Privacy Act of 1974; System Records, 33884-33887 [2023-10292]
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33884
Federal Register / Vol. 88, No. 101 / Thursday, May 25, 2023 / Notices
Matters concerning participation in
civil actions or proceedings or
arbitration.
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GENERAL SERVICES
ADMINISTRATION
[Notice–MA–2023–02; Docket No. 2023–
0002; Sequence No. 3]
CONTACT PERSON FOR MORE INFORMATION:
Judith Ingram, Press Officer. Telephone:
(202) 694–1220.
(Authority: Government in the Sunshine Act,
5 U.S.C. 552b)
Vicktoria J. Allen,
Deputy Secretary of the Commission.
[FR Doc. 2023–11243 Filed 5–23–23; 11:15 am]
FEDERAL MINE SAFETY AND HEALTH
REVIEW COMMISSION
Sunshine Act Meetings
10 a.m., Tuesday, June
6, 2023.
The Richard V. Backley Hearing
Room, Room 511, 1331 Pennsylvania
Avenue NW, Suite 504 North,
Washington, DC 20004 (enter from F
Street entrance).
Phone Number for Listening to
Meeting: 1–(866) 236–7472.
Passcode: 678–100.
PLACE:
STATUS:
Office of Government-Wide
Policy (OGP), General Services
Administration (GSA).
ACTION: Notice of GSA FMR Bulletin B–
2023–55.
AGENCY:
Federal Management
Regulation (FMR) Bulletin B–2023–55
cancels and replaces Bulletin FMR B–15
to provide updated guidance for
Executive Agencies’ fleet management
information systems (FMIS). This
bulletin also incorporates requirements
for asset level data and telematics. GSA
expects that, following this guidance,
the data accuracy contained in agencies’
FMIS will improve.
DATES: Applicable: May 25, 2023.
FOR FURTHER INFORMATION CONTACT:
James Vogelsinger, Director, Vehicle
Policy Division, at 202–501–1764 or
vehicle.policy@gsa.gov.
SUPPLEMENTARY INFORMATION:
SUMMARY:
BILLING CODE 6715–01–P
TIME AND DATE:
Fleet Management Information
Systems
Open.
The
Commission will consider and act upon
the following in open session: Perry
County Resources, LLC, Docket No.
KENT 2022–0024. (Issues include
whether the Judge abused his discretion
in denying the approval of the
settlement motion based on the
Secretary of Labor’s refusal to provide a
section 104(b) order that was associated
with a citation that was a subject of the
motion to approve settlement.)
Any person attending this meeting
who requires special accessibility
features and/or auxiliary aids, such as
sign language interpreters, must inform
the Commission in advance of those
needs. Subject to 29 CFR 2706.150(a)(3)
and 2706.160(d).
MATTERS TO BE CONSIDERED:
Background
FMR Bulletin B–15 was published in
2007 to emphasize that executive
agencies are required to have FMIS.
While agencies are still required to
operate and maintain FMIS, Bulletin
FMR B–15 does not cover innovations
in fleet management technology such as
telematics and asset level data
requirements.
FMR Bulletin B–2023–55 is available
for download at https://www.gsa.gov/
policy-regulations/regulations/federalmanagement-regulation/federalmanagement-regulation-fmr-relatedfiles#FMRBulletins.
Krystal J. Brumfield,
Associate Administrator, Office of
Government-Wide Policy.
[FR Doc. 2023–11154 Filed 5–24–23; 8:45 am]
BILLING CODE 6820–14–P
OFFICE OF GOVERNMENT ETHICS
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CONTACT PERSON FOR MORE INFO:
Emogene Johnson (202) 434–9935/(202)
708–9300 for TDD Relay/1–800–877–
8339 for toll free.
Privacy Act of 1974; System Records
(Authority: 5 U.S.C. 552b)
records.
Dated: May 23, 2023.
Sarah L. Stewart,
Deputy General Counsel.
BILLING CODE 6735–01–P
18:04 May 24, 2023
ACTION:
Pursuant to the provisions of
the Privacy Act of 1974, the Office of
Government Ethics (OGE) proposes to
establish a new Governmentwide
system of records covering executive
SUMMARY:
[FR Doc. 2023–11289 Filed 5–23–23; 11:15 am]
VerDate Sep<11>2014
Office of Government Ethics.
Notice of a new system of
AGENCY:
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branch legal expense fund trust
documents, reports, and other nameretrieved legal expense fund records.
DATES: This system of records will be
effective on May 25, 2023, subject to a
30-day period in which to comment on
the routine uses, described below.
Please submit any comments by June 26,
2023.
ADDRESSES:
Email: Comments may be submitted
to OGE by email to usoge@oge.gov.
(Include reference to ‘‘OGE/GOVT–3
comment’’ in the subject line of the
message.)
Mail, Hand Delivery/Courier: Office of
Government Ethics, 1201 New York
Avenue NW, Suite 500, Attention:
Jennifer Matis, Associate Counsel,
Washington, DC 20005–3917.
Comments may be posted on OGE’s
website, https://www.oge.gov. Sensitive
personal information, such as account
numbers or Social Security numbers,
should not be included. Comments
generally will not be edited to remove
any identifying or contact information.
FOR FURTHER INFORMATION CONTACT:
Jennifer Matis, Associate Counsel, at the
U.S. Office of Government Ethics;
telephone: 202–482–9216; TTY: 800–
877–8339; Email: jmatis@oge.gov.
SUPPLEMENTARY INFORMATION: OGE is
concurrently adding a new subpart J to
the Standards of Ethical Conduct for
Executive Branch Employees at 5 CFR
part 2635. See 87 FR 23769 (Apr. 21,
2022). The new subpart J contains the
standards for an employee’s acceptance
of payments for legal expenses through
a legal expense fund for a matter arising
in connection with the employee’s
official position, the employee’s prior
position on a campaign, or the
employee’s prior position on a
Presidential Transition Team.
In accordance with the Privacy Act of
1974, 5 U.S.C. 552a, this document
provides public notice that OGE is
creating a new Governmentwide system
of records to cover records collected,
generated, maintained, and disclosed
under OGE’s legal expense fund (LEF)
regulation published at 5 CFR part 2635,
subpart J. A Governmentwide system of
records is a system of records where one
agency (in this case, OGE) has
regulatory authority over records in the
custody of multiple agencies and the
agency with regulatory authority
publishes a system of records notice that
applies to all of the records regardless
of their custodial location.
This system of records covers the
information required to be collected,
generated, maintained, and disclosed by
executive branch agencies pursuant to
the new subpart J, including
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Federal Register / Vol. 88, No. 101 / Thursday, May 25, 2023 / Notices
information from current Federal
employees establishing, maintaining,
and terminating legal expense funds,
and information from legal expense
fund trustees, donors, and payees. The
system of records also permits agencies
and OGE to share legal expense fund
information with each other as
necessary to administer the provisions
of the regulation, and permits the
posting of such information on OGE’s
website as required by the regulation.
The LEF regulation requires that
employees who wish to establish a legal
expense fund do so through a trust with
a single, named employee beneficiary
and a trustee. It also requires an
employee beneficiary to file quarterly
reports that include information
regarding members of the public who
contribute payments for legal expenses
(donors) and members of the public who
receive payments from a legal expense
fund (payees), as well as termination
reports upon the termination of the trust
and/or executive branch employment.
The trust documents, quarterly reports,
and termination reports will be posted
directly on OGE’s website in accordance
with 5 CFR 2635.1007(g). These trust
documents and reports are generally
first submitted to the Designated Agency
Ethics Officials (DAEO) at the
beneficiary’s employing agency but
transmitted to OGE for posting.
However, the regulation permits
anonymous whistleblowers to choose to
submit their trust document and reports
directly to OGE. DAEOs who create a
LEF will also submit their trust
document and reports directly to OGE.
This system of records also covers
information collected or generated by
executive branch agencies in the course
of administering the LEF regulation,
including information necessary to track
and review LEF trust documents,
quarterly reports, and termination
reports, and information relevant to
conflict-of-interest determinations.
SYSTEM NAME AND NUMBER:
OGE/GOVT–3, OGE Legal Expense
Fund Trust Documents, Reports, and
Other Name-Retrieved Records.
Unclassified.
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SYSTEM LOCATION:
Office of Government Ethics, 1201
New York Avenue NW, Suite 500,
Washington, DC 20005–3917, and
designated agency ethics offices.
SYSTEM MANAGER(S):
(a) For records filed directly with the
Office of Government Ethics by nonOGE employees: General Counsel,
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Jkt 259001
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title IV of the Ethics in Government
Act of 1978, 5 U.S.C. 13101 et seq.;
sections 201(a) and 403 of Executive
Order 12674 (as modified by E.O.
12731); 5 U.S.C. 7301, 7351(c), and
7353(b)(1); 5 CFR part 2635, subpart J.
PURPOSE(S) OF THE SYSTEM:
The purpose of the system is to
collect, generate, maintain, and disclose
the information necessary to administer
the provisions of the OGE legal expense
fund (LEF) regulation at 5 CFR part
2635, subpart J. This includes, but is not
limited to, obtaining information
relevant to a conflict-of-interest
determination and disclosing
information on the OGE website
pursuant to the regulation. It contains
information from executive branch
employees establishing legal expense
funds as well as information regarding
legal expense fund trustees, donors, and
payees. It also contains related
information collected or generated by
OGE or other agencies in the process of
collecting, reviewing, tracking,
maintaining, and disclosing legal
expense fund records. The system of
records also permits agencies and OGE
to share legal expense fund information
with each other as necessary to
administer the provisions of the
regulation and permits the posting of
such information on OGE’s website as
required by the regulation.
Although all beneficiaries must be
current executive branch employees at
the time the legal expense fund is
created, information may be collected or
remain in the system of records after the
employee beneficiary has left
employment with the executive branch.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
SECURITY CLASSIFICATION:
VerDate Sep<11>2014
Office of Government Ethics, Suite 500,
1201 New York Avenue NW,
Washington, DC 20005–3917.
(b) For records filed with a Designated
Agency Ethics Officials (DAEO) at the
agency where the employee beneficiary
is employed: The DAEO at the
department or agency concerned.
This system of records contains
records about executive branch
employees who seek to create a legal
expense fund, pursuant to 5 CFR part
2635, subpart J, for the purpose of
accepting donations and disbursing
payments for legal expenses for a matter
arising in connection with the
employee’s past or current official
position, the employee’s prior position
on a campaign, or the employee’s prior
position on a Presidential Transition
Team. Information may be collected or
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remain in the system of records after the
employee beneficiary has left
employment with the executive branch.
This system also contains records about
members of the public who contribute
payments for legal expenses (donors),
members of the public who receive
payments from a legal expense fund
(payees), and members of the public
who serve as a beneficiary’s trustee or
representative in establishing and
maintaining a legal expense fund.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records contains all
information or material, retrieved by
name or other personal identifier, which
is created or received by OGE or other
agencies in the course of administering
the legal expense fund provisions of the
regulation at 5 CFR part 2635, subpart
J. The system of records also contains
records generated by agencies in the
course of administering the legal
expense fund provisions of 5 CFR part
2635, subpart J. The categories of
records include, but are not limited to,
the following:
• legal expense fund trust documents;
• quarterly reports;
• trust termination reports;
• employment termination reports;
• names and contact information of
beneficiaries, beneficiary
representatives, donors, and trustees;
and
• tracking information and
deliberative notes generated by the
review of legal expense fund trust
documents submitted for approval,
quarterly reports, trust termination
reports, and employment termination
reports.
The data elements contained on these
records include, but are not limited to,
names, city and state of donor,
employment information, information
about contribution amounts,
information about fund payments to
service providers, and information
about the purpose for which the legal
expense fund was created. None of the
records in the system of records shall
contain Social Security numbers.
RECORD SOURCE CATEGORIES:
Information in this system of records
is provided by:
a. The beneficiary of the legal expense
fund and the legal expense fund’s
trustee or representative;
b. Donors who contribute to the legal
expense fund for the payment of legal
expenses;
c. Payees who receive payments
distributed from a legal expense fund;
and
d. Executive branch employees, such
as agency ethics officials and OGE
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Federal Register / Vol. 88, No. 101 / Thursday, May 25, 2023 / Notices
employees, who generate information
and documents related to legal expense
funds in the system in the course of
their official duties.
As stated in the preamble to the
proposed rule, OGE will create a form
to collect information for the quarterly
reports, trust termination reports, and
employment termination reports. OGE
will provide beneficiaries and trustees
with a template for collecting
information from donors and payees, as
well as guidance on drafting trust
documents. Together, this information
collection is titled ‘‘OGE Legal Expense
Fund Information Collection’’ and is
subject to Paperwork Reduction Act
approval by the Office of Management
and Budget.
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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 the information
contained therein may be used:
a. To disclose information to
authorized officials of OGE or the
beneficiary’s employing agency in
accordance with the Ethics in
Government Act of 1978, 5 U.S.C. 13101
et seq., 5 CFR part 2635, subpart J, and
other ethics-related laws, Executive
orders, and regulations conferring
pertinent authority on OGE.
b. To disclose information to the
beneficiary’s designated trustee or
representative as necessary for the
administration of the provisions of 5
CFR part 2635, subpart J.
c. To disclose on the OGE website
legal expense fund trust documents,
quarterly reports, and termination
reports submitted to an agency pursuant
to 5 CFR part 2635, subpart J.
d. To disclose pertinent information
to the appropriate Federal, State, or
local agency responsible for
investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation,
or order, where the disclosing agency
becomes aware of an indication of a
violation or potential violation of civil
or criminal law or regulation.
e. To disclose information to any
source when necessary to obtain
information relevant to a conflict-ofinterest investigation or determination.
f. To disclose information to the
National Archives and Records
Administration in records management
inspections conducted under authority
of 44 U.S.C. 2904 and 2906.
g. To disclose information to the
Office of Management and Budget at any
stage in the legislative coordination and
clearance process in connection with
private relief legislation as set forth in
OMB Circular No. A–19.
h. To disclose information when the
disclosing agency determines that the
VerDate Sep<11>2014
18:04 May 24, 2023
Jkt 259001
records are arguably relevant and
necessary to a proceeding before a court,
grand jury, or administrative or
adjudicative body; or in a proceeding
before an administrative or adjudicative
body when the adjudicator determines
the records to be relevant and necessary
to the proceeding.
i. To disclose information to a
Member of Congress or a congressional
office in response to an inquiry made on
behalf of, and at the request of, an
individual who is the subject of the
record.
j. To disclose information to
contractors, grantees, experts,
consultants, detailees, and other 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 information to such
recipients and under such
circumstances and procedures as are
mandated by Federal statute or treaty.
l. To disclose information to
appropriate agencies, entities, and
persons when: (1) the agency
maintaining the records suspects or has
confirmed that there has been a breach
of the system of records; (2) the agency
maintaining the records has determined
that as a result of the suspected or
confirmed breach there is a risk of harm
to individuals, the agency (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (3) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the agency’s efforts
to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm.
m. To disclose information to another
Federal agency or Federal entity, when
the agency maintaining the record
determines that information from this
system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
These records are maintained in
electronic form, whenever possible.
Records may be maintained in hardcopy
form if necessary, as long as they are
maintained in secured file cabinets to
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which only authorized personnel have
access.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
The data will be retrieved by the
names of all of the individuals
identified in the ‘‘Categories of
Individuals Covered by the System’’
section, as well as by other data points
such as agency name, type of document,
quarter and year, and/or report type.
Beneficiaries, trustees, representatives,
donors, and payees will all be provided
with notices in accordance with 5
U.S.C. 552a(e)(3).
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
OGE records dispositions are pending.
Related records will be maintained as
permanent as required by the National
Archives and Records Administration
(NARA) until NARA has approved the
retention and disposition schedule
related to records for 5 CFR part 2635,
subpart J.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records should be maintained and
managed electronically whenever
possible. Hardcopy records are
maintained in secured file cabinets to
which only authorized personnel have
access. OGE maintains electronic
records on the OGE network, including
in OGE internal applications. They are
protected from unauthorized access
through password identification
procedures, multifactor authentication,
limited access, firewalls, and other
system-based protection methods.
Access to the systems is controlled
based on user roles and responsibilities.
Other executive branch agencies are
responsible for properly safeguarding
the records maintained in their systems
using equivalent safeguards.
RECORD ACCESS PROCEDURES:
Individuals wishing to request access
to their records should contact the
appropriate office as shown in the
Notification Procedure section.
Individuals must furnish the following
information for their records to be
located and identified:
a. Full name.
b. Department or agency and
component with which employed, if
applicable.
c. Date the legal expense fund was
established, if applicable.
d. A reasonably specific description of
the record content being sought.
Individuals requesting access to
records maintained at OGE must also
follow OGE’s Privacy Act regulations
regarding verification of identity and
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access to records (5 CFR part 2606). In
addition, individuals seeking access to
records filed with the DAEO at the
agency where the employee beneficiary
is employed must follow that agency’s
regulations regarding verification of
identity and access to records.
CONTESTING RECORD PROCEDURES:
Because the information in these
records is updated on a periodic basis,
most record corrections can be handled
through internal agency procedures for
updating the records without the need
for a formal request to amend pursuant
to the Privacy Act. However,
individuals can obtain information on
the procedures for contesting the
records under the provisions of the
Privacy Act by contacting the
appropriate office shown in the
Notification Procedure section.
Individuals requesting records
corrections of records maintained at
OGE must also follow OGE’s Privacy
Act regulations regarding verification of
identity and access to records (5 CFR
part 2606). In addition, individuals
requesting corrections to records filed
with the DAEO at the agency where the
employee beneficiary is employed must
follow that agency’s regulations
regarding verification of identity and
access to records.
NOTIFICATION PROCEDURES:
Individuals wishing to inquire
whether this system of records contains
information about them should contact,
as appropriate:
a. For records filed directly with OGE,
contact the General Counsel, Office of
Government Ethics, Suite 500, 1201
New York Avenue NW, Washington, DC
20005–3917; and
b. For records filed with the DAEO
where the employee beneficiary is
employed, contact the DAEO at the
department or agency concerned.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
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None.
Approved: May 10, 2023.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2023–10292 Filed 5–24–23; 8:45 am]
BILLING CODE 6345–03–P
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18:04 May 24, 2023
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DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Food and Drug Administration
[Docket No. FDA–2023–D–1618]
Generally Accepted Scientific
Knowledge in Applications for Drug
and Biological Products: Nonclinical
Information; Draft Guidance for
Industry; Availability
AGENCY:
Food and Drug Administration,
HHS.
ACTION:
Notice of availability.
The Food and Drug
Administration (FDA or Agency) is
announcing the availability of a draft
guidance for industry entitled
‘‘Generally Accepted Scientific
Knowledge in Applications for Drug and
Biological Products: Nonclinical
Information.’’ This draft guidance is
intended to assist sponsors in
determining whether it may be
appropriate to rely on generally
accepted scientific knowledge (GASK)
to fulfill certain legal and regulatory
requirements applicable to the new drug
application (NDA) or biologics licensing
application (BLA) in question. When
final, this guidance will represent the
Agency’s current thinking on this topic.
DATES: Submit either electronic or
written comments on the draft guidance
by July 24, 2023 to ensure that the
Agency considers your comment on this
draft guidance before it begins work on
the final version of the guidance.
ADDRESSES: You may submit comments
on any guidance at any time as follows:
SUMMARY:
Electronic Submissions
Submit electronic comments in the
following way:
• Federal eRulemaking Portal:
https://www.regulations.gov. Follow the
instructions for submitting comments.
Comments submitted electronically,
including attachments, to https://
www.regulations.gov will be posted to
the docket unchanged. Because your
comment will be made public, you are
solely responsible for ensuring that your
comment does not include any
confidential information that you or a
third party may not wish to be posted,
such as medical information, your or
anyone else’s Social Security number, or
confidential business information, such
as a manufacturing process. Please note
that if you include your name, contact
information, or other information that
identifies you in the body of your
comments, that information will be
posted on https://www.regulations.gov.
• If you want to submit a comment
with confidential information that you
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33887
do not wish to be made available to the
public, submit the comment as a
written/paper submission and in the
manner detailed (see ‘‘Written/Paper
Submissions’’ and ‘‘Instructions’’).
Written/Paper Submissions
Submit written/paper submissions as
follows:
• Mail/Hand Delivery/Courier (for
written/paper submissions): Dockets
Management Staff (HFA–305), Food and
Drug Administration, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.
• For written/paper comments
submitted to the Dockets Management
Staff, FDA will post your comment, as
well as any attachments, except for
information submitted, marked and
identified, as confidential, if submitted
as detailed in ‘‘Instructions.’’
Instructions: All submissions received
must include the Docket No. FDA–
2023–D–1618 for ‘‘Generally Accepted
Scientific Knowledge in Applications
for Drugs and Biological Products:
Nonclinical Information.’’ Received
comments will be placed in the docket
and, except for those submitted as
‘‘Confidential Submissions,’’ publicly
viewable at https://www.regulations.gov
or at the Dockets Management Staff
between 9 a.m. and 4 p.m., Monday
through Friday, 240–402–7500.
• Confidential Submissions—To
submit a comment with confidential
information that you do not wish to be
made publicly available, submit your
comments only as a written/paper
submission. You should submit two
copies total. One copy will include the
information you claim to be confidential
with a heading or cover note that states
‘‘THIS DOCUMENT CONTAINS
CONFIDENTIAL INFORMATION.’’ The
Agency will review this copy, including
the claimed confidential information, in
its consideration of comments. The
second copy, which will have the
claimed confidential information
redacted/blacked out, will be available
for public viewing and posted on
https://www.regulations.gov. Submit
both copies to the Dockets Management
Staff. If you do not wish your name and
contact information to be made publicly
available, you can provide this
information on the cover sheet and not
in the body of your comments and you
must identify this information as
‘‘confidential.’’ Any information marked
as ‘‘confidential’’ will not be disclosed
except in accordance with 21 CFR 10.20
and other applicable disclosure law. For
more information about FDA’s posting
of comments to public dockets, see 80
FR 56469, September 18, 2015, or access
the information at: https://
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Agencies
[Federal Register Volume 88, Number 101 (Thursday, May 25, 2023)]
[Notices]
[Pages 33884-33887]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-10292]
=======================================================================
-----------------------------------------------------------------------
OFFICE OF GOVERNMENT ETHICS
Privacy Act of 1974; System Records
AGENCY: Office of Government Ethics.
ACTION: Notice of a new system of records.
-----------------------------------------------------------------------
SUMMARY: Pursuant to the provisions of the Privacy Act of 1974, the
Office of Government Ethics (OGE) proposes to establish a new
Governmentwide system of records covering executive branch legal
expense fund trust documents, reports, and other name-retrieved legal
expense fund records.
DATES: This system of records will be effective on May 25, 2023,
subject to a 30-day period in which to comment on the routine uses,
described below. Please submit any comments by June 26, 2023.
ADDRESSES:
Email: Comments may be submitted to OGE by email to [email protected].
(Include reference to ``OGE/GOVT-3 comment'' in the subject line of the
message.)
Mail, Hand Delivery/Courier: Office of Government Ethics, 1201 New
York Avenue NW, Suite 500, Attention: Jennifer Matis, Associate
Counsel, Washington, DC 20005-3917.
Comments may be posted on OGE's website, https://www.oge.gov.
Sensitive personal information, such as account numbers or Social
Security numbers, should not be included. Comments generally will not
be edited to remove any identifying or contact information.
FOR FURTHER INFORMATION CONTACT: Jennifer Matis, Associate Counsel, at
the U.S. Office of Government Ethics; telephone: 202-482-9216; TTY:
800-877-8339; Email: [email protected].
SUPPLEMENTARY INFORMATION: OGE is concurrently adding a new subpart J
to the Standards of Ethical Conduct for Executive Branch Employees at 5
CFR part 2635. See 87 FR 23769 (Apr. 21, 2022). The new subpart J
contains the standards for an employee's acceptance of payments for
legal expenses through a legal expense fund for a matter arising in
connection with the employee's official position, the employee's prior
position on a campaign, or the employee's prior position on a
Presidential Transition Team.
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, this
document provides public notice that OGE is creating a new
Governmentwide system of records to cover records collected, generated,
maintained, and disclosed under OGE's legal expense fund (LEF)
regulation published at 5 CFR part 2635, subpart J. A Governmentwide
system of records is a system of records where one agency (in this
case, OGE) has regulatory authority over records in the custody of
multiple agencies and the agency with regulatory authority publishes a
system of records notice that applies to all of the records regardless
of their custodial location.
This system of records covers the information required to be
collected, generated, maintained, and disclosed by executive branch
agencies pursuant to the new subpart J, including
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information from current Federal employees establishing, maintaining,
and terminating legal expense funds, and information from legal expense
fund trustees, donors, and payees. The system of records also permits
agencies and OGE to share legal expense fund information with each
other as necessary to administer the provisions of the regulation, and
permits the posting of such information on OGE's website as required by
the regulation.
The LEF regulation requires that employees who wish to establish a
legal expense fund do so through a trust with a single, named employee
beneficiary and a trustee. It also requires an employee beneficiary to
file quarterly reports that include information regarding members of
the public who contribute payments for legal expenses (donors) and
members of the public who receive payments from a legal expense fund
(payees), as well as termination reports upon the termination of the
trust and/or executive branch employment. The trust documents,
quarterly reports, and termination reports will be posted directly on
OGE's website in accordance with 5 CFR 2635.1007(g). These trust
documents and reports are generally first submitted to the Designated
Agency Ethics Officials (DAEO) at the beneficiary's employing agency
but transmitted to OGE for posting. However, the regulation permits
anonymous whistleblowers to choose to submit their trust document and
reports directly to OGE. DAEOs who create a LEF will also submit their
trust document and reports directly to OGE.
This system of records also covers information collected or
generated by executive branch agencies in the course of administering
the LEF regulation, including information necessary to track and review
LEF trust documents, quarterly reports, and termination reports, and
information relevant to conflict-of-interest determinations.
System Name and Number:
OGE/GOVT-3, OGE Legal Expense Fund Trust Documents, Reports, and
Other Name-Retrieved Records.
Security Classification:
Unclassified.
System Location:
Office of Government Ethics, 1201 New York Avenue NW, Suite 500,
Washington, DC 20005-3917, and designated agency ethics offices.
System Manager(s):
(a) For records filed directly with the Office of Government Ethics
by non-OGE employees: General Counsel, Office of Government Ethics,
Suite 500, 1201 New York Avenue NW, Washington, DC 20005-3917.
(b) For records filed with a Designated Agency Ethics Officials
(DAEO) at the agency where the employee beneficiary is employed: The
DAEO at the department or agency concerned.
Authority for Maintenance of The System:
Title IV of the Ethics in Government Act of 1978, 5 U.S.C. 13101 et
seq.; sections 201(a) and 403 of Executive Order 12674 (as modified by
E.O. 12731); 5 U.S.C. 7301, 7351(c), and 7353(b)(1); 5 CFR part 2635,
subpart J.
Purpose(s) of The System:
The purpose of the system is to collect, generate, maintain, and
disclose the information necessary to administer the provisions of the
OGE legal expense fund (LEF) regulation at 5 CFR part 2635, subpart J.
This includes, but is not limited to, obtaining information relevant to
a conflict-of-interest determination and disclosing information on the
OGE website pursuant to the regulation. It contains information from
executive branch employees establishing legal expense funds as well as
information regarding legal expense fund trustees, donors, and payees.
It also contains related information collected or generated by OGE or
other agencies in the process of collecting, reviewing, tracking,
maintaining, and disclosing legal expense fund records. The system of
records also permits agencies and OGE to share legal expense fund
information with each other as necessary to administer the provisions
of the regulation and permits the posting of such information on OGE's
website as required by the regulation.
Although all beneficiaries must be current executive branch
employees at the time the legal expense fund is created, information
may be collected or remain in the system of records after the employee
beneficiary has left employment with the executive branch.
Categories of Individuals Covered by The System:
This system of records contains records about executive branch
employees who seek to create a legal expense fund, pursuant to 5 CFR
part 2635, subpart J, for the purpose of accepting donations and
disbursing payments for legal expenses for a matter arising in
connection with the employee's past or current official position, the
employee's prior position on a campaign, or the employee's prior
position on a Presidential Transition Team. Information may be
collected or remain in the system of records after the employee
beneficiary has left employment with the executive branch. This system
also contains records about members of the public who contribute
payments for legal expenses (donors), members of the public who receive
payments from a legal expense fund (payees), and members of the public
who serve as a beneficiary's trustee or representative in establishing
and maintaining a legal expense fund.
Categories of Records in The System:
This system of records contains all information or material,
retrieved by name or other personal identifier, which is created or
received by OGE or other agencies in the course of administering the
legal expense fund provisions of the regulation at 5 CFR part 2635,
subpart J. The system of records also contains records generated by
agencies in the course of administering the legal expense fund
provisions of 5 CFR part 2635, subpart J. The categories of records
include, but are not limited to, the following:
legal expense fund trust documents;
quarterly reports;
trust termination reports;
employment termination reports;
names and contact information of beneficiaries,
beneficiary representatives, donors, and trustees; and
tracking information and deliberative notes generated by
the review of legal expense fund trust documents submitted for
approval, quarterly reports, trust termination reports, and employment
termination reports.
The data elements contained on these records include, but are not
limited to, names, city and state of donor, employment information,
information about contribution amounts, information about fund payments
to service providers, and information about the purpose for which the
legal expense fund was created. None of the records in the system of
records shall contain Social Security numbers.
Record Source Categories:
Information in this system of records is provided by:
a. The beneficiary of the legal expense fund and the legal expense
fund's trustee or representative;
b. Donors who contribute to the legal expense fund for the payment
of legal expenses;
c. Payees who receive payments distributed from a legal expense
fund; and
d. Executive branch employees, such as agency ethics officials and
OGE
[[Page 33886]]
employees, who generate information and documents related to legal
expense funds in the system in the course of their official duties.
As stated in the preamble to the proposed rule, OGE will create a
form to collect information for the quarterly reports, trust
termination reports, and employment termination reports. OGE will
provide beneficiaries and trustees with a template for collecting
information from donors and payees, as well as guidance on drafting
trust documents. Together, this information collection is titled ``OGE
Legal Expense Fund Information Collection'' and is subject to Paperwork
Reduction Act approval by the Office of Management and Budget.
Routine Uses of Records Maintained in The System, Including Categories
of Users and The Purposes of Such Uses:
These records and the information contained therein may be used:
a. To disclose information to authorized officials of OGE or the
beneficiary's employing agency in accordance with the Ethics in
Government Act of 1978, 5 U.S.C. 13101 et seq., 5 CFR part 2635,
subpart J, and other ethics-related laws, Executive orders, and
regulations conferring pertinent authority on OGE.
b. To disclose information to the beneficiary's designated trustee
or representative as necessary for the administration of the provisions
of 5 CFR part 2635, subpart J.
c. To disclose on the OGE website legal expense fund trust
documents, quarterly reports, and termination reports submitted to an
agency pursuant to 5 CFR part 2635, subpart J.
d. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
e. To disclose information to any source when necessary to obtain
information relevant to a conflict-of-interest investigation or
determination.
f. To disclose information to the National Archives and Records
Administration in records management inspections conducted under
authority of 44 U.S.C. 2904 and 2906.
g. To disclose information to the Office of Management and Budget
at any stage in the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB Circular
No. A-19.
h. To disclose information when the disclosing agency determines
that the records are arguably relevant and necessary to a proceeding
before a court, grand jury, or administrative or adjudicative body; or
in a proceeding before an administrative or adjudicative body when the
adjudicator determines the records to be relevant and necessary to the
proceeding.
i. To disclose information to a Member of Congress or a
congressional office in response to an inquiry made on behalf of, and
at the request of, an individual who is the subject of the record.
j. To disclose information to contractors, grantees, experts,
consultants, detailees, and other non-Government employees performing
or working on a contract, service, or other assignment for the Federal
Government, when necessary to accomplish an agency function related to
this system of records.
k. To disclose information to such recipients and under such
circumstances and procedures as are mandated by Federal statute or
treaty.
l. To disclose information to appropriate agencies, entities, and
persons when: (1) the agency maintaining the records suspects or has
confirmed that there has been a breach of the system of records; (2)
the agency maintaining the records has determined that as a result of
the suspected or confirmed breach there is a risk of harm to
individuals, the agency (including its information systems, programs,
and operations), the Federal Government, or national security; and (3)
the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the agency's efforts
to respond to the suspected or confirmed breach or to prevent,
minimize, or remedy such harm.
m. To disclose information to another Federal agency or Federal
entity, when the agency maintaining the record determines that
information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to a suspected
or confirmed breach or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
Policies and Practices for Storage of Records:
These records are maintained in electronic form, whenever possible.
Records may be maintained in hardcopy form if necessary, as long as
they are maintained in secured file cabinets to which only authorized
personnel have access.
Policies and Practices for Retrieval of Records:
The data will be retrieved by the names of all of the individuals
identified in the ``Categories of Individuals Covered by the System''
section, as well as by other data points such as agency name, type of
document, quarter and year, and/or report type. Beneficiaries,
trustees, representatives, donors, and payees will all be provided with
notices in accordance with 5 U.S.C. 552a(e)(3).
Policies and Practices for Retention and Disposal of Records:
OGE records dispositions are pending. Related records will be
maintained as permanent as required by the National Archives and
Records Administration (NARA) until NARA has approved the retention and
disposition schedule related to records for 5 CFR part 2635, subpart J.
Administrative, Technical, and Physical Safeguards:
Records should be maintained and managed electronically whenever
possible. Hardcopy records are maintained in secured file cabinets to
which only authorized personnel have access. OGE maintains electronic
records on the OGE network, including in OGE internal applications.
They are protected from unauthorized access through password
identification procedures, multifactor authentication, limited access,
firewalls, and other system-based protection methods. Access to the
systems is controlled based on user roles and responsibilities. Other
executive branch agencies are responsible for properly safeguarding the
records maintained in their systems using equivalent safeguards.
Record Access Procedures:
Individuals wishing to request access to their records should
contact the appropriate office as shown in the Notification Procedure
section. Individuals must furnish the following information for their
records to be located and identified:
a. Full name.
b. Department or agency and component with which employed, if
applicable.
c. Date the legal expense fund was established, if applicable.
d. A reasonably specific description of the record content being
sought.
Individuals requesting access to records maintained at OGE must
also follow OGE's Privacy Act regulations regarding verification of
identity and
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access to records (5 CFR part 2606). In addition, individuals seeking
access to records filed with the DAEO at the agency where the employee
beneficiary is employed must follow that agency's regulations regarding
verification of identity and access to records.
Contesting Record Procedures:
Because the information in these records is updated on a periodic
basis, most record corrections can be handled through internal agency
procedures for updating the records without the need for a formal
request to amend pursuant to the Privacy Act. However, individuals can
obtain information on the procedures for contesting the records under
the provisions of the Privacy Act by contacting the appropriate office
shown in the Notification Procedure section.
Individuals requesting records corrections of records maintained at
OGE must also follow OGE's Privacy Act regulations regarding
verification of identity and access to records (5 CFR part 2606). In
addition, individuals requesting corrections to records filed with the
DAEO at the agency where the employee beneficiary is employed must
follow that agency's regulations regarding verification of identity and
access to records.
Notification Procedures:
Individuals wishing to inquire whether this system of records
contains information about them should contact, as appropriate:
a. For records filed directly with OGE, contact the General
Counsel, Office of Government Ethics, Suite 500, 1201 New York Avenue
NW, Washington, DC 20005-3917; and
b. For records filed with the DAEO where the employee beneficiary
is employed, contact the DAEO at the department or agency concerned.
Exemptions Promulgated for The System:
None.
History:
None.
Approved: May 10, 2023.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2023-10292 Filed 5-24-23; 8:45 am]
BILLING CODE 6345-03-P