[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-2
 
 
SYSTEM NAME:
    Executive Branch Confidential Financial Disclosure Reports.
 
 
SECURITY CLASSIFICATION:
    None.
 
 
SYSTEM LOCATION:
    Individual agency ethics offices or other designated agency 
offices.
 
 
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Officers and employees in the executive branch whose position is 
classified at GS-15 or below of the General Schedule prescribed by 5 
U.S.C. 5332, or the rate of basic pay for which is fixed, other than 
under the General Schedule, at a rate which is less than 120% of the 
minimum rate of basic pay for GS-15 of the General Schedule; officers 
or employees of the United States Postal Service or Postal Rate 
Commission whose basic rate of pay is less than 120% of the minimum 
rate of basic pay for GS-15 of the General Schedule; members of a 
uniformed service whose pay grade is less than O-7 under 37 U.S.C. 201; 
and officers or employees in any other position determined by the 
Designated Agency Ethics Official to be of equal classification. In 
addition, all executive branch special Government employees as defined 
in 18 U.S.C. 202(a) and 5 CFR 2634.105(s) are required to file unless 
they are required to file public financial disclosure reports or their 
position has been excluded from filing. The system includes both 
current and former Federal employees in these categories.
 
 
CATEGORIES OF RECORDS IN THE SYSTEM:
    These records contain statements and amended statements of personal 
and family holdings and other interests in property; income; gifts and 
reimbursements; liabilities; agreements and arrangements; outside 
positions; and other information related to conflict of interest 
determinations. These statements may be certifications of no new 
interests for the reporting period, and may be agency supplemental or 
alternative confidential report forms.
 
 
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. App. (Ethics in Government Act of 1978); E.O. 12674 (as 
modified by E.O. 12731).
 
 
PURPOSE(S):
    These records are maintained to meet the requirements of or under 
Executive Orders 12674 as modified, 5 CFR part 2634, agency regulations 
thereunder, as well as section 107 of the Ethics in Government Act of 
1978, as amended, concerning the filing of confidential financial 
disclosure reports. Such reports are required to assure compliance with 
ethics laws and regulations, and to determine if an actual or apparent 
conflict of interest exists between the employment of individuals by 
the Federal Government and their outside employment and financial 
interests.
 
 
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    These confidential records and the information contained therein 
may be used:
 
 
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    a. 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.
    b. 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 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.
    c. To disclose information to any source when necessary to obtain 
information relevant to a conflict-of-interest investigation or 
determination.
    d. To 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.
    e. 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.
    f. 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.
    g. To disclose the confidential financial disclosure report or 
certificate of no new interests 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.
    h. 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.
    i. 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 located in locked file storage areas 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 such ethics program records, these records 
generally are retained for six years after filing, except when filed by 
or with respect to a nominee for an appointment requiring confirmation 
by the Senate when the nominee is not appointed. In such cases, the 
records are generally destroyed one year after the date the individual 
ceased being under Senate consideration for appointment. 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; and
    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.
 
 
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; or
    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.
    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 Designated Agency Ethics Official or designee at the agency 
where the reports were filed. 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
 
 
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record corrections can be handled through established administrative 
procedures for updating records. However, individuals can obtain 
information on the procedures for contesting the records under the 
provisions of the Privacy Act by contacting the Designated Agency 
Ethics Official or designee at the agency where the reports were filed.
 
 
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 conflicts of interests or other violations of 
ethics laws and persons contacted during any investigation of the 
allegations.
 
 
EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.