[Federal Register Volume 89, Number 48 (Monday, March 11, 2024)]
[Notices]
[Pages 17470-17473]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-05083]


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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 March 
11, 2024 subject to a 30-day period in which to comment on the new and 
revised routine uses, described below. Please submit any comments by 
April 10, 2024.

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, Suite 
750, 250 E Street SW, Washington, DC 20024, Attention: Jennifer Matis, 
Associate Counsel.
    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; 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 the OGE/GOVT-1 Governmentwide system of records to 
add a routine use to permit OGE to post on its website information 
regarding individuals who have filed a public financial disclosure 
report pursuant to 5 U.S.C. 13103 and individuals who have received a 
conflict of interest waiver pursuant to 18 U.S.C. 208 (``conflict of 
interest waivers''). OGE also plans to update citations to the Ethics 
in Government Act, update its street address, clarify language in 
routine use ``n,'' and fix several typographical errors. 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.
    Through the process described in 5 U.S.C. 13107, members of the 
public may obtain both public financial disclosure reports and conflict 
of interest waivers from agencies authorized to release those 
documents. See 5 U.S.C. 13107, 18 U.S.C. 208(d)(1). Although conflict 
of interest waivers may already be requested from the waiver 
recipient's employing agency using this process, currently the public 
has no way to know who has received a waiver in order to submit such a 
request. Therefore, OGE is proposing to add the waiver recipient's 
first and last name, government position, the type of report filed or 
waiver issued, and name of the employing agency to OGE's website, 
specifically its Officials' Individual Disclosures Search Collection 
(``search collection''). Although OGE does not and will not release 
conflict of interest waivers issued by another agency, the posting of 
this information on the OGE website will make it easier for the waivers 
to be requested from the waiver recipient's employing agency and help 
effectuate the purposes of the statutory transparency provisions. 
Accordingly, OGE proposes to add a new routine use ``c'' to this system 
of records to permit the disclosure.
    The proposed routine use would also explicitly permit the 
disclosure of similar information regarding public financial disclosure 
filers. In order to allow users to select the documents they wish to 
request, OGE's search collection currently displays the filer's first 
and last name, government position, the type of report available, and 
name of the employing agency. OGE has the authority to display this 
information pursuant to current routine use ``a.'' However, the 
language of routine use ``a'' does not make it plain to the public that 
certain information regarding public financial disclosure filers will 
be posted on OGE's website. Therefore, OGE proposes to make that fact 
clear by

[[Page 17471]]

including public financial disclosure filers in the new routine use.
    This routine use is compatible with the purpose for which the 
information is collected because the records at issue are required by 
statute to be made public. The proposed routine use merely ensures that 
the public has meaningful access to the request process designated by 
statute.
    OGE also seeks to update references to the Ethics in Government 
Act, as recently recodified in the U.S. Code, and update references to 
its current street address. OGE updated the language in the routine use 
currently designated ``h.'' Finally, OGE seeks to modify the routine 
use currently designated ``n'' to clarify that it is intended to apply 
to any current or future ethics Executive order.
    Accordingly, OGE 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 750, 250 E Street SW, 
Washington, DC 20024.

SYSTEM MANAGER(S):
    a. For records filed directly with OGE by non-OGE employees contact 
the General Counsel, Office of Government Ethics, at the address set 
forth in the System Location section.
    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.
    c. For records filed with the Federal Election Commission (FEC) by 
candidates for President or Vice President, contact 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, at 
the address set forth in the System Location section.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7301, 7351, 7353; 5 U.S.C. chapter 131 (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), as amended; 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, 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 to an 
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. 13103 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 
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

[[Page 17472]]

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. 
13107 and 13122(b)(1), and subject to the limitations contained 
therein, to any requesting person.
    b. To disclose information to any requesting person, in accordance 
with section 105 of the Ethics in Government Act, 5 U.S.C. 13107, 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 on OGE's and other agencies' websites and to 
otherwise disclose to any person, including other departments and 
agencies, certain information regarding individuals who have filed a 
public financial disclosure report pursuant to 5 U.S.C. 13103 and 
individuals who have received a waiver pursuant to 18 U.S.C. 208(b)(1) 
or 208(b)(3). Specifically, the information that may be disclosed is 
first and last name, government position, type of report filed or 
waiver issued, and name of the employing agency.
    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 or the General Services 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 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 to the proceeding.
    i. 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.
    j. 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.
    k. 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.
    l. 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.
    m. 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.
    n. 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 an Executive order creating additional ethics commitments for any 
executive branch employees.
    o. 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.
    p. 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. chapter 131, 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 about whom they are maintained.

[[Page 17473]]

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 Procedures 
section below. 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 Procedures section below.

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, at the 
agency's address as set forth in the System Location section;
    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:
    84 FR 47303 (Sept. 9, 2019).

    Approved: March 5, 2024.
Shelley K. Finlayson,
Acting Director, U.S. Office of Government Ethics.
[FR Doc. 2024-05083 Filed 3-8-24; 8:45 am]
BILLING CODE 6345-03-P