INTERIOR/OSM-8, Employment and Financial Interests Statements--States and Federal Agencies

64 FR 17412 (April 9, 1999); Modification published 73 FR 45244 (August 4, 2008) and 86 FR 50156 (September 7, 2021)

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DEPARTMENT OF THE INTERIOR

Office of Surface Mining Reclamation and Enforcement

Privacy Act of 1974; As Amended; Revisions to the Existing System of Records

AGENCY: Office of Surface Mining, Interior.

ACTION: Proposed revisions 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 Surface Mining (OSM) is issuing public notice of its intent to modify an existing Privacy Act system of records notice, OSM-8, “Employment and Financial Interests Statements--States and Other Federal Agencies.” The revisions will update the System Name, System Location address, System Manager(s); accurately define the Categories of Individuals Covered by the System, Categories of Records in the System, Authority for Maintenance of the System, Safeguards, Retention and Disposal; and clarify the Notification Procedure, Record Access Procedures and Contesting Record Procedures.

EFFECTIVE DATE:  5 U.S.C. 552a(e)(11) requires that the public be provided a 30-day period in which to comment on the intended use of the information in the system of records. The Office of Management and Budget, in its Circular A-130, requires an additional 10-day period (for a total of 40 days) in which to make these comments. Any persons interested in commenting on this revised system of records may do so by submitting comments in writing to the U.S. Department of the Interior, Office of Surface Mining, Privacy Officer, 1951 Constitution Avenue, NW, Mail Stop 262-SIB, Washington, DC 20240. Comments received within 40 days of publication in the Federal Register will be considered. The system will be effective as proposed at the end of the comment period, unless comments are received which would require a contrary determination.

ADDRESS:  Send written comments to the U.S. Department of the Interior, Office of Surface Mining, Privacy Act Officer, Mail Stop 262-SIB, 1951 Constitution Avenue, NW, Washington, DC 20240. You may also hand deliver comments to the same address.

FOR FURTHER INFORMATION CONTACT:  Chief, Office of Personnel, Office of Surface Mining, 1951 Constitution Avenue, NW, Washington, DC 20240.

SUPPLEMENTARY INFORMATION:  Earlier Privacy Act Compilations list the systems of records with the prefix “OSMRE” (e.g., OSMRE-8) as originally published in the Federal Register. The prefix was changed to “OSM” in subsequent records systems for convenience. The OSM is proposing to amend the system notice for OSM-8 “Employment and Financial Interests Statements--States and Other Federal Agencies,” previously published in the Federal Register on June 6, 1989 (54 FR 24270). This revision is needed to update required data elements as well as the System Name, System Location, System Manager(s) and Address. This revision more precisely defines the Categories of Individuals Covered by the System, Categories of Records in the System, Authority for Maintenance of the System, as well as Safeguards, and Retention and Disposal policies and practices; and makes minor clarifying changes to the Notification Procedure, Record Access Procedures and Contesting Record Procedures.

Accordingly, the OSM proposes to amend the “Employment and Financial Interests Statements--States and Other Federal Agencies,” OSM-8 in its entirety to read as follows:

Robert Ewing, 
Chief Information Officer, Office of Surface Mining.

INTERIOR/OSM-8

SYSTEM NAME:
Employment and Financial Interests Statements--States and Federal Agencies.

SYSTEM LOCATION:
Office of Surface Mining Reclamation and Enforcement (OSM), Department of the Interior, 1951 Constitution Avenue, NW, Room 340, Washington, DC 20240.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

  • 1.  Office of Surface Mining employees by 30 CFR 706.15(a); 
  • 2.  The head of each State regulatory authority who is required to file a financial statement with the Director of the Office of Surface Mining Reclamation and Enforcement by 30 CFR 705.15; 
  • 3.  Federal employees, other than Interior Department employees, who are required to file a financial interest statement by 30 CFR 706.11(b) and who file with the Director of the Office of Surface Mining Reclamation and Enforcement in accordance with 30 CFR 706.15(c); and 
  • 4.  State employees, and Federal employees other than Interior Department employees, whose financial interest statements are referred to the Department of the Interior in accordance with 30 CFR 705.19(a)(3) or 30 CFR 706.19(c).

CATEGORIES OF RECORDS IN THE SYSTEM:
Contains statements of employment and financial interests forms for Federal employees (OGE Form 450 & DI-1993), and for State employees (Form 23). Also contains records of decisions, analysis of financial holdings, employee statements, pertinent comments from supervisors, agency heads, and the Solicitor's Office, and related records.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sections 201 (c) and (f) and 517(g) of Pub. L. 95-87 and 30 CFR 705 and 706.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
The primary uses of the records are: 

  • (a)  To review employee financial interests and determine employee compliance or non-compliance with the applicable statute and regulations; 
  • (b)  To record the fact that the employee has been made aware of specifically directed legislation or regulations covering his organization and duties and that he or she is in compliance with such specific legislation or regulations; and 
  • (c)  To provide an adequate system of records for auditors performing compliance audits.

Disclosures outside the Department of the Interior may be made

  • (1)  To the Department of Justice or in a proceeding before a court or adjudicative body 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 Department of the Interior determines that the disclosure is relevant or necessary to the litigation and is compatible with the purpose for which the records were compiled:
  • (2)  Of information indicating a violation or potential violation of a statute, regulation, rule, order or license, to appropriate Federal, State, or local agencies responsible for investigating or prosecuting the violation or, 
  • (3)  To Federal, State or local agencies where necessary to obtain information relevant to resolving prohibited financial interest situations or to litigation which may affect the hiring or retention of an employee; 
  • (4)  To a Congressional office from the record of an individual in response to an inquiry made at the request of that individual; and 
  • (5)  To appropriate agencies, entities, and persons when:
    • (a)  It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; and 
    • (b)  The Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interest, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and
    • (c)  The disclosure is made to such agencies, entities and persons who are reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
  • (6) To another Federal agency or Federal entity, when DOI determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in:
    • (a) Responding to a suspected or confirmed breach; or
    • (b) Preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity (including its information systems, programs, and operations), the Federal Government, or national security, resulting from a suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:
Maintained in file orders.

RETRIEVABILITY:
Filed alphabetically by employee name.

SAFEGUARDS:
Maintained in a safe having a three-position dial-type, manipulation proof, combination lock.

RETENTION AND DISPOSAL:
Records will be destroyed six years after receipt unless needed in an ongoing investigation (National Archives and Records Administration, General Records Schedule, 1, Item 24). Records referred will be returned to the referring agency for disposal in accordance with that agency's disposal policy.

SYSTEM MANAGER(S) AND ADDRESS:
Chief, Office of Personnel, Office of Surface Mining, Department of the Interior, 1951 Constitution Ave., NW, Room 340, Washington, DC 20240.

NOTIFICATION PROCEDURE:
To determine whether information is maintained on you in this system, write to the System Manager. See 43 CFR 2.60.

RECORD ACCESS PROCEDURES:
To see your records, write to the System Manager. Describe as specifically as possible the record sought and mark the request “Privacy Act Request for Access.” See 43 CFR 2.63.

CONTESTING RECORD PROCEDURES:
A petition for amendment shall be addressed to the System Manager and meet the content requirements of 43 CFR 2.71.

RECORD SOURCE CATEGORIES:
Present or past Federal or State employees required to file employment and financial interests statements.

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