[Federal Register Volume 64, Number 71 (Wednesday, April 14, 1999)] [Notices] [Pages 18437-18438] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 99-9280] ----------------------------------------------------------------------- DEPARTMENT OF THE INTERIOR Office of the Secretary Privacy Act of 1974; as Amended; Revisions to an Existing System of Records AGENCY: Office of the Secretary, Department of the Interior. ACTION: Proposed revision to an existing system of records. ----------------------------------------------------------------------- SUMMARY: In accordance with the Privacy Act of 1974, as amended (5 U.S.C. 552a), the Office of the Secretary is issuing public notice of its intent to modify an existing Privacy Act system of records notice, OS-3, ``Financial Interest Statements and Ethics Counselor Decisions.'' The revisions will update the number of the system, the authorities for maintenance of the system, and the addresses of the system location and system managers. EFFECTIVE DATE: These actions will be effective April 14, 1999. FOR FURTHER INFORMATION CONTACT: Chief, Departmental Ethics Staff, Office of the Deputy Assistant Secretary for Human Resources, Department of the Interior, 1849 C Street NW, MS-5221 MIB, Washington, DC 20240. SUPPLEMENTARY INFORMATION: In this notice, the Department of Interior is amending OS-03, ``Financial Interest Statements and Ethics Counselor Decisions,'' to update the number of the system to more accurately reflect the Departmentwide scope of the system, to update the authorities for maintenance of the system to reflect changes that have occurred since the system notice was last published, and to update the addresses of the system locations and system managers. Accordingly, the Department of the Interior proposes to amend the ``Financial Interest Statements and Ethics Counselor Decisions,'' OS-03 system notice in its entirety to read as follows: Sue Ellen Sloca, Office of the Secretary, Privacy Act Officer, National Business Center. INTERIOR/DOI-03 SYSTEM NAME: Financial Interest Statements and Ethics Counselor Decisions-- Interior, DOI-03. SYSTEM LOCATION: (1) Office of the Departmental Ethics Staff, Office of the Deputy Assistant Secretary for Human Resources, Department of the Interior, 1849 C Street NW, MS-5221 MIB, Washington, DC 20240. (2) Bureau and Office Ethics Counselors, Deputy Ethics Counselors, Associate Ethics Counselors, and Assistant Ethics Counselors. (A list of these individuals, by bureau and office, may be obtained from the Office of the Departmental Ethics Staff or from the Department's Internet site: http//www.doi.gov/ethics.) CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Departmental employees required to file financial interests or disclosure statements as required by 5 CFR part 2634 and 5 CFR 3501.101, and Departmental employees subjected to remedial or disciplinary action for conflicts of interest or other ethics violations. CATEGORIES OF RECORDS IN THE SYSTEM: Confidential statements of employment and financial interests (OGE- 450, SF278 or DI-278) for Departmental employees required to file such statements. Public Financial Disclosure Reports required by the Ethics in Government Act of 1989, as amended, (form SF-278) for individuals in positions which require them to file such statements. Records of conflict of interest decisions and appeals; analysis of financial holdings; employee statements; bureau, office, and supervisor comments on covered employees, as requested by the bureau or office counselors or as needed by the Designated Agency Ethics Official. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: (1) 5 U.S.C. 7301; (2) 16 U.S.C. 1912; (3) 30 U.S.C. 1211; (4) 42 U.S.C. 6392; (5) 43 U.S.C. 1743; (6) 43 U.S.C. 1864; (7) E.O. 12674 as modified by E.O. 12731; and (8) 5 CFR part 2634. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES USERS AND THE PURPOSES OF SUCH USES: The primary uses of the system are: (1) To review employee financial interests and determine employee compliance with applicable conflict of interest statutes and regulations, and to effect remedial and disciplinary action where non- compliance is ascertained. (2) To record the fact that an employee has been made aware of specifically directed legislation or regulations covering his/her organization and that he/she is in compliance with such specific legislation or regulations. (3) To provide the public with access to, and to adequately control access to, financial disclosure reports (which must, by statute, be made available to the public). (4) To provide an adequate system of records for Departmental auditors performing compliance audits within the Department. Disclosure outside of the Department may be made: (1) To the U.S. Department of Justice or in a proceeding before a court or adjudicative body with jurisdiction when (a) the United States, the Department of the Interior, a component [[Page 18438]] of the Department, or, when represented by the government, an employee of the Department is a party to litigation or anticipated litigation or has an interest in such litigation, and (b) the disclosure is deemed by the Department of the Interior to be relevant or necessary to the litigation, and (c) the Department of the Interior determines that disclosure is compatible with the purpose for which the records were compiled. (2) To a congressional office in response to an inquiry the individual has made to the congressional office. (3) To Federal, State, tribal, territorial or local agencies where necessary to obtain information relevant to the hiring or retention of an employee, or the issuance of a security clearance, contract, license, grant or other benefit. (4) To a Federal agency which has requested information relevant or necessary to the hiring or retention of an employee, or issuance of a security clearance, license, contract, grant or other benefit. (5) To the Office of Government Ethics to perform oversight reviews. (6) To the public for only those records covered by specific statutes requiring their public disclosure. (7) To appropriate Federal, State, tribal, territorial, local or foreign agencies responsible for investigating or prosecuting the violation of, or for enforcing, implementing, or administering a statute, rule, regulation, program, facility, order, lease, license, contract, grant, or other agreement, when the disclosing agency becomes aware of a violation or potential violation of a statute, rule, regulation, facility, order, lease, license, contract, grant or other agreement. (8) To a Federal, State, tribal, territorial, local or foreign agency, or an organization, or an individual, when reasonably necessary to obtain information or assistance relating to an audit, investigation, trial, hearing, preparation for trial or hearing, or any other authorized activity of the Department. (9) To an appropriate Federal, State, tribal, territorial, local or foreign court or grand jury in accordance with established constitutional, substantive, or procedural law or practice. (10) To an actual or potential party or his/her attorney for the purpose of negotiation or discussion on such matters as settlement of a case or matter, plea bargaining, or informal discovery proceedings. (11) To a foreign government pursuant to an international treaty, convention, or executive agreement entered into by the United States. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: (1) Confidential statements of employment and financial interests forms OGE-450, SF278 and DI-278 are maintained in manual format, in file folders, and in automated format, on computer disks and other appropriate electronic storage media. (2) Public Disclosure Statements of Known Financial Interest Forms SF-278 and Confidential Supplemental Forms DI-278 are maintained in manual format in file folders. RETRIEVABILITY: (1) Confidential statements of employment and financial interests forms OGE-450, SF278 and DI-278 are retrieved by employee name or position for each bureau and office. (2) Public Disclosure Statements of Known Financial Interest Forms SF-278 and Confidential Supplemental Forms DI-278 are retrieved by employee name and bureau. SAFEGUARDS: Records are accessible by authorized personnel only. File folders containing manual records are stored in locked file cabinets in locked rooms. Computer files containing electronic records are protected by passwords and file encryption. RETENTION AND DISPOSAL: Records are retained and disposed of in accordance with General Records Schedule No. 1, Item No. 25. SYSTEM MANAGER(S) AND ADDRESS: (1) Designated Agency Ethics Official, Deputy Assistant Secretary for Human Resources, U.S. Department of the Interior, 1849 C Street NW, MS-5124 MIB, Washington, DC 20240. (2) Bureau and Office Ethics Counselors, Deputy Ethics Counselors, Associate Ethics Counselors, and Assistant Ethics Counselors. (A list of these individuals, by bureau and office, may be obtained from the Office of the Departmental Ethics Staff or from the Department's Internet site: http//www.doi.gov/ethics.) NOTIFICATION PROCEDURES: An individual requesting notification of the existence of records on him or her should address his/her request to the appropriate System Manager. The request must be in writing, signed by the requestor, and comply with the content requirements of 43 CFR 2.60. RECORD ACCESS PROCEDURES: An individual requesting access to records maintained on him or her should address his/her request to the appropriate System Manager. The request must be in writing, signed by the requestor, and comply with the requirements of 43 CFR 2.63. CONTESTING RECORD PROCEDURES: An individual requesting amendment of a record maintained on him or her should address his/her request to the appropriate System Manager. The request must be in writing, signed by the requestor, and comply with the content requirements of 43 CFR 2.71. RECORD SOURCE CATEGORIES: Employees of the Department who are required to file financial interest statements and bureaus and offices of the Department. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. [FR Doc. 99-9280 Filed 4-13-99; 8:45 am] BILLING CODE 4310-RK-P