[Federal Register: January 22, 2003 (Volume 68, Number 14)]
[Notices]               
[Page 3097-3109]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr22ja03-121]                         
 
 
 
 
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Part II
 
 
 
 
 
 
 
 
 
 
Office of Government Ethics
 
 
 
 
 
 
 
 
 
 
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Privacy Act of 1974; Systems of Records; Notice
 
 
 
 
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OFFICE OF GOVERNMENT ETHICS
 
 
 
Privacy Act of 1974; Systems of Records
 
 
AGENCY: Office of Government Ethics (OGE).
 
 
ACTION: Notice of proposed new and revised systems of records.
 
 
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SUMMARY: In this notice, OGE is proposing to revise and rename two 
existing Governmentwide systems of records under the Privacy Act 
covering Executive Branch Personnel Public Financial Disclosure Reports 
and Other Name-Retrieved Ethics Program Records, and Executive Branch 
Confidential Financial Disclosure Reports. In addition, OGE is 
establishing five new internal systems of records for employees of the 
Office of Government Ethics only, covering Pay, Leave and Travel 
Records, Telephone Call Detail Records, Grievance Records, Computer 
Systems Activity and Access Records, and Employee Locator and Emergency 
Notification Records. This notice fulfills the requirement of the 
Privacy Act of 1974 that an agency publish a Federal Register notice of 
its systems of records.
 
 
DATES: Public comments are invited and must be received by March 24, 
2003. These proposed new and revised systems of records will become 
effective without change May 22, 2003, unless comments are received 
which result in a contrary determination by OGE.
 
 
ADDRESSES: Comments on any aspect of these OGE systems of records 
should be sent to the Office of Government Ethics, Suite 500, 1201 New 
York Avenue, NW., Washington, DC 20005-3917, Attention: Ms. Newton. 
Electronic comments may also be sent to OGE's Internet E-mail address 
at usoge@oge.gov (such comments should include the caption ``OGE 
Privacy Act New and Revised Systems of Records'').
 
 
FOR FURTHER INFORMATION CONTACT: Elaine Newton, Attorney-Advisor, 
Office of Government Ethics, telephone: 202-208-8000, extension 1137; 
TDD: 202-208-8025; FAX: 202-208-8037.
 
 
SUPPLEMENTARY INFORMATION:
    A. Background. Under the Privacy Act, 5 U.S.C. 552a(e)(4), each 
agency is required to publish in the Federal Register notice of the 
establishment and revision of its systems notices. The Office of 
Government Ethics (OGE) used to be part of the Office of Personnel 
Management (OPM). Not long after OGE became a separate agency on 
October 1, 1989, OGE published in the Federal Register two 
Governmentwide systems of records (55 FR 6327-6331 (February 22, 1990)) 
that were previously among OPM's systems of records (old OPM/GOVT-4 & -
8). This present notice revises those two existing Governmentwide 
systems of records and establishes five new internal OGE systems of 
records.
    B. Revised Systems of Records. OGE is proposing to revise and 
rename its two existing Governmentwide systems of records: OGE/GOVT-1 
(Executive Branch Public Financial Disclosure Reports and Other Ethics 
Program Records) and OGE/GOVT-2 (Confidential Statements of Employment 
and Financial Interests). The proposed revisions to both systems 
include a change in the name of each system to: Executive Branch 
Personnel Public Financial Disclosure Reports and Other Name-Retrieved 
Ethics Program Records (OGE/GOVT-1) and Executive Branch Confidential 
Financial Disclosure Reports (OGE/GOVT-2). Other proposed revisions 
include different systems managers, as well as additional routine uses 
including disclosures between agencies with respect to transferred or 
detailed employees, to Congress (on behalf of the subject individual), 
to an adjudicative body and the Department of Justice in connection 
with litigation, and to contractors and other non-Government employees 
working on ethics matters for agencies. In addition, a change in the 
pay threshold for the collection of the public financial disclosure 
reports would be reflected in OGE/GOVT-1.
    C. New Internal Systems of Records. OGE is also proposing to 
establish five new internal systems of records to cover current and 
former OGE employees: OGE/INTERNAL-1 (Pay, Leave and Travel Records), 
OGE/INTERNAL-2 (Telephone Call Detail Records), OGE/INTERNAL-3 
(Grievance Records), OGE/INTERNAL-4 (Computer Systems Activity and 
Access Records), and OGE/INTERNAL-5 (Employee Locator and Emergency 
Notification Records).
    The records for maintenance in proposed OGE/INTERNAL-1 are those 
used to administer the pay, leave, and travel requirements of OGE. In 
this proposed system, the records could be disclosed for a number of 
routine uses compatible with the purposes for which the information in 
the records was collected, including to the Department of the Treasury, 
to the Internal Revenue Service, to authorized employees of another 
Federal agency that provides OGE with assistance in processing pay, 
leave and travel, to the Office of Management and Budget, to Congress, 
to a court or another adjudicative body, to an adjudicative body and 
the Department of Justice in connection with litigation, to labor 
organization officials for exclusive representation purposes or to the 
appropriate Department of Health and Human Services employees for 
matters related to paternity and child support. These documents are 
located in a secured environment and are maintained and disposed of in 
accordance with the National Archives and Records Administration 
General Records Schedules 2 and 9.
    The records for maintenance in OGE/INTERNAL-2 are those used to 
verify the telephone usage of current and former OGE employees, who 
receive telephone calls placed from or charged to telephones of the 
Office of Government Ethics. This proposed system is being established 
consistent with the Office of Management and Budget recommendation that 
agencies create a system of records to maintain telephone call detail 
records that are used to determine accountability for telephone usage. 
52 FR 12990-12992 (04/20/87). In this proposed system, the records 
could be disclosed for a number of routine uses compatible with the 
purposes for which the information in the records was collected, 
including to telecommunications companies, to the General Services 
Administration, to Congress, to a court or other tribunal, to the 
Department of Justice in connection with litigation, to an appropriate 
Federal, State or local agency responsible for investigating possible 
violations of civil, criminal law or regulation, or to labor 
organization officials for exclusive representation purposes. These 
documents are located in a secured environment and are maintained and 
disposed of in accordance with the National Archives and Records 
Administration General Records Schedule 12.
    The records for maintenance in proposed OGE/INTERNAL-3 are those 
that contain information relating to grievances filed by OGE employees 
under administrative procedures authorized by 5 CFR part 771 as well as 
records of negotiated grievances and arbitration systems that OGE has 
or may establish through negotiations with recognized labor 
organizations in accordance with 5 U.S.C. 7121. In this proposed 
system, the records could be disclosed for a number of routine uses 
compatible with the purposes for which the information in the records 
was collected, including to Congress, a court or another adjudicative 
body, an adjudicative body and the Department of Justice in connection 
with litigation, to any source from which additional information is 
required in the course of processing a grievance, to the extent 
necessary to identify the individual,
 
 
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inform the source of the purpose(s) of the request, and identify the 
type of information required, to labor organization officials for 
exclusive representation purposes, or to the Department of Labor for 
labor-management functions. These documents are located in a secured 
environment and are maintained and disposed of in accordance with the 
appropriate National Archives and Records Administration General 
Records Schedules or other records disposition authority.
    The records for maintenance in proposed OGE/INTERNAL-4 are those 
that contain data used by OGE systems and security personnel, or 
persons authorized to assist these individuals to plan and manage 
system services and to perform their official duties. In this proposed 
system, the records could be disclosed for a number of routine uses 
compatible with the purposes for which the information in the records 
was collected, including to investigate improper access or other 
improper activity related to computer system access; to initiate 
disciplinary or other such action; and/or where the record(s) may 
appear to indicate a violation or potential violation of the law, to 
refer such record(s) to the appropriate law enforcement agency for 
investigation. These documents are located in a secured environment and 
are maintained and disposed of in accordance with the National Archives 
and Records Administration General Records Schedule 20.
    The records for maintenance in proposed OGE/INTERNAL-5 are those 
used to identify an individual for OGE officials to contact should an 
emergency (medical or otherwise) occur while the employee is on the 
job. The information contained in this system as proposed could also be 
used by authorized OGE personnel to contact OGE employees working from 
home or, on infrequent occasions, to contact OGE employees absent from 
work about work-related issues. These documents are located in a 
secured environment and are maintained and disposed of in accordance 
with the appropriate OGE records disposition authority.
    D. Consultation with OMB and the Congress. In accordance with 5 
U.S.C. 552a(r) of the Privacy Act, the Office of Government Ethics 
(OGE) has provided a report on the new and proposed revised systems to 
the Office of Management and Budget (OMB) and the Committee on 
Government Reform and Oversight of the House of Representatives and the 
Committee on Governmental Affairs of the Senate.
 
 
    Approved: January 10, 2003.
Amy L. Comstock,
Director, Office of Government Ethics.
 
 
    Accordingly, the Office of Government Ethics is publishing the 
following notice of proposed revised Privacy Act Governmentwide systems 
of records and proposed new OGE internal Privacy Act systems of 
records:
OGE/GOVT-1
 
 
SYSTEM NAME:
    Executive Branch Personnel Public Financial Disclosure Reports and 
Other Name-Retrieved Ethics Program Records.
 
 
SYSTEM LOCATION:
    Office of Government Ethics, Suite 500, 1201 New York Avenue, NW., 
Washington, DC 20005-3917, and designated agency ethics offices.
 
 
SECURITY CLASSIFICATION:
    None.
 
 
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system contains records on: The President, Vice President, and 
candidates for those offices; officers and employees including special 
Government employees, whose positions are classified above GS-15 of the 
General Schedule or at an equivalent rate of basic pay equal to or 
greater than 120% of the minimum rate of basic pay for GS-15; officers 
or employees in a position determined by the Director of the Office of 
Government Ethics to be of equal classification to GS-15 or above; 
Administrative Law Judges; excepted service employees in positions that 
are of a confidential or policymaking nature unless an employee or 
group of employees are exempted by the Director of the Office of 
Government Ethics; members of a uniformed service whose pay grade is at 
or in excess of O-7 under section 201 of title 37, United States Code; 
the Postmaster General, the Deputy Postmaster General, Governor of the 
Board of Governors of the U.S. Postal Service and each officer or 
employee of the U.S. Postal Service or Postal Rate Commission whose 
basic rate of pay is equal to or greater than 120% of the minimum rate 
of basic pay for GS-15; the Director of the Office of Government Ethics 
and each agency's primary designated agency ethics official; any 
civilian employee employed in the Executive Office of the President 
(other than a special Government employee) who holds a commission of 
appointment from the President; and nominees for positions requiring 
Senate confirmation. This system includes both former and current 
employees in these categories who have filed financial disclosure 
statements under the requirements of the Ethics in Government Act of 
1978, as amended, or who otherwise come under the requirements of the 
Ethics Act. This system also contains information that is necessary for 
administering all provisions of the Ethics in Government Act of 1978 
and the Ethics Reform Act of 1989 (Pub. L. 101-194), as amended, and 
E.O. 12674 as modified on any current or former officer or employee of 
the executive branch.
 
 
CATEGORIES OF RECORDS IN THE SYSTEM:
    This system of records contains: Financial information such as 
salary, dividends, retirement benefits, interests in property, deposits 
in a bank and other financial institutions; information on gifts 
received; information on certain liabilities; information about 
positions as an officer, director, trustee, general partner, 
proprietor, representative, employee, or consultant of any corporation, 
company, firm, partnership, or other business, non-profit organization, 
labor organization, or educational institution; information about non-
Government employment agreements, such as leaves of absence to accept 
Federal service, continuation of payments by a non-Federal employer; 
and information about assets placed in trust pending disposal. This 
system also includes other documents developed or information and 
material received by the Director of the Office of Government Ethics, 
or agency ethics officials in administering the Ethics of Government 
Act of 1978 or the Ethics Reform Act of 1989, as amended, which are 
retrieved by name or other personal identifier. Such other documents or 
information may include, but will not be limited to: ethics agreements, 
documentation of waivers issued to an officer or employee by an agency 
pursuant to section 208(b)(1) or section 208(b)(3) of title 18, U.S.C.; 
certificates of divestiture issued by the President or by the Director 
of OGE pursuant to section 502 of the Ethics Reform Act of 1989; 
information necessary for the rendering of ethics counseling, advice or 
formal advisory opinions, or the resolution of complaints; the actual 
opinions issued; and records of referrals and consultations regarding 
current and former employee's who are or have been the subject of 
conflicts of interest or standards of conduct inquiries or 
determinations, or employees who are alleged to have violated 
department, agency or Federal ethics statutes, rules, regulations or 
Executive orders. Such information may include
 
 
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correspondence, documents or material concerning an individual's 
conduct, reports of investigations with related exhibits, statements, 
affidavits or other records obtained during an inquiry. These documents 
may include information related to personal and family financial and 
other business interests, positions held outside the Government and 
acceptance of gifts. The records may also contain reports of action 
taken by the agency, decisions and reports on legal or disciplinary 
action resulting from any referred administrative action or 
prosecution.
 
 
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7301, 7351, 7353; 5 U.S.C. App. (Ethics in Government Act 
of 1978); 31 U.S.C. 1353; E.O. 12674 (as modified by E.O. 12731).
 
 
PURPOSE(S):
    All records are maintained in accordance with the requirements of 
the Ethics in Government Act of 1978 and the Ethics Reform Act of 1989, 
as amended, and E.O. 12674 as modified. These requirements include the 
filing of financial status reports, reports concerning certain 
agreements between the covered individual and any prior private sector 
employer, ethics agreements, and the preservation of waivers issued to 
an officer or employee pursuant to section 208 of title 18 and 
certificates of divestiture issued pursuant to section 502 of the 
Ethics Reform Act. Such statements and related records are required to 
assure compliance with these acts and to preserve and promote the 
integrity of public officials and institutions. The requirements also 
include the possession or maintenance of information being researched 
or prepared for referral by ethics officials concerning employees or 
former employees of the Federal Government who are the subject of 
complaints of misconduct or alleged violations of ethics laws. These 
complaints may be referred to the Office of the Inspector General of 
the agency where the employee is or was employed or to the Department 
of Justice.
 
 
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    These records and information in these records may be used:
    a. To disclose the information furnished by the reporting official, 
in accordance with provisions of section 105 of the Ethics in 
Government Act of 1978, as amended, to any requesting person.
    b. To disclose, in accordance with section 105 of the Ethics in 
Government Act, as amended, and subject to the limitations contained in 
section 208(d)(1) of title 18, U.S.C., any determination granting an 
exemption pursuant to 208(b)(1) or 208(b)(3) of title 18, U.S.C., to 
any requesting person.
    c. To disclose pertinent information to the appropriate Federal, 
State, or local agency responsible for investigating, prosecuting, 
enforcing, or implementing a statute, rule, regulation, or order, where 
OGE becomes aware of an indication of a violation or potential 
violation of civil or criminal law or regulation.
    d. To disclose information to another Federal agency, to a court, 
or a party in litigation before a court or in an administrative 
proceeding being conducted by a Federal agency, either when the 
Government is a party to a judicial or administrative proceeding or in 
order to comply with a subpoena issued by a judge of a court of 
competent jurisdiction.
    e. To disclose information to any source when necessary to obtain 
information relevant to a conflict-of-interest investigation or 
determination.
    f. By the National Archives and Records Administration or the 
General Services Administration in records management inspections 
conducted under authority of 44 U.S.C. 2904 and 2906.
    g. To disclose information to the Office of Management and Budget 
at any stage in the legislative coordination and clearance process in 
connection with private relief legislation as set forth in OMB Circular 
No. A-19.
    h. To disclose information to the Department of Justice, or in a 
proceeding before a court, adjudicative body, or other administrative 
body before which OGE is authorized to appear, when: OGE; or an 
employee of OGE in his or her official capacity, or any employee of OGE 
in his or her individual capacity (where the Department of Justice or 
OGE has agreed to represent the employee); or the United States (when 
OGE determines that litigation is likely to affect OGE), is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice or OGE is deemed by OGE to be 
relevant and necessary to the litigation provided, however, that the 
disclosure is compatible with the purpose for which such records were 
collected.
    i. To disclose the public financial disclosure report and any 
accompanying documents to reviewing officials in a new office, 
department or agency when an employee transfers or is detailed from a 
covered position in one office, department or agency to a covered 
position in another office, department or agency.
    j. To disclose information to a Member of Congress or a 
congressional office in response to an inquiry made on behalf of an 
individual who is the subject of the record.
    k. To disclose information to contractors, grantees, experts, 
consultants, detailees, and other non-Government employees performing 
or working on a contract, service, or other assignment for the Federal 
Government, when necessary to accomplish an agency function related to 
this system of records.
 
 
    Note: When an agency is requested to furnish such records to the 
Director or other authorized officials of the Office of Government 
Ethics (OGE), such a disclosure is to be considered as made to those 
officers and employees of the agency which co-maintains the records 
who have a need for the records in the performance of their official 
duties in accordance with the Ethics in Government Act of 1978, 5 
U.S.C. app., and other ethics-related laws, Executive orders and 
regulations conferring pertinent authority on OGE, pursuant to the 
provision of the Privacy Act at 5 U.S.C. 552a(b)(1).
 
 
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    These records are maintained in paper and/or electronic form.
 
 
RETRIEVABILITY:
    These records are retrieved by the name or other programmatic 
identifier assigned to the individual on whom they are maintained.
 
 
SAFEGUARDS:
    These records are maintained in file cabinets which may be locked 
or in specified areas to which only authorized personnel have access. 
Electronic records are protected from unauthorized access through 
password identification procedures, limited access, firewalls and other 
system-based protection methods.
 
 
RETENTION AND DISPOSAL:
    In accordance with the National Archives and Records Administration 
General Records Schedule for ethics program records, these records are 
generally retained for a period of six years after filing, or for such 
other period of time as is provided for in that schedule for certain 
specified types of ethics records. In cases where records are filed by, 
or with respect to, a nominee for an appointment requiring confirmation 
by the Senate when the nominee is not appointed and Presidential and 
Vice-Presidential
 
 
[[Page 3101]]
 
 
candidates who are not elected, the records are generally destroyed one 
year after the date the individual ceased being under Senate 
consideration for appointment or is no longer a candidate for office. 
However, if any records are needed in an ongoing investigation, they 
will be retained until no longer needed in the investigation. 
Destruction is by shredding or electronic deletion.
 
 
SYSTEM MANAGER(S) AND ADDRESS:
    a. For records filed directly with the Office of Government Ethics 
by non-OGE employees: Deputy Director, Office of Agency Programs, 
Office of Government Ethics, Suite 500, 1201 New York Avenue, NW., 
Washington, DC 20005-3917;
    b. For records filed with a Designated Agency Ethics Official 
(DAEO) or the head of a department or agency: The DAEO at the 
department or agency concerned; and
    c. For records filed with the Federal Election Commission (FEC) by 
candidates for President or Vice President: The General Counsel, Office 
of General Counsel, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463.
 
 
NOTIFICATION PROCEDURE:
    Individuals wishing to inquire whether this system of records 
contains information about them should contact, as appropriate:
    a. For records filed directly with OGE by non-OGE employees, 
contact the OGE Deputy Director, Office of Agency Programs, Office of 
Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC 
20005-3917;
    b. For records filed with a Designated Agency Ethics Official 
(DAEO) or the head of a department or agency, contact the DAEO at the 
department or agency concerned; and
    c. For records filed with the FEC by candidates for President or 
Vice President, contact the FEC General Counsel, Federal Election 
Commission, 999 E Street, NW., Washington, DC 20463.
    Individuals wishing to make such an inquiry must furnish the 
following information for their records to be located and identified:
    a. Full name.
    b. Department or agency and component with which employed or 
proposed to be employed.
    c. Dates of employment.
    Individuals seeking to determine if a system contains information 
about them must also follow OGE's Privacy Act regulations regarding 
verification of identity (5 CFR part 2606).
 
 
RECORD ACCESS PROCEDURES:
    Individuals wishing to request access to their records should 
contact the appropriate office as shown in the Notification Procedure 
section. Individuals must furnish the following information for their 
records to be located and identified:
    a. Full name.
    b. Department or agency and component with which employed or 
proposed to be employed.
    c. Dates of employment.
    d. Reasonably specify the record content being sought.
    Individuals requesting access must also follow OGE's Privacy Act 
regulations regarding verification of identity and access to records (5 
CFR part 2606).
 
 
CONTESTING RECORD PROCEDURES:
    Since the information in these records is updated on a periodic 
basis, most record corrections can be handled through established 
administrative procedures for updating the records. However, 
individuals can obtain information on the procedures for contesting the 
records under the provisions of the Privacy Act by contacting the 
appropriate office shown in the Notification Procedure section.
 
 
RECORD SOURCE CATEGORIES:
    Information in this system of records is provided by:
    a. The subject individual or by a designated person, such as a 
trustee, attorney, accountant, banker, or relative.
    b. Federal officials who review the statements to make conflict of 
interest determinations.
    c. Persons alleging conflict of interests or violations of other 
ethics laws and persons contacted during any investigation of the 
allegations.
 
 
EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.