Subscribe

Email Updates
Sign up to stay informed about the latest happenings at Interior.

Subscribe

Sign up to stay informed about the latest happenings at Interior.
Email Updates
Sign up to stay informed about the latest happenings at Interior.
U.S. Department of the Interior
twitter facebook youtube tumblr instagram Google+ flickr
Resources for:


Share

Executive Branch Public Financial Disclosure Reports and Other Ethics Program Records



 
[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]
 
[[Page 3097]]
 
 
-----------------------------------------------------------------------
 
Part II

 
 
 
 
Office of Government Ethics

 
 
 
-----------------------------------------------------------------------
 

Privacy Act of 1974; Systems of Records; Notice
 
 
 
 
[[Page 3098]]
 
 
 
 
-----------------------------------------------------------------------
 
 
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.
 
 
-----------------------------------------------------------------------
 
 
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,
 
 
[[Page 3099]]
 
 
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
 
 
[[Page 3100]]
 
 
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.