[Federal Register Volume 88, Number 101 (Thursday, May 25, 2023)]
[Notices]
[Pages 33884-33887]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-10292]


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OFFICE OF GOVERNMENT ETHICS


Privacy Act of 1974; System Records

AGENCY: Office of Government Ethics.

ACTION: Notice of a new system of records.

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SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, the 
Office of Government Ethics (OGE) proposes to establish a new 
Governmentwide system of records covering executive branch legal 
expense fund trust documents, reports, and other name-retrieved legal 
expense fund records.

DATES: This system of records will be effective on May 25, 2023, 
subject to a 30-day period in which to comment on the routine uses, 
described below. Please submit any comments by June 26, 2023.

ADDRESSES: 
    Email: Comments may be submitted to OGE by email to [email protected]. 
(Include reference to ``OGE/GOVT-3 comment'' 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.
    Comments may be posted on OGE's website, https://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.

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

SUPPLEMENTARY INFORMATION: OGE is concurrently adding a new subpart J 
to the Standards of Ethical Conduct for Executive Branch Employees at 5 
CFR part 2635. See 87 FR 23769 (Apr. 21, 2022). The new subpart J 
contains the standards for an employee's acceptance of payments for 
legal expenses through a legal expense fund for a matter arising in 
connection with the employee's official position, the employee's prior 
position on a campaign, or the employee's prior position on a 
Presidential Transition Team.
    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, this 
document provides public notice that OGE is creating a new 
Governmentwide system of records to cover records collected, generated, 
maintained, and disclosed under OGE's legal expense fund (LEF) 
regulation published at 5 CFR part 2635, subpart J. 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.
    This system of records covers the information required to be 
collected, generated, maintained, and disclosed by executive branch 
agencies pursuant to the new subpart J, including

[[Page 33885]]

information from current Federal employees establishing, maintaining, 
and terminating legal expense funds, and information from legal expense 
fund trustees, donors, and payees. The system of records also permits 
agencies and OGE to share legal expense fund information with each 
other as necessary to administer the provisions of the regulation, and 
permits the posting of such information on OGE's website as required by 
the regulation.
    The LEF regulation requires that employees who wish to establish a 
legal expense fund do so through a trust with a single, named employee 
beneficiary and a trustee. It also requires an employee beneficiary to 
file quarterly reports that include information regarding members of 
the public who contribute payments for legal expenses (donors) and 
members of the public who receive payments from a legal expense fund 
(payees), as well as termination reports upon the termination of the 
trust and/or executive branch employment. The trust documents, 
quarterly reports, and termination reports will be posted directly on 
OGE's website in accordance with 5 CFR 2635.1007(g). These trust 
documents and reports are generally first submitted to the Designated 
Agency Ethics Officials (DAEO) at the beneficiary's employing agency 
but transmitted to OGE for posting. However, the regulation permits 
anonymous whistleblowers to choose to submit their trust document and 
reports directly to OGE. DAEOs who create a LEF will also submit their 
trust document and reports directly to OGE.
    This system of records also covers information collected or 
generated by executive branch agencies in the course of administering 
the LEF regulation, including information necessary to track and review 
LEF trust documents, quarterly reports, and termination reports, and 
information relevant to conflict-of-interest determinations.

System Name and Number:
    OGE/GOVT-3, OGE Legal Expense Fund Trust Documents, Reports, and 
Other Name-Retrieved Records.

Security Classification:
    Unclassified.

System Location:
    Office of Government Ethics, 1201 New York Avenue NW, Suite 500, 
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 Officials 
(DAEO) at the agency where the employee beneficiary is employed: The 
DAEO at the department or agency concerned.

Authority for Maintenance of The System:
    Title IV of the Ethics in Government Act of 1978, 5 U.S.C. 13101 et 
seq.; sections 201(a) and 403 of Executive Order 12674 (as modified by 
E.O. 12731); 5 U.S.C. 7301, 7351(c), and 7353(b)(1); 5 CFR part 2635, 
subpart J.

Purpose(s) of The System:
    The purpose of the system is to collect, generate, maintain, and 
disclose the information necessary to administer the provisions of the 
OGE legal expense fund (LEF) regulation at 5 CFR part 2635, subpart J. 
This includes, but is not limited to, obtaining information relevant to 
a conflict-of-interest determination and disclosing information on the 
OGE website pursuant to the regulation. It contains information from 
executive branch employees establishing legal expense funds as well as 
information regarding legal expense fund trustees, donors, and payees. 
It also contains related information collected or generated by OGE or 
other agencies in the process of collecting, reviewing, tracking, 
maintaining, and disclosing legal expense fund records. The system of 
records also permits agencies and OGE to share legal expense fund 
information with each other as necessary to administer the provisions 
of the regulation and permits the posting of such information on OGE's 
website as required by the regulation.
    Although all beneficiaries must be current executive branch 
employees at the time the legal expense fund is created, information 
may be collected or remain in the system of records after the employee 
beneficiary has left employment with the executive branch.

Categories of Individuals Covered by The System:
    This system of records contains records about executive branch 
employees who seek to create a legal expense fund, pursuant to 5 CFR 
part 2635, subpart J, for the purpose of accepting donations and 
disbursing payments for legal expenses for a matter arising in 
connection with the employee's past or current official position, the 
employee's prior position on a campaign, or the employee's prior 
position on a Presidential Transition Team. Information may be 
collected or remain in the system of records after the employee 
beneficiary has left employment with the executive branch. This system 
also contains records about members of the public who contribute 
payments for legal expenses (donors), members of the public who receive 
payments from a legal expense fund (payees), and members of the public 
who serve as a beneficiary's trustee or representative in establishing 
and maintaining a legal expense fund.

Categories of Records in The System:
    This system of records contains all information or material, 
retrieved by name or other personal identifier, which is created or 
received by OGE or other agencies in the course of administering the 
legal expense fund provisions of the regulation at 5 CFR part 2635, 
subpart J. The system of records also contains records generated by 
agencies in the course of administering the legal expense fund 
provisions of 5 CFR part 2635, subpart J. The categories of records 
include, but are not limited to, the following:
     legal expense fund trust documents;
     quarterly reports;
     trust termination reports;
     employment termination reports;
     names and contact information of beneficiaries, 
beneficiary representatives, donors, and trustees; and
     tracking information and deliberative notes generated by 
the review of legal expense fund trust documents submitted for 
approval, quarterly reports, trust termination reports, and employment 
termination reports.
    The data elements contained on these records include, but are not 
limited to, names, city and state of donor, employment information, 
information about contribution amounts, information about fund payments 
to service providers, and information about the purpose for which the 
legal expense fund was created. None of the records in the system of 
records shall contain Social Security numbers.

Record Source Categories:
    Information in this system of records is provided by:
    a. The beneficiary of the legal expense fund and the legal expense 
fund's trustee or representative;
    b. Donors who contribute to the legal expense fund for the payment 
of legal expenses;
    c. Payees who receive payments distributed from a legal expense 
fund; and
    d. Executive branch employees, such as agency ethics officials and 
OGE

[[Page 33886]]

employees, who generate information and documents related to legal 
expense funds in the system in the course of their official duties.
    As stated in the preamble to the proposed rule, OGE will create a 
form to collect information for the quarterly reports, trust 
termination reports, and employment termination reports. OGE will 
provide beneficiaries and trustees with a template for collecting 
information from donors and payees, as well as guidance on drafting 
trust documents. Together, this information collection is titled ``OGE 
Legal Expense Fund Information Collection'' and is subject to Paperwork 
Reduction Act approval by the Office of Management and Budget.

Routine Uses of Records Maintained in The System, Including Categories 
of Users and The Purposes of Such Uses:
    These records and the information contained therein may be used:
    a. To disclose information to authorized officials of OGE or the 
beneficiary's employing agency in accordance with the Ethics in 
Government Act of 1978, 5 U.S.C. 13101 et seq., 5 CFR part 2635, 
subpart J, and other ethics-related laws, Executive orders, and 
regulations conferring pertinent authority on OGE.
    b. To disclose information to the beneficiary's designated trustee 
or representative as necessary for the administration of the provisions 
of 5 CFR part 2635, subpart J.
    c. To disclose on the OGE website legal expense fund trust 
documents, quarterly reports, and termination reports submitted to an 
agency pursuant to 5 CFR part 2635, subpart J.
    d. 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.
    e. To disclose information to any source when necessary to obtain 
information relevant to a conflict-of-interest investigation or 
determination.
    f. To disclose information to the National Archives and Records 
Administration in records management inspections conducted under 
authority of 44 U.S.C. 2904 and 2906.
    g. 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.
    h. To disclose information when the disclosing agency determines 
that the records are arguably relevant and necessary 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 and necessary to the 
proceeding.
    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 information to such recipients and under such 
circumstances and procedures as are mandated by Federal statute or 
treaty.
    l. 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.
    m. 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.

Policies and Practices for Storage of Records:
    These records are maintained in electronic form, whenever possible. 
Records may be maintained in hardcopy form if necessary, as long as 
they are maintained in secured file cabinets to which only authorized 
personnel have access.

Policies and Practices for Retrieval of Records:
    The data will be retrieved by the names of all of the individuals 
identified in the ``Categories of Individuals Covered by the System'' 
section, as well as by other data points such as agency name, type of 
document, quarter and year, and/or report type. Beneficiaries, 
trustees, representatives, donors, and payees will all be provided with 
notices in accordance with 5 U.S.C. 552a(e)(3).

Policies and Practices for Retention and Disposal of Records:
    OGE records dispositions are pending. Related records will be 
maintained as permanent as required by the National Archives and 
Records Administration (NARA) until NARA has approved the retention and 
disposition schedule related to records for 5 CFR part 2635, subpart J.

Administrative, Technical, and Physical Safeguards:
    Records should be maintained and managed electronically whenever 
possible. Hardcopy records are maintained in secured file cabinets to 
which only authorized personnel have access. OGE maintains electronic 
records on the OGE network, including in OGE internal applications. 
They are protected from unauthorized access through password 
identification procedures, multifactor authentication, limited access, 
firewalls, and other system-based protection methods. Access to the 
systems is controlled based on user roles and responsibilities. Other 
executive branch agencies are responsible for properly safeguarding the 
records maintained in their systems using equivalent safeguards.

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, if 
applicable.
    c. Date the legal expense fund was established, if applicable.
    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

[[Page 33887]]

access to records (5 CFR part 2606). In addition, individuals seeking 
access to records filed with the DAEO at the agency where the employee 
beneficiary is employed must follow that agency's regulations regarding 
verification of identity and access to records.

Contesting Record Procedures:
    Because the information in these records is updated on a periodic 
basis, most record corrections can be handled through internal agency 
procedures for updating the records without the need for a formal 
request to amend pursuant to the Privacy Act. 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.
    Individuals requesting records corrections of records maintained at 
OGE must also follow OGE's Privacy Act regulations regarding 
verification of identity and access to records (5 CFR part 2606). In 
addition, individuals requesting corrections to records filed with the 
DAEO at the agency where the employee beneficiary is employed must 
follow that agency's regulations regarding verification of identity and 
access to records.

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, contact the General 
Counsel, Office of Government Ethics, Suite 500, 1201 New York Avenue 
NW, Washington, DC 20005-3917; and
    b. For records filed with the DAEO where the employee beneficiary 
is employed, contact the DAEO at the department or agency concerned.

Exemptions Promulgated for The System:
    None.

History:
    None.

    Approved: May 10, 2023.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2023-10292 Filed 5-24-23; 8:45 am]
BILLING CODE 6345-03-P