[Federal Register Volume 71, Number 213 (Friday, November 3, 2006)]
[Notices]
[Pages 64708-64710]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-18554]


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OFFICE OF GOVERNMENT ETHICS


Proposed Collection; Comment Request for Unmodified SF 278 
Executive Branch Personnel Public Financial Disclosure Report

AGENCY: Office of Government Ethics (OGE).

ACTION: Notice.

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SUMMARY: The Office of Government Ethics is publishing this first round 
notice and seeking comment on the Standard Form (SF) 278 because it 
intends to submit the form for extension of approval (up to three 
years) by the Office of Management and Budget (OMB) under the Paperwork 
Reduction Act. OGE is making no changes to the SF 278 at this time. As 
in the past, OGE will ask agencies to notify filers of two updates to 
the information contained in the existing SF 278.

DATES: Written comments by the public and the agencies on this proposed 
extension are invited and must be received by January 2, 2007.

ADDRESSES: You may submit comments to OGE on this paperwork notice by 
any of the following methods:
     E-mail: [email protected]. (Include reference to ``SF 278 
Paperwork Comment'' in the subject line of the message).
     Fax: 202-482-9237.
     Mail, Hand Delivery/Courier: Office of Government Ethics, 
Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917, 
Attention: Paul D. Ledvina, Records Officer, Information Resources 
Management Division.

FOR FURTHER INFORMATION CONTACT: Mr. Ledvina at the Office of 
Government Ethics; telephone: 202-482-9281; TDD: 202-482-9293; fax: 
202-482-9237; e-mail: [email protected]. A copy of a blank SF 278 may be 
obtained, without charge, by contacting Mr. Ledvina. Also, a copy of a 
blank SF 278 is available through the Forms, Publications & Other 
Ethics Documents section of OGE's Web site at www.usoge.gov.

SUPPLEMENTARY INFORMATION: The Office of Government Ethics intends to 
submit, after this notice and comment period, the unmodified Standard 
Form 278 Executive Branch Personnel Public Financial Disclosure Report 
(OMB control number 3209-0001) for extension of approval for (up to) 
three years by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C. 
chapter 35). The current paperwork approval for the SF 278 expires at 
the end of November 2006. The Office of Government Ethics, as the 
supervising ethics office for the executive branch of

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the Federal Government under the Ethics in Government Act (the Ethics 
Act), is the sponsoring agency for the Standard Form 278. OGE will not 
seek General Services Administration (GSA) standard forms clearance for 
this extension because no modification to this standard form is 
proposed.
    In accordance with section 102 of the Ethics Act, 5 U.S.C. app. 
section 102, and OGE's implementing financial disclosure regulations at 
5 CFR part 2634, the SF 278 collects pertinent financial information 
from certain officers and high-level employees in the executive branch 
for conflicts of interest review and public disclosure. The SF 278 is 
also completed by individuals who are nominated by the President for 
high-level executive branch positions requiring Senate confirmation and 
new entrants to other public reporting positions in the executive 
branch. The financial information collected under the statute and 
regulations relates to: assets and income; transactions; gifts, 
reimbursements and travel expenses; liabilities; agreements or 
arrangements; outside positions; and compensation over $5,000 paid by a 
source--all subject to various reporting thresholds and exclusions.

Current Version of the SF 278

    The Office of Government Ethics is proposing no modifications to 
the SF 278 at this time. OGE will continue to make the unmodified SF 
278 available to departments and agencies and their reporting employees 
through the Forms, Publications & Other Ethics Documents section of 
OGE's Web site. This provides filers with two electronic options for 
preparing their report on a computer (as well as a downloadable blank 
form). There is also a link on the OGE Web site to another electronic 
version of the SF 278 maintained by the Department of Defense. In 
addition, GSA separately maintains two electronic versions of the form 
on its Web site (www.gsa.gov); paper forms can also be ordered through 
GSA.
    The Office of Government Ethics has determined that at this time, 
electronic filing of the SF 278 using an Internet-based system will not 
be permitted. A printout and manual signature of the form are still 
required unless otherwise specifically approved by OGE. Further 
developments on electronic filing may be forthcoming as part of a 
broader E-Gov initiative.

Agency Notification of Updates

    There are two ways in which the content of the current SF 278 
report form is affected. The first concerns adjustments in the gifts/
reimbursements reporting thresholds. The second involves revised 
routine use language contained in the Privacy Act Statement of the 
form. OGE is proposing no revisions to the SF 278, but will continue to 
ask executive branch departments and agencies to inform SF 278 filers, 
through cover memorandum or otherwise, of these two updates when the 
existing March 2000 edition of the SF 278 report forms are provided for 
completion. See OGE's August 25, 2003 memorandum to designated agency 
ethics officials (DO-03-015), posted in the ``DAEOgrams'' section of 
the OGE Web site. Information regarding these changes is also posted 
along with the SF 278 in the forms section of OGE's Web site. In 
addition, OGE will post on its Web site an updated summary of one of 
the Privacy Act routine uses on the report form (see discussion below).

Gifts/Reimbursements Reporting Thresholds

    Every three years OGE issues final rule amendments that revise the 
executive branch financial disclosure regulation to increase the 
aggregation and exception thresholds for reporting of gifts, 
reimbursements and travel expenses for the public and confidential 
report systems. See 5 U.S.C. app. section 102(a)(2)(A) & (B). The OGE 
aggregation threshold limits the total value of gifts and 
reimbursements from any one source. The exception threshold limits the 
value of individual gifts that must be counted toward the aggregation 
threshold.
    OGE's threshold adjustments are tied to the ``minimal value'' 
threshold of the Foreign Gifts and Decorations Act, as determined by 
GSA under 5 U.S.C. 7342. Since 2002, OGE has asked agencies to notify 
filers of the SF 278 of the updated adjustments to the reporting 
thresholds for gifts and reimbursements. Effective January 1, 2005, GSA 
raised the ``minimal value'' threshold under 5 U.S.C. 7342 to $305 or 
less for the three-year period 2005-2007. See 70 FR 2317-2318 (part V) 
(January 12, 2005). Following GSA's action, OGE advised agencies of the 
adjusted thresholds and revised its financial disclosure regulation to 
reflect the increase in the thresholds for SF 278 reporting of gifts 
and travel reimbursements received from any one source to ``more than 
$305'' for the aggregation level for reporting and to ``$122 or less'' 
for the de minimis aggregation exception threshold. See March 17, 2005 
memorandum to designated agency ethics officials (DO-05-007) and 70 FR 
12111-12112 (March 11, 2005). Both GSA and OGE rulemakings and OGE's 
memorandum are posted on the OGE Web site.

Privacy Act Statement

    In addition, OGE has updated the OGE/GOVT-1 Privacy Act system of 
records notice (covering SF 278 Public Financial Disclosure Reports and 
other name-retrieved ethics program records). See 68 FR 3097-3109 
(January 22, 2003), as corrected at 68 FR 24744 (May 8, 2003). As a 
result, the Privacy Act Statement, which includes summaries of the 
routine uses on page 11 of the instructions on the SF 278, is affected. 
As explained in the above-noted OGE memorandum DO-03-015 and the SF 278 
notice posted on OGE's Web site, the system notice update added three 
new routine uses applicable to SF 278 reports. Moreover, OGE will also 
ask agencies to inform filers of an update needed to the summary of the 
sixth listed routine use on the form in their periodic notifications to 
filers of changes to the SF 278. See revised routine use ``h'' at 68 FR 
3100 for the OGE/GOVT-1 records system notice. OGE has already updated 
that same sixth routine use summary for two of its other forms, the OGE 
Form 201 and the OGE Optional Form 450-A, and is preparing to do so for 
the proposed future modified OGE Form 450 for use starting in 2007. The 
first two forms are posted in the forms section of the OGE Web site; 
see the paperwork notices in 2005 and 2006 for the latter form posted 
in the Laws & Regulations section of OGE's Web site. A summary of the 
updates relevant to that SF 278 statement will be included with the 
paperwork clearance submission to OMB.

SF 278 Filers

    The SF 278 is completed by candidates, nominees, new entrants, 
incumbents and terminees of certain high-level positions in the 
executive branch of the Federal Government. These reports are routinely 
reviewed by the agencies concerned. The Office of Government Ethics, 
along with the agencies concerned, conducts the review of the SF 278 
reports of Presidential nominees subject to Senate confirmation and 
incumbents in and terminees from such positions.

Reporting Burden

    The Office of Government Ethics estimates, based on the agency 
ethics program questionnaire responses for 2003-2005, that an average 
of some 23,971 SF 278 report forms are filed annually at departments 
and agencies throughout the executive branch. Most of those executive 
branch filers are

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current Federal employees at the time they file. However, an estimated 
4.9 percent, or some 1,175 of the branchwide total SF 278 filers are 
members of the public, including private citizen Presidential nominees 
to positions subject to Senate confirmation (and their private 
representatives-lawyers, accountants, brokers and bankers), other 
private citizen prospective new entrants to reportable positions, and 
those who file termination reports from such positions after their 
Government service ends, and Presidential and Vice Presidential 
candidates. The OGE estimate covers the next three years, 2007-2009, 
including a significant increase in reports anticipated with the fall 
2008 Presidential election and following transition. The estimated 
average amount of time to complete the report form, including review of 
the instructions and gathering of needed information, remains the same 
as previously reported, at three hours. Thus, the overall estimated 
annual public burden for the SF 278 for the private citizen/
representative nominee and terminee report forms processed in executive 
branch agencies, and those report forms processed by the OGE, including 
private citizen Presidential and Vice Presidential candidates report 
forms, is 3,525 hours.
    The prior paperwork burden estimate for the 2003-2005 period was 
1,347 hours. This estimate was based upon an annual average of 449 SF 
278 forms, those received only at OGE from private citizen/
representative nominee and terminee filers, and Presidential and Vice 
Presidential candidates. The burden estimate for 2007-2009 is adjusted 
to cover private citizen filers in departments and agencies throughout 
the executive branch.

Consideration of Comments

    Public comment is invited on each aspect of the SF 278 Public 
Financial Disclosure Report as set forth in this notice, including 
specifically views on the need for and practical utility of this 
collection of information, the accuracy of OGE's burden estimate, the 
potential for enhancement of quality, utility and clarity of the 
information collected, and the minimization of burden (including the 
use of information technology).
    Any comments received in response to this notice will be summarized 
for, and may be included with, OGE's request to OMB for paperwork 
approval for this information collection. Comments will also become a 
matter of public record. After reviewing any comments received, OGE 
will also publish a second round notice in the Federal Register to 
inform the public and the agencies at the time it submits the request 
for OMB paperwork approval.

    Approved: October 26, 2006.
Robert I. Cusick,
Director, Office of Government Ethics.
 [FR Doc. E6-18554 Filed 11-2-06; 8:45 am]
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