 CFR 4501.103(a)(3)
5 CFR 4501.103(d)(3)
5 CFR 4501.103(d)(5)
5 CFR 4501.103(d)(4)
5 CFR 4501.103(d)(1)
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