09-90-0008 SYSTEMS
LISTING
System name:
Conflict of
Interest Records, HHS/OS/ASPER.
Security
classification:
None.
System
location:
Personnel
Offices of the Department (See Applicants for Employment Records, HHS System
09-90-0006, Appendix 1) or authorized approving officials to be identified by
those Personnel Offices.
Categories
of individuals covered by the system
Incumbents of
Department positions the duties of which are of such a nature that incumbent's
outside activities may come in conflict with the incumbent's official duties.
Categories
of records in the system
This system
consists of a variety of records relating to an employee's conduct and outside
activities. In addition to the name of the employee, position title, grade,
salary, pay plan, and employing organization, the system includes information
about outside employment, outside compensation and related information.
Authority
for maintenance of the system
Executive Order
11222.
Purpose(s):
Records in this
system are used to determine whether an employee's financial interests or
outside activities are in conflict with the employee's duties as a Federal
employee. Records are maintained in each component of the Department. See also “Retrievability”
below.
Routine
uses of records maintained in the system, including categories of users and the
purposes of such uses:
Information in
this system of records may be used: (1) By the Office of Personnel Management,
Merit Systems Protection Board (including its Office of the Special Counsel),
Equal Employment Opportunity Commission, and the Federal Labor Relations
Authority (including the General Counsel of the Authority and the Federal
Service Impasses Panel) the Federal Mediation and Conciliation Service, and to
an arbitrator, in carrying out their functions.
(2) In the event
that this system of records indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether arising by
general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
federal, or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing the
statute, or rule, regulation or order issued pursuant thereto.
(3) A record
from this system of records may be disclosed as a “routine use” to a federal,
state or local agency maintaining civil, criminal or other relevant enforcement
records or other pertinent records, such as current licenses, if necessary to
obtain a record relevant to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
A record from
this system of records may be disclosed to a federal agency, in response to its
request, in connection with the hiring or retention of an employee, the
issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting agency, to the
extent that the record is relevant and necessary to the requesting agency's
decision on the matter.
(4) In the event
that this system of records indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether arising by
general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use to the
appropriate agency, whether state or local charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing or
implementing the statute, or rule, regulation or order issued pursuant thereto.
(5) Where
federal agencies having the power to subpoena other federal agencies' records,
such as the Internal Revenue Service or the Civil Rights Commission, issued a
subpoena to the Department for records in this system of records, the
Department will make such records available.
(6) The
Department contemplates that it will contract with a private firm for the
purpose of collating, analyzing, aggregating or otherwise refining records in
this system. Relevant records will be disclosed to such a contractor. The
contractor shall be required to maintain Privacy Act safeguards with respect to
such records.
(7) Disclosure
may be made to a congressional office from the record of an individual in response
to an inquiry from the congressional office made at the request of that
individual.
(8) In the event
of litigation where the defendant is (a) the Department, any component of the
Department, or any employee of the Department in his or her official capacity;
(b) the United States where the Department determines that the claim, if
successful, is likely to directly affect the operations of the Department or
any of its components; or (c) any Department employee in his or her individual
capacity where the Justice Department has agreed to represent such employee,
the Department may disclose such records as it deems desirable or necessary to
the Department of Justice to enable that Department to present an effective
defense, provided such disclosure is
compatible with the purpose for which the records were collected.
(9) Records may
be disclosed to student volunteers, individuals working under a personal services
contract, and other individuals performing functions for the Department but
technically not having the status of agency employees, if they need access to
the records in order to perform their assigned agency functions.
Policies
and practices for storing, retrieving, accessing, retaining, and disposing of
records in the system:
Storage:
Conflict of
Interest Records are maintained in file folders.
Retrievability:
Records are
retrievable by name. They may be used for production of summary descriptive statistics
and analytical studies in support of the functions for which the records are
collected and maintained and for other purposes compatible with the intent for
which the records system was created.
Safeguards:
These records
are treated as controlled for Official Use Only and made available only to persons
specifically authorized to receive them.
Retention
and disposal:
Records are
retained until 2 years after the individual discontinues the activity for which
approval was required, or until the individual leaves the Department, and are
then destroyed. (See HHS Personnel Instruction 293-1, Exhibit X293-1-1, item
25.)
System
manager(s) and address(es):
Personnel
Offices of the Department shown in Appendix 1 to Applicants for Employment
Records, HHS System 09-90-0006.
Notification
procedure:
For incumbents
who are in position under the Executive Schedule; Office of the Secretary Staff
Office Heads; or Principal Regional Officials contact: Deputy Assistant
Secretary for Personnel, Office of Personnel, Department of Health and Human
Services,
For incumbents
of positions in the Food and Drug Administration, contact: Director, Policy
Management Staff, HFA-20, Food and Drug Administration,
For incumbents
of other positions included in this records system, contact the Personnel
Office shown in Appendix 1 to Applicants for Employment Records, HHS System
09-90-0006, which services the
organizational units in which the individual is employed. The individual should
indicate name, position title, grade and series, and organization in which
located.
Record
access procedures:
Same as
notification procedures. Requesters should also reasonably specify the record
contents being sought. (These access procedures are in accordance with
Department Regulations (45 CFR
5b.5(a)(2)), Federal Register, October 8, 1975, page 47410.)
Contesting
record procedures:
Contact the
official at the address specified under notification procedures above, and
reasonably identify the record and specify the information to be contested, and
state the corrective action sought and the reasons for the correction. (These
procedures are in accordance with Department Regulations (45 CFR 5b.7), Federal
Register, October 8, 1975, page 47411.)
Record
source categories:
Information in
this system of records is: (1) Supplied directly by the individual, or (2)
derived from information supplied by the individual, or (3) supplied by
Department officials or other persons such as trustee, attorney, accountant,
relative.