[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]


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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.

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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]
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