Billing Code 6732-01-P

FEDERAL MEDIATION AND CONCILIATION SERVICE

PRIVACY ACT of 1974; SYSTEM of RECORDS

AGENCY: Federal Mediation and Conciliation Service

ACTION: Notice of a modified system of records.

SUMMARY: In accordance with the Privacy Act of 1974, the Federal Mediation and 

Conciliation Service (FMCS) proposes to amend and reissue a current system of records 

notice, titled FMCS-0006, Ethics Records. The system will cover the Executive Branch 

Confidential Financial Disclosure Reports, and agency ethics guidance to employees and 

FMCS clients. The notice amendment includes significant updates to refine details 

published under the system manager, authority for maintenance of the system, the 

purpose, categories of individuals covered, categories of records, record source 

categories, routine uses, record access procedures, contesting records, and history. These 

sections are amended to refine previously published information about the system of 

records. The addresses, system name and number, security classification, system 

location, policies and practices for storage, policies and practices for retrieval, policies 

and practices for retention, administrative safeguards, notification procedures, and 

exemptions remain unchanged. This amended SORN deletes and supersedes the SORN 

published on the Federal Register on October 27, 2021.

DATES: This system of records will be effective without further notice on [INSERT 

DATE 30 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL 

REGISTER] unless otherwise revised pursuant to comments received. New routine uses 

will be effective on [INSERT DATE 30 DAYS AFTER DATE OF PUBLICATION 
IN THE FEDERAL REGISTER]. Comments must be received on or before [INSERT 

DATE 30 DAYS AFTER DATE OF PUBLICATION IN THE FEDERAL 

REGISTER]. 

ADDRESSES: You may send comments, identified by FMCS-0006 by any of the 

following methods:

• Mail: Office of General Counsel, 250 E Street, SW, Washington, DC 20427. 

• E-mail: ogc@fmcs.gov. Include FMCS-0006 on the subject line of the message.

• Fax: (202) 606-5444.

FOR FURTHER INFORMATION CONTACT: Alisa Zimmerman, Designated 

Agency Ethics Official and Acting General Counsel, at azimmerman@fmcs.gov or 202-

606-5488.

SUPPLEMENTARY INFORMATION:

In accordance with ethics laws, regulations, and the Code of Professional Conduct 

for Labor Mediators, FMCS will collect, store, evaluate, and disclose, when necessary, 

information pertaining to ethics and mediators. FMCS may disclose information 

pertaining to FMCS parties or clients to address impartiality concerns or explain mediator 

reassignments. Pursuant to the Code of Professional Conduct and FMCS’s mission, the 

FMCS ethics system may include additional documents pertaining to mediator assets and 

client notices concerning those assets. This system of records supplements the Office of 

Government Ethics GOVT-2 system. This system will collect information from FMCS 

employees serving as mediators and federal employees serving in mediators’ supervisory 

chain. In evaluating ethics concerns, FMCS may also gather information from internal 

agency sources and departments and store information as part of this system. 
The notice amendment includes updates to refine details published under the 

system manager, authority for maintenance of the system, the purpose, categories of 

individuals covered, categories of records, record source categories, routine uses, record 

access procedures, contesting records, and history. These sections are amended to refine 

previously published information about the system of records. The addresses, system 

name and number, security classification, system location, policies and practices for 

storage, policies and practices for retrieval, policies and practices for retention, 

administrative safeguards, notification procedures, and exemptions remain unchanged. 

SYSTEM NAME AND NUMBER: FMCS-0006 Ethics Records.

SECURITY CLASSIFICATION: Unclassified. 

SYSTEM LOCATION: Federal Mediation and Conciliation Service, Office of General 

Counsel (OGC), 250 E Street, SW, Washington, DC 20427.

SYSTEM MANAGER(S): Alisa Zimmerman, Designated Agency Ethics Official and 

Deputy General Counsel, email azimmerman@fmcs.gov, or send mail to Federal 

Mediation and Conciliation Service, Office of General Counsel (OGC), 250 E Street 

Southwest, Washington, DC 20427, Attn: Alisa Zimmerman.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 29 U.S.C. 172, et seq. as 

it pertains to providing mediation and conflict resolution services to clients; Ethics in 

Government Act of 1978, 5 U.S.C. app. 101, et seq.; E.O. 12674 (as modified by E.O. 

12731); 5 C.F.R. part 2634; 5 C.F.R. part 2635; and 29 C.F.R. part 1400.735-20.

PURPOSE(S) OF THE SYSTEM: This amended system will reflect mediator 

obligations under the Code of Professional Conduct for Labor Mediators as referenced in 

29 C.F.R. 1400.735-20. This system of records supplements the Office of Government 
Ethics GOVT-2 system and may contain records collected and maintained to meet the 

requirements of Executive Order 12674, as modified, 5 CFR part 2634, and subsequent

agency regulations, as well as section 107 of the Ethics in Government Act of 1978, as 

amended. This system includes the additional collection, documentation, and disclosure 

of mediator ethical concerns regarding financial conflicts of interest and impartiality, 

including but not limited to, ethics waivers and authorizations. 

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals in 

this system include FMCS employees serving as mediators and in the mediator 

supervisory chain, and employees designated to file public, confidential, or alternative 

financial disclosure forms in accordance with 5 C.F.R. 2634.904 and 5 U.S.C. app. 107.

It also includes FMCS employees conducting or assigning conflict management cases,

including but not limited to, mediations. The system of records includes both current and 

former 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 property, 

income, gifts, reimbursements, liabilities, agreements, arrangements, outside positions, 

retirement products, pensions, and other information related to conflict-of-interest 

determinations. These statements include completed copies of the Office of Government 

Ethics (OGE) Form 450 and alternative confidential disclosure forms reflecting more 

detailed information pertaining to mediator pensions and supplemental agency ethics 

documents including, but not limited to cautionary memos, recusals, firewalls, waivers, 

authorizations, acknowledgment of duty to contact the Office of General Counsel, and 

any statements or certifications concerning no conflicts of interest.
RECORD SOURCE CATEGORIES: Information in this system of records is provided 

by: 

1. The Federal employee or a designated person such as a trustee, accountant, banker 

or relative.

2. Federal officials who review the statements to make conflict-of-interest 

determinations.

3. Persons alleging conflicts of interest or other violations of ethics laws and persons 

contacted during any investigation of the allegations.

4. FMCS clients, in accordance with 5 C.F.R. 2635.502 and the Code of 

Professional Conduct for Labor Mediators, acknowledging notice of impartiality 

concerns. 

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 

CATEGORIES OF USERS AND PURPOSES OF SUCH USES: In addition to those 

disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a 

portion of the records or information contained in this system may be disclosed to 

authorized entities, as is determined to be relevant and necessary, outside the FMCS as a 

routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

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 record, either alone or in conjunction 

with other information creates an indication of a violation or potential violation of 

civil or criminal laws or regulations.
b) To the Department of Justice (DOJ) to obtain that department’s advice regarding 

disclosure obligations under the Freedom of Information Act (FOIA); or to the 

Office of Management and Budget (OMB) to obtain that office’s advice regarding 

obligations under the Privacy Act. 

c) To disclose information to the National Archives and Records Administration 

(NARA) or the General Services Administration in records management 

inspections conducted under authority of 44 U.S.C. 2904 and 2906.

d) To a former employee of the agency for purposes of responding to an

official inquiry by a federal, state, or local government entity or professional 

licensing authority, in accordance with applicable agency regulations; or 

facilitating communications with a former employee that may be necessary for 

personnel-related or other official purposes where the agency requires information 

and/or consultation assistance from the former employee regarding a matter 

within that person’s former area of responsibility.

e) 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.

f) To officials of labor organizations recognized under 5 U.S.C. Chapter 71 upon 

receipt of a formal request and in accordance with the conditions of 5 U.S.C. 7114 

when relevant and necessary to their duties of exclusive representation concerning 

personnel policies, practices, and matters affecting working conditions.
g) 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.

h) To the Department of Justice, including Offices of the U.S. Attorneys; another 

Federal agency conducting litigation or in proceedings before any court, 

adjudicative, or administrative body; another party in litigation before a court, 

adjudicative, or administrative body; or to a court, adjudicative, or administrative 

body. Such disclosure is permitted only when it is relevant and necessary to the 

litigation or proceeding, and one of the following is a party to the litigation or has 

an interest in such litigation:

1) FMCS, or any component thereof;

2) Any employee or former employee of FMCS in their official capacity;

3) Any employee or former employee of FMCS in their capacity where the 

Department of Justice or FMCS has agreed to represent the employee;

4) The United States, a Federal agency, or another party in litigation before a 

court, adjudicative, or administrative body, upon the FMCS General 

Counsel's approval.

i) To any federal agency, organization, or person for the purposes of performing 

audit or oversight operations related to the operation of this system of records as 

authorized by law, but only information necessary and relevant to such audit or 

oversight function.

j) To appropriate agencies, entities, and persons when (1) FMCS suspects or has 

confirmed that there has been a breach of the system of records, (2) FMCS has 
determined that as a result of the suspected or confirmed breach there is a risk of 

harm to individuals, FMCS (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 FMCS’s efforts to respond to the suspected or confirmed breach 

or to prevent, minimize, or remedy such harm.

k) To another Federal agency or Federal entity, when FMCS 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.

l) To disclose to the Office of Government Ethics in response to an ethics program 

audit, questionnaire, survey, or any other compliance inquiry directed to FMCS. 

m) To disclose information to any source when necessary to obtain information 

relevant to a conflict-of-interest investigation or determination.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS: These records are 

maintained in paper and electronic form in locations only accessible to authorized 

personnel. 

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: These records 

are retrieved by the name or other programmatic identifier assigned to an individual.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF 

RECORDS: In accordance with the NARA’s General Records Schedule (GRS) 2.8 

Employee Ethics Records, these records are retained for six years after filing, except 

when filed by or with respect to a nominee and the nominee ceases to be under 

consideration for the position. If any records are needed in an ongoing investigation, they 

will be retained for the duration of the investigation. Records are destroyed by shredding 

or deleting. 

ADMINSTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: Records are 

located in a locked file storage area or stored electronically in locations requiring agency 

network access via username and password. FMCS buildings are guarded and monitored 

by security personnel, cameras, ID checks, and other physical security measures.

RECORD ACCESS PROCEDURES: Individuals wishing to request access to their 

records should contact the Office of General Counsel (OGC). Individuals must provide 

the following information for their records to be located and identified: (1) Full name, (2)

Address, and (3) A reasonably identifying description of the record content requested. 

See 29 C.F.R. 1410.3, Individual access requests. 

CONTESTING RECORDS PROCEDURES: Records are updated on a periodic basis;

most record corrections can be handled through established administrative procedures. 

Contact the Office of General Counsel (OGC) for contesting records under the provisions 

of the Privacy Act. See 29 CFR 1410.6, Requests for correction or amendment of 

records, on how to contest the content of any records.

NOTIFICATION PROCEDURES: See 29 CFR 1410.3(a), Individual access requests.

EXEMPTIONS PROMULGATED FOR THE SYSTEM: None.
HISTORY: This amended SORN deletes and supersedes the SORN published on the 

Federal Register on October 27, 2021, at 86 FR 59387.

Dated: August 23, 2022.

Anna Davis,

Deputy General Counsel.