ML20035A241
| ML20035A241 | |
| Person / Time | |
|---|---|
| Issue date: | 03/04/1993 |
| From: | Chilk S NRC OFFICE OF THE SECRETARY (SECY) |
| To: | Parler W NRC OFFICE OF THE GENERAL COUNSEL (OGC) |
| References | |
| REF-10CFR9.7 NUDOCS 9303250038 | |
| Download: ML20035A241 (10) | |
Text
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..eeeeeeeeees RELEASED TO THE PDR 4
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e, UNITED STATES j
g 5 } p, y, g ',E NUCLEAR REGULATORY COMMi$SION e
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M W ASHINGTON, D.C. 20555 4s, o/j -
e OFF#CE OF THE March 4, 1993 SECRETARY i
MEMORANDUM FOR:
William C.
Parler g
General Counsel
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FROM:
Samuel J.
Chilk, Secre
SUBJECT:
SECY-93-026 - MANAGEMEh DIRECTIVES ON ETHICS WAIVERS AND APPROVALS This is to advise you that the Commission has no objection to the issuance of Management Directive 7.9 with the changes indicated in the attachment.
Attachment:
As stated cc:
The Chairman Commissioner Rogers Commissioner Curtiss Commissioner Remick Commissioner de Plangue EDO OIG CAA SECY NOTE:
THIE del AND THE SUBJECT SECY PAPER WILL BE MADE I
PUBLICLY AVAILABLE IN 10 WORKING DAYS FROM THE DATE OF THIS SRM.
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230061 PDR 10CFR O}ll f
9303250038 930304 I^
1 PT9.7 PDR
Volume 7, I.egal and Ethical Guidelines Ethics Approvals and Waivers Handbook 7.9 i
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Contents
-l Ethics Approvals and Waivers..............................
1 I n tro d u cti on (A)............................................ :.......... 1 l
4 bit Ownership Exemptions (B)........................................
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Approval for Outside Activities (C)........................................ - 1 Waiver Authorizing Employees To Participate in Matters That Affect a Personal Financial Interest (D)........................................ 1 Widely Att en ded G atherings (E).......................................... 2 Appearance of Impropriety (F)........................................... 3 s
Service as an Expert Witness (G)......................................... 4 Acceptance of Awards and Honorary Degrees (H)........................... 5 i
Acceptance of Perishable Gifts (I)........................................ 5
.t Teaching for Compensation by Noncareer Employees (J)..................... 5 Acceptance of Extraordinary Payments (K)................................. 6 Representation by Special Government Employees (L)....................... 6 Post-Employment Representations by Former NRC Employees (M)............ 6 l
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Approved: (Draft February 3,1993) _
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l Volume 7, Legal and Ethical Guidelines Ethics Approvals and Waivers Handbook 7.9 i
Ethics Approvals and Waivers 1
Introduction (A) 1 Ethics statutes and regulations promulgated by the Office of Government Ethics (OGE) rquire that NRC employees receive approval or a waiver before engagingin certain activities or accepting
- j certain gifts or awards. Management Directive (MD) 7.9 identifies the individuals who have been given authority to grant these approvals or waivers. This handbook describes the activities or acts that require j
approval or waiver in greater detail and specifies the procedures for j
i obtaining a decision on the request.
6aun.4y cStock Ownership Exemptions (s) sccu&y NRC employees who are subject to the Commission'sjteek. ownership l
restrictions may request an exempt'on from the Chairman that would i
permit their continued holding of prohibited security interests. The procedures for obtaining an exemption will be specified in a future management directive. The procedures are currently set forth in 10 CFR 0.735-29.
Approval for Outside Activities (C)
NRC employees, except for special Government employees, are required to obtain written approval before engagingin certain outside activities, including outside employment. The procedures for obtaining the approval will be specified in a future management directive. The procedures are currently set forth in 10 CFR 0.735-40.
Waiver Authorizing Employees To Participate in Matters Tha't Affect a Personal Financial Interest (D)
Under 18 U.S.C. 208(a), employees must receive a waiver before they may participate in a particular matter affecting an entity in which they j
(or any person whose interests are imputed to the employee) have a financial interest. " Imputed" interests include the interests of i
Approved: (Draft February 3,1993) 1
Volume 7, legal and Ethical Guidelines Ethics Approvals and Waivers Handbook 7.9 Waiver Authorizing Employees To Participate in Matters That Affect a Personal Financial Interest (o)(continued)
(a) the employee's spouse, minor child, or general partner;(b) an entity -
in which the employee serves as officer, director, trustee, general ~
I partner, or employee; or (c) a peraon with whom the employee is negotiating for or has an arrangement concerning prospective' employment. (1)
Waivers may be granted upon a determination that the financial j
interest is not so substantial as to be deemed likely to affect the integrity of the services that the Government may' expect from the l
officer or employee. In additicn, a waiver may be granted for a special
.l Government employee who serves on an advisory committee -
l chartered under the Federal Advisory Committee Act upon a determination that the need for the individual's services outweighs the I
potential for a conflict of-interest created by the financial interest involved. (2)
Employees who desire a waiver should contact a deputy counselor in the Office of the General Counsel (OGC) or a regional counsel.
1 Counsel will draft the appropriate waiver for consideration by the appropriate office director or regional administrator. OGC, where practicable,is to consult with the OGE before the waiver is issued and is to provide a copy of the executed waiver to OGE. (3)
Widely Attended Gatherings (E)
Notwithstanding the restrictions on acceptance of meals and gifts from entities regulated by or having business before the NRC, agency employees may accept a sponsor's unsolicited gift of free attendance at all or appropriate parts of a widely attended gathering of mutual interest to a number of parties. A gathering is widely attended if, for example, it is open to members throughout a given industry or profession, or those in attendance represent a range of persons interested in a given matter. Events sponsored by a sing!e company, t,
-corporation,-cr firm are not censidered veidely :: ended gaderingsrt.
hevcever, ever tsvonsored by enegarsation consisting of numerous t
-companies, corporations, er Fr:m can qua!!fye" Free attendance" includes waiver of the conference fee or food, refreshments, entertainment, or materials furnished to all attendees as an integral part of the event. (1)
-2 Approved: (Draft February 3,1993)
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Volume 7, legal and Ethical Guidelines Ethics Approvals and Waivers t
Handbook 7.9 Appearance of Impropriety (F)(continued) contractor, or employee. Employees must also receive authorization under this provision to work on matters affecting a person for whom the employee's spouse, parent, or dependent child is, to the employee's knowledge, serving or seeking to sen>e as an officer, director, trustee, general partner, agent, attorney, consultant, contractor, or employee. Also, certain discussions regarding prospective employment that would not trigger application of potential criminal sanctions could nonetheless create appearances of impropriety. In such a case, approval would be required before the employee could participate in matters affecting the prospective employer. (1)
An employee requesting a waiver to participate in such matters must set forth the relevant circumstances to the approving official in writing.
The approving official, as part of the required consultation with OGC, must provide OGC with a copy of the request. OGC will assist the approving official in drafting the response to the employee. (2)
Service as an Expert Witness (G) lAndte CE reqMens, an
-Arfemployee shall not serve, other than on behalf of the United States, l
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as an expert witness, with or without compensation,in any proceeding gm before a court or agency of the United States in which the United gy
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States is a party or has a direct and substantial interest, unless the j tg
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employee's participation is authorized by the NRC.V(1) l Id 5 4 c >d In addition to the above requirement, a special G overnment employee
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who has served or is expected to serve for more than 60 days within a c
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consecutive 365-day period shall not serve as an expert witness, with or j
without compensation,in any proceeding before a court or agency of 5
the United States in which the NRC is a party or has a direct and 3aj,k
_c substantial interest, unless the employee's participation has been
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authorized by the NRC. (2)
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Eog y An employee seeking such authorization must submit the relevant
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facts to OGC in writing. If a Federal agency other than the NRC is.
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w representing the Federal Government in the proceeding, the OGC
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av bI}Hi Y must consult with that agency before making its determination. If the 3
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g]c Federal Government is not a party to the proceeding, OGC must 3
consult with the Department ofJustice and the Federal agency with the e
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L most direct and substantial interest in the matter. OGC will set forth its c&y- { $ p g determinations in writing. (3) iD $ 5 E 6.E 3 i
4 Approved: (Draft February 3,1993)
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Handbook 7.9 Service as an Expert Witness (G)(continued) undude e4hics ING No approval is required when the employee has been subpoenaed as a l
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fact witness by an appropriate authority. An appropriate authority l
k would include a court or a State or local agency. (4)
I Acceptance ofIwards and
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Honorary Degrees (n)
An employee may accept a bona fide award for meritorious public I
senice or achievement valued at more than $200, or cash regardless of l
amount, only if the individual has received approval. These awards may be accepted only from persons who do not have interests that may
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be substantially affected by the performance or the nonperformance of the employee's official duties, or from an association or other j
organization, the majority of whose members do not have such interests. Before the award can be accepted, OGC must determine that the award is given as part of an established program 'of recognition. (1) l i
An employee may accept an honorary degree from an institution of higher education only after obtaining written approval from OGC.
OGC must determine that the timing of the award of the degree would not cause a reasonable person to question the employee's impartiality
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toward the institution. (2)
An employee seeking such approval to accept awards or honorary a
degrees must provide the relevant facts to OGC in writing. (3)
Acceptance of Perishable Gifts (i) l 1
Employees are not required to return perishable items that cannot be
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accepted as gifts under OGE regulations. If the employee chooses not j
to return the item, he or she can, after obtaining approval from his or l
her immediate supenisor, donate the perishable item to charity, share i
the item within the office, or destroy the item.
t Teaching for Compensation by i
Noncareer Employees p) l
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Noncareer employees must receive approval before engaging in teaching for compensation. For purposes of this provision, teaching not only includes formal classroom presentations, but also extends to i
Approved: (Draft February 3.1993) 5
Volume 7, Legal and Ethical Guidelines Ethics Approvals and Waivers Handbook 7.9 t
Post-Employment Representations by i
Former NRC Employees (M)(continued)
A former NRC employee may seek such a waiver by submitting a t
written statement to the EDO that indicates he or she is a former employee subject to post-employment restrictions and that briefly summarizes the content of the proposed communication, describes his or her involvement, if any, as an NRC employee in the matter to be discussed, and certifies that the communication he or she desires to make is solely for the purpose of furnishing scientific or technological information. (2)
The primary factor that the EDO will consider is whether receipt of the scientific or technological information would further the NRC mission. (3)
If the Chairman, in consultation with the Director of OGE, makes a certification published in the Federal Register that the former employee has outstanding qualification in a scientific, technological, or other technical discipline, and is acting with respect to a particular matter which requires such qualification, and that the national interest would be served by the participation of the former employee, the Chairman may authorize communications that are not limited to transmission of scientific or technolo cal information.
A former employee seeking such an waiver shou submit a written request setting forth the pertinent f ts to the Chairman.
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Approved: (Dran February 3,1993) 7
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Ethics Approvals and Waivers Directive 7.9 Policy (7.9-01) e It is the policy of the U.S. Nuclear Regulatory Commission (NRC) that NRC employees receive approval or a waiver before engaging in certain activities or accepting certain gifts or awards,'in accordance j
with ethics statutes or regulations promulgated by the Office of Government Ethics (OGE). The NRC is required to designate individuals who can act upon requests for approvals or waivers. All approvals or waivers must be in writing unless otherwise specified in Handbook 7.9. The deciding official is to use sound judgment in determining whether to grant a request for an approval or a waiver, and has the discretion to deny a request, when warranted. 4 l
l Objectives (7.9-02)
To inform employees when prior approval or a waiver is required. (021)
To inform employees which NRC officials have been delegated e
authority to grant the necessary approvals or waivers. (022)
Organizational Responsibilities and Delegations of Authority (7.9-03) 1 The Chairman (031)
After consulta: ion with the Office of the General Counsel (OGC)-(a)
- WaiveY Ar ownership restrictions in accordance with l~
Management Direct ve (MD) 7.7, " Security Ownership " (i) i I
Approved: (Draft February 3,1993)
Volume 7, Legal and Ethical Guidelines Ethics Approvals and Waivers Directive 7.9 The Chairman (031)(continued)
- Issues waivers to members of advisory committees who are special G overnment employees to permit the members to work on matters affecting a personal financial interest because of the agency's need for the individual's services. (ii)
- Issues waivers and approvals addressed in this directive to Commissioners, or the heads of offices reporting to the Chairman or to the Commission, except for those waivers or I
approvals that must be given by the General Counsel. (iii)
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- After consultation with the Director of OGE, determines-whether post-employment restricdons can be waived for i
former NRC employees who have outstanding qualifications in l
a scientific, technological, or other technical discipline. (iv)
As appropriate, the Chairman will consult with the other Commissioners before acting upon a request for an approval or i
waiver. (b)
The Commissioners (032)
[ Approve their own attendar'ce at widely attended gatherings.
/rhu-ce%Jatien wiA cGc., issues waivers or e
The General Counsel mmus addrewA in % diccc4;e b (033) web ef kir-pesonal sbE Approves the acceptance of non-NRC awards and honorary e
degrees awarded to NRC employees. (a)
Approves service as an expert witness on behalf of a private party in Federal court litigation in which the United States has an -
interest.(b)
Authorizes noncareer employees to engage in teaching for compensation. (c)
May delegate the above authority to the designated alternate e
ethics official or to a deputy counselor. (d) 2 Approved: (Draft February 3,1993)
Volume 7, Legal and Ethical Guidelines Ethics Approvals and Waivers Directive 7.9 Definitions (7.5-05) (continued)
Special Government Employee. An NRC officer or employee who is retained, designated, appointed, or employed to perform temporary duties either on a full-time or an intermittent basis, with or without compensation, for a period not to exceed 130 days during any period of 365 consecutive days. The term includes NRC consultants, experts, and members of advisory boards but does not include a member of the uniformed services.
Handbook (7.9-06)
Detailed descriptions of the various activities, awards. and gifts that require prior approval and the procedures for obtaining such approval are contained in Handbook 7.9.
References (7.9.-07)
- 1. " Activities of Officers and Employees in Claims Against and Other Matters Affecting the Government," 18 U.S.C. 205.
- 2. " Disqualification of Former Officers and Employees; Disqualification of Partners of Current Officers and Employees,"
18 U.S.C. 207.
- 3. " Acts Affecting a Personal Financial Interest," 18 U.S.C. 208.
- 4. " Salary of Government Officials and Employees Payable Only by United States," 18 U.S.C. 209.
& Entcyus d 6hAvas A Ewbe %ub,
- 5. Office of Government Ethics, "Pririplet,of Ethical Conduct "
g 5 CFR Part 2635.
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- 6. Office of Government Ethics, "Umitations on Outside Employment and Prohibition on Honoraria: Confidential Reporting of Payments to Charities in Ueu of Honoraria," 5 CFR Part 2636.
- 7. Office of Government Ethics, " Regulations Concerning Post-Employment Conflict of Interest," 5 CFR Parts 2637 and 2641.
Approved: (Draft February 3,1993) 5
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