[Federal Register: November 3, 2006 (Volume 71, Number 213)]
[Notices]
[Page 64708-64710]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03no06-71]
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OFFICE OF GOVERNMENT ETHICS
Proposed Collection; Comment Request for Unmodified SF 278
Executive Branch Personnel Public Financial Disclosure Report
AGENCY: Office of Government Ethics (OGE).
ACTION: Notice.
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SUMMARY: The Office of Government Ethics is publishing this first round
notice and seeking comment on the Standard Form (SF) 278 because it
intends to submit the form for extension of approval (up to three
years) by the Office of Management and Budget (OMB) under the Paperwork
Reduction Act. OGE is making no changes to the SF 278 at this time. As
in the past, OGE will ask agencies to notify filers of two updates to
the information contained in the existing SF 278.
DATES: Written comments by the public and the agencies on this proposed
extension are invited and must be received by January 2, 2007.
ADDRESSES: You may submit comments to OGE on this paperwork notice by
any of the following methods:
E-mail: usoge@oge.gov. (Include reference to ``SF 278
Paperwork Comment'' in the subject line of the message).
Fax: 202-482-9237.
Mail, Hand Delivery/Courier: Office of Government Ethics,
Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917,
Attention: Paul D. Ledvina, Records Officer, Information Resources
Management Division.
FOR FURTHER INFORMATION CONTACT: Mr. Ledvina at the Office of
Government Ethics; telephone: 202-482-9281; TDD: 202-482-9293; fax:
202-482-9237; e-mail: pdledvin@oge.gov. A copy of a blank SF 278 may be
obtained, without charge, by contacting Mr. Ledvina. Also, a copy of a
blank SF 278 is available through the Forms, Publications & Other
Ethics Documents section of OGE's Web site at http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.usoge.gov.
SUPPLEMENTARY INFORMATION: The Office of Government Ethics intends to
submit, after this notice and comment period, the unmodified Standard
Form 278 Executive Branch Personnel Public Financial Disclosure Report
(OMB control number 3209-0001) for extension of approval for (up to)
three years by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
chapter 35). The current paperwork approval for the SF 278 expires at
the end of November 2006. The Office of Government Ethics, as the
supervising ethics office for the executive branch of
[[Page 64709]]
the Federal Government under the Ethics in Government Act (the Ethics
Act), is the sponsoring agency for the Standard Form 278. OGE will not
seek General Services Administration (GSA) standard forms clearance for
this extension because no modification to this standard form is
proposed.
In accordance with section 102 of the Ethics Act, 5 U.S.C. app.
section 102, and OGE's implementing financial disclosure regulations at
5 CFR part 2634, the SF 278 collects pertinent financial information
from certain officers and high-level employees in the executive branch
for conflicts of interest review and public disclosure. The SF 278 is
also completed by individuals who are nominated by the President for
high-level executive branch positions requiring Senate confirmation and
new entrants to other public reporting positions in the executive
branch. The financial information collected under the statute and
regulations relates to: assets and income; transactions; gifts,
reimbursements and travel expenses; liabilities; agreements or
arrangements; outside positions; and compensation over $5,000 paid by a
source--all subject to various reporting thresholds and exclusions.
Current Version of the SF 278
The Office of Government Ethics is proposing no modifications to
the SF 278 at this time. OGE will continue to make the unmodified SF
278 available to departments and agencies and their reporting employees
through the Forms, Publications & Other Ethics Documents section of
OGE's Web site. This provides filers with two electronic options for
preparing their report on a computer (as well as a downloadable blank
form). There is also a link on the OGE Web site to another electronic
version of the SF 278 maintained by the Department of Defense. In
addition, GSA separately maintains two electronic versions of the form
on its Web site (http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.gsa.gov); paper forms can also be ordered through
GSA.
The Office of Government Ethics has determined that at this time,
electronic filing of the SF 278 using an Internet-based system will not
be permitted. A printout and manual signature of the form are still
required unless otherwise specifically approved by OGE. Further
developments on electronic filing may be forthcoming as part of a
broader E-Gov initiative.
Agency Notification of Updates
There are two ways in which the content of the current SF 278
report form is affected. The first concerns adjustments in the gifts/
reimbursements reporting thresholds. The second involves revised
routine use language contained in the Privacy Act Statement of the
form. OGE is proposing no revisions to the SF 278, but will continue to
ask executive branch departments and agencies to inform SF 278 filers,
through cover memorandum or otherwise, of these two updates when the
existing March 2000 edition of the SF 278 report forms are provided for
completion. See OGE's August 25, 2003 memorandum to designated agency
ethics officials (DO-03-015), posted in the ``DAEOgrams'' section of
the OGE Web site. Information regarding these changes is also posted
along with the SF 278 in the forms section of OGE's Web site. In
addition, OGE will post on its Web site an updated summary of one of
the Privacy Act routine uses on the report form (see discussion below).
Gifts/Reimbursements Reporting Thresholds
Every three years OGE issues final rule amendments that revise the
executive branch financial disclosure regulation to increase the
aggregation and exception thresholds for reporting of gifts,
reimbursements and travel expenses for the public and confidential
report systems. See 5 U.S.C. app. section 102(a)(2)(A) & (B). The OGE
aggregation threshold limits the total value of gifts and
reimbursements from any one source. The exception threshold limits the
value of individual gifts that must be counted toward the aggregation
threshold.
OGE's threshold adjustments are tied to the ``minimal value''
threshold of the Foreign Gifts and Decorations Act, as determined by
GSA under 5 U.S.C. 7342. Since 2002, OGE has asked agencies to notify
filers of the SF 278 of the updated adjustments to the reporting
thresholds for gifts and reimbursements. Effective January 1, 2005, GSA
raised the ``minimal value'' threshold under 5 U.S.C. 7342 to $305 or
less for the three-year period 2005-2007. See 70 FR 2317-2318 (part V)
(January 12, 2005). Following GSA's action, OGE advised agencies of the
adjusted thresholds and revised its financial disclosure regulation to
reflect the increase in the thresholds for SF 278 reporting of gifts
and travel reimbursements received from any one source to ``more than
$305'' for the aggregation level for reporting and to ``$122 or less''
for the de minimis aggregation exception threshold. See March 17, 2005
memorandum to designated agency ethics officials (DO-05-007) and 70 FR
12111-12112 (March 11, 2005). Both GSA and OGE rulemakings and OGE's
memorandum are posted on the OGE Web site.
Privacy Act Statement
In addition, OGE has updated the OGE/GOVT-1 Privacy Act system of
records notice (covering SF 278 Public Financial Disclosure Reports and
other name-retrieved ethics program records). See 68 FR 3097-3109
(January 22, 2003), as corrected at 68 FR 24744 (May 8, 2003). As a
result, the Privacy Act Statement, which includes summaries of the
routine uses on page 11 of the instructions on the SF 278, is affected.
As explained in the above-noted OGE memorandum DO-03-015 and the SF 278
notice posted on OGE's Web site, the system notice update added three
new routine uses applicable to SF 278 reports. Moreover, OGE will also
ask agencies to inform filers of an update needed to the summary of the
sixth listed routine use on the form in their periodic notifications to
filers of changes to the SF 278. See revised routine use ``h'' at 68 FR
3100 for the OGE/GOVT-1 records system notice. OGE has already updated
that same sixth routine use summary for two of its other forms, the OGE
Form 201 and the OGE Optional Form 450-A, and is preparing to do so for
the proposed future modified OGE Form 450 for use starting in 2007. The
first two forms are posted in the forms section of the OGE Web site;
see the paperwork notices in 2005 and 2006 for the latter form posted
in the Laws & Regulations section of OGE's Web site. A summary of the
updates relevant to that SF 278 statement will be included with the
paperwork clearance submission to OMB.
SF 278 Filers
The SF 278 is completed by candidates, nominees, new entrants,
incumbents and terminees of certain high-level positions in the
executive branch of the Federal Government. These reports are routinely
reviewed by the agencies concerned. The Office of Government Ethics,
along with the agencies concerned, conducts the review of the SF 278
reports of Presidential nominees subject to Senate confirmation and
incumbents in and terminees from such positions.
Reporting Burden
The Office of Government Ethics estimates, based on the agency
ethics program questionnaire responses for 2003-2005, that an average
of some 23,971 SF 278 report forms are filed annually at departments
and agencies throughout the executive branch. Most of those executive
branch filers are
[[Page 64710]]
current Federal employees at the time they file. However, an estimated
4.9 percent, or some 1,175 of the branchwide total SF 278 filers are
members of the public, including private citizen Presidential nominees
to positions subject to Senate confirmation (and their private
representatives-lawyers, accountants, brokers and bankers), other
private citizen prospective new entrants to reportable positions, and
those who file termination reports from such positions after their
Government service ends, and Presidential and Vice Presidential
candidates. The OGE estimate covers the next three years, 2007-2009,
including a significant increase in reports anticipated with the fall
2008 Presidential election and following transition. The estimated
average amount of time to complete the report form, including review of
the instructions and gathering of needed information, remains the same
as previously reported, at three hours. Thus, the overall estimated
annual public burden for the SF 278 for the private citizen/
representative nominee and terminee report forms processed in executive
branch agencies, and those report forms processed by the OGE, including
private citizen Presidential and Vice Presidential candidates report
forms, is 3,525 hours.
The prior paperwork burden estimate for the 2003-2005 period was
1,347 hours. This estimate was based upon an annual average of 449 SF
278 forms, those received only at OGE from private citizen/
representative nominee and terminee filers, and Presidential and Vice
Presidential candidates. The burden estimate for 2007-2009 is adjusted
to cover private citizen filers in departments and agencies throughout
the executive branch.
Consideration of Comments
Public comment is invited on each aspect of the SF 278 Public
Financial Disclosure Report as set forth in this notice, including
specifically views on the need for and practical utility of this
collection of information, the accuracy of OGE's burden estimate, the
potential for enhancement of quality, utility and clarity of the
information collected, and the minimization of burden (including the
use of information technology).
Any comments received in response to this notice will be summarized
for, and may be included with, OGE's request to OMB for paperwork
approval for this information collection. Comments will also become a
matter of public record. After reviewing any comments received, OGE
will also publish a second round notice in the Federal Register to
inform the public and the agencies at the time it submits the request
for OMB paperwork approval.
Approved: October 26, 2006.
Robert I. Cusick,
Director, Office of Government Ethics.
[FR Doc. E6-18554 Filed 11-2-06; 8:45 am]
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