Freedom of Information Act (FOIA)

NARA Privacy Act Systems: NARA 34

SYSTEM NAME: Agency Ethics Program Files

SYSTEM LOCATION: The agency's ethics program files are maintained by the Office of General Counsel (Designated Agency Ethics Official).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals covered by this system include NARA employees and former employees who request ethics guidance from the agency's ethics staff.

CATEGORIES OF RECORDS IN THE SYSTEM: Ethics program files may include: Employee memoranda and correspondence, notes taken by the ethics staff, memoranda summarizing oral advice, information about outside employment, and electronic records. These files may contain the following information about an individual: Name, address, email address, position, job duties, supervisor information, telephone number, and other information collected by NGC from the employee in the course of providing ethics advice or answering emplyee questions.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Executive Orders 12674 and 12731, 5 CFR Parts 2638 and 7601.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: NARA maintains ethics program files on employees to document advice and opinions provided by NGC on ethics matters, and to maintain a historical record of ethics opinions that may be used in future ethics cases. Routine use statements A, D, E, G, and H, described in Appendix A, also apply to this system of records.

STORAGE: Paper and electronic records.

RETRIEVABILITY: Information in agency ethics program files may be retrieved by the employee's name or date.

SAFEGUARDS: During business hours, paper records are maintained in areas accessible only to authorized NARA personnel. Electronic records are accessible via password-protected workstations located in attended offices or through a secure remote access network. After business hours, buildings have security guards and/or secured doors, and all entrances are monitored by electronic surveillance equipment.

RETENTION AND DISPOSAL: Agency ethics program files are temporary records and are destroyed in accordance with the disposition instructions in the NARA Records Schedule (a supplement to the NARA Files Maintenance and Records Disposition Manual). Individuals may request a copy of the disposition instructions from the NARA Privacy Act Officer.

SYSTEM MANAGER(S) AND ADDRESS: The system manager for ethic program files is the Designated Agency Ethics Offical. The business address for this system manager is listed in Appendix B.

NOTIFICATION PROCEDURE: People interested in inquiring about their records should notify the NARA Privacy Act Officer at the address listed in Appendix B.

RECORD ACCESS PROCEDURES: People who wish to access their records should submit a request in writing to the NARA Privacy Act Officer at the address given in Appendix B.

CONTESTING RECORD PROCEDURES: NARA rules for contesting the contents of a person's records and appealing initial determinations are found in 36 CFR part 1202.

RECORD SOURCE CATEGORIES: Information in ethics program files is obtained from NARA employees, former employees and the agency's ethics staff.

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