[Federal Register Volume 61, Number 96 (Thursday, May 16, 1996)]
[Notices]
[Pages 24796-24798]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-12222]



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OFFICE OF GOVERNMENT ETHICS


Submission for OMB Review; Comment Request for the Proposed 
Modified Form for Requesting Access to Executive Branch Public 
Financial Disclosure Reports and Other Covered Records

AGENCY: Office of Government Ethics (OGE).

ACTION: Notice.

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SUMMARY: The Office of Government Ethics has submitted to the Office of 
Management and Budget (OMB) a slightly modified OGE Form 201 used by 
persons for requesting access to executive branch public financial 
disclosure reports and other covered records for three-year approval 
under the Paperwork Reduction Act. This modified form will replace the 
existing one.

DATES: Comments on this proposal should be received by June 17, 1996.

ADDRESSES: Comments should be sent to Joseph F. Lackey, Jr., Office of 
Information and Regulatory Affairs, Office of Management and Budget, 
New Executive Office Building, Room 10235, Washington, DC 20503; 
telephone: 202-395-7316.

FOR FURTHER INFORMATION CONTACT: William E. Gressman, Office of General 
Counsel and Legal Policy, Office of Government Ethics, 1201 New York 
Avenue, NW., Washington, DC 20005-3917; telephone: 202-208-8000 (ext. 
1110), FAX: 202-208-8037 (please note the new OGE telephone and FAX 
numbers which became effective May 6, 1996). A copy of OGE's draft 
form, as well as the rest of OGE's paperwork submission package to OMB, 
may be

[[Page 24797]]

obtained, without charge, by contacting Mr. Gressman.

SUPPLEMENTARY INFORMATION: The Office of Government Ethics has 
submitted to OMB, for three-year approval by OMB under the Paperwork 
Reduction Act of 1995 (44 U.S.C. chapter 35), a proposed modified OGE 
Form 201 ``Request to Inspect or Receive Copies of SF 278 Executive 
Branch Personnel Public Financial Disclosure Report or Other Covered 
Record'' (OMB control # 3209-0002). On January 4, 1996, OGE published 
an advance paperwork notice of the proposed modified OGE Form 201 (see 
61 FR 357-358). No public comments were received on that advance 
notice, though OGE did receive three requests by persons outside OGE 
for copies of the proposed new form, which were provided. Therefore, 
OGE has determined to proceed with submission of the proposed modified 
form, with one revision noted below, to OMB for approval. Once finally 
approved by OMB and adopted by OGE, the modified version of OGE Form 
201 will replace the existing version (whose paperwork clearance is 
scheduled to expire at the end of this coming July).
    As noted in the advance FR notice, OGE, as the supervising ethics 
office for the executive branch of the Federal Government under the 
Ethics in Government Act (the ``Ethics Act''), is proposing to slightly 
modify and update the existing access form. That form, the OGE Form 
201, collects information from, and provides certain information to, 
persons who seek access to SF 278 reports and other covered records. 
The other covered records are certificates of divestiture, section 208 
waiver determinations (after removal of any information exempt from 
disclosure under the Freedom of Information Act), other access requests 
and, as being expressly added in the proposed modified form, certain 
publicly available qualified trust documents. See sections 102 
(f)(5)(D) & (f)(7)(B) and 105 (b) & (c) of the Ethics in Government Act 
of 1978 as amended (the ``Ethics Act''), 5 U.S.C. app., secs. 102 
(f)(5)(D) & (f)(7)(B) and 105 (b) & (c), 18 U.S.C. 208(d)(1), and OGE's 
implementing financial disclosure regulations at 5 CFR 2634.408(d), 
2634.603(c), (f) & (g)(2), and 2634.1004 as well as appendixes A, B and 
C to part 2634.
    The form reflects the requirements of the Ethics Act and OGE's 
implementing regulations that must be met by a person before access can 
be granted. These requirements relate to information about the identity 
of the requester, as well as any other person on whose behalf a record 
is sought, and a notification of prohibited uses of SF 278 reports. See 
section 105 (b) and (c) of the Ethics Act and 5 CFR 2634.603 (c) and 
(f). For many years, OGE has disseminated to executive branch 
departments and agencies a locally reproducible uniform form to serve 
as the statutorily required written application to inspect or receive 
copies of SF 278 reports and other covered records. Departments and 
agencies are encouraged to utilize the OGE Form 201, but they can, if 
they choose, continue to use or develop their own forms (see the 
discussion below).
    As noted, this proposed modified version of the OGE Form 201 will 
add express mention (in part III of the form) to another category of 
materials subject to public access under the Ethics Act--Ethics Act-
qualified blind trust and qualified diversified trust instruments, the 
list of assets transferred to such trusts (& of assets sold in the case 
of a qualified blind trust), and the certificates of independence and 
compliance with respect to such trusts. The Office of Government Ethics 
has determined, since the advance notice was issued, to make one 
further change to include reference to the certificates in the listing 
of publicly available trust documents. See section 102 (f)(5)(D) & 
(f)(7)(B) of the Ethics Act and 5 CFR 2634.408(d) and 2634.603(g)(2), 
as well as appendixes A, B and C to part 2634. The other modification 
to the form would add to the part II.C public burden information block 
a statement required under the 1995 amendments to the paperwork law to 
the effect that ``an agency may not conduct or sponsor, and no person 
is required to respond to, a collection of information unless it 
displays a currently valid OMB control number,'' together with a 
parenthetical mention that such number is displayed in the upper right-
hand corner of the front page of the OGE Form 201.
    In light of OGE's experience over the past three years (1993-1995), 
the estimate of the total number of access forms expected to be filed 
annually at OGE by members of the public (primarily by news media, 
public interest groups and private citizens) is proposed to be adjusted 
up somewhat from 250 to 275 (access requests by other Federal agencies 
or Federal employees are not included). The estimated average amount of 
time to complete the form, including review of the instructions, 
remains at ten minutes. Thus, the overall estimated annual public 
burden for the OGE Form 201 for forms filed at the Office of Government 
Ethics will increase from 42 hours in the current OMB paperwork 
inventory listing (250 forms  x  10 minutes per form--number rounded 
off) to 46 hours (275 forms  x  10 minutes per form--number rounded 
off). Moreover, OGE estimates, based on the agency ethics program 
questionnaire responses for the past couple of years, that some 1,500 
access request forms (mostly from the news media, public interest 
groups and other members of the public) will be filed each year at the 
other executive branch departments and agencies.
    The Office of Government Ethics expects that the new form should be 
ready, after OMB clearance, for dissemination to executive branch 
departments and agencies this summer. The Office of Government Ethics 
will provide appropriate guidance and phase-in time to departments and 
agencies once the new form is available. The new form will be made 
available free-of-charge to departments and agencies on paper, on 
electronic disk and on OGE's electronic bulletin board entitled ``The 
Ethics Bulletin Board System'' (TEBBS). In addition, if there is 
sufficient interest, OGE will consider making available in the future 
an electronic version of the form, to allow persons the option of 
preparing it on a computer. The Office of Government Ethics will also 
permit departments and agencies to photocopy or have copies printed of 
the form as well as to develop or utilize, on their own, electronic 
versions of the form provided that they precisely duplicate the paper 
original to the extent possible (following the strict duplication 
standards set forth in the General Services Administration Federal 
Information Resources Management Regulation Bulletin B-3, which applies 
to standard and optional forms). Finally, as noted, agencies can also 
develop their own access forms, provided all the information required 
by the Ethics Act and OGE regulations is placed on the form, along with 
appropriate Privacy Act and paperwork notices with the attendant 
clearances being obtained therefor.
    Public comment is again invited on each aspect of the proposed 
modified OGE Form 201 as set forth in this notice, including 
specifically views on the need for and practical utility of this 
proposed modified collection of information, the accuracy of OGE's 
burden estimate, the enhancement of quality, utility and clarity of the 
information collected, and the minimization of burden (including the 
use of information technology). The Office of Government Ethics, in 
consultation with OMB, will consider all comments received, which will 
become a matter of public record.


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    Approved: May 10, 1996.
Stephen D. Potts,
Director, Office of Government Ethics.
[FR Doc. 96-12222 Filed 5-15-96; 8:45 am]
BILLING CODE 6345-01-P