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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]





   #.GOVERNMENT ETHICS OFFICE


   #..Table of Contents

   OGE/GOVT--1 Executive Branch Public Financial Disclosure Reports and 
            Other Ethics Program Records.
    OGE/GOVT--2 Confidential Statementsof Employment and Financial 
            Interest.

   #.. OGE/GOVT-1

   #....System name: Executive Branch Public Financial Disclosure 
      Reports and Other Ethics Program Records.

     System location: 
       Director, Office of Government Ethics, Suite 500, 1201 New York 
   Avenue, NW, Washington, DC 20005-3917, and designated agency ethics 
   offices.
     Categories of individuals covered by the system: 
       This system contains records on: The President, Vice President, 
   and candidates for those offices; officers and employees including 
   special Government employees, whose positions are classified at 
   grades GS-16 and above or at an equivalent rate under another pay 
   schedule; individuals who are classified at GS-16 and above or in 
   equivalent positions who provide staff functions in support of an 
   advisory committee composed of at least one special Government 
   employee; officers or employees in a position determined by the 
   Director of the Office of Government Ethics to be of equal 
   classification to GS-16 or above; Administrative Law Judges; excepted 
   service employees in positions that are of a confidential or 
   policymaking nature unless an employee or grounds of employees are 
   exempted by the Director of the Office of Government Ethics; each 
   member of a uniformed service whose pay grade is at or in excess of 
   0-7 under section 201 of title 37, United States Code; the Postmaster 
   General, the deputy Postmaster General, Governor of the Board of 
   Governors of the U.S. Postal Service and each officer of employee or 
   employee of the U.S. Postal Service whose basic rate of pay is equal 
   to or greater than the minimum rate of basic pay fixed for GS-16; the 
   Director of the Office of Government Ethics and officials designated 
   to act as agency ethics officers (designated agency ethics 
   officials); any civilian employee employed in the Executive Office of 
   the President (other than a special Government employee) who holds a 
   commission of appointment from the President; and nominees for 
   positions requiring Senate confirmation. This system includes both 
   former and current employees in these categories who have filed 
   financial disclosure statements under the requirements of the Ethics 
   in Government Act of 1978, as amended, or who otherwise come under 
   the requirements of the Ethics Act. 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, the system may contain 
   information on any officer or employee of the executive branch.
     Categories of records in the system: 
       This system of records contains: Financial information such as 
   salary, dividends, receipts from the purchase of sale of land, 
   exchange of property, spouse's and children's interest earnings, 
   funds from trust accounts, gifts, reimbursements, interest on 
   property, and compensation for duties performed; information on 
   liabilities in excess of
       10,000; information about positions as an officer, director, 
   trustee, 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 non-Federal employer welfare and benefit plans; and 
   information about assets placed in trust pending disposal; and other 
   documents developed by the Director of the Office of Government 
   Ethics, or agency ethics officials in administering the Ethics of 
   Government Act of 1978 or the Ethics Reform Act of 1989 (Pub. L. 101-
   194), as amended. Such other documents may include, but will not be 
   limited to: Ethics agreements, documentation of waivers issued to an 
   officer or employee by an agency pursuant to section 208(b)(1) or 
   section 208(b)(3) of title 18, U.S.C.; certificates of divestiture 
   issued by the President or by the Director of OGE pursuant to section 
   502 of the Ethics Reform Act of 1989 (26 U.S.C. 1043); and 
   information necessary for the rendering of advice or formal advisory 
   opinions, or the resolution of complaints.
     Authority for maintenance of the system: 
       Pub. L. 95-521, Ethics in Government Act of 1978 and Pub. L. 101-
   194, Ethics Reform Act of 1989, as amended.
   Purpose(s): 
       These records are maintained to meet the requirements of the 
   Ethics in Government Act of 1978 and the Ethics Reform Act of 1989, 
   as amended, regarding the filing of financial status reports, reports 
   concerning certain agreements between the covered individual and any 
   prior private sector employer, ethics agreements, and the 
   preservation of waviers issued to an officer or employee pursuant to 
   section 208 of title 18 and certificates of divestiture issued 
   pursuant to section 502 of the Ethics Reform Act. Such statements and 
   related records are required to assure compliance with these acts and 
   to preserve and promote the integrity of public officials and 
   institutions.

       Note: When an agency is requested to furnish such records to the 
   Director of the Office of Government Ethics, such a disclosure is to 
   be considered as made pursuant to provisions of the Privacy Act (5 
   U.S.C. 552a(b)(1)).
     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 any and all of the information furnished by the 
   reporting official, in accordance with provisions of section 205 of 
   the Ethics in Government Act of 1978 (section 105 of the Ethics Act, 
   as amended), to any requesting person.
       b. To disclose, in accordance with section 105 of the Ethics in 
   Government Act, as amended, and subject to the limitations contained 
   in section 208(d)(1) of title 18, U.S.C., any determination granting 
   an exemption pursuant to 208(b)(1) or 208(b)(3) of title 18, U.S.C., 
   to any requesting person.

       Note: No disclosures can be made pursuant ot this new routine use 
   until on or after March 26, 1990.

       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 or civil or criminal law or 
   regulation.
       d. To disclose information to another Federal agency, to a court, 
   or a party in litigation before a court or in an administrative 
   proceeding being conducted by a Federal agency, either when the 
   Government is a party to a judicial or administrative proceeding or 
   in order to comply with the issuance of a subpoena.
       e. To disclose information to any source when necessary to obtain 
   information relevant to a conflict-of-interest investigation or 
   determination.
       f. By the National Archives and Records Administration or the 
   General Services Administration in records management inspections 
   conducted under authority of 44 U.S.C. 2904 and 2906.
       g. To disclose information to the Office of Management and Budget 
   at any stage in the legislative coordination and clearance process in 
   connection with private relief legislation as set forth in OMB 
   Circular No. A-19.
       h. To disclose, in response to a request for discovery or for 
   appearance of a witness, information that is relevant to the subject 
   matter involved in a pending judicial or administrative proceeding.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: 
       These records are maintained in file folders, automated media, or 
   on microfiche or microfilm.
     Retrievability: 
       These records are retrieved by the name and social security 
   number of the individual on whom they are maintained.
     Safeguards: 
       These records are maintained in filing cabinets to which only 
   authorized personnel have access.
     Retention and disposal: 
       These records are generally maintained for a period of 6 years 
   after filing, except when filed by 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. In these cases, the record is destroyed 1 year after the 
   date the individual ceased being under Senate consideration for 
   appointment or is no longer a candidate for office. Further, if the 
   records are needed in an ongoing investigation, they will be retained 
   until no longer needed in the investigation. Destruction is by 
   shredding or burning.
     System manager(s) and address: 
       Director, Office of Government Ethics, Suite 500, 1201 New York 
   Avenue, NW, Washington, DC 20005-3917.
     Notification procedure: 
       Individuals wishing to inquire whether this system of records 
   contains information about them should contact, as appropriate:
       a. For records filed directly with the Office of Government 
   Ethics, contact the system manager.
       b. For records filed with designated agency ethics officials or 
   the Secretary concerned, contact the designated agency ethics 
   official or Headquarters, department or agency, Washington, DC (ZIP 
   code).
       c. For records filed with the Federal Election Commission by 
   candidates for President or Vice President, contact the Staff 
   Director, Federal Election Commission, 999 E Street, NW, Washington, 
   DC 20463.
       Individuals wishing to inquire whether this system of records 
   contains information about them should contact the appropriate office 
   listed above. 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.
     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.
     Contesting record procedures: 
       Since the information in these records is updated on a periodic 
   basis, most record corrections can be handled through established 
   administrative procedures for updating the records. However, 
   individuals can obtain information on the procedures for contesting 
   the records under the provisions of the Privacy Act by contacting the 
   appropriate office shown in the Notification Procedure section.
     Record source categories: 
       Information in this system of records is provided by:
       a. The subject individual or by a designated person, such as a 
   trustee, attorney, accountant, or relative.
       b. Federal officials who review the statements to make conflict 
   of interest determinations.
       c. Persons alleging conflict of interests and persons contacted 
   during any investigation of the allegations.

   #.. OGE/GOVT-2

   #....System name: Confidential Statements of Employment and Financial 
      Interests.

     System location: 
       Individual agency ethics offices or other designated agency 
   offices.
     Categories of individuals covered by the system: 
       Officers and employees who are required by their agency pursuant 
   to or under Executive Orders 12674, 12565 and 11222 (as amended), 5 
   CFR part 735, or section 207 of the Ethics in Government Act of 1978, 
   or section 107 of the Ethics Act, as amended, to file such 
   statements. The system includes both former and current Federal 
   employees in these categories.
     Categories of records in the system: 
       These records contain statements and amended statements of 
   personal and family holdings and other interests in business 
   enterprises and real property; listings of creditors and outside 
   employment; opinions of counsel; and other information related to 
   conflict of interest determinations.
     Authority for maintenance of the system: 
       Executive Orders 12674, 12565 and 11222 (as amended); Pub. L. 95-
   521, Ethics in Government Act and Pub. L. 101-194, Ethics Reform Act 
   of 1989, as amended.
   Purpose(s): 
       These records are maintained to meet the requirements of or under 
   Executive Orders 12674, 12565 and 11222, 5 CFR part 735, agency 
   regulations thereunder, as well as section 207 of the Ethics in 
   Government Act of 1978 (section 107 of the Ethics Act, as amended by 
   the Ethics Reform Act of 1989), concerning the filing of employment 
   and financial interest statements. Such statements are required to 
   assure compliance with the standards of conduct for Government 
   employees contained in the Executive Orders, agency regulations and 
   title 18, U.S.C., and to determine if a conflict of interest exists 
   between the employment of individuals by the Federal Government and 
   their personal employment and financial interests. To enable the 
   Director of the Office of Government Ethics to ensure that these 
   purposes are met, agency maintained records are to be made available 
   to that office on request.

       Note. When an agency is requested to furnish such records to the 
   Director of the Office of Government Ethics, such a disclosure is to 
   be considered as made pursuant to provisions of the Privacy Act (5 
   U.S.C. 552a(b)(1)).
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       These statements and amended statements required by or pursuant 
   to Executive Orders 12674 (Part II), 12565, and 11222 (Part IV), as 
   amended, 5 CFR part 735, agency regulations thereunder, and/or 
   section 207 of the Ethics in Government Act of 1978 (section 107 of 
   the Ethics Act, as amended), are to be held in confidence and no 
   informations therefrom shall be disclosed except:
       a. To disclose pertinent information to the appropriate Federal, 
   State, or local agency responsible for investigating, prosecuting, 
   enforcing, or implementing a statute, rule, regulation, or order, 
   where the disclosing agency becomes aware of an indication of a 
   violation or potential violaiton of civil or criminal law or 
   regulation.
       b. To disclose information to another Federal agency, to a court, 
   or a party in litigation before a court or in an administrative 
   proceeding being conducted by a Federal agency, either when the 
   Government is party to a judicial or administrative proceeding or in 
   order to comply with the issuance of a subpoena.
       c. To disclose information to any source when necessary to obtain 
   information relevant to a conflict-of-interest investigation or 
   determination.
       d. To or by the National Archives and Records Administration or 
   the General Services Administration in records management inspections 
   conducted under authority of 44 U.S.C. 2904 and 2906.
       e. To disclose information to the Office of Management and Budget 
   at any stage in the legislative coordination and clearance process in 
   connection with private relief legislation as set forth in OMB 
   Circular No. A-19.
       f. To disclose, in response to a request for discovery or for 
   appearance of a witness, information that is relevant to the subject 
   matter involved in a pending judicial or administrative proceeding.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: 
       These records are maintained in file folders, in automated media, 
   or on microfiche or microfilm.
     Retrievability: 
       These records are retrieved by the name and social security 
   number of the individual on whom they are maintained.

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