Privacy Act of 1974; Systems of Records
| Published date | 10 November 2021 |
| Citation | 86 FR 62537 |
| Record Number | 2021-24567 |
| Section | Notices |
| Court | Government Ethics Office |
62537
Federal Register / Vol. 86, No. 215 / Wednesday, November 10, 2021 / Notices
(‘‘Remove any impediments within the control of
Respondents that may deter relevant Divestiture
Business Employees from accepting employment
with the Acquirer, including removal of any non-
compete . . .’’); Decision and Order, Stryker et al.,
No. 201–0014 at VI.B.3 (Dec. 17, 2020), https://
www.ftc.gov/system/files/documents/cases/
2010014c4728strykerwrightorder.pdf (‘‘Remove any
impediments within the control of Respondents
that may deter Implant Business Employees from
accepting employment with the Acquirer, including
removal of any non-compete . . .’’); Decision and
Order, Arko Holdings et al., No. 201–0041 at VI.B.3
(Oct. 7, 2020), https://www.ftc.gov/system/files/
documents/cases/c-4726_201_0041_arko_empire_
order.pdf (‘‘Remove any impediments within the
control of Respondents that may deter Retail Fuel
Employees from accepting employment with an
Acquirer . . .’’). This consent does contain a new
twist on our approach to non-competes.
Specifically, DaVita may not enforce non-competes
to the extent they prevent competitors or potential
competitors from obtaining the services of a
nephrologist, which will allow potential
competitors to launch a competing dialysis clinic in
Utah. Given my understanding of DaVita’s business
practices, the nephrologist shortage, and the
historical industry context, I believe this remedy
constitutes appropriate fencing-in relief.
12
Testimony of Eric A. Posner on Antitrust and
Labor Markets at 2 (Sept. 28, 2021), https://
docs.house.gov/meetings/JU/JU05/20210928/
114057/HHRG-117-JU05-Wstate-PosnerE-
20210928.pdf (‘‘Yet, while thousands of antitrust
cases have been brought over the years, hardly any
have addressed labor market cartelization. The
Justice Department and the Federal Trade
Commission have reviewed thousands of mergers,
approving some and rejecting others, but have not
even once analyzed the labor market effects of a
merger.’’).
13
Testimony of Commissioner Christine S.
Wilson at the Hearing on Reviving Competition,
Part 4: 21st Century Antitrust Reforms and the
American Worker at 12–14, (Sept. 28, 2021), https://
www.ftc.gov/system/files/documents/public_
statements/1596880/commissioner_wilson_
hearing_on_reviving_competition_part_4_-_21st_
century_antitrust_reforms_and_the.pdf.
14
Dep’t of Justice, Antitrust Div. & Fed. Trade
Comm’n, Antitrust Guidance for Human Resource
Professionals (Oct. 2016), https://www.justice.gov/
atr/file/903511/download.
15
Indictment, United States v. DaVita Inc. et al.,
No. 1:21–cr–00229 (D. Colo. July 14, 2021).
16
Press Release, Fed. Trade Comm’n, VieVu’s
Former Parent Company Safariland Agrees to Settle
Charges That It Entered into Anticompetitive
Agreements with Body-Worn Camera Systems
Seller Axon (April 17, 2020), https://www.ftc.gov/
news-events/press-releases/2020/04/vievus-former-
parent-company-safariland-agrees-settle-charges-it
(‘‘According to the complaint, the agreements
barred Safariland from competing with Axon now
and in the future on all of Axon’s products, limited
solicitation of customers and employees by either
company, and stifled potential innovation or
expansion by Safariland.... Under the proposed
order, Safariland is required to obtain approval
from the Commission before entering into any
agreement with Axon that restricts competition
between the two companies.’’).
support the provisions pertaining to
non-competes in this matter—but my
acquiescence to these provisions should
not be construed as support for a
sweeping condemnation of non-
competes more generally.
Ban on No-Poach Agreements
The order contains an anti-no-poach
provision that prevents DaVita from
entering into any agreement that would
restrict the divestiture buyer from
soliciting DaVita’s employees. I
highlight this provision because some
critics have asserted antitrust
enforcement ignores competition for
labor as an input.
12
I believe modern
antitrust enforcement does, in fact,
police the market for unlawful practices
impacting competition for labor.
13
Naked no-poach agreements are per se
illegal under the antitrust laws, and
have been subject to enforcement
accordingly.
14
With respect to the instant matter,
DaVita and its former CEO were recently
indicted for agreeing with competitors
to refrain from recruiting one another’s
employees.
15
In a past consent order,
where respondents had entered into no-
poach agreements, provisions explicitly
prohibiting these agreements have been
included in an order.
16
I support the
inclusion of an anti-no-poach provision
in this order because of the relevant
allegations against DaVita and to allow
the Commission to pursue an order
violation if DaVita attempts to limit
competition through anticompetitive
no-poach agreements in the future.
[FR Doc. 2021–24554 Filed 11–9–21; 8:45 am]
BILLING CODE 6750–01–P
OFFICE OF GOVERNMENT ETHICS
Privacy Act of 1974; Systems of
Records
AGENCY
: Office of Government Ethics
(OGE).
ACTION
: Notice of Modification of Four
Internal Systems of Records and
Rescindment of One Internal System of
Records.
SUMMARY
: The US. Office of Government
Ethics (OGE) proposes to revise four and
rescind one of its existing internal
systems of records under the Privacy
Act.
The system of records to be rescinded
is OGE/INTERNAL–2, which covers
telephone call detail records that were
used to verify employee telephone usage
and to resolve billing discrepancies.
The four systems of records to be
revised are the following:
•OGE/INTERNAL–1 Pay, Leave
and Travel Records, which contains
records related to OGE employees’ pay,
leave, and travel, including information
regarding leave accrual rate, usage, and
balances, salary withholdings, travel
expenses, and usage of the transit fare
subsidy program;
•OGE/INTERNAL–3 Grievance
Records, which contains records
relating to grievances filed by OGE
employees;
•OGE/INTERNAL–4 Computer
Systems Activity and Access Records,
which contains information on the use
of official email systems, user access to
OGE’s computer networks, and records
related to the verification or
authorization of an individual’s access
to systems, files, or applications; and
•OGE/INTERNAL–5 Employee
Locator and Emergency Notification
Records, which contains information
regarding the organizational location,
telephone extension, and hours of duty
of OGE employees, as well as their
personal contact information and the
name, relationship, and telephone
number of employees’ emergency
contacts.
DATES
: The revisions and rescindment
will be effective on November 10, 2021,
subject to a 30-day period in which to
comment on the new routine uses,
described below. Please submit any
comments by December 10, 2021. The
new routine uses will be effective on
that date.
ADDRESSES
: Comments may be
submitted to OGE by any of the
following methods:
Email: usoge@oge.gov (Include
reference to ‘‘OGE Internal SORNs’’ in
the subject line of the message.)
Mail, Hand Delivery/Courier: Office of
Government Ethics, Suite 500, 1201
New York Avenue NW, 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/INTERNAL–1,–3,–4, and –5
systems of records in several respects,
and rescind OGE/INTERNAL–2,
Telephone Call Detail Records.
First, OGE proposes to rescind one
system of records that is no longer in
use by OGE, OGE/INTERNAL–2,
Telephone Call Detail Records. OGE no
longer maintains these records and has
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no plans to do so in the future. All
records previously maintained under
this system of records notice (SORN)
have been destroyed in accordance with
the National Archives and Records
Administration General Records
Schedule.
Second, OGE proposes to amend
OGE/INTERNAL–1 Pay, Leave, and
Travel Records, OGE/INTERNAL–3
Grievance Records, OGE/INTERNAL–4
Computer Systems Activity and Access
Records, and OGE/INTERNAL–5
Employee Locator and Emergency
Notification Records by updating the
system locations, system managers,
records access procedures, and
notification procedures, in accordance
with OGE’s current organizational
structure.
Third, OGE proposes to add two
additional routine uses to OGE/
INTERNAL–1 Pay, Leave, and Travel
Records, OGE/INTERNAL–3 Grievance
Records, OGE/INTERNAL–4, Computer
Systems Activity and Access Records,
and OGE/INTERNAL–5 Employee
Locator and Emergency Notification
Records in accordance with Office of
Management and Budget guidance.
OMB Memorandum M–17–12
Preparing for and Responding to a
Breach of Personally Identifiable
Information (January 3, 2017) requires
Federal agencies to publish routine uses
to authorize disclosure of records that
may reasonably be needed by a Federal
agency or Federal entity in connection
with breach response efforts. To satisfy
the routine use requirements in OMB
M–17–12, OGE proposes to add the two
following routine uses to each of the
four systems of records described above:
To appropriate agencies, entities, and
persons when: (1) OGE suspects or has
confirmed that there has been a breach
of the system of records; (2) OGE 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 OGE’s efforts to
respond to the suspected or confirmed
breach or to prevent, minimize, or
remedy such harm.
To another Federal agency or Federal
entity, when OGE 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.
Fourth, OGE proposes to update its
standard routine uses for all four revised
SORNS. It proposes to combine and
update the routine uses pertaining to
litigation in OGE/INTERNAL–1 Pay,
Leave, and Travel Records, OGE/
INTERNAL–3 Grievance Records, OGE/
INTERNAL–4, Computer Systems
Activity and Access Records, and OGE/
INTERNAL–5 Employee Locator and
Emergency Notification Records in
accordance with OMB and Department
of Justice guidance and applicable case
law. The remaining routine uses have
been redesignated accordingly. It also
proposes adding a routine use for
reporting violations or potential
violations of civil or criminal law or
regulation to the SORNs that do not
currently have such a routine use and
making the wording consistent among
the SORNs that do currently have it.
Finally, OGE proposes to modify in
accordance with OMB guidance the
routine uses pertaining to congressional
requests for assistance in the three
systems that have such a routine use.
Fifth, OGE proposes to modify OGE/
INTERNAL–1 Pay, Leave, and Travel
Records to include records relating to
requests for reasonable accommodations
pursuant to the Rehabilitation Act of
1973 and Title VII of the Civil Rights
Act. These records are similar in nature
to those currently covered by the system
and are collected and maintained
according to similar procedures. OGE
further proposes to change the system
name to OGE/INTERNAL–1 Pay, Leave,
Travel, and Reasonable Accommodation
Records.
Accordingly, OGE publishes the
following notice of rescindment and
revisions:
SYSTEM NAME AND NUMBER
(
RESCINDMENT
):
OGE/INTERNAL–2, Telephone Call
Detail Records
HISTORY
:
68 FR 3097.
SYSTEM NAME AND NUMBER
:
OGE/INTERNAL–1, Pay, Leave,
Travel, and Reasonable Accommodation
Records.
SECURITY CLASSIFICATION
:
Unclassified.
SYSTEM LOCATION
:
Office of Government Ethics, Suite
500, 1201 New York Avenue NW,
Washington, DC 20005–3917.
SYSTEM MANAGER
(
S
):
Deputy Director for Compliance,
Office of Government Ethics, Suite 500,
1201 New York Avenue NW,
Washington, DC 20005–3917, email:
usoge@oge.gov.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM
:
5 U.S.C. 5525; 5 U.S.C. app. (Ethics in
Government Act of 1978); 44 U.S.C.
3101, 3102; 29 U.S.C. 701 et seq.
(Rehabilitation Act of 1973); 42 U.S.C.
2000e (Title VII of the Civil Rights Act).
PURPOSE
(
S
)
OF THE SYSTEM
:
These records are used to administer
the pay, leave, and travel requirements
of the Office of Government Ethics,
including the administration of the
transit fare subsidy program. The
records are also used to collect and
maintain records on employees who
request or receive reasonable
accommodation as required by the
Rehabilitation Act of 1973 and Title VII
of the Civil Rights Act.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM
:
Current employees of the Office of
Government Ethics. The records may be
retained after an employee leaves the
Office of Government Ethics.
CATEGORIES OF RECORDS IN THE SYSTEM
:
This system contains various records
relating to pay, leave, travel and
requests for reasonable accommodations
pursuant to the Rehabilitation Act of
1973 and Title VII of the Civil Rights
Act. This includes information such as:
Name; date of birth; social security
number; home address; grade;
employing organization; disability
status, religious affiliation,
accommodation requested and/or
granted, timekeeper number; salary; pay
plan; number of hours worked; leave
accrual rate, usage, and balances; Civil
Service Retirement and Federal
Employees Retirement System
contributions; FICA withholdings;
Federal, state, and local tax
withholdings; Federal Employee’s
Group Life Insurance withholdings;
Federal Employee’s Health Benefits
withholdings; charitable deductions;
allotments; garnishment documents;
travel expenses; and information on the
leave transfer program and fare subsidy
program.
RECORD SOURCE CATEGORIES
:
Information in this system of records
is obtained from:
a. The individual to whom the record
pertains.
b. Office of Government Ethics
officials responsible for pay, leave, and
travel requirements.
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c. Other official personnel documents
of the Office of Government Ethics.
ROUTINE USES
:
a. To disclose pertinent information to
the appropriate Federal, State, or local
agency responsible (hereinafter
‘‘responsible agency’’) for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order,
when the record either alone or in
conjunction with other information
indicates a violation or potential
violation of civil or criminal law or
regulation.
b. To disclose information when OGE
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.
c. To disclose information to the
National Archives and Records
Administration or the General Services
Administration in records management
inspections conducted under authority
of 44 U.S.C. 2904 and 2906.
d. To disclose information to the
Office of Management and Budget at any
stage in the legislative coordination and
clearance process in connection with
private relief legislation as set forth in
OMB Circular No. A–19.
e. To disclose information to 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.
f. To disclose information to
contractors, grantees, experts,
consultants, detailees, and other non-
OGE employees performing or working
on a contract, service, or other
assignment for the Federal Government,
when necessary to accomplish an
agency function related to this system of
records.
g. To disclose information to the
Department of Labor in connection with
a claim filed by an employee for
compensation due to a job-connected
injury or illness.
h. To disclose information to the
Social Security Administration (SSA)
and the Department of the Treasury as
required in accordance with their
authorized functions, including Federal
Insurance Collections Act withholding
and benefits for the SSA and the
issuance of paychecks and savings
bonds for the Treasury.
i. To disclose information to State
offices of unemployment compensation.
j. To disclose information to Federal
Employees Group Life Insurance or
Health Benefits carriers in connection
with survivor annuity or health benefits
claims or records reconciliations.
k. To disclose information to the
Internal Revenue Service and State and
local tax authorities.
l. To disclose information to any
source from which additional
information is requested relevant to an
OGE determination concerning an
individual’s pay, leave, or travel
expenses, to the extent necessary to
identify the individual, inform the
source of the purpose(s) of the request,
and to identify the type of information
requested.
m. To disclose information to a
Federal agency, in response to its
request in connection with the hiring or
retention of an employee, the issuance
of a security clearance, the conducting
of a suitability or security investigation
of an individual, the letting of a
contract, or the issuance of a license,
grant, or other benefit by the requesting
agency, to the extent that the
information is relevant and necessary to
the requesting agency’s decision on the
matter.
n. To disclose information to the
authorized employees of another
Federal agency that provides the Office
of Government Ethics with manual and
automated assistance in processing pay,
leave, and travel.
o. To disclose information to officials
of the Office of Special Counsel, Office
of Personnel Management, Federal
Labor Relations Authority, Merit
Systems Protection Board or the Equal
Employment Opportunity Commission
when requested in the performance of
their authorized duties, including
respectively in connection with cases
and appeals, special studies of the civil
service and other merit systems, review
of personnel matters and practices,
investigations of alleged or possible
prohibited personnel and
discrimination practices, Hatch Act
matters, whistleblower protections,
compliance with employee selection
procedures and investigations of
allegations of unfair labor practices or
matters before the Federal Service
Impasses Panel.
p. To disclose information in
compliance with orders, interrogatories,
and other information requests relevant
to garnishment orders that OGE is
required to comply with in accordance
with 42 U.S.C. 659 (support
garnishment) and 5 U.S.C. 5520a
(commercial garnishment) to a court of
competent jurisdiction, an authorized
official, or to an authorized State agency
as defined in 5 CFR parts 581 and 582.
q. To provide information to officials
of labor organizations recognized under
5 U.S.C. chapter 71 when relevant and
necessary to their duties of exclusive
representation concerning personnel
policies, practices, and matters affecting
working conditions.
r. To disclose the names, social
security numbers, home addresses, date
of birth, date of hire, quarterly earnings,
employer identifying information, and
State of hire of employees to the Office
of Child Support Enforcement,
Administration for Children and
Families, Department of Health and
Human Services for the purposes of
locating individuals to establish
paternity, establishing and modifying
orders of child support, identifying
sources of income, and for other child
support enforcement actions as required
by the Personal Responsibility and
Work Opportunity Reconciliation Act,
Public Law 104–193, as amended.
s. To disclose information to
appropriate agencies, entities, and
persons when: (1) OGE suspects or has
confirmed that there has been a breach
of the system of records; (2) OGE 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 OGE’s efforts to
respond to the suspected or confirmed
breach or to prevent, minimize, or
remedy such harm.
t. To disclose information to another
Federal agency or Federal entity, when
OGE 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 paper
and/or electronic form.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS
:
These records are retrieved by the
name, social security number, or other
identifier assigned to the individual on
whom they are maintained.
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POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS
:
These records are retained in
accordance with the National Archives
and Records Administration General
Records Schedule (GRS) as follows:
a. GRS 2.3: Employee Relations
Records;
b. GRS 2.4: Employee Compensation
and Benefits Records; and
c. GRS 1.1: Financial Management
and Reporting Records.
Disposal of paper records is by
shredding, and disposal of electronic
records is by deletion.
ADMINISTRATIVE
,
TECHNICAL
,
AND PHYSICAL
SAFEGUARDS
:
Paper records are maintained in
locked file storage areas or in specified
areas to which only authorized
personnel have access. Electronic
records are protected from unauthorized
access through password identification
procedures, limited access, firewalls,
and other system-based protection
methods.
RECORD ACCESS PROCEDURES
:
Individuals requesting access to this
system of records must follow the
procedures set forth in OGE’s Privacy
Act regulations at 5 CFR part 2606.
CONTESTING RECORD PROCEDURES
:
Individuals wishing to request
amendment of records about themselves
should contact the System Manager.
Individuals must furnish the following
information for their records to be
located and identified:
a. Full name.
b. Social Security Number.
c. Dates of employment.
Individuals requesting amendment
must also follow OGE’s Privacy Act
regulations regarding verification of
identity and amendment of records (5
CFR part 2606).
NOTIFICATION PROCEDURES
:
Individuals wishing to inquire
whether this system of records contains
information about themselves must
follow the procedures set forth in OGE’s
Privacy Act regulations at 5 CFR part
2606.
EXEMPTIONS PROMULGATED FOR THE SYSTEM
:
None.
HISTORY
:
68 FR 3097.
SYSTEM NAME AND NUMBER
:
OGE/INTERNAL–3, Grievance
Records.
SECURITY CLASSIFICATION
:
Unclassified.
SYSTEM LOCATION
:
Office of Government Ethics, Suite
500, 1201 New York Avenue NW,
Washington, DC 20005–3917.
SYSTEM MANAGER
(
S
):
Deputy Director for Compliance,
Office of Government Ethics, Suite 500,
1201 New York Avenue NW,
Washington, DC 20005–3917, email:
usoge@oge.gov.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM
:
5 U.S.C. app. (Ethics in Government
Act of 1978); 5 U.S.C. 7121; 5 CFR part
771.
PURPOSE
(
S
)
OF THE SYSTEM
:
These records are used to process
grievances submitted by OGE employees
for personal relief in a matter of concern
or dissatisfaction.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM
:
Current or former OGE employees
who have filed grievances under OGE’s
administrative grievance procedures or
under a negotiated grievance procedure.
CATEGORIES OF RECORDS IN THE SYSTEM
:
The system contains records relating
to grievances filed by OGE employees
under administrative procedures
authorized by 5 CFR part 771, and
records of negotiated grievance and
arbitration systems that OGE has or may
establish through negotiations with
recognized labor organizations in
accordance with 5 U.S.C. 7121. These
files contain all documents related to
the grievance, which may include
statements of witnesses, reports of
interviews and hearings, examiner’s
findings and recommendations, a copy
of the original decision, and related
correspondence and exhibits,
employment history, arbitrator’s
decision or report, record of appeal to
the Federal Labor Relations Authority,
and a variety of employment and
personnel records associated with the
grievance.
RECORD SOURCE CATEGORIES
:
Information in this system of records
is obtained from:
a. The individual on whom the record
is maintained.
b. Testimony of witnesses.
c. OGE officials.
d. Related correspondence from
organizations or persons.
e. Union officials (if information deals
with a negotiated grievance matter).
f. Department of Labor, Federal Labor
Relations Authority, or arbitrators
involved in the grievance (if information
deals with a negotiated grievance
matter).
ROUTINE USES
:
a. To disclose pertinent information to
the appropriate Federal, State, or local
agency responsible (hereinafter
‘‘responsible agency’’) for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order,
when the record either alone or in
conjunction with other information
indicates a violation or potential
violation of civil or criminal law or
regulation.
b. To disclose information when OGE
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.
c. To disclose information to the
National Archives and Records
Administration or the General Services
Administration in records management
inspections conducted under authority
of 44 U.S.C. 2904 and 2906.
d. To disclose information to the
Office of Management and Budget at any
stage in the legislative coordination and
clearance process in connection with
private relief legislation as set forth in
OMB Circular No. A–19.
e. To disclose information to 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.
f. To disclose information to
contractors, grantees, experts,
consultants, detailees, and other non-
OGE employees performing or working
on a contract, service, or other
assignment for the Federal Government,
when necessary to accomplish an
agency function related to this system of
records.
g. To disclose information to any
source from which additional
information is required in the course of
processing a grievance, to the extent
necessary to identify the individual,
inform the source of the purpose(s) of
the request, and identify the type of
information requested.
h. To disclose information to a
Federal agency in response to its request
in connection with the hiring or
retention of an employee, the issuance
of a security clearance, the conducting
of a security or suitability investigation
of an individual, the letting of a
contract, or the issuance of a license,
grant, or other benefit by the requesting
agency, to the extent that the
information is relevant and necessary to
requesting the agency’s decision on the
matter.
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i. To disclose information to officials
of the Merit Systems Protection Board;
the Office of Special Counsel; the
Federal Labor Relations Authority; or
the Equal Employment Opportunity
Commission when requested in
performance of their authorized duties,
including respectively in connection
with cases and appeals, special studies
of the civil service and other merit
systems, review of personnel matters
and practices, investigations of alleged
or possible prohibited personnel and
discrimination practices, Hatch Act
matters, whistleblower protections,
compliance with employee selection
procedures and investigations of
allegations of unfair labor practices or
matters before the Federal Service
Impasses Panel.
j. To provide information to officials
of labor organizations recognized under
5 U.S.C. chapter 71 when relevant and
necessary to their duties of exclusive
representation concerning personnel
policies, practices, and matters affecting
working conditions.
k. To provide information the
Department of Labor in carrying out its
functions regarding labor-management
relations in the Federal service.
l. To disclose information to
appropriate agencies, entities, and
persons when: (1) OGE suspects or has
confirmed that there has been a breach
of the system of records; (2) OGE 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 OGE’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
OGE 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 paper
and/or electronic form.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS
:
These records are retrieved by the
names of the individuals on whom they
are maintained.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS
:
These records are retained in
accordance with the National Archives
and Records Administration General
Records Schedule (GRS) 2.3 Employee
Relations Records. Disposal of paper
records is by shredding, and disposal of
electronic records is by deletion.
ADMINISTRATIVE
,
TECHNICAL
,
AND PHYSICAL
SAFEGUARDS
:
Paper records are maintained in
locked file storage areas or in specified
areas to which only authorized
personnel have access. Electronic
records are protected from unauthorized
access through password identification
procedures, limited access, firewalls,
and other system-based protection
methods.
RECORD ACCESS PROCEDURES
:
Individuals requesting access to this
system of records must follow the
procedures set forth in OGE’s Privacy
Act regulations at 5 CFR part 2606.
CONTESTING RECORD PROCEDURES
:
Review of requests from individuals
seeking amendment of their records
which have been the subject of an
administrative, judicial, or quasi-
judicial action will be limited in scope.
Review of amendment requests of these
records will be restricted to determining
if the record accurately documents the
ruling on the case, and will not include
a review of the merits of the action,
determination, or finding. Individuals
wishing to request amendment of their
records to correct factual errors should
contact the OGE Office of
Administration and Information
Management. Individuals must furnish
the following information for their
records to be located and identified:
a. Name.
b. Approximate date of closing of the
case and kind of action taken.
c. Organizational component
involved.
Individuals requesting amendment
must also follow OGE’s Privacy Act
regulations regarding verification of
identity and amendment of records (5
CFR part 2606).
NOTIFICATION PROCEDURE
:
Individuals wishing to inquire
whether this system of records contains
information about them must follow the
procedures set forth in OGE’s Privacy
Act regulations at 5 CFR part 2606.
EXEMPTIONS PROMULGATED FOR THE SYSTEM
:
None.
HISTORY
:
68 FR 3097.
SYSTEM NAME AND NUMBER
:
OGE/INTERNAL–4, Computer
Systems Activity and Access Records.
SECURITY CLASSIFICATION
:
Unclassified.
SYSTEM LOCATION
:
Office of Government Ethics, Suite
500, 1201 New York Avenue NW,
Washington, DC 20005–3917.
SYSTEM MANAGER
(
S
):
Chief Information Officer, Office of
Government Ethics, Suite 500, 1201
New York Avenue NW, Washington, DC
20005–3917, email: usoge@oge.gov.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM
:
5 U.S.C. app. (Ethics in Government
Act of 1978); 40 U.S.C. 1441 note.
PURPOSE
(
S
)
OF THE SYSTEM
:
The data in this system of records is
used by OGE systems and security
personnel, or persons authorized to
assist these personnel, to plan and
manage system services, to monitor for
improper use, and to otherwise perform
their official duties.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM
:
Individuals who access OGE network
computers or servers, including
individuals who send and receive
electronic communications, access
internet sites, or access system
databases, files, or applications from
OGE computers or who send electronic
communications to OGE computers; and
individuals attempting to access OGE
computers or systems without
authorization.
CATEGORIES OF RECORDS IN THE SYSTEM
:
Records in this system of records may
include: records on the use of OGE
email systems, including the email
address of the sender and receiver of the
email message, subject, date, and time;
records on user access to OGE’s office
networks; records relating to verification
or authorization of an individual’s
access to systems, files, or applications,
such as user IDs, user names, title, and
agency.
RECORD SOURCE CATEGORIES
:
Information in this system of records
is obtained from:
a. Individuals who access the systems.
b. Office of Government Ethics
employees and contractors responsible
for managing the systems.
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c. Computer activity logs and tracking
systems.
ROUTINE USES
:
a. To disclose pertinent information to
the appropriate Federal, State, or local
agency responsible (hereinafter
‘‘responsible agency’’) for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order,
when the record either alone or in
conjunction with other information
indicates a violation or potential
violation of civil or criminal law or
regulation.
b. To disclose information when OGE
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.
c. To disclose information to the
National Archives and Records
Administration or the General Services
Administration in records management
inspections conducted under authority
of 44 U.S.C. 2904 and 2906.
d. To disclose information to the
Office of Management and Budget at any
stage in the legislative coordination and
clearance process in connection with
private relief legislation as set forth in
OMB Circular No. A–19.
e. To disclose information to
contractors, grantees, experts,
consultants, detailees, and other non-
OGE employees performing or working
on a contract, service, or other
assignment for the Federal Government,
when necessary to accomplish an
agency function related to this system of
records.
f. 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.
g. To disclose information to a
Federal, State, local, tribal or foreign
agency, or a private contractor, in
response to its request in connection
with the hiring or retention of any
employee, the issuance of a security
clearance, the conduct of a security or
suitability investigation, the reporting of
an investigation on an employee, the
letting of a contract, or the issuance of
a grant, license, or other benefit to an
employee by the agency, but only to the
extent that the information disclosed is
relevant and necessary to the agency’s
decision on the matter.
i. To disclose information to
appropriate agencies, entities, and
persons when: (1) OGE suspects or has
confirmed that there has been a breach
of the system of records; (2) OGE 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 OGE’s efforts to
respond to the suspected or confirmed
breach or to prevent, minimize, or
remedy such harm.
j. To disclose information to another
Federal agency or Federal entity, when
OGE 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 paper
and/or electronic form.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS
:
These records may be retrieved by
user name, user ID, email address, or
other identifying search term employed,
depending on the record category.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS
:
These records are retained in
accordance with General Records
Schedule (GRS) 3.2 Information Systems
Security Records. Disposal of paper
records is by shredding, and disposal of
electronic records is by deletion.
ADMINISTRATIVE
,
TECHNICAL
,
AND PHYSICAL
SAFEGUARDS
:
These records are located in locked
storage areas with controlled entry, or
automated systems to which only
authorized personnel have access. The
use of password protection
identification features and other
automated data processing system
protection methods also restrict access.
RECORD ACCESS PROCEDURES
:
Individuals requesting access to this
system of records must follow the
procedures set forth in OGE’s Privacy
Act regulations at 5 CFR part 2606.
CONTESTING RECORD PROCEDURES
:
Individuals wishing to request
amendment of records about themselves
should contact the System Manager.
Individuals must furnish the following
information for their records to be
located and identified:
a. Full name.
b. Assigned computer location.
c. Description of information being
sought (including the time frame during
which the record(s) may have been
generated).
Individuals requesting amendment
must also follow OGE’s Privacy Act
regulations regarding verification of
identity and amendment of records (5
CFR part 2606).
NOTIFICATION PROCEDURE
:
Individuals wishing to inquire
whether this system of records contains
information about themselves must
follow the procedures set forth in OGE’s
Privacy Act regulations at 5 CFR part
2606.
EXEMPTIONS PROMULGATED FOR THE SYSTEM
:
None.
HISTORY
:
68 FR 3097.
SYSTEM NAME AND NUMBER
:
OGE/INTERNAL–5, Employee Locator
and Emergency Notification Records.
SECURITY CLASSIFICATION
:
Unclassified.
SYSTEM LOCATION
:
Office of Government Ethics, Suite
500, 1201 New York Avenue NW,
Washington, DC 20005–3917.
SYSTEM MANAGER
(
S
):
Deputy Director for Compliance,
Office of Government Ethics, Suite 500,
1201 New York Avenue NW,
Washington, DC 20005–3917, email:
usoge@oge.gov.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM
:
5 U.S.C. app. (Ethics in Government
Act of 1978); 44 U.S.C. 3101.
PURPOSE
(
S
)
OF THE SYSTEM
:
Information is collected for this
system in order to identify an individual
for OGE officials to contact, should an
emergency of a medical or other nature
involving the employee occur while the
employee is on the job. Also, these
records may be used by authorized OGE
personnel to contact individuals
working from home or at an authorized
alternative worksite or, on infrequent
occasions, to contact individuals absent
from work about work-related issues.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM
:
Current employees of the Office of
Government Ethics.
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CATEGORIES OF RECORDS IN THE SYSTEM
:
This system contains information
regarding the organizational location,
telephone extension, and hours of duty
of individual OGE employees. The
system also contains the home address
and telephone number of the employee
and the name, relationship, and
telephone number of an individual or
individuals to contact in the event of a
medical or other emergency involving
the employee. The system contains an
additional freeform ‘‘note’’ field for
personal medical information for
employees who choose to voluntarily
complete it.
RECORD SOURCE CATEGORIES
:
Information in this system of records
is obtained from:
a. The individual on whom the record
is maintained.
ROUTINE USES
:
a. To disclose information when OGE
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.
c. To disclose information to
appropriate agencies, entities, and
persons when: (1) OGE suspects or has
confirmed that there has been a breach
of the system of records; (2) OGE 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 OGE’s efforts to
respond to the suspected or confirmed
breach or to prevent, minimize, or
remedy such harm.
d. To disclose information to another
Federal agency or Federal entity, when
OGE 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.
e. To disclose pertinent information to
the appropriate Federal, State, or local
agency responsible (hereinafter
‘‘responsible agency’’) for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order,
when the record either alone or in
conjunction with other information
indicates a violation or potential
violation of civil or criminal law or
regulation.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS
:
Records are maintained in paper and/
or electronic form.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS
:
These records are retrieved by the
name of the individual on whom they
are maintained.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS
:
These records are retained in
accordance with the National Archives
and Records Administration General
Records Schedule (GRS) 5.3: Continuity
and Emergency Planning Records.
Disposal of paper records is by
shredding, and disposal of electronic
records is by deletion.
ADMINISTRATIVE
,
TECHNICAL
,
AND PHYSICAL
SAFEGUARDS
:
Paper records are maintained in
locked file storage areas or in specified
areas to which only authorized
personnel have access. Electronic
records are maintained in a secured
electronic system accessible only to on-
site OGE employees. An individual OGE
employee has access only to his or her
own record. In addition, individual
records in the system are available to
authorized OGE personnel whose duties
require access.
RECORD ACCESS PROCEDURES
:
Individuals requesting access to this
system of records must follow the
procedures set forth in OGE’s Privacy
Act regulations at 5 CFR part 2606.
CONTESTING RECORD PROCEDURES
:
OGE employees have full access to
and complete control over their
individual record and may amend
information at any time, or they may
contact the System Manager.
Individuals must furnish the following
information for their records to be
located and identified:
a. Full name.
Individuals requesting amendment
must also follow OGE’s Privacy Act
regulations regarding verification of
identity and amendment of records (5
CFR part 2606).
NOTIFICATION PROCEDURE
:
Individuals wishing to inquire
whether this system of records contains
information about themselves must
follow the procedures set forth in OGE’s
Privacy Act regulations at 5 CFR part
2606.
EXEMPTIONS PROMULGATED FOR THE SYSTEM
:
None.
HISTORY
:
68 FR 3097.
Approved: November 5, 2021.
Emory Rounds,
Director, U.S. Office of Government Ethics.
[FR Doc. 2021–24567 Filed 11–9–21; 8:45 am]
BILLING CODE 6345–03–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Centers for Medicare & Medicaid
Services
[Document Identifier: CMS–368 and -R–144]
Agency Information Collection
Activities: Proposed Collection;
Comment Request
AGENCY
: Centers for Medicare &
Medicaid Services, Health and Human
Services (HHS).
ACTION
: Notice.
SUMMARY
: The Centers for Medicare &
Medicaid Services (CMS) is announcing
an opportunity for the public to
comment on CMS’ intention to collect
information from the public. Under the
Paperwork Reduction Act of 1995 (the
PRA), federal agencies are required to
publish notice in the Federal Register
concerning each proposed collection of
information (including each proposed
extension or reinstatement of an existing
collection of information) and to allow
60 days for public comment on the
proposed action. Interested persons are
invited to send comments regarding our
burden estimates or any other aspect of
this collection of information, including
the necessity and utility of the proposed
information collection for the proper
performance of the agency’s functions,
the accuracy of the estimated burden,
ways to enhance the quality, utility, and
clarity of the information to be
collected, and the use of automated
collection techniques or other forms of
information technology to minimize the
information collection burden.
DATES
: Comments must be received by
January 10, 2022.
ADDRESSES
: When commenting, please
reference the document identifier or
OMB control number. To be assured
consideration, comments and
recommendations must be submitted in
any one of the following ways:
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