This section of the FEDERAL REGISTER

contains notices to the public of the proposed

issuance of rules and regulations. The

purpose of these notices is to give interested

persons an opportunity to participate in the

rule making prior to the adoption of the final

rules.

Proposed Rules Federal Register

8008 

Vol. 81, No. 31 

Wednesday, February 17, 2016 

OFFICE OF GOVERNMENT ETHICS 

5 CFR Part 2635 

RIN 3209–AA04 

Standards of Ethical Conduct for 

Employees of the Executive Branch; 

Amendments to the Seeking Other 

Employment Rules 

AGENCY: Office of Government Ethics 

(OGE). 

ACTION: Proposed rule. 

SUMMARY: The Office of Government 

Ethics is amending the Standards of 

Ethical Conduct for Employees of the 

Executive Branch regarding seeking 

other employment, to conform with 

interpretive advice, update examples, 

improve clarity, and make technical 

corrections. In addition, the proposed 

amendments implement the statutory 

notification requirements that apply to 

individuals required to file public 

financial disclosure reports under 

section 101 of the Ethics in Government 

Act of 1978 when they negotiate for or 

have an agreement of future 

employment or compensation. 

DATES: Written comments are invited 

and, in order to ensure consideration, 

must be received on or before April 18, 

2016. 

ADDRESSES: You may submit comments, 

in writing, to OGE on this proposed 

rule, identified by RIN 3209–AA04, by 

any of the following methods: 

Email: usoge@oge.gov. Include the 

reference ‘‘Proposed Amendments to 

Subpart F’’ in the subject line of the 

message. 

Fax: (202) 482–9237. 

Mail/Hand Delivery/Courier: Office of 

Government Ethics, Suite 500, 1201 

New York Avenue NW., Washington, 

DC 20005–3917, Attention: ‘‘Proposed 

Amendments to Subpart F.’’ 

Instructions: All submissions must 

include OGE’s agency name and the 

Regulation Identifier Number (RIN), 

3209–AA04, for this proposed 

rulemaking. All comments, including 

attachments and other supporting 

materials, will become part of the public 

record and subject to public disclosure. 

Comments may be posted on OGE’s Web 

site, www.oge.gov. Sensitive personal 

information, such as account numbers 

or Social Security numbers, should not 

be included. Comments generally will 

not be edited to remove any identifying 

or contact information. 

FOR FURTHER INFORMATION CONTACT: 

Elaine Newton, Associate Counsel, or 

Rachel Dowell, Assistant Counsel, 

Office of Government Ethics, Suite 500, 

1201 New York Avenue NW., 

Washington, DC 20005–3917; 

Telephone: (202) 482–9300; TTY: (800) 

877–8339; FAX: (202) 482–9237. 

SUPPLEMENTARY INFORMATION: 

I. Background 

Executive Order 12674, which was 

issued on April 12, 1989, and later 

modified by Executive Order 12731 

(Executive Order), sets forth basic 

obligations of public service and 

enumerates 14 principles of ethical 

conduct for Government officers and 

employees. The Executive Order also 

authorizes the Office of Government 

Ethics (OGE), in consultation with the 

Department of Justice (DOJ) and the 

Office of Personnel Management (OPM), 

to issue ‘‘regulations that establish a 

single, comprehensive, and clear set of 

executive branch standards of conduct.’’ 

On August 7, 1992, OGE published the 

Standards of Ethical Conduct for 

Employees of the Executive Branch, 

codified at 5 CFR part 2635. See 57 FR 

35005–35067, August 7, 1992, as 

amended. 

These uniform standards include a 

recusal requirement in subpart F that 

applies to employees seeking 

employment with persons whose 

financial interests would be directly and 

predictably affected by particular 

matters in which the employees 

participate personally and substantially. 

Subpart F combines the standards 

imposed by criminal statute with the 

standards imposed by the Executive 

order. In part, subpart F implements 18 

U.S.C. 208(a), which requires an 

employee’s recusal from participation in 

any particular matter that, to the 

employee’s knowledge, will have a 

direct and predictable effect on the 

financial interests of a person with 

whom the employee is negotiating or 

has any arrangement concerning 

prospective employment. Beyond this 

statutory requirement, subpart F 

addresses issues of lack of impartiality 

that require recusal from any particular 

matter that affects the financial interests 

of a prospective employer, even where 

the employee’s actions in seeking 

employment may fall short of 

negotiating for employment. 

Pursuant to section 402 of the Ethics 

in Government Act of 1978, the Director 

of OGE is responsible for periodically 

reviewing and updating the regulations 

as needed. Accordingly, OGE is 

proposing to amend subpart F by 

reorganizing and expounding upon 

certain existing subpart F provisions, as 

well as by adding certain new 

provisions and examples. In addition, 

the proposed amendments would 

implement new notification 

requirements under section 17 of the 

Stop Trading on Congressional 

Knowledge Act of 2012 (STOCK Act), 

Pub. L. 112–105, 126 Stat. 303, 5 U.S.C. 

app. 101 note, which apply to 

employees who file public financial 

disclosure reports. In formulating this 

proposed rule, OGE has consulted with 

DOJ and OPM pursuant to section 201(a) 

of Executive Order 12674, as modified 

by Executive Order 12731, and the 

authorities contained in titles I and IV 

of the Ethics in Government Act of 

1978. OGE has also solicited and 

considered the views of executive 

branch agency ethics officials. 

II. Analysis of Proposed Amendments 

In addition to the specific changes 

discussed below, OGE is proposing a 

number of non-substantive changes. 

OGE proposes to renumber and 

reorganize the examples to follow the 

sequence of the regulations; revise 

examples for clarity; update legal 

citations; include references to section 

17 of the STOCK Act and new 

§ 2635.607, where applicable; reword 

language paraphrasing 18 U.S.C. 208(a) 

to align the regulatory language with the 

statute; and modernize language by 

replacing the words ‘‘he,’’ ‘‘shall,’’ and 

‘‘disqualification.’’ 

A. Section 2635.602—Applicability and 

Related Considerations 

OGE proposes to restructure the 

introductory paragraph for clarity. New 

subsection (a)(2) clarifies that, with the 

passage of the STOCK Act, a public filer 

who negotiates for or has an agreement 

of future employment or compensation 

must comply with the requirements in 


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new § 2635.607. The proposed 

regulation also emphasizes that 

employees are strongly encouraged to 

consult with their ethics officials when 

they have questions about how subpart 

F may apply to them. OGE is proposing 

two new examples to illustrate these 

concepts. 

B. Section 2635.603—Definitions 

1. Definition of ‘‘Employment’’ 

OGE proposes to add a new example 

to § 2635.603(a) to clarify that certain 

volunteer activities are not considered 

‘‘employment’’ under this subpart. In 

the preamble to the final rule, 57 FR 

35006, Aug. 7, 1992, OGE discussed the 

types of volunteer services, such as 

washing dishes one night a week at a 

soup kitchen, that do not involve an 

employment or other specified 

relationship. Consistent with that 

discussion, a new example illustrates 

the types of informal, uncompensated, 

and non-fiduciary volunteer services 

that are not considered ‘‘employment’’ 

under this subpart. 

2. Definition of ‘‘Seeking Employment’’ 

OGE is amending the definition of 

‘‘seeking employment’’ in several ways 

to provide additional clarity. To begin, 

OGE proposes to delete the exclusion at 

§ 2635.603(b)(1)(ii)(B) and incorporate 

this provision as a limitation to the 

recusal obligation in § 2635.604. This 

makes no substantive change to the 

regulation. The only effect of the 

exclusion at § 2635.603(b)(1)(ii)(B) was 

to limit an employee’s recusal 

obligations. Accordingly, OGE believes 

that this provision is more appropriately 

included as a limitation to the recusal 

obligation in § 2635.604. OGE also 

proposes to revise and move the two 

corresponding examples from 

§ 2635.603(b), Examples 4 and 5, to 

§ 2635.604(a) as Examples 3 and 4, to 

clarify the limitation to the recusal 

obligation under § 2635.604. 

OGE is also adding new and revised 

examples to address informational 

discussions; highlight the distinction 

between seeking employment within the 

meaning of § 2635.603(b)(1)(ii) or (iii) 

and negotiating for employment within 

the meaning of § 2635.603(b)(1)(i); 

address whether an employee is 

‘‘seeking employment’’ when the 

employee uses a social networking or 

resume-posting site; and provide 

practical guidance on rejecting 

employment inquiries from prospective 

employers. 

In regard to social media, which has 

not been explicitly addressed in subpart 

F, three new examples clarify that the 

rules in this subpart apply regardless of 

the method the employee uses when 

seeking employment. Specifically, these 

examples illustrate that the posting of a 

profile, resume, or other employment 

information that is not targeted to a 

specific person is not considered an 

unsolicited communication with an 

entity regarding possible employment. 

Rather, such a posting would be akin to 

posting a resume on a bulletin board. 

Likewise, the employee would not be 

seeking employment with a person if 

the employee received a notification or 

email from a person until the employee 

makes a response other than a rejection. 

3. Definition of ‘‘Prospective Employer’’ 

A new example in the proposed 

regulation illustrates that online resume 

distribution services are treated like 

employment search firms for purposes 

of determining when an employee has 

begun seeking employment. 

4. Definition of ‘‘Public Filer’’ 

Section 17 of the STOCK Act 

establishes new notification 

requirements for an individual required 

to file a financial disclosure report 

under section 101 of the Ethics in 

Government Act of 1978 (5 U.S.C. app. 

101). OGE proposes to include a 

definition of ‘‘public filer’’ describing 

the individuals who must submit such 

notification statements. 

C. Section 2635.604—Recusal While 

Seeking Employment 

OGE proposes to revise § 2635.604 for 

clarity and reorganize § 2635.604(a) into 

two subsections. As discussed above, 

the proposed language includes a new 

§ 2635.604(a)(2) to replace an exclusion 

to the definition of ‘‘seeking 

employment’’ in § 2635.603(b)(1)(ii)(B). 

This is not a new exception; rather, it 

merely moves the exclusion found at 

§ 2635.603(b)(1)(ii)(B) to a more logical 

location in the subpart. 

OGE has added a new example to 

emphasize that the recusal obligation in 

§ 2635.604(a) is not limited to particular 

matters involving specific parties but is 

also applicable to particular matters of 

general applicability. In addition, OGE 

proposes to revise § 2635.604(b) to 

emphasize that employees are obligated 

to take whatever steps are necessary to 

ensure that they do not participate in 

particular matters from which they are 

recused. The proposed revision 

emphasizes that these steps can include 

written recusals, which employees may 

file with ethics officials. 

D. Section 2635.605—Waiver or 

Authorization Permitting Participation 

While Seeking Employment 

OGE proposes to add a new 

requirement that any authorizations 

under § 2635.605(b) must be in writing. 

E. Proposed § 2635.607—Notification 

Requirements for Public Financial 

Disclosure Filers Regarding Negotiations 

or Agreement of Future Employment or 

Compensation 

OGE proposes to add a new 

§ 2635.607 to implement section 17 of 

the STOCK Act. Section 17 of the 

STOCK Act requires a public filer who 

is negotiating for or has an agreement of 

future employment or compensation to 

file a statement notifying the agency 

ethics official of such negotiation or 

agreement within three business days 

after commencement of the negotiation 

or agreement. A public filer who files a 

notification statement regarding the 

negotiation or agreement also must file 

a notification regarding recusal 

whenever there is a conflict of interest 

or appearance of a conflict of interest 

with respect to the entity identified in 

the notification. In addition, this section 

affirms the recusal obligations 

addressed in the Standards of Ethical 

Conduct and, where applicable, 18 

U.S.C. 208. 

OGE issued interpretive guidance for 

implementing section 17 of the STOCK 

Act on April 6, 2012, and April 25, 

2013. See OGE, LA 12–01, available at 

http://www.oge.gov/OGE-Advisories/

Legal-Advisories/LA-12-01—PostEmployment-Negotiation-and-RecusalRequirements-under-the-STOCK-Act/, 

and OGE, LA 13–06, available at http:// 

www.oge.gov/OGE-Advisories/LegalAdvisories/LA-13-06—Notification-ofNegotiations-for-Post-GovernmentCompensation-under-Section-17-of-theSTOCK-Act/. New § 2635.607 is 

consistent with this guidance. 

Pursuant to OGE’s authority under the 

Ethics in Government Act and Executive 

Order 12731, and consistent with OGE’s 

interpretive guidance, OGE proposes to 

extend the notification requirement to 

negotiations for or agreements of future 

employment or compensation with all 

non-federal entities. The notification 

requirements under section 17 of the 

STOCK Act apply only to ‘‘private’’ 

entities. Because the potential for 

conflicts of interest is not limited to 

private entities, the proposed 

regulations cover all prospective nonfederal employers. In addition, OGE 

proposes to include a provision 

allowing public filers to elect to file the 

notification statement, recusal 

statement, or both before negotiations 


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have commenced and before an 

agreement of future employment or 

compensation is reached. Public filers 

who elect to file the notification 

statement, recusal statement, or both 

prior to the commencement of 

negotiations or an agreement are 

deemed to have met the statutory 

requirements because the statements 

will continue to be in a ‘‘filed’’ status 

after the commencement of the 

negotiations. The statements must name 

the private entity or entities involved in 

the negotiations and an estimated date 

of the commencement of the 

negotiations or agreement. While not 

required, the option to file in advance 

enhances the access of public filers to 

advice from ethics officials. 

III. Matters of Regulatory Procedure 

Regulatory Flexibility Act 

As Director of the Office of 

Government Ethics, I certify under the 

Regulatory Flexibility Act (5 U.S.C. 

chapter 6) that this proposed rule would 

not have a significant economic impact 

on a substantial number of small entities 

because it primarily affects current 

Federal executive branch employees. 

Paperwork Reduction Act 

The Paperwork Reduction Act (44 

U.S.C. chapter 35) does not apply 

because this regulation does not contain 

information collection requirements that 

require approval of the Office of 

Management and Budget. 

Unfunded Mandates Reform Act 

For purposes of the Unfunded 

Mandates Reform Act of 1995 (2 U.S.C. 

chapter 5, subchapter II), this proposed 

rule would not significantly or uniquely 

affect small governments and will not 

result in increased expenditures by 

State, local, and tribal governments, in 

the aggregate, or by the private sector, of 

$100 million or more (as adjusted for 

inflation) in any one year. 

Executive Order 13563 and Executive 

Order 12866 

Executive Orders 13563 and 12866 

direct agencies to assess all costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select the regulatory 

approaches that maximize net benefits 

(including economic, environmental, 

public health and safety effects, 

distributive impacts, and equity). 

Executive Order 13563 emphasizes the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This rulemaking has been 

designated as a ‘‘significant regulatory 

action’’ although not economically 

significant, under section 3(f) of 

Executive Order 12866. Accordingly 

this proposed rule has been reviewed by 

the Office of Management and Budget. 

Executive Order 12988 

As Director of the Office of 

Government Ethics, I have reviewed this 

proposed rule in light of section 3 of 

Executive Order 12988, Civil Justice 

Reform, and certify that it meets the 

applicable standards provided therein. 

List of Subjects in 5 CFR Part 2635 

Conflict of interests, Executive Branch 

standards of ethical conduct, 

Government employees. 

Approved: February 11, 2016. 

Walter M. Shaub, Jr., 

Director, Office of Government Ethics. 

Accordingly, for the reasons set forth 

in the preamble, the Office of 

Government Ethics proposes to amend 5 

CFR part 2635, as set forth below: 

PART 2635—STANDARDS OF 

ETHICAL CONDUCT FOR EMPLOYEES 

OF THE EXECUTIVE BRANCH 

■ 1. The authority citation for part 2635 

continues to read as follows: 

Authority: 5 U.S.C. 7301, 7351, 7353; 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. 

■ 2. Subpart F of part 2635 is revised to 

read as follows: 

Subpart F—Seeking Other Employment 

Sec. 

2635.601 Overview. 

2635.602 Applicability and related 

considerations. 

2635.603 Definitions. 

2635.604 Recusal while seeking 

employment. 

2635.605 Waiver or authorization 

permitting participation while seeking 

employment. 

2635.606 Recusal based on an arrangement 

concerning prospective employment or 

otherwise after negotiations. 

2635.607 Notification requirements for 

public financial disclosure report filers 

regarding negotiations for or agreement 

of future employment or compensation. 

Subpart F—Seeking Other 

Employment 

§ 2635.601 Overview. 

This subpart contains a recusal 

requirement that applies to employees 

when seeking non-Federal employment 

with persons whose financial interests 

would be directly and predictably 

affected by particular matters in which 

the employees participate personally 

and substantially. Specifically, it 

addresses the requirement of 18 U.S.C. 

208(a) that an employee not participate 

in any particular matter that, to the 

employee’s knowledge, will have a 

direct and predictable effect on the 

financial interests of a person ‘‘with 

whom the employee is negotiating or 

has any arrangement concerning 

prospective employment.’’ See 

§ 2635.402 and § 2640.103 of this 

chapter. Beyond this statutory 

requirement, this subpart also addresses 

issues of lack of impartiality that require 

recusal from particular matters affecting 

the financial interests of a prospective 

employer when an employee’s actions 

in seeking employment fall short of 

actual employment negotiations. In 

addition, this subpart contains the 

statutory notification requirements that 

apply to public filers when they 

negotiate for or have agreements of 

future employment or compensation. 

Specifically, it addresses the 

requirements of section 17 of the Stop 

Trading on Congressional Knowledge 

Act of 2012 (STOCK Act), Public Law 

112–105, 126 Stat. 303, 5 U.S.C. app. 

101 note, that a public filer must submit 

a written statement identifying the 

entity involved in the negotiations or 

agreement within three business days 

after commencement of such 

negotiations or agreement and must 

submit a notification of recusal 

whenever there is a conflict of interest 

or an appearance of a conflict of 

interest. 

§ 2635.602 Applicability and related 

considerations. 

(a) Applicability. (1) To ensure that an 

employee does not violate 18 U.S.C. 

208(a), section 17 of the STOCK Act, or 

the principles of ethical conduct 

contained in § 2635.101(b), an employee 

who is seeking employment or who has 

an arrangement concerning prospective 

employment must comply with the 

applicable recusal requirements of 

§§ 2635.604 and 2635.606 if particular 

matters in which the employee will be 

participating personally and 

substantially would, to the employee’s 

knowledge, directly and predictably 

affect the financial interests of a 

prospective employer or of a person 

with whom the employee has an 

arrangement concerning prospective 

employment. Compliance with this 

subpart also will ensure that the 

employee does not violate subpart D or 

E of this part. In addition, a public filer 

who negotiates for or has an agreement 

of future employment or compensation 

must comply with the requirements of 

§ 2635.607. 

(2) An employee who is seeking 

employment with a person whose 


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financial interests are not, to the 

employee’s knowledge, affected directly 

and predictably by particular matters in 

which the employee participates 

personally and substantially has no 

obligation to recuse under this subpart. 

In addition, nothing in this subpart 

requires an employee, other than a 

public filer, to notify anyone that the 

employee is seeking employment unless 

a notification is necessary to implement 

a recusal pursuant to § 2635.604(b). A 

public filer who negotiates for or has an 

agreement of future employment or 

compensation must comply with the 

notification requirements in § 2635.607. 

An employee may, however, be subject 

to other statutes that impose 

requirements on employment contacts 

or discussions, such as 41 U.S.C. 2103, 

which is applicable to agency officials 

involved in certain procurement 

matters. Employees are encouraged to 

consult with their ethics officials if they 

have any questions about how this 

subpart may apply to them. Ethics 

officials are not obligated by this 

subpart to inform supervisors that 

employees are seeking employment. 

Example 1 to paragraph (a): Recently, an 

employee of the Department of Education 

who is not a public filer submitted her 

resume to the University of Delaware for a 

job opening that she heard about through a 

friend. The employee has begun seeking 

employment. However, because she is not 

participating in any particular matters 

affecting the University of Delaware, she is 

not required to notify anyone that she has 

begun seeking employment. 

Example 2 to paragraph (a): The employee 

in the preceding example has been 

approached about an employment 

opportunity at the University of Maryland. 

Because the University of Maryland has 

applied for grants on which she has been 

assigned to work in the past, she wants to 

make certain that she does not violate the 

ethics rules. The employee contacts her 

ethics official to discuss the matter. The 

employee informs the ethics official that she 

is not participating in any particular matters 

affecting the University of Maryland. As a 

result, the ethics official advises the 

employee that she will have no notification 

obligations under this subpart. However, the 

ethics official cautions the employee that, if 

the employee is assigned to participate in a 

particular matter affecting the University of 

Maryland while she is seeking employment 

with the university, she would normally 

need to notify her supervisor in order to 

avoid working on the grant. 

(b) Related restrictions.—(1) Outside 

employment while a Federal employee. 

An employee who is contemplating 

outside employment to be undertaken 

concurrently with the employee’s 

Federal employment must abide by any 

limitations applicable to the employee’s 

outside activities under subparts G and 

H of this part, including any 

requirements under supplemental 

agency regulations to obtain prior 

approval before engaging in outside 

employment or activities and any 

prohibitions under supplemental agency 

regulations related to outside 

employment or activities. The employee 

must also comply with any applicable 

recusal requirement of this subpart, as 

well as any applicable recusal 

requirements under subpart D or E of 

this part as a result of the employee’s 

outside employment activities. 

(2) Post-employment restrictions. An 

employee who is contemplating 

employment to be undertaken following 

the termination of the employee’s 

Federal employment should consult an 

agency ethics official to obtain advice 

regarding any post-employment 

restrictions that may be applicable. The 

regulation implementing the 

Governmentwide post-employment 

statute, 18 U.S.C. 207, is contained in 

part 2641 of this chapter. Employees are 

cautioned that they may be subject to 

additional statutory prohibitions on 

post-employment acceptance of 

compensation from contractors, such as 

41 U.S.C. 2104. 

(3) Interview trips and entertainment. 

Where a prospective employer who is a 

prohibited source as defined in 

§ 2635.203(d) offers to reimburse an 

employee’s travel expenses, or provide 

other reasonable amenities incident to 

employment discussions, the employee 

may accept such amenities in 

accordance with § 2635.204(e)(3). Where 

a prospective employer is a foreign 

government or international 

organization, the employee must also 

ensure that he or she is in compliance 

with the Foreign Gifts and Decorations 

Act. 

§ 2635.603 Definitions. 

For purposes of this subpart: 

(a) Employment means any form of 

non-Federal employment or business 

relationship involving the provision of 

personal services by the employee, 

whether to be undertaken at the same 

time as or subsequent to Federal 

employment. It includes but is not 

limited to personal services as an 

officer, director, employee, agent, 

attorney, consultant, contractor, general 

partner, or trustee. 

Example 1 to paragraph (a): An employee 

of the Bureau of Indian Affairs who has 

announced her intention to retire is 

approached by tribal representatives 

concerning a possible consulting contract 

with the tribe. The contractual relationship 

the tribe wishes to negotiate is employment 

for purposes of this subpart. 

Example 2 to paragraph (a): An employee 

of the Department of Health and Human 

Services is invited to a meeting with officials 

of a nonprofit corporation to discuss the 

possibility of his serving as a member of the 

corporation’s board of directors. Service, 

with or without compensation, as a member 

of the board of directors constitutes 

employment for purposes of this subpart. 

Example 3 to paragraph (a): An employee 

at the Department of Energy volunteers 

without compensation to serve dinners at a 

homeless shelter each month. The 

employee’s uncompensated volunteer 

services in this case are not considered an 

employment or business relationship for 

purposes of this subpart. 

(b) An employee is seeking 

employment once the employee has 

begun seeking employment within the 

meaning of paragraph (b)(1) of this 

section and until the employee is no 

longer seeking employment within the 

meaning of paragraph (b)(2) of this 

section. 

(1) An employee has begun seeking 

employment if the employee has 

directly or indirectly: 

(i) Engaged in negotiations for 

employment with any person. For these 

purposes, as for 18 U.S.C. 208(a) and 

section 17 of the STOCK Act, the term 

negotiations means discussion or 

communication with another person, or 

such person’s agent or intermediary, 

mutually conducted with a view toward 

reaching an agreement regarding 

possible employment with that person. 

The term is not limited to discussions 

of specific terms and conditions of 

employment in a specific position; 

(ii) Made an unsolicited 

communication to any person, or such 

person’s agent or intermediary, 

regarding possible employment with 

that person. However, the employee has 

not begun seeking employment if that 

communication was for the sole purpose 

of requesting a job application; or 

(iii) Made a response, other than 

rejection, to an unsolicited 

communication from any person, or 

such person’s agent or intermediary, 

regarding possible employment with 

that person. 

(2) An employee is no longer seeking 

employment when: 

(i) The employee or the prospective 

employer rejects the possibility of 

employment and all discussions of 

possible employment have terminated; 

or 

(ii) Two months have transpired after 

the employee’s dispatch of an 

unsolicited resume or employment 

proposal, provided the employee has 

received no indication of interest in 

employment discussions from the 

prospective employer. 

(3) For purposes of this definition, a 

response that defers discussions until 

the foreseeable future does not 


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constitute rejection of an unsolicited 

employment overture, proposal, or 

resume nor rejection of a prospective 

employment possibility. 

Example 1 to paragraph (b): A paralegal at 

the Department of the Army is in his third 

year of law school. During a discussion with 

his neighbor, who is a partner in a large law 

firm in the community, the neighbor invited 

him to visit her law firm. The paralegal took 

her up on the offer and met with an associate 

at the firm. The associate shared with the 

paralegal her experiences looking for a legal 

position, discussed what she does in her 

position at the law firm, and explained why 

she chose her current law firm. There was no 

discussion of possible employment with the 

firm. The Army paralegal is not seeking 

employment at this time. The purpose of the 

visit was informational only. 

Example 2 to paragraph (b): An employee 

of the Defense Contract Audit Agency 

(DCAA) is auditing the overhead accounts of 

an Army contractor. While at the contractor’s 

headquarters, the head of the contractor’s 

accounting division tells the employee that 

his division is thinking about hiring another 

accountant and asks whether the employee 

might be interested in leaving DCAA. The 

DCAA employee asks what kind of work 

would be involved. The DCAA employee has 

begun seeking employment because he made 

a response other than a rejection to the 

communication regarding possible 

employment with the Army contractor, 

although he has not yet begun negotiating for 

employment. 

Example 3 to paragraph (b): The DCAA 

employee and the head of the contractor’s 

accounting division in the previous example 

have a meeting to discuss the duties of the 

position that the accounting division would 

like to fill and the DCAA employee’s 

qualifications for the position. They also 

discuss ways the DCAA employee could 

remedy one of the missing qualifications, and 

the employee indicates a willingness to 

obtain the proper qualifications. They do not 

discuss salary. The employee has engaged in 

negotiations regarding possible employment 

with the contractor. 

Example 4 to paragraph (b): An employee 

at the Department of Energy (DOE) lists his 

job duties and employment experience in a 

profile on an online, business-oriented social 

networking service. The employee’s profile is 

not targeted at a specific person. The 

employee has not begun seeking employment 

because the posting of a profile or resume is 

not an unsolicited communication with any 

potential employer. 

Example 5 to paragraph (b): The DOE 

employee in the previous example was 

recently notified that a representative of a 

university has viewed his profile. The 

employee still has not begun seeking 

employment with the university. 

Subsequently, a representative of the 

university contacts the employee through the 

online forum to inquire whether the 

employee would be interested in working for 

the university, to which he makes a response 

other than rejection. At this point, the 

employee has begun seeking employment 

with the university until he rejects the 

possibility of employment and all 

discussions of possible employment have 

terminated. 

Example 6 to paragraph (b): The DOE 

employee in the previous two examples 

receives emails from various companies in 

response to his online profile. He does not 

respond. The employee has not begun 

seeking employment with the companies 

because he has not made a response. 

Example 7 to paragraph (b): An employee 

of the Centers for Medicare & Medicaid 

Services (CMS) is complimented on her work 

by an official of a State Health Department 

who asks her to call if she is ever interested 

in leaving Federal service. The employee 

explains to the State official that she is very 

happy with her job at CMS and is not 

interested in another job. She thanks him for 

his compliment regarding her work and adds 

that she’ll remember his interest if she ever 

decides to leave the Government. The 

employee has rejected the unsolicited 

employment overture and has not begun 

seeking employment. 

Example 8 to paragraph (b): The employee 

in the preceding example responds by stating 

that she cannot discuss future employment 

while she is working on a project affecting 

the State’s health care funding but would like 

to discuss employment with the State when 

the project is completed. Because the 

employee has merely deferred employment 

discussions until the foreseeable future, she 

has begun seeking employment with the 

State Health Department. 

Example 9 to paragraph (b): Three months 

prior to the end of the current administration, 

a political appointee at a large department 

receives a telephone call from the managing 

partner of an international law firm. The 

managing partner asks if the official would be 

interested in joining the law firm. The official 

says, ‘‘I am not talking to anyone about 

employment until I leave the Government.’’ 

The official has rejected the unsolicited 

employment overture and has not begun 

seeking employment. 

Example 10 to paragraph (b): A geologist 

employed by the U.S. Geological Survey 

sends her resume to an oil company. The 

geologist has begun seeking employment 

with that oil company and will be seeking 

employment for two months from the date 

the resume was mailed. However, if she 

withdraws her application or is notified 

within the two-month period that her resume 

has been rejected, she will no longer be 

seeking employment with the oil company as 

of the date she makes such withdrawal or 

receives such notification. 

(c) Prospective employer means any 

person with whom the employee is 

seeking employment. Where contacts 

that constitute seeking employment are 

made by or with an agent or other 

intermediary, the term prospective 

employer means: 

(1) A person who uses that agent or 

other intermediary for the purpose of 

seeking to establish an employment 

relationship with the employee if the 

agent identifies the prospective 

employer to the employee; and 

(2) A person contacted by the 

employee’s agent or other intermediary 

for the purpose of seeking to establish 

an employment relationship if the agent 

identifies the prospective employer to 

the employee. 

Example 1 to paragraph (c): An employee 

of the Federal Aviation Administration 

(FAA) has retained an employment search 

firm to help her find another job. The search 

firm has just reported to the FAA employee 

that it has given her resume to and had 

promising discussions with two airport 

authorities, which the search firm identifies 

to the employee. Even though the employee 

has not personally had employment 

discussions with either airport authority, 

each airport authority is her prospective 

employer. She began seeking employment 

with each airport authority upon learning its 

identity and that it has been given her 

resume. 

Example 2 to paragraph (c): An employee 

pays for an online resume distribution 

service, which sends her resume to recruiters 

that specialize in her field. The online 

service has just notified her that they sent her 

resume to Software Company A and Software 

Company B. Even though the employee has 

not personally had employment discussions 

with either company, each software company 

is her prospective employer. She began 

seeking employment with each company 

upon learning from the online service that 

Software Company A and Software Company 

B had been given her resume by the 

intermediary. 

(d) Direct and predictable effect, 

particular matter, and personal and 

substantial have the respective 

meanings set forth in § 2635.402(b)(1), 

(3), and (4). 

(e) Public filer means a person 

required to file a public financial 

disclosure report as set forth in 

§ 2634.202 of this chapter. 

§ 2635.604 Recusal while seeking 

employment. 

(a) Obligation to recuse. (1) Except as 

provided in paragraph (a)(2) or where 

the employee’s participation has been 

authorized in accordance with 

§ 2635.605, the employee may not 

participate personally and substantially 

in a particular matter that, to the 

employee’s knowledge, has a direct and 

predictable effect on the financial 

interests of a prospective employer with 

whom the employee is seeking 

employment within the meaning of 

§ 2635.603(b). Recusal is accomplished 

by not participating in the particular 

matter. 

(2) The employee may participate in 

a particular matter under paragraph 

(a)(1) of this section when: 

(i) The employee’s only 

communication with the prospective 

employer in connection with the search 

for employment is the submission of an 


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unsolicited resume or other 

employment proposal; 

(ii) The prospective employer has not 

responded to the employee’s unsolicited 

communication; and 

(iii) The matter is not a particular 

matter involving specific parties. 

Example 1 to paragraph (a): A scientist is 

employed by the National Science 

Foundation (NSF) as a special Government 

employee to serve on a panel that reviews 

grant applications to fund research relating to 

deterioration of the ozone layer. She is 

discussing possible employment with a 

university that received an NSF grant several 

years ago to study the effect of fluorocarbons 

but has no current grant applications pending 

before NSF. The employee is seeking 

employment, but she does not need to recuse 

because there is no particular matter that 

would have a direct and predictable effect on 

the financial interests of the prospective 

employer. Recusal would be required if the 

university submits a new application for the 

panel’s review. 

Example 2 to paragraph (a): An employee 

of the Food and Drug Administration is 

developing a regulation on research criteria 

for approving prescription drugs. She begins 

discussing possible employment with a 

pharmaceutical company. The employee may 

not participate personally and substantially 

in the development of the regulation because 

she has begun employment discussions with 

the pharmaceutical company and the 

regulation is a particular matter of general 

applicability which would have a direct and 

predictable effect on the financial interests of 

the pharmaceutical company. 

Example 3 to paragraph (a): A special 

Government employee of the Federal Deposit 

Insurance Corporation (FDIC) is assigned to 

advise the FDIC on rules applicable to all 

member banks. She mails an unsolicited 

letter to a member bank offering her services 

as a contract consultant. Although the 

employee is seeking employment, the 

employee may participate in this particular 

matter of general applicability until she 

receives some response indicating an interest 

in discussing her employment proposal. A 

letter merely acknowledging receipt of the 

proposal is not an indication of interest in 

employment discussions. 

Example 4 to paragraph (a): An employee 

of the Occupational Safety and Health 

Administration is conducting an inspection 

of one of several textile companies to which 

he sent an unsolicited resume. The employee 

may not participate personally and 

substantially in the inspection because he is 

seeking employment and the inspection is a 

particular matter involving specific parties 

that will affect the textile company. 

(b) Notification. An employee who 

becomes aware of the need to recuse 

from participation in a particular matter 

to which the employee has been 

assigned must take whatever steps are 

necessary to ensure that the employee 

does not participate in the matter. 

Appropriate oral or written notification 

of the employee’s recusal may be made 

to an agency ethics official, coworkers, 

or a supervisor to document and help 

effectuate the employee’s recusal. Public 

filers must comply with additional 

notification requirements set forth in 

§ 2635.607. 

Example 1 to paragraph (b): An employee 

of the Department of Veterans Affairs (VA) is 

participating in the audit of a contract for 

laboratory support services. Before sending 

his resume to a lab which is a subcontractor 

under the VA contract, the employee should 

recuse from participation in the audit. Since 

he cannot withdraw from participation in the 

contract audit without the approval of his 

supervisor, he should notify his supervisor of 

his need to recuse for ethics reasons so that 

appropriate adjustments in his work 

assignments can be made. 

Example 2 to paragraph (b): An employee 

of the Food and Drug Administration (FDA) 

is contacted in writing by a pharmaceutical 

company concerning possible employment 

with the company. The employee is 

reviewing an application from a 

pharmaceutical company that is seeking FDA 

approval. Once the employee makes a 

response that is not a rejection to the 

company’s communication concerning 

possible employment, the employee should 

recuse from further participation in the 

review of the application. Where he has 

authority to ask his colleague to assume his 

reviewing responsibilities, he may 

accomplish his recusal by transferring the 

work to the employee designated to cover for 

him. However, to ensure that his colleague 

and others with whom he had been working 

on the review do not seek his advice 

regarding the review of the application or 

otherwise involve him in the matter, it may 

be necessary for him to advise those 

individuals of his recusal. 

(c) Documentation. An employee, 

other than a public filer, need not file 

a written recusal statement unless the 

employee is required by part 2634 of 

this chapter to file written evidence of 

compliance with an ethics agreement 

with the Office of Government Ethics or 

a designated agency ethics official, or is 

specifically directed by an agency ethics 

official or the person responsible for the 

employee’s assignment to file a written 

recusal statement. However, it is often 

prudent for an employee to create a 

record of his or her actions by providing 

written notice to an agency ethics 

official, a supervisor, or other 

appropriate official. Public filers must 

comply with the documentation 

requirements set forth in § 2635.607. 

Example 1 to paragraph (c): The General 

Counsel of a regulatory agency will be 

engaging in discussions regarding possible 

employment as corporate counsel of a 

regulated entity. Matters directly affecting the 

financial interests of the regulated entity are 

pending within the Office of General 

Counsel, but the General Counsel will not be 

called upon to act in any such matter because 

signature authority for that particular class of 

matters has been delegated to an Assistant 

General Counsel. Because the General 

Counsel is responsible for assigning work 

within the Office of General Counsel, he can, 

in fact, accomplish his recusal by simply 

avoiding any involvement in matters 

affecting the regulated entity. However, 

because it is likely to be assumed by others 

that the General Counsel is involved in all 

matters within the cognizance of the Office 

of General Counsel, he would benefit from 

filing a written recusal statement with an 

agency ethics official or the Commissioners 

of the regulatory agency and providing his 

subordinates with written notification of his 

recusal. He may also be specifically directed 

by an agency ethics official or the 

Commissioners to file a written recusal 

statement. If the General Counsel is a public 

filer, he must comply with the 

documentation requirements set forth in 

§ 2635.607. 

(d) Agency determination of 

substantial conflict. Where the agency 

determines that the employee’s action in 

seeking employment with a particular 

person will require the employee’s 

recusal 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 the employee’s position would be 

materially impaired, the agency may 

allow the employee to take annual leave 

or leave without pay while seeking 

employment, or may take other 

appropriate action. 

§ 2635.605 Waiver or authorization 

permitting participation while seeking 

employment. 

(a) Waiver. Where, as defined in 

§ 2635.603(b)(1)(i), an employee is 

engaged in employment negotiations for 

purposes of 18 U.S.C. 208(a), the 

employee may not participate 

personally and substantially in a 

particular matter that, to the employee’s 

knowledge, has a direct and predictable 

effect on the financial interests of a 

prospective employer. The employee 

may participate in such matters only 

where the employee has received a 

written waiver issued under the 

authority of 18 U.S.C. 208(b)(1) or (3). 

These waivers are described in 

§ 2635.402(d) and part 2640, subpart C 

of this chapter. For certain employees, 

a regulatory exemption under the 

authority of 18 U.S.C. 208(b)(2) may also 

apply (see part 2640, subpart B of this 

chapter), including § 2640.203(g) and (i). 

Example 1 to paragraph (a): An employee 

of the Department of Agriculture is 

negotiating for employment within the 

meaning of 18 U.S.C. 208(a) and 

§ 2635.603(b)(1)(i) with an orange grower. In 

the absence of a written waiver issued under 

18 U.S.C. 208(b)(1), she may not take official 

action on a complaint filed by a competitor 

alleging that the grower has shipped oranges 

in violation of applicable quotas. 


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(b) Authorization by agency designee. 

Where an employee is seeking 

employment within the meaning of 

§ 2635.603(b)(1)(ii) or (iii) and is not 

negotiating for employment, a 

reasonable person would be likely to 

question the employee’s impartiality if 

the employee were to participate 

personally and substantially in a 

particular matter that, to the employee’s 

knowledge, has a direct and predictable 

effect on the financial interests of any 

such prospective employer. The 

employee may participate in such 

matters only where the agency designee 

has authorized in writing the 

employee’s participation in accordance 

with the standards set forth in 

§ 2635.502(d). 

Example 1 to paragraph (b): Within the 

past month, an employee of the Department 

of Education mailed her resume to a 

university. She is thus seeking employment 

with the university within the meaning of 

§ 2635.603(b)(1)(ii). In the absence of specific 

authorization by the agency designee in 

accordance with § 2635.502(d), she may not 

participate in an assignment to review a grant 

application submitted by the university. 

§ 2635.606 Recusal based on an 

arrangement concerning prospective 

employment or otherwise after 

negotiations. 

(a) Employment or arrangement 

concerning employment. An employee 

may not participate personally and 

substantially in a particular matter that, 

to the employee’s knowledge, has a 

direct and predictable effect on the 

financial interests of the person by 

whom he or she is employed or with 

whom he or she has an arrangement 

concerning future employment, unless 

authorized to participate in the matter 

by a written waiver issued under the 

authority of 18 U.S.C. 208(b)(1) or (3), or 

by a regulatory exemption under the 

authority of 18 U.S.C. 208(b)(2). These 

waivers and exemptions are described 

in § 2635.402(d) and part 2640, subparts 

B and C of this chapter. 

Example 1 to paragraph (a): A military 

officer has accepted a job with a defense 

contractor that will begin six months after his 

retirement from military service. During the 

period that he remains with the Government, 

the officer may not participate in the 

administration of a contract with that 

particular defense contractor unless he has 

received a written waiver under the authority 

of 18 U.S.C. 208(b)(1). 

Example 2 to paragraph (a): An accountant 

has just been offered a job with the Office of 

the Comptroller of the Currency (OCC) which 

involves a two-year limited appointment. Her 

private employer, a large corporation, 

believes the job will enhance her skills and 

has agreed to give her a two-year unpaid 

leave of absence at the end of which she has 

agreed to return to work for the corporation. 

During the two-year period that she is to be 

an OCC employee, the accountant will have 

an arrangement concerning future 

employment with the corporation that will 

require her recusal from participation in any 

particular matter that, to her knowledge, will 

have a direct and predictable effect on the 

corporation’s financial interests. 

(b) Offer rejected or not made. The 

agency designee for the purpose of 

§ 2635.502(c) may, in an appropriate 

case, determine that an employee not 

covered by the preceding paragraph 

who has sought but is no longer seeking 

employment nevertheless will be 

subject to a period of recusal upon the 

conclusion of employment negotiations. 

Any such determination will be based 

on a consideration of all the relevant 

factors, including those listed in 

§ 2635.502(d), and a determination that 

the concern that a reasonable person 

may question the integrity of the 

agency’s decision-making process 

outweighs the Government’s interest in 

the employee’s participation in the 

particular matter. 

Example 1 to paragraph (b): An employee 

of the Securities and Exchange Commission 

was relieved of responsibility for an 

investigation of a broker-dealer while seeking 

employment with the law firm representing 

the broker-dealer in that matter. The firm did 

not offer her the partnership position she 

sought. Even though she is no longer seeking 

employment with the firm, she may continue 

to be recused from participating in the 

investigation based on a determination by the 

agency designee that the concern that a 

reasonable person might question whether, in 

view of the history of the employment 

negotiations, she could act impartially in the 

matter outweighs the Government’s interest 

in her participation. 

§ 2635.607 Notification requirements for 

public financial disclosure report filers 

regarding negotiations for or agreement of 

future employment or compensation. 

(a) Notification regarding negotiations 

for or agreement of future employment 

or compensation. A public filer who is 

negotiating for or has an agreement of 

future employment or compensation 

with a non-Federal entity must file a 

statement notifying an agency ethics 

official of such negotiation or agreement 

within three business days after 

commencement of the negotiation or 

agreement. This notification statement 

must be in writing, must be signed by 

the public filer, and must include the 

name of the non-Federal entity involved 

in such negotiation or agreement and 

the date on which the negotiation or 

agreement commenced. When a public 

filer has previously complied with the 

notification requirement in this section 

regarding the commencement of 

negotiations, the filer need not file a 

separate notification statement when an 

agreement of future employment or 

compensation is reached with the 

previously identified non-Federal 

entity. There is also no requirement to 

file another notification when 

negotiations have been unsuccessful. 

However, employees may want to do so 

to facilitate the resumption of their 

duties. 

Example 1 to paragraph (a): An employee 

of the Merit Systems Protection Board who 

is a public filer was in private practice prior 

to his Government service. He receives a 

telephone call from a partner in a law firm 

who inquires as to whether he would be 

interested in returning to private practice. 

During this initial telephone call with the 

law firm partner, the employee indicates that 

he is interested in resuming private practice. 

They discuss generally the types of issues 

that would need to be agreed upon if the 

employee were to consider a possible offer to 

serve as ‘‘of counsel’’ with the firm, such as 

salary, benefits, and type of work the 

employee would perform. The employee has 

begun negotiating for future employment 

with the law firm. Within three business days 

after this initial telephone call, he must file 

written notification of the negotiations with 

his agency ethics official. 

Example 2 to paragraph (a): The employee 

in the previous example also negotiates a 

possible contract with a publisher to begin 

writing a textbook after he leaves 

Government service. Within three business 

days after commencing negotiations, the 

employee must file written notification with 

his agency ethics official documenting that 

he is engaged in negotiations for future 

compensation with the book publisher. 

(b) Notification of recusal. A public 

filer who files a notification statement 

pursuant to paragraph (a) of this section 

must file with an agency ethics official 

a notification of recusal whenever there 

is a conflict of interest or appearance of 

a conflict of interest with the nonFederal entity identified in the 

notification statement. The notification 

statement and the recusal statement may 

be contained in a single document or in 

separate documents. 

(c) Advance filing of notification and 

recusal statements. When a public filer 

is seeking employment within the 

meaning of § 2635.603(b)(1)(ii) or (iii) or 

is considering seeking employment, the 

public filer may elect to file the 

notification statement pursuant to 

paragraph (a) of this section before 

negotiations have commenced and 

before an agreement of future 

employment or compensation is 

reached. A public filer may also elect to 

file the recusal statement pursuant to 

paragraph (b) of this section before the 

public filer has a conflict of interest or 

appearance of a conflict of interest with 

the non-Federal entity identified in the 

notification statement. The public filer 

need not file the document again upon 


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Federal Register / Vol. 81, No. 31 / Wednesday, February 17, 2016 / Proposed Rules 8015 

commencing negotiations or reaching an 

agreement of future employment or 

compensation. The advance filing of any 

such document is not construed as a 

statement that negotiations have or have 

not commenced or that a conflict of 

interest does or does not exist. Although 

the Office of Government Ethics 

encourages advance filing when a 

public filer anticipates a realistic 

possibility of negotiations or an 

agreement, the failure to make an 

advance filing does not violate this 

subpart or the principles of ethical 

conduct contained in § 2635.101(b). 

Example 1 to paragraph (c): An employee 

of the Federal Labor Relations Authority who 

is a public filer began negotiating for future 

employment with a law firm. At the time he 

began negotiating for future employment 

with the law firm, he was not participating 

personally and substantially in a particular 

matter that, to his knowledge, had a direct 

and predictable effect on the financial 

interest of the law firm. Although the 

employee was not required to file a recusal 

statement because he did not have a conflict 

of interest or appearance of a conflict of 

interest with the law firm identified in the 

notification statement, the Office of 

Government Ethics encourages the employee 

to submit a notification of recusal at the same 

time that he files the notification statement 

regarding the negotiations for future 

employment in order to ensure that the 

requirement of paragraph (b) of this section 

is satisfied if a conflict of interest or an 

appearance of a conflict of interest later 

arises. The agency ethics official should 

counsel the employee on applicable 

requirements but is under no obligation to 

notify the employee’s supervisor that the 

employee is negotiating for employment. 

Example 2 to paragraph (c): An employee 

of the General Services Administration is 

contacted by a prospective employer 

regarding scheduling an interview for the 

following week to begin discussing the 

possibility of future employment. The 

employee discusses the matter with the 

ethics official and chooses to file a 

notification and recusal statement prior to 

the interview. The notification and recusal 

statement contain the identity of the 

prospective employer and an estimated date 

of when the interview will occur. The 

employee has complied with the notification 

requirement of section 17 of the STOCK Act. 

(d) Agreement of future employment 

or compensation for the purposes of 

§ 2635.607 means any arrangement 

concerning employment that will 

commence after the termination of 

Government service. The term also 

means any arrangement to compensate 

in exchange for services that will 

commence after the termination of 

Government service. The term includes, 

among other things, an arrangement to 

compensate for teaching, speaking, or 

writing that will commence after the 

termination of Government service. 

[FR Doc. 2016–03214 Filed 2–16–16; 8:45 am] 

BILLING CODE 6345–03–P 

DEPARTMENT OF AGRICULTURE 

Food and Nutrition Service 

7 CFR Parts 271 and 278 

RIN 0584–AE27 

Enhancing Retailer Standards in the 

Supplemental Nutrition Assistance 

Program (SNAP) 

AGENCY: Food and Nutrition Service 

(FNS), USDA. 

ACTION: Proposed rule. 

SUMMARY: The Food and Nutrition 

Service (FNS) proposes to make changes 

to the Supplemental Nutrition 

Assistance Program (SNAP) regulations 

pertaining to the eligibility of SNAP 

retail food stores. The Agricultural Act 

of 2014 (2014 Farm Bill) amended the 

Food and Nutrition Act of 2008 (the 

Act) to increase the requirement that 

certain SNAP authorized retail food 

stores have available on a continual 

basis at least three varieties of items in 

each of four staple food categories, to a 

mandatory minimum of seven varieties. 

The 2014 Farm Bill also amended the 

Act to increase, for certain SNAP 

authorized retail food stores, the 

minimum number of categories in 

which perishable foods are required 

from two to three. This proposed rule 

would codify these mandatory 

requirements. 

Further, using existing authority in 

the Act and feedback from a Request for 

Information that included five listening 

sessions in urban and rural locations 

across the nation and generated 233 

public comments, FNS is proposing 

several additional changes. Among 

other items, these proposed changes 

address depth of stock, amend the 

definition of staple foods, and amend 

the definition of ‘‘retail food store’’ to 

clarify when a retailer is a restaurant 

rather than a retail food store. The 

rulemaking also proposes that FNS 

begin disclosing to the public specific 

information about retailers who have 

violated SNAP rules. 

DATES: To be assured of consideration, 

comments on this proposed rule must 

be received by the Food and Nutrition 

Service on or before April 18, 2016. 

ADDRESSES: The Food and Nutrition 

Service (FNS), USDA, invites interested 

persons to submit comments on this 

proposed rule. Comments may be 

submitted by one of the following 

methods: 

• Federal e-Rulemaking Portal: Go to 

http://www.regulations.gov. Preferred 

method; follow the online instructions 

for submitting comments on docket 

[insert docket number]. 

• Mail: Comments should be 

addressed to Vicky Robinson, Chief, 

Retailer Management and Issuance 

Branch, Retailer Policy and 

Management Division, Room 418, 3101 

Park Center Drive, Alexandria, Virginia 

22302. 

All comments submitted in response to 

this rulemaking will be included in the 

record and will be made available to the 

public. Please be advised that the 

substance of the comments and the 

identity of the individuals or entities 

submitting the comments will be subject 

to public disclosure. FNS will make the 

comments publicly available on the 

internet via: http://www.regulations.gov. 

All submissions will be available for 

public inspection at the address above 

during regular business hours (8:30 a.m. 

to 5:30 p.m.), Monday through Friday. 

FOR FURTHER INFORMATION CONTACT: 

Address any questions regarding this 

rulemaking to Vicky Robinson, Chief, 

Retailer Management and Issuance 

Branch, Retailer Policy and 

Management Division at the Food and 

Nutrition Service, USDA, 3101 Park 

Center Drive, Alexandria, Virginia 

22302. Ms. Robinson can also be 

reached by telephone at 703–305–2476 

or by email at Vicky.Robinson@

fns.usda.gov during regular business 

hours (8:30 a.m. to 5:30 p.m.) Monday 

through Friday. 

SUPPLEMENTARY INFORMATION: 

Background 

This proposed rulemaking is the 

result of two separate developments. 

First are statutory changes included in 

the 2014 Farm Bill. The second is the 

effort initiated by FNS in 2013 to look 

at enhancing the eligibility standards for 

SNAP retailers to better enforce the 

intent of the Act to permit low-income 

individuals to purchase more nutritious 

foods for home preparation and 

consumption. 

The 2014 Farm Bill increases the 

requirement that certain SNAP 

authorized retail food stores have 

available on a continuous basis at least 

three varieties of items in each of four 

staple food categories to a mandatory 

statutory minimum of seven varieties. 

Further, the 2014 Farm Bill increases 

the minimum number of categories in 

which perishable foods are required 

from two to three. This proposed rule 


Lhorne on DSK5TPTVN1PROD with PROPOSALS