[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.