[Federal Register Volume 84, Number 174 (Monday, September 9, 2019)]
[Notices]
[Pages 47301-47303]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-19373]


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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 Confidential 
Financial Disclosure Reports.

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-2'' 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-2 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 SORN that applies to all 
of the records regardless of their custodial location.
    OGE proposes to add two 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 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. Likewise, OGE proposes to update 
the retention and disposal information to reflect the current General 
Records Schedule retention and disposal requirements for these records.
    OGE proposes to modify routine uses (e.) (formerly routine use 
(f.)) and (g.) (formerly routine use (h.)) and remove the old routine 
use (b.) in accordance with OMB and Department of Justice guidance and 
applicable case law. The remaining routine uses have been re-designated 
accordingly.
    Finally, the changes will update the authority for maintenance of 
the system, the categories of records in the system, and the 
administrative, technical, and physical safeguards, update the system 
manager and notification procedure in accordance with OGE's current 
organizational structure, 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 proposed revised Governmentwide system of records 
covering Executive Branch Confidential Financial Disclosure Reports:

SYSTEM NAME AND NUMBER:
    OGE/GOVT-2, Executive Branch Confidential Financial Disclosure 
Reports.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Individual agency ethics offices or other designated agency 
offices.

SYSTEM MANAGER(S):
    These records are maintained in the department or agency where the 
reports are filed. For questions about a particular report, contact the 
Designated Agency Ethics Official (DAEO) at the department or agency 
concerned. 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. app. (Ethics in Government Act of 1978); E.O. 12674 (as 
modified by E.O. 12731); 5 CFR part 2634.

PURPOSE(S) OF THE SYSTEM:
    These records are collected and maintained to meet the requirements 
of Executive Order 12674, as modified, 5 CFR part 2634, and 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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Officers and employees in the executive branch whose positions have 
been designated as confidential financial disclosure filing positions 
in accordance with 5 CFR 2634.904 and 5 U.S.C. app. 107. In addition, 
all executive branch special Government

[[Page 47302]]

employees (SGE) 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 positions have been excluded from filing. 
The system of records 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 include completed copies of the OGE 
Form 450 and completed copies of agency supplemental or alternative 
confidential report forms.

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.

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:
    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 
the disclosing agency becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    b. To disclose information to any source when necessary to obtain 
information relevant to a conflict-of- interest investigation or 
determination.
    c. 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.
    d. 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.
    e. 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.
    f. 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.
    g. 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.
    h. 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.
    i. 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.
    j. 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).

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 on 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 
generally are retained for six years after filing, except when filed by 
or with respect to a nominee and the nominee ceases to be under 
consideration for the position. 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:
    With regard to OGE records, 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. Executive 
branch agencies 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 DAEO 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.

[[Page 47303]]

    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 records. However, individuals 
can obtain information on the procedures for contesting the records 
under the provisions of the Privacy Act by contacting the DAEO or 
designee at the agency where the reports were filed.

NOTIFICATION PROCEDURES:
    Individuals wishing to inquire whether this system of records 
contains information about them should contact the DAEO at the 
department or agency concerned. For records maintained at OGE, contact 
the OGE Senior Agency Official for Privacy, Office of Government 
Ethics, Suite 500, 1201 New York Avenue NW, Washington, DC 20005-3917.
    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 where employed or where 
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 68 FR 3097 (Jan. 22, 
2003) and 68 FR 24744 (May 8, 2003).

    Approved: September 4, 2019.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2019-19373 Filed 9-6-19; 8:45 am]
 BILLING CODE 6345-03-P