Privacy Act of 1974; Systems of Records, 47303-47306 [2019-19372]
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Federal Register / Vol. 84, No. 174 / Monday, September 9, 2019 / Notices
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).
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.
CONTESTING RECORD PROCEDURES:
Because the information in these
records is updated on a periodic basis,
most record corrections can be handled
through established administrative
procedures for updating records.
However, individuals can obtain
information on the procedures for
contesting the records under the
provisions of the Privacy Act by
contacting the DAEO or designee at the
agency where the reports were filed.
Individuals wishing to inquire
whether this system of records contains
information about them should contact
the DAEO at the department or agency
concerned. For records maintained at
OGE, contact the OGE Senior Agency
Official for Privacy, Office of
Government Ethics, Suite 500, 1201
New York Avenue NW, Washington, DC
20005–3917.
Individuals wishing to make such an
inquiry must furnish the following
information for their records to be
located and identified:
a. Full name.
b. Department or agency and
component where employed or where
proposed to be employed.
c. Dates of employment.
Individuals seeking to determine if an
OGE system of records contains
information about them must also
follow OGE’s Privacy Act regulations
regarding verification of identity (5 CFR
part 2606).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
jbell on DSK3GLQ082PROD with NOTICES
HISTORY:
This system of records was originally
published in full at 55 FR 6327 (Feb. 22,
1990) and subsequently amended by 68
FR 3097 (Jan. 22, 2003) and 68 FR 24744
(May 8, 2003).
Approved: September 4, 2019.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2019–19373 Filed 9–6–19; 8:45 am]
BILLING CODE 6345–03–P
20:43 Sep 06, 2019
This action will be effective
without further notice on November 8,
2019 unless comments received before
this date would result in a contrary
determination.
DATES:
Comments may be
submitted to OGE by any of the
following methods:
Email: usoge@oge.gov (Include
reference to ‘‘OGE/GOVT–1’’ in the
subject line of the message.)
Mail, Hand Delivery/Courier: Office of
Government Ethics, 1201 New York
Avenue NW, Suite 500, Attention:
Jennifer Matis, Associate Counsel,
Washington, DC 20005–3917.
Instructions: Comments may be
posted on OGE’s website, www.oge.gov.
Sensitive personal information, such as
account numbers or Social Security
numbers, should not be included.
Comments generally will not be edited
to remove any identifying or contact
information before posting.
FOR FURTHER INFORMATION CONTACT:
Jennifer Matis at the U.S. Office of
Government Ethics; telephone: 202–
482–9216; TTY: 800–877–8339; FAX:
202–482–9237; Email: jmatis@oge.gov.
SUPPLEMENTARY INFORMATION: In
accordance with the Privacy Act of
1974, 5 U.S.C. 552a, this document
provides public notice that OGE is
proposing to revise and update the
OGE/GOVT–1 Governmentwide system
of records in several respects. A
Governmentwide system of records is a
system of records where one agency (in
this case, OGE) has regulatory authority
over records in the custody of multiple
agencies and the agency with regulatory
authority publishes a system of records
notice that applies to all of the records
regardless of their custodial location.
OGE proposes to add or modify
several routine uses to allow for greater
transparency into executive branch
ethics records. Specifically, the new
routine use (l.) permits OGE to make
public without restriction a certificate of
divestiture issued by OGE. The new
ADDRESSES:
NOTIFICATION PROCEDURES:
VerDate Sep<11>2014
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.
SUMMARY:
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47303
routine use (m.) permits OGE to make
public without restriction waivers of the
requirements contained in Executive
Order 13770 ‘‘Ethics Commitments by
Executive Branch Appointees’’ (January
28, 2017) or any superseding Executive
order. OGE also proposes to modify
routine use (k.) (formely routine use (l.))
to clarify that certifications of ethics
agreement compliance may be disclosed
in the same manner as the ethics
agreements themselves.
Notwithstanding any of these changes,
however, OGE will continue to release
documents only to the extent consistent
with 5 CFR 2634.603(b).
These changes further the purposes of
the Freedom of Information Act, as
amended, 5 U.S.C. 552, and the Office
of Management and Budget’s (OMB)
Open Government Directive, M–10–06,
(December 8, 2009). OGE’s prevention
mission involves engaging the public to
inform them about the systems in place
to detect and resolve conflicts of
interests of their Government leaders.
This, in turn, allows the public to
engage in overseeing the integrity of its
Government and increases public
confidence in Government
decisionmaking. Accordingly,
promoting transparency into the
executive branch ethics program is also
a key element of OGE’s 2018–2022
Strategic Plan, which sets forth strategic
objectives to Inform the Public about
OGE and the Executive Branch Ethics
Program (Strategic Objective 4.1) and
Make Ethics Information Publicly
Available (Strategic Objective 4.2).
Moreover, OGE’s stakeholders,
including non-governmental
organizations, Congress, and the general
public, have expressed interest in
increased transparency into the ethics
commitments made by executive branch
officials.
In addition to these changes
promoting transparency, OGE proposes
to modify routine use (h.) (formerly
routine use (i.)) to explicitly indicate
that 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, may be disclosed to
reviewing officials in a new office,
department, or agency when an
employee transfers or is detailed from
one covered position to another. These
statements, mandated by the
Representative Louise McIntosh
Slaughter Stop Trading on
Congressional Knowledge Act (STOCK
Act), Public Law 112–105 (2012), are
commonly called ‘‘STOCK Act
notifications.’’ It is OGE’s position that
such disclosures are currently permitted
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Federal Register / Vol. 84, No. 174 / Monday, September 9, 2019 / Notices
pursuant to routine use (d.) (formerly
routine use (e.)). However, this change
would provide greater clarity for agency
ethics officials and executive branch
employees who may not realize that
such a disclosure is permitted under the
current language.
OGE proposes to add two additional
new routine uses as required by OMB
Memorandum ‘‘Preparing for and
Responding to a Breach of Personally
Identifiable Information,’’ M–17–12,
(January 3, 2017). These new routine
uses allow agencies to disclose
information when necessary to respond
to a suspected or confirmed breach or to
prevent, minimize, or remedy harm
resulting from such a breach.
OGE proposes to modify routine uses
(g.) (formerly routine use (h.)) and (i.)
(formerly routine use (j.)) and remove
the old routine use (d.) in accordance
with OMB and Department of Justice
guidance and applicable case law. The
remaining routine uses have been redesignated accordingly.
OGE proposes to change the
description of the categories of
individuals covered by the system of
records to make it more clear and easy
to understand. By eliminating much of
the technical description, the new
language is more concise and consistent
with plain language goals. No
substantive change in the categories of
individuals covered by the system of
records is proposed.
Finally, the changes will update the
system manager and notification
procedure in accordance with OGE’s
current organizational structure, update
the authority for maintenance of the
system, update the administrative,
technical, and physical safeguards,
clarify the language in the ‘‘Purpose’’
section, and make minor editorial
changes.
Accordingly, the Office of
Government Ethics is publishing the
following notice of a 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.
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SECURITY CLASSIFICATION:
Unclassified.
SYSTEM MANAGER(S):
a. For records filed directly with the
Office of Government Ethics by nonOGE employees: General Counsel,
Office of Government Ethics, Suite 500,
1201 New York Avenue NW,
Washington, DC 20005–3917.
b. For records filed with a Designated
Agency Ethics Official (DAEO) or the
head of a department or agency: 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: 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, Suite 500,
1201 New York Avenue NW,
Washington, DC 20005–3917.
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); 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); 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, and
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 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.
SYSTEM LOCATION:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Office of Government Ethics, Suite
500, 1201 New York Avenue NW,
Washington, DC 20005–3917, and
designated agency ethics offices.
This system of records contains
records about individuals whose
positions have been designated as
public financial disclosure filing
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20:43 Sep 06, 2019
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positions in accordance with 5 U.S.C.
app. 101 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, nonprofit 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
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Federal Register / Vol. 84, No. 174 / Monday, September 9, 2019 / Notices
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
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.
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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. app., as amended,
and subject to the limitations contained
therein, to any requesting person.
b. To disclose to any requesting
person, 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. These
determinations are commonly called
‘‘conflict of interest waivers.’’
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 the disclosing agency becomes
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20:43 Sep 06, 2019
Jkt 247001
aware of an indication of a violation or
potential violation of civil or criminal
law or regulation.
d. To disclose information to any
source when necessary to obtain
information relevant to a conflict-ofinterest investigation or determination.
e. 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.
f. 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.
g. To disclose information when the
disclosing agency determines that that
the records are arguably relevant to a
proceeding before a court, grand jury, or
administrative or adjudicative body; or
in a proceeding before an administrative
or adjudicative body when the
adjudicator determines the records to be
relevant to the proceeding.
h. 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.
i. To disclose information to a
Member of Congress or a congressional
office in response to an inquiry made on
behalf of, and at the request of, an
individual who is the subject of the
record.
j. To disclose information to
contractors, grantees, experts,
consultants, detailees, and other nonGovernment employees performing or
working on a contract, service, or other
assignment for the Federal Government,
when necessary to accomplish an
agency function related to this system of
records.
k. To disclose 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
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Fmt 4703
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47305
position also requires the individual to
file a public financial disclosure report.
l. 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.
m. 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 Executive
Order 13770 ‘‘Ethics Commitments by
Executive Branch Appointees’’ (January
28, 2017) or any superseding Executive
order.
n. 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.
o. To disclose information to another
Federal agency or Federal entity, when
the agency maintaining the record
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
Note: When an agency is requested to
furnish records in this system of records to
the Director or other authorized officials of
the Office of Government Ethics (OGE), such
a disclosure is to be considered as made to
those officers and employees of the agency
which co-maintains the records who have a
need for the records in the performance of
their official duties in accordance with the
Ethics in Government Act of 1978, 5 U.S.C.
app., and other ethics-related laws, Executive
orders and regulations conferring pertinent
authority on OGE, pursuant to the provisions
of the Privacy Act at 5 U.S.C. 552a(b)(1).
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47306
Federal Register / Vol. 84, No. 174 / Monday, September 9, 2019 / Notices
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.
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.
jbell on DSK3GLQ082PROD with NOTICES
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.
20:43 Sep 06, 2019
Jkt 247001
1990) and subsequently amended by the
following notices: 68 FR 3097 (Jan. 22,
2003); 68 FR 24744 (May 8, 2003); 76 FR
24489 (May 2, 2011); 77 FR 45353 (July
31, 2012); 78 FR 73863 (Dec. 9, 2013).
Approved: September 4, 2019.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2019–19372 Filed 9–6–19; 8:45 am]
BILLING CODE 6345–03–P
CONTESTING RECORD PROCEDURES:
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
VerDate Sep<11>2014
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).
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 Procedure section.
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, 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 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:
HISTORY:
This system of records was originally
published in full at 55 FR 6327 (Feb. 22,
Frm 00074
Food and Drug Administration
[Docket No. FDA–2019–N–0549]
Agency Information Collection
Activities; Submission for Office of
Management and Budget Review;
Comment Request; Medical Devices;
Use of Symbols in Labeling—Glossary
To Support the Use of Symbols in
Labeling
AGENCY:
Food and Drug Administration,
HHS.
ACTION:
Notice.
The Food and Drug
Administration (FDA) is announcing
that a proposed collection of
information has been submitted to the
Office of Management and Budget
(OMB) for review and clearance under
the Paperwork Reduction Act of 1995
(PRA).
SUMMARY:
Fax written comments on the
collection of information by October 9,
2019.
ADDRESSES: To ensure that comments on
the information collection are received,
OMB recommends that written
comments be faxed to the Office of
Information and Regulatory Affairs,
OMB, Attn: FDA Desk Officer, Fax: 202–
395–7285, or emailed to oira_
submission@omb.eop.gov. All
comments should be identified with the
OMB control number 0910–0740. Also
include the FDA docket number found
in brackets in the heading of this
document.
DATES:
FOR FURTHER INFORMATION CONTACT:
Amber Sanford, Office of Operations,
Food and Drug Administration, Three
White Flint North, 10A–12M, 11601
Landsdown St., North Bethesda, MD
20852, 301–796–8867, PRAStaff@
fda.hhs.gov.
In
compliance with 44 U.S.C. 3507, FDA
has submitted the following proposed
collection of information to OMB for
review and clearance.
SUPPLEMENTARY INFORMATION:
None.
PO 00000
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
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Agencies
[Federal Register Volume 84, Number 174 (Monday, September 9, 2019)]
[Notices]
[Pages 47303-47306]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-19372]
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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 November
8, 2019 unless comments received before this date would result in a
contrary determination.
ADDRESSES: Comments may be submitted to OGE by any of the following
methods:
Email: [email protected] (Include reference to ``OGE/GOVT-1'' in the
subject line of the message.)
Mail, Hand Delivery/Courier: Office of Government Ethics, 1201 New
York Avenue NW, Suite 500, Attention: Jennifer Matis, Associate
Counsel, Washington, DC 20005-3917.
Instructions: Comments may be posted on OGE's website, www.oge.gov.
Sensitive personal information, such as account numbers or Social
Security numbers, should not be included. Comments generally will not
be edited to remove any identifying or contact information before
posting.
FOR FURTHER INFORMATION CONTACT: Jennifer Matis at the U.S. Office of
Government Ethics; telephone: 202-482-9216; TTY: 800-877-8339; FAX:
202-482-9237; Email: [email protected].
SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974,
5 U.S.C. 552a, this document provides public notice that OGE is
proposing to revise and update the OGE/GOVT-1 Governmentwide system of
records in several respects. A Governmentwide system of records is a
system of records where one agency (in this case, OGE) has regulatory
authority over records in the custody of multiple agencies and the
agency with regulatory authority publishes a system of records notice
that applies to all of the records regardless of their custodial
location.
OGE proposes to add or modify several routine uses to allow for
greater transparency into executive branch ethics records.
Specifically, the new routine use (l.) permits OGE to make public
without restriction a certificate of divestiture issued by OGE. The new
routine use (m.) permits OGE to make public without restriction waivers
of the requirements contained in Executive Order 13770 ``Ethics
Commitments by Executive Branch Appointees'' (January 28, 2017) or any
superseding Executive order. OGE also proposes to modify routine use
(k.) (formely routine use (l.)) to clarify that certifications of
ethics agreement compliance may be disclosed in the same manner as the
ethics agreements themselves. Notwithstanding any of these changes,
however, OGE will continue to release documents only to the extent
consistent with 5 CFR 2634.603(b).
These changes further the purposes of the Freedom of Information
Act, as amended, 5 U.S.C. 552, and the Office of Management and
Budget's (OMB) Open Government Directive, M-10-06, (December 8, 2009).
OGE's prevention mission involves engaging the public to inform them
about the systems in place to detect and resolve conflicts of interests
of their Government leaders. This, in turn, allows the public to engage
in overseeing the integrity of its Government and increases public
confidence in Government decisionmaking. Accordingly, promoting
transparency into the executive branch ethics program is also a key
element of OGE's 2018-2022 Strategic Plan, which sets forth strategic
objectives to Inform the Public about OGE and the Executive Branch
Ethics Program (Strategic Objective 4.1) and Make Ethics Information
Publicly Available (Strategic Objective 4.2). Moreover, OGE's
stakeholders, including non-governmental organizations, Congress, and
the general public, have expressed interest in increased transparency
into the ethics commitments made by executive branch officials.
In addition to these changes promoting transparency, OGE proposes
to modify routine use (h.) (formerly routine use (i.)) to explicitly
indicate that 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,
may be disclosed to reviewing officials in a new office, department, or
agency when an employee transfers or is detailed from one covered
position to another. These statements, mandated by the Representative
Louise McIntosh Slaughter Stop Trading on Congressional Knowledge Act
(STOCK Act), Public Law 112-105 (2012), are commonly called ``STOCK Act
notifications.'' It is OGE's position that such disclosures are
currently permitted
[[Page 47304]]
pursuant to routine use (d.) (formerly routine use (e.)). However, this
change would provide greater clarity for agency ethics officials and
executive branch employees who may not realize that such a disclosure
is permitted under the current language.
OGE proposes to add two additional new routine uses as required by
OMB Memorandum ``Preparing for and Responding to a Breach of Personally
Identifiable Information,'' M-17-12, (January 3, 2017). These new
routine uses allow agencies to disclose information when necessary to
respond to a suspected or confirmed breach or to prevent, minimize, or
remedy harm resulting from such a breach.
OGE proposes to modify routine uses (g.) (formerly routine use
(h.)) and (i.) (formerly routine use (j.)) and remove the old routine
use (d.) in accordance with OMB and Department of Justice guidance and
applicable case law. The remaining routine uses have been re-designated
accordingly.
OGE proposes to change the description of the categories of
individuals covered by the system of records to make it more clear and
easy to understand. By eliminating much of the technical description,
the new language is more concise and consistent with plain language
goals. No substantive change in the categories of individuals covered
by the system of records is proposed.
Finally, the changes will update the system manager and
notification procedure in accordance with OGE's current organizational
structure, update the authority for maintenance of the system, update
the administrative, technical, and physical safeguards, clarify the
language in the ``Purpose'' section, and make minor editorial changes.
Accordingly, the Office of Government Ethics is publishing the
following notice of a 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 500, 1201 New York Avenue NW,
Washington, DC 20005-3917, and designated agency ethics offices.
SYSTEM MANAGER(S):
a. For records filed directly with the Office of Government Ethics
by non-OGE employees: General Counsel, Office of Government Ethics,
Suite 500, 1201 New York Avenue NW, Washington, DC 20005-3917.
b. For records filed with a Designated Agency Ethics Official
(DAEO) or the head of a department or agency: 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: 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,
Suite 500, 1201 New York Avenue NW, Washington, DC 20005-3917.
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); 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); 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, and 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
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. app. 101 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
[[Page 47305]]
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 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.
app., as amended, and subject to the limitations contained therein, to
any requesting person.
b. To disclose to any requesting person, 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. These determinations are commonly called ``conflict
of interest waivers.''
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
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
d. To disclose information to any source when necessary to obtain
information relevant to a conflict-of-interest investigation or
determination.
e. 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.
f. 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.
g. To disclose information when the disclosing agency determines
that that the records are arguably relevant to a proceeding before a
court, grand jury, or administrative or adjudicative body; or in a
proceeding before an administrative or adjudicative body when the
adjudicator determines the records to be relevant to the proceeding.
h. 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.
i. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf of, and
at the request of, an individual who is the subject of the record.
j. To disclose information to contractors, grantees, experts,
consultants, detailees, and other non-Government employees performing
or working on a contract, service, or other assignment for the Federal
Government, when necessary to accomplish an agency function related to
this system of records.
k. To disclose 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.
l. 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.
m. 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 Executive Order 13770 ``Ethics Commitments by Executive Branch
Appointees'' (January 28, 2017) or any superseding Executive order.
n. 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.
o. To disclose information to another Federal agency or Federal
entity, when the agency maintaining the record determines that
information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to a suspected
or confirmed breach or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
Note: When an agency is requested to furnish records in this
system of records to the Director or other authorized officials of
the Office of Government Ethics (OGE), such a disclosure is to be
considered as made to those officers and employees of the agency
which co-maintains the records who have a need for the records in
the performance of their official duties in accordance with the
Ethics in Government Act of 1978, 5 U.S.C. app., and other ethics-
related laws, Executive orders and regulations conferring pertinent
authority on OGE, pursuant to the provisions of the Privacy Act at 5
U.S.C. 552a(b)(1).
[[Page 47306]]
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.
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 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. 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 Procedure section.
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, 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 an OGE system of records
contains information about them must also follow OGE's Privacy Act
regulations regarding verification of identity (5 CFR part 2606).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
This system of records was originally published in full at 55 FR
6327 (Feb. 22, 1990) and subsequently amended by the following notices:
68 FR 3097 (Jan. 22, 2003); 68 FR 24744 (May 8, 2003); 76 FR 24489 (May
2, 2011); 77 FR 45353 (July 31, 2012); 78 FR 73863 (Dec. 9, 2013).
Approved: September 4, 2019.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2019-19372 Filed 9-6-19; 8:45 am]
BILLING CODE 6345-03-P