[Federal Register Volume 88, Number 36 (Thursday, February 23, 2023)]
[Notices]
[Pages 11443-11445]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-03713]


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OFFICE OF GOVERNMENT ETHICS


Agency Information Collection Activities; Submission for OMB 
Review; Proposed Collection; Comment Request for a Modified OGE Form 
201 Request an Individual's Ethics Documents

AGENCY: Office of Government Ethics (OGE).

ACTION: Notice of request for agency and public comments.

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SUMMARY: After this second round notice and public comment period, the 
U.S. Office of Government Ethics (OGE) plans to submit a proposed 
modified OGE Form 201, Request an Individual's Ethics Documents (OGE 
Form 201) to the Office of Management and Budget (OMB) for review and 
approval of a three-year extension under the Paperwork Reduction Act of 
1995. The OGE Form 201 is used by persons requesting access to 
executive branch public financial disclosure reports and other covered 
records.

DATES: Written comments by the public and agencies on this proposed 
extension are invited and must be received by April 24, 2023.

ADDRESSES: Written comments and recommendations for the proposed 
information collection should be sent within 30 days of publication of 
this notice to www.reginfo.gov/public/do/PRAMain. Find this particular 
information collection by selecting ``Currently under 30-day Review--
Open for Public Comments'' or by using the search function.

FOR FURTHER INFORMATION CONTACT: McEvan Baum at the U.S. Office of 
Government Ethics; telephone: 202-482-9287; TTY: 800-877-8339; Email: 
[email protected]. An electronic copy of the OGE Form 201 version used to 
manually submit access requests to OGE or other executive branch 
agencies by mail or FAX is available in the Forms Library section of 
OGE's website at http://www.oge.gov. A paper copy may also be obtained, 
without charge, by contacting Mr. Baum.

SUPPLEMENTARY INFORMATION: 
    Title: OGE Form 201 Request an Individual's Ethics Documents.
    Agency Form Number: OGE Form 201.
    OMB Control Number: 3209-0002.
    Type of Information Collection: Extension with modifications of a 
currently approved collection.
    Type of Review Request: Regular.
    Respondents: Individuals requesting access to executive branch 
public financial disclosure reports and other covered records.
    Estimated Annual Number of Respondents: 19,000.
    Estimated Time per Response: 10 minutes.
    Estimated Total Annual Burden: 3,167 hours.
    Abstract: The OGE Form 201 collects information from, and provides 
certain information to, persons who seek access to OGE Form 278 Public 
Financial Disclosure Reports, including OGE Form 278-T Periodic 
Transaction Reports, and other covered records. The form reflects the 
requirements of the Ethics in Government Act, subsequent amendments 
pursuant to the STOCK Act, and OGE's implementing regulations that must 
be met by a person before access can be granted. These requirements 
include the address of the requester, as well as any other person on 
whose behalf a record is sought, and acknowledgement that the applicant 
is aware of the prohibited uses of executive branch public disclosure 
financial reports. See 5 U.S.C. 13107(b) and (c) and 13122(b)(1) and 5 
CFR 2634.603(c) and (f). Executive branch departments and agencies are

[[Page 11444]]

encouraged to utilize the OGE Form 201 for individuals seeking access 
to public financial disclosure reports and other covered documents. OGE 
permits departments and agencies to use or develop their own forms as 
long as the forms collect and provide all of the required information.
    OGE currently has OMB approval for two versions of the form, a PDF 
version and OGE's online application. The online version enables the 
applicant to electronically fill out, submit, and receive access to 
copies of the public financial disclosure reports certified by the U.S. 
Office of Government Ethics.
    OGE is proposing several changes to OGE Form 201, with the goals of 
(1) making the form more appropriate for use throughout the executive 
branch, and (2) providing applicants with clarifying information about 
the use of the form. The changes were developed with feedback from 
agency ethics officials across the executive branch, through a 
listening session and written comments. To the extent appropriate, the 
comments and feedback from agency ethics officials have been 
incorporated into the proposed revised form. The proposed changes are 
summarized below.
    OGE recently made nonsubstantive changes to the electronic version 
of the Form 201, simplifying the name from ``Request to Inspect or 
Receive Copies of Executive Branch Personnel Public Financial 
Disclosure Reports or Other Covered Records'' to ``Request an 
Individual's Ethics Documents.'' OGE now proposes to apply the new name 
to the PDF version as well, so that all versions of the form will have 
the same name.
    OGE proposes adding approximately two pages of supplemental 
information to the PDF version of the form in order to provide guidance 
to applicants regarding the use of the form. Specifically, the 
supplemental information provides guidance on which documents can be 
obtained by request via the form (including a description of such 
documents), which documents can be obtained from OGE as opposed to an 
individual's employing agency, and when and how to submit a request 
using the PDF version of the form. The changes avoid the use of the 
term ``other covered records,'' which was a point of confusion for 
applicants in the past. Instead, the supplemental information simply 
describes all documents available through use of the form, including a 
chart. OGE proposes to remove section III because that information will 
now be found more easily in the supplemental information.
    OGE proposes to make a number of changes to the PDF version of the 
form to align the form with plain language principles and to improve 
user experience. These changes include: adding the title to the face of 
the PDF version of the form; removing OGE's name, address, telephone 
number and fax number from the top of the form; adding ``Your'' in 
front of the name, mailing address, occupation, and telephone number 
fields; adding parentheticals containing the word ``required'' next to 
required fields; grouping fields 3 and 3a in section I together; and 
reformatting section I in order to make it easier for applicants to 
specify the type of report and time period in field 5, if applicable, 
and provide examples to the applicants in the instructions. OGE also 
proposes to add a continuation page to allow more space for fields 5 
and 5a.
    OGE proposes moving the ``Agency Use Only'' box on the PDF version 
of the form to the end of section II (``Notice of Action''), marking it 
``optional,'' and expanding it. Moving it to the end of section II will 
group together all portions of the form to be completed by the 
applicant, thereby minimizing the potential for missing information or 
omitting a signature that would delay processing. The proposed 
additions add space for information on requests that are not filled and 
additional notes in order to provide more information to applicants 
about why a document was or was not released. Likewise, OGE proposes to 
remove the checkbox in section II indicating that ``Copies of the 
report(s) or other covered record(s) you requested are enclosed'' as 
duplicative of the information in the revised ``Agency Use Only'' box.
    OGE proposes changing the applicant choices on all versions of the 
form by changing ``private citizen'' to ``member of the public;'' 
combining ``law firm'' and ``other private organization'' into simply 
``private organization;'' and adding an option for ``other.'' The 
purpose of these changes is to modernize the language and make 
selecting a choice easier for the applicant.
    In the applicant signature section on all versions of the form, OGE 
proposes to broaden language to address all potential requested 
records. The revised language would read: ``I am aware that in 
completing this official government form that any intentionally false 
or misleading statement, certification, or response provided in this 
form is a violation of law punishable by a fine or imprisonment, or 
both, under 18 U.S.C. 1001.''
    Finally, on the PDF version of the form, OGE proposes adding the 
option for applicants to provide an email address in lieu of a mailing 
address, while also removing the ``Pick-up'' option. These changes are 
based on agency feedback that almost every request is filled using 
email and that few agencies allow for applicants to pick up documents. 
Use of email also helps with record keeping and cuts down significantly 
on processing time, allowing applicants to receive their documents 
quickly. OGE also proposes to remove the checkbox for the ``Picked up 
by'' from section II, as that option would be eliminated. The online 
application currently requires applicants to provide an email address 
and applicants who use the online application may only receive a 
response via email. OGE now proposes to remove the unnecessary street 
address field from the online application, to reduce the information 
burden on applicants.
    A Federal Register Notice with a 60-day comment period soliciting 
comments on this information collection was published on November 2, 
2022 (87 FR 66188). OGE did not receive any comments in response. 
However, after further review OGE proposes to make additional 
nonsubstantive changes to both versions of the form designed to improve 
user experience and readability. The additional changes are as follows:

 Nonmaterial wording changes to field descriptions and 
instructions to improve readability and consistency throughout the form 
(PDF version only)
 Nonmaterial changes in punctuation and capitalization to 
improve readability and consistency throughout the form (PDF version 
only)
 Update to the Public Burden Information section to accurately 
reflect the location of the OMB control number
 Changes to buttons and other aspects of the user interface to 
make navigation easier (PDF version only)
 Updates to the Ethics in Government Act of 1978 citations to 
accurately reflect the recent recodification of that statute
 Update to the penalty amount in the applicant signature 
section based on a recent statutory update

    Request for Comments: Agency and public comment is invited 
specifically on the need for and practical utility of this information 
collection, the accuracy of OGE's burden estimate, the enhancement of 
quality, utility and clarity of the information collected, and

[[Page 11445]]

the minimization of burden (including the use of information 
technology). Comments received in response to this notice will be 
summarized for and included with the OGE request for extension of OMB 
paperwork approval. The comments will also become a matter of public 
record.
    Specifically, OGE seeks public comment on the following:
     What problems do you have using the form?
     Are there sections of the form or instructions that are 
unclear?
     Is there information provided that is confusing?
     What additional information would be helpful?

    Approved: February 16, 2023.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2023-03713 Filed 2-22-23; 8:45 am]
BILLING CODE 6345-03-P