[Federal Register Volume 84, Number 174 (Monday, September 9, 2019)]
[Notices]
[Pages 47303-47306]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-19372]


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OFFICE OF GOVERNMENT ETHICS


Privacy Act of 1974; Systems of Records

AGENCY: Office of Government Ethics (OGE).

ACTION: Notice of a modified system of records.

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SUMMARY: OGE proposes to revise an existing Governmentwide system of 
records under the Privacy Act, covering Executive Branch Personnel 
Public Financial Disclosure Reports and Other Name-Retrieved Ethics 
Program Records.

DATES: This action will be effective without further notice on November 
8, 2019 unless comments received before this date would result in a 
contrary determination.

ADDRESSES: Comments may be submitted to OGE by any of the following 
methods:
    Email: [email protected] (Include reference to ``OGE/GOVT-1'' in the 
subject line of the message.)
    Mail, Hand Delivery/Courier: Office of Government Ethics, 1201 New 
York Avenue NW, Suite 500, Attention: Jennifer Matis, Associate 
Counsel, Washington, DC 20005-3917.
    Instructions: Comments may be posted on OGE's website, www.oge.gov. 
Sensitive personal information, such as account numbers or Social 
Security numbers, should not be included. Comments generally will not 
be edited to remove any identifying or contact information before 
posting.

FOR FURTHER INFORMATION CONTACT: Jennifer Matis at the U.S. Office of 
Government Ethics; telephone: 202-482-9216; TTY: 800-877-8339; FAX: 
202-482-9237; Email: [email protected].

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
5 U.S.C. 552a, this document provides public notice that OGE is 
proposing to revise and update the OGE/GOVT-1 Governmentwide system of 
records in several respects. A Governmentwide system of records is a 
system of records where one agency (in this case, OGE) has regulatory 
authority over records in the custody of multiple agencies and the 
agency with regulatory authority publishes a system of records notice 
that applies to all of the records regardless of their custodial 
location.
    OGE proposes to add or modify several routine uses to allow for 
greater transparency into executive branch ethics records. 
Specifically, the new routine use (l.) permits OGE to make public 
without restriction a certificate of divestiture issued by OGE. The new 
routine use (m.) permits OGE to make public without restriction waivers 
of the requirements contained in Executive Order 13770 ``Ethics 
Commitments by Executive Branch Appointees'' (January 28, 2017) or any 
superseding Executive order. OGE also proposes to modify routine use 
(k.) (formely routine use (l.)) to clarify that certifications of 
ethics agreement compliance may be disclosed in the same manner as the 
ethics agreements themselves. Notwithstanding any of these changes, 
however, OGE will continue to release documents only to the extent 
consistent with 5 CFR 2634.603(b).
    These changes further the purposes of the Freedom of Information 
Act, as amended, 5 U.S.C. 552, and the Office of Management and 
Budget's (OMB) Open Government Directive, M-10-06, (December 8, 2009). 
OGE's prevention mission involves engaging the public to inform them 
about the systems in place to detect and resolve conflicts of interests 
of their Government leaders. This, in turn, allows the public to engage 
in overseeing the integrity of its Government and increases public 
confidence in Government decisionmaking. Accordingly, promoting 
transparency into the executive branch ethics program is also a key 
element of OGE's 2018-2022 Strategic Plan, which sets forth strategic 
objectives to Inform the Public about OGE and the Executive Branch 
Ethics Program (Strategic Objective 4.1) and Make Ethics Information 
Publicly Available (Strategic Objective 4.2). Moreover, OGE's 
stakeholders, including non-governmental organizations, Congress, and 
the general public, have expressed interest in increased transparency 
into the ethics commitments made by executive branch officials.
    In addition to these changes promoting transparency, OGE proposes 
to modify routine use (h.) (formerly routine use (i.)) to explicitly 
indicate that statements notifying an employee's supervising ethics 
office of the commencement of negotiations for future employment or 
compensation, or of an agreement for future employment or compensation, 
may be disclosed to reviewing officials in a new office, department, or 
agency when an employee transfers or is detailed from one covered 
position to another. These statements, mandated by the Representative 
Louise McIntosh Slaughter Stop Trading on Congressional Knowledge Act 
(STOCK Act), Public Law 112-105 (2012), are commonly called ``STOCK Act 
notifications.'' It is OGE's position that such disclosures are 
currently permitted

[[Page 47304]]

pursuant to routine use (d.) (formerly routine use (e.)). However, this 
change would provide greater clarity for agency ethics officials and 
executive branch employees who may not realize that such a disclosure 
is permitted under the current language.
    OGE proposes to add two additional new routine uses as required by 
OMB Memorandum ``Preparing for and Responding to a Breach of Personally 
Identifiable Information,'' M-17-12, (January 3, 2017). These new 
routine uses allow agencies to disclose information when necessary to 
respond to a suspected or confirmed breach or to prevent, minimize, or 
remedy harm resulting from such a breach.
    OGE proposes to modify routine uses (g.) (formerly routine use 
(h.)) and (i.) (formerly routine use (j.)) and remove the old routine 
use (d.) in accordance with OMB and Department of Justice guidance and 
applicable case law. The remaining routine uses have been re-designated 
accordingly.
    OGE proposes to change the description of the categories of 
individuals covered by the system of records to make it more clear and 
easy to understand. By eliminating much of the technical description, 
the new language is more concise and consistent with plain language 
goals. No substantive change in the categories of individuals covered 
by the system of records is proposed.
    Finally, the changes will update the system manager and 
notification procedure in accordance with OGE's current organizational 
structure, update the authority for maintenance of the system, update 
the administrative, technical, and physical safeguards, clarify the 
language in the ``Purpose'' section, and make minor editorial changes.
    Accordingly, the Office of Government Ethics is publishing the 
following notice of a revised Governmentwide system of records covering 
Executive Branch Personnel Public Financial Disclosure Reports and 
Other Name-Retrieved Ethics Program Records:

SYSTEM NAME AND NUMBER:
    OGE/GOVT-1, Executive Branch Personnel Public Financial Disclosure 
Reports and Other Name-Retrieved Ethics Program Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Office of Government Ethics, Suite 500, 1201 New York Avenue NW, 
Washington, DC 20005-3917, and designated agency ethics offices.

SYSTEM MANAGER(S):
    a. For records filed directly with the Office of Government Ethics 
by non-OGE employees: General Counsel, 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.
    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.
    d. For general questions about this system of records, contact the 
OGE Senior Agency Official for Privacy, Office of Government Ethics, 
Suite 500, 1201 New York Avenue NW, Washington, DC 20005-3917.

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); E.O. 
13770 or any superseding Executive order; Representative Louise 
McIntosh Slaughter Stop Trading on Congressional Knowledge Act (STOCK 
Act), Public Law 112-105 (2012); 5 CFR part 2634.

PURPOSE(S) OF THE SYSTEM:
    All records are collected and maintained in accordance with the 
requirements of the Ethics in Government Act of 1978 and the Ethics 
Reform Act of 1989, as amended, and Executive Order 12674, as modified, 
and OGE and agency regulations thereunder. These records include the 
filing of financial disclosure reports and ethics agreements, waivers 
issued to an officer or employee pursuant to section 208 of title 18 or 
Executive order, and certificates of divestiture issued pursuant to 
section 502 of the Ethics Reform Act. Such reports and related records 
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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system of records contains records about individuals whose 
positions have been designated as public financial disclosure filing 
positions in accordance with 5 U.S.C. app. 101 and 5 CFR 2634.202. This 
system of records 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 in Government 
Act. This system of records 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 of records 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 in 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., or pursuant to Executive orders; 
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 employees who are or have been the subject of 
conflicts of interest or standards of conduct inquiries or

[[Page 47305]]

determinations, or employees who are alleged to have violated 
department, agency or Federal ethics statutes, rules, regulations or 
Executive orders. Such information may include correspondence, 
documents or material concerning an individual's conduct, reports of 
investigations with related exhibits, statements, affidavits or other 
records obtained during an inquiry. The information does not include 
information from confidential financial disclosure reports, which is 
maintained in OGE/GOVT-2, Executive Branch Confidential Financial 
Disclosure Reports.
    These records 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 and decisions and reports on 
legal or disciplinary action resulting from any referred administrative 
action or prosecution.

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.

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 information furnished in accordance with sections 
105 and 402(b)(1) of the Ethics in Government Act of 1978, 5 U.S.C. 
app., as amended, and subject to the limitations contained therein, to 
any requesting person.
    b. To disclose to any requesting person, 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. These determinations are commonly called ``conflict 
of interest waivers.''
    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 
the disclosing agency becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    d. To disclose information to any source when necessary to obtain 
information relevant to a conflict-of-interest investigation or 
determination.
    e. To disclose information 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.
    f. 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.
    g. To disclose information when the disclosing agency determines 
that that the records are arguably relevant to a proceeding before a 
court, grand jury, or administrative or adjudicative body; or in a 
proceeding before an administrative or adjudicative body when the 
adjudicator determines the records to be relevant to the proceeding.
    h. To disclose the public financial disclosure report and any 
accompanying documents, including statements notifying an employee's 
supervising ethics office of the commencement of negotiations for 
future employment or compensation or of an agreement for future 
employment or compensation pursuant to section 17 of the STOCK Act 
(Pub. L. 112-105), 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.
    i. To disclose information to a Member of Congress or a 
congressional office in response to an inquiry made on behalf of, and 
at the request of, an individual who is the subject of the record.
    j. 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.
    k. To disclose on the OGE website and to otherwise disclose to any 
person, including other departments and agencies, any written ethics 
agreements, including certifications of ethics agreement compliance, 
filed with the Office of Government Ethics, pursuant to 5 CFR 2634.803, 
by an individual nominated by the President to a position requiring 
Senate confirmation when the position also requires the individual to 
file a public financial disclosure report.
    l. To disclose on the OGE website and to otherwise disclose to any 
person, including other departments and agencies, any certificate of 
divestiture issued by the Office of Government Ethics, pursuant to 26 
U.S.C. 1043.
    m. To disclose on the OGE website and to otherwise disclose to any 
person, including other departments and agencies, any waiver issued by 
the President or the President's designee of the restrictions contained 
in Executive Order 13770 ``Ethics Commitments by Executive Branch 
Appointees'' (January 28, 2017) or any superseding Executive order.
    n. To disclose information to appropriate agencies, entities, and 
persons when: (1) The agency maintaining the records suspects or has 
confirmed that there has been a breach of the system of records; (2) 
the agency maintaining the records has determined that as a result of 
the suspected or confirmed breach there is a risk of harm to 
individuals, the agency (including its information systems, programs, 
and operations), the Federal Government, or national security; and (3) 
the disclosure made to such agencies, entities, and persons is 
reasonably necessary to assist in connection with the agency's efforts 
to respond to the suspected or confirmed breach or to prevent, 
minimize, or remedy such harm.
    o. To disclose information to another Federal agency or Federal 
entity, when the agency maintaining the record determines that 
information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.

    Note: When an agency is requested to furnish records in this 
system of 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 provisions of the Privacy Act at 5 
U.S.C. 552a(b)(1).



[[Page 47306]]

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    These records are maintained in paper and/or electronic form.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    These records are retrieved by the name or other programmatic 
identifier assigned to the individual about whom they are maintained.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    In accordance with the National Archives and Records Administration 
General Records Schedule 2.8 Employee Ethics 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 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.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    These records are maintained in file cabinets which may be locked 
or in specified areas to which only authorized personnel have access. 
Access to the data in the executive branch-wide Integrity public 
financial disclosure information system and OGE electronic systems is 
protected by electronic controls, such as multifactor authentication 
and password protection. Access to the systems is controlled based on 
user roles and responsibilities. Executive branch agencies control 
their users' access to information in Integrity and are responsible for 
properly safeguarding the records maintained in their systems.

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. A reasonably specific description of the record content being 
sought.
    Individuals requesting access to records maintained at OGE must 
also follow OGE's Privacy Act regulations regarding verification of 
identity and access to records (5 CFR part 2606).

CONTESTING RECORD PROCEDURES:
    Because 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.

NOTIFICATION PROCEDURES:
    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 General Counsel, 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 an OGE system of records 
contains information about them must also follow OGE's Privacy Act 
regulations regarding verification of identity (5 CFR part 2606).

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This system of records was originally published in full at 55 FR 
6327 (Feb. 22, 1990) and subsequently amended by the following notices: 
68 FR 3097 (Jan. 22, 2003); 68 FR 24744 (May 8, 2003); 76 FR 24489 (May 
2, 2011); 77 FR 45353 (July 31, 2012); 78 FR 73863 (Dec. 9, 2013).

    Approved: September 4, 2019.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2019-19372 Filed 9-6-19; 8:45 am]
 BILLING CODE 6345-03-P