[Federal Register Volume 68, Number 14 (Wednesday, January 22, 2003)]
[Notices]
[Pages 3098-3109]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-1101]
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Part II
Office of Government Ethics
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Privacy Act of 1974; Systems of Records; Notice
Federal Register / Vol. 68, No. 14 / Wednesday, January 22, 2003 /
Notices
[[Page 3098]]
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OFFICE OF GOVERNMENT ETHICS
Privacy Act of 1974; Systems of Records
AGENCY: Office of Government Ethics (OGE).
ACTION: Notice of proposed new and revised systems of records.
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SUMMARY: In this notice, OGE is proposing to revise and rename two
existing Governmentwide systems of records under the Privacy Act
covering Executive Branch Personnel Public Financial Disclosure Reports
and Other Name-Retrieved Ethics Program Records, and Executive Branch
Confidential Financial Disclosure Reports. In addition, OGE is
establishing five new internal systems of records for employees of the
Office of Government Ethics only, covering Pay, Leave and Travel
Records, Telephone Call Detail Records, Grievance Records, Computer
Systems Activity and Access Records, and Employee Locator and Emergency
Notification Records. This notice fulfills the requirement of the
Privacy Act of 1974 that an agency publish a Federal Register notice of
its systems of records.
DATES: Public comments are invited and must be received by March 24,
2003. These proposed new and revised systems of records will become
effective without change May 22, 2003, unless comments are received
which result in a contrary determination by OGE.
ADDRESSES: Comments on any aspect of these OGE systems of records
should be sent to the Office of Government Ethics, Suite 500, 1201 New
York Avenue, NW., Washington, DC 20005-3917, Attention: Ms. Newton.
Electronic comments may also be sent to OGE's Internet E-mail address
at [email protected] (such comments should include the caption ``OGE
Privacy Act New and Revised Systems of Records'').
FOR FURTHER INFORMATION CONTACT: Elaine Newton, Attorney-Advisor,
Office of Government Ethics, telephone: 202-208-8000, extension 1137;
TDD: 202-208-8025; FAX: 202-208-8037.
SUPPLEMENTARY INFORMATION:
A. Background. Under the Privacy Act, 5 U.S.C. 552a(e)(4), each
agency is required to publish in the Federal Register notice of the
establishment and revision of its systems notices. The Office of
Government Ethics (OGE) used to be part of the Office of Personnel
Management (OPM). Not long after OGE became a separate agency on
October 1, 1989, OGE published in the Federal Register two
Governmentwide systems of records (55 FR 6327-6331 (February 22, 1990))
that were previously among OPM's systems of records (old OPM/GOVT-4 & -
8). This present notice revises those two existing Governmentwide
systems of records and establishes five new internal OGE systems of
records.
B. Revised Systems of Records. OGE is proposing to revise and
rename its two existing Governmentwide systems of records: OGE/GOVT-1
(Executive Branch Public Financial Disclosure Reports and Other Ethics
Program Records) and OGE/GOVT-2 (Confidential Statements of Employment
and Financial Interests). The proposed revisions to both systems
include a change in the name of each system to: Executive Branch
Personnel Public Financial Disclosure Reports and Other Name-Retrieved
Ethics Program Records (OGE/GOVT-1) and Executive Branch Confidential
Financial Disclosure Reports (OGE/GOVT-2). Other proposed revisions
include different systems managers, as well as additional routine uses
including disclosures between agencies with respect to transferred or
detailed employees, to Congress (on behalf of the subject individual),
to an adjudicative body and the Department of Justice in connection
with litigation, and to contractors and other non-Government employees
working on ethics matters for agencies. In addition, a change in the
pay threshold for the collection of the public financial disclosure
reports would be reflected in OGE/GOVT-1.
C. New Internal Systems of Records. OGE is also proposing to
establish five new internal systems of records to cover current and
former OGE employees: OGE/INTERNAL-1 (Pay, Leave and Travel Records),
OGE/INTERNAL-2 (Telephone Call Detail Records), OGE/INTERNAL-3
(Grievance Records), OGE/INTERNAL-4 (Computer Systems Activity and
Access Records), and OGE/INTERNAL-5 (Employee Locator and Emergency
Notification Records).
The records for maintenance in proposed OGE/INTERNAL-1 are those
used to administer the pay, leave, and travel requirements of OGE. In
this proposed system, the records could be disclosed for a number of
routine uses compatible with the purposes for which the information in
the records was collected, including to the Department of the Treasury,
to the Internal Revenue Service, to authorized employees of another
Federal agency that provides OGE with assistance in processing pay,
leave and travel, to the Office of Management and Budget, to Congress,
to a court or another adjudicative body, to an adjudicative body and
the Department of Justice in connection with litigation, to labor
organization officials for exclusive representation purposes or to the
appropriate Department of Health and Human Services employees for
matters related to paternity and child support. These documents are
located in a secured environment and are maintained and disposed of in
accordance with the National Archives and Records Administration
General Records Schedules 2 and 9.
The records for maintenance in OGE/INTERNAL-2 are those used to
verify the telephone usage of current and former OGE employees, who
receive telephone calls placed from or charged to telephones of the
Office of Government Ethics. This proposed system is being established
consistent with the Office of Management and Budget recommendation that
agencies create a system of records to maintain telephone call detail
records that are used to determine accountability for telephone usage.
52 FR 12990-12992 (04/20/87). In this proposed system, the records
could be disclosed for a number of routine uses compatible with the
purposes for which the information in the records was collected,
including to telecommunications companies, to the General Services
Administration, to Congress, to a court or other tribunal, to the
Department of Justice in connection with litigation, to an appropriate
Federal, State or local agency responsible for investigating possible
violations of civil, criminal law or regulation, or to labor
organization officials for exclusive representation purposes. These
documents are located in a secured environment and are maintained and
disposed of in accordance with the National Archives and Records
Administration General Records Schedule 12.
The records for maintenance in proposed OGE/INTERNAL-3 are those
that contain information relating to grievances filed by OGE employees
under administrative procedures authorized by 5 CFR part 771 as well as
records of negotiated grievances and arbitration systems that OGE has
or may establish through negotiations with recognized labor
organizations in accordance with 5 U.S.C. 7121. In this proposed
system, the records could be disclosed for a number of routine uses
compatible with the purposes for which the information in the records
was collected, including to Congress, a court or another adjudicative
body, an adjudicative body and the Department of Justice in connection
with litigation, to any source from which additional information is
required in the course of processing a grievance, to the extent
necessary to identify the individual,
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inform the source of the purpose(s) of the request, and identify the
type of information required, to labor organization officials for
exclusive representation purposes, or to the Department of Labor for
labor-management functions. These documents are located in a secured
environment and are maintained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedules or other records disposition authority.
The records for maintenance in proposed OGE/INTERNAL-4 are those
that contain data used by OGE systems and security personnel, or
persons authorized to assist these individuals to plan and manage
system services and to perform their official duties. In this proposed
system, the records could be disclosed for a number of routine uses
compatible with the purposes for which the information in the records
was collected, including to investigate improper access or other
improper activity related to computer system access; to initiate
disciplinary or other such action; and/or where the record(s) may
appear to indicate a violation or potential violation of the law, to
refer such record(s) to the appropriate law enforcement agency for
investigation. These documents are located in a secured environment and
are maintained and disposed of in accordance with the National Archives
and Records Administration General Records Schedule 20.
The records for maintenance in proposed OGE/INTERNAL-5 are those
used to identify an individual for OGE officials to contact should an
emergency (medical or otherwise) occur while the employee is on the
job. The information contained in this system as proposed could also be
used by authorized OGE personnel to contact OGE employees working from
home or, on infrequent occasions, to contact OGE employees absent from
work about work-related issues. These documents are located in a
secured environment and are maintained and disposed of in accordance
with the appropriate OGE records disposition authority.
D. Consultation with OMB and the Congress. In accordance with 5
U.S.C. 552a(r) of the Privacy Act, the Office of Government Ethics
(OGE) has provided a report on the new and proposed revised systems to
the Office of Management and Budget (OMB) and the Committee on
Government Reform and Oversight of the House of Representatives and the
Committee on Governmental Affairs of the Senate.
Approved: January 10, 2003.
Amy L. Comstock,
Director, Office of Government Ethics.
Accordingly, the Office of Government Ethics is publishing the
following notice of proposed revised Privacy Act Governmentwide systems
of records and proposed new OGE internal Privacy Act systems of
records:
OGE/GOVT-1
SYSTEM NAME:
Executive Branch Personnel Public Financial Disclosure Reports and
Other Name-Retrieved Ethics Program Records.
SYSTEM LOCATION:
Office of Government Ethics, Suite 500, 1201 New York Avenue, NW.,
Washington, DC 20005-3917, and designated agency ethics offices.
SECURITY CLASSIFICATION:
None.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system contains records on: The President, Vice President, and
candidates for those offices; officers and employees including special
Government employees, whose positions are classified above GS-15 of the
General Schedule or at an equivalent rate of basic pay equal to or
greater than 120% of the minimum rate of basic pay for GS-15; officers
or employees in a position determined by the Director of the Office of
Government Ethics to be of equal classification to GS-15 or above;
Administrative Law Judges; excepted service employees in positions that
are of a confidential or policymaking nature unless an employee or
group of employees are exempted by the Director of the Office of
Government Ethics; members of a uniformed service whose pay grade is at
or in excess of O-7 under section 201 of title 37, United States Code;
the Postmaster General, the Deputy Postmaster General, Governor of the
Board of Governors of the U.S. Postal Service and each officer or
employee of the U.S. Postal Service or Postal Rate Commission whose
basic rate of pay is equal to or greater than 120% of the minimum rate
of basic pay for GS-15; the Director of the Office of Government Ethics
and each agency's primary designated agency ethics official; any
civilian employee employed in the Executive Office of the President
(other than a special Government employee) who holds a commission of
appointment from the President; and nominees for positions requiring
Senate confirmation. This system 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 Act. This system 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 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 of 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.;
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 employee's 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
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correspondence, documents or material concerning an individual's
conduct, reports of investigations with related exhibits, statements,
affidavits or other records obtained during an inquiry. These documents
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, decisions and reports on legal or disciplinary
action resulting from any referred administrative action or
prosecution.
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).
PURPOSE(S):
All records are maintained in accordance with the requirements of
the Ethics in Government Act of 1978 and the Ethics Reform Act of 1989,
as amended, and E.O. 12674 as modified. These requirements include the
filing of financial status reports, reports concerning certain
agreements between the covered individual and any prior private sector
employer, ethics agreements, and the preservation of waivers issued to
an officer or employee pursuant to section 208 of title 18 and
certificates of divestiture issued pursuant to section 502 of the
Ethics Reform Act. Such statements and related records are required to
assure compliance with these acts and to preserve and promote the
integrity of public officials and institutions. The requirements also
include the possession or maintenance of information being researched
or prepared for referral by ethics officials concerning employees or
former employees of the Federal Government who are the subject of
complaints of misconduct or alleged violations of ethics laws. These
complaints may be referred to the Office of the Inspector General of
the agency where the employee is or was employed or to the Department
of Justice.
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 the information furnished by the reporting official,
in accordance with provisions of section 105 of the Ethics in
Government Act of 1978, as amended, to any requesting person.
b. To disclose, 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., to
any requesting person.
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
OGE becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
d. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, either when the
Government is a party to a judicial or administrative proceeding or in
order to comply with a subpoena issued by a judge of a court of
competent jurisdiction.
e. To disclose information to any source when necessary to obtain
information relevant to a conflict-of-interest investigation or
determination.
f. By 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 to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which OGE is authorized to appear, when: OGE; or an
employee of OGE in his or her official capacity, or any employee of OGE
in his or her individual capacity (where the Department of Justice or
OGE has agreed to represent the employee); or the United States (when
OGE determines that litigation is likely to affect OGE), is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or OGE is deemed by OGE to be
relevant and necessary to the litigation provided, however, that the
disclosure is compatible with the purpose for which such records were
collected.
i. To disclose the public financial disclosure report 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.
j. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf 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.
Note: When an agency is requested to furnish such 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
provision of the Privacy Act at 5 U.S.C. 552a(b)(1).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in paper and/or electronic form.
RETRIEVABILITY:
These records are retrieved by the name or other programmatic
identifier assigned to the individual on whom they are maintained.
SAFEGUARDS:
These records are maintained in file cabinets which may be locked
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.
RETENTION AND DISPOSAL:
In accordance with the National Archives and Records Administration
General Records Schedule for ethics program 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
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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.
SYSTEM MANAGER(S) AND ADDRESS:
a. For records filed directly with the Office of Government Ethics
by non-OGE employees: Deputy Director, Office of Agency Programs,
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; and
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.
NOTIFICATION PROCEDURE:
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 OGE Deputy Director, Office of Agency Programs, 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 a system contains information
about them must also follow OGE's Privacy Act regulations regarding
verification of identity (5 CFR part 2606).
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. Reasonably specify the record content being sought.
Individuals requesting access must also follow OGE's Privacy Act
regulations regarding verification of identity and access to records (5
CFR part 2606).
CONTESTING RECORD PROCEDURES:
Since 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.
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
OGE/GOVT-2
SYSTEM NAME:
Executive Branch Confidential Financial Disclosure Reports.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Individual agency ethics offices or other designated agency
offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Officers and employees in the executive branch whose position is
classified at GS-15 or below of the General Schedule prescribed by 5
U.S.C. 5332, or the rate of basic pay for which is fixed, other than
under the General Schedule, at a rate which is less than 120% of the
minimum rate of basic pay for GS-15 of the General Schedule; officers
or employees of the United States Postal Service or Postal Rate
Commission whose basic rate of pay is less than 120% of the minimum
rate of basic pay for GS-15 of the General Schedule; members of a
uniformed service whose pay grade is less than O-7 under 37 U.S.C. 201;
and officers or employees in any other position determined by the
Designated Agency Ethics Official to be of equal classification. In
addition, all executive branch special Government employees 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
position has been excluded from filing. The system 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 may be certifications of no new
interests for the reporting period, and may be agency supplemental or
alternative confidential report forms.
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).
PURPOSE(S):
These records are maintained to meet the requirements of or under
Executive Orders 12674 as modified, 5 CFR part 2634, 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.
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:
[[Page 3102]]
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
OGE becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
b. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, either when the
Government is party to a judicial or administrative proceeding or in
order to comply with a subpoena issued by a judge of a court of
competent jurisdiction.
c. To disclose information to any source when necessary to obtain
information relevant to a conflict-of-interest investigation or
determination.
d. 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.
e. 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.
f. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which OGE is authorized to appear, when: OGE; or an
employee of OGE in his or her official capacity, or any employee of OGE
in his or her individual capacity (where the Department of Justice or
OGE has agreed to represent the employee); or the United States (when
OGE determines that litigation is likely to affect OGE), is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or OGE is deemed by OGE to be
relevant and necessary to the litigation provided, however, that the
disclosure is compatible with the purpose for which such records were
collected.
g. 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.
h. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf of an
individual who is the subject of the record.
i. 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.
Note: When an agency is requested to furnish such 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
provision of the Privacy Act at 5 U.S.C. 552a(b)(1).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in paper and/or electronic form.
RETRIEVABILITY:
These records are retrieved by the name or other programmatic
identifier assigned to the individual on whom they are maintained.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
In accordance with the National Archives and Records Administration
General Records Schedule for such ethics program records, these records
generally are retained for six years after filing, except when filed by
or with respect to a nominee for an appointment requiring confirmation
by the Senate when the nominee is not appointed. In such cases, the
records are generally destroyed one year after the date the individual
ceased being under Senate consideration for appointment. 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.
SYSTEM MANAGER(S) AND ADDRESS:
a. For records filed directly with the Office of Government Ethics
by non-OGE employees: Deputy Director, Office of Agency Programs,
Office of Government Ethics, Suite 500, 1201 New York Avenue, NW.,
Washington, DC 20005-3917; and
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.
NOTIFICATION PROCEDURE:
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 OGE Deputy Director, Office of Agency Programs, Office of
Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC
20005-3917; or
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.
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 a system contains information
about them must also follow OGE's Privacy Act regulations regarding
verification of identity (5 CFR part 2606).
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to their records should
contact the Designated Agency Ethics Official 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.
d. Reasonably specify the record content being sought.
Individuals requesting access must also follow OGE's Privacy Act
regulations regarding verification of identity and access to records (5
CFR part 2606).
CONTESTING RECORD PROCEDURES:
Since the information in these records is updated on a periodic
basis, most
[[Page 3103]]
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 Designated Agency
Ethics Official or designee at the agency where the reports were filed.
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
OGE/INTERNAL-1
SYSTEM NAME:
Pay, Leave and Travel Records.
SYSTEM LOCATION:
Office of Administration and Information Management, Office of
Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC
20005-3917.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former employees of the Office of Government Ethics.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains various records relating to pay, leave, and
travel. This includes information such as: Name; date of birth; social
security number; home address; grade; employing organization;
timekeeper number; salary; pay plan; number of hours worked; leave
accrual rate, usage, and balances; Civil Service Retirement and Federal
Retirement System contributions; FICA withholdings; Federal, state, and
local tax withholdings; Federal Employee's Group Life Insurance
withholdings; Federal Employee's Health Benefits withholdings;
charitable deductions; allotments; garnishment documents; travel
expenses; and information on the leave transfer program and fare
subsidy program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 5501, 5525; 5 U.S.C. App. (Ethics in Government Act of
1978); 44 U.S.C. 3101, 3102.
PURPOSE(S):
These records are used to administer the pay, leave, and travel
requirements of the Office of Government Ethics and in the
administration of the transit fare subsidy program.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and 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
OGE becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
b. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, either when the
Government is a party to a judicial or administrative proceeding or in
order to comply with a subpoena issued by a judge of a court of
competent jurisdiction.
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 to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which OGE is authorized to appear, when: OGE; or an
employee of OGE in his or her official capacity, or any employee of OGE
in his or her individual capacity (where the Department of Justice or
OGE has agreed to represent the employee); or the United States (when
OGE determines that litigation is likely to affect OGE), is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or OGE is deemed by OGE to be
relevant and necessary to the litigation provided, however, that the
disclosure is compatible with the purpose for which such records were
collected.
f. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf of an
individual who is the subject of the record.
g. To disclose information to contractors, grantees, experts,
consultants, detailees, and other non-OGE 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.
h. To disclose information to the Department of Labor in connection
with a claim filed by an employee for compensation due to a job-
connected injury or illness.
i. To disclose information to the Social Security Administration
(SSA) and the Department of the Treasury as required in accordance with
their authorized functions, including Federal Insurance Collections Act
withholding and benefits for the SSA and the issuance of paychecks and
savings bonds for the Treasury.
j. To disclose information to State offices of unemployment
compensation.
k. To disclose information to Federal Employees Group Life
Insurance or Health Benefits carriers in connection with survivor
annuity or health benefits claims or records reconciliations.
l. To disclose information to the Internal Revenue Service and
State and local tax authorities.
m. To disclose information to any source from which additional
information is requested relevant to an OGE determination concerning an
individual's pay, leave, or travel expenses, to the extent necessary to
identify the individual, inform the source of the purpose(s) of the
request, and to identify the type of information requested.
n. To disclose information to a Federal agency, in response to its
request in connection with the hiring or retention of an employee, the
issuance of a security clearance, the conducting of a suitability or
security investigation of an individual, the letting of a contract, or
the issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary to
the requesting agency's decision on the matter.
o. To disclose information to the authorized employees of another
Federal agency that provides the Office of Government Ethics with
manual and automated assistance in processing pay, leave, and travel.
p. To disclose information to officials of the Office of Special
Counsel, Office of Personnel Management, Federal Labor Relations
Authority, Merit Systems Protection Board or the Equal Employment
Opportunity Commission when requested in the performance of
[[Page 3104]]
their authorized duties, including respectively in connection with
cases and appeals, special studies of the civil service and other merit
systems, review of personnel matters and practices, investigations of
alleged or possible prohibited personnel and discrimination practices,
Hatch Act matters, whistleblower protections, compliance with employee
selection procedures and investigations of allegations of unfair labor
practices or matters before the Federal Service Impasses Panel.
q. To disclose information in compliance with orders,
interrogatories, and other information requests relevant to garnishment
orders that OGE is required to comply with in accordance with 42 U.S.C.
659 (support garnishment) and 5 U.S.C. 5520a (commercial garnishment)
to a court of competent jurisdiction, an authorized official, or to an
authorized State agency as defined in 5 CFR parts 581 and 582.
r. To provide information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel policies,
practices, and matters affecting working conditions.
s. To disclose the names, social security numbers, home addresses,
date of birth, date of hire, quarterly earnings, employer identifying
information, and State of hire of employees to the Office of Child
Support Enforcement, Administration for Children and Families,
Department of Health and Human Services for the purposes of locating
individuals to establish paternity, establishing and modifying orders
of child support, identifying sources of income, and for other child
support enforcement actions as required by the Personal Responsibility
and Work Opportunity Reconciliation Act, Pub. L. 104-193, as amended.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in paper and/or electronic form.
RETRIEVABILITY:
These records are retrieved by the name, social security number, or
other identifier assigned to the individual on whom they are
maintained.
SAFEGUARDS:
Paper records are maintained 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.
RETENTION AND DISPOSAL:
These records are retained for varying periods of time in
accordance with the National Archives and Records Administration
General Records Schedule 2 (Payrolling and Pay Administration Records)
and 9 (Travel and Transportation Records). Disposal of paper records is
by shredding, and of electronic records by deletion.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director, Office of Administration and Information
Management, Office of Government Ethics, Suite 500, 1201 New York
Avenue, NW., Washington, DC 20005-3917.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the Deputy Director,
Office of Administration and Information Management, Office of
Government Ethics.
Individuals wishing to make such an inquiry must furnish the
following information for their records to be located and identified:
a. Full name.
b. Social Security Number.
c. Dates of employment.
Individuals seeking to determine if a system contains information
about them must also follow OGE's Privacy Act regulations regarding
verification of identity (5 CFR part 2606).
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to their records should
contact the Deputy Director, Office of Administration and Information
Management, Office of Government Ethics. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Social Security Number.
c. Dates of employment.
Individuals requesting access must also follow OGE's Privacy Act
regulations regarding verification of identity and access to records (5
CFR part 2606).
CONTESTING RECORD PROCEDURES:
Individuals wishing to request amendment of records about them
should contact the System Manager. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Social Security Number.
c. Dates of employment.
Individuals requesting amendment must also follow OGE's Privacy Act
regulations regarding verification of identity and amendment of records
(5 CFR part 2606).
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from:
a. The individual to whom the record pertains.
b. Office of Government Ethics officials responsible for pay,
leave, and travel requirements.
c. Other official personnel documents of the Office of Government
Ethics.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
OGE/INTERNAL-2
SYSTEM NAME:
Telephone Call Detail Records.
SYSTEM LOCATION:
Office of Administration and Information Management, Office of
Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC
20005-3917.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
OGE employees who are assigned OGE telephone extension numbers,
persons performing services on behalf of OGE or are authorized to use
OGE telephone services, and persons who make or receive telephone calls
charged to the Office of Government Ethics.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. (Ethics in Government Act of 1978); 44 U.S.C. 3101.
PURPOSE(S):
These records are used to verify telephone usage and to resolve
billing discrepancies. The records may also be used to allocate the
costs of telephone services to OGE's various offices, to identify
unofficial telephone calls and as a basis for taking action when OGE
employees or other persons misuse or abuse OGE telephone services.
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 pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where
OGE becomes aware of an
[[Page 3105]]
indication of a violation or potential violation of civil or criminal
law or regulation.
b. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, either when the
Government is a party to a judicial or administrative proceeding or in
order to comply with a subpoena issued by a judge of a court of
competent jurisdiction.
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 to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which OGE is authorized to appear, when: OGE; or an
employee of OGE in his or her official capacity, or any employee of OGE
in his or her individual capacity (where the Department of Justice or
OGE has agreed to represent the employee); or the United States (when
OGE determines that litigation is likely to affect OGE), is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or OGE is deemed by OGE to be
relevant and necessary to the litigation provided, however, that the
disclosure is compatible with the purpose for which such records were
collected.
f. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf of an
individual who is the subject of the record.
g. To disclose information to contractors, grantees, experts,
consultants, detailees, and other non-OGE 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.
h. To disclose information to OGE employees or other persons to
determine their individual responsibility for telephone calls.
i. To disclose information to a telecommunications company or
another Federal agency providing telephone services or
telecommunications services to permit servicing the account;
j. To disclose information in response to a Federal agency's
request made in connection with the hiring or retention of an employee,
the letting of a contract or issuance of a grant, license or other
benefit by the requesting agency, but only to the extent that the
information disclosed is relevant and necessary to the requesting
agency's decision on the matter.
k. To provide information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel policies,
practices, and matters affecting working conditions.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures may be made from this system, pursuant to 5 U.S.C.
552a(b)(12), to ``consumer reporting agencies'' as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in paper and/or electronic form.
RETRIEVABILITY:
These records are retrieved by name, telephone extension number or
some other identifier assigned to the individual on whom they are
maintained.
SAFEGUARDS:
Paper records are maintained in file cabinets that may be locked or
in specified areas to which only authorized personnel have access.
Automated records are protected from unauthorized access through
password identification procedures, limited access, firewalls, and
other system-based protection methods.
RETENTION AND DISPOSAL:
These records are retained and disposed of in accordance with the
National Archives and Records Administration General Records Schedule
12. Disposal of manual records is by shredding, and disposal of
electronic records is by deletion.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director, Office of Administration and Information
Management, Office of Government Ethics, Suite 500, 1201 New York
Avenue, NW., Washington, DC 20005-3917.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact, the Deputy Director,
Office of Administration and Information Management, Office of
Government Ethics.
Individuals wishing to make such an inquiry must furnish the
following information for their records to be located and identified:
a. Full name.
b. Telephone extension number assigned to the individual by OGE.
c. Description of information being sought, including the time
frame of information being sought.
Individuals seeking to determine if a system contains information
about them must also follow OGE's Privacy Act regulations regarding
verification of identity (5 CFR part 2606).
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to their records should
contact the Deputy Director, Administration and Information Management,
Office of Government Ethics. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
b. Telephone extension number assigned to the individual by OGE.
c. Description of information being sought, including the time
frame of information being sought.
Individuals requesting access must also follow OGE's Privacy Act
regulations regarding verification of identity and access to records (5
CFR part 2606).
CONTESTING RECORD PROCEDURES:
Individuals wishing to request amendment of records about them
should contact the System Manager. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Telephone extension number assigned to the individual by OGE.
c. Description of information to be amended, including the time
frame of information being sought.
Individuals requesting amendment of records must also follow OGE's
Privacy Act regulations regarding verification of identity and
amendment of records (5 CFR part 2606).
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from:
[[Page 3106]]
a. The individual on whom the record is maintained.
b. OGE telephone assignment records.
c. Call Detail Reports or telephone bills provided by suppliers of
telephone services.
d. Results of administrative inquiries relating to assignment of
responsibility for placement of specific long-distance or local calls.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
OGE/INTERNAL-3
SYSTEM NAME:
Grievance Records.
SYSTEM LOCATION:
Office of Administration and Information Management, Office of
Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC
20005-3917.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current or former OGE employees who have filed grievances under
OGE's administrative grievance procedures or under a negotiated
grievance procedure.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains records relating to grievances filed by OGE
employees under administrative procedures authorized by 5 CFR part 771,
and records of negotiated grievance and arbitration systems that OGE
has or may establish through negotiations with recognized labor
organizations in accordance with 5 U.S.C. 7121. These files contain all
documents related to the grievance which may include statements of
witnesses, reports of interviews and hearings, examiner's findings and
recommendations, a copy of the original decision, and related
correspondence and exhibits, employment history, arbitrator's decision
or report, record of appeal to the Federal Labor Relations Authority,
and a variety of employment and personnel records associated with the
grievance.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. (Ethics in Government Act of 1978); 5 U.S.C. 7121; 5
CFR part 771.
PURPOSE(S):
These records are used to process grievances submitted by OGE
employees for personal relief in a matter of concern or
dissatisfaction.
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 pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where
OGE becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
b. To disclose information to a court, or a party in litigation
before a court or in an administrative proceeding being conducted by a
Federal agency, either when the Government is a party to a judicial or
administrative proceeding or in order to comply with a subpoena issued
by a judge of a court of competent jurisdiction.
c. To disclose information by 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 to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which OGE is authorized to appear, when: OGE; or an
employee of OGE in his or her official capacity, or any employee of OGE
in his or her individual capacity (where the Department of Justice or
OGE has agreed to represent the employee); or the United States (when
OGE determines that litigation is likely to affect OGE), is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or OGE is deemed by OGE to be
relevant and necessary to the litigation provided, however, that the
disclosure is compatible with the purpose for which such records were
collected.
f. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf of an
individual who is the subject of the record.
g. To disclose information to contractors, grantees, experts,
consultants, detailees, and other non-OGE 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.
h. To disclose information to any source from which additional
information is required in the course of processing a grievance, to the
extent necessary to identify the individual, inform the source of the
purpose(s) of the request, and identify the type of information
requested.
i. To disclose information to a Federal agency in response to its
request in connection with the hiring or retention of an employee, the
issuance of a security clearance, the conducting of a security or
suitability investigation of an individual, the letting of a contract,
or the issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary to
requesting the agency's decision on the matter.
j. To disclose information to officials of the Merit Systems
Protection Board; the Office of Special Counsel; the Federal Labor
Relations Authority; or the Equal Employment Opportunity Commission
when requested in performance of their authorized duties, including
respectively in connection with cases and appeals, special studies of
the civil service and other merit systems, review of personnel matters
and practices, investigations of alleged or possible prohibited
personnel and discrimination practices, Hatch Act matters,
whistleblower protections, compliance with employee selection
procedures and investigations of allegations of unfair labor practices
or matters before the Federal Service Impasses Panel.
k. To provide information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel policies,
practices, and matters affecting working conditions.
l. To provide information to the Department of Labor in carrying
out its functions regarding labor-management relations in the Federal
service.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, RETAINING AND DISPOSING
OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in paper and/or electronic form.
RETRIEVABILITY:
These records are retrieved by the names of the individuals on whom
they are maintained.
SAFEGUARDS:
Paper records are maintained in locked file storage areas or in
specified
[[Page 3107]]
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.
RETENTION AND DISPOSAL:
These records are retained for four years after closing of the case
(or as otherwise agreed upon through the collective bargaining
process), then disposed of. Disposal of paper records is by shredding,
and disposal of electronic records is by deletion.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director, Office of Administration and Information
Management, Office of Government Ethics, Suite 500, 1201 New York
Avenue, NW., Washington, DC 20005-3917.
NOTIFICATION PROCEDURE:
Individuals may contact the Deputy Director, Office of
Administration and Information Management, Office of Government Ethics
regarding the existence of grievance records on them. They must furnish
the following information for their records to be located and
identified:
a. Name.
b. Approximate date of closing of the case and kind of action
taken.
c. Organizational component involved.
RECORD ACCESS PROCEDURE:
An individual may request access to the official copy of the
grievance file by contacting the Deputy Director, Office of
Administration and Information Management, Office of Government Ethics.
Individuals must furnish the following information for their records to
be located and identified:
a. Name.
b. Approximate date of closing of the case and kind of action
taken.
c. Organizational component involved.
Individuals requesting access must also follow OGE's Privacy Act
regulations regarding verification of identity and access to records (5
CFR part 2606).
CONTESTING RECORD PROCEDURE:
Review of requests from individuals seeking amendment of their
records which have been the subject of an administrative, judicial, or
quasi-judicial action will be limited in scope. Review of amendment
requests of these records will be restricted to determining if the
record accurately documents the ruling on the case, and will not
include a review of the merits of the action, determination, or
finding. Individuals wishing to request amendment of their records to
correct factual errors should contact the OGE Office of Administration
and Information Management. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of closing of the case and kind of action
taken.
c. Organizational component involved.
Individuals requesting amendment must also follow OGE's Privacy Act
regulations regarding verification of identity and amendment of records
(5 CFR part 2606).
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from:
a. The individual on whom the record is maintained.
b. Testimony of witnesses.
c. OGE officials.
d. Related correspondence from organizations or persons.
e. Union officials (if information deals with a negotiated
grievance matter).
f. Department of Labor, Federal Labor Relations Authority, or
arbitrators involved in the grievance (if information deals with a
negotiated grievance matter).
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
OGE/INTERNAL-4
SYSTEM NAME:
Computer Systems Activity and Access Records.
SYSTEM LOCATION:
Office of Administration and Information Management, Office of
Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC
20005-3917.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who access OGE network computers or mainframe/
enterprise servers, including individuals who send and receive
electronic communications, access Internet sites, or access system
databases, files, or applications from OGE computers or who send
electronic communications to OGE computers; and individuals attempting
to access OGE computers or systems without authorization.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in this system of records may include: Records on the use
of the interoffice and Internet e-mail systems, including the e-mail
address of the sender and receiver of the e-mail message, subject,
date, and time; records on user access to OGE's office automation
networks; records relating to verification or authorization of an
individual's access to systems, files, or applications, such as user
IDs, user names, title, and agency.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. (Ethics in Government Act of 1978); 40 U.S.C. 1441
note.
PURPOSE(S):
The data in this system of records is used by OGE systems and
security personnel, or persons authorized to assist these personnel, to
plan and manage system services, to monitor for improper use, and to
otherwise perform their official duties.
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 pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where
OGE becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation.
b. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, either when the
Government is a party to a judicial or administrative proceeding or in
order to comply a subpoena issued by a judge of a court of competent
jurisdiction.
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 to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which OGE is authorized to appear, when: OGE; or an
employee of OGE in his or her official capacity, or any employee of OGE
in his or her individual capacity (where the Department of Justice or
OGE has agreed
[[Page 3108]]
to represent the employee); or the United States (when OGE determines
that litigation is likely to affect OGE), is a party to litigation or
has an interest in such litigation, and the use of such records by the
Department of Justice or OGE is deemed by OGE to be relevant and
necessary to the litigation provided, however, that the disclosure is
compatible with the purpose for which such records were collected.
f. To disclose information to contractors, grantees, experts,
consultants, detailees, and other non-OGE 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.
g. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf of an
individual who is the subject of the record.
h. To disclose information to a Federal, State, local, tribal or
foreign agency, or a private contractor, in response to its request in
connection with the hiring or retention of any employee, the issuance
of a security clearance, the conduct of a security or suitability
investigation, the reporting of an investigation on an employee, the
letting of a contract, or the issuance of a grant, license, or other
benefit to an employee by the agency, but only to the extent that the
information disclosed is relevant and necessary to the agency's
decision on the matter.
i. To provide information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel policies,
practices, and matters affecting working conditions.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained in paper and/or electronic form.
RETRIEVABILITY:
These records may be retrieved by user name, user ID, e-mail
address, or other identifying search term employed, depending on the
record category.
SAFEGUARDS:
These records are located in locked storage areas with controlled
entry, or automated systems to which only authorized personnel have
access. The use of password protection identification features and
other automated data processing system protection methods also restrict
access.
RETENTION AND DISPOSAL:
In accordance with General Records Schedule 20, records of
verification, authorization, computer system access, and other
activities generated by the system are retained for one year, unless
required for management review, then deleted.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director, Office of Administration and Information
Management, Office of Government Ethics, Suite 500, 1201 New York
Avenue, NW., Washington, DC 20005-3917.
NOTIFICATION PROCEDURE:
Individuals wishing to inquire whether this system of records
contains information about them should contact the Deputy Director,
Office of Administration and Information Management, Office of
Government Ethics.
Individuals wishing to make such an inquiry must furnish the
following information for their records to be located and identified:
a. Full name.
b. Assigned computer location.
c. Description of information to be sought (including the time
frame during which the record(s) may have been generated).
Individuals seeking to determine if a system contains information
about them must also follow OGE's Privacy Act regulations regarding
verification of identity (5 CFR part 2606).
RECORD ACCESS PROCEDURES:
Individuals wishing to request access to their records should
contact the Deputy Director, Office of Administration and Information
Management, Office of Government Ethics. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Assigned computer location.
c. Description of information being sought (including the time
frame during which the record(s) may have been generated).
Individuals requesting access must also follow OGE's Privacy Act
regulations regarding verification of identity and access to records (5
CFR part 2606).
CONTESTING RECORD PROCEDURES:
Individuals wishing to request amendment of records about them
should contact the System Manager. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Assigned computer location.
c. Description of information to be amended (including the time
frame during which the record(s) may have been generated).
Individuals requesting amendment must also follow OGE's Privacy Act
regulations regarding verification of identity and amendment of records
(5 CFR part 2606).
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from:
a. Individuals covered by the system.
b. Office of Government Ethics management officials.
c. Computer activity logs and tracking systems.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
OGE/INTERNAL-5
SYSTEM NAME:
Employee Locator and Emergency Notification Records.
SYSTEM LOCATION:
Office of Administration and Information Management, Office of
Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC
20005-3917.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current employees of the Office of Government Ethics.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains information regarding the organizational
location and telephone extension of individual OGE employees. The
system also contains the home address and telephone number of the
employee and the name, relationship, and telephone number of an
individual or individuals to contact in the event of a medical or other
emergency involving the employee. The system contains an additional
freeform ``note'' field for personal medical information for employees
who choose to voluntarily complete it.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. (Ethics in Government Act of 1978).
PURPOSE(S):
Information is collected for this system in order to identify an
individual for OGE officials to contact, should an emergency of a
medical or other nature involving the employee occur while the employee
is on the job. Also, these records may be used by authorized OGE
[[Page 3109]]
personnel to contact individuals working from home or at an authorized
alternative worksite or, on infrequent occasions, to contact
individuals absent from work about work-related issues.
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 another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, either when the
Government is a party to a judicial or administrative proceeding or in
order to comply with a subpoena issued by a judge of a court of
competent jurisdiction.
b. To provide information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel policies,
practices, and matters affecting working conditions.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, RETAINING AND DISPOSING
OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/or electronic form.
RETRIEVABILITY:
These records are retrieved by the name of the individual on whom
they are maintained.
SAFEGUARDS:
Paper records are maintained in locked file storage areas or in
specified areas to which only authorized personnel have access.
Electronic records are maintained in a secured electronic system
accessible only to on-site OGE employees. An individual OGE employee
has access only to his or her own record. In addition, individual
records in the system are available to authorized OGE personnel whose
duties require access.
RETENTION AND DISPOSAL:
In accordance with the applicable OGE records disposal schedule,
these records are retained as long as the individual is an employee of
OGE. Disposal of paper records is by shredding, and disposal of
electronic records is by deletion.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director, Office of Administration and Information
Management, Office of Government Ethics, Suite 500, 1201 New York
Avenue, NW., Washington, DC 20005-3917.
NOTIFICATION PROCEDURE:
OGE employees wishing to inquire whether this system of records
contains information about them may access the system directly or
contact the Deputy Director, Office of Administration and Information
Management, Office of Government Ethics.
Individuals wishing to make such an inquiry must furnish the
following information for their records to be located and identified:
a. Full name.
RECORD ACCESS PROCEDURES:
All current OGE employees have full access to and complete control
over their individual record and may access the information at any
time, or they may contact the Deputy Director, Office of Administration
and Information Management, Office of Government Ethics. Individuals
must furnish the following information for their records to be located
and identified:
a. Full name.
Individuals requesting access must also follow OGE Privacy Act
regulations regarding verification of identify and access to records (5
CFR part 2606).
CONTESTING RECORD PROCEDURES:
OGE employees have full access to and complete control over their
individual record and may amend information at any time, or they may
contact the Systems Manager. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
Individuals requesting amendment must also follow OGE's Privacy Act
regulations regarding verification of identity and amendment of records
(5 CFR part 2606).
RECORD SOURCE CATEGORIES:
Information in this system of records is obtained from:
a. The individual on whom the record is maintained.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[FR Doc. 03-1101 Filed 1-21-03; 8:45 am]
BILLING CODE 6345-02-P