[Federal Register Volume 67, Number 118 (Wednesday, June 19, 2002)]
[Notices]
[Pages 41728-41729]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-15389]


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OFFICE OF GOVERNMENT ETHICS


Proposed Collection; Comment Request: Proposed Somewhat Revised 
OGE Form 201 Ethics Act Access Form

AGENCY: Office of Government Ethics (OGE).

ACTION: Notice.

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SUMMARY: After this first round notice and public comment period, OGE 
plans to submit a somewhat revised OGE Form 201, which is used by 
persons for requesting access to executive branch public financial 
disclosure reports and other covered records, to the Office of 
Management and Budget (OMB) for three-year approval under the Paperwork 
Reduction Act. This modified form will replace the existing one.

DATES: Comments by the agencies and the public on this proposal are 
invited and should be received by September 3, 2002.

ADDRESSES: Comments should be sent to Mary T. Donovan, Office of 
Administration and Information Management, Office of Government Ethics, 
Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917. 
Comments may also be sent electronically to OGE's Internet E-mail 
address at [email protected]. For E-mail messages, the subject line should 
include the following reference--``Paperwork comment on the proposed 
revised OGE Form 201.''

FOR FURTHER INFORMATION CONTACT: Ms. Donovan at the Office of 
Government Ethics; telephone: 202-208-8000, ext. 1185; TDD: 202-208-
8025; FAX: 202-208-8038. A mark-up copy of the proposed revised OGE 
Form 201 may be obtained, without charge, by contacting Ms. Donovan.

SUPPLEMENTARY INFORMATION: The Office of Government Ethics is planning 
to submit, after this notice and comment period (with any modifications 
that may appear warranted), a proposed somewhat revised OGE Form 201 
``Request to Inspect or Receive Copies of SF 278 Executive Branch 
Personnel Public Financial Disclosure Report or Other Covered Record'' 
for three-year approval by OMB under the Paperwork Reduction Act of 
1995 (44 U.S.C. chapter 35). Once finally approved by OMB and adopted 
by OGE, the modified version of this OGE form will replace the existing 
version.
    The Office of Government Ethics, as the supervising ethics office 
for the executive branch of the Federal Government under section 
109(18)(D) of the Ethics in Government Act (the Ethics Act), 5 U.S.C. 
appendix 109(18)(D), is planning to modify and update the existing 
access form. That form, the OGE Form 201 (OMB control # 3209-0002), 
collects information from, and provides certain information to, persons 
who seek access to SF 278 reports and other covered records. The form 
reflects the requirements of the Ethics Act and OGE's implementing 
regulations that must be met by a person before access can be granted. 
These requirements relate to information about the identity of the 
requester, as well as any other person on whose behalf a record is 
sought, and a notification of prohibited uses of SF 278 reports. See 
section 105(b) and (c) of the Ethics Act, 5 U.S.C. appendix 105(b) and 
(c), and 5 CFR 2634.603(c) and (f) of OGE's executive branchwide 
regulations thereunder. Executive branch departments and agencies are 
encouraged to utilize the OGE Form 201, but they can, if they so 
choose, continue to use or develop their own forms as long as they 
contain all the required information.
    The revisions proposed to part I of the OGE Form 201 would create: 
more space for requesters to enter their name, address, and 
organization; a request date block and an optional office FAX number 
block; received date and filled date blocks for agency use to 
facilitate internal administrative processing; and a type of applicant 
block to make internal processing easier. The Office of Government 
Ethics is also proposing a couple of minor stylistic changes to the 
form title (to pluralize the references to SF 278 reports and other 
covered records) and to reflect the new 2002 edition date, in addition 
to updating the OGE paperwork contact official to

[[Page 41729]]

reflect recent OGE organizational changes.
    Also, OGE proposes to add reference in part III of the form, on 
``other covered records,'' to two additional types of records that 
requesters may obtain by submitting the OGE Form 201. These types of 
``covered records'' are: OGE-approved gifts reporting waiver request 
cover letters and OGE-approved public reporting waiver request cover 
letters for certain less than 130-day special Government employees. See 
sections 102(a)(2)(C) and 101(i) of the Ethics Act, 5 U.S.C. appendix 
102(a)(2)(C) and 101(i) and 5 CFR 2634.304(f)(2) and 2634.205(b)(4) of 
OGE's executive branchwide regulations thereunder.
    In addition, OGE proposes to modify the Privacy Act Statement in 
part II of the form. The Office of Government Ethics is in the process 
of updating the OGE/GOVT-1 system of records notice (covering Executive 
Branch Public Financial Disclosure Reports and Other Ethics Program 
Records, and in which completed OGE Form 201's are maintained). As a 
result, the Privacy Act Statement, which includes paraphrases of the 
routine uses, on the proposed modified OGE Form 201 will be revised. As 
soon as possible, a summary of the anticipated changes relevant to that 
OGE Form 201 statement will be prepared for inclusion with the mark-up 
copy of the form as proposed for revision, which is available from OGE 
upon request.
    Once the new language in OGE's forthcoming Privacy Act regulation 
and systems notice is finalized (anticipated completion date is January 
2003), OGE will request permission from OMB to modify the OGE Form 201 
(with notice to OMB at that time) without further paperwork clearance 
even though the new wording will likely take effect after reclearance 
of the renewed form.
    Finally, in part II of the form, OGE notes that it will adjust the 
referenced civil monetary penalty for prohibited uses of an SF 278 to 
which access has been gained when it is again adjusted in the next year 
or two. The penalty, under section 104(a) of the Ethics Act, 5 U.S.C. 
appendix, section 104(a), will likely be raised from the current 
$11,000 figure once OGE and the Department of Justice issue their next 
respective inflation adjustment rulemakings, anticipated in the summer 
or fall of 2003, in accordance with the 1996 Debt Collection 
Improvement Act revisions to the 1990 Federal Civil Penalties Inflation 
Adjustment Act. See 28 U.S.C. 2461 note. The civil monetary penalty was 
last adjusted in 1999 (see OGE's final rule at 64 FR 47095-47097 
(August 30, 1999) and the Justice Department's final rule as codified 
at 5 CFR 85.3(a)(4) in particular, at 64 FR 47099-47104 on the same 
date). The future OGE rulemaking will again revise 5 CFR 2634.703 of 
the executive branch financial disclosure regulation to reflect the 
adjusted penalty. The Office of Government Ethics will request 
permission from OMB to revise the OGE Form 201 penalty amount reference 
once that adjustment takes effect (with notice to OMB at that time) 
without further paperwork clearance, even though the adjustment occurs 
after reclearance of the revised form. Moreover, any periodic future 
adjustments to that civil monetary penalty, pursuant to further 
rulemakings by OGE and the Justice Department under the inflation 
adjustment laws, will also be reflected in future editions of the form.
    The mark-up copy of the OGE Form 201 as proposed for revision, 
which is available from OGE (see the FOR FURTHER INFORMATION CONTACT 
section above), shows all the changes that would be made.
    In light of OGE's experience over the past three years (1999-2001), 
with a total of 667 non-Federal access requests received, the estimate 
of the average number of access forms expected to be filed annually at 
OGE by members of the public (primarily by news media, public interest 
groups and private citizens) is proposed to be adjusted from the 
current estimate of 172 to 222 (not counting access requests by other 
Federal agencies or Federal employees). The estimated average amount of 
time to complete the form, including review of the instructions, 
remains at ten minutes. Thus, the overall estimated annual public 
burden for the OGE Form 201 for forms filed at OGE will increase from 
29 hours in the current OMB paperwork inventory listing (172 forms X 10 
minutes per form--number rounded off) to 37 hours (222 forms X 10 
minutes per form--number rounded off). For the entire executive branch, 
OGE estimates that the overall usage of the form each year will average 
some 1,600.
    The Office of Government Ethics expects that the revised form 
should be ready, after OMB clearance, for dissemination to executive 
branch departments and agencies in the fall of 2002. The OGE Form 201 
as revised will continue to be made available free-of-charge as a 
downloadable Portable Document Format (PDF) file to the public as well 
as departments and agencies on OGE's Internet Web site (Uniform 
Resource Locator address: http://www.usoge.gov). The Office of 
Government Ethics will continue to permit departments and agencies to 
use the copy of the OGE Form 201 available on OGE's Web site or to 
develop and utilize their own, electronic versions of the OGE form, 
provided that they precisely duplicate the original to the extent 
possible. Agencies can also develop their own access forms, provided 
all the information required by the Ethics Act and OGE regulations is 
placed on such forms, along with the appropriate Privacy Act and 
paperwork notices with any attendant clearances being obtained by the 
agencies therefor.
    For now, OGE itself accepts filing of a completed OGE Form 201 by 
mail, FAX, or in person, but does not permit E-mail or Internet online 
transmission. Similarly, requested copies of reports or other covered 
records are supplied by OGE as hard (paper) copies.
    Public comment is invited on each aspect of the proposed somewhat 
revised OGE Form 201 as set forth in this notice, including 
specifically views on the need for and practical utility of this 
proposed modified collection of information, the accuracy of OGE's 
burden estimate, the enhancement of quality, utility and clarity of the 
information collected, and the minimization of burden (including the 
use of information technology).
    Comments received in response to this notice will be summarized 
for, and may be included with, the OGE request for OMB paperwork 
approval for this somewhat revised information collection. The comments 
will also become a matter of public record.

    Approved: June 12, 2002.
Amy L. Comstock,
Director, Office of Government Ethics.
[FR Doc. 02-15389 Filed 6-18-02; 8:45 am]
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