DOI-03 Financial Interest Ethics

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 of 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 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 procedure:
      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.