<?xml version="1.0" encoding="UTF-8"?>
<pai>
	<agency toc="yes">
<name>Department of the Treasury</name>
<abbrev>
TREASURY
</abbrev>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-01-05/pdf/2011-33816.pdf </url>
<title> Treasury/BEP .027, Access Control and Alarm
Monitoring Systems (ACAMS)</title>
<date year="2012" month="1" day="5"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-02-15/pdf/2012-3457.pdf </url>
<title> TREASURY/DO .218, Making Home Affordable Program </title>
<date year="2012" month="2" day="15"/>
</previouslyPublished>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-02-15/pdf/2012-3459.pdf </url>
<title> Treasury/FMS.016, Payment Records--Deletion </title>
<date year="2012" month="2" day="15"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-02-15/pdf/2012-3459.pdf </url>
<title> Treasury/FMS.002, Financial Management Service and
Treasury/FMS .014, Debt Collection Operations System </title>
<date year="2012" month="2" day="15"/>
</previouslyPublished>


<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-04-02/pdf/2012-7754.pdf </url>
<title> TREASURY/DO .196, Treasury Information Security
Program </title>
<date year="2012" month="4" day="2"/>
</previouslyPublished>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-08-10/pdf/2012-19325.pdf </url>
<title>Internal Revenue Service-- Republication of Inventory of Systems of Records</title>
<date year="2012" month="8" day="10"/>
</previouslyPublished>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-09-14/pdf/2012-22619.pdf </url>
<title> TREASURY/IRS 37.007, Practitioner Disciplinary
Records </title>
<date year="2012" month="9" day="14"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-10-15/pdf/2012-25209.pdf </url>
<title>Financial Management Service--Republication of Systems of Records </title>
<date year="2012" month="10" day="15"/>
</previouslyPublished>






<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-01-08/pdf/2013-00191.pdf</url>
<title>13 UNITED STATES MINT .001--Cash Receivable Accounting Information System; UNITED STATES MINT .003--Employee and Former Employee Travel and Training Accounting
Information System; UNITED STATES MINT .004--Occupational Safety and Health, Accident and Injury Records, and Claims for Injuries or Damage Compensation Records; UNITED STATES MINT .005--Employee-Supervisor Performance Evaluation, Counseling, and Time and Attendance Records; UNITED STATES MINT .007--General Correspondence; UNITED STATES MINT .008--Employee Background Investigations Files; UNITED STATES MINT .009--Retail Sales System (RSS), Customer Mailing List, Order
Processing Records for Coin Sets, Medals and Numismatic Items, Records of Undelivered Orders, and
Product Descriptions, Availability and Inventory; UNITED STATES MINT .012--Union and Agency Negotiated Grievances, Adverse Personnel Actions, Discrimination Complaints, Complaints and Actions before Arbitrators, Administrative Tribunals and Courts (Third Parties)</title>
<date year="2013" month="1" day="8"/>
</previouslyPublished>

	<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-03-11/pdf/2013-05513.pdf</url>
<title> TREASURY/IRS 34.037, Audit Trail and Security Records </title>
<date year="2013" month="3" day="11"/>
</previouslyPublished>
	
	
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-04-16/pdf/2013-08849.pdf</url>
<title>Bureau of Engraving and Printing--Republication of Systems of Records </title>
<date year="2013" month="4" day="16"/>
</previouslyPublished>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-08-13/pdf/2013-18447.pdf</url>
<title> Treasury/United States Mint .013, United States Mint National Electronic Incident Reporting System of Records </title>
<date year="2013" month="8" day="13"/>
</previouslyPublished>

<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-12-09/pdf/2013-29345.pdf</url>
<title> TREASURY/Fiscal Service .023, Do Not Pay Payment Verification Records </title>
<date year="2013" month="12" day="9"/>
</previouslyPublished>
<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2012-04-03/pdf/2012-7950.pdf </url>
<title>Comptroller of the Currency--Republication of Inventory of Systems of Records </title>
<date year="2013" month="4" day="3"/>
</previouslyPublished>



<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30802.pdf</url>
<title> TREASURY/BEP .049, Bureau of Engraving and Printing Tour Scheduling System </title>
<date year="2013" month="12" day="26"/>
</previouslyPublished>
<routineUses id="routine" toc="yes">
<xhtmlContent>
<p>* As of July 21, 2011, all functions of the Office of Thrift Supervision have been transferred to the Office of the Comptroller of the
Currency. <i>See</i> Public Law 111-203, July 21, 2010.
</p></xhtmlContent></routineUses>

	<section id="TREASURY" toc="yes">
<systemNumber> .001</systemNumber>
<subsection type="systemName">Treasury Personnel and Payroll System--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The Shared Development Center of the Treasury Personnel/Payroll System is located at 1750 Pennsylvania Avenue NW., Suite 1300,
Washington, DC 20220. The Treasury Personnel System processing site is located at the Internal Revenue Service Detroit Computing Center, 985
Michigan Avenue, Detroit, MI 48226. The Treasury Payroll processing site is located at the United States Department of Agriculture National
Finance Center, 13800 Old Gentilly Road, New Orleans, LA 70129.
</p><p>The locations at which the system is maintained by all Treasury components and their associated field offices are:
</p><p>(1) Departmental Offices (DO):
</p><p>a. 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, SW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): Avery Street Building, 320 Avery Street, Parkersburg, WV.
</p><p>(8) Bureau of Public Debt (BPD): 999-E Street, NW., Washington, DC 20239.
</p><p>(9) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22183-0039.
</p><p>(10) Office of Thrift Supervision (OTS): 1700 G St., NW., Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Employees, former employees, and applicants for employment, in all Treasury Department bureaus and offices. (2) Employees, former
employees, and applicants for employment of Federal agencies for which the Treasury Department is a cross-services provider.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information contained in this system includes such data as:
</p><p>(1) Employee identification and status data such as name, records that establish an individual's identity, social security number, date of
birth, sex, race and national origin designator, awards received, suggestions, work schedule, type of appointment, education, training courses
attended, veterans preference, and military service; (2) employment data such as service computation for leave, date probationary period
began, date of performance rating, performance contract, and date of within-grade increases; (3) position and pay data such as position
identification number, pay plan, step, salary and pay basis, occupational series, organization location, and accounting classification codes;
(4) payroll data such as earnings (overtime and night differential), deductions (Federal, state and local taxes, bonds and allotments), and
time and attendance data; (5) employee retirement and Thrift Savings Plan data; (6) employment history, and (7) tables of data for editing,
reporting and processing personnel and pay actions. These include nature of action codes, civil service authority codes, standard remarks,
signature block table, position title table, financial organization table, and salary tables.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321; Homeland Security Presidential Directive 12 (HSPD-12), and Treasury Directive 80-05, Records
and Information Management Program.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purposes of the system include, but are not limited to: (1) Maintaining current and historical payroll records that are used to
compute and audit pay entitlement; to record history of pay transactions; to record deductions, leave accrued and taken, bonds due and issued,
taxes paid; maintaining and distributing Leave and Earnings statements; commence and terminate allotments; answer inquiries and process
claims; and (2) maintaining current and historical personnel records and preparing individual administrative transactions relating to
education and training; classification; assignment; career development; evaluation; promotion, compensation, separation and retirement; making
decisions on the rights, benefits, entitlements and the utilization of individuals; providing a data source for the production of reports,
statistical surveys, rosters, documentation, and studies required for the orderly personnel administration within Treasury; (3) maintaining
employment history; and (4) perform personnel and payroll functions for Federal agencies for which Treasury is a cross-services provider and
to conduct activities necessary to carry-out the official HR line of business for all Federal departments and agencies that are serviced by
the a National Finance Center (NFC).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Furnish data to the Department of Agriculture, National Finance Center (which provides payroll and personnel processing services for
Treasury under a cross-servicing agreement) affecting the conversion of Treasury employee payroll and personnel processing services; the
issuance of paychecks to employees and distribution of wages; and the distribution of allotments and deductions to financial and other
institutions, some through electronic funds transfer;
</p><p>(2) Furnish the Internal Revenue Service and other jurisdictions which are authorized to tax employees' compensation with wage and tax
information in accordance with a withholding agreement with the Department of the Treasury pursuant to 5 U.S.C. 5516, 5517, and 5520, for the
purpose of furnishing employees with IRS Forms W-2 that report such tax distributions;
</p><p>(3) Provide records to the Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, and
General Accounting Office for the purpose of properly administering Federal personnel systems or other agencies' systems in accordance with
applicable laws, Executive Orders, and regulations;
</p><p>(4) Furnish another Federal agency with information necessary or relevant to effect interagency salary or administrative offset, except
that addresses obtained from the Internal Revenue Service shall not be disclosed to other agencies; to furnish a consumer reporting agency
information to obtain commercial credit reports; and to furnish a debt collection agency information for debt collection services. Current
mailing addresses acquired from the Internal Revenue Service are routinely released to consumer reporting agencies to obtain credit reports
and are arguably relevant to debt collection agencies for collection services;
</p><p>(5) Disclose information to a Federal, state, local, or foreign agency maintaining civil, criminal, or other relevant enforcement
information or other pertinent information, that has requested information relevant to or necessary to the requesting agency's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(6) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation or settlement negotiations in response to a subpoena where arguably
relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(7) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(8) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(9) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relates to civil and criminal
proceedings;
</p><p>(10) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(11) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114;
</p><p>(12) Provide wage and separation information to another agency, such as the Department of Labor or Social Security Administration, as
required by law for payroll purposes;
</p><p>(13) Provide information to a Federal, state, or local agency so that the agency may adjudicate an individual's eligibility for a benefit,
such as a state employment compensation board, housing administration agency, and Social Security Administration;
</p><p>(14) Disclose pertinent information to appropriate Federal, state, local or foreign agencies responsible for investigating or prosecuting
the violation of, or for implementing, a statute, regulation, order, or license, where the disclosing agency becomes aware of a potential
violation of civil or criminal law or regulation;
</p><p>(15) Disclose information about particular Treasury employees to requesting agencies or non-Federal entities under approved computer
matching efforts, limited only to those data elements considered relevant to making a determination of eligibility under particular benefit
programs administered by those agencies or entities or by the Department of the Treasury or any constituent unit of the Department, to improve
program integrity, and to collect debts and other money owed under those programs (e.g., matching for delinquent loans or other indebtedness
to the government);
</p><p>(16) Disclose to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human
Services, the names, social security numbers, home addresses, dates of birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees, for the purposes of locating individuals to establish paternity, establishing and modifying
orders of child support, identifying sources of income, and for other child support enforcement activities as required by the Personal
Responsibility and Work Opportunity Reconciliation Act (Welfare Reform Law, Pub. L. 104-193);
</p><p>(17) Disclose information to contractors, grantees, experts, consultants, students, and others performing or working on a contract,
service, grant, cooperative agreement, or other assignment for the Department of the Treasury, when necessary to accomplish an agency
Function;
</p><p>(18) Disclose information to other Federal agencies with whom the Department has entered into a cross servicing agreement that provides for
the delivery of automated human resources operations. These operations may include maintaining current and historical payroll and personnel
records, and providing reports, statistical surveys, rosters, documentation, and studies as required by the other federal agency to support
its personnel administration activities; and
</p><p>(19) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures may be made pursuant to 5 U.S.C. 552a(b)(12) and section 3 of the Debt Collection Act of 1982, Public Law 97-365;
debt information concerning a government claim against an individual is also furnished, in accordance with 5 U.S.C. 552a(b)(12) and section 3
of the Debt Collection Act of 1982, to consumer reporting agencies to encourage repayment of an overdue debt. Disclosures may be made to a
consumer reporting agency as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f), or the Federal Claims Collection Act of 1966, 31
U.S.C. 701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic records, microfiche, and hard copy. Disbursement records are stored at the Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved generally by social security number, position identification number within a bureau/agency and sub-
organizational element, employee identification or employee name. Secondary identifiers are used to assure accuracy of data accessed, such as
master record number or date of birth.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Entrances to data centers and support organization offices are restricted to those employees whose work requires them to be there for
the system to operate. Identification (ID) cards are verified to ensure that only authorized personnel are present. Disclosure of information
through remote terminals is restricted through the use of passwords and sign-on protocols, which are periodically changed. Reports produced
from the remote printers are in the custody of personnel and financial management officers and are subject to the same privacy controls as
other documents of similar sensitivity.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The current payroll and personnel system and the personnel and payroll system's master files are kept as electronic media. Information
rendered to hard copy in the form of reports and payroll information documentation is also retained in an electronic media format. Employee
records are retained in automated form for as long as the employee is active on the system (separated employee records are maintained in an
"inactive" status). Files are purged in accordance with Treasury Directive 80-05, "Records and Information Management
Program."
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury: Official prescribing policies and practices: Chief Human Capitol Officer/Deputy Assistant Secretary for
Human Resources, 1750 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>The systems managers for the Treasury components are:
</p><p>(1) a. DO: Deputy Assistant Secretary for Human Resources/Chief Human Capital Officer, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>b. OIG: Personnel Officer, 740 15th Street NW., Suite 500, Washington, DC 20220.
</p><p>c. TIGTA: Director, Human Resources, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>(2) TTB: Chief, Personnel Division, 1310 G St., NW., Washington, DC 20220.
</p><p>(3) OCC: Director, Human Resources, 250 E Street, SW., Washington, DC 20219.
</p><p>(4) BEP: Chief, Office of Human Resources, 14th &amp; C Streets, SW., Room 202-13A, E&amp;P Annex, Washington, DC 20228.
</p><p>(5) FMS: Director, Personnel Management Division, 3700 East West Hwy, Room 115-F, Hyattsville, MD 20782.
</p><p>(6) IRS: Associate Director, Transactional Processing Operations, 1111 Constitution Avenue, NW., CP6, A:PS:TP, 2nd Floor, Washington, DC
20224.
</p><p>(7) MINT: Assistant Director for Human Resources, 801 9th Street, NW., 7th Floor, Washington, DC 20220.
</p><p>(8) BPD: Director, Human Resources Operations Division, Avery Street Building, 320 Avery Street, Parkersburg, WV.
</p><p>(9) FinCEN: Chief of Personnel and Training, Vienna, VA 22183-0039.
</p><p>(10) OTS: 1700 G St, NW., Washington, DC 20552.
</p><p>A list of the Federal agencies for which Treasury is a cross-services provider and their respective system managers may be obtained by
contacting the Chief Human Capitol Officer/Deputy Assistant Secretary for Human Resources, at the address shown above.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>(1) Employees, former employees or applicants of the Department of the Treasury seeking notification and access to any record
contained in the system of records, or seeking to contest its content, may inquire in accordance with instructions pertaining to individual
Treasury components appearing at 31 CFR part 1, subpart C, appendices A-L.
</p><p>(2) Employees of other Federal agencies for which Treasury is a cross-services provider may request notification, access and amendment of
their records through the personnel office at their home agency. (See "System manager" above.)
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in these records is provided by or verified by the subject of the record, supervisors, and non-Federal
sources such as private employers.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .002</systemNumber>
<subsection type="systemName">Grievance Records--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220. These records are located in personnel or designated
offices in the bureaus in which the grievances were filed.
</p><p>The locations at which the system is maintained are:
</p><p>(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L. Street, NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G. St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, NW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW. Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(9) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current or former Federal employees who have submitted grievances with their bureaus in accordance with part 771 of the Office of
Personnel Management's (OPM) regulations (5 CFR part 771), the Treasury Employee Grievance System (TPM Chapter 771), or a negotiated
procedure.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains records relating to grievances filed by Treasury employees under part 771 of the OPM's regulations. These case
files contain all documents related to the grievance including statements of witnesses, reports of interviews and hearings, examiner's
findings and recommendations, a copy of the original and final decision, and related correspondence and exhibits. This system includes files
and records of internal grievance and arbitration systems that bureaus and/or the Department may establish through negotiations with
recognized labor organizations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1302, 3301, 3302; E.O. 10577; 3 CFR 1954-1958 Comp., p. 218; E.O. 10987; 3 CFR 1959-1963 Comp., p. 519; agency
employees, for personal relief in a matter of concern or dissatisfaction which is subject to the control of agency management.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To adjudicate employee administrative grievances filed under the authority of 5 CFR part 771 and the Department's Administrative
Grievance Procedure.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used:
</p><p>(1) To disclose pertinent information to the appropriate Federal, state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation;
</p><p>(2) To disclose information to any source from which additional information is requested in the course of processing in a grievance, to the
extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information
requested;
</p><p>(3) To disclose information to a Federal agency, in response to its request, in connection with the hiring or retention of an individual,
the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the
letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is
relevant and necessary to requesting the agency's decision on the matter;
</p><p>(4) To provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) To disclose information to another Federal agency or to a court when the Government is party to a judicial proceeding before the court;
</p><p>(6) By the National Archives and Records Administration in records management inspections conducted under authority of 44 U.S.C. 2904 and
2908;
</p><p>(7) By the bureau maintaining the records of the Department in the production of summary descriptive statistics and analytical studies in
support of the function for which the records are collected and maintained, or for related work force studies. While published statistics and
studies do not contain individual identifiers, in some instances the selection of elements of data included in the study may be structured in
such a way as to make the data individually identifiable by inference;
</p><p>(8) To disclose information to officials of the Merit Systems Protection Board, the Office of the Special Counsel, the Federal Labor
Relations Authority and its General Counsel, the Equal Employment Opportunity Commission, or the Office of Personnel Management when requested
in performance of their authorized duties;
</p><p>(9) To disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures
to opposing Counsel or witnesses in the course of civil discovery, litigation or settlement negotiations in response to a court order, or in
connection with criminal law proceedings;
</p><p>(10) To provide information to officials of labor organizations reorganized under the Civil Service Reform Act when relevant and necessary
to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.
</p><p>(11) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the names of the individuals on whom they are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Lockable metal filing cabinets to which only authorized personnel have access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposed of 3 years after closing of the case. Grievances filed against disciplinary adverse actions are retained by the United States
Secret Service for 4 years. Disposal is by shredding or burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records pertaining to administrative grievances filed at the Departmental level: Director, Office of Human Resources Strategy and
Solutions, 1750 Pennsylvania Ave., NW., Suite 1200, Washington, DC 20220. Records pertaining to administrative grievances filed at the bureau
level:
</p><p>(1) a. DO: Director, Office of Human Resources for Departmental Offices, 1500 Pennsylvania Ave., NW., Room 5202-Main Treasury,
Washington, DC 20220.
</p><p>b. OIG: Personnel Officer, 740 15th St., NW., Rm. 510, Washington, DC 20220.
</p><p>c. TIGTA: Director, Human Capital and Support Services, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) OCC: Director, Human Resources, 250 E Street, SW., Washington, DC 20219.
</p><p>(4) BEP: Chief, Office of Human Resources, 14th &amp; C Streets, SW., Room 202-13A, E&amp;P Annex, Washington, DC 20228.
</p><p>(5) FMS: Director, Personnel Management Division, 3700 East West Hwy, Room 115-F, Hyattsville, MD 20782.
</p><p>(6) IRS: Director, Office of Workforce Relations (M:S:L), 1111 Constitution Ave., NW., Room 1515IR, Washington, DC 20224.
</p><p>(7) Mint: Assistant Director for Human Resources, 801 9th Street, NW., 3rd Floor, Washington, DC 20220.
</p><p>(8) BPD: Director, Human Resources Operations Division, Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(9) OTS: Principal Director, Human Resources Programs and Services, 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) FinCEN: Director, P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>It is required that individuals submitting grievances be provided a copy of the record under the grievance process. They may, however,
contact the agency personnel or designated office where the action was processed, regarding the existence of such records on them. They must
furnish the following information for their records to be located and identified: (1) Name, (2) date of birth, (3) approximate date of closing
of the case and kind of action taken, (4) organizational component involved.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>It is required that individuals submitting grievances be provided a copy of the record under the grievance process. However, after the
action has been closed, an individual may request access to the official copy of the grievance file by contacting the bureau personnel or
designated office where the action was processed. Individuals must provide the following information for their records to be located and
identified: (1) Name, (2) date of birth, (3) approximate date of closing of the case and kind of action taken, (4) organizational component
involved.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Review of requests from individuals seeking amendment of their records which have been the subject of a judicial or quasi-judicial
action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately
documents the action of the agency ruling on the case, and will not include a review of the merits of the action, determination, or finding.
</p><p>Individuals wishing to request amendment to their records to correct factual errors should contact the bureau personnel or designated
office where the grievance was processed. Individuals must furnish the following information for their records to be located and identified:
(1) Name, (2) date of birth, (3) approximate date of closing of the case and kind of action taken, (4) organizational component involved.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is provided: (1) By the individual on whom the record is maintained, (2) by testimony of
witnesses, (3) by agency officials, (4) from related correspondence from organizations or persons.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .003</systemNumber>
<subsection type="systemName">Treasury Child Care Tuition Assistance Records--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220. The locations at which the system is maintained by
Treasury components are:
</p><p>(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L. Street, NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G. St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, NW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): Avery Street Building, 320 Avery Street, Parkersburg, WV.
</p><p>(9) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the Department of the Treasury who voluntarily apply for child care tuition assistance, the employee's spouse, their
children and their child care providers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include application forms for child care tuition assistance containing personal information, including employee (parent)
name, Social Security Number, pay grade, home and work numbers, addresses, telephone numbers, total family income, names of children on whose
behalf the parent is applying for tuition assistance, each child's date of birth, information on child care providers used (including name,
address, provider license number and State where issued, tuition cost, and provider tax identification number), and copies of IRS Form 1040
and 1040A for verification purposes. Other records may include the child's social security number, weekly expense, pay statements, records
relating to direct deposits, verification of qualification and administration for the child care tuition assistance.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 106-58, section 643 and E.O. 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To establish and verify Department of the Treasury employees' eligibility for child care subsidies in order for the Department of the
Treasury to provide monetary assistance to its employees. Records are also maintained so the Department can make payments to child care
providers on an employee's behalf.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where the Department of the Treasury becomes aware of an indication of a
violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Provide information to a congressional office from the record of an individual in response to an inquiry from that congressional office
made at the request of that individual;
</p><p>(3) Disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding
being conducted by a Federal agency, when the Government is a party to the judicial or administrative proceeding. In those cases where the
Government is not a party to the proceeding, records may be disclosed If a subpoena has been signed by a judge;
</p><p>(4) Disclose information to the National Archives and Records Administration for use in records management inspections;
</p><p>(5) Disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body
before which the Department of the Treasury is authorized to appear, when: (a) The Department of the Treasury, or any component thereof; or
(b) any employee of the Department of the Treasury in his or her official capacity; or (c) any employee of the Department of the Treasury in
his or her individual capacity where the Department of Justice or the Department of the Treasury has agreed to represent the employee; or (d)
the United States, when the Department of the Treasury determines that litigation is likely to affect the Department of the Treasury or any of
its components; is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice or
the Department of the Treasury is deemed by the Department of the Treasury to be relevant and necessary to the litigation; provided, however,
that the disclosure is compatible with the purpose for which records were collected;
</p><p>(6) Provide records to the Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, Federal
Labor Relations Authority, the Office of Special Counsel, and General Accountability Office for the purpose of properly administering Federal
personnel systems or other agencies' systems in accordance with applicable laws, Executive Orders, and regulations;
</p><p>(7) Disclose information to contractors, grantees, or volunteers performing or working on a contract, service, grant, or cooperative
agreement, or job for the Federal Government;
</p><p>(8) Disclose information to a court, magistrate, or administrative tribunal when necessary and relevant in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or
in connection with criminal law proceedings or in response to a subpoena;
</p><p>(9) Disclose information to unions recognized as exclusive bargaining representatives under 5 U.S.C. chapter 71, and other parties
responsible for the administration of the Federal labor-management program if needed in the performance of their authorized duties.
</p><p>(10) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Information may be collected on paper or electronically and may be stored as paper forms or on computers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name; may also be cross-referenced to Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>When not in use by an authorized person, paper records are stored in lockable file cabinets or secured rooms. Electronic records are
protected by the use of passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposition of records is according to the National Archives and Records Administration (NARA) guidelines.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Treasury official prescribing policies and practices: Director, Office of Human Resources Strategy and Solutions, 1750 Pennsylvania
Ave., NW., Suite 1200, Department of the Treasury, Washington, DC 20220. Officials maintaining the system and records for the Treasury
components are:
</p><p>(1) DO:
</p><p>a. Director, Office of Human Resources for Departmental Offices, 1500 Pennsylvania Ave. NW., Room 5202-MT, Washington, DC 20220.
</p><p>b. Office of General Counsel: Administrative Officer, Department of the Treasury, Room 3000-MT, Washington, DC 20220.
</p><p>c. OIG: Personnel Officer, 740 15th St., NW., Suite 510, Washington, DC 20220.
</p><p>d. TIGTA: Director, Human Capital and Support Services, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>(2) TTB: Assistant Administrator, Office of Management, 1310 G St., NW., Washington, DC 20220.
</p><p>(3) OCC: Director, Human Resources Division, Independence Square, 250 E St., SW, 4th Floor, Washington, DC 20219.
</p><p>(4) BEP: Chief, Office of Human Resources. 14th &amp; C St., SW., Room 202-13a, Washington, DC 20228.
</p><p>(5) FMS: Director, Human Resources Division, PG Center II Bldg, Rm. 114f, 3700 East West Highway, Hyattsville, MD 20782.
</p><p>(6) IRS: Director Personnel Policy Division, 1111 Constitution Ave., Building CP6-M:S:P, Washington, DC 20224.
</p><p>(7) MINT: Assistant Director for Human Resources, 801 9th Street, NW., 3rd Floor, Washington, DC 20220.
</p><p>(8) BPD: Child Care Assistance Program (CCAP) Coordinator, Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(9) OTS: Principal Director, Human Resources Programs and Services, 1700 G Street, NW., Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by Department of the Treasury employees who apply for child care tuition assistance.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .004</systemNumber>

<subsection type="systemName">Freedom of Information Act/Privacy Act Request Records--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. The locations at which the system is maintained by
Treasury components and their associated field offices are:
</p><p>(1) Departmental Offices (DO), which includes the Office of Inspector General (OIG), the Community Development Financial Institutions Fund
(CDFI), and Special Inspector General for the Troubled Asset Relief Program (SIGTARP);
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB);
</p><p>(3) Office of the Comptroller of the Currency (OCC);
</p><p>(4) Bureau of Engraving and Printing (BEP);
</p><p>(5) Financial Management Service (FMS);
</p><p>(6) United States Mint (MINT);
</p><p>(7) Bureau of the Public Debt (BPD);
</p><p>(8) Office of Thrift Supervision (OTS);
</p><p>(9) Financial Crimes Enforcement Network (FinCEN); and
</p><p>(10) Treasury Inspector General for Tax Administration (TIGTA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have: (1) Requested access to records pursuant to the Freedom of Information Act, 5 U.S.C. 552 (FOIA), or who have
appealed initial denials of their requests; and/or (2) made a request for access, amendment, or other action pursuant to the Privacy Act of
1974, 5 U.S.C. 552a (PA).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Requests for records or information pursuant to the FOIA/PA, which includes the names of individuals making written or electronically
submitted requests for records under the FOIA/PA; the contact information of the requesting individual such as their mailing address, e-mail
address, and/or phone number; and the dates of such requests and their receipt. Supporting records include the written correspondence received
from requesters and responses made to such requests; internal processing documents and memoranda; referrals and copies of records provided or
withheld; and may include legal memoranda and opinions. Comparable records are maintained in this system with respect to any appeals made from
initial denials of access, refusal to amend records, and lawsuits under the FOIA/PA.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Freedom of Information Act, 5 U.S.C. 552; Privacy Act of 1974, 5 U.S.C. 552a; and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is used by officials to administratively control and/or process requests for records to ensure compliance with the FOIA/PA
and to collect data for the annual reporting requirements of the FOIA and other Departmental management report requirements. In addition, the
system allows for online submission to expedite the consideration of requests.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, foreign, State, local, tribal or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law
or regulation;
</p><p>(2) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a court order, or in
connection with criminal law proceedings;
</p><p>(3) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in
consultation with or by that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who
has requested access to or amendment or correction of records;
</p><p>(5) Disclose information to the Department of Justice when seeking legal advice, or when (a) the agency, or (b) any component thereof, or
(c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(6) Disclose information to the appropriate foreign, State, local, tribal, or other public authority or self-regulatory organization for
the purpose of (a) consulting as to the propriety of access to or amendment or correction of information obtained from that authority or
organization, or (b) verifying the identity of an individual who has requested access to or amendment or correction of records;
</p><p>(7) Disclose information to contractors and other agents who have been engaged by the Department or one of its bureaus to provide products
or services associated with the Department's or bureaus' responsibilities arising under the FOIA/PA;
</p><p>(8) Disclose information to the National Archives and Records Administration for use in records management inspections;
</p><p>(9) Disclose information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic media, computer paper printout, index file cards, and paper records in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrieved by name, subject, request file number, or other data element as may be permitted by an automated system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Protection and control of any sensitive but unclassified (SBU) records are in accordance with Treasury Directive Publication 71-
10, Department of the Treasury Security Manual; DO P-910, Departmental Offices Information Technology Security Policy Handbook; Treasury
Directive Publication 85-01, Treasury Information Technology Security Program; National Institute of Standards and Technology 800-
122 and any supplemental guidance issued by individual bureaus; the National Institute of Standards and Technology Special Publication 800
-53 Revision 3, Recommended Security Controls for Federal Information Systems and Organizations; and Guide to Protecting the
Confidentiality of Personally Identifiable Information. Access to the records is available only to employees responsible for the management of
the system and/or employees of program offices who have a need for such information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records pertaining to FOIA/PA requests are retained and disposed of in accordance with the National Archives and Records
Administration's General Record Schedule 14--Information Services Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury: Official prescribing policies and practices--Departmental Disclosure Officer, Department of the
Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. The system managers for the Treasury components are:
</p><p>1. (a) DO: Director, Disclosure Services, Department of the Treasury, Washington, DC 20220.
</p><p>(b) OIG: Director, Disclosure Services, Department of the Treasury, Washington, DC 20220.
</p><p>(c) CDFI: Director, Disclosure Services, Department of the Treasury, Washington, DC 20220.
</p><p>(d) SIGTARP: Chief Counsel, Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington,
DC 20036.
</p><p>2. Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>3. BEP: Disclosure Officer, FOIA Office, 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>4. FMS: Disclosure Officer, 401 14th Street, SW., Washington, DC 20227.
</p><p>5. Mint: Disclosure Officer, 801 9th Street, NW., 8th Floor, Washington, DC 20220.
</p><p>6. OCC: Disclosure Officer, Communications Division, Washington, DC 20219.
</p><p>7. BPD: Information Disclosure Officer, Avery Street Building, 320 Avery Street, Parkersburg, WV.
</p><p>8. OTS: Manager, Freedom of Information Act Office, 1700 G Street, NW., Washington, DC 20552.
</p><p>9. FinCEN: P.O. Box 39, Vienna, VA 22182.
</p><p>10. TIGTA: Director, Human Capital and Support Services, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in these files originates from individuals who make FOIA/PA requests and agency officials responding to
those requests.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None. Please note that the Department has claimed one or more exemptions (see 31 CFR 1.36) for a number of its other systems of
records under 5 U.S.C. 552a(j)(2) and (k)(1), (2), (3), (4), (5), and (6). During the course of a FOIA/PA action, exempt materials from those
other systems may become a part of the case records in this system. To the extent that copies of exempt records from those other systems have
been recompiled and/or entered into these FOIA/PA case records, the Department claims the same exemptions for the records as they have in the
original primary systems of records of which they are a part.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .005</systemNumber>
<subsection type="systemName">Public Transportation Incentive Program Records--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. The locations at which the system is maintained by
Treasury bureaus and their associated field offices are:
</p><p>(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L Street, NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, SW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th St. NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(9) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22182.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees who have applied for or who participate in the Public Transportation Incentive Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Public Transportation Incentive Program application form containing the participant's name, last four digits of the social
security number, or for IRS employees the Standard Employee Identifier (SEID) issued by the IRS, place of residence, office address, office
telephone, grade level, duty hours, previous method of transportation, costs of transportation, and the type of fare incentive requested.
Incentives authorized under the Federal Workforce Transportation Program may be included in this program.
</p><p>(2) Reports submitted to the Department of the Treasury in accordance with Treasury Directive 74-10.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 132(f), and Public Law 101-509.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used to administer the public transportation incentive or subsidy programs provided by Treasury bureaus for eligible
employees. The system also enables the Department to compare these records with other Federal agencies to ensure that employee transportation
programs benefits are not abused.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate Federal, state, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing
or implementing, a statute, rule, regulation, order or license;
</p><p>(2) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a court-ordered subpoena where relevant or
potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(4) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and/or 7114;
</p><p>(5) Agencies, contractors, and others to administer Federal personnel or payroll systems, and for debt collection and employment or
security investigations;
</p><p>(6) Other Federal agencies for matching to ensure that employees receiving PTI Program benefits are not listed as a carpool or vanpool
participant, the holder of a parking permit; and to prevent the program from being abused;
</p><p>(7) The Department of Justice when seeking legal advice, or when (a) the Department of the Treasury (agency) or (b) any component thereof,
or (c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where
the Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is
likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such
records by the Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(8) The Office of Personnel Management, the Merit Systems Protection Board, the Equal Employment Opportunity Commission, and the Federal
Labor Relations Authority or other third parties when mandated or authorized by statute; and
</p><p>(9) A contractor for the purpose of compiling, organizing, analyzing, programming, or otherwise refining records to accomplish an agency
function subject to the same limitations applicable to U.S. Department of Treasury officers and employees under the Privacy Act;
</p><p>(10) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records, file folders and/or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of individual, badge number or office.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is limited to authorized employees. Files are maintained in locked safes and/or file cabinets. Electronic records are password-
protected. During non-work hours, records are stored in locked safes and/or cabinets in locked room.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Active records are retained indefinitely. Inactive records are held for three years and then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The system managers for the Treasury bureaus are:
</p><p>(1) Departmental Offices:
</p><p>a. Director, Occupational Safety and Health Office, Room 6204 Annex, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. Office of Inspector General: Office of Assistant Inspector for Management Services, Office of Administrative Services, Suite 510, 740
15th St., NW., Washington, DC 20220.
</p><p>c. TIGTA: Director, Human Capital and Support Services, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>(2) TTB: Alcohol and Tobacco Tax and Trade Bureau: 1310 G St., NW., Washington, DC 20220.
</p><p>(3) BEP: Chief, Office of Human Resources, Bureau of Engraving and Printing, 14th and C Streets, SW., Washington, DC 20228.
</p><p>(4) OCC: Building Manager, Building Services, Office of the Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001.
</p><p>(5) FMS: Director, Administrative Programs Division, Financial Management Service, 3700 East West Hwy., Room 144, Hyattsville, MD 20782.
</p><p>(6) IRS: Official prescribing policies and practices--Chief, National Office, Protective Program Staff, Director, Personnel Policy
Division, 2221 S. Clark Street-CP6, Arlington, VA 20224. Officials maintaining the system--Supervisor of local offices where the records
reside. (See IRS Appendix A for addresses.)
</p><p>(7) Mint: Office of Management Services (OMS), 801 9th St., NW., 2nd Floor, Washington, DC 20220.
</p><p>(8) BPD: Director, Division of Administrative Services, Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(9) OTS: Deputy Chief Financial Officer, Department of the Treasury, 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) FinCEN: Director, P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The source of the data are employees who have applied for the transportation incentive, the incentive program managers and other
appropriate agency officials, or other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .006</systemNumber>
<subsection type="systemName">Parking and Carpool Program Records--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. The locations at which the system is maintained by
Treasury bureaus and their associated field offices are:
</p><p>(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L Street, NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, SW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): 799 E Street, NW., Washington, DC 20239.
</p><p>(9) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current employees of the Department and individuals from other Government agencies or private sector organizations who may use, or
apply to use, parking facilities or spaces controlled by the Department. Individuals utilizing handicapped or temporary guest parking
controlled by the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include the name, position title, manager's name, organization, vehicle identification, arrival and departure time, home
addresses, office telephone numbers, social security numbers, badge number, and service computation date or length of service with a component
of an individual or principal carpool applicant. Contains name, place of employment, duty telephone, vehicle license number and service
computation date of applicants, individuals or carpool members. For parking spaces, permit number, priority group (handicapped, job
requirements/executive officials (SES) or carpool/vanpool). Medical information may also be included when necessary to determine disability of
applicant when applying for handicapped parking spaces.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 44 U.S.C. 3101; Treasury Department Order No. 165, revised as amended. Federal Property and Administrative Services Act
of 1949, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used to administer parking, carpool and vanpool programs within the Department. The system enables the Department to
allocate and check parking spaces assigned to government or privately-owned vehicles operated by visitors, handicapped personnel, key
personnel, employees eligible to participate in a parking program and carpools or vanpools. The Department is also able to compare these
records with other Federal agencies to ensure parking privileges or other employee transportation benefits are not abused.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate Federal, State, local, or foreign agencies, or other public authority responsible for investigating or prosecuting the
violations of or for enforcing or implementing a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an
indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) A Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(3) A physician for making a determination on a person's eligibility for handicapped parking;
</p><p>(4) A contractor who needs to have access to this system of records to perform an assigned activity;
</p><p>(5) Parking coordinators of Government agencies and private sector organizations for verification of employment and participation of pool
members;
</p><p>(6) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114;
</p><p>(7) Department of Justice when seeking legal advice, or when (a) the Department of the Treasury (agency) or (b) any component thereof, or
(c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(8) Third parties when mandated or authorized by statute or when necessary to obtain information that is relevant to an inquiry concerned
with the possible abuse of parking privileges or other employee transportation benefits;
</p><p>(9) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in
response to a court order where relevant or potentially relevant to a proceeding, and
</p><p>(10) Officials of the Merit Systems Protection Board, the Federal Labor Relations Authority, the Equal Employment Opportunity Commission or
the Office of Personnel Management when requested in the performance of their authorized duties.
</p><p>(11) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Hard copy and/or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, address, social security number, badge number, permit number, vehicle tag number, and agency name or organization code on either
the applicant or pool members as needed by a bureau. Records are filed alphabetically by location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are maintained in locked file cabinets. Access is limited to personnel whose official duties require such access and who
have a need to know the information in a record for a job-related purpose. Access to computerized records is limited, through use of a
password, to those whose official duties require access. Protection and control of sensitive but unclassified (SBU) records are in accordance
with TD P 71-10, Department of the Treasury Security Manual, and any supplemental guidance issued by individual bureaus. The IRS access
controls will not be less than those provided by the Automated Information System Security Handbook, IRM 2(10)00, and the Manager's Security
Handbook, IRM 1(16)12.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Generally, record maintenance and disposal is in accordance with NARA General Retention Schedule 11, and any supplemental guidance
issued by individual components. Disposal of manual records is by shredding or burning; electronic data is erased. Destroyed upon change in,
or revocation of, parking assignment. For the IRS, records are maintained in accordance with Records Control Schedule 301--General
Records Schedule 11, Space and Maintenance Records, Item 4(a), IRM 1(15)59.31.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The system managers for the Treasury components are:
</p><p>(1) DO:
</p><p>a. Director, Occupational Safety and Health Office, Room 6204 Annex, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. OIG: Director, Administrative Services Division, Office of Management Services, Room 510, 740 15th Street, NW., Washington, DC 20220.
</p><p>c. TIGTA: Director, Human Capital and Support Services, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>(2) TTB: Alcohol and Tobacco Tax and Trade Bureau: 1310 G St., NW., Washington, DC 20220.
</p><p>(3) OCC: Building Manager, Building Services, Office of the Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219;
</p><p>(4) BEP: Chief, Office of Security, Bureau of Engraving and Printing, 14th and C Streets, SW., Washington, DC 20228.
</p><p>(5) FMS: Director, Administrative Programs Division, 3700 East West Highway, Hyattsville, MD 20782.
</p><p>(6) IRS: Chief, Security and Safety Branch; Regional Commissioners, District Directors, Internal Revenue Service Center Directors, and
Computing Center Directors. (See IRS Appendix A for addresses.)
</p><p>(7) MINT: Office of Management Services (OMS), 801 9th St., NW., 2nd Floor, Washington, DC 20220.
</p><p>(8) BPD: Director, Washington Support Services, Bureau of the Public Debt, 799 E Street, NW., Washington, DC 20239.
</p><p>(9) OTS: Director, Facilities Management, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Parking permit applicants, members of carpools or vanpools, other Federal agencies, medical doctor if disability determination is
requested.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .007</systemNumber>
<subsection type="systemName">Personnel Security System--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Avenue, NW., Room 3180 Annex, Washington, DC 20220. Other locations at which the system
is maintained by Treasury bureaus and their associated offices are:
</p><p>(1) Departmental Offices (DO):
</p><p>a. 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP): 1801 L Street, NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, SW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(7) Bureau of the Public Debt (BPD): Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(8) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p><p>(9) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Current and former government employees, applicants and contractor employees occupying or applying for sensitive positions in the
Department, (2) current and former senior officials of the Department and Treasury bureaus, and those within the Department who are involved
in personnel security matters, (3) current employees, applicants and contractor employees who are appealing a denial or a revocation of a
security clearance, and (4) applicants, employees and contractor employees who have applied for the Personal Identity Verification (PIV) Card.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Background investigations, (2) FBI and other agency name checks, (3) investigative information relating to personnel
investigations conducted by the Department of the Treasury and other Federal agencies and departments on a pre-placement and post-placement
basis to make suitability and employability determinations and for granting security clearances, (4) card records comprised of Notice of
Personnel Security Investigation (TD F 67-32.2) or similar previously used card indexes, and (5) an automated data system reflecting
identification data on applicants, incumbents and former employees, disclosure and authorization forms, and record of investigations, level
and date of security clearance, if any, as well as status of investigations, and (6) records pertaining to the appeal of a denial or a
revocation of a security clearance, and (7) records pertaining to the personal identification verification process mandated by HSPD-12
and the issuance, denial or revocation of a PIV card.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Executive Order 10450, Sections 2 and 3, Executive Order 12958, Executive Order 12968, and Homeland Security Presidential Directive
12.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is used to maintain records that assure the Department is upholding the highest standards of integrity, loyalty, conduct,
and security among its personnel and contract employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate Federal, state, local and foreign agencies for the purpose of enforcing and investigating administrative, civil or criminal
law relating to the hiring or retention of an employee; issuance of a security clearance, license, contract, grant or other benefit;
</p><p>(2) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of or in preparation for civil discovery, litigation, or settlement negotiations, in response to a court order where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) The Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body before which the
Department of the Treasury is authorized to appear, when: (a) The Department of the Treasury, or any component thereof; or (b) any employee of
the Department of the Treasury in his or her official capacity; or (c) any employee of the Department of the Treasury in his or her individual
capacity where the Department of Justice or the
Department of the Treasury has agreed to represent the employee; or (d) the United States, when the Department of the Treasury determines that
litigation is likely to affect the Department of the Treasury or any of its components; is a party to litigation or has an interest in such
litigation, and the use of such records by the Department of Justice or the Department of the Treasury is deemed by the Department of the
Treasury to be relevant and necessary to the litigation; provided, however, that the disclosure is compatible with the purpose for which
records were collected;
</p><p>(4) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(5) Third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
</p><p>(6) The Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, Federal Labor Relations
Authority, and the Office of Special Counsel for the purpose of properly administering Federal personnel systems or other agencies' systems in
accordance with applicable laws, Executive Orders, and regulations; and
</p><p>(7) Unions recognized as exclusive bargaining representatives under 5 U.S.C. chapter 71, and other parties responsible for the
administration of the Federal labor-management program if needed in the performance of their authorized duties.
</p><p>(8) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders, index cards, and magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in locked metal containers and in locked rooms. Electronic records are password protected. Access is limited
to officials who have a need to know in the performance of their official duties and whose background investigations have been favorably
adjudicated.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records on government employees and contractor employees are retained for the duration of their employment at the Treasury
Department. The records on applicants not selected and separated employees are destroyed or sent to the Federal Records Center in accordance
with General Records Schedule 18.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury: Official prescribing policies and practices: Director of Security, 1500 Pennsylvania Avenue, NW., Room
3180 Annex, Washington, DC 20220.
</p><p>The system managers for the Treasury components are:
</p><p>(1) DO:
</p><p>a. Director of Security, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>b. OIG: Personnel Officer, 740 15th St., NW., Suite 510, Washington, DC 20220.
</p><p>c. TIGTA: Personnel Security Officer, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. SIGTARP: Director, Human Resources, 1801 L Street, NW., Washington, DC 20036.
</p><p>(2) TTB: Alcohol and Tobacco Tax and Trade Bureau: Director of Security and Emergency Preparedness 1310 G St., NW., Washington, DC 20220.
</p><p>(3) BPD: Director, Division of Security and Emergency Preparedness, Director, Division of Human Resources Operations Division, Avery Street
Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(4) OCC: Director, Administrative Services Division, 250 E Street, SW., Washington, DC 20219.
</p><p>(5) BEP: Chief, Office of Security, 14th &amp; C Streets, NW., Room 113M, Washington, DC 20228.
</p><p>(6) FMS: Director, Administrative Programs Division, 3700 East West Highway, Hyattsville, MD 20782.
</p><p>(7) Mint: Associate Director for Protection, 801 9th Street, NW., 8th Floor, Washington, DC 20220.
</p><p>(8) OTS: Director of Security, 1700 G Street, NW., Washington, DC 20552.
</p><p>(9) FinCEN: Director, P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information provided or verified by applicants or employees whose files are on record as authorized by those concerned,
information obtained from current and former employers, co-workers, neighbors, acquaintances, educational records and instructors, and police
and credit record checks.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act
pursuant to 5 U.S.C. 552a(k)(5). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .008</systemNumber>

<subsection type="systemName">Treasury Emergency Management System.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, Annex Building, Room 3180, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. Other locations at which
the system is maintained by Treasury components and their associated field offices are:
</p><p>(1) Departmental Offices (DO):
</p><p>a. 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L Street, NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, SW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW. Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(9) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current Treasury employees, contractors, and Treasury Emergency Executive Reservists.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Treasury employees, contractors, or Treasury Emergency Executive Reservists identification number, social security number, first name
and middle initial, last name, job title, government and home addresses (city, state, zip code, zip code extension), home telephone number,
work telephone number, alternate telephone number (e.g., pager, cellular phone), work shift, email addresses, office code, office name, gender
and other employee attributes, date of birth, place of birth, and related personnel security clearance information, emergency team assignment
and emergency team location.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, Executive Order 12656, section 201 and part 15, Executive Order 12472, Presidential Decision Directive 67.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to support the development of and maintain a continuity of operations plans (COOP) for the
Department and its component bureaus. COOP activities involve ensuring the continuity of minimum essential Department of the Treasury
functions through plans and procedures governing succession to office and the emergency delegation of authority (where permissible). Vital
records and critical information pertaining to all current employees, contractors, and Treasury Emergency Executive Reservists will be
gathered and stored in an emergency employee locator system. This data will be used for alert and notification purposes, determining team and
task assignments, developing and maintaining an emergency contact system for general emergency preparedness programs and specific situations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose pertinent information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(3) Disclose information to the Federal Emergency Management Agency (FEMA) or other agency with national security and emergency
preparedness responsibilities in order to carry out continuity of government activities;
</p><p>(4) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has
requested information relevant to or necessary to the requesting agency's, bureau's, or authority's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(5) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which the Department of the
Treasury (agency) is authorized to appear when: (a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any
employee of the agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee;
or (d) the United States, when the agency
determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use of such
records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise privileged;
</p><p>(6) Disclose information to a Congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(7) Disclose information to a contractor for the purpose of processing administrative records and/or compiling, organizing, analyzing,
programming, or otherwise refining records subject to the same limitations applicable to U.S. Department of the Treasury officers and
employees under the Privacy Act;
</p><p>(8) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where relevant or potentially relevant to a proceeding;
</p><p>(9) Disclose information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114, the Merit Systems Protection Board, arbitrators, the Federal Labor Relations Authority, and other parties responsible for the
administration of the Federal labor management program for the purpose of processing any corrective actions or grievances, or conducting
administrative hearings or appeals, or if needed in the performance of other authorized duties;
</p><p>(10) Disclose information to a telecommunications company providing telecommunications support to permit servicing the account;
</p><p>(11) Disclose information to representatives of the General Services Administration (GSA) or the National Archives and Records
Administration (NARA) who are conducting records management inspections under authority of 44 U.S.C. 2904 and 2906; and
</p><p>(12) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained in hardcopy and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records can be retrieved by name, or by the categories listed above under "Categories of records in the system."
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Protection and control of any sensitive but unclassified (SBU) records are in accordance with TD P 71-10, Department of the
Treasury Security Manual. The files and magnetic media are secured in locked rooms. Access to the records is available only to employees
responsible for the management of the system and/or employees of program offices who have a need for such information and have been subject to
a background check and/or have a security clearance.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the appropriate National Archives and Records Administration General Records
Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury: Official prescribing policies and practices: Director, Office of Security, Department of the Treasury,
Washington, DC 20220.
</p><p>The system managers for the Treasury components are:
</p><p>(1) a. DO: Director of Security, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>b. OIG: Personnel Officer, 740 15th St., NW., Suite 510, Washington, DC 20220.
</p><p>c. TIGTA: Special Agent in Charge (Internal Affairs Division), 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>(2) TTB: Alcohol and Tobacco Tax and Trade Bureau: Director of Security and Emergency Preparedness 1310 G St., NW., Washington, DC 20220.
</p><p>(3) OCC: Director, Administrative Services Division, 250 E Street, SW., Washington, DC 20219.
</p><p>(4) BEP: Director of Security, 14th &amp; C Streets, NW., Room 510A, Washington, DC 20228.
</p><p>(5) FMS: Director, Administrative Programs Division, 3700 East West Highway, Hyattsville, MD 20782.
</p><p>(6) IRS: Director, Security Standards and Evaluation, 5000 Ellin Road, Lanham, MD 20706.
</p><p>(7) BPD: Director, Division of Security and Emergency Preparedness, Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(8) Mint: Associate Director for Protection, 801 9th Street, NW., 8th Floor, Washington, DC 20220.
</p><p>(9) OTS: Director of Security, 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) FinCEN: Director, P. O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from current Treasury employees, contractors, Treasury Emergency Executive Reservists, and Management.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .009</systemNumber>
<subsection type="systemName">Treasury Financial Management Systems--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220. The locations at which the system is maintained by
Treasury components and their associated field offices are:
</p><p>(1) Departmental Offices (DO):
</p><p>a. Office of Financial Management, Attn: Met Sq. Bldg., 6th Fl., 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L. Street, NW., Washington, DC 20036.
</p><p>e. Community Development Financial Institutions Fund (CDFI): 601 13th Street, NW., Suite 200 South, Washington, DC 20005.
</p><p>f. Federal Financing Bank (FFB): 1500 Pennsylvania Avenue, NW., South Court One, Washington, DC 20220.
</p><p>g. Office of International Affairs (IA): 1500 Pennsylvania Avenue, NW., Room 5441D, Washington, DC 20220.
</p><p>h. Treasury Forfeiture Fund: 740 15th Street, NW., Suite 700, Washington, DC 20220.
</p><p>i. Treasury Franchise Fund: Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, NW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): Avery Street Building, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(10) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Current and former Treasury employees, non-Treasury personnel on detail to the Department, current and former vendors, all debtors
including employees or former employees; (2) persons paying for goods or services, returning overpayment or otherwise delivering cash; (3)
individuals, private institutions and business entities who are currently doing business with, or who have previously conducted business with
the Department of the Treasury to provide various goods and services; (4) individuals who are now or were previously involved in tort claims
with Treasury; (5) individuals who are now or have previously been involved in payments (accounts receivable/revenue) with Treasury; and (6)
individuals who have been recipients of awards. Only
records reflecting personal information are subject to the Privacy Act. The system also contains records concerning corporations, other
business entities, and organizations whose records are not subject to the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The financial systems used by the Treasury components to collect, maintain and disseminate information include the following types of
records: Routine billing, payment, property accountability, and travel information used in accounting and financial processing; administrative
claims by employees for lost or damaged property; administrative accounting documents, such as relocation documents, purchase orders, vendor
invoices, checks, reimbursement documents, transaction amounts, goods and services descriptions, returned overpayments, or otherwise
delivering cash, reasons for payment and debt, travel-related documents, training records, uniform allowances, payroll information, etc.,
which reflect amount owed by or to an individual for payments to or receipt from business firms, private citizens and or institutions.
Typically, these documents include the individual's name, social security number, address, and taxpayer identification number. Records in the
system also include employment data, payroll data, position and pay data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 3512, 31 U.S.C. 3711, 31 U.S.C. 3721, 5 U.S.C. 5701 et seq., 5 U.S.C. 4111(b), Pub. L. 97-365, 26 U.S.C. 6103(m)(2), 5
U.S.C. 5514, 31 U.S.C. 3716, 31 U.S.C. 321, 5 U.S.C. 301, 5 U.S.C. 4101 et seq., 41 CFR parts 301-304, EO 11348, and Treasury Order 140
-01.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Treasury Integrated Financial Management and Revenue System is to account for and control appropriated resources; maintain
accounting and financial information associated with the normal operations of government organizations such as billing and follow-up, for
paying creditors, to account for goods and services provided and received, to account for monies paid and received, process travel
authorizations and claims, process training claims, and process employee claims for lost or damaged property. The records management and
statistical analysis subsystems provide a data source for the production of reports, statistical surveys, documentation and studies required
for integrated internal management reporting of costs associated with the Department's operation.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information:
</p><p>(1) To appropriate Federal, State, local, or foreign agencies, or other public authority responsible for investigating or prosecuting the
violations of or for enforcing or implementing a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an
indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) To the Department of Justice when seeking legal advice, or when (a) the agency or (b) any component thereof, or (c) any employee of the
agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the Department of Justice
has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to affect the agency or
any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of
Justice is deemed by the agency to be relevant and necessary to the litigation and the use of such records by the Department of Justice is
therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records;
</p><p>(3) To a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or authority's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(4) In a proceeding before a court, adjudicative body, or other administrative body before which the agency is authorized to appear when:
(a) The agency, or (b) or any component thereof, or (c) any employee of the agency in his or her official capacity, or (d) any employee of the
agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee; or (e) the United
States, when the agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such
litigation, and the use of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding
and not otherwise privileged;
</p><p>(5) To a Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(6) To the news media in accordance with guidelines contained in 28 CFR 50.2 which pertain to an agency's functions relating to civil and
criminal proceedings;
</p><p>(7) To third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
</p><p>(8) To a public or professional licensing organization when such information indicates, either by itself or in combination with other
information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional
qualifications of an individual who is licensed or who is seeking to become licensed;
</p><p>(9) To a contractor for the purpose of compiling, organizing, analyzing, programming, processing, or otherwise refining records subject to
the same limitations applicable to U.S. Department of the Treasury officers and employees under the Privacy Act;
</p><p>(10) To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in
response to a court order;
</p><p>(11) Through a computer matching program, information on individuals owing debts to the Department of the Treasury, or any of its
components, to other Federal agencies for the purpose of determining whether the debtor is a Federal employee or retiree receiving payments
which may be used to collect the debt through administrative or salary offset;
</p><p>(12) To other Federal agencies to effect salary or administrative offset for the purpose of collecting debts, except that addresses
obtained from the IRS shall not be disclosed to other agencies;
</p><p>(13) To disclose information to a consumer reporting agency, including mailing addresses obtained from the Internal Revenue Service, to
obtain credit reports;
</p><p>(14) To a debt collection agency, including mailing addresses obtained from the Internal Revenue Service, for debt collection services;
</p><p>(15) To unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the
Merit Systems Protection Board, arbitrators, the Federal Labor Relations Authority, and other parties responsible for the administration of
the Federal labor-management program for the purpose of processing any corrective actions, or grievances, or conducting administrative
hearings or appeals, or if needed in the performance of other authorized duties;
</p><p>(16) To a public or professional auditing organization for the purpose of conducting financial audit and/or compliance audits;
</p><p>(17) To a student participating in a Treasury student volunteer program, where such disclosure is necessary to support program functions of
Treasury, and
</p><p>(18) To insurance companies or other appropriate third parties, including common carriers and warehousemen, in the course of settling an
employee's claim for lost or damaged property filed with the Department.
</p><p>(19) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures made pursuant to 5 U.S.C. 552a(b)(12): Debt information concerning a government claim against an individual may be
furnished in accordance with 5 U.S.C. 552a(b)(12) and section 3 of the Debt Collection Act of 1982 (Pub. L. 97-365) to consumer
reporting agencies to encourage repayment of an overdue debt.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper, microform and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, social security number, vendor ID number, and document number (travel form, training form, purchase order, check, invoice,
etc.).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Protection and control of sensitive but unclassified (SBU) records in this system is in accordance with TD P 71-10, Department
of the Treasury Security Manual, and any supplemental guidance issued by individual components.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Record maintenance and disposal is in accordance with National Archives and Records Administration retention schedules, and any
supplemental guidance issued by individual components.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) DO: a. Director, Financial Management Division, 1500 Pennsylvania Avenue, NW., Attn: 1310 G Street, 2nd floor, Washington, DC
20220.
</p><p>b. OIG: Assistant Inspector General for Management, 740 15th St., NW., Suite 510, Washington, DC 20220.
</p><p>c. TIGTA: Director, Finance and Accountability, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. SIGTARP: Chief Financial Officer, 1801 L Street, NW., Washington, DC 20036.
</p><p>e. CDFI Fund: Deputy Director for Management/CFO, 601 13th Street, NW., Suite 200 South, Washington, DC 20005.
</p><p>f. FFB: Chief Financial Officer, 1500 Pennsylvania Avenue, NW., South Court One, Washington, DC 20220.
</p><p>g. IA: Deputy Senior Director, Business Operations, 1500 Pennsylvania Avenue, NW., Room 5127A, Washington, DC 20220.
</p><p>h. Treasury Forfeiture Fund: Assistant Director for Financial Management/CFO, 740 15th Street, NW., Suite 700, Washington, DC 20220.
</p><p>i. Treasury Franchise Fund: Director, Division of Franchise Services, Bureau of the Public Debt, 320 Avery Street, Parkersburg, WV 26101.
</p><p>(2) TTB: Alcohol and Tobacco Tax and Trade Bureau: 1310 G St., NW., Washington, DC 20220.
</p><p>(3) IRS: Chief Financial Officer, Internal Revenue Service, 1111 Constitution Avenue, NW., Room 3013, Washington, DC 20224.
</p><p>(4) BPD: Director, Division of Financial Management, Bureau of Public Debt, Avery Street Building, 320 Avery Street, Parkersburg, WV.
</p><p>(5) OCC: Chief Financial Officer, Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219.
</p><p>(6) BEP: Chief Financial Officer, Bureau of Engraving and Printing, 14th and C Streets, NW., Room 113M, Washington, DC 20228.
</p><p>(7) FMS: Chief Financial Officer, Financial Management Service, 3700 East West Highway, Room 106A, Hyattsville, MD 20782.
</p><p>(8) Mint: Chief Financial Officer, United States Mint, 801 9th Street, NW., 7th Floor, Washington, DC 20220.
</p><p>(9) OTS: Deputy Chief Financial Officer, 1700 G Street, NW., Third Floor, Washington, DC 20552.
</p><p>(10) FinCEN: Director, P. O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .010</systemNumber>
<subsection type="systemName">Telephone Call Detail Records-Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220. The locations at which the system is maintained by
Treasury components and their associated field offices are:
</p><p>(1) Departmental Offices (DO):
</p><p>a. 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th St., NW., Suite 700A, Washington, DC 20005.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, NW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Crimes Enforcement Network (FinCEN): Vienna, Virginia 22182.
</p><p>(6) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(7) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(8) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(9) Bureau of the Public Debt (BPD): 200 Third Street, Parkersburg, WV 26101.
</p><p>(10) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals (generally agency employees and contractor personnel) who make local and/or long distance calls, individuals who received
telephone calls placed from or charged to agency telephones.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records relating to the use of Department telephones to place local and/or long distance calls, whether through the Federal
Telecommunications System (FTS), commercial systems, or similar systems; including voice, data, and videoconference usage; telephone calling
card numbers assigned to employees; records of any charges billed to Department telephones; records relating to location of Department
telephones; and the results of administrative inquiries to determine responsibility for the placement of specific local or long distance
calls. Telephone calls made to any Treasury Office of Inspector General Hotline numbers are excluded from the records maintained in this
system pursuant to the provisions of 5 U.S.C., Appendix 3, Section 7(b) (Inspector General Act of 1978).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 12 U.S.C. 93a, 12 U.S.C. 481, 5 U.S.C. 301 and 41 CFR 201-21.6.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Department, in accordance with 41 CFR 201-21.6, Use of Government Telephone Systems, established the Telephone Call Detail
program to enable it to analyze call detail information for verifying call usage, to determine responsibility for placement of specific long
distance calls, and for detecting possible abuse of the government-provided long distance network.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information from these records may be disclosed:
</p><p>(1) To representatives of the General Services Administration or the National Archives and Records Administration who are conducting
records management inspections under authority of 44 U.S.C. 2904 and 2906;
</p><p>(2) To employees or contractors of the agency to determine individual responsibility for telephone calls;
</p><p>(3) To appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for
enforcing or implementing a statute, rule, regulation, order, or license, or where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or regulation;
</p><p>(4) To a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a court order, or in connection with
criminal law proceedings where relevant and necessary;
</p><p>(5) To a telecommunications company providing telecommunication support to permit servicing the account;
</p><p>(6) To another Federal agency to effect an interagency salary offset, or an interagency administrative offset, or to a debt collection
agency for debt collection services. Mailing addresses acquired from the Internal Revenue Service may be released to debt collection agencies
for collection services, but shall not be disclosed to other government agencies;
</p><p>(7) To the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(8) In a proceeding before a court, adjudicative body, or other administrative body, before which the agency is authorized to appear when:
(a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or her individual
capacity where the Department of Justice has agreed to represent the employee; or (d) the United States, when the agency determines that
litigation is likely to affect the agency, is a party to the litigation or has an interest in such litigation, and the use of such records by
the agency is deemed relevant and necessary to the litigation or administrative proceeding and not otherwise privileged;
</p><p>(9) To a congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(10) To unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the
Merit Systems Protection Board, arbitrators, the Federal Labor Relations Authority, and other parties responsible for the administration of
the Federal labor-management program for the purpose of processing any corrective actions or grievances or conducting administrative hearings
or appeals or if needed in the performance of other authorized duties;
</p><p>(11) To the Defense Manpower Data Center (DMDC), Department of Defense, the U.S. Postal Service, and other Federal agencies through
authorized computer matching programs to identify and locate individuals who are delinquent in their repayment of debts owed to the
Department, or one of its components, in order to collect a debt through salary or administrative offsets;
</p><p>(12) In response to a Federal agency's request made in connection with the hiring or retention of an individual, issuance of a security
clearance, license, contract, grant, or other benefit by the requesting agency, but only to the extent that the information disclosed is
relevant and necessary to the requesting agency's decision on the matter.
</p><p>(13) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 522a(b)(12): Disclosures may be made from this system to "consumer reporting agencies" as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681(f)) or the Federal Claims Collections Act of 1966 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Microform, electronic media, and/or hard copy media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by: Individual name; component headquarters and field offices; by originating or terminating telephone
number; telephone calling card numbers; time of day; identification number, or assigned telephone number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Protection and control of any sensitive but unclassified (SBU) records are in accordance with TD P 71-10, Department of the
Treasury Security Manual, and any supplemental guidance issued by individual components.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with National Archives and Records Administration General Records Schedule 3. Hard copy and
microform media disposed by shredding or incineration. Electronic media erased electronically.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury: Official prescribing policies and practices--Director, Customer Services Infrastructure and
Operations, Department of the Treasury, Room 2150, 1425 New York Avenue, NW., Washington, DC 20220. The system managers for the Treasury
components are:
</p><p>(1) a. DO: Chief, Telecommunications Branch, Automated Systems Division, Room 1121, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>b. TIGTA: Director, Human Capital and Support Services, 1125 15th St., NW., Suite 700A, Washington, DC 20005.
</p><p>(2) TTB: Alcohol and Tobacco Tax and Trade Bureau: 1310 G St., NW., Washington, DC 20220.
</p><p>(3) OCC: Associate Director, Telecommunications, Systems Support Division, Office of the Comptroller of the Currency, 835 Brightseat Road,
Landover, MD 20785.
</p><p>(4) BEP: Deputy Associate Director (Chief Information Officer), Office of Information Systems, Bureau of Engraving and Printing, Room 104
-24M, 14th and C Street, SW., Washington, DC 20228.
</p><p>(5) FMS: Director, Platform Engineering Division, 3700 East West Highway, Hyattsville, MD 20782.
</p><p>(6) IRS: Official prescribing policies and practices: National Director, Operations and Customer Support, Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224. Office maintaining the system: Director, Detroit Computing Center, (DCC), 1300 John C. Lodge
Drive, Detroit, MI 48226.
</p><p>(7) Mint: Assistant Director for Information Technology, 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) BPD: Official prescribing policies and practices: Assistant Commissioner (Office of Information Technology), 200 Third Street,
Parkersburg, WV 26106-1328. Office maintaining the system: Division of Communication, 200 Third Street, Parkersburg, WV 26106-
1328.
</p><p>(9) OTS: Director, Network/Telecommunications Operations, 1700 G Street, NW., 2nd Floor, Washington, DC 20552.
</p><p>(10) FinCEN: Director, P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices A
-M.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Telephone assignment records, call detail listings, results of administrative inquiries to individual employees, contractors or
offices relating to assignment of responsibility for placement of specific long distance or local calls.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .011</systemNumber>
<subsection type="systemName">Treasury Safety and Health Information Management System (SHIMS)--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Other locations at which the system is maintained by
Treasury components and their associated field offices are:
</p><p>(1) Departmental Offices (DO):
</p><p>a. 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L Street, NW., Washington, DC 20036.
</p><p>e. Community Development Financial Institutions Fund (CDFI): 601 13th Street, NW., Washington, DC 20005.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the currency (OCC): 250 E Street, SW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): 200 Third Street, Parkersburg, WV 26101, and Avery Street Building, 320 Avery Street, Parkersburg, WV
26101.
</p><p>(9) Office of Thrift Supervision (OTS): 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and past Treasury employees and contractors who are injured on Department of the Treasury property or while in the performance
of their duties offsite. Members of the public who are injured on Department of the Treasury property are also included in the system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in this system pertain to medical injuries and occupational illnesses of employees which include social security numbers, full
names, job titles, government and home addresses (city, state, zip code), home telephone numbers, work telephone numbers, work shifts,
location codes, and gender. Mishap information on environmental incidents, vehicle accidents, property losses and tort claims will be included
also. In addition, there will be records such as results of investigations, corrective actions, supervisory information, safety
representatives names, data as to chemicals used, processes affected, causes of losses, etc. Records relating to contractors include full
name, job title, work addresses (city, state, zip code), work telephone number, location codes, and gender. Records pertaining to a member of
the public include full name, home address (city, state, zip code), home telephone number, location codes and gender. (Official compensation
claim file, maintained by the Department of Labor's Office of Workers' Compensation Programs (OWCP) is part of that agency's system of records
and not covered by this notice.)
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, Executive Order 12196, section 1-2.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records supports the development and maintenance of a Treasury-wide incident tracking and reporting system and will
make it possible to streamline a cumbersome paper process. Current web technology will be employed and facilitate obtaining real-time data and
reports related to injuries and illnesses. As an enterprise system for the Department and its component bureaus, incidents analyses can be
performed instantly to affect a more immediate implementation of corrective actions and to prevent future occurrences. Information pertaining
to past and all current employees and contractors injured on Treasury property or while in the performance of their duties offsite, as well as
members of the public injured while on Federal property, will be gathered and stored in SIMIS. This data will be used for analytical purposes
such as trend analysis, and the forecasting/projecting of incidents. The data will be used to generate graphical reports resulting from the
analyses.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose pertinent information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(3) Disclose information to the Office of Workers' Compensation Programs, Department of Labor, which is responsible for the administration
of the Federal Employees' Worker Compensation Act (FECA);
</p><p>(4) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(5) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which the Department of the
Treasury (agency) is authorized to appear when: (a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any
employee of the agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee;
or (d) the United States, when the agency determines that litigation is likely to affect the agency, is a party to litigation or has an
interest in such litigation, and the use of such records by the agency is deemed to be relevant and necessary to the litigation or
administrative proceeding and not otherwise privileged;
</p><p>(6) Disclose information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(7) Disclose information to a contractor for the purpose of processing administrative records and/or compiling, organizing, analyzing,
programming, or otherwise refining records subject to the same limitations applicable to U.S. Department of the Treasury officers and
employees under the Privacy Act;
</p><p>(8) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where relevant or potentially relevant to a proceeding;
</p><p>(9) Disclose information to unions recognized as exclusive bargaining representatives under 5 U.S.C. chapter 71, arbitrators, and other
parties responsible for the administration of the Federal labor-management program if needed in the performance of their authorized duties;
</p><p>(10) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, the Federal Labor
Relations Authority, and other parties responsible for the administration of the Federal labor management program for the purpose of
processing any corrective actions or grievances or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties;
</p><p>(11) Disclose information to a Federal, State, or local public health service agency as required by applicable law, concerning individuals
who have contracted or who have been exposed to certain communicable diseases or conditions. Such information is used to prevent further
outbreak of the disease or condition;
</p><p>(12) Disclose information to representatives of the General Services Administration (GSA) or the National Archives and Records
Administration (NARA) who are conducting records management inspections under authority of 44 U.S.C. 2904 and 2906.
</p><p>(13) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained in hardcopy and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records can be retrieved by name, or by categories listed above under "Categories of records in the system."
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Protection and control of any sensitive but unclassified (SBU) records are in accordance with TD P 7110, Department of the Treasury
Security Manual. The hardcopy files and electronic media are secured in locked rooms. Access to the records is available only to employees
responsible for the management of the system and/or employees of program offices who have a need for such information and have been subject to
a background check and/or security clearance.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the appropriate National Archives and Records Administration General Records
Schedule No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury official prescribing policies and practices: SHIMS Program Manager, Office of Environment, Safety, and
Health, Department of the Treasury, Washington, DC 20220. The system managers for the Treasury components are:
</p><p>(1) DO: a. Program Manager, Office of Environment, Safety, and Health, Room 6000 Annex, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. OIG: Safety and Occupational Health Manager, 740 15th Street, NW., Washington, DC 20220.
</p><p>c. TIGTA: Director, Human Capital and Support Services, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. CDFI: Safety and Occupational Health Manager, 601 13th Street, NW., Washington, DC 20005.
</p><p>(2) TTB: Alcohol and Tobacco Tax and Trade Bureau: 1310 G St., NW., Washington, DC 20220.
</p><p>(3) OCC: Safety and Occupational Health Manager, 250 E Street, SW., Washington, DC 20219-0001.
</p><p>(4) BEP: Safety and Occupational Health Manager, 14th &amp; C Streets, SW., Washington, DC 20228.
</p><p>(5) FMS: Safety and Occupational Health Manager, PG 3700 East-West Highway, Hyattsville, MD 20782.
</p><p>(6) IRS: Safety and Occupational Health Manager, 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) MINT: Safety and Occupational Health Manager, 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) BPD: Administrative Support Branch Manager, 200 Third Street, Parkersburg, WV 26101, and Avery Street Building, 320 Avery Street,
Parkersburg, WV 26101.
</p><p>(9) OTS: Director, Facilities Management, 1700 G Street, NW., Washington, DC 20552.
</p><p>(10) FinCEN: Safety and Occupational Health Manager, P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendices, A
-L.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from current Treasury employees, contractors, members of the public, witnesses, medical providers, and
relevant industry experts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .012</systemNumber>
<subsection type="systemName">Fiscal Service Public Key Infrastructure--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system of records is located at:
</p><p>(1) The Bureau of the Public Debt (BPD), U.S. Department of the Treasury, in Parkersburg, WV, and,
</p><p>(2) The Financial Management Service (FMS), U.S. Department of the Treasury, Washington, DC, and Hyattsville, MD. The system managers
maintain the system location of these records.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Digital certificates may be issued to any of the following individuals: A Federal agency certifying officer who authorizes vouchers
for payment; Federal employees who approve the grantees' accounts; an individual authorized by a state or grantee organization to conduct
business with the Fiscal Service; employees of the Fiscal Service; fiscal agents; and contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains information needed to establish accountability and audit control of digital certificates. It also contains records
that are needed to authorize an individual's access to a Treasury network. Depending on the service(s) requested by the customer, information
may also include:
</p><p>Personal identifiers--name, including previous name used, and aliases; organization, employer name and address; Social Security
number, Tax Identification Number; physical and electronic addresses; telephone, fax, and pager numbers; bank account information (name, type,
account number, routing/transit number); Federal-issued photograph ID; driver's license information or state ID information (number, state,
and expiration date); military ID information (number, branch, expiration date); or passport/visa information (number, expiration date, and
issuing country).
</p><p>Authentication aids--personal identification number, password, account number, shared-secret identifier, digitized signature, other
unique identifier.
</p><p>The system contains records on public key data related to the customer, including the creation, renewal, replacement or revocation of
digital certificates, including evidence provided by applicants for proof of identity and authority, sources used to verify an applicant's
identity and authority, and the certificates issued, denied and revoked, including reasons for denial and revocation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 31 U.S.C. 321, and the Government Paperwork Elimination Act, Pub. L. 105-277.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>We are establishing the Fiscal Service Public Key Infrastructure System to:
</p><p>(1) Use electronic transactions and authentication techniques in accordance with the Government Paperwork Elimination Act;
</p><p>(2) Facilitate transactions involving the transfer of information, the transfer of funds, or where parties commit to actions or contracts
that may give rise to financial or legal liability, where the information is protected under the Privacy Act of 1974, as amended;
</p><p>(3) Maintain an electronic system to facilitate secure, on-line communication between Federal automated systems, and between Federal
employees or contractors, by using digital signature technologies to authenticate and verify identity;
</p><p>(4) Provide mechanisms for non-repudiation of personal identification and access to Treasury systems including, but not limited to SPS and
ASAP; and
</p><p>(5) Maintain records relating to the issuance of digital certificates utilizing public key cryptography to employees and contractors for
purpose of the transmission of sensitive electronic material that requires protection.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Congressional offices in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(2) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing
or implementing a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of a potential violation of civil or
criminal law or regulation;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in
response to a court order;
</p><p>(4) A Federal, State, local or other public authority maintaining civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or authority's, hiring
or retention of an individual, or issuance of a security clearance, license, contract, grant or other benefit;
</p><p>(5) Agents or contractors who have been engaged to assist the Department in the performance of a service related to this system of records
and who need to have access to the records in order to perform the activity;
</p><p>(6) The Department of Justice when seeking legal advice or when (a) the Department of the Treasury or (b) the disclosing agency, or (c) any
employee of the disclosing agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where
the Department of Justice has agreed to represent the employee, or (e) the United States, where the disclosing agency determines that
litigation is likely to affect the disclosing agency, is a party to litigation or has an interest in such litigation, and the use of such
records by the Department of Justice is deemed by the agency to be relevant and necessary to the litigation; and
</p><p>(7) Representatives of the National Archives and Records Administration (NARA) who are conducting records management inspections under
authority of 44 U.S.C. 2904 and 2906.
</p><p>(8) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on electronic media, multiple client-server platforms that are backed-up to magnetic tape or other storage
media, and/or hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, alias name, Social Security number, Tax Identification Number, account number, or other unique
identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are maintained in controlled access areas. Identification cards are verified to ensure that only authorized personnel
are present. Electronic records are protected by restricted access procedures, including the use of passwords and sign-on protocols which are
periodically changed. Only employees whose official duties require access are allowed to view, administer, and control these records. Copies
of records maintained on computer have the same limited access as paper records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with National Archives and Records Administration retention schedules. Paper and microform
records ready for disposal are destroyed by shredding or maceration. Records in electronic media are electronically erased using accepted
techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Assistant Commissioner, Office of Information Technology, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26101, and,
</p><p>(2) Assistant Commissioner, Information Resources, and Chief Information Officer, Financial Management Service, 3700 East West Highway,
Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C:
</p><p>Appendix I for records within the custody of the Bureau of the Public Debt, and,
</p><p>Appendix G for records within the custody of the Financial Management Service.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in this system is provided by or verified by the subject individual of the record, as well as Federal and
non-Federal sources such as private employers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber> .013</systemNumber>
<subsection type="systemName">Department of the Treasury Civil Rights Complaints and Compliance Review Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located in the Department of the Treasury's (Treasury) Office of Civil Rights and Diversity (OCRD), the Office of
the General Counsel, and any other office within a Treasury bureau where a complaint is filed or where the action arose.
</p><p>The locations at which the system is maintained are:
</p><p>(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General (OIG): 740 15th Street, NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration (TIGTA): 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program (SIGTARP), 1801 L. Street, NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G. St., NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency (OCC): 250 E Street, NW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing (BEP): 14th &amp; C Streets, SW. Washington, DC 20228.
</p><p>(5) Financial Management Service (FMS): 401 14th Street, SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW., Washington, DC 20224.
</p><p>(7) United States Mint (MINT): 801 9th Street, NW., Washington, DC 20220.
</p><p>(8) Bureau of the Public Debt (BPD): 999 E Street, NW., Washington, DC 20239.
</p><p>(9) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Covered individuals include persons who file complaints alleging discrimination or violation of their rights under the statutes
identified below (Authority for Maintenance) and covered entities (<i>e.g.,</i> recipients of financial assistance from Treasury such as
grantees and sub-grantees), whether individuals, organizations or institutions, investigated by OCRD as a result of allegations of
discrimination or through compliance reviews conducted by OCRD. Covered individuals also include persons who submit correspondence to OCRD
related to other compliance activities (<i>e.g.,</i> outreach and public education), and other correspondence unrelated to a complaint or
review and requiring response by OCRD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system encompasses a variety of records having to do with complaints, compliance reviews, and correspondence. The complaint files
and log include complaint allegations, information gathered during the complaint investigation, findings and results of the investigation, and
correspondence relating to the investigation, as well as status information for all complaints.
</p><p>Equivalent types of information are maintained for reviews and correspondence activities (namely information gathered, findings, results,
correspondence and status).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title VI of the 1964 Civil Rights Act of 1964; sections 504 and 508 of the Rehabilitation Act of 1973; the Age Discrimination Act of
1975; and Title IX of the Education Amendments Act of 1972.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The complaint files and other records will be used to enforce and ensure compliance with the legal authorities listed above. Treasury
uses the information in this system to investigate complaints and to obtain compliance with civil rights laws.
</p><p>The system is used for the investigation of complaints and in reviewing recipients of Treasury financial assistance to determine if these
programs are in compliance with the Federal laws which prohibit discrimination on the basis of race, color, national origin, sex, age, and
disability. In addition, the system contains case files developed in investigating complaints and in reviewing actions within Treasury to
determine if its conducted programs and activities are in compliance with the Federal laws. The system also contains annual and bi-annual
statistical data submitted to and used by the OCRD in monitoring the compliance status of recipients of Department of the Treasury financial
assistance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose pertinent information to:
</p><p>1. Appropriate Federal agencies responsible for a civil rights action or, prosecuting a violation of, or enforcing, or implementing, a
statute, rule, regulation, or order, where Treasury becomes aware of an indication of a potential violation of civil or criminal law or
regulation, rule or order.
</p><p>2. Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>3. Another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a
Federal agency, when the Federal Government is a party to the judicial or administrative proceeding. In those cases where the Federal
Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a court of competent jurisdiction.
</p><p>4. The National Archives and Records Administration ("NARA") for use in its records management inspections and its role as an
Archivist.
</p><p>5. The United States Department of Justice for the purpose of representing or providing legal advice to Treasury in a proceeding before a
court, adjudicative body, or other administrative body before which Treasury is authorized to appear, when such proceeding involves:
</p><p>(A) Treasury or any component thereof;
</p><p>(B) Any employee of Treasury in his or her official capacity;
</p><p>(C) Any employee of Treasury in his or her individual capacity where the Department of Justice or Treasury has agreed to represent the
employee;
</p><p>(D) The United States, when Treasury determines that litigation is likely to affect Treasury or any of its components.
</p><p>6. Contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for Treasury, when necessary to accomplish an agency function related to this system of records.
Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on disclosure as are
applicable to Treasury officers and employees.
</p><p>7. Appropriate agencies, entities, and persons when: (a) Treasury suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) Treasury has determined that as a result of the suspected or confirmed
compromise that there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of
this system or other systems or programs (whether maintained by Treasury or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with
Treasury's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records, file folders and/or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>In the case of administrative complaints, records are indexed by the complainant's name. In the case of compliance reviews, records
are indexed by the name of the recipient of financial assistance.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The civil rights complaint and compliance file system will conform to applicable law and policy governing the privacy and security of
Federal records. These include but are not limited to the Privacy Act of 1984, and the Paperwork Reduction Act of 1995. Only authorized users
have access to the records in the system. Specific access is structured around need and is determined by the person's role in the
organization.
</p><p>Printed materials are filed in secure cabinets in secure Federal buildings with access based on need.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Documents related to complaints and reviews are retained at OCRD for three years from the date the complaint is closed and then are
archived at the National Archives and Records Administration for 15 years. Correspondence is retained for one year following the end of the
fiscal year in which processed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury: Official prescribing policies and practices: Associate Chief Human Capital Officer for Civil Rights and
Diversity.
</p><p>The system managers for the Treasury components are:
</p><p>(1) Treasury: OCRD, External Civil Rights Program Manager, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>(2) a. DO: Office of EEO, EEO Director, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>b. OIG: EEO and Diversity Manager, 740 15th Street, NW., Suite 500, Washington, DC 20220.
</p><p>c. TIGTA: EEO Program Manager, 1125 15th Street, NW., Suite 700A, Washington, DC 20005.
</p><p>d. SIGTARP: EEO Program Manager, 1801 L Street, NW., 3rd Floor, Washington, DC 20220.
</p><p>(3) TTB: EEO Officer, 1310 G Street, NW., Suite 300W, Washington, DC 20220.
</p><p>(4) OCC: Director, Workplace Fairness and Equal Opportunity, 250 E Street, SW., Washington, DC 20219.
</p><p>(5) BEP: Chief, Office of Equal Opportunity and Diversity Management, 14th and C Street, SW., Room 639-17, Washington, DC 20228.
</p><p>(6) FMS: EEO Officer, PG Center, Building 2, Room 137, 3700 East-West Highway, Hyattsville, MD 20782.
</p><p>(7) IRS: Director, Civil Rights Division, 1111 Constitution Avenue, NW., Suite 2219, Washington, DC 20224.
</p><p>(8) U.S. Mint: Chief, EEO and Dispute Resolution Division, 801 9th Street, NW., 3rd Floor, Washington, DC 20220.
</p><p>(9) BPD: EEO Officer, 200 3rd Street, Room 102, Parkersburg, WV 26106.
</p><p>(10) FinCEN: Chief, Outreach and Workplace Solutions, 2070 Chain Bridge Road, Suite 200, Vienna, VA 22182.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendices A-M. Requests for information and
specific guidance on where to send requests for records may be addressed to: Privacy Act Request, DO, Director, Disclosure Services Department
of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by Treasury employees, complainants and covered entities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Certain records in this system are exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H),and (I), and (f)
of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .003</systemNumber>
<subsection type="systemName">Law Enforcement Retirement Claims Records--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located in the Office of Human Capital Strategic Management, Suite 1200, 1750 Pennsylvania Avenue, NW., Department
of the Treasury, Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current or former Federal employees who have submitted claims for law enforcement retirement coverage (claims) with their bureaus in
accordance with 5 U.S.C. 8336(c)(1) and 5 U.S.C. 8412(d).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system contains records relating to claims filed by current and former Treasury employees under 5 U.S.C. 8336(c)(1) and 5 U.S.C.
8412(d). These case files contain all documents related to the claim including statements of witnesses, reports of interviews and hearings,
examiner's findings and recommendations, a copy of the original and final decision, and related correspondence and exhibits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 8336(c)(1), 8412(d), 1302, 3301, and 3302; E.O. 10577; 3 CFR 1954-1958 Comp., p. 218 and 1959-1963 Comp., p. 519;
and E.O. 10987.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system is to make determinations concerning requests by Treasury employees that the position he or she holds
qualifies as a law enforcement position for the purpose of administering employment and retirement benefits.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used:
</p><p>(1) To disclose pertinent information to the appropriate Federal, state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation;
</p><p>(2) To disclose information to any source from which additional information is requested in the course of processing a claim, to the extent
necessary to identify the individual whose claim is being adjudicated, inform the source of the purpose(s) of the request, and identify the
type of information requested;
</p><p>(3) To disclose information to a Federal agency, in response to its request, in connection with the hiring or retention of an individual,
the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the
letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is
relevant and necessary to requesting the agency's decision on the matter;
</p><p>(4) To provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) To disclose information which is necessary and relevant to the Department of Justice or to a court when the Government is party to a
judicial proceeding before the court;
</p><p>(6) To provide information to the National Archives and Records Administration for use in records management inspections conducted under
authority of 44 U.S.C. 2904 and 2908;
</p><p>(7) To disclose information to officials of the Merit Systems Protection Board, the Office of the Special Counsel, the Federal Labor
Relations Authority, the Equal Employment Opportunity Commission, or the Office of Personnel Management when requested in performance of their
authorized duties;
</p><p>(8) To disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures
to opposing Counsel or witnesses in the course of civil discovery, litigation or settlement negotiations in response to a court order where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings; and
</p><p>(9) To provide information to officials of labor organizations recognized under the Civil Service Reform Act when relevant and necessary to
their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.
</p><p>(10) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the names of the individuals on whom they are maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Lockable metal filing cabinets to which only authorized personnel have access. Automated databases are password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposed of after closing of the case in accordance with General Records Schedule 1, Civilian Personnel Records, Category 7d.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Human Capital Strategic Management, Suite 1200, 1750 Pennsylvania Avenue, NW., Department of the Treasury,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>It is required that individuals submitting claims be provided a copy of the record under the claims process. They may, however,
contact the agency personnel or designated office where the action was processed, regarding the existence of such records on them. They must
furnish the following information for their records to be located and identified: (1) Name, (2) date of birth, (3) approximate date of closing
of the case and kind of action taken, (4) organizational component involved.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>It is required that individuals submitting claims be provided a copy of the record under the claims process. However, after the action
has been closed, an individual may request access to the official copy of the claim file by contacting the system manager. Individuals must
provide the following information for their records to be located and identified: (1) Name, (2) date of birth, (3) approximate date of closing
of the case and kind of action taken, (4) organizational component involved.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Review of requests from individuals seeking amendment of their records which have been the subject of a judicial or quasi-judicial
action will be limited in scope. Review of amendment requests of these records will be restricted to determining if the record accurately
documents the action of the agency ruling on the case, and will not include a review of the merits of the action, determination, or finding.
Individuals wishing to request amendment to their records to correct factual errors should contact the system manager. Individuals must
furnish the following information for their records to be located and identified: (1) Name, (2) date of birth, (3) approximate date of closing
of the case and kind of action taken, (4) organizational component involved.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is provided: (1) By the individual on whom the record is maintained, (2) by testimony of
witnesses, (3) by agency officials, (4) from related correspondence from organizations or persons.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .007</systemNumber>
<subsection type="systemName">General Correspondence Files--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Departmental Offices, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Components of this record system
are in the following offices within the Departmental Offices:
</p><p>1. Office of Foreign Assets Control.
</p><p>2. Office of Tax Policy.
</p><p>3. Office of International Affairs.
</p><p>4. Office of the Executive Secretariat.
</p><p>5. Office of Legislative Affairs.
</p><p>6. Office of Terrorism and Financial Intelligence.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members of Congress, U.S. Foreign Service officials, officials and employees of the Treasury Department, officials of municipalities
and State governments, and the general public, foreign nationals, members of the news media, businesses, officials and employees of other
Federal Departments and agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Incoming correspondence and replies pertaining to the mission, function, and operation of the Department, tasking sheets, and internal
Treasury memorandum.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The manual systems and/or electronic databases (<i>e.g.,</i> Treasury Automated Document System (TADS)) used by the system managers
are to manage the high volume of correspondence received by the Departmental Offices and to accurately respond to inquiries, suggestions,
views and concerns expressed by the writers of the correspondence. It also provides the Secretary of the Treasury with sentiments and
statistics on various topics and issues of interest to the Department.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(2) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings;
</p><p>(3) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114;
</p><p>(4) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(5) Provide information to appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license;
</p><p>(6) Provide information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings, and
</p><p>(7) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records, file folders and magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of individual or letter number, address, assignment control number, or organizational relationship.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is limited to authorized personnel with a direct need to know. Rooms containing the records are locked after business hours.
Some folders are stored in locked file cabinets in areas of limited accessibility except to employees. Others are stored in electronically
secured areas and vaults. Access to electronic records is by password.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Some records are maintained for three years, then destroyed by burning. Other records are updated periodically and maintained as long
as needed. Some electronic records are periodically updated and maintained for two years after date of response; hard copies of those records
are disposed of after three months in accordance with the NARA schedule. Paper records of the Office of the Executive Secretary are stored
indefinitely at the Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>1. Director, Office of Foreign Assets Control, U.S. Treasury Department, Room 2233, Treasury Annex, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
</p><p>2. Freedom of Information Act Officer, Office of Tax Policy, U.S. Treasury Department, Room 5037G-MT, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
</p><p>3. Senior Director, International Affairs Business Office, U.S. Treasury Department, Room 4456-MT, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
</p><p>4. Director, VIP Correspondence, Office of the Executive Secretariat, U.S. Treasury Department, Room 3419-MT, Washington, DC 20220.
</p><p>5. Deputy to the Assistant Secretary, Office of Legislative Affairs, U.S. Treasury Department, Room 3464-MT, Washington, DC 20220.
</p><p>6. Senior Resource Manager, Office of Terrorism and Financial Intelligence, U.S. Department of the Treasury, Room 4006, Washington, DC
20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, or to gain access to records maintained in this system
may inquire in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Individuals must submit a written request
containing the following elements: (1) Identify the record system; (2) identify the category and type of records sought; and (3) provide at
least two items of secondary identification (date of birth, employee identification number, dates of employment or similar information).
Address inquiries to Director, Disclosure Services (<i>see</i> "Record access procedures" below).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Members of Congress or other individuals who have corresponded with the Departmental Offices, other governmental agencies (Federal,
state and local), foreign individuals and official sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .010</systemNumber>
<subsection type="systemName">Office of Domestic Finance, Actuarial Valuation System--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Departmental Offices, Office of Government Financing, Office of Policy and Legislative Review, 1120 Vermont Avenue, NW., Washington,
DC 20005.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Participants and beneficiaries of the Foreign Service Retirement and Disability System and the Foreign Service Pension System. Covered
employees are located in the following agencies: Department of State, Department of Agriculture, Agency for International Development, Peace
Corps, and the Department of Commerce.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information in the system is as follows: Active Records: Name; social security number; salary; category-grade; pay-plan; department-
class; year of entry into system; service computation date; year of birth; year of resignation or year of death, and refund if any.
</p><p>Retired Records: Same as actives; annuity; year of separation; cause of separation (optional, disability, deferred, etc.); years and months
of service by type of service; marital status; spouse's year of birth; annuitant type; principal's year of death; number of children on
annuity roll; children's years of birth and annuities.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>22 U.S.C. 4058 and 22 U.S.C. 4071h.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>22 U.S.C. 4058 and 22 U.S.C. 4071h require that the Secretary of the Treasury prepare estimates of the annual appropriations required
to be made to the Foreign Service Retirement and Disability Fund. The Secretary of the Treasury is also required, at least every five years,
to prepare valuations of the Foreign Pension System and the Foreign Service Retirement and Disability System. In order to satisfy this
requirement, participant data must be collected so that liabilities for the Foreign Service Retirement and Disability System and the Foreign
Service Pension System can be actuarially determined.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Data regarding specific individuals is released only to the contributing agency for purposes of verification, and
</p><p>(2) Other information may be disclosed to appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed
that the security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Data is stored electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to select employees of the Office of Government Financial Policy. Passwords are required to access the data.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained on a multiple year basis in order to perform actuarial experience studies.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Policy and Legislative Review, Departmental Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to records maintained in this system, seek
to contest its content, must submit a written request containing the following elements: (1) Identify the record system; (2) identify the
category and type of records sought; and (3) provide at least two items of secondary identification (date of birth, employee identification
number, dates of employment or similar information). Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Data for actuarial valuation are provided by organizations responsible for pension funds and pay records, namely the Department of
State and the National Finance Center.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .014</systemNumber>
<subsection type="systemName">Department of the Treasury SharePoint User Profile Services
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located in the Department of the Treasury's (Treasury) Office of Privacy, Transparency, and Records, and any other
office within a Treasury bureau where the data was entered on the site. The locations at which the system is maintained are:
</p><p>(1) a. Departmental Offices: 1500 Pennsylvania Ave. NW., Washington, DC 20220.
</p><p>b. The Office of Inspector General: 740 15th Street NW., Washington, DC 20220.
</p><p>c. Treasury Inspector General for Tax Administration: 1125 15th Street NW., Suite 700A, Washington, DC 20005.
</p><p>d. Special Inspector General for the Troubled Asset Relief Program, 1801 L Street NW., Washington, DC 20036.
</p><p>(2) Alcohol and Tobacco Tax and Trade Bureau: 1310 G Street NW., Washington, DC 20220.
</p><p>(3) Office of the Comptroller of the Currency: 250 E Street NW., Washington, DC 20219-0001.
</p><p>(4) Bureau of Engraving and Printing: 14th &amp; C Streets SW., Washington, DC 20228.
</p><p>(5) Fiscal Services: 401 14th Street SW., Washington, DC 20227.
</p><p>(6) Internal Revenue Service: 1111 Constitution Avenue NW., Washington, DC 20224.
</p><p>(7) United States Mint: 801 9th Street NW., Washington, DC 20220.
</p><p>(8) Financial Crimes Enforcement Network: 2070 Chain Bridge Road, Vienna, VA 22183.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Treasury employees, detailees, contractors, and interns.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; name of department/office/bureau; job title; office work and cell phone numbers; work email address; office fax number; office
building location; assistant/alternate point of contact (optional); phonetic name (optional); skills/experience (optional); educational
background (optional); status message (optional), and photograph (optional).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to create a central platform through which Treasury and its bureaus' employees, detailees, contractors,
and interns may collaborate and exchange information in order to increase operational efficiency.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, foreign, state, local, tribal, or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, enforcing, or implementing, a statute, rule, regulation, order,
or license, where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or
regulation;
</p><p>(2) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a court order, or in
connection with criminal law proceedings or mediation/alternative dispute resolution;
</p><p>(3) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to the United States Department of Justice for the purpose of representing or providing legal advice to Treasury
in a proceeding before a court, adjudicative body, or other administrative body before which Treasury is authorized to appear, when such
proceeding involves:
</p><p>(A) Treasury or any component thereof;
</p><p>(B) Any employee of Treasury in his or her official capacity;
</p><p>(C) Any employee of Treasury in his or her individual capacity where the Department of Justice or Treasury has agreed to represent the
employee;
</p><p>(D) The United States, when Treasury determines that litigation is likely to affect Treasury or any of its components.
</p><p>(5) Disclose information to contractors and their agents, experts, consultants, and others performing or working on a contract, service,
grant, cooperative agreement, or other assignment for Treasury, when necessary to accomplish an agency function related to this system of
records;
</p><p>(7) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
electronic records are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name; department; name of office/bureau; job title; manager/supervisor; office work and cell phone; work
email address; office fax number; office building location; assistant/alternate point of contact; phonetic name; skills/experience;
educational background; and status message.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is being
stored. Access to the type and amount of data is governed by privilege management software and policies developed and enforced by federal
government personnel and are determined by specific roles and responsibilities. Procedural and physical safeguards, such as personal
accountability, will be utilized. Certified system management personnel are responsible for maintaining the system integrity and the data
confidentiality.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>To the extent there are records identified, they will be destroyed in accordance with the appropriate disposition schedule approved by
the National Archives and Records Administration. Non-record material will be removed when no longer deemed necessary by the system owner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>a. Deputy Assistant Secretary for Information Technology and Chief Information Officer, 1500 Pennsylvania Avenue NW., Washington, DC
20020;
</p><p>b. Deputy Assistant Secretary for Privacy, Transparency, and Records, 1500 Pennsylvania Avenue NW., Washington, DC 20020.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, Subpart C, Appendices A-M. Requests for information and
specific guidance on where to send requests for records may be addressed to: Privacy Act Request, DO, Director, Disclosure Services,
Department of the Treasury, 1500 Pennsylvania Avenue NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from Active Directory, Treasury employees, detailees, contractors, and interns.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .015</systemNumber>
<subsection type="systemName">Political Appointee Files--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, Departmental Offices, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who may possibly be appointed to political positions in the Department of the Treasury, consisting of Presidential
appointees requiring Senate confirmation; non-career Senior Executive Service appointees; and Schedule C appointees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Files may consist of the following: Referral letters; White House clearance letters; information about an individual's professional
licenses (if applicable); IRS results of inquiries; notation of National Agency Check (NAC) results (favorable or otherwise); internal
memoranda concerning an individual; Financial Disclosure Statements
(Standard Form 278); results of inquiries about the individual; Questionnaire for National Security Positions Standard Form 86; Personal Data
Statement and General Counsel Interview sheets; published works including books, newspaper and magazine articles, and treatises by the
individual; newspaper and magazine articles written about or referring to the individual; and or articles containing quotes by the individual,
and other correspondence relating to the selection and appointment of political appointees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 3301, 3302 and E.O. 10577.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are used by authorized personnel within the Department to determine a potential candidate's suitability for appointment
to non-career positions within the Department of the Treasury.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) The Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, and General Accounting
Office for the purpose of properly administering Federal personnel systems or other agencies' systems in accordance with applicable laws,
Executive Orders, and regulations;
</p><p>(2) A Federal, state, local or foreign agency maintaining civil, criminal or other relevant enforcement information or other pertinent
information which has requested information relevant to or necessary to the requesting agency's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation or settlement negotiations in response to a court order where relevant or potentially
relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(4) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(5) Third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
</p><p>(6) Appropriate Federal, state, local or foreign agencies responsible for investigating or prosecuting the violation of, or for
implementing a statute, regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation, and
</p><p>(7) To appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Correspondence and forms in file folders. Records are also maintained in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information accessed by last name of individual and Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Building employs security guards. Data is kept in locked file cabinets and is accessible to authorized personnel only. Electronic
media is password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are destroyed at the end of the Presidential administration during which the individual is hired. For non-selectees, records
of individuals who are not hired are destroyed one year after the file is closed, but not later than the end of the Presidential
administration during which the individual is considered.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>White House Liaison, Department of the Treasury, Rm 3418, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be informed if they are named in this system or gain access to records maintained in the system must submit a
written, signed request containing the following elements: (1) Identify the record system; (2) identify the category and type of records
sought; and (3) provide at least two items of secondary identification (date of birth, employee identification number, dates of employment, or
similar information). Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Record Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Record Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are submitted by the individuals and compiled from interviews with those individuals seeking non-career positions. Additional
sources may include the White House, Office of Personnel Management, Internal Revenue Service, Department of Justice and international, state,
and local jurisdiction law enforcement components for clearance documents, and other correspondence and public record sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .060</systemNumber>
<subsection type="systemName">Correspondence Files and Records on Dissatisfaction--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Human Capital Strategic Management, Suite 1200, 1750 Pennsylvania Avenue, NW., Department of the Treasury, Washington, DC
20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Former and current Department employees who have submitted complaints to the Office of Human Resources Strategy and Solutions (HRSS)
or whose correspondence concerning a matter of dissatisfaction has been referred to HRSS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence dealing with former and current employee complaints.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain a record of correspondence related to inquiries filed with the Departmental Office of Human Resources Strategy and
Solutions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, state, and local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency
becomes aware of an indication of a violation or potential civil or criminal law or regulation;
</p><p>(2) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(3) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114;
</p><p>(4) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation, and
</p><p>(5) To appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders, file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By bureau and employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Maintained in filing cabinet and released only to Office of Personnel staff or other Treasury officials on a need-to-know basis.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with Department of the Treasury Directive 25-02, "Records Disposition
Management Program" and the General Records Schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Human Capital Strategic Management, Department of the Treasury, Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Persons inquiring as to the existence of a record on themselves may contact: Director, Human Capital Strategic Management, Suite 1200,
1750 Pennsylvania Avenue, NW., Department of the Treasury, Washington, DC 20220. The inquiry must include the individual's name and employing
bureau.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons seeking access to records concerning themselves may contact: Office of Human Resources Strategy and Solutions, Suite 1200,
1750 Pennsylvania Avenue, NW., Department of the Treasury, Washington, DC 20220. The inquiry must include the individual's name and employing
bureau.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals wishing to request amendment to their records to correct factual error should contact the Director, Office of Human
Resources Strategy and Solutions at the address shown in Access, above. They must furnish the following information: (a) Name; (b) employing
bureau; (c) the information being contested; (d) the reason why they believe information is untimely, inaccurate, incomplete, irrelevant, or
unnecessary.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Current and former employees, and/or representatives, employees' relatives, general public, Congressmen, the White House, management
officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .120</systemNumber>
<subsection type="systemName">Records Related to Office of Foreign Assets Control Economic Sanctions.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Foreign Assets Control (OFAC), Treasury Annex, Washington, DC 20220 or other U.S. Government facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>A system of records within Treasury's Departmental Offices exists to manage records related to the implementation, enforcement, and
administration of U.S. economic sanctions. This includes records and information relating to individuals who:
</p><p>(1) Are or have been subject to investigation to determine whether they meet the criteria for designation or blocking and/or are determined
to be designated or blocked individuals or otherwise subject to sanctions under the sanctions programs administered by OFAC, or with respect
to whom information has been obtained by OFAC in connection with such an investigation;
</p><p>(2) Have engaged in or are suspected of having engaged in transactions and activities prohibited by Treasury Department regulations found
at 31 CFR part 1, subpart B, chapter V, relevant statutes, and related Executive orders or proclamations, or with respect to whom information
has been obtained by OFAC in connection with an investigation of such transactions and activities;
</p><p>(3) Are applicants for permissive and authorizing licenses or already hold valid licenses under Treasury Department regulations, relevant
statutes, and related Executive orders or proclamations;
</p><p>(4) Hold blocked assets. Although most persons (individuals and entities) reporting the holding of blocked assets or persons holding
blocked assets are not individuals, such reports and censuses conducted by OFAC identify a small number of U.S. individuals as holders of
assets subject to U.S. jurisdiction which are blocked under the various sets of Treasury Department regulations involved, relevant statutes,
and related Executive orders or proclamations; or
</p><p>(5) Have submitted claims received, reviewed, and/or processed by OFAC for payment determination pursuant to Section 2002 of the Victims of
Trafficking and Violence Protection Act of 2000 (Pub. L. 106-386, Section 2002).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records related to the implementation, enforcement, and administration of U.S. sanctions programs, including records related to:
</p><p>(1) Investigations to determine whether an individual meets the criteria for designation or blocking and/or is determined to be a
designated or blocked individual or otherwise affected by one or more sanctions programs administered by OFAC. In the course of an
investigation, personally identifiable information is collected. Once an individual is designated, OFAC provides personally identifiable
information to the public so that it can recognize listed individuals and prevent them from accessing the U.S. financial system. The release
of personally identifiable information pertaining to the designee is also important in helping to protect other individuals from being
improperly identified as the sanctioned target. The personally identifiable information collected by OFAC may include, but is not limited to,
names and aliases, dates of birth, citizenship information, addresses, identification numbers associated with government-issued documents,
such as drivers license and passport numbers, and for U.S. individuals, Social Security numbers;
</p><p>(2) Suspected or actual violations of regulations, relevant statutes, and related Executive orders or proclamations administered by OFAC;
</p><p>(3) Applications for OFAC licenses--with attendant supporting documentary material and copies of licenses issued--related to
engaging in activities with designated entities and individuals or other activities that otherwise would be prohibited by relevant statutes,
regulations, and Executive orders or proclamations administered by OFAC, including reports by individuals and entities currently holding
Treasury licenses concerning transactions which the license holder has conducted pursuant to the licenses;
</p><p>(4) Reports and censuses of assets blocked or held by U.S. individuals and entities which have been blocked at any time since 1940 pursuant
to Treasury Department regulations found at 31 CFR part 1, subpart B, chapter V, relevant statutes, and related Executive orders or
proclamations; or
</p><p>(5) Submitted claims received, reviewed, and/or processed by OFAC for payment determinations pursuant to Section 2002 of the Victims of
Trafficking and Violence Protection Act of 2000 (Pub. L. 106-386).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>3 U.S.C. 301; 50 U.S.C. App. 1-44; 21 U.S.C. 1901-1908; 8 U.S.C. 1182; 18 U.S.C. 2339B; 22 U.S.C. 287c; 31 U.S.C. 321(b);
50 U.S.C. 1601-1651; 50 U.S.C. 1701-1706; Pub. L. 110-286, 122 Stat. 2632; 22 U.S.C. 2370(a); Pub. L. 108-19, 117
Stat. 631; Pub. L. 106-386 &#167; 2002; Pub. L. 108-175, 117 Stat. 2482; Pub. L. 109-344, 120 Stat. 1869; 31 CFR
Chapter V.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records exists within Treasury's Departmental Offices to manage records related to the implementation, enforcement, and
administration of U.S. economic sanctions by OFAC. Included in this system of records are records:
</p><p>(1) Relating to investigations into whether individuals and entities meet the criteria for economic sanctions under U.S. sanctions programs
administered by OFAC. This portion of the system of records may be used during enforcement, designation, blocking, and other investigations,
when applicable. These records are also used to produce the publicly issued List of Specially Designated Nationals and Blocked Persons (SDN
List). The SDN List is used to publish information that will assist the public in identifying individuals and entities whose property and
interests in property are blocked or otherwise affected by one or more sanctions programs administered by OFAC, as well as information
identifying certain property of individuals and entities that are subject to OFAC economic sanctions programs, such as vessels.
</p><p>(2) Relating to investigations of individuals and entities suspected of violating statutes, regulations, or Executive orders administered
by OFAC. Possible violations may relate to financial, commercial, or other transactions with persons with respect to whom sanctions have been
imposed, including but not limited to foreign governments, blocked persons (entities and individuals), and specially designated nationals
(entities and individuals). OFAC conducts civil investigations of possible violations. When it determines that a violation has occurred, OFAC
issues a civil penalty or takes other administrative action, when appropriate. Criminal investigations of possible violations are conducted by
relevant U.S. law enforcement agencies. OFAC refers criminal matters to those agencies and otherwise exchanges information with them in order
to support the investigation and prosecution of possible violations. Records of enforcement investigations and resulting administrative
actions are also used to generate statistical information. (3) Containing requests from U.S. and foreign individuals or entities for licenses
to engage in commercial or humanitarian transactions, to unblock property and bank accounts, or to engage in other activities otherwise
prohibited under economic sanctions administered by OFAC. This also includes information collected in the course of determining whether to
issue a license and ensuring its proper use, as well as reports by individuals and entities currently holding Treasury licenses concerning
transactions which the license holder has conducted pursuant to the licenses. This portion of the system of records may be used during
enforcement investigations, to ascertain whether there is compliance with the conditions of ongoing OFAC licenses, and to generate information
used in reports on the number and types of licenses granted or denied under particular sanctions programs.
</p><p>(4) Used to identify and administer assets of blocked foreign governments, groups, entities, or individuals. OFAC receives reports of asset
blocking actions by U.S. entities and individuals when assets are blocked under the sanctions programs OFAC administers; when censuses are
undertaken at various times for specific sanctions programs to identify the location, type, and value of property blocked under OFAC-
administered programs; and when OFAC obtains information regarding blockable assets in the course of its investigations. Most blocked asset
information is obtained by requiring reports from all U.S. holders of blocked property subject to OFAC reporting requirements. The reports
normally contain information such as the name of the U.S. holder, the account party, the location of the property, and a description of the
type and value of the asset. In some instances, adverse claims by U.S. entities and individuals against the blocked property are also
reported. This portion of the system of records may be used during enforcement, designation, blocking, and other investigations as well as to
produce reports and respond to requests for information.
</p><p>(5) Used to support determinations made by OFAC pursuant to Section 2002 of Pub. L. 106-386, the Victims of Trafficking and Violence
Protection Act of 2000, including the facilitating of payments provided for under the Act. OFAC has reported its determinations to other parts
of Treasury to facilitate payment on claims.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose information to further the efforts of appropriate Federal, state, local, or foreign agencies in investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule, regulation, order, license, or agreement;
</p><p>(2) Disclose information to a Federal, state, local, or foreign agency, maintaining civil, criminal, or other relevant enforcement
information or other pertinent information, which has requested information necessary or relevant to the requesting agency's official
functions;
</p><p>(3) Disclose information to the Departments of State, Justice, Homeland Security, Commerce, Defense, or Energy, or other federal agencies,
in connection with Treasury licensing policy or other matters of mutual interest or concern;
</p><p>(4) Provide information to appropriate national security and/or foreign-policy-making officials in the Executive branch to ensure that the
management of OFAC's sanctions programs is consistent with U.S. foreign policy and national security goals;
</p><p>(5) Disclose information relating to blocked property to appropriate state agencies for activities or efforts connected to abandoned
property;
</p><p>(6) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosure to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a Court order, or in
connection with criminal law proceedings, when such information is determined to be arguably relevant to the proceeding;
</p><p>(7) Provide information to a Congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Disclose information to foreign governments and entities, and multilateral organizations--such as Interpol, the United Nations,
and international financial institutions--consistent with law and in accordance with formal or informal international agreements, or for
an enforcement, licensing, investigatory, or national security purpose;
</p><p>(9) Provide information to third parties during the course of an investigation or an enforcement action to the extent necessary to obtain
information pertinent to the investigation or to carry out an enforcement action;
</p><p>(10) Provide access to information to any agency, entity, or individual for purposes of performing authorized security, audit, or oversight
operations or meeting related reporting requirements;
</p><p>(11) Disclose information to appropriate agencies, entities, and individuals when:
</p><p>(a) Treasury suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
(b) Treasury has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property
interests, 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 made to such agencies,
entities, and individuals is reasonably necessary to assist in connection with Treasury's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm; or
</p><p>(12) Disclose information to the general public, in furtherance of OFAC's mission, regarding individuals and entities whose property and
interests in property are blocked or otherwise affected by one or more OFAC economic sanctions programs, as well as information identifying
certain property of individuals and entities subject to OFAC economic sanctions programs. This routine use includes disclosure of information
to the general public in furtherance of OFAC's mission regarding individuals and entities that have been designated by OFAC. This routine use
encompasses publishing this information in the <i>Federal Register</i>, in the Code of Federal Regulations, on OFAC's Web site, and by other
means.
</p><p>The information associated with individuals as published on OFAC's List of Specially Designated Nationals and Blocked Persons (the SDN
List) generally relates to non-U.S. entities and individuals, and, therefore, the Privacy Act does not apply to most of the individuals
included on the SDN List. However, a very small subset of the individuals on the SDN List consists of U.S. individuals. Individuals and
entities on the SDN List are generally designated based on Executive orders and other authorities imposing sanctions with respect to
terrorists, proliferators of weapons of mass destruction, sanctioned nations or regimes, narcotics traffickers, or other identified threats to
the national security, foreign policy, and/or economy of the United States. Generally, the personal identifier information provided on the SDN
List may include, but is not limited to, names and aliases, addresses, dates of birth, citizenship information, and, at times, identification
numbers associated with government-issued documents. It is necessary to provide this identifier information in a publicly available format so
that listed individuals and entities can be identified and prevented from accessing the U.S. financial system. At the same time, the release
of detailed identifier information of individuals whose property is blocked or who are otherwise affected by one or more OFAC economic
sanctions programs is important in helping to protect other individuals from being improperly identified as the sanctioned target.
</p><p>Because the SDN List is posted on OFAC's public Web site and published in the <i>Federal Register</i> and in 31 CFR Appendix A, a
designated individual's identifier information can be accessed by any individual or entity with access to the internet, the <i>Federal
Register</i>, or 31 CFR Appendix A. Thus, the impact on the individual's privacy will be substantial, but this is necessary in order to make
targeted economic sanctions effective. Designated individuals can file a "de-listing petition" to request their removal from the
SDN List. <i>See</i> 31 CFR 501.807. If such a petition is granted, the individual's name and all related identifier information are removed
from the active SDN List.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>As hard copy documents in file folders or magnetic or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records related to:
</p><p>(1) Enforcement, designation, blocking, and other investigations are retrieved by the name of the individual or other relevant search term.
</p><p>(2) Licensing applications are retrieved by license or letter number or by the name of the applicant.
</p><p>(3) Blocked property records are retrieved by the name of the holder, custodian, or owner of blocked property.
</p><p>(4) Claims received, reviewed, and processed by OFAC for payment determinations pursuant to Section 2002 of the Victims of Trafficking and
Violence Protection Act of 2000, Public Law Number 106-386, are retrieved by the name of the applicant.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Folders maintained in authorized filing equipment are located in areas of limited and controlled access and are limited to authorized
Treasury employees. Computerized records are on a password-protected network. Access controls for all internal, electronic information are not
less than required by the Treasury Security Manual (TDP-71-10). The published List of Specially Designated Nationals and Blocked
Persons is considered public domain.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are managed according to applicable Federal Records Management laws and regulations (see also 5 U.S.C. Part I, Chapter 5,
Subchapter II, Section 552a--Records Maintained on Individuals). Record retention and disposition rules are approved by the Archivist of
the United States and applied appropriately.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Foreign Assets Control, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>For records in this system that are unrelated to enforcement, designation, blocking, and other investigations, individuals wishing to
be notified if they are named in this system of records must submit a written request containing the following elements: (1) Identify the
record system; (2) identify the category and type of record sought; and (3) provide at least two items of secondary identification (date of
birth, employee identification number, dates of employment, or similar information). Address inquiries to Assistant Director, Disclosure
Services, Office of Foreign Assets Control, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p><p>For records in this system that are unrelated to enforcement, designation, blocking, and other investigations, individuals wishing to gain
access to records maintained in the system under their name or personal identifier must submit a written request containing the following
elements: (1) Identify the record system; (2) identify the category and type of record sought; and (3) provide at least two items of secondary
identification (date of birth, employee identification number, dates of employment, or similar information). Address inquiries to Assistant
Director, Disclosure Services, Office of Foreign Assets Control, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC
20220. The request must be made in accordance with 5 U.S.C. 552a and 31 CFR 1.2. See also 31 CFR part 1, subpart C, appendix A, Paragraph 8.
</p><p>Records in this system that are related to enforcement, designation, blocking, and other investigations are exempt from the provisions of
the Privacy Act as permitted by 5 U.S.C. 552a(k)(2). Exempt records may not be disclosed for purposes of determining if the system contains a
record pertaining to a particular individual, inspecting records, or contesting the content of records. Although the investigative records
that underlie the SDN List may not be accessed for purposes of inspection or for contest of content of records, the SDN List, which is
produced from some of the investigative records in the system, is made public. Persons (entities and individuals) on this public list who wish
to request the removal of their name from this list may submit a de-listing petition according to the provisions of 31 CFR 501.807.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Address inquiries to: Assistant Director, Disclosure Services, Office of Foreign Assets Control, Department of the Treasury, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) From the individual, from OFAC investigations, and from other Federal, state, local, or foreign agencies;
</p><p>(2) Applicants for Treasury Department licenses under laws or regulations administered by OFAC;
</p><p>(3) From individuals and entities that are designated or otherwise subject to sanctions and the representatives of such individuals and
entities; or
</p><p>(4) Custodians or other holders of blocked assets.
</p></xhtmlContent></subsection>
	<subsection type="exemptionsClaimed"><xhtmlContent><p>Records in this system related to enforcement, designation, blocking, and other investigations are exempt from 5 U.S.C. 552a(c)(3),
(d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(1) and (k)
(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .144</systemNumber>
<subsection type="systemName">General Counsel Litigation Referral and Reporting System--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Department of the Treasury, Office of the General Counsel, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who are parties, plaintiff or defendant, in civil litigation or administrative proceedings involving or concerning the
Department of the Treasury or its officers or employees. The system does not include information on every civil litigation or administrative
proceeding involving the Department of the Treasury or its officers and employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records consists of a computer data base containing information related to litigation or administrative proceedings
involving or concerning the Department of the Treasury or its officers or employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purposes of this system are: (1) To record service of process and the receipt of other documents relating to litigation or
administrative proceedings involving or concerning the Department of the Treasury or its officers or employees, and (2) to respond to
inquiries from Treasury personnel, personnel from the Justice Department and other agencies, and other persons concerning whether service of
process or other documents have been received by the Department in a particular litigation or proceeding.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, or foreign agencies responsible for investigating or prosecuting the
violations of, or for implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an indication
of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or
other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations in response to a court order or in
connection with criminal law proceedings;
</p><p>(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation, and
</p><p>(7) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The computerized records are maintained in computer data banks. Printouts of the data may be made.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The computer information is accessible by the name of the non-government party involved in the case, and case number and docket number
(when available).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is limited to employees who have a need for such records in the course of their work. Background checks are made on employees.
All facilities where records are stored have access limited to authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The computer information is maintained for up to ten years or more after a record is created.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of the General Counsel, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, or gain access to records maintained in this system
must submit a written request containing the following elements: (1) An identification of the record system; and (2) an identification of the
category and type of records sought. This system contains records that are exempt under 31 CFR 1.36; 5 U.S.C. 552a(j)(2); and (k)(2). Address
inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Treasury Department Legal Division, Department of Justice Legal Division.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(d), (e)(1), (e)(3), (e)(4)(G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2). (<i>See</i> 31 CFR 1.36)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .149</systemNumber>
<subsection type="systemName">Foreign Assets Control Legal Files--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Department of the Treasury, Office of the Chief Counsel (Foreign Assets Control), Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who are or who have been parties in litigation or other Matters involving the Office of Foreign Assets Control (OFAC) or
involving statutes and regulations administered by the OFAC found at 31 CFR subtitle B, chapter V.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information and documents relating to litigation and other matters involving the OFAC or statutes and regulations administered by the
OFAC.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 301; 50 U.S.C. App. 5(b); 50 U.S.C. 1701 <i>et seq;</i> 22 U.S.C. 287(c); and other statutes relied upon by the President to
impose economic sanctions.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are maintained to assist in providing legal advice to the OFAC and the Department of the Treasury regarding issues of
compliance, enforcement, investigation, and implementation of matters related to OFAC and the statutes and regulations administered by the
agency. These records are also maintained to assist in litigation related to OFAC and the statutes and regulations administered by the OFAC.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Prosecute, defend, or intervene in litigation related to the OFAC and statutes and regulations administered by OFAC,
</p><p>(2) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule, regulation, order or license;
</p><p>(3) Disclose information to a Federal, State, or local agency, maintaining civil, criminal, or other relevant enforcement information or
other pertinent information, which has requested information relevant to or necessary to the requesting agency's official functions;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains, and
</p><p>(6) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Folders in file cabinets and magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The information is accessible by the name of the non-government party involved in the matter.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Folders are in lockable file cabinets located in areas of limited public accessibility. Where records are maintained on computer hard
drives, access to the files is password-protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are periodically updated and maintained as long as needed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Chief Counsel, Foreign Assets Control, U.S. Treasury Department, 1500 Pennsylvania Ave., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, or gain access to records maintained in this system
must submit a written request containing the following elements: (1) Identify the record system; (2) identify the category and type of records
sought; and (3) provide identification as set forth in 31 CFR Subpart C, Part 1, Appendix A, Section 8.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Pleadings and other materials filed during course of a legal proceeding, discovery obtained pursuant to applicable court rules;
materials obtained by Office of Foreign Assets Control action; material obtained pursuant to requests made to other Federal agencies; orders,
opinions, and decisions of courts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .190</systemNumber>
<subsection type="systemName">Office of Inspector General Investigations Management Information System--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Inspector General (OIG), Assistant Inspector General for Investigations and Counsel to the Inspector General, 740 15th St.,
NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(A) Current and former employees of the Department of the Treasury and persons whose association with current and former employees
relate to the alleged violations of the rules of ethical conduct for employees of the Executive Branch, the Department's supplemental
standards of ethical conduct, the Department's rules of conduct, merit system principles, or any other criminal or civil misconduct, which
affects the integrity or facilities of the Department of the Treasury. The names of individuals and the files in their names may be: (1)
Received by referral; or (2) initiated at the discretion of the Office of Inspector General in the conduct of assigned duties. Investigations
of allegations against OIG employees are managed by the Deputy Inspector General and the Counsel to the Inspector General; records are
maintained in the Office of Counsel.
</p><p>(B) Individuals who are: Witnesses; complainants; confidential or non-confidential informants; suspects; defendants; parties who have been
identified by the Office of Inspector General, constituent units of the Department of the Treasury, other agencies, or members of the general
public in connection with the authorized functions of the Inspector General.
</p><p>(C) Current and former senior Treasury and bureau officials who are the subject of investigations initiated and conducted by the Office of
the Inspector General.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(A) Letters, memoranda, and other documents citing complaints of alleged criminal or administrative misconduct.
</p><p>(B) Investigative files which include: (1) Reports of investigations to resolve allegations of misconduct or violations of law with related
exhibits, statements, affidavits, records or other pertinent documents obtained during investigations; (2) transcripts and documentation
concerning requests and approval for consensual telephone and consensual non-telephone monitoring; (3) reports from or to other law
enforcement bodies; (4) prior criminal or noncriminal records of individuals as they relate to the investigations; and (5) reports of actions
taken by management personnel regarding misconduct and reports of legal actions resulting from violations of statutes referred to the
Department of Justice for prosecution.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Inspector General Act of 1978, as amended, 5 U.S.C.A. App.3; 5 U.S.C. 301; 31 U.S.C. 321.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records and information collected and maintained in this system are used to (a) receive allegations of violations of the standards
of ethical conduct for employees of the Executive Branch (5 CFR part 2635), the Treasury Department's supplemental standards of ethical
conduct (5 CFR part 3101), the Treasury Department's rules of conduct (31 CFR part 0), the Office of Personnel Management merit system
principles, or any other criminal or civil law; and to (b) prove or disprove allegations which the OIG receives that are made against
Department of the Treasury employees, contractors and other individuals associated with the Department of the Treasury.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose information to the Department of Justice in connection with actual or potential criminal prosecution or civil litigation;
</p><p>(2) Disclose pertinent information to appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, or where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(3) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or
other pertinent information, which has requested information relevant to or necessary to the requesting agency's hiring or retention of an
employee, or the issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation or settlement negotiations in response to a court order or in
connection with criminal law proceedings;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings;
</p><p>(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(8) Provide information to the Office of Inspector General of the Department of Justice with respect to investigations involving the former
Bureau of Alcohol, Tobacco and Firearms; and to the Office of Inspector General of the Department of Homeland Security with respect to
investigations involving the Secret Service, the former Customs Service, and Federal Law Enforcement Training Center, for such OIGs' use in
carrying out their obligations under the Inspector General Act of 1978, as amended, 5 U.S.C.A. Appendix 3 and other applicable laws; and
</p><p>(9) Provide information to other OIGs, the President's Council on Integrity and Efficiency, and the Department of Justice, in connection
with their review of Treasury OIG's exercise of statutory law enforcement authority, pursuant to section 6(e) of the Inspector General Act of
1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(10) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in file jackets are maintained in a secured locked room. Electronic records are password protected; backup media are
maintained in a locked room.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Paper: Alphabetically by name of subject or complainant, by case number, and by special agent name and/or employee identifying number.
Electronic: by complainant, subject, victim, or witness case number, and by special agent name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records and word processing media are maintained in locked safes and all access doors are locked when offices are vacant.
Building has guard; entrance to building, elevators, and other spaces are all keycard-controlled. Automated records are controlled by computer
security programs which limit access to authorized personnel who have a need for such information in the course of their duties. The records
are available to Office of Inspector General personnel who have an appropriate security clearance on a need-to-know basis.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Investigative files are stored on-site for 3 years at which time they are retired to the Federal Records Center, Suitland, Maryland,
for temporary storage. In most instances, the files are destroyed when 10 years old. However, if the files have significant or historical
value, they are retained on-site for 3 years, then retired to the Federal Records Center for 22 years, at which time they are transferred to
the National Archives and Records Administration for permanent retention. In addition, an automated investigative case tracking system is
maintained on-site; the case information deleted 15 years after the case is closed, or when no longer needed, whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Investigations, 740 15th St., NW., Suite 500, Washington, DC 20220. For internal investigations:
Counsel to the Inspector General, 740 15th St., NW., Suite 510, Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Pursuant to 5 U.S. C. 552a(j)(2) and (k)(2), this system of records may not be accessed for purposes of determining if the system
contains a record pertaining to a particular individual, or for contesting the contents of a record.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p><i>See</i> "Categories of individuals" above. This system contains investigatory material for which sources need not be
reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). <i>See</i> 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .191</systemNumber>
<subsection type="systemName">Human Resources and Administrative Records System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Inspector General (OIG), headquarters and Boston Field office. (<i>See</i> appendix A.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(A) Current and former employees of the Office of Inspector General.
</p><p>(B) Individuals who are: Witnesses; complainants; confidential or non-confidential informants; suspects; defendants; parties who have been
identified by the Office of Inspector General, constituent units of the Department of the Treasury, other agencies, or members of the general
public, in connection with the authorized functions of the Inspector General.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Personnel system records contain OIG employee name, positions, grade and series, salaries, and related information pertaining to
OIG employment; (2) Tracking records contain status information on audits, investigations and other projects; (3) Timekeeping records contain
hours worked and leave taken; (4) Equipment inventory records contain information about government property assigned to employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Inspector General Act of 1978, as amended; (5 U.S.C. Appendix 3) 5 U.S.C. 301; and 31 U.S.C. 321.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system is to: (1) Manage effectively OIG resources and projects; (2) capture accurate statistical data for mandated
reports to the Secretary of the Treasury, the Congress, the Office of Management and Budget, the Government Accountability Office, the Council
of the Inspectors General on Integrity and Efficiency and other Federal agencies; (3) provide accurate information critical to the OIG's daily
operation, including employee performance and conduct; and (4) collect and maintain information provided to the OIG concerning violation of
any criminal or civil law made against or regarding individuals associated or claiming association with the Department of the Treasury.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) A record from the system of records, which indicates, either by itself or in combination with other information, a violation or
potential violation of law, whether civil or criminal, and whether arising by statute, regulation, rule or order issued pursuant thereto, may
be disclosed to a Federal, State, local, or foreign agency or other public authority that investigates or prosecutes or assists in
investigation or prosecution of such violation, or enforces or implements or assists in enforcement or implementation of the statute, rule,
regulation or order; or to any private entity in order to prevent loss or damage to any party by reason of false or fictitious financial
instruments or documents.
</p><p>(2) A record from the system of records may be disclosed to a Federal, State, local, or foreign agency or other public authority, or to
private sector (i.e., non-Federal, State, or local government) agencies, organizations, boards, bureaus, or commissions, which maintain civil,
criminal, or other relevant enforcement records or other pertinent records, such as current licenses in order to obtain information relevant
to an agency investigation, audit, or other inquiry, or relevant to a decision concerning the hiring or retention of an employee or other
personnel action, the issuance of a security clearance, the letting of a contract, the issuance of a license, grant or other benefit, the
establishment of a claim, or the initiation of administrative, civil, or criminal action. Disclosure to the private sector may be made only
when the records are properly constituted in accordance with agency requirements; are accurate, relevant, timely and complete; and the
disclosure is in the best interest of the Government.
</p><p>(3) A record from the system of records may be disclosed to a Federal, State, local, or foreign agency or other public authority, or
private sector (i.e., non-Federal, State, or local government) agencies, organizations, boards, bureaus, or commissions, if relevant to the
recipient's hiring or retention of an employee or other personnel action, the issuance of a security clearance, the letting of a contract, the
issuance of a license, grant or other benefit, the establishment of a claim, or the initiation of administrative, civil, or criminal action.
Disclosure to the private sector may be made only when the records are properly constituted in accordance with agency requirements; are
accurate, relevant, timely and complete; and the disclosure is in the best interest of the Government.
</p><p>(4) A record from the system of records may be disclosed to any source, private or public, to the extent necessary to secure from such
source information relevant to a legitimate agency investigation, audit, or other inquiry.
</p><p>(5) A record from the system of records may be disclosed to the Department of Justice when the agency or any component thereof, or any
employee of the agency in his or her official capacity, or any employee of the agency in his or her individual capacity where the Department
of Justice has agreed to represent the employee, or the United States, where the agency determines that litigation is likely to affect the
agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department
of Justice is deemed by the agency to be relevant and necessary to the litigation and the use of such records by the Department of Justice is
therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records.
</p><p>(6) A record from the system of records may be disclosed in a proceeding before a court or adjudicative body, when the agency, or any
component thereof, or any employee of the agency in his or her official capacity, or any employee of the agency in his or her individual
capacity where the agency has agreed to represent the employee, or the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the agency determines that use
of such records is relevant and necessary to the litigation and the use of such records is therefore deemed by the agency to be for a purpose
that is compatible with the purpose for which the agency collected the records.
</p><p>(7) A record from the system of records may be disclosed to a Member of Congress from the record of an individual in response to an inquiry
from the Member of Congress made at the request of that individual.
</p><p>(8) A record from the system of records may be disclosed to the Department of Justice and the Office of Government Ethics for the purpose
of obtaining advice regarding a violation or possible violation of statute, regulation, rule or order or professional ethical standards.
</p><p>(9) A record from the system of records may be disclosed to the Office of Management and Budget for the purpose of obtaining its advice
regarding agency obligations under the Privacy Act, or in connection with the review of private relief legislation.
</p><p>(10) A record from the system of records may be disclosed in response to a court order issued by a Federal agency having the power to
subpoena records of other Federal agencies if, after careful review, the OIG determines that the records are both relevant and necessary to
the requesting agency's needs and the purpose for which the records will be used is compatible with the purpose for which the records were
collected.
</p><p>(11) A record from the system of records may be disclosed to a private contractor for the purpose of compiling, organizing, analyzing,
programming, or otherwise refining records subject to the same limitations applicable to U.S. Department of Treasury officers and employees
under the Privacy Act.
</p><p>(12) A record from the system of records may be disclosed to a grand jury agent pursuant either to a Federal or State grand jury subpoena,
or to a prosecution request that such record be released for the purpose of its introduction to a grand jury provided that the Grand Jury
channels its request through the cognizant U.S. Attorney, that the U.S. Attorney has been delegated the authority to make such requests by the
Attorney General, that she or he actually signs the letter specifying both the information sought and the law enforcement purposes served. In
the case of a State Grand Jury subpoena, the State equivalent of the U.S. Attorney and Attorney General shall be substituted.
</p><p>(13) A record from the system of records may be disclosed to a Federal agency responsible for considering suspension or debarment action
where such record would be relevant to such action.
</p><p>(14) A record from the system of records may be disclosed to an entity or person, public or private, where disclosure of the record is
needed to enable the recipient of the record to take action to recover money or property of the United States Department of the Treasury,
where such recovery will accrue to the benefit of the United States, or where disclosure of the record is needed to enable the recipient of
the record to take appropriate disciplinary action to maintain the integrity of the programs or operations of the Department of the Treasury.
</p><p>(15) A record from the system of records may be disclosed to a Federal, state, local or foreign agency, or other public authority, for use
in computer matching programs to prevent and detect fraud and abuse in benefit programs administered by an agency, to support civil and
criminal law enforcement activities of any agency and its components, and to collect debts and over payments owed to any agency and its
components.
</p><p>(16) A record from the system of records may be disclosed to a public or professional licensing organization when such record indicates,
either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the
moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
</p><p>(17) A record from the system of records may be disclosed to the Office of Management and Budget, the Government Accountability Office, the
Council of the Inspectors General on Integrity and Efficiency and other Federal agencies for mandated reports, and
</p><p>(18) Disclosures are not made outside of the Department, except to appropriate agencies, entities, and persons when (a) The Department
suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (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 interests,
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 made to such agencies, entities,
and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Debtor information may also be furnished, in accordance with 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) to consumer reporting agencies
to encourage repayment of an overdue debt.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Most files are accessed by OIG employee name, employee identifying number, office, or cost center. Some records may be accessed by
entering equipment or project information. Financial instrument fraud database information may be accessed by name and address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is limited to OIG employees who have a need for such information in the course of their work. Offices are locked. A central
network server is password protected by account name and user password. Access to records on electronic media is controlled by computer
passwords. Access to specific system records is further limited and controlled by computer security programs limiting access to authorized
personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are periodically updated to reflect changes and are retained as long as necessary.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Management, 740 15th St. NW., Suite 510, Washington, DC 20220. For records provided by the general
public concerning financial instrument fraud: Counsel to the Inspector General, 740 15th St., NW., Suite 510, Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, or to gain access to records maintained in this system
may inquire in accordance with instructions appearing in 31 CFR part 1, subpart C, appendix A. Individuals must submit a written request
containing the following elements: (1) Identify the record system; (2) identify the category and type of records sought; and (3) provide at
least two items of secondary identification (date of birth, employee identifying number, dates of employment or similar information). Address
inquiries to Director, Disclosure Services (<i>see</i> "Record access procedures" below).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Current and former employees of the OIG; persons providing information concerning or alleged to be committing financial instrument
fraud.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p><b>Appendix A--Addresses of OIG Offices
</b></p><p><i>Headquarters:</i>
</p><p>Department of the Treasury, Office of Inspector General, Office of the Assistant Inspector General for Management, 740 15th Street, NW.,
Suite 510, Washington, DC 20220.
</p><p><i>Field Location:</i>
</p><p>Contact System Manager for addresses.
</p><p>Department of the Treasury, Office of Inspector General, Office of Audit, Boston, MA 02110-3350.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .193</systemNumber>
<subsection type="systemName">Employee Locator and Automated Directory System--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Main Treasury Building, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Information on all employees of the Department is maintained in the system if the proper locator card is provided.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, office telephone number, bureau, office symbol, building, room number, home address and phone number, and person to be notified
in case of emergency.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Employee Locator and Automated Directory System is maintained for the purpose of providing current locator and emergency
information on all DO employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosures are not made outside of the Department, except to appropriate agencies, entities, and persons when (a) The Department
suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (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 interests,
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 made to such agencies, entities,
and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Hard copy and magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All records, including computer system and all terminals are located within secure space. Only authorized personnel have access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are kept as long as needed, updated periodically and destroyed by burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Telephone Operator Services Branch, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> "System manager" above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "System manager" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "System manager" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by individual employees. Necessary changes made if requested.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .194</systemNumber>
<subsection type="systemName">Circulation System--Treasury.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, Library, Room 1428-MT, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees who borrow library materials or receive library materials on distribution. The system also contains records concerning
interlibrary loans to local libraries which are not subject to the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of items borrowed from the Treasury Library collection and patron records are maintained on central computer. Records are
maintained by name of borrower, office locator information, and title of publication.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Track circulation of library materials and their borrowers.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) These records may be used to disclose information to a congressional office in response to an inquiry made at the request of the
individual to whom the record pertains; and
</p><p>(2) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data can be retrieved from the system by borrower name or bar code number and publication title or its associated bar code number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the system requires knowledge of password identification codes and protocols for calling up the data files. Access to the
records is limited to staff of the Readers Services Branch who have a need-to-know the information for the performance of their duties.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Only current data are maintained on-line. Records for borrowers are deleted when employee leaves Treasury.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Librarian, Department of the Treasury, Room 1428-MT, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be addressed to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington
DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Patron information records are completed by borrowers and library staff.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .196</systemNumber>
<subsection type="systemName">Treasury Information Security Program.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, Office of Security Programs, Room 3180 Treasury Annex, 1500 Pennsylvania Avenue NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Each Department of the Treasury official, by name and position title, who has been delegated the authority to downgrade and
declassify national security information and who is not otherwise authorized to originally classify.
</p><p>(2) Each Department of the Treasury official, by name and position title, who has been delegated the authority for original classification
of national security information, exclusive of officials specifically given this authority via Treasury Order 105-19.
</p><p>(3) Department of the Treasury employees who have valid security violations as a result of the improper handling/processing, safeguarding
or storage of classified information or collateral national security systems.
</p><p>(4) Department of the Treasury employees (including detailees, interns and select contractors) who receive initial, specialized and/or
annual refresher training on requirements for protecting classified information.
</p><p>(5) Department of the Treasury employees and contractors issued a courier card authorizing them to physically transport classified
information within and between Treasury, bureaus, and other U.S. Government agencies and departments.
</p><p>(6) Departmental Offices officials and bureau heads issued Department of the Treasury credentials as evidence of their authority and
empowerment to execute and fulfill the duties of their appointed office and those Departmental Offices officials authorized to conduct
official investigations and/or inquiries on behalf of the U.S. Government.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Report of Authorized Downgrading and Declassification Officials, (2) Report of Authorized Classifiers, (3) Record of Security
Violation, (4) Security Orientation Acknowledgment, (5) Request and Receipt for Courier Card, and (6) Request and Receipt for Official
Credential.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Executive Order 13526, dated December 29, 2009 and the Treasury Security Manual, TD P 15-71, last updated October 28, 2011.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is designed to (1) Oversee compliance with Executive Order 13526, Information Security Oversight Office Directives, the
Treasury Security Manual, and Departmental security programs, (2) ensure proper classification of national security information, (3) record
details of valid security violations, (4) assist in determining the effectiveness of information security programs affecting classified and
sensitive information, and (5) safeguard classified information throughout its entire life-cycle.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose pertinent information to:
</p><p>(1) Appropriate Federal agencies responsible for the protection of national security information, or reporting a security violation of, or
enforcing, or implementing, a statute, rule, regulation, or order, or where the Department becomes aware of an indication of a potential
violation of civil or criminal law or regulation, rule or order;
</p><p>(2) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(3) Another Federal agency, to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a
Federal agency, when the Federal Government is a party to the judicial or administrative proceeding. In those cases where the Federal
Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a court of competent jurisdiction;
</p><p>(4) The United States Department of Justice for the purpose of representing or providing legal advice to the Treasury Department
(Department) in a proceeding before a court, adjudicative body, or other administrative body before which the Department is authorized to
appear, when such proceeding involves:
</p><p>(A) The Department or any component thereof;
</p><p>(B) Any employee of the Department in his or her official capacity;
</p><p>(C) Any employee of the Department in his or her individual capacity where the Department of Justice or the Department has agreed to
represent the employee; or
</p><p>(D) The United States, when the Department determines that litigation is likely to affect the Department or any of its components, and
</p><p>(5) Appropriate agencies, entities, and persons when: (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed
compromise that there is a risk of harm to economic or property interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic media and hard copy files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the name of the official or employee, contractor, detailee or intern, bureau head and/or chief deputy.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Secured in security containers and/or controlled space to which access is limited to Office of Security Programs security officials
with the need to know.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with General Records Schedule 18, with the exception of the Record of Security
Violation (retained for a period of two years) and the Security Orientation Acknowledgment, the Request and Receipt for Courier Card, and the
Request and Receipt for Official Credential, the remaining records are destroyed and/or updated on an annual basis. Destruction is effected by
on-site shredding or other comparable means.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, (Information Security), Office of Security Programs, Room 3180 Treasury Annex, 1500 Pennsylvania Avenue NW.,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to records maintained in this system, or
seek to contest its content, must submit a written request containing the following elements: (1) Identify the record system; (2) identify the
category and type of records sought; and (3) provide at least two items of secondary identification (See 31 CFR Part 1, Appendix A). Address
inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave. NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The sources of the information are employees of the Department of the Treasury. The information concerning any security violation is
reported by Department of the Treasury security officials and by Department of State security officials as concerns Treasury or bureau
personnel assigned to overseas U.S. diplomatic posts or missions.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .202</systemNumber>
<subsection type="systemName">Drug-Free Workplace Program Records--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are located within the Office of Human Capital Strategic Management, Room 5224-MT, Department of the Treasury,
Departmental Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of Departmental Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records related to selection, notification, testing of employees, drug test results, and related documentation concerning the
administration of the Drug-Free Workplace Program within Departmental Offices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 100-71; 5 U.S.C. 7301 and 7361; 21 U.S.C. 812; Executive Order 12564, "Drug-Free Federal Workplace".
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system has been established to maintain records relating to the selection, notification, and testing of Departmental Offices'
employees for use of illegal drugs and drugs identified in Schedules I and II of 21 U.S.C. 812.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) these records may be disclosed to a court of competent jurisdiction where required by the United States Government to defend
against any challenge against any adverse personnel action, and
</p><p>(2) to appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records consist of paper records maintained in file folders and magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name of employee, position, title, social security number, I.D. number (if assigned), or any combination of
these.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records will be stored in secure containers, <i>e.g.,</i> safes, locked filing cabinets, etc. Access to such records is restricted to
individuals having direct responsibility for the administration of the agency's Drug-Free Workplace Program. Procedural and documentary
requirements of Public Law 100-71 and the Department of Health and Human Services Guidelines will be followed.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for two years and then destroyed by shredding, or, in case of magnetic media, erasure. Written records and test
results may be retained up to five years or longer when necessary due to challenges or appeals of adverse action by the employee.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Human Capital Strategic Management, Department of the Treasury, 1500 Pennsylvania Ave., NW., Room 5224-MT,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about themselves should address written inquiries
to the attention of the Director, Disclosure Services, Departmental Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Individuals
must furnish their full name, Social Security Number, the title, series, and grade of the position they occupied, the month and year of any
drug test(s) taken, and verification of identity as required by 31 CFR part 1, subpart C, appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about themselves should address written inquiries
to the attention of the Director, Disclosure Services, Departmental Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Individuals
must furnish their full name, Social Security Number, the title, series, and grade of the position they occupied, the month and year of any
drug test(s) taken, and verification of identity as required by 31 CFR part 1, subpart C, appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Department of the Treasury rules for accessing records, for contesting contents, and appealing initial determinations by the
individual concerned are published in 31 CFR part 1, subpart A, appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the individual to whom the record pertains; Departmental Offices employees involved in the selection and
notification of individuals to be tested; contractor laboratories that test urine samples for the presence of illegal drugs; Medical Review
Officers; supervisors and managers and other Departmental Offices official engaged in administering the Drug-Free Workplace Program; the
Employee Assistance Program, and processing adverse actions based on drug test results.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .207</systemNumber>
<subsection type="systemName">Waco Administrative Review Group Investigation--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(A) Individuals who were employees or former employees of the Department of the Treasury and its bureaus and persons whose
associations with current and former employees relate to the former Bureau of Alcohol, Tobacco &amp; Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas on February 28, 1993, or any other criminal or civil misconduct, which affects the
integrity or facilities of the Department of the Treasury. The names of individuals and the files in their names may be: (1) Received by
referral; or (2) developed in the course of the investigation.
</p><p>(B) Individuals who were: Witnesses; complainants; confidential or non-confidential informants; suspects; defendants who have been
identified by the former Office of Enforcement, constituent units of the Department of the Treasury, other agencies, or members of the general
public in connection with the authorized functions of the former Office of Enforcement.
</p><p>(C) Members of the general public who provided information pertinent to the investigation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(A) Letters, memoranda, and other documents citing complaints of alleged criminal misconduct pertinent to the events leading to the
former Bureau of Alcohol, Tobacco &amp; Firearms execution of search and arrest warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993.
</p><p>(B) Investigative files that include:
</p><p>(1) Reports of investigations to resolve allegations of misconduct or violations of law and to comply with the President's specific
directive for a fact finding report on the events leading to the former Bureau of Alcohol, Tobacco &amp; Firearms execution of search and
arrest warrants at the Branch Davidian compound, near Waco, Texas, on February 28, 1993, with related exhibits, statements, affidavits,
records or other pertinent documents obtained during investigation;
</p><p>(2) Transcripts and documentation concerning requests and approval for consensual telephone and consensual non-telephone monitoring;
</p><p>(3) Reports from or to other law enforcement bodies;
</p><p>(4) Prior criminal or noncriminal records of individuals as they relate to the investigations;
</p><p>(5) Reports of actions taken by management personnel regarding misconduct and reports of legal actions resulting from violations of
statutes referred to the Department of Justice for prosecution;
</p><p>(6) Videotapes of events pertinent to the events leading to the former Bureau of Alcohol, Tobacco &amp; Firearms execution of search and
arrest warrants at the Branch Davidian compound, near Waco, Texas, on February 28, 1993, or to the Department of Justice criminal
prosecutions;
</p><p>(7) Audiotapes with transcripts of events pertinent to the events leading to the former Bureau of Alcohol, Tobacco &amp; Firearms execution
of search and arrest warrants at the Branch Davidian compound, near Waco, Texas, on February 28, 1993, or to the Department of Justice
criminal prosecutions;
</p><p>(8) Photographs and blueprints pertinent to the events leading to the former Bureau of Alcohol, Tobacco &amp; Firearms execution of search
and arrest warrants at the Branch Davidian compound, near Waco, Texas, on February 28, 1993, or to the Department of Justice criminal
prosecutions; and
</p><p>(9) Drawings, sketches, models portraying events pertinent to the events leading to the former Bureau of Alcohol, Tobacco &amp; Firearms
execution of search and arrest warrants at the Branch Davidian compound, near Waco, Texas, on February 28, 1993, or to the Department of
Justice criminal prosecutions.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system of records was to implement a data base containing records of investigation conducted by the Waco
Administrative Review Group, and other relevant information with regard to the events leading to the former Bureau of Alcohol, Tobacco &amp;
Firearms execution of search and arrest warrants at the Branch Davidian compound, near Waco, Texas, on February 28, 1993, and, where
appropriate, to disclose information to other law enforcement agencies that have an interest in the information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose information to the Department of Justice in connection with actual or potential criminal prosecution or civil litigation;
</p><p>(2) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, or where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(3) Disclose information to a Federal, State, or local agency maintaining civil, criminal or other relevant enforcement information or
other pertinent information that has requested information relevant to or necessary to the requesting agency's hiring or retention of an
employee, or the issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations in response to a court order, where
relevant and necessary, or in connection with criminal law proceedings;
</p><p>(5) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(6) Provide a report to the President and the Secretary of the Treasury detailing the investigation and findings concerning the events
leading to the former Bureau of Alcohol, Tobacco &amp; Firearms' execution of search and arrest warrants at the Branch Davidian compound, near
Waco, Texas, on February 28, 1993, and
</p><p>(7) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records in binders and file jackets and all multi-source media information are maintained in locked offices with access, through
the administrative documents and records control personnel for the Department, available to personnel with a need to know. Records will be
maintained in locked offices during non-business hours. Records will be maintained in the Departmental Offices, in the main Treasury building
and are subject to 24-hour security.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by name, and or by number, or other alpha-numeric identifiers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records and word processing disks are maintained by administrative documents and records control personnel of the Treasury Department.
All access doors are locked when office is vacant. The records are available on a need-to-know basis to Treasury personnel upon verification
of the substance and propriety of the request.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Investigative files are stored on-site for six years and indices to those files are stored on-site for ten years. The word processing
disks will be retained indefinitely, and to the extent required they will be updated periodically to reflect changes and will be purged when
the information is no longer required. Upon expiration of their respective retention periods, the investigative files and their indices will
be transferred to the Federal Records Center, Suitland, Maryland, for Storage and in most instances destroyed by burning, maceration or
pulping when 20 years old. The files are no longer active.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Department of the Treasury official prescribing policies and practices: Office of the Under Secretary for Enforcement, Room 4312
-MT, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking access to any record contained in the system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart c, appendix A. Inquiries should be directed to the Director, Disclosure
Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals who were witnesses; complainants; confidential or non-confidential informants; suspects; defendants, constituents of the
Department of the Treasury, other Federal, State or local agencies and members of the public.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .209</systemNumber>
<subsection type="systemName">Personal Services Contracts (PCSs)--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Office of Technical Assistance, Department of the Treasury, 740 15th Street, NW., Washington, DC 20005.
</p><p>(2) Procurement Services Division, Department of the Treasury, Mail stop: 1425 New York Ave., Suite 2100, 1500 Pennsylvania Ave, NW.,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have been candidates or who have been awarded a personal services contract (PSC) with the Department of the Treasury.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, demographic data, education, contracts, supervisory notes, personnel related information, financial,
payroll and medical data and documents pertaining to the individual contractors.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Support for Eastern European Democracy (SEED) Act of 1989 (Pub. L. 101-179), Freedom Support Act (Pub. L. 102-511),
Executive Order 12703.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records pertaining to the awarding of personal services contracts to individuals for the provision of technical services
in support of the SEED Act and the FSA, and which establish an employer/employee relationship with the individual.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose:
</p><p>(1) Pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority, responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(3) Information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or authority's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(4) Information in a proceeding before a court, adjudicative body, or other administrative body before which the agency is authorized to
appear when: (a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee; or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is party to litigation or has an interest in such litigation, and the use of
such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise privileged;
</p><p>(5) Information to a Congressional office in response to an inquiry made at the request of the individual to whom the record pertains, and
</p><p>(6) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Maintained in file folders and on electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Retrieved by name of the individual contractor and contract number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secured vault with locked file cabinets with access limited to authorized personnel. Offices are locked
during non-working hours with security provided on a 24-hour basis. Electronic media is password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are periodically updated when a contract is modified. Contract records, including all biographical or other personal data, are
retained for the contract period, with disposal after contract completion in accordance with the Federal Acquisition Regulation 4.805. Other
records are retained for two years then are destroyed when no longer needed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Director, Office of Technical Assistance, Department of the Treasury, 740 15th Street, NW., Washington, DC 20005.
</p><p>(2) Director, Procurement Services Division, Department of the Treasury, Mail stop: 1425 New York Ave, Suite 2100, 1500 Pennsylvania Ave.,
NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, or to gain access or seek to contest its contents, may
inquire in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Inquiries should be addressed to the Director,
Disclosure Services, Departmental Offices, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by the candidate, individual Personal tractor, and Treasury employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .214</systemNumber>
<subsection type="systemName">D.C. Pensions Retirement Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of DC Pensions, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. Electronic and paper records
are also located at the District and bureaus of the Department, including the Bureau of the Public Debt in Parkersburg, WV. In addition,
certain records are located with contractors engaged by the Department.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>a. Current and former police officers, firefighters, teachers, and judges.
</p><p>b. Surviving spouses, children, and/or dependent parents of current and former police officers, firefighters, teachers, or judges.
</p><p>c. Former spouses of current and former police officers, firefighters, teachers, or judges.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The categories of records include, but is not limited to, identifying information such as: Name(s); contact information; Social
Security number; employee identification number; service beginning and end dates; annuity beginning and end dates; date of birth; sex;
retirement plan; base pay; average base pay; final salary; type(s) of service and dates used to compute length of service; military base pay
amount; purchase of service calculation and amount; and/or benefit payment amount(s).
</p><p>The types of records in the system may be:
</p><p>a. Documentation comprised of service history/credit, personnel data, retirement contributions, and/or a refund claim upon which a benefit
payment(s) may be based.
</p><p>b. Medical records and supporting evidence for disability retirement applications and continued eligibility, and documentation regarding
the acceptance or rejection.
</p><p>c. Records submitted by a surviving spouse and/or a child(ren) in support of claims to a benefit payment(s).
</p><p>d. Consent forms and other records related to the withholding of income tax from a benefit payment(s).
</p><p>e. Retirement applications, including supporting documentation, and acceptance or denial of such applications.
</p><p>f. Death claim, including supporting documentation, submitted by a surviving spouse, child(ren), former spouse, and/or beneficiary, that is
required to determine eligibility for and receipt of a benefit payment(s), or denial of such claims.
</p><p>g. Documentation of enrollment and/or change in enrollment for health and life insurance benefits/eligibility.
</p><p>h. Designation(s) of a beneficiary(ies) for a life insurance benefit and/or an unpaid benefit payment.
</p><p>i. Court orders submitted by former spouses in support of claims to a benefit payment(s).
</p><p>j. Records relating to under- and/or over-payments of benefit payments and other debts arising from the responsibility to administer the
retirement plans for District police officers, firefighters, teachers, and judges; and, records relating to other Federal debts owed by
recipients of Federal benefit payments.
</p><p>k. Records relating to bankruptcies, tax levies, and garnishments.
</p><p>l. Records used to determine a total benefit payment and/or if the benefit payment is a District or Federal liability.
</p><p>m. Correspondence received from current and former police officers, firefighters, teachers, and judges; including their surviving spouses,
children, former spouses, dependent parents, and/or beneficiaries.
</p><p>n. Records relating to time served on behalf of a recognized labor organization.
</p><p>o. Records relating to benefit payment enrollment and/or change to enrollment for direct deposit to an individual's financial institution.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title XI, subtitle A, chapters 1 through 9, and subtitle C, chapter 4, subchapter B of the Balanced Budget Act of 1997 (as amended),
Public Law 105-33.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records may provide information on which to base determinations of (1) Eligibility for, and computation of, benefit payments;
(2) direct deposit elections into a financial institution; (3) eligibility and premiums for health insurance and group life insurance; (4)
withholding of income taxes; (5) under- or over-payments to recipients of a benefit payment, and for overpayments, the recipient's ability to
repay the overpayment; (6) Federal payment made from the General Fund to the District of Columbia Pension Fund and the District of Columbia
Judicial Retirement and Survivors Annuity Fund; (7) impact to the Funds due to proposed Federal and/or District legislative changes; and (8)
District or Federal liability for benefit payments to former District police officers, firefighters, and teachers, including survivors and
dependents, who are receiving a Federal and/or District benefit.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information in these records may be used:
</p><p>1. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where the Department becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
</p><p>2. To disclose information 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 conducting of a suitability or security investigation of an individual, the classifying of jobs, the
letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is
relevant and necessary to the requesting agency's decision on the matter.
</p><p>3. To provide information to a congressional office from the record of an individual in response to an inquiry from that congressional
office made at the request of that individual.
</p><p>4. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Federal Government is a party to the judicial or administrative proceeding. In
those cases where the Federal Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a judge.
</p><p>5. To disclose information to the National Archives and Records Administration for use in records management inspections and its role as an
Archivist.
</p><p>6. To disclose information to the Department of Justice, or in a proceeding before a court, adjudicative body, or other administrative body
before which the Department is authorized to appear, when:
</p><p>(A) The Department or any component thereof;
</p><p>(B) Any employee of the Department in his or her official capacity;
</p><p>(C) Any employee of the Department in his or her individual capacity where the Department of Justice or the Department has agreed to
represent the employee;
</p><p>(D) The United States, when the Department determines that litigation is likely to affect the Department or any of its components; or
</p><p>(E) The Federal funds established by the Act to pay benefit payments is a party to litigation or has an interest in such litigation, and
the use of such records by the Department of Justice or the Department is deemed by the Department of Justice or the Department to be relevant
and necessary to the litigation provided that the disclosure is compatible with the purpose for which records were collected.
</p><p>7. To disclose information to contractors, subcontractors, financial agents, grantees, auditors, actuaries, or volunteers performing or
working on a contract, service, grant, cooperative agreement, or job for the Department, including the District.
</p><p>8. To disclose information needed to adjudicate a claim for benefit payments or information needed to conduct an analytical study of
benefits being paid under such programs as: Social Security Administration's Old Age, Survivor, and Disability Insurance and Medical Programs;
military retired pay programs; and Federal civilian
employee retirement programs (Civil Service Retirement System, Federal Employees Retirement System, and other Federal retirement systems).
</p><p>9. To disclose to the U.S. Office of Personnel Management (OPM) and to the District, information necessary to verify the election,
declination, or waiver of regular and/or optional life insurance coverage, or coordinate with contract carriers the benefit provisions of such
coverage.
</p><p>10. To disclose to health insurance carriers contracting with OPM to provide a health benefits plan under the Federal Employees Health
Benefits Program or health insurance carriers contracting with the District to provide a health benefits plan under the health benefits
program for District employees, Social Security numbers and other information necessary to identify enrollment in a plan, to verify
eligibility for payment of a claim for health benefits, or to carry out the coordination for benefits provisions of such contracts.
</p><p>11. To disclose to any person possibly entitled to a benefit payment in accordance with the applicable order of precedence or to an
executor of a deceased person's estate, information that is contained in the record of a deceased current or former police officer,
firefighter, teacher, or judge to assist in properly determining the eligibility and amount of a benefit payment to a surviving recipient, or
information that results from such determination.
</p><p>12. To disclose to any person who is legally responsible for the care of an individual to whom a record pertains, or who otherwise has an
existing, facially-valid Power of Attorney, including care of an individual who is mentally incompetent or under other legal disability,
information necessary to assure application or payment of benefits to which the individual may be entitled.
</p><p>13. To disclose to the Parent Locator Service of the Department of Health and Human Services, upon its request, the present address of an
individual covered by the system needed for enforcing child support obligations of such individual.
</p><p>14. In connection with an examination ordered by the District or the Department under:
</p><p>(A) Medical examination procedures; or
</p><p>(B) Involuntary disability retirement procedures to disclose to the representative of an employee, notices, decisions, other written
communications, or any other pertinent medical evidence other than medical evidence about which a prudent physician would hesitate to inform
the individual; such medical evidence will be disclosed only to a licensed physician, designated in writing for that purpose by the individual
or his or her representative. The physician must be capable of explaining the contents of the medical record(s) to the individual and be
willing to provide the entire record(s) to the individual.
</p><p>15. To disclose information to any source from which the Department seeks additional information that is relevant to a determination of an
individual's eligibility for, or entitlement to, coverage under the applicable retirement, life insurance, and health benefits program, to the
extent necessary to obtain the information requested.
</p><p>16. To disclose information to the Office of Management and Budget at any stage of the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB Circular No. A-19.
</p><p>17. To disclose to an agency responsible for the collection of income taxes the information required by an agreement authorized by law to
implement voluntary income tax withholdings from benefit payments.
</p><p>18. To disclose to the Social Security Administration the names and Social Security numbers of individuals covered by the system when
necessary to determine: (1) Their vital status as shown in the Social Security Master Records; and (2) whether retirees receiving benefit
payments under the District's retirement plan for police officers and
firefighters with post-1956 military service credit are eligible for or are receiving old age or survivors benefits under section 202 of the
Social Security Act based upon their wages and self-employment income.
</p><p>19. To disclose to Federal, State, and local government agencies information to help eliminate fraud and abuse in a benefits program
administered by a requesting Federal, State, or local government agency; to ensure compliance with Federal, State, and local government tax
obligations by persons receiving benefits payments; and/or to collect debts and overpayments owed to the requesting Federal, State, or local
government agency.
</p><p>20. To disclose to a Federal agency, or a person or an organization under contract with a Federal agency to render collection services for
a Federal agency as permitted by law, in response to a written request from the head of the agency or his designee, or from the debt
collection contractor, data concerning an individual owing a debt to the Federal Government.
</p><p>21. To disclose, as permitted by law, information to a State court or administrative agency in connection with a garnishment, attachment,
or similar proceeding to enforce alimony or a child support obligation.
</p><p>22. To disclose information necessary to locate individuals who are owed money or property by a Federal, State or local government agency,
or by a financial institution or similar institution, to the government agency owing or otherwise responsible for the money or property (or
its agent).
</p><p>23. To disclose information necessary in connection with the review of a disputed claim for health benefits to a health plan provider
participating in the Federal Employees Health Benefits Program or the health benefits program for employees of the District, and to a program
enrollee or covered family member or an enrollee or covered family member's authorized representative.
</p><p>24. To disclose information to another Federal agency for the purpose of effecting administrative or salary offset against a person
employed by that agency, or who is receiving or eligible to receive benefit payments from the agency when the Department as a creditor has a
claim against that person relating to benefit payments.
</p><p>25. To disclose information concerning delinquent debts relating to benefit payments to other Federal agencies for the purpose of barring
delinquent debtors from obtaining Federal loans or loan insurance guarantees pursuant to 31 U.S.C. 3720B.
</p><p>26. To disclose to State and local governments information used for collecting delinquent debts relating to benefit payments.
</p><p>27. To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>28. To disclose to a former spouse information necessary to explain how his/her former spouse's benefit was computed.
</p><p>29. To disclose to a surviving spouse, surviving child, dependent parent, and/or legal guardian information necessary to explain how
his/her survivor benefit was computed.
</p><p>30. To disclose to a spouse or dependent child (or court-appointed guardian thereof) of an individual covered by the system, upon request,
whether the individual (a) changed his/her election from a self-and-family to a self-only health and/or life insurance benefit enrollment, (b)
changed his/her additional survivor benefit election, and/or (c) received a lump-sum refund of his/her retirement contributions.
</p><p>Disclosures to consumer reporting agencies:
</p><p>Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this system to consumer reporting agencies in accordance with 31 U.S.C.
3711(e).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained in hard copy and in an electronic format, including (but not limited to) on magnetic tapes, disks,
microfiche.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by various combinations of name; date-of-birth; Social Security number; and/or an automatically assigned,
system generated number of the individual to whom they pertain.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are kept in lockable metal file cabinets or in a secured facility with access limited to those persons whose official
duties require access. Data in electronic format is encrypted or password protected. Personnel screening and training are employed to prevent
unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records on a claim for retirement, including salary and service history, survivor annuity elections, and tax and other withholdings
are destroyed after 115 years from the date of the former police officer's, firefighter's, teacher's or judge's birth; or 30 years after the
date of his/her death, if no application for benefits is received. If a survivor or former spouse receives a benefit payment, such record is
destroyed after his/her death. All other records covered by this system may be destroyed in accordance with approved District and Department
guidelines. Paper records are destroyed by shredding or burning. Records in electronic media are electronically erased using accepted
techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of DC Pensions, U.S. Department of the Treasury, Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its contents,
should contact the system manager. Individuals must furnish the following information for their records to be located and identified:
</p><p>a. Name, including all former names.
</p><p>b. Date of birth.
</p><p>c. Social Security number.
</p><p>d. Signature.
</p><p>e. Contact information.
</p><p>Individuals requesting amendment of their records must also follow the Department's Privacy Act regulations regarding verification of
identity and amendment of records (31 CFR part 1 subpart C, appendix A).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure," above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure," above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information in this system is obtained from:
</p><p>a. The individual to whom the information pertains.
</p><p>b. District pay, leave, and allowance records.
</p><p>c. Health benefits and life insurance plan systems records maintained by the Office of Personnel Management, the District, and health and
life insurance carriers.
</p><p>d. Federal civilian retirement systems.
</p><p>e. Military retired pay system records.
</p><p>f. Social Security Old Age, Survivor, and Disability Insurance and Medicare Programs.
</p><p>g. Official personnel folders.
</p><p>h. The individual's co-workers and supervisors.
</p><p>i. Physicians who have examined or treated the individual.
</p><p>j. Surviving spouse, child(ren), former spouse(s), and/or dependent parent of the individual to whom the information pertains.
</p><p>k. State courts or support enforcement agencies.
</p><p>l. Credit bureaus and financial institutions.
</p><p>m. Government Offices of the District of Columbia, including the DC Retirement Board.
</p><p>n. The General Services Administration National Payroll Center.
</p><p>o. Educational institutions.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .216</systemNumber>
<subsection type="systemName">Security Access Control and Certificates Systems.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Treasury employees, contractors, media representatives, other individuals requiring access to Treasury facilities or to receive
government property, and those who need to gain access to a Treasury DO cyber asset including the network, LAN, desktops and notebooks.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual's application for security/access badge, individual's photograph, fingerprint record, special credentials, allied papers,
registers, and logs reflecting sequential numbering of security/access badges. The system also contains information needed to establish
accountability and audit control of digital certificates that have been assigned to personnel who require access to Treasury DO cyber assets
including the DO network and LAN as well as those who transmit electronic data that requires protection by enabling the use of public key
cryptography. It also contains records that are needed to authorize an individual's access to a Treasury network.
</p><p>Records may include the individual's name, organization, work telephone number, Social Security Number, date of birth, Electronic
Identification Number, work e-mail address, username and password, country of birth, citizenship, clearance and status, title, home address
and phone number, biometric data including fingerprint minutia, and alias names.
</p><p>Records on the creation, renewal, replacement or revocation of digital certificates, including evidence provided by applicants for proof of
identity and authority, sources used to verify an applicant's identity and authority, and the certificates issued, denied and revoked,
including reasons for denial and revocation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321; the Electronic Signatures in Global and National Commerce Act, Pub. L. 106-229, and E.O. 9397
(SSN).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose is to: Improve security to both Treasury DO physical and cyber assets; maintain records concerning the security/access
badges issued; restrict entry to installations and activities; ensure positive identification of personnel authorized access to restricted
areas; maintain accountability for issuance and disposition of security/access badges; maintain an electronic system to facilitate secure, on-
line communication between Federal automated systems, between Federal employees or contractors, and/or the public, using digital signature
technologies to authenticate and verify identity; provide a means of access to Treasury cyber assets including the DO network, LAN, desktop
and laptops; and to provide mechanisms for non-repudiation of personal identification and access to DO sensitive cyber systems including but
not limited to human resource, financial, procurement, travel and property systems as well as tax, econometric and other mission critical
systems. The system also maintains records relating to the issuance of digital certificates utilizing public key cryptography to employees and
contractors for the purpose of transmission of sensitive electronic material that requires protection.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to: (1) Appropriate Federal, state, local and foreign agencies for the purpose of
enforcing and investigating administrative, civil or criminal law relating to the hiring or retention of an employee; issuance of a security
clearance, license, contract, grant or other benefit;
</p><p>(2) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of or in preparation for civil discovery, litigation, or settlement negotiations, in response to a court order where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) A contractor for the purpose of compiling, organizing, analyzing, programming, or otherwise refining records to accomplish an agency
function subject to the same limitations applicable to U.S. Department of the Treasury officers and employees under the Privacy Act;
</p><p>(4) A Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(5) Third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
</p><p>(6) The Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, Federal Labor Relations
Authority, and the Office of Special Counsel for the purpose of properly administering Federal personnel systems or other agencies' systems in
accordance with applicable laws, Executive Orders, and regulations;
</p><p>(7) Representatives of the National Archives and Records Administration (NARA) who are conducting records management inspections under
authority of 44 U.S.C. 2904 and 2906;
</p><p>(8) Other Federal agencies or entities when the disclosure of the existence of the individual's security clearance is needed for the
conduct of government business, and
</p><p>(9) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored as electronic media and paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by individual's name, social security number, electronic identification number and/or access/security badge
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Entrance to data centers and support organization offices is restricted to those employees whose work requires them to be there for
the system to operate. Identification (ID) cards are verified to ensure that only authorized personnel are present. Disclosure of information
through remote terminals is restricted through the use of passwords and sign-on protocols which are periodically changed. Reports produced
from the remote printers are in the custody of personnel and financial management officers and are subject to the same privacy controls as
other documents of like sensitivity. Access is limited to authorized employees. Paper records are maintained in locked safes and/or file
cabinets. Electronic records are password-protected. During non-work hours, records are stored in locked safes and/or cabinets in a locked
room.
</p><p>Protection and control of any sensitive but unclassified (SBU) records are in accordance with TD P 71-10, Department of the Treasury
Security Manual. Access to the records is available only to employees responsible for the management of the system and/or employees of program
offices who have a need for such information.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records on government employees and contractor employees are retained for the duration of their employment at the Treasury
Department. The records on separated employees are destroyed or sent to the Federal Records Center in accordance with General Records Schedule
18.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Departmental Offices:
</p><p>a. Director, Office of Security Programs, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p><p>b. Chief Information Officer, 1750 Pennsylvania Ave., NW., Washington, DC 20006.
</p></xhtmlContent></subsection>
	<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual Treasury components appearing at 31 CFR part 1, subpart C, appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in these records is provided by or verified by the subject individual of the record, supervisors, other
personnel documents, and non-Federal sources such as private employers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .217</systemNumber>
<subsection type="systemName">National Financial Literacy Challenge--Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Department of the Treasury, Office of Financial Education, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by the system will be those high school students age 13 and older and their teachers who participate in the test.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records will include, for Challenge participants, the high schools' names and addresses; students' names and scores;
high school names of award winners; teachers' names, teachers' business email addresses and business phone numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and Executive Order 13455.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system will be used to identify students whose scores on the Challenge meet the guidelines for award recognition
and to distribute the awards to the teachers, who in turn will distribute the awards to the students. Aggregate data and reports related to
the program that may be generated and used for analysis will be in a form that is not individually identifiable.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) A court, magistrate, or administrative tribunal, in the course of presenting evidence, including disclosures to opposing counsel or
witnesses, for the purpose of civil discovery, litigation, or settlement negotiations or in response to a court order, where relevant or
potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(2) A congressional office in response to an inquiry made at the request of the individual (or the individual's parents or guardians) to
whom the record pertains;
</p><p>(3) A contractor or a sponsor, operating in conjunction with the Office of Financial Education to the extent necessary to present
appropriate awards;
</p><p>(4) Appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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, and
</p><p>(5) These records may be used to disclose award winners to the participant's high school.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Students' scores will be retrievable by name, teacher, and school. Teacher data is retrievable by the name and contact information of
the teacher. School information is retrievable by the name and location of the school.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records will be destroyed at the earliest possible date consistent with applicable records retention policies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All official access to the system of records is on a need-to-know basis only, as authorized by the Office of Financial Education of
the U.S. Treasury Department. Procedural and physical safeguards, such as personal accountability, audit logs, and specialized communications
security, will be utilized. Each user of computer systems containing records will have individual passwords (as opposed to group passwords)
for which the user is responsible. Access to computerized records will be limited, through use of access codes, encryption techniques, and/or
other internal mechanisms, to those whose official duties require access. Storage facilities will be secured by various means such as locked
file cabinets with key entry.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director of Outreach, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to records maintained in this system, or
seek to contest its content, must submit a written request containing the following elements: (1) Identify the record system; (2) identify the
category and type of records sought; and (3) provide at least two items of secondary identification (<i>See</i> 31 CFR part 1, appendix A).
Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Student test takers; high school points of contact; and Department of the Treasury records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .218</systemNumber>
<subsection type="systemName">Making Home Affordable Program.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The Office of Financial Stability, Department of the Treasury, Washington, DC. Other facilities that maintain this system of records
are located in: Urbana, MD, Dallas, TX, and a backup facility located in Reston, VA, all belonging to the Federal National Mortgage
Association (Fannie Mae); in McLean, VA, Herndon, VA, Reston, VA, Richardson, TX, and Denver, CO, facilities operated by or on behalf of the
Federal Home Loan Mortgage Corporation (Freddie Mac); and facilities operated by or on behalf of the Bank of New York Mellon (BNYM) in
Nashville, TN, and a backup facility located in Somerset, NJ. Fannie Mae, Freddie Mac and Bank of New York Mellon have been designated as
Financial Agents (Financial Agents) for the MHA Program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system of records contains information about mortgage borrowers that is submitted to the Department or its Financial Agents by
loan servicers that participate in the MHA Program. Information collected pursuant to the MHA Program is subject to the Privacy Act only to
the extent that it concerns individuals; information pertaining to corporations and other business entities and organizations is not subject
to the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains loan-level information about individual mortgage borrowers (including loan records, financial records,
and borrower eligibility records, when appropriate.) Typically, these records include, but are not limited to, the individual's name, Social
Security Number, mailing address, monthly income, criminal history status as referenced in Section 1481 of the Dodd-Frank statute, the
location of the property subject to the loan, property value information, payment history, type of mortgage, and property sale information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Emergency Economic Stabilization Act of 2008 (Pub. L. 110-343) and Dodd-Frank Wall Street Reform and Consumer Protection Act
(Pub. L. 111-203) (2010).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to facilitate administration of the MHA Program by the Department and its Financial Agents,
including by enabling them to (i) collect and utilize information collected from mortgage loan servicers, including loan-level information
about individual mortgage holders and borrower eligibility; and (ii) produce reports on the performance of the MHA Program, such as reports
that concern loan modification eligibility and exception reports that identify certain issues that loan servicers may experience with
servicing loans.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting
violations of or for enforcing or implementing a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an
indication of a potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or
other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a court order where
arguably relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a Congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) Provide information to third parties during the course of a Department investigation as it relates to the MHA Program to the extent
necessary to obtain information pertinent to that investigation;
</p><p>(6) Disclose information to a consumer reporting agency to use in obtaining credit reports;
</p><p>(7) Disclose information to a debt collection agency for use in debt collection services;
</p><p>(8) Disclose information to a Financial Agent of the Department, its employees, agents, and contractors, or to a contractor of the
Department, for the purpose of assessing the quality of and efficient administration of the MHA Program and compliance with relevant
guidelines, agreements, directives and requirements, and subject to the same or equivalent limitations applicable to the Department's officers
and employees under the Privacy Act;
</p><p>(9) Disclose information originating or derived from participating loan servicers back to the same loan servicers as needed, for the
purposes of audit, quality control, and reconciliation and response to borrower requests about that same borrower;
</p><p>(10) Disclose information to Financial Agents, financial institutions, financial custodians, and contractors to: (a) Process mortgage loan
modification applications, including, but not limited to, enrollment forms; (b) implement, analyze and modify programs relating to the MHA
Program; (c) investigate and correct erroneous information submitted to the Department or its Financial Agents; (d) compile and review data
and statistics and perform research, modeling and data analysis to improve the quality of services provided under the MHA Program or otherwise
improve the efficiency or administration of the MHA Program; or (e) develop, test and enhance computer systems used to administer the MHA
Program; with all activities subject to the same or equivalent limitations applicable to the Department's officers and employees under the
Privacy Act;
</p><p>(11) Disclose information to financial institutions, including banks and credit unions, for the purpose of disbursing payments and/or
investigating the accuracy of information required to complete transactions pertaining to the MHA Program and for administrative purposes,
such as resolving questions about a transaction;
</p><p>(12) Disclose information to the appropriate Federal financial regulator or State financial regulator, or to the appropriate Consumer
Protection agency, if that agency has jurisdiction over the subject matter of a complaint or inquiry, or the entity that is the subject of the
complaint or inquiry;
</p><p>(13) Disclose information and statistics to the Department of Housing &amp; Urban Development (HUD), the Department of Commerce (Commerce),
Federal financial regulators, the U.S. Department of Justice (DOJ), and the Federal Housing Finance Agency to assess the quality and
efficiency of services provided under the MHA Program, to ensure compliance with the MHA Program and other laws, and to report on the
Program's overall execution and progress;
</p><p>(14) Disclose information to appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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;
</p><p>(15) Disclose information to the DOJ for its use in providing legal advice to the Department or in representing the Department in a
proceeding before a court, adjudicative body, or other administrative body before which the Department is authorized to appear, where the use
of such information by the DOJ is deemed by the Department to be relevant and necessary to the litigation, and such proceeding names as a
party of interests:
</p><p>(a) The Department or any component thereof, including the Office of Financial Stability (OFS);
</p><p>(b) Any employee of the Department in his or her official capacity;
</p><p>(c) Any employee of the Department in his or her individual capacity where DOJ has agreed to represent the employee; or
</p><p>(d) The United States, where the Department determines that litigation is likely to affect the Department or any of its components,
including OFS; and
</p><p>(16) Disclose information to an authorized recipient who has assured the Department or a Financial Agent of the Department in writing that
the record will be used solely for research purposes designed to assess the quality of and efficient administration of the MHA Program,
subject to the same or equivalent limitations applicable to the Department's officers and employees under the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>STORAGE:
</p><p>Information contained in the system of records is stored in a transactional database and an operational data store. Information from
the system will also be captured in hard-copy form and stored in filing cabinets managed by personnel working on the MHA Program.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information about individuals may be retrieved from the system by reference including the mortgage borrower's name, Social Security
Number, address, criminal history status, or loan number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Safeguards designed to protect information contained in the system against unauthorized disclosure and access include, but are not
limited to: (i) Department and Financial Agent policies and procedures governing privacy, information security, operational risk management,
and change management; (ii) requiring Financial Agent employees to adhere to a code of conduct concerning the aforementioned policies and
procedures; (iii) conducting background checks on all personnel with access to the system of records; (iv) training relevant personnel on
privacy and information security; (v) tracking and reporting incidents of suspected or confirmed breaches of information concerning borrowers;
(vi) establishing physical and technical perimeter security safeguards; (vii) utilizing antivirus and intrusion detection software; (viii)
performing risk and controls assessments and mitigation, including production readiness reviews; (ix) establishing security event response
teams; and (x) establishing technical and physical access controls, such as role-based access management and firewalls. Loan servicers that
participate in the MHA Program (i) have agreed in writing that the information they provide to the Department or to its Financial Agents is
accurate, and (ii) have submitted a "click through" agreement on a Web site requiring the loan servicer to provide accurate
information in connection with using the Program Web site. In addition, the Department's Financial Agents will conduct loan servicer
compliance reviews to validate data collection controls, procedures, and records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Information is retained in the system on back-up tapes or in hard-copy form for seven years, except to the extent that either (i) the
information is subject to a litigation hold or other legal retention obligation, in which case the data is retained as mandated by the
relevant legal requirements, or (ii) the Department and its Financial Agents need the information to carry out the Program. Destruction is
carried out by degaussing according to industry standards. Hard copy records are shredded and recycled.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Assistant Secretary, Fiscal Operations and Policy, Department of the Treasury, 1500 Pennsylvania Avenue NW., Washington, DC
20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, to gain access to records maintained in this system,
or to amend or correct information maintained in this system, must submit a written request to do so in accordance with the procedures set
forth in 31 CFR 1.26-.27. Address such requests to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave.
NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information about mortgage borrowers contained in the system of records is obtained from loan servicers who participate in the MHA
Program, or developed by the Department and its Financial Agents in connection with the MHA Program. Information is not obtained directly from
individual mortgage borrowers to whom the information pertains.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .219</systemNumber>
<subsection type="systemName">TARP Standards for Compensation and Corporate Governance--Executive Compensation Information.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Financial Stability, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>a. Senior Executive Officers or "SEOs." SEOs of TARP recipients will be covered by the system. The term "SEO"
means an employee of the TARP recipient who is a "named executive officer," as that term is defined by Instruction 1 to Item
402(a)(3) of Regulation S-K of the Federal securities laws. 17 CFR 229.402(a). A TARP recipient that is a "smaller reporting
company," as that term is defined by Item 10 of Regulation S-K, 17 CFR 229.10, is required to identify SEOs consistent with the
immediately preceding sentence. A TARP recipient that is a "smaller reporting company" must identify at least five SEOs, even if
only three named executive officers are provided in the disclosure pursuant to Item 402(m)(2) of Regulation S-K, 17 CFR 229.402(m)(2),
provided that no employee must be identified as an SEO if the employee's total annual compensation does not exceed $100,000 as defined in Item
402(a)(3)(1) of Regulation S-K. 17 CFR 229.402(a)(3)(1).
</p><p>b. Most highly compensated employees. Most highly compensated employees of TARP recipients will be covered by the system. The term "
most highly compensated employee" means the employee of the TARP recipient whose annual compensation is determined to be the highest
among all employees of the TARP recipient, provided that, for this purpose, a former employee who is no longer employed as of the first day of
the relevant fiscal year of the TARP recipient is not a most highly compensated employee unless it is reasonably anticipated that such
employee will return to employment with the TARP recipient during such fiscal year.
</p><p>c. Other employees. Certain other employees of TARP recipients may be covered by the system in the event that the TARP recipient or the
employee requests guidance from the Department with respect to the employee's compensation or the Department otherwise provides guidance with
respect to the employee's compensation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The categories of records include, but are not limited to, identifying information such as: name(s), employer; employee identification
number, position, and quantitative and qualitative information with respect to the employee's performance.
</p><p>The types of records in the system may be:
</p><p>a. Comprehensive compensation data provided by the individual's employer for current and prior years.
</p><p>b. Information relating to compensation plan design and documentation.
</p><p>c. Company performance data relating to compensation plans.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>This system of records is authorized by 31 U.S.C. 321 as well as section 111 of the Emergency Economic Stabilization Act of 2008 (
"EESA"), as amended by the American Recovery and Reinvestment Act of 2009 ("ARRA"). 12 U.S.C. 5221.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Department of the Treasury collects this information from each TARP recipient in connection with the review of compensation
payments and compensation structures applicable to SEOs and certain highly compensated employees. Information with respect to certain payments
to highly compensated employees will also be reviewed in connection with a determination of whether such payments were inconsistent with the
purposes of section 111 of EESA or TARP, or were otherwise contrary to the public interest.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used:
</p><p>1. To disclose pertinent information to the appropriate Federal, State, or local agency responsible for investigating or prosecuting a
violation of, or enforcing or implementing, a statute, rule, regulation, or order, where the Department becomes aware of a potential violation
of civil or criminal law or regulation, rule or order.
</p><p>2. To provide information to a Congressional office from the record of an individual in response to an inquiry from that Congressional
office made at the request of the individual who is the subject of the record.
</p><p>3. To disclose information to another Federal agency, to a court, or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Federal Government is a party to the judicial or administrative proceeding. In those
cases where the Federal Government is not a party to the proceeding, records may be disclosed if a subpoena has been signed by a court of
competent jurisdiction and Agency Touhy regulations are followed. <i>See</i> 31 CFR 1.8 <i>et seq.</i>
</p><p>4. To disclose information to the National Archives and Records Administration (NARA) for use in its records management inspections and its
role as an Archivist.
</p><p>5. To disclose information to the United States Department of Justice ("DOJ"), for the purpose of representing or providing
legal advice to the Department in a proceeding before a court, adjudicative body, or other administrative body before which the Department is
authorized to appear, when such proceeding involves:
</p><p>(A) The Department or any component thereof;
</p><p>(B) Any employee of the Department in his or her official capacity;
</p><p>(C) Any employee of the Department in his or her individual capacity where the Department of Justice or the Department has agreed to
represent the employee; or
</p><p>(D) The United States, when the Department determines that litigation is likely to affect the Department or any of its components; and the
use of such records by the DOJ is deemed by the DOJ or the Department to be relevant and necessary to the litigation provided that the
disclosure is compatible with the purpose for which records were collected.
</p><p>6. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for the Department, when necessary to accomplish an agency function related to this system of
records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on
disclosure as are applicable to Department officers and employees.
</p><p>7. To appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed
compromise that there is a risk of harm to economic or property interests, 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 made to such agencies, entities, and persons is 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.
</p><p>8. In limited circumstances, for the purpose of compiling or otherwise refining records that may be disclosed to the public in the form of
summary reports or other analyses provided on a Department Web site.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained in both an electronic format, including (but not limited to) on magnetic tapes, disks, microfiche, and
hardcopy paper reports.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records may be retrieved by various combinations of employer name, individual name, position and/or level of compensation.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Data in electronic format is encrypted or password protected. Direct access is limited to employees within the Office of Financial
Stability whose duties require access. The building where the records are maintained is locked after hours and has a 24-hour security guard.
Personnel screening and training are employed to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be maintained indefinitely until a record disposition schedule submitted to the National Archives Records
Administration has been approved.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Compliance, U.S. Department of the Treasury, 1500 Pennsylvania Avenue, Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in the system of records, or seeking to contest its contents,
should contact the system manager. Individuals must furnish the following information for their records to be located and identified:
</p><p>a. Name.
</p><p>b. Employer.
</p><p>c. Signature.
</p><p>d. Contact information.
</p><p>[Individuals requesting amendment of their records must also follow the Department's Privacy Act regulations regarding verification of
identity and amendment of records (31 CFR part 1 subpart C, appendix A).]
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification procedure," above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification procedure,"‘ above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information in this system is obtained from the individual's employer.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .220</systemNumber>
<subsection type="systemName">SIGTARP Hotline Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Complainants who contact the SIGTARP Hotline.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Correspondence received from Hotline complainants; (2) records created of verbal communications with Hotline complainants; and (3)
records used to process Hotline complaints, including information included in SIGTARP's other systems of records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 5231, 5 U.S.C. App. 3, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system consists of complaints received by SIGTARP from individuals and their representatives, oversight committees, and others
who conduct business with SIGTARP, and information concerning efforts to resolve these complaints; it serves as a record of the complaints and
the steps taken to resolve them.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, foreign, State, local, Tribal or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an indication of a potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in
consultation with or by that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who
has requested access to or amendment or correction of records;
</p><p>(5) Disclose information to the Department of Justice when seeking legal advice, or when (a) the agency or (b) any component thereof, or
(c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(6) Disclose information to the appropriate foreign, State, local, Tribal, or other public authority or self-regulatory organization for
the purpose of (a) consulting as to the propriety of access to or amendment or correction of information obtained from that authority or
organization, or (b) verifying the identity of an individual who has requested access to or amendment or correction of records;
</p><p>(7) Disclose information to contractors and other agents who have been engaged by the Department or one of its bureaus to provide products
or services associated with the Department's or bureau's responsibility arising under the FOIA/PA;
</p><p>(8) Disclose information to the National Archives and Records Administration for use in records management inspections;
</p><p>(9) Disclose information to appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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;
</p><p>(10) Disclose information to any source, either private or governmental, to the extent necessary to elicit information relevant to a
SIGTARP audit or investigation;
</p><p>(11) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing personnel actions or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties;
</p><p>(12) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger; and
</p><p>(13) Disclose information to persons engaged in conducting and reviewing internal and external peer reviews of the Office of Inspector
General to ensure adequate internal safeguards and management procedures exist within any office that had received law enforcement
authorization or to ensure auditing standards applicable to government audits by the Comptroller General of the United States are applied and
followed.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the correspondent and/or name of the individual to whom the record applies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to SIGTARP personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records are maintained and disposed of in accordance with a record disposition schedule 12 approved by the National Archives
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC
20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. This system of records may contain
records that are exempt from the notification, access, and contesting records requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2)
and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (k)
(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .221</systemNumber>
<subsection type="systemName">SIGTARP Correspondence Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Correspondents; and (2) persons upon whose behalf correspondence was initiated.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Correspondence received by SIGTARP and responses generated thereto; and (2) records used to respond to incoming correspondence,
including information included in SIGTARP's other systems of records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 5231, 5 U.S.C. App. 3, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system consists of correspondence received by SIGTARP from individuals and their representatives, oversight committees, and
others who conduct business with SIGTARP and the responses thereto; it serves as a record of in-coming correspondence and the steps taken to
respond thereto.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, foreign, State, local, Tribal or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law
or regulation;
</p><p>(2) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in
consultation with or by that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who
has requested access to or amendment or correction of records;
</p><p>(5) Disclose information to the Department of Justice when seeking legal advice, or when (a) the agency or (b) any component thereof, or
(c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(6) Disclose information to the appropriate foreign, State, local, Tribal, or other public authority or self-regulatory organization for
the purpose of (a) consulting as to the propriety of access to or amendment or correction of information obtained from that authority or
organization, or (b) verifying the identity of an individual who has requested access to or amendment or correction of records;
</p><p>(7) Disclose information to contractors and other agents who have been engaged by the Department or one of its bureaus to provide products
or services associated with the Department's or bureau's responsibility arising under the FOIA/PA;
</p><p>(8) Disclose information to the National Archives and Records Administration for use in records management inspections;
</p><p>(9) Disclose information to appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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;
</p><p>(10) Disclose information to any source, either private or governmental, to the extent necessary to elicit information relevant to a
SIGTARP audit or investigation;
</p><p>(11) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing personnel actions or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties;
</p><p>(12) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger; and
</p><p>(13) Disclose information to persons engaged in conducting and reviewing internal and external peer reviews of the Office of Inspector
General to ensure adequate internal safeguards and management procedures exist within any office that had received law enforcement
authorization or to ensure auditing standards applicable to government audits by the Comptroller General of the United States are applied and
followed.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the correspondent and/or name of the individual to whom the record applies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to SIGTARP personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records are maintained and disposed of in accordance with a record disposition schedule 12 approved by the National Archives
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC
20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. This system of records may contain
records that are exempt from the notification, access, and contesting records requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2)
and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (k)
(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .222</systemNumber>
<subsection type="systemName">SIGTARP Investigative MIS Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Subjects or potential subjects of investigative activities; witnesses involved in investigative activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Reports of investigations, which may include, but are not limited to, witness statements, affidavits, transcripts, police reports,
photographs, documentation concerning requests and approval for consensual telephone and consensual non-telephone monitoring, the subject's
prior criminal record, vehicle maintenance records, medical records, accident reports, insurance policies, police reports, and other exhibits
and documents collected during an investigation; (2) status and disposition information concerning a complaint or investigation including
prosecutive action and/or administrative action; (3) complaints or requests to investigate; (4) subpoenas and evidence obtained in response to
a subpoena; (5) evidence logs; (6) pen registers; (7) correspondence; (8) records of seized money and/or property; (9) reports of laboratory
examination, photographs, and evidentiary reports; (10) digital image files of physical evidence; (11) Documents generated for purposes of
SIGTARP's undercover activities; (12) documents pertaining to the identity of confidential informants; and, (13) other documents collected
and/or generated by the Office of Investigations during the course of official duties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 5231, 5 U.S.C. App. 3, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to maintain information relevant to complaints received by SIGTARP and collected as part of
investigations conducted by SIGTARP's Office of Investigations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, foreign, State, local, Tribal or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an indication of a potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in
consultation with or by that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who
has requested access to or amendment or correction of records;
</p><p>(5) Disclose information to the Department of Justice when seeking legal advice, or when (a) the agency or (b) any component thereof, or
(c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(6) Disclose information to the appropriate foreign, State, local, Tribal, or other public authority or self-regulatory organization for
the purpose of (a) consulting as to the propriety of access to or amendment or correction of information obtained from that authority or
organization, or (b) verifying the identity of an individual who has requested access to or amendment or correction of records;
</p><p>(7) Disclose information to contractors and other agents who have been engaged by the Department or one of its bureaus to provide products
or services associated with the Department's or bureau's responsibility arising under the FOIA/PA;
</p><p>(8) Disclose information to the National Archives and Records Administration for use in records management inspections;
</p><p>(9) Disclose information to appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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;
</p><p>(10) Disclose information to any source, either private or governmental, to the extent necessary to elicit information relevant to a
SIGTARP audit or investigation;
</p><p>(11) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing personnel actions or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties;
</p><p>(12) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger; and
</p><p>(13) Disclose information to persons engaged in conducting and reviewing internal and external peer reviews of the Office of Inspector
General to ensure adequate internal safeguards and management procedures exist within any office that had received law enforcement
authorization or to ensure auditing standards applicable to Government audits by the Comptroller General of the United States are applied and
followed.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, Social Security Number, and/or case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to SIGTARP personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are currently not eligible for disposal. SIGTARP is in the process of requesting approval from the National Archives and
Records Administration of records disposition schedules concerning all records in this system of records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC
20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Chief Counsel, Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC 20036.
This system of records may contain records that are exempt from the notification, access, and contesting records requirements pursuant to the
provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (k)
(2).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .223</systemNumber>
<subsection type="systemName">SIGTARP Investigative Files Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Subjects or potential subjects of investigative activities; witnesses involved in investigative activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Reports of investigations, which may include, but are not limited to, witness statements, affidavits, transcripts, police reports,
photographs, documentation concerning requests and approval for consensual telephone and consensual non-telephone monitoring, the subject's
prior criminal record, vehicle maintenance records, medical records, accident reports, insurance policies, police reports, and other exhibits
and documents collected during an investigation; (2) status and disposition information concerning a complaint or investigation including
prosecutive action and/or administrative action; (3) complaints or requests to investigate; (4) subpoenas and evidence obtained in response to
a subpoena; (5) evidence logs; (6) pen registers; (7) correspondence; (8) records of seized money and/or property; (9) reports of laboratory
examination, photographs, and evidentiary reports; (10) digital image files of physical evidence; (11) Documents generated for purposes of
SIGTARP's undercover activities; (12) documents pertaining to the identity of confidential informants; and, (13) other documents collected
and/or generated by the Office of Investigations during the course of official duties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 5231, 5 U.S.C. App. 3, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to maintain information relevant to complaints received by SIGTARP and collected as part of
investigations conducted by SIGTARP's Office of Investigations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, foreign, State, local, Tribal or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an indication of a potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in
consultation with or by that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who
has requested access to or amendment or correction of records;
</p><p>(5) Disclose information to the Department of Justice when seeking legal advice, or when (a) the agency or (b) any component thereof, or
(c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(6) Disclose information to the appropriate foreign, State, local, Tribal, or other public authority or self-regulatory organization for
the purpose of (a) consulting as to the propriety of access to or amendment or correction of information obtained from that authority or
organization, or (b) verifying the identity of an individual who has requested access to or amendment or correction of records;
</p><p>(7) Disclose information to contractors and other agents who have been engaged by the Department or one of its bureaus to provide products
or services associated with the Department's or bureau's responsibility arising under the FOIA/PA;
</p><p>(8) Disclose information to the National Archives and Records Administration for use in records management inspections;
</p><p>(9) Disclose information to appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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;
</p><p>(10) Disclose information to any source, either private or governmental, to the extent necessary to elicit information relevant to a
SIGTARP audit or investigation;
</p><p>(11) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing personnel actions or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties;
</p><p>(12) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger; and
</p><p>(13) Disclose information to persons engaged in conducting and reviewing internal and external peer reviews of the Office of Inspector
General to ensure adequate internal safeguards and management procedures exist within any office that had received law enforcement
authorization or to ensure auditing standards applicable to Government audits by the Comptroller General of the United States are applied and
followed.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, Social Security Number, and/or case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to SIGTARP personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are currently not eligible for disposal. SIGTARP is in the process of requesting approval from the National Archives and
Records Administration of records disposition schedules concerning all records in this system of records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC
20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. This system of records may contain
records that are exempt from the notification, access, and contesting records requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2)
and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (k)
(2).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .224</systemNumber>
<subsection type="systemName">SIGTARP Audit Files Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Auditors, certain administrative support staff, contractors of SIGTARP, and certain subjects and/or witnesses referenced in SIGTARP's
audit activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Audit reports; and (2) working papers, which may include copies of correspondence, evidence, subpoenas, other documents collected
and/or generated by the Office of Audit during the course of official duties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 5231, 5 U.S.C. App. 3, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is maintained in order to act as a management information system for SIGTARP audit projects and personnel and to assist in
the accurate and timely conduct of audits.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, foreign, State, local, Tribal or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an indication of a potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in
consultation with or by that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who
has requested access to or amendment or correction of records;
</p><p>(5) Disclose information to the Department of Justice when seeking legal advice, or when (a) the agency or (b) any component thereof, or
(c) any employee of the agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or (e) the United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and necessary to the litigation;
</p><p>(6) Disclose information to the appropriate foreign, State, local, Tribal, or other public authority or self-regulatory organization for
the purpose of (a) consulting as to the propriety of access to or amendment or correction of information obtained from that authority or
organization, or (b) verifying the identity of an individual who has requested access to or amendment or correction of records;
</p><p>(7) Disclose information to contractors and other agents who have been engaged by the Department or one of its bureaus to provide products
or services associated with the Department's or bureau's responsibility arising under the FOIA/PA;
</p><p>(8) Disclose information to the National Archives and Records Administration for use in records management inspections;
</p><p>(9) Disclose information to appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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;
</p><p>(10) Disclose information to any source, either private or governmental, to the extent necessary to elicit information relevant to a
SIGTARP audit or investigation;
</p><p>(11) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing personnel actions or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties;
</p><p>(12) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger; and
</p><p>(13) Disclose information to persons engaged in conducting and reviewing internal and external peer reviews of the Office of Inspector
General to ensure adequate internal safeguards and management procedures exist within any office that had received law enforcement
authorization or to ensure auditing standards applicable to Government audits by the Comptroller General of the United States are applied and
followed.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the auditor, support staff, contractors, or subject of the audit.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to SIGTARP personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are currently not eligible for disposal. SIGTARP is in the process of requesting approval from the National Archives and
Records Administration of records disposition schedules concerning all records in this system of records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, Office of the Special Inspector General for the Troubled Asset Relief Program, 1801 L Street, NW., Washington, DC
20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. This system of records may contain
records that are exempt from the notification, access, and contesting records requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2)
and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Address inquiries to: Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (k)
(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .225</systemNumber>
<subsection type="systemName">TARP Fraud Investigation Information System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Financial Stability, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The TARP Fraud Investigation Information System contains information about:
</p><p>(a) Individuals that seek, receive or are entrusted with TARP funds;
</p><p>(b) Individuals that are:
</p><p>1. Known perpetrators or suspected perpetrators of a known or possible fraud committed or attempted against TARP programs;
</p><p>2. Directors, officers, partners, proprietors, employees, and agents, of a business entity;
</p><p>3. Named as possible witnesses;
</p><p>4. Actual or potential victims of fraud, including but not limited to mortgage fraud; and
</p><p>5. Individuals or entities who have applied to any of the TARP programs, recipients of TARP program funds and/or benefits, OFS contractors,
OFS agents; or
</p><p>6. Individuals or entities who have or might have information about reported matters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains information on individuals or entities who seek, receive or are entrusted with TARP funds, are the
subject of an investigation or in connection with an investigation, undertaken by OFS into allegations of actual or suspected TARP program
fraud, waste, and/or abuse. Typically, these records include, but are not limited to, the individual's name, date of birth, social security
number, telephone number(s), residential address(es), e-mail or web address(es), driver's license number, vehicle ownership records, prior
criminal history, and other exhibits and documents collected during an investigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 5211 and 18 U.S.C. 1031.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to maintain a database of investigative materials consisting of complaints, inquiries, and
investigative referrals pertaining to alleged fraud, waste, and/or abuse committed or alleged to have been committed by third parties against
the TARP programs, and of background inquiries conducted on individuals seeking, receiving or entrusted with TARP funds. Information in the
system will allow investigators to determine whether to refer matters to the appropriate authority for further investigation and possible
criminal, civil, or administrative action.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used:
</p><p>1. To disclose pertinent information to appropriate Federal, foreign, State, local, Tribal or other public authorities or self-regulatory
organizations responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an indication of a potential violation of civil or criminal law or regulation.
</p><p>2. Provide information to a Congressional office in response to an inquiry made at the request of the individual to whom the record
pertains.
</p><p>3. Disclose information to a court, or a party in litigation before a court or in an administrative proceeding being conducted by a Federal
agency, when the Federal Government is a party to the judicial or administrative proceeding. In those cases where the Federal Government is
not a party to the proceeding, records may be disclosed if a subpoena has been signed by a court of competent jurisdiction and agency "
Touhy" regulations are followed. See 31 CFR 1.8 et seq.
</p><p>4. To disclose information to the National Archives and Records Administration (NARA) for use in its records management inspections and its
role as an Archivist.
</p><p>5. To disclose information to the United States Department of Justice (DOJ), for the purpose of representing or providing legal advice to
the Department of the Treasury (Department) in a proceeding before a court, adjudicative body, or other administrative body before which the
Department is authorized to appear, when such proceeding involves:
</p><p>(a) The Department or any component thereof;
</p><p>(b) Any employee of the Department in his or her official capacity;
</p><p>(c) Any employee of the Department in his or her individual capacity where the DOJ or the Department has agreed to represent the employee;
or
</p><p>(d) The United States, when the Department determines that litigation is likely to affect the Department or any of its components; and the
use of such records by the DOJ is deemed by the DOJ or the Department to be relevant and necessary to the litigation provided that the
disclosure is compatible with the purpose for which records were collected.
</p><p>6. To contractors and their agents, grantees, experts, consultants, and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for the Department, when necessary to accomplish an agency function related to this system of
records. Individuals provided information under this routine use are subject to the same Privacy Act requirements and limitations on
disclosure as are applicable to Department officers and employees.
</p><p>7. To appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (b) the Department has determined that as a result of the suspected or confirmed
compromise that there is a risk of harm to economic or property interests, 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 made to such agencies, entities, and persons is 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.
</p><p>8. To disclose information to the appropriate Federal, foreign, State, local, Tribal, or other public authority or self regulatory
organization for the purpose of consulting as to the propriety of access to or amendment or correction of information obtained from that
authority or organization, or verifying the identity of an individual who has requested access to or amendment or correction of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained in both an electronic media and paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records may be retrieved by various combinations of employer name and or individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Where feasible, data in electronic format is encrypted or password protected. Access to data and records is limited to only those
employees within the Office of Financial Stability whose duties require access. Physical records are kept securely locked at a controlled,
limited-access facility. Personnel screening and training are employed to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records will be maintained indefinitely until a record disposition schedule submitted to the National Archives Records
Administration has been approved.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Supervisory Fraud Specialist, Office of Financial Stability, U.S. Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Address inquiries to: Director,
Disclosure Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. This system of records may contain
records that are exempt from the notification, access, and contesting records requirements pursuant to the provisions of 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from mortgage servicers, other government agencies or self regulatory organizations,
Treasury's financial agents, commercial databases, and/or witnesses or other third parties having information relevant to an investigation.
Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed pursuant
to the provisions of 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)
(4)(G), (e)(4)(H), (I) and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .226</systemNumber>
<subsection type="systemName">Validating EITC Eligibility with State Data Pilot Project Records -Treasury/DO.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Fiscal Assistant Secretary, Department of the Treasury, Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who file for State-administered public assistance benefits in States participating in the Department's pilot program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include information pertaining to the Department of the Treasury's pilot project "Assessing State Data for
Validating EITC Eligibility." Records include, but are not limited to, the application[s] for State-administered benefits, including
subsequent recertification documentation and other documents supporting eligibility for State-administered benefit programs. The records may
contain taxpayer names, Taxpayer Identification Numbers, social security numbers, and other representative authorization information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Consolidated Appropriations Act, 2010 (Pub. L. 111-117, 123 Stat. 3034, 3171-3172); 5 U.S.C. 301; 31 U.S.C. 321.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The purpose of this system is to determine whether data maintained by up to five States in their public assistance and other databases
can assist in identifying both ineligible individuals who receive improper Earned Income Tax Credit payments and eligible individuals who are
not claiming the EITC.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the Department determines that the purpose of the disclosure is compatible with the purpose for which the Department
collected the records, and no privilege is asserted.
</p><p>(1) Disclose to the appropriate State agencies responsible for validating results of the data matching initiative with specific individual
case file research.
</p><p>(2) Provide information to a Congressional Office in response to an inquiry made at the request of the individual to whom the records
pertain.
</p><p>(3) Disclose information to a contractor, including a consultant hired by Treasury, to the extent necessary for the performance of a
contract.
</p><p>(4) To appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>(5) Disclose information to the National Archives and Records Administration ("NARA") for use in its records management
inspections and its role as an Archivist.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number, social security number, employer identification number, or similar number
assigned by the IRS.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms with access limited to those personnel whose official duties require access. The
facilities have 24-hour on-site security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Electronic and paper records will be maintained indefinitely until a records disposition schedule is approved by the National Archives
and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Assistant Secretary for Fiscal Operations and Policy, Office of the Fiscal Assistant Secretary, Department of the Treasury,
1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix A. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Inquiries should be addressed to Director, Disclosure
Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. For all other records, see "Records Access Procedures"
above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system are provided by the States' department for public assistance and health services, and/or the departments of
revenue for the States participating in the pilot project.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .301</systemNumber>
<subsection type="systemName">TIGTA General Personnel and Payroll.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Headquarters, 1125 15th Street, NW., Washington, DC 20005, field offices listed in Appendices A and B, Bureau of Public Debt,
200 Third Street, Parkersburg, WV 26106-1328, and Transaction Processing Center, U.S. Department of Agriculture, National Finance
Center.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former TIGTA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of a variety of records relating to personnel actions and determinations made about TIGTA employees. These
records contain data on individuals required by the Office of Personnel Management (OPM) and which may also be contained in the Official
Personnel File (OPF). This system may also contain letters of commendation, recommendations for awards, awards, reprimands, adverse or
disciplinary charges, and other records which OPM and TIGTA require or permit to be maintained. This system may include records that are
maintained in support of a personnel action such as a position management or position classification action, a reduction-in-force action, and
priority placement actions. Other records maintained about an individual in this system are performance appraisals and related records,
expectation and payout records, employee performance file records, suggestion files, award files, financial and tax records, back pay files,
jury duty records, outside employment statements, clearance upon separation documents, unemployment compensation records, adverse and
disciplinary action files, supervisory drop files, records relating to personnel actions, furlough and recall records, work measurement
records, emergency notification records, and employee locator and current address records. This system includes records created and maintained
for purposes of administering the payroll system. Time-reporting records include timesheets and records indicating the number of hours by
TIGTA employee attributable to a particular project, task, or audit. This system also includes records related to travel expenses and/or
costs. This system includes records concerning employee participation in the mobile-workplace (telecommuting) program. This system also
contains records relating to life and health insurance, retirement coverage, designations of beneficiaries, and claims for survivor or death
benefits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3, and 5 U.S.C. 301, 1302, 2951, 4506, Ch. 83, 87, and 89.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system consists of records compiled for personnel, payroll and time-reporting purposes. In addition, this system contains all
records created and/or maintained about employees as required by the Office of Personnel Management (OPM) as well as documents relating to
personnel matters and determinations. Retirement, life, and health insurance benefit records are collected and maintained in order to
administer the Federal Employee's Retirement System (FERS), Civil Service Retirement System (CSRS), Federal Employee's Group Life Insurance
Plan, and, the Federal Employees' Health Benefit Program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosures of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to Federal, State, local, or foreign agencies, or other public authority responsible for investigating
or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the disclosing agency
becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which the agency is
authorized to appear when: (a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the
agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United
States, when the agency determines that litigation is likely to affect the agency, is a party of the litigation or has an interest in such
litigation, and the use of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding
and not otherwise privileged;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties in order to obtain information pertinent and necessary for the hiring or retention of an
individual and/or to obtain information pertinent to an investigation;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(10) Provide information to educational institutions for recruitment and cooperative education purposes;
</p><p>(11) Provide information to a Federal, State, or local agency so that the agency may adjudicate an individual's eligibility for a benefit;
</p><p>(12) Provide information to a Federal, State, or local agency or to a financial institution as required by law for payroll purposes;
</p><p>(13) Provide information to Federal agencies to effect inter-agency salary offset and administrative offset;
</p><p>(14) Provide information to a debt collection agency for debt collection services;
</p><p>(15) Respond to State and local authorities for support garnishment interrogatories;
</p><p>(16) Provide information to private creditors for the purpose of garnishment of wages of an employee if a debt has been reduced to a
judgment;
</p><p>(17) Provide information to a prospective employer of a current or former TIGTA employee;
</p><p>(18) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger;
</p><p>(19) Provide information to the Office of Workers' Compensation, Veterans Administration Pension Benefits Program, Social Security Old Age,
Survivor and Disability Insurance and Medicare Programs, Federal civilian employee retirement systems, and other Federal agencies when
requested by that program, for use in determining an individual's claim for benefits;
</p><p>(20) Provide information necessary to support a claim for health insurance benefits under the Federal Employees' Health Benefits Program to
a health insurance carrier or plan participating in the program;
</p><p>(21) Provide information to hospitals and similar institutions to verify an employee's coverage in the Federal Employees' Health Benefits
Program;
</p><p>(22) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(23) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt information concerning a claim against an individual may be made
from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic media, paper records, and microfiche.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, Social Security Number, and/or claim number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the appropriate National Archives and Records Administration General Records
Schedule, Nos. 1 and 2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>General Personnel Records--Assistant Inspector General for Mission Support/Chief Financial Officer. Time-reporting records: (1)
For Office of Audit employees--Deputy Inspector General for Audit; (2) For Office of Chief Counsel employees--Chief Counsel; (3) For
Office of Investigations employees--Deputy Inspector General for Investigations; and(4) For Office of Mission Support/Chief Financial
Officer employees--Assistant Inspector General for Mission Support/Chief Financial Officer--1125 15th Street, NW., Room 700A,
Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records either comes from the individual to whom it applies, is derived from information supplied by
that individual, or is provided by Department of the Treasury and other Federal agency personnel and records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .302</systemNumber>
<subsection type="systemName">TIGTA Medical Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Health Improvement Plan Records--Office of Investigations, 1125 15th Street, NW., Washington, DC 20005 and field division
offices listed in Appendix A; and, (2) All other records of: (a) Applicants and current TIGTA employees: Office of Mission Support/Chief
Financial Officer, TIGTA, 1125 15th Street, NW., Washington, DC 20005 and/or Bureau of Public Debt, 200 Third Street, Parkersburg, WV 26106
-1328; and, (b) former TIGTA employees: National Personnel Records Center, 9700 Page Boulevard, St. Louis, MO 63132.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Applicants for TIGTA employment; (2) Current and former TIGTA employees; (3) Applicants for disability retirement; and, (4)
Visitors to TIGTA offices who require medical attention while on the premises.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Documents relating to an applicant's mental/physical ability to perform the duties of a position; (2) Information relating to an
applicant's rejection for a position because of medical reasons; (3) Documents relating to a current or former TIGTA employee's
mental/physical ability to perform the duties of the employee's position; (4) Disability retirement records; (5) Health history
questionnaires, medical records, and other similar information for employees participating in the Health Improvement Program; (6) Fitness-for-
duty examination reports; (7) Employee assistance records; (8) Injury compensation records relating to on-the-job injuries of current or
former TIGTA employees; and, (9) Records relating to the drug testing program.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3, 5 U.S.C. 301, 3301, 7301, 7901, and Ch. 81, 87 and 89.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records related to employee physical exams, fitness-for-duty evaluations, drug testing, disability retirement claims,
participation in the Health Improvement Program, and worker's compensation claims. In addition, these records may be used for purposes of
making suitability and fitness-for duty determinations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>With the exception of Routine Use "(1)," none of the other Routine Uses identified for this system of records are
applicable to records relating to drug testing under Executive Order 12564 "Drug-Free Federal Work Place." Further, such records
shall be disclosed only to a very limited number of officials within the agency, generally only to the agency Medical Review Official (MRO),
the administrator of the agency Employee Assistance Program, and the management official empowered to recommend or take adverse action
affecting the individual.
</p><p>Records may be used to:
</p><p>(1) Disclose the results of a drug test of a Federal employee pursuant to an order of a court of competent jurisdiction where required by
the United States Government to defend against any challenge against any adverse personnel action;
</p><p>(2) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(3) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(4) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which the agency is
authorized to appear when (a) the agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency
in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United
States, when the agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such
litigation, and the use of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding
and not otherwise privileged;
</p><p>(5) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(6) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(7) Provide information to third parties in order to obtain information pertinent and necessary for the hiring or retention of an
individual and/or to obtain information pertinent to an investigation;
</p><p>(8) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(9) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(10) Provide information to Federal or State agencies responsible for administering Federal benefits programs and private contractors
engaged in providing benefits under Federal contracts;
</p><p>(11) Disclose information to an individual's private physician where medical considerations or the content of medical records indicate that
such release is appropriate;
</p><p>(12) Disclose information to other Federal or State agencies to the extent provided by law or regulation;
</p><p>(13) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger;
</p><p>(14) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(15) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records, electronic media, and x-rays.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, Social Security Number, date of birth and/or claim number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the appropriate National Archives and Records Administration General Records
Schedule, No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Health Improvement Program records--Deputy Inspector General for Investigations, TIGTA, 1125 15th Street, NW., Room 700A,
Washington, DC 20005; and, (2) All other records--Assistant Inspector General for Mission Support/Chief Financial Officer, TIGTA, 1125
15th Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart c, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Section, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) The subject of the record; (2) Medical personnel and institutions; (3) Office of Workers' Compensation personnel and records; (4)
Military Retired Pay Systems Records; (5) Federal civilian retirement systems; (6) General Accounting Office pay, leave allowance cards; (7)
OPM Retirement, Life Insurance and Health Benefits Records System and Personnel Management Records System; (8) Department of Labor; and, (9)
Federal Occupation Health Agency.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .303</systemNumber>
<subsection type="systemName">TIGTA General Correspondence.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Headquarters, 1125 15th Street, NW., Washington, DC 20005, and field offices listed in Appendices A and B.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Initiators of correspondence; and, (2) Persons upon whose behalf the correspondence was initiated.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Correspondence received by TIGTA and responses generated thereto; and, (2) Records used to respond to incoming correspondence.
Special Categories of correspondence may be included in other systems of records described by specific notices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3 and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system consists of correspondence received by TIGTA from individuals and their representatives, oversight committees, and others
who conduct business with TIGTA and the responses thereto; it serves as a record of in-coming correspondence and the steps taken to respond
thereto.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosures of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when (a) the agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise
privileged;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, or in connection with criminal law
proceedings or in response to a subpoena where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to a Congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(7) Provide information to the news media, in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(9) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978,as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(10) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the correspondent and/or name of the individual to whom the record applies.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records are maintained and disposed of in accordance with a record disposition schedule approved by the National Archives
Records Administration. TIGTA is in the process of requesting approval for a record retention schedule for electronic records maintained in
this system. These electronic records will not be destroyed until TIGTA receives such approval.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Mission Support/Chief Financial Officer, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC
20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2). Non-exempt sources of information include: (1) Initiators of the correspondence;
and (2) Federal Treasury personnel and records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (k)
(2). <i>See</i> 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .304</systemNumber>
<subsection type="systemName">TIGTA General Training Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Headquarters, 1125 15th Street, NW., Washington, DC 20005; Federal Law Enforcement Training Center (FLETC), Glynco, GA 31524.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) TIGTA employees; and, (2) Other Federal or non-Government individuals who have participated in or assisted with training programs
as instructors, course developers, or interpreters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Course rosters; (2) Student registration forms; (3) Nomination forms; (4) Course evaluations; (5) Instructor lists; (6) Individual
Development Plans (IDPs); (7) Counseling records; (8) Examination and testing materials; (9) Payment records; (10) Continuing professional
education requirements; (11) Officer safety files and firearm qualification records; and, (12) Other training records necessary for reporting
and evaluative purposes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3, 5 U.S.C. 301 and Ch. 41, and Executive Order 11348, as amended by Executive Order 12107.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are collected and maintained to document training received by TIGTA employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when (a) the agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise
privileged;
</p><p>(4) Disclose information to a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties to the extent necessary to obtain information pertinent to the training request or requirements
and/or in the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(10) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(11) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, Social Security Number, course title, date of training, and/or location of training.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed in accordance with the appropriate National Archives and Records Administration General Records
Schedule, No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) For records concerning Office of Investigations employees--Deputy Inspector General for Investigations; (2) For records
concerning Office of Audit employees--Deputy Inspector General for Audit; (3) For Office of Chief Counsel employees--Chief Counsel;
and, (4) For Office of Mission Support/Chief Financial Officer employees--Assistant Inspector General for Mission Support/Chief Financial
Officer--1125 15th Street, NW., Room 700A, Washington, DC, 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) The subject of the record; and, (2) Treasury personnel and records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .305</systemNumber>
<subsection type="systemName">TIGTA Personal Property Management Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Information Technology, TIGTA 1125 15th, NW., Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former TIGTA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information concerning personal property assigned to TIGTA employees including descriptions and identifying information about the
property, custody receipts, property passes, maintenance records, and other similar records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3, 5 U.S.C. 301, and 41 CFR Subtitle C Ch. 101 and 102.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records concerning personal property, including but not limited to, computers and other
similar equipment, motor vehicles, firearms and other law enforcement equipment, communication equipment, computers, fixed assets, credit
cards, telephone calling cards, credentials, and badges assigned to TIGTA employees for use in their official duties.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when: (a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise
privileged;
</p><p>(4) Disclose information to a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(10) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(11) To appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name and/or identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the appropriate National Archives and Records Administration General Records
Schedules, Nos. 4 and 10.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Mission Support/Chief Financial Officer, Office of Mission Support/Chief Financial Officer, 1125 15th
Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) The subject of the record; (2) Treasury personnel and records; (3) Vehicle maintenance facilities; (4) Property manufacturer; and,
(5) Vehicle registration and licensing agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .306</systemNumber>
<subsection type="systemName">TIGTA Recruiting and Placement Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Mission Support/Chief Financial Officer, 1125 15th Street, NW., Washington, DC 20005 and/or Bureau of Public Debt, 200 Third
Street, Parkersburg, WV 26106-1328.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Applicants for employment; and, (2) Current and former TIGTA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Application packages and Resumes; (2) Related correspondence; and, (3) Documents generated as part of the recruitment and hiring
process.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3, 5 U.S.C. 301 and Ch. 33, and Executive Orders 10577 and 11103.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records received from applicants applying for positions with TIGTA and relating to
determining eligibility for employment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when: (a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise
privileged;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties to the extent necessary to obtain information pertinent to the recruitment, hiring, and/or
placement determination and/or during the course of an investigation to the extent necessary to obtain information pertinent to the
investigation;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(10) Disclose information to officials of Federal agencies for purposes of consideration for placement, transfer, reassignment, and/or
promotion of TIGTA employees;
</p><p>(11) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(12) To appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by name, Social Security Number, and/or vacancy announcement number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access disposal.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained and disposed of in accordance with the appropriate National Archives and Records Administration
General Records Schedule, No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Mission Support/Chief Financial Officer, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(k)(5) and (k)(6).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) The subject of the record; (2) Office of Personnel Management; and, (3) Treasury personnel and records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records in this system have been designated as exempt from 5 U.S.C. 552a (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G),
(H), and (I), and (f) pursuant to 5 U.S.C. 552a (k)(5) and (k)(6). <i>See</i> 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .307</systemNumber>
<subsection type="systemName">TIGTA Employee Relations Matters, Appeals, Grievances, and Complaint Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Mission Support/Chief Financial Officer, TIGTA 1125 15th Street, NW., Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current, former, and prospective TIGTA employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Requests, (2) Appeals, (3) Complaints, (4) Letters or notices to the subject of the record, (5) Records of hearings, (6) Materials
relied upon in making any decision or determination, (7) Affidavits or statements, (8) Investigative reports, and, (9) Documents effectuating
any decisions or determinations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app 3 and 5 U.S.C. 301, Ch. 13, 31, 33, 73, and 75.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system consists of records compiled for administrative purposes concerning personnel matters affecting current, former, and/or
prospective TIGTA employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when (a) the agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise
privileged;
</p><p>(4) Disclose information to a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Diclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Provide information to Executive agencies, including, but not limited to the Office of Personnel Management, Office of Government
Ethics, and General Accounting Office in order to obtain legal and/or policy guidance;
</p><p>(10) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(11) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(12) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by the name of the individual and case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subjects of a background investigation, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with the appropriate National Archives and Records Administration General Records
Schedule, No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Inspector General for Mission Support/Chief Financial Officer, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) The subject of the records; (2) Treasury personnel and records; (3) Witnesses; (4) Documents relating to the appeal, grievance, or
complaint; and, (5) EEOC, MSPB, and other similar organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system may contain investigative records that are exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)
(2). (<i>See</i> 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .308</systemNumber>
<subsection type="systemName">TIGTA Data Extracts.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Headquarters, 1125 15th Street N.W., Washington, DC 20005, Office of Mission Support/Chief Financial Officer, 4800 Buford
Highway, Chamblee, GA 30341, and Office of Investigations, Strategic Enforcement Division, 550 Main Street, Cincinnati, OH 45202.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) The subjects or potential subjects of investigations; (2) Individuals who have filed, are required to file tax returns, or are
included on tax returns, forms, or other information filings; (3) Entities who have filed or are required to file tax returns, IRS forms, or
information filings as well as any individuals listed on the returns, forms and filings; and, (4) Taxpayer representatives.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Data extracts from various databases maintained by the Internal Revenue Service consisting of records collected in performance of its
tax administration responsibilities as well as records maintained by other governmental agencies, entities, and public record sources. This
system also contains information obtained via TIGTA's program of computer matches.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3 and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system consists of data extracts from various electronic systems of records maintained by governmental agencies and other
entities. The data extracts generated by TIGTA are used for audit and investigative purposes and are necessary to identify and deter fraud,
waste, and abuse in the programs and operations of the Internal Revenue Service (IRS) and related entities as well as to promote economy,
efficiency, and integrity in the administration of the internal revenue laws and detect and deter wrongdoing by IRS and TIGTA employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's, bureau's, or
authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when (a) the agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise
privileged;
</p><p>(4) Disclose information to a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(10) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(11) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, Social Security Number, Taxpayer Identification Number, and/or employee identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>TIGTA is in the process of requesting approval of a new record retention schedule concerning the records in this system of records.
These records will not be destroyed until TIGTA receives approval from the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Inspector General for Mission Support/Chief Financial Officer, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2). Non-exempt record source categories include the following: Department of the
Treasury personnel and records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)
(2). (<i>See</i> 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .309</systemNumber>
<subsection type="systemName">TIGTA Chief Counsel Case Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Chief Counsel, TIGTA, 1125 15th Street, NW., Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Parties to and persons involved in litigations, actions, personnel matters, administrative claims, administrative appeals, complaints,
grievances, advisories, and other matters assigned to, or under the jurisdiction of, the Office of Chief Counsel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Memoranda, (2) Complaints, (3) Claim forms, (4) Reports of Investigations, (5) Accident reports, (6) Witness statements and
affidavits, (7) Pleadings, (8) Correspondence, (9) Administrative files, (10) Case management documents, and (11) Other records collected or
generated in response to matters assigned to the Office of Chief Counsel.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system contains records created and maintained by the Office of Chief Counsel for purposes of providing legal service to TIGTA.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing, or implementing, a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to, or necessary to, the requesting agency's, bureau's,
or authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when (a) the agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding and not otherwise
privileged;
</p><p>(4) Disclose information to a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purposes of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
an investigation or matter under consideration;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Provide information to Executive agencies, including, but not limited to the Office of Personnel Management, Office of Government
Ethics, and General Accounting Office;
</p><p>(10) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of
authorized duties;
</p><p>(11) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(12) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt information concerning a claim against an individual may be made
from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by the name of the person to whom they apply and/or by case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of a background investigation, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records are maintained and disposed of in accordance with a record disposition schedule approved by the National Archives and
Records Administration. TIGTA is in the process of requesting approval for a record retention schedule for electronic records maintained in
this system. These electronic records will not be destroyed until TIGTA
receives such approval.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Chief Counsel, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records in this system are exempt from the requirement that the record source categories be disclosed pursuant to the provisions
of 5 U.S.C. 552a(j)(2) and (k)(2). Non-exempt record source categories include the following: (1) Department of Treasury personnel and
records, (2) The subject of the record, (3) Witnesses, (4) Parties to disputed matters of fact or law, (5) Congressional inquiries, and, (6)
Other Federal agencies including, but not limited to, the Office of Personnel Management, the Merit Systems Protection Board, and the Equal
Employment Opportunities Commission.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some of the records in this system are exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (d)(5)(e)(1), (e)(2),
(e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C.552a(j)(2) and (k)(2).
(<i>See</i> 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .310</systemNumber>
<subsection type="systemName">TIGTA Chief Counsel Disclosure Branch Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Chief Counsel, Disclosure Branch, TIGTA, 1125 15th Street, NW., Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Requestors for access and amendment pursuant to the Privacy Act of 1974, 5 U.S.C. 552a; (2) Subjects of requests for disclosure of
records; (3) Requestors for access to records pursuant to 26 U.S.C. 6103; (4) TIGTA employees who have been subpoenaed or requested to produce
TIGTA documents or testimony on behalf of TIGTA in judicial or administrative proceedings; (5) Subjects of investigations who have been
referred to another law enforcement authority; (6) Subjects of investigations who are parties to a judicial or administrative proceeding in
which testimony of TIGTA employees or production of TIGTA documents has been sought; and, (7) Individuals initiating
correspondence or inquiries processed or controlled by the Disclosure Section.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Requests for access to and/or amendment of records, (2) Responses to such requests, (3) Records processed and released in response
to such requests, (4) Processing records, (5) Requests or subpoenas for testimony, (6) Testimony authorizations, (7) Referral letters, (8)
Documents referred, (9) Record of disclosure forms, and (10) Other supporting documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 552a, 26 U.S.C 6103, and 31 CFR 1.11.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to enable compliance with applicable Federal disclosure laws and regulations, including statutory
record-keeping requirements. In addition, this system will be utilized to maintain records obtained and/or generated for purposes of
responding to requests for access, amendment, and disclosure of TIGTA records.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing, or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law, or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting
agency's, bureau's, or authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or
other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when: (a) The agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United States, when the
agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be
relevant and necessary to the litigation or administrative proceeding and not otherwise privileged;
</p><p>(4) Disclose information to a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
an investigation or matter under consideration.
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to Section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3, and
</p><p>(10) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and/or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of the requestor, name of the subject of the investigation, and/or name of the employee requested to produce documents or to
testify.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>TIGTA is in the process of requesting approval for a record retention schedule for records maintained in this system. These records
will not be destroyed until TIGTA receives such approval.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A, Washington, DC 20005. This system of records may contain records that are
exempt from the notification, access, and contesting records requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records in this system are exempt from the requirement that the record source categories be disclosed pursuant to the provisions
of 5 U.S.C. 552a(j)(2) and (k)(2). Non-exempt record source categories include the following: (1) Department of Treasury personnel and
records, (2) Incoming requests, and (3) Subpoenas and requests for records and/or testimony.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system may contain records that are exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2),(e)
(3),(e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). (<i>See</i>
31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .311</systemNumber>
<subsection type="systemName">TIGTA Office of Investigations Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Headquarters, Office of Investigations, 1125 15th Street, NW., Washington, DC 20005 and Field Division offices listed in
Appendix A.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) The subjects or potential subjects of investigations; (2) The subjects of complaints received by TIGTA; (3) Persons who have filed
complaints with TIGTA; (4) Confidential informants; and (5) TIGTA Special Agents.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Reports of investigations, which may include, but are not limited to, witness statements, affidavits, transcripts, police reports,
photographs, documentation concerning requests and approval for consensual telephone and consensual non-telephone monitoring, the subject's
prior criminal record, vehicle maintenance records, medical records, accident reports, insurance policies, and other exhibits and documents
collected during an investigation; (2) Status and disposition information concerning a complaint or investigation including prosecutive action
and/or administrative action; (3) Complaints or requests to investigate; (4) General case materials and documentation including, but not
limited to, Chronological Case Worksheets (CCW), fact sheets, agent work papers, Record of Disclosure forms, and other case management
documentation; (5) Subpoenas and evidence obtained in response to a subpoena; (6) Evidence logs; (7) Pen registers; (8) Correspondence; (9)
Records of seized money and/or property; (10) Reports of laboratory examination, photographs, and evidentiary reports; (11) Digital image
files of physical evidence; (12) Documents generated for purposes of TIGTA's undercover activities; (13) Documents pertaining to the identity
of confidential informants; and (14) Other documents collected and/or generated by the Office of Investigations during the course of official
duties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. app. 3 and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to maintain information relevant to complaints received by TIGTA and collected as part of
investigations conducted by TIGTA's Office of Investigations. This system also includes investigative material compiled by the IRS's
Office of the Chief Inspector, which was previously maintained in the following systems of records: Treasury/IRS 60.001-60.007 and
60.009-60.010.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law or regulation;
</p><p>(2) Disclose information to a Federal, State, local, or other public authority maintaining civil, criminal, or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting
agency's, bureau's, or authority's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or
other benefit;
</p><p>(3) Disclose information in a proceeding before a court, adjudicative body, or other administrative body before which TIGTA is authorized
to appear when (a) the agency, or (b) any employee of the agency in his or her official capacity, or (c) any employee of the
agency in his or her individual capacity where the Department of Justice or the agency has agreed to represent the employee, or (d) the United
States, when the agency determines that litigation is likely to affect the agency, is a party to litigation or has an interest in such
litigation, and the use of such records by the agency is deemed to be relevant and necessary to the litigation or administrative proceeding
and not otherwise privileged;
</p><p>(4) Disclose information to a court, magistrate or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law
proceedings or in response to a court order where arguably relevant to a proceeding;
</p><p>(5) Disclose information to the Department of Justice for the purpose of litigating an action or seeking legal advice;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(9) Disclose information to the Equal Employment Opportunity Commission, Merit Systems Protection Board, arbitrators, and other parties
responsible for processing personnel actions or conducting administrative hearings or appeals, or if needed in the performance of other
authorized duties;
</p><p>(10) In situations involving an imminent danger of death or physical injury, disclose relevant information to an individual or individuals
who are in danger; and
</p><p>(11) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA's exercise of statutory law enforcement authority, pursuant to section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3; and,
</p><p>(12) Disclose information to complainants, victims, or their representatives (defined for purposes here to be a complainant's or victim's
legal counsel or a Senator or Representative whose assistance the complainant or victim has solicited) concerning the status and/or results of
the investigation or case arising from the matters of which they complained and/or of which they were a victim, including, once the
investigative subject has exhausted all reasonable appeals, any action taken. Information concerning the status of the investigation or case
is limited strictly to whether the investigation or case is open or closed. Information concerning the results of the investigation or case is
limited strictly to whether the allegations made in the complaint were substantiated or were not substantiated and, if the subject has
exhausted all reasonable appeals, any action taken.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, Social Security Number, and/or case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are accessible to TIGTA personnel, all of whom have been the subject of background investigations, on a need-to-know
basis. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Some of the records in this system are maintained and disposed of in accordance with a record disposition schedule approved by the
National Archives and Records Administration. TIGTA is in the process of requesting approval of new records schedules concerning all records
in this system of records. Records not currently covered by an approved record retention schedule will not be destroyed until TIGTA receives
the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Inspector General for Investigations, Office of Investigations, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Some records contained within this system of records are exempt from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2). Non-exempt record source categories include the following: Department of the
Treasury personnel and records, complainants, witnesses, governmental agencies, tax returns and related documents, subjects of investigations,
persons acquainted with the individual under investigation, third party witnesses, Notices of Federal Tax Liens, court documents, property
records, newspapers or periodicals, financial institutions and other business records, medical records, and insurance
companies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some records contained within this system of records are exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)
(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2)
and (k)(2). (<i>See</i> 31 CFR 1.36)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .315</systemNumber>
<subsection type="systemName">CFPB Implementation Team Consumer Inquiry and Complaint Database.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Consumer Financial Protection Bureau Implementation Team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are individuals who submit complaints or inquiries to the CFPB Implementation Team (on their own or
others' behalf); individuals on whose behalf complaints or inquiries are submitted by others (such as attorneys, members of Congress, third
party advocates, and/or other governmental organizations); and individuals about whom complaints or inquiries have been received by prudential
regulators, the Federal Trade Commission, other Federal agencies, and State agencies and then shared with the CFPB Implementation Team. The
term "prudential regulators" refers to any Federal banking agency, as that term is defined in section 3 of the Federal Deposit
Insurance Act, and the National Credit Union Administration. Information collected regarding consumer products and services is subject to the
Privacy Act only to the extent that it concerns individuals; information pertaining to corporations and other business entities and
organizations is not subject to the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in the system may contain: (1) Correspondence or other information received from or made by complainants, consumers, or other
individuals or entities; (2) information from the entity or individual referring the inquiry or complaint; (3) records created of verbal
communications by or with complainants or other individuals; (4) information regarding third party advocates or others who submit complaints
or inquiries on another's behalf; (5) information identifying the entity that is subject to the complaint or inquiry; (6) communication with
or by the entity that is subject to the complaint or inquiry; (7) unique identifiers, codes, and descriptors categorizing each complaint or
inquiry file; (8) information about how complaints were responded to or referred; (9) records used to respond to or refer complaints,
including information in the CFPB Implementation Team's other systems of records; and (10) identifiable information regarding both the
individual who is making the inquiry or complaint, and the individual on whose behalf such inquiry or complaint is made, including name,
social security number, account numbers, address, phone number, e-mail address, date of birth.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 111-203, Title X, Section 1066, codified at 12 U.S.C. 5586.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in the system is being collected to enable the CFPB Implementation Team to collect, respond to, and refer complaints
or inquiries regarding consumer financial products or services. The system serves as a record of the complaint or inquiry, and is used for
collecting complaint or inquiry data; responding to or referring the complaint or inquiry; aggregating data that will be used to inform other
functions of the CFPB Implementation Team and, as appropriate, other agencies and/or the public; and preparing reports as required by law.
This system consists of complaints or inquiries received by the CFPB Implementation Team or other entities and information concerning
responses to or referrals of these complaints or inquiries, as appropriate.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) An entity that is the subject of the complaint or inquiry;
</p><p>(2) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations;
</p><p>(3) A court, magistrate, or administrative tribunal pursuant to an order of a court of competent jurisdiction, where relevant or
potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(4) Third parties to the extent necessary to obtain information needed for a response to or referral of a complaint or inquiry;
</p><p>(5) Appropriate law enforcement agencies or authorities in connection with the investigation and/or prosecution of alleged civil, criminal,
and administrative violations;
</p><p>(6) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(7) The appropriate governmental, Tribal, self-regulatory or professional organizations if that organization has jurisdiction over the
subject matter of the complaint or inquiry, or over the entity that is the subject of the complaint or inquiry;
</p><p>(8) Another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in consultation with or by
that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who has requested access to
or amendment or correction of records;
</p><p>(9) Other Federal and nonfederal governmental supervisory or regulatory authorities when the subject matter is within such other agency's
jurisdiction;
</p><p>(10) The U.S. Department of Justice ("DOJ") for its use in providing legal advice to the Treasury or in representing the
Treasury in a proceeding before a court, adjudicative body, or other administrative body before which the Treasury is authorized to appear,
where the use of such information by the DOJ is deemed by the Treasury to be relevant and necessary to the litigation, and such proceeding
names as a party or interests:
</p><p>(a) The Treasury or any component thereof;
</p><p>(b) Any employee of the Treasury in his or her official capacity;
</p><p>(c) Any employee of the Treasury in his or her individual capacity where DOJ has agreed to represent the employee; or
</p><p>(d) The United States, where the Treasury determines that litigation is likely to affect the Treasury or any of its components.
</p><p>(11) The National Archives and Records Administration for use in records management inspections;
</p><p>(12) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(13) Appropriate agencies, entities, and persons when (a) the Treasury suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the Treasury has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the Treasury or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the
Treasury's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm;
</p><p>(14) Prudential regulators (including without limitation Federal banking agencies and the National Credit Union Administration), the
Federal Trade Commission, other Federal agencies, and State agencies, for the purpose of facilitating the activities described in 12 U.S.C.
5493(b)(3)(D) concerning consumer financial products and services complaints;
</p><p>(15) Government agencies and the public, in the form of analytic and statistical reports, summaries, or extracts in which individual
identities are not revealed, in order to provide information about trends and patterns derived from information contained in complaint
records; and
</p><p>(16) Persons determined to be complainants and/or victims, to the extent the Treasury deems necessary, at its discretion, in order to
provide such persons with information concerning the progress and/or results of the investigation or case arising from the matters of which
they complained and/or of which they were a victim.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders. Paper copies of individual records are made by the
authorized CFPB Implementation Team staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by a variety of fields including, but not limited to, the individual's name, Social Security number,
complaint/inquiry case number, address, account number, transaction number, phone number, date of birth, or by some combination thereof.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms with access limited to those personnel whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computer and paper records will be maintained indefinitely until a records disposition schedule is approved by the National Archives
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Consumer Financial Protection Bureau Implementation Team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Address such requests to: Director,
Disclosure Services, Department of Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from individuals and entities filing complaints and inquiries, other governmental authorities,
and entities that are the subjects of complaints and inquiries.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .316</systemNumber>
<subsection type="systemName">CFPB Implementation Team Benefits and Retirement Systems.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Consumer Financial Protection Bureau Implementation Team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former CFPB Implementation Team employees and their named dependents and/or beneficiaries and individuals who have been
extended offers of employment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in the system may contain forms or memoranda relating to employees' retirement and benefits programs, and records relating to
claims filed for benefits. These programs may include without limitation: health insurance plans, dental insurance plans, vision insurance
plans, life insurance plans, wellness plans, travel insurance plans, disability coverage, long term care insurance, accident insurance,
flexible spending accounts, premium conversion accounts, public transportation and parking subsidies, employee assistance programs, dependent
care referral services, relocation programs, thrift plans, and retirement plans. These records may also include identifiable information
regarding both the employee and the employee's named dependents and beneficiaries, including without limitation: name, social security number,
account numbers, address, phone number, e-mail address, and date of birth.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Pub. L. 111-203, Title X, Section 1066, codified at 12 U.S.C. 5586.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The information in the system is being collected to enable the CFPB Implementation Team to administer retirement and benefits programs
to employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Other Federal agencies involved in administration of employee retirement and benefits programs and such agencies' contractors or plan
administrators, when necessary to determine employee eligibility to participate in retirement and benefits programs, process employee
participation in those programs, process claims with respect to individual employee participation in those programs, audit benefits paid under
those programs, or perform any other administrative function in connection with those programs or Federal agencies that perform payroll and
personnel processing and employee retirement and benefits plan services under interagency agreements or contracts, including the issuance of
paychecks to employees, the distribution of wages, the administration of deductions from paychecks for retirement and benefits programs, and
the distribution and receipt of those deductions. These agencies include, without limitation, the Department of Labor, the Department of
Veterans Affairs, the Social Security Administration, the Federal Retirement Thrift Investment Board, the Department of Defense, the Office of
Personnel Management, the Board of Governors of the Federal Reserve System, the Department of the Treasury, and the National Finance Center at
the U.S. Department of Agriculture;
</p><p>(2) National, State or local income security and retirement agencies or entities involved in administration of employee retirement and
benefits programs (<i>e.g.,</i> State unemployment compensation agencies and State pension plans) and any of such agencies' contractors or
plan administrators, when necessary to determine employee eligibility to participate in retirement or employee benefits programs, process
employee participation in those programs, process claims with respect to individual employee participation in those programs, audit benefits
paid under those programs, or perform any other administrative function in connection with those programs;
</p><p>(3) Carriers and providers of retirement and benefits plans (including, without limitation, the carriers participating in the Federal
Employees Health Benefits ("FEBHB") Program and the Federal Employees Group Life Insurance ("FEGLI") Program) when
necessary to determine employee eligibility to enroll in such plans, process employee enrollment in such plans, process claims and payments
under such plans, and perform any other administrative function in connection with such plans;
</p><p>(4) An executor of the estate of a current or former employee, a government entity probating the will of a current or former employee, a
designated beneficiary of a current or former employee, or any person who is responsible for the care of a current or former employee, where
the employee has died, has been declared mentally incompetent, or is under other legal disability, to the extent necessary to assist that
person in obtaining any employment benefit or working condition for the employee.
</p><p>(5) A Federal agency in the executive, legislative or judicial branch of government in connection with the following activities involving a
current or former employee: hiring, issuing a security clearance, conducting a security or suitability investigation of an individual,
classifying jobs, letting of a contract, issuing licenses, grants, or other benefits by the requesting agency, or a lawful statutory,
administrative, or investigative purpose of the agency to the extent that the information is relevant and necessary to the requesting agency's
decision;
</p><p>(6) Appropriate law enforcement agencies or authorities in connection with the investigation and/or prosecution of alleged civil, criminal,
and administrative violations;
</p><p>(7) Congressional offices in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(8) The U.S. Department of Justice ("DOJ") for its use in providing legal advice to the Treasury or in representing the
Treasury in a proceeding before a court, adjudicative body, or other administrative body before which the Treasury is authorized to appear,
where the use of such information by the DOJ is deemed by the Treasury to be relevant and necessary to the litigation, and such proceeding
names as a party or interests:
</p><p>(a) The Treasury or any component thereof;
</p><p>(b) Any employee of the Treasury in his or her official capacity;
</p><p>(c) Any employee of the Treasury in his or her individual capacity where DOJ has agreed to represent the employee; or
</p><p>(d) The United States, where the Treasury determines that litigation is likely to affect the Treasury or any of its components.
</p><p>(9) The National Archives and Records Administration for use in records management inspections;
</p><p>(10) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(11) Appropriate agencies, entities, and persons when (a) the Treasury suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the Treasury has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the Treasury or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the
Treasury's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm;
</p><p>(12) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations;
</p><p>(13) The Equal Employment Opportunity Commission when requested in connection with investigations or other functions vested in the
Commission;
</p><p>(14) The Merit Systems Protection Board in connection with appeals filed by employees;
</p><p>(15) A contractor or other entity for the purpose of conducting personnel research or surveys and producing summary descriptive statistics
and analytical studies to support the function for which the records are collected and maintained, or for related work force studies.
Published statistics and studies will not contain individual identifiers;
</p><p>(16) Another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in consultation with or by
that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who has requested access to
or amendment or correction of records;
</p><p>(17) The Internal Revenue Service and other jurisdictions which are authorized to tax employees' compensation with wage and tax information
in accordance with a withholding agreement with the Treasury pursuant to 5 U.S.C. 5516, 5517, and 5520, for the purpose of furnishing
employees with IRS Form W-2 that report such tax distributions; and
</p><p>(18) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders. Paper copies of individual records are made by the
authorized CFPB Implementation Team staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by a variety of fields including, without limitation, the individual's name, social security number, address,
account number, transaction number, phone number, date of birth, or by some combination thereof.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms with access limited to those personnel whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computer and paper records will be maintained indefinitely until a records disposition schedule is approved by the National Archives
Records Administration.
</p><p>System manager(s) and address:
</p><p>Consumer Financial Protection Bureau Implementation Team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Address such requests to: Director,
Disclosure Services Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from individuals and entities associated with retirement and benefits administration.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .318</systemNumber>
<subsection type="systemName">Consumer Financial Protection Bureau (CFPB) Implementation Team Correspondence Tracking Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>CFPB implementation team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are those whose correspondence is submitted to the CFPB implementation team and members of the CFPB
implementation team assigned to help process, review and/or respond to the correspondence.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in the database may contain (1) correspondence (including, without limitation, official letters, memoranda, faxes,
telegrams, and e-mails) received and sent; (2) mailing lists of correspondence submitters; (3) identifying information regarding both the
individual who is submitting the correspondence or the individual or entity on whose behalf such correspondence is submitted, such as the
individual's name, phone number, address, e-mail address, and any other disclosed identifiable information; (4) information concerning the
CFPB implementation team employees responsible for processing the correspondence; (5) correspondence disposition information; (6)
correspondence tracking dates; and (7) internal office assignment information. Supporting records may include correspondence between the CFPB
implementation team and the individual. Records related to consumer complaints will not be contained in this system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 111-203, Title X, Sections 1012, 1066, codified at 12 U.S.C. 5492, 5586.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The purpose of the information database is to enable the CFPB implementation team to track correspondence, including responsibilities
for processing, tracking, responding to, or referring sensitive and/or time-critical correspondence for appropriate processing and responsive
action.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Appropriate agencies, entities, and persons when: (a) Treasury or the CFPB suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) Treasury or the CFPB has determined that, as a result of the
suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether maintained by Treasury or the CFPB or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with Treasury's or the CFPB's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
</p><p>(2) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(3) The U.S. Department of Justice ("DOJ") for its use in providing legal advice to the Treasury or the CFPB or in representing
the Treasury or the CFPB in a proceeding before a court, adjudicative body, or other administrative body before which the Treasury or the CFPB
is authorized to appear, where the use of such information by the DOJ is deemed by the Treasury or the CFPB to be relevant and necessary to
the litigation, and such proceeding names as a party or interests:
</p><p>(a) The Treasury or any component thereof;
</p><p>(b) The CFPB;
</p><p>(c) Any employee of the Treasury or the CFPB in his or her official capacity;
</p><p>(d) Any employee of the Treasury or the CFPB in his or her individual capacity where DOJ has agreed to represent the employee; or
</p><p>(e) The United States, where the Treasury or the CFPB determines that litigation is likely to affect the Treasury or any of its components
or the CFPB.
</p><p>(4) Appropriate agencies, entities, and persons, to the extent necessary to respond to or refer correspondence;
</p><p>(5) A court, magistrate, or administrative tribunal, including disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations or in connection with criminal law proceedings when the Treasury or the CFPB is party to the
proceeding or has a significant interest in the proceeding;
</p><p>(6) A grand jury pursuant either to a Federal or state grand jury subpoena, or to a prosecution request that such record be released for
the purpose of its introduction to a grand jury, where the subpoena or request has been specifically approved by a court;
</p><p>(7) Congressional offices in response to correspondence submitted at the request of the individual to whom the record pertains;
</p><p>(8) Appropriate Federal, foreign, state, local, Tribal, or other public authorities or self-regulatory organizations responsible for
investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation of civil or criminal law or regulation;
</p><p>(9) Another Federal agency to (a) permit a decision as to access, amendment, or correction of records to be made in consultation with or by
that agency, or (b) verify the identity of an individual or the accuracy of information submitted by an individual who has requested access
to, amendment of, or correction of records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders. Paper copies of individual records are made by the
authorized CFPB implementation team staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by the name of the individual covered by the system, date of correspondence, or correspondence control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms with access limited to those personnel whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computer and paper records will be maintained indefinitely until a records disposition schedule is approved by the National Archives
and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Consumer Financial Protection Bureau implementation team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this database, or seeking to contest its content, may inquire
in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Address such requests to: Director, Disclosure
Services, Department of Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedures," above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedures," above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is maintained about individuals who submit correspondence to the CFPB implementation team and employees
assigned to help process, review, or respond to correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .320</systemNumber>
<subsection type="systemName">CFPB Implementation Team Mailing List Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Consumer Financial Protection Bureau Implementation Team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All persons appearing on mailing lists maintained by the CFPB implementation team to facilitate mailings to multiple addresses. These
lists include individuals who may have attended CFPB programs, exhibits, conferences, or similar events; may have participated in a voluntary
web-based or other survey offered by CFPB or its contractors; or may have otherwise asked to be added to our mailing list. Information
collected is subject to the Privacy Act only to the extent that it concerns individuals; information pertaining to corporations and other
business entities and organizations is not subject to the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in the system are limited to the following four pieces of information: name, mailing address, phone number, and email address.
The system may also contain a computer-generated identifier or case number in order to retrieve information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 111-203, Title X, Sec. 1066, codified at 12 U.S.C. 5586.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to maintain lists of individuals who have indicated an interest in receiving information from
CFPB concerning CFPB's activities and initiatives, and the CFPB implementation team will use the information in the system to distribute such
information to those individuals. Mailing list information from survey participants will not be stored with the survey results.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(2) Disclose information to the U.S. Department of Justice ("DOJ") for its use in providing legal advice to the Treasury
Department (Department) or in representing the Department in a proceeding before a court, adjudicative body, or other administrative body
before which the Department is authorized to appear, where the use of such information by the DOJ is deemed by the Department to be relevant
and necessary to the litigation, and such proceeding names as a party or interests:
</p><p>(a) The Department or any component thereof;
</p><p>(b) Any employee of the Department in his or her official capacity;
</p><p>(c) Any employee of the Department in his or her individual capacity where DOJ has agreed to represent the employee; or
</p><p>(d) The United States, where the Department determines that litigation is likely to affect the Department or any of its components.
</p><p>(3) The National Archives and Records Administration for use in records management inspections;
</p><p>(4) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(5) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the bureau or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders. Paper copies of individual records are made by the
authorized CFPB Implementation Team staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by any of the four fields of information in the system or the computer-generated identifier or case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms with access limited to those personnel whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computer and paper records will be maintained indefinitely until a records disposition schedule is approved by the National Archives
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Consumer Financial Protection Bureau Implementation Team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Address such requests to: Disclosure
Services Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from individuals.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/DO .321</systemNumber>
<subsection type="systemName">Consumer Financial Protection Bureau Implementation Team External Affairs Database.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Consumer Financial Protection Bureau implementation team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system include all individuals involved in the CFPB's external affairs communications, including CFPB
employees who engage in external affairs communications, and representatives of the media, non-profit organizations or the private sector or
others who request the CFPB's participation in external events or otherwise participate in the CFPB's external affairs communications.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records in the system will include external affairs communications information, such as: (1) Contact information (name, business phone
number, email address) for individuals who are involved in the CFPB implementation team's external affairs communications; (2) lists of
assignments, biographies, speaking engagements, and interviews; (3) communications between CFPB implementation team staff and media
representatives; and (4) information about CFPB implementation team staff who ask the CFPB implementation team to publish information/articles
about them.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Public Law 111-203, Title X, Sections 1012, 1066, codified at 12 U.S.C. 5492, 5586.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system is to enable the CFPB implementation team to communicate with the American public about its mission and
activities. The information will be used to facilitate CFPB implementation team's external affairs activities, including external contacts
with the media, non-profits, and the private sector. The information collected will also facilitate CFPB implementation team events and press
conferences.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Appropriate agencies, entities, and persons when: (a) Treasury or the CFPB suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) Treasury or the CFPB has determined that, as a result of the
suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether maintained by Treasury or the CFPB or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with Treasury's or the CFPB's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm;
</p><p>(2) A contractor or agent who needs to have access to this system or records to perform an assigned activity;
</p><p>(3) The U.S. The Department of Justice ("DOJ") for its use in providing legal advice to the Treasury or the CFPB or in
representing the Treasury or the CFPB in a proceeding before court, adjudicative body, or other administrative body before which the Treasury
or CFPB is authorized to appear, where the use of such information by the DOJ is deemed by the Treasury or CFPB to be relevant and necessary
to the litigation, and such proceeding names as a party or interests:
</p><p>(a) The Treasury or any component thereof;
</p><p>(b) The CFPB;
</p><p>(c) Any employee of the Treasury or the CFPB in his or her official capacity;
</p><p>(d) Any employee of the Treasury or the CFPB in his or her individual capacity where DOJ has agreed to represent the employee; or
</p><p>(e) The United States, where the Treasury or the CFPB determines that litigation is likely to affect the Treasury or any of its components
or the CFPB;
</p><p>(4) Third parties to the extent necessary to facilitate an external affairs activity;
</p><p>(5) A court, magistrate, or administrative tribunal, including disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations or in connection with criminal law proceedings when Treasury or the CFPB is a party to the
proceeding or has a significant interest in the proceeding;
</p><p>(6) A grand jury pursuant either to a federal or state grand jury subpoena, or to a prosecution request that such record be released for
the purpose of its introduction to a grand jury, where the subpoena or request has been specifically approved by a court;
</p><p>(7) Congressional offices in response to an inquiry made at the request of the individual to whom the record pertains; and
</p><p>(8) Members of the media or other recipients of the CFBP's external affairs communications to inform them about attendees and invited
guests of CFPB media events and press briefings.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders. Paper copies of individual records are made by the
authorized CFPB implementation team staff.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by the name of the individual or organization, date of received inquiry or request, assigned file number, or
email address.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms with access limited to those personnel whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computer and paper records will be maintained indefinitely until a records disposition schedule is approved by the National Archives
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Consumer Financial Protection Bureau implementation team, 1801 L Street, NW., Washington, DC 20036.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this Database, or seeking to contest its content, may inquire
in writing in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Address such requests to: Director, Disclosure
Services, Department of Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained directly from: the individual who is the subject of these records, and/or the agency or
organization that the individual represents; the CFPB implementation team staff involved in external affairs operations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p>
<p><b>Appendix A--Office of Investigations, TIGTA
</b></p><p><i>Field Division SAC Offices
</i></p><p>Treasury IG for Tax Administration, 401 West Peachtree St., Atlanta, GA 30308.
</p><p>Treasury IG for Tax Administration, 200 W. Adams, Chicago, IL 60606.
</p><p>Treasury IG for Tax Administration, 4050 Alpha Rd., Dallas, TX 75244-4203.
</p><p>Treasury IG for Tax Administration, 600 17th St., Denver, CO 80202.
</p><p>Treasury IG for Tax Administration, 201 Varick Street, New York, NY 10014.
</p><p>Treasury IG for Tax Administration, 1301 Clay Street, Oakland, CA 94612.
</p><p>Treasury IG for Tax Administration, New Carrollton Federal Bldg., 5000 Ellin Road, Lanham, MD 20706.
</p><p>Treasury IG for Tax Administration, 12119 Indian Creek Court, Beltsville, MD 20705.</p>
<p><b>Appendix B--Audit Field Offices, TIGTA
</b></p><p>Treasury IG for Tax Administration, 310 Lowell Street, Andover, MA 01812.
</p><p>Treasury IG for Tax Administration, 401 W. Peachtree St., Atlanta, GA 30308-3539.
</p><p>Treasury IG for Tax Administration, Atlanta Service Center, 4800 Buford Highway, Chamblee, GA 30341.
</p><p>Treasury IG for Tax Administration, 3651 South Interstate 35, Austin, TX 78741.
</p><p>Treasury IG for Tax Administration, 31 Hopkins Plaza, Fallon Federal Building, Baltimore, MD 21201.
</p><p>Treasury IG for Tax Administration, 1040 Waverly Ave, Holtsville, NY 11742.
</p><p>Treasury IG for Tax Administration, 200 W Adams, Chicago, IL 60606.
</p><p>Treasury IG for Tax Administration, Peck Federal Office Bldg, 550 Main Street, Room 5028, Cincinnati, OH 45201.
</p><p>Treasury IG for Tax Administration, 4050 Alpha Road, Dallas, TX 75244.
</p><p>Treasury IG for Tax Administration, 600 17th Street, Denver, CO 80202.
</p><p>Treasury IG for Tax Administration, 197 State Route 18 South, East Brunswick NJ 08816.
</p><p>Treasury IG for Tax Administration, Fresno Service Center, 5045 E. Butler Stop 11, Fresno, CA 93888.
</p><p>Treasury IG for Tax Administration, 7850 SW 6th Court, Plantation, FL 33324.
</p><p>Treasury IG for Tax Administration, 333 West Pershing Road, Kansas City, MO 64131.
</p><p>Treasury Inspector General for Tax Administration--Audit, 24000 Avila Road, Laguna Niguel, CA 92677.
</p><p>Treasury IG for Tax Administration, 312 East First Street, Los Angeles, CA 90012.
</p><p>Treasury IG for Tax Administration, 5333 Getwell Rd, Memphis, TN 38118.
</p><p>Treasury IG for Tax Administration, 201 Varick Street, Room 1054, New York, NY 10014.
</p><p>Treasury IG for Tax Administration, 1160 West 1200 South, Ogden, Utah 84201.
</p><p>Treasury IG for Tax Administration, Federal Office Building, 600 Arch Street, Philadelphia, PA 19106.
</p><p>Treasury IG for Tax Administration, Philadelphia Service Center, 11601 Roosevelt Boulevard, Philadelphia, PA 19154.
</p><p>Treasury IG for Tax Administration, 915 2nd Avenue, Seattle, WA 98174.
</p><p>Treasury IG for Tax Administration, 1222 Spruce, St. Louis, MO 63103.
</p><p>Treasury IG for Tax Administration, 92 Montvale Avenue, Stoneham, MA 02180.
</p><p>Treasury IG for Tax Administration, Ronald Dellums Federal Bldg., 1301 Clay Street, Oakland, CA 94612.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/ATF .001</systemNumber>
<subsection type="systemName">Administrative Record System-Treasury/ATF.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226. Components of this record system are
geographically dispersed throughout the Bureau's field offices. A list of field offices is available by writing to the Chief, Disclosure
Division, Room 8400, 650 Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Present employees of the Bureau of ATF. (2) Former employees of the Bureau of ATF. (3) Claimants against the Bureau of ATF.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Accident Report--vehicle; (2) Fatality reports; (3) Injury reports; (4) Chief Counsel and District Counsel memoranda and
opinions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>(1) Federal Claims Collection Act. (2) Federal Property and Administration Services Act of 1949, as amended. (3) Federal Tort Claims
Act. (4) Military Personnel and Civilian Claim Act. (5) Occupational Safety and Health Act of 1970. (6) Small Claims Act. (7) 5 U.S.C. 1302,
3301, 3302.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to resolve claims submitted to the Bureau of Alcohol, Tobacco and Firearms.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A record in this system may be disclosed as a routine use to: (1) Employees of government agencies when required or authorized to be
released by statute, regulations or Executive Order; (2) any third party, to the extent necessary, to collect relevant information from the
third party, provided that the information is needed by the Bureau to render a decision in regard to an administrative matter; (3) appropriate
Federal, state, local or foreign agencies responsible for enforcing administrative, civil or criminal laws; hiring or retention of an
employee; issuance of a security clearance, license, contract, grant or other benefit; (4) a court, magistrate or administrative tribunal in
the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of or in preparation for civil
discovery, litigation, or settlement negotiations, in response to a subpoena, or in connection with criminal law proceedings; (5) unions
recognized as exclusive bargaining representatives in accordance with provisions contained in the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (6) a congressional office in response to an inquiry made at the request of the individual to whom the record pertains; (7)
provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions relating to
civil and criminal proceedings.
</p><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic
or property interests, 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 (3) the disclosure made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Active records stored in file folders in security filing cabinets. Inactive records stored in file folders at Federal Records Centers.
Records are also stored in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name of individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Direct access restricted to personnel in Department of the Treasury in the performance of their duty. Transmitted to routine users on
a "need to know" basis or where "a right to access" is established, and to others upon verification of the substance and propriety of the
request. Stored in lockable metal file cabinets in rooms locked during non-duty hours. The records stored in electronic media are password
protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with General Records Schedules Numbers 1 through 23 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms records control schedules numbers 101 and 201 and disposed of by shredding or
burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Office of Management/Chief Financial Officer, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be addressed to: Privacy Act Request, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW.,
Washington, DC 20226. Requests may be delivered personally to Room 8400, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for access to records made by mail should be addressed to: Privacy Act Request, Bureau of Alcohol, Tobacco and Firearms, 650
Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Administrative records. (2) Claimants. (3) Doctors. (4) Employee records. (5) Fiscal records. (6) Former employees of the Bureau
of ATF. (7) Former employers. (8) General Services Administration. (9) Individuals who have information relevant to claims. (10) Inspections
records. (11) Internal Investigation reports. (12) Police reports. (13) Present employees of the Bureau of ATF. (14) Supervisors. (15)
Witnesses. (16) Insurance companies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/ATF .002</systemNumber>
<subsection type="systemName">Correspondence Record System-Treasury/ATF.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue NW., Washington, DC 20226. Components of this record system are
geographically dispersed throughout the Bureau's field offices. A list of field offices is available by writing to the Chief, Disclosure
Division, Room 8400, 650 Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Persons who correspond with the Bureau requesting information relating to Bureau personnel. (2) Persons who correspond with the
Bureau requesting information relating to Bureau activities. (3) Persons who correspond with the Bureau requesting rulings, interpretations,
or technical and scientific matters of a general nature. (4) Persons who correspond with others and whose correspondence is referred to ATF
for response. (5) Persons referred to in correspondence with the Bureau. (6) Authors and publishers of technical and scientific matters
relating to Bureau activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence with individuals who contact the Bureau requesting information relating to Bureau personnel and/or activities, Chief
Counsel and Regional Counsel memoranda and opinions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, Executive Order 11222.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to respond to inquiries from the public and Congress.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A record in this system may be disclosed as a routine use to: (1) Employees of government agencies when required or authorized to be
released by statute, regulations or Executive Order; (2) any third party, to the extent necessary, to collect relevant information from the
third party, provided that the information is needed by the Bureau to render a decision in regard to an administrative, fiscal or personnel
matter; (3) appropriate Federal, state, local or foreign agencies responsible for enforcing administrative, civil or criminal laws; hiring or
retention of an employee; issuance of a security clearance, license, contract, grant or other benefit; (4) a court, magistrate or
administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of or in
preparation for civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in connection with criminal law
proceedings; (5) a congressional office in response to an inquiry made at the request of the individual to whom the record pertains; (6)
provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions relating to
civil and criminal proceedings.
</p><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic
or property interests, 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 (3) the disclosure made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Active records stored in file folders in security filing cabinets. Records are also stored in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, subject matter and date of correspondence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Transmitted to routine users on a "need to know" basis. Stored in lockable file cabinets in rooms locked during non-duty hours. The
records stored in electronic media are password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with General Records Schedules numbers 1 through 20 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records Control Schedules numbers 101 and 201 and disposed of by shredding or
burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Liaison and Public Information, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW.,
Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries should be addressed to: Privacy Act Request, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW.,
Washington, DC 20226. Requests may be delivered personally to Room 8400, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for access to records made by mail should be addressed to: Privacy Act Request, Bureau of Alcohol, Tobacco and Firearms, 650
Massachusetts Avenue, NW., Washington, DC 20226. Requests may be delivered personally to Room 8400, Bureau of Alcohol, Tobacco and Firearms,
650 Massachusetts Avenue, NW., Washington, DC 20226. Appeals may be delivered personally to Room 8400, Bureau of Alcohol, Tobacco and
Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Persons who correspond with the Bureau on general, technical or scientific matters.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/ATF .003</systemNumber>
<subsection type="systemName">Criminal Investigation Report System-Treasury/ATF.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226. Components of this record system are
geographically dispersed throughout Bureau of Alcohol, Tobacco and Firearms' field offices. A list of field offices is available by writing to
the Chief, Disclosure Division, Room 8400, 650 Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Criminal offenders or alleged criminal offenders acting alone or in concert with other individuals and suspects who have been or
are under investigation for a violation or suspected violation of laws enforced by the Bureau. (2) Criminal offenders or alleged criminal
offenders acting alone or in concert with individuals who have been referred to the Bureau of Alcohol, Tobacco and Firearms by other law
enforcement agencies, governmental units and the general public. (3) Informants. (4) Persons who come to the attention of the Bureau in the
conduct of criminal investigations. (5) Persons who have been convicted of a crime punishable by imprisonment for a term exceeding one year
and who have applied for relief from disabilities under Federal law with respect to the acquisition, receipt, transfer, shipment, or
possession of firearms and explosives and whose disability was incurred by reason of such conviction. (6) Victims of crimes. (7) Witnesses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(a) Records containing information compiled for the purpose of identifying individual criminal offenders and alleged offenders and
consisting only of identifying data and notations of arrest, the nature and disposition of criminal charges, sentencing, confinement, release,
and parole and probation status; (b) Records containing information compiled for the purpose of a criminal investigation, including reports of
informants and investigators, and associated with an identifiable individual; (c) Records containing reports identifiable to an individual
compiled at various stages of the process of enforcement of criminal laws from arrest or indictment through release from supervision; (d)
Records compiled and maintained by the Bureau as generally described in (a), (b), and (c) above including the following: (1) Abandoned
property reports. (2) ATF Criminal Investigation Reports. (3) ATF referrals to foreign, Federal, state, and local law enforcement agencies.
(4) Chief and Regional Counsel opinions. (5) Contemporaneous investigative notes. (6) Criminal investigatory correspondence from and to
foreign, Federal, state and local law enforcement agencies. (7) Criminal intelligence information on individuals suspected to be violating ATF
laws and regulations. (8) Documentary proof of defendant's criminal record, identity, or lack of registration of N.F.A. (as amended)
firearm(s). (9) FBI Criminal Record Reports. (10) Fingerprints and palmprints. (11) Fugitive arrest warrants. (12) Handwriting exemplars. (13)
Index cards, violation and reputation. (14) Illicit liquor and raw material surveys. (15) Laboratory reports of evidence analysis. (16)
Memoranda of expected testimony of witnesses. (17) Organized crime members violating or suspected of violating ATF laws. (18) Parole and
pardon reports. (19) Personal histories (address, employment, social security number, financial background, physical description, etc.). (20)
Photographs. (21) Purchase of evidence records. (22) Records of electronic surveillance by ATF. (23) Records received in response to summons
and subpoenas. (24) Reliefs from disability. (25) Reports of interview with witnesses. (26) Search warrants and affidavits for search
warrants. (27) Seized property reports. (28) Significant criminals, armed and dangerous, firearms, explosives and liquor. (29) Special agent's
daily activity diary (accessible by date only). (30) State and local law enforcement criminal investigative reports. (31) Statements of
defendants. (32) Statements of witnesses. (33) Summons and subpoenas issued pursuant to criminal investigations. (34) Voice prints. (35)
Wagering tax suspected violators. (36) Warning and demand letters. (37) Criminal violation reports (a formal report compiling all or portions
of the foregoing for prosecutive purposes).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>(1) 26 U.S.C. Chapters 35 and 40; (2) 26 U.S.C. Chapters 51 and 52; (3) 26 U.S.C. Chapter 53, as amended; (4) 26 U.S.C. Chapters 61
through 80, as amended; (5) 27 U.S.C. Chapter 8, as amended (Federal Alcohol Administration Act); (6) 18 U.S.C. Chapter 40; (7) 18 U.S.C.
Chapter 44; (8) 18 U.S.C. Chapter 59; (9) 18 U.S.C. App. 1201-1203 (Title VII of the Omnibus Crime Control and Safe Streets Act of 1968,
as amended by Title III of the Gun Control Act of 1968); (10) 22 U.S.C. section 414, (Mutual Security Act of 1954, as amended); (11) 5 U.S.C.
sections 901 and 903, 5 U.S.C. App. (Reorganization Plan of 1950), Treasury Order 221, 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to suppress traffic in illicit untaxpaid distilled spirits; to enforce the Federal laws relating to the
illegal possession and use of firearms, destructive devices, explosives, explosive materials; and to assist Federal, state, local and foreign
law enforcement agencies in reducing crime and violence.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A record in this system may be disclosed as a routine use to: (1) Employees of other government agencies when required or authorized
to be released by statute, regulations or Executive Order; (2) third parties during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (3) appropriate Federal, state, local and foreign agencies for the purpose of enforcing and
investigating administrative, civil or criminal laws relating to the hiring or retention of an employee; issuance of security clearance,
license, contract, grant or other benefit; (4) a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of or in preparation for civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law proceedings; (5) INTERPOL and similar criminal intelligence gathering
organizations for the purpose of identifying and suppressing the activities of international and national criminals and terrorists; (6)
appropriate Federal, state, local or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (7) insurance companies making determinations regarding claims in cases that the
Bureau has conducted or is conducting an arson investigation; (8) a congressional office in response to an inquiry of the individual to whom
the record pertains; (9) unions recognized as exclusive bargaining representatives in accordance with provisions contained in the Civil
Service Reform Act of 1978, 5 U.S.C. 7111 and 7114; (10) provide information to the news media in accordance with guidelines contained in 28
CFR 50.2 which relate to an agency's functions relating to civil and criminal proceedings.
</p><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic
or property interests, 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 (3) the disclosure made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Active records stored in file folders in security filing cabinets. Inactive records stored in file folders at Federal Records Centers.
Records also stored in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, date of birth, social security number, unique identifier, investigation number, serial number of
firearm, or a combination of any of these; plus date and geographical location of incident giving rise to investigation.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Direct access restricted to personnel in Department of Treasury in the performance of their duty. Transmitted to routine users on a
"need to know" basis and to others upon verification of the substance and propriety of the request. Stored in lockable file cabinets in rooms
locked during non-duty hours. The records stored in electronic media are password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with General Records Schedules numbers 1 through 23 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records Control Schedules numbers 101 and 201 and disposed of by shredding or
burning. Records on tape or on-line mass storage are disposed of by degaussing.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Firearms Explosive &amp;Arson; Assistant Director, Alcohol and Tobacco; Assistant Director, Field Operations; and
Assistant Director, Science &amp;Technology, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has exempted this system of records from compliance with the provisions of
5 U.S.C. 552a (e)(4)(G).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(I).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Exempt under 5 U.S.C. 552a (j)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/ATF .007</systemNumber>
<subsection type="systemName">Personnel Record System-Treasury/ATF.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226. Components of this record system are
geographically dispersed throughout the Bureau's field offices. A list of field offices is available by writing to the Chief, Disclosure
Division, Room 8400, 650 Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Present Employees of the Bureau of ATF. (2) Former Employees of the Bureau of ATF. (3) Applicants for employment with ATF.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Allotment and Dues. (2) Annual Tax Reports. (3) Applicants for employment. (4) Applications for reassignment. (5) Awards, honors,
and fellowship records. (6) Classification appeal records. (7) Death claim records. (8) Educational history. (9) Employee indebtedness
records. (10) Employees qualified as Grievance Examiners. (11) Employee Suggestions. (12) Employee history. (13) Employee relations case file.
(14) Equal employment opportunity records. (15) Health maintenance records. (16) Insurance records. (17) Military history. (18) Occupational
injuries, disabilities, and Worker's Compensation Records. (19) Official personnel folder. (20) Outside employment and identification numbers,
business or professional records. (21) Outside employment. (22) Outside financial interests. (23) Overtime and/or Premium Pay records. (24)
Performance evaluation records. (25) Personal history. (26) Position description records. (27) Promotion/Selection Certificates Records. (28)
Property custody records. (29) Retirement records. (30) Records of security clearance. (31) Statement of career goals. (32) Supervisory or
managerial potential records. (33) Temporary assignments and details. (34) Time application reports and records. (35) Training record. (36)
U.S. Savings Bond participation records. (37) Upward mobility applications. (38) Vehicle accidents. (39) Withholding tax records. (40) Work
schedule records. (41) Chief Counsel and Regional Counsel memoranda and opinions. (42) Government passport records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>(1) 5 U.S.C. Chapter 29, Subchapter II. (2) 5 U.S.C. Chapters 31 and 33. (3) 5 U.S.C. Chapter 43. (4) 5 U.S.C. Chapter 45. (5) 5
U.S.C. Chapter 51. (6) 5 U.S.C. Chapter 55, subchapter III. (7) 5 U.S.C. Chapter 61. (8) 5 U.S.C. Chapter 75. (9) 5 U.S.C. Chapter 83. (10) 5
U.S.C. Section 301; 31 C.F.R. 2.28; 5 C.F.R. 550.122, 550.183. (11) 5 U.S.C. 4503. (12) 5 U.S.C. Section 5101-5115. (13) 5 U.S.C.
Section 7151-7154. (14) 5 U.S.C. Section 7901. (15) Public Law 92-261 (Equal Employment Act of 1972). (16) Public Law 93-
579. (Federal Employees Compensation Act). (17) Occupational Safety and Health Act of 1970. (18) Executive Order 10561. (19) Executive Order
11222. (20) Executive Order 11478. (21) Executive Order 11491.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to provide the basic source of factual data about a person's Federal employment while in the service of
the Bureau of Alcohol, Tobacco and Firearms.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A record in this system may be disclosed as a routine use to:
</p><p>(1) Employees of government agencies when required or authorized to be released by statute, regulations or Executive Order; (2) any third
party, to the extent necessary, to collect relevant information from the third party, provided that the information is needed by the Bureau to
render a decision in regard to a personal matter; (3) appropriate Federal, state, local or foreign agencies responsible for enforcing
administrative, civil, or criminal laws; hiring or retention of an employee; issuance of a security clearance, license, contract, grant or
other benefit; (4) a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of or in preparation for civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (5) unions recognized as exclusive bargaining representatives in accordance with
provisions contained in the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114; (6) a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (8) provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions relating to civil and criminal proceedings.
</p><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic
or property interests, 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 (3) the disclosure made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Active records stored in file folders in security filing cabinets. Inactive records stored in file folders at Federal Records Centers.
Records also stored in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, date of birth, social security number, employee identification number, or a combination of any of
these four.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Direct access restricted to personnel in Department of Treasury in the performance of their duty. Transmitted to routine users on a
"need to know" basis or where "a right to access" is established, and to others upon verification of the substance and propriety of the
request. Stored in lockable file cabinets in rooms locked during non-duty hours. The records stored in electronic media are password
protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with General Records Schedules numbers 1 through 23 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records Control Schedules numbers 101 and 201 and disposed of by shredding,
burning or by degaussing.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Office of Science and Technology; Assistant Director, Liaison and Public Information; and Assistant Director,
Management/Chief Financial Officer, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has exempted this system of records from compliance with the provisions of
5 U.S.C. 552a (e)(4)(G).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has exempted this system of records from compliance with the provisions of
5 U.S.C. 552a (e)(4)(H).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Administrative Records. (2) Applicants for employment with the Bureau. (3) Acquaintances. (4) Business and professional
associates. (5) Creditors. (6) Criminal records. (7) Educational Institutions attended. (8) Employee records. (9) Equal Employment Opportunity
Commission. (10) Financial institutions. (11) Fiscal records. (12) Former employees. (13) Former employers. (14) Inspection records. (15)
Internal investigation reports. (16) Internal Revenue Service. (17) Military records. (18) Outside employers. (19) Physicians. (20) Police
reports. (21) Position classification specialists. (22) Psychiatrists. (23) References. (24) Supervisors. (25) Training officers. (26) Unions,
accredited. (27) Office of Personnel Management. (28) Witnesses.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Exempt under 5 U.S.C. 552a (k)(5). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/ATF .008</systemNumber>
<subsection type="systemName">Regulatory Enforcement Record System-Treasury/ATF.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226. Components of this system of records are
also geographically dispersed throughout ATF's district and field offices. A list of field offices is available by writing to the Chief,
Disclosure Division, Room 8400, 650 Massachusetts Avenue, NW, Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have been issued permits or licenses, have filed applications with ATF, or have registered with ATF including:
</p><p>(a) Alcohol licensees; (b) Claimants for refund, abatement, credit, allowance or drawback of excise or special occupational taxes; (c)
Federal Firearms Licenses (d) Collectors of firearms or ammunition; (e) Importers of firearms or ammunition, and (f) Users of explosive
materials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records containing investigative material compiled for law enforcement purposes which may consist of the following: (1) Abstracts of
offers in compromise. (2) Administrative law judge decisions. (3) Assessment records: (a) notices of proposed assessments. (b) notices of
shortages or losses. (c) notices to IRS to assess taxes. (d) recommendation for assessments. (4) Claim records: (a) claims. (b) letters of
claim rejection. (c) sample reports. (d) supporting data. (e) vouchers and schedules of payment. (5) Comments on proposed rulemakings. (6)
Complaints from third parties. (7) Correspondence concerning records in this system and related matters. (8) Financial statements. (9)
Inspection and investigation reports. (10) Joint demands on principals and sureties for payment of excise tax liabilities. (11) Letters of
reprimand. (12) Lists of permittees and licensees. (13) Lists of officers, directors and principal stockholders. (14) Mailing lists and
addressograph plates. (15) Notices of delinquent reports. (16) Offers in compromise. (17) Operation records: (a) operating reports. (b)
reports of required inventories. (c) reports of thefts or losses of firearms-who maintains records. (d) reports of thefts of explosive
materials-who maintains records. (e) transaction records. (f) transaction reports. (18) Orders of revocation, suspension or annulment of
permits or licenses. (19) District and Chief Counsel opinions and memoranda. (20) Reports of violations. (21) Permit status records. (22)
Qualifying records: (a) access authorizations. (b) advertisement records. (c) applications. (d) bonds. (e) business histories. (f) criminal
records. (g) diagrams of premises. (h) educational histories. (I) employment histories. (j) environmental records. (k) financial data. (l)
formula approvals. (m) label approvals. (n) licenses. (o) notices. (p) permits. (q) personal references. (r) plant profiles. (s) plant
capacities. (t) plats and plans. (u) registrations. (v) sample reports. (w) signature authorities. (x) special permissions and authorizations.
(y) statements of process. (23) Show cause orders. (24) Tax records: (a) control cards relating to periodic payment and prepayment of taxes.
(b) excise and special tax returns. (c) notices of tax discrepancy or adjustment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>(1) 26 U.S.C. 5172. (2) 26 U.S.C. 5271(b)(1). (3) 26 U.S.C. 5356. (4) 26 U.S.C. 5401. (5) 26 U.S.C. 5417. (6) 26 U.S.C. 5502(b). (7)
26 U.S.C. 5511(3). (8) 26 U.S.C. 5521(a). (9) 26 U.S.C. 5179(a). (10) 22 U.S.C. 204(c). (11) 26 U.S.C. 5105. (12) 26 U.S.C. 5275. (13) 26
U.S.C. 5301(b). (14) 26 U.S.C. 5132. (15) 26 U.S.C. 5042(a)(2). (16) 26 U.S.C. 7011. (17) 26 U.S.C. 5712. (18) 18 U.S.C. 923(a). (19) 18
U.S.C. 923(b). (20) 18 U.S.C. 843(a). (21) 22 U.S.C. 414. (22) 26 U.S.C. 4401(a). (23) 26 U.S.C. 6001. (24) 26 U.S.C. 6011(a). (25) 26 U.S.C.
5001. (26) 26 U.S.C. 5021-5023. (27) 26 U.S.C. 5041. (28) 26 U.S.C. 5051. (29) 26 U.S.C. 6201. (30) 26 U.S.C. 5008. (31) 26 U.S.C. 5044. (32)
26 U.S.C. 5056. (33) 26 U.S.C. 5705. (34) 26 U.S.C. 6423(b). (35) 26 U.S.C. 5009(a). (36) 26 U.S.C. 5006(a). (37) 26 U.S.C. 5055. (38) 26
U.S.C. 5062(c). (39) 26 U.S.C. 5106. (40) 26 U.S.C. 5131(c). (41) 26 U.S.C. 5064. (42) 26 U.S.C. 7122. (43) 27 U.S.C. 207. (44) 18 U.S.C.
843(d). (45) 18 U.S.C. 923(f). (46) 27 U.S.C. 204(e). (47) 26 U.S.C. 5312(a). (48) 26 U.S.C. 5042(a)(3). (49) Reorganization Act of 1949, 5
U.S.C. Sections 901 et seq.; Revenue Act of 1951, Section 616; Treasury Department Order 221 (37 F.R. 11696, dated June 19,1972). (50) 5
U.S.C. 301. (51) 26 U.S.C. 5181.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to determine suitability, eligibility or qualifications of individuals who are engaged or propose to
engage in activities regulated by ATF; achieve compliance with laws under ATF's jurisdiction; assure full collection of revenue due from legal
industries; eliminate commercial bribery, consumer deception and other improper trade practices in the distilled spirits, beer and wine
industries; interact with Federal, state and local governmental agencies in the resolution of problems relating to industrial development,
revenue protection, public health, ecology, and other areas of joint jurisdictional concern. When a criminal investigation results in a
compilation of information contained in this system of records, the information shall be transferred to the Treasury ATF--Criminal
Investigation Report System and shall become part of that system for all purposes of the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A record in this system may be disclosed as a routine use to: (1) Employees of other governmental agencies when required or authorized
to be released by statute, regulations or Executive Order; (2) any third party to the extent necessary to collect or verify information
pertinent to the Bureau's decision to grant, deny or revoke a license or permit; to initiate or complete an investigation of violations or
alleged violations of laws and regulations administered by the Bureau; (3) appropriate Federal, state, local or foreign agencies for the
purpose of enforcing administrative, civil or criminal laws; hiring or retention of an employee; issuance of a security clearance, license,
contract, grant or other benefit; (4) a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of or in preparation for civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law proceedings; (5) INTERPOL and similar national and international intelligence
gathering organizations for the purpose of identifying international and national criminals involved in consumer fraud, revenue evasion or
crimes; (6) foreign governments in accordance with formal or informal international agreements; (7) appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or
criminal law or regulation; (8) a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains; (10) provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings.
</p><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic
or property interests, 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 (3) the disclosure made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Active records stored in file folders in filing cabinets and in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, permit or license number, by document locator number, or by employer identification number (EIN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Direct access restricted to personnel in the Department of Treasury in the performance of their duty. Transmitted to routine users on
a "need to know" basis and others upon verification of the substance and propriety of the request. Stored in file cabinets in rooms locked
during non-duty hours. The records stored in electronic media are password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with General Records Schedules numbers 1 through 20 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records Control Schedules numbers 101 and 201 and disposed of by shredding,
burning or by degaussing.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Firearms Explosive &amp;Arson; Assistant Director, Alcohol and Tobacco; Assistant Director, Field Operations; and
Assistant Director, Science &amp;Technology, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(G).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Acquaintances. (2) Bureau Personnel. (3) Business and Professional Associates. (4) Creditors. (5) Criminal Records. (6) Financial
Institutions. (7) Former Employers. (8) Internal Revenue Service. (9) Military Records. (10) Physicians. (11) Psychiatrists. (12) References.
(13) Police Reports. (14) Witnesses. (15) Federal Law Enforcement Agencies. (16) State Law Enforcement Agencies. (17) Local Law Enforcement
Agencies. (18) State Regulatory Agencies. (19) Federal Regulatory Agencies. (20) Local Regulatory Agencies. (21) Chief Counsel's Opinions.
(22) Regional Counsel's Opinions. (23) Chief Counsel's Memoranda. (24) Regional Counsel's Memoranda. (25) Field Investigation Reports. (26)
Third Parties.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Exempt under 5 U.S.C. 552a (k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/ATF .009</systemNumber>
<subsection type="systemName">Technical and Scientific Services Record System-Treasury/ATF.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226. Components of this record system are
geographically dispersed throughout Bureau of Alcohol, Tobacco and Firearms' field offices. A list of field offices is available by writing to
the Chief, Disclosure Division, Room 8400, 650 Pennsylvania Avenue, NW., Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Applicants to register firearms under the National Firearms Act. (2) Applicants for surplus military firearms under the Director
of Civilian Marksmanship Program. (3) Importers of implements of war as defined under the Mutual Security Act of 1954 and the Arms Export
Control Act of 1976. (4) Licensed importers registered under the Mutual Security Act of 1954 and the Arms Export Control Act of 1976. (5)
Manufacturers of National Firearms Act who are exempt from payment of Special (Occupational) tax provisions. (6) Non-Bureau chemists certified
to make analysis of alcoholic beverages. (7) Persons involved in explosives tagging and detection program. (8) Registered owners of National
Firearms Act firearms. (9) Special (Occupational) taxpayers as defined under Title II of the Gun Control Act of 1968. (10) Victims of
explosives. (11) Individuals involved in Government funded research projects.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Alterations of registered National Firearms Act firearms. (2) Applications for surplus military firearms. (3) Applications to
register firearms and destructive devices under the National Firearms Act. (4) Applications to import articles on the United States Munitions
list. (5) Blueprints. (6) Certifications of payment of Special (occupational) tax payments. (7) Changes of address for owner of firearms
registered under the National Firearms Act. (8) Claims for erroneous Special (Occupational) taxes payments. (9) Descriptions of Inventions.
(10) Delinquency notices regarding proof of importation of National Firearms Act Firearms. (11) Explosive reports. (12) Non-Bureau chemists'
statements of qualification. (13) Patent information. (14) Registrations of firearms and destructive devices under the National Firearms Act.
(15) Registration of war trophy firearms. (16) Requests and authorizations for temporary movement and/or temporary storage of National
Firearms Act firearms. (17) Technical and scientific data. (18) Transaction records concerning National Firearms Act firearms. (19) Trade
secrets. (20) United States Government contracts to manufacturers of National Firearms Act firearms. (21) Chief Counsel and Regional Counsel
memoranda and opinions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>(1) 18 U.S.C. Chapter 40; (2) 18 U.S.C. Chapter 44; (3) 18 U.S.C. Section 3056; (4) 26 U.S.C. Sections 6001(a), 5001, 5008, 5009(a),
5006(a), 5021-5023, 5041, 5042(a)(2), 5051, 5053, 5056, 5062(c), 5705, 6201, 6423(b), 5105, 5106, 5131(c), 5132, 5172, 5172(b)(1), 5275,
5301(b), 5356, 5401, 5417, 5502(b), 5511(3), 5521(a), 5179(a), 5712, 7011; (5) 27 U.S.C. Sections 204(c); (6) 26 U.S.C. Chapter 35; (7)
Executive Order 10973, as amended by Executive Order 11432.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to provide technical and scientific support and expertise to Criminal and Regulatory Enforcement
activities of the Bureau; to other Federal, state, local and foreign law enforcement agencies; and to industries involved in activities
regulated by the Bureau. When a criminal investigation results in a compilation of information contained in this system, the information so
compiled shall be transferred to the ATF Criminal Investigation Report System and shall become a part of that system for all purposes of the
Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>A record in this system may be disclosed as a routine use to:
</p><p>(1) Employees of other governmental agencies when required or authorized to be released by statute, regulations or Executive Order; (2) any
third party to the extent necessary to collect or verify information pertinent to the Bureau's decision to grant, deny or revoke a license or
permit; to initiate or complete an investigation of violations or alleged violations of laws and regulations administered by the Bureau; (3)
appropriate Federal, state, local or foreign agencies, for the purpose of enforcing administrative, civil, criminal laws; hiring or retention
of an employee; issuance of a security clearance, license, contract, grant or other benefit; (4) a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or in connection with criminal law proceedings; (5) INTERPOL and similar
national and international intelligence gathering organizations for the purpose of identifying international and national criminals involved
in consumer fraud, revenue evasion or crimes; (6) foreign governments in accordance with formal or informal international agreements; (7)
appropriate Federal, state, local or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (8) insurance companies making determinations regarding claims in cases that the
Bureau has conducted or is conducting in an arson investigation; (9) a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (10) provide information to the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal proceedings.
</p><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic
or property interests, 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 (3) the disclosure made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Active records stored in file folders and in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, by unique identifier, control number, serial number of National Firearms Act firearms.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Stored in file cabinets locked during non-duty hours. The records stored in electronic media are password protected.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with General Records Schedules numbers 1 through 20 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records Control Schedules numbers 101 and 201 and disposed of by shredding or
burning. Records stored on tape discs or on-line mass storage are disposed of by degaussing.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Firearms Explosive &amp;Arson; Assistant Director, Alcohol and Tobacco; Assistant Director, Field Operations; and
Assistant Director, Science &amp;Technology, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has determined this system of records to be exempt from compliance with
the provisions of U.S.C. 552a (e)(4)(G).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>The Director of the Bureau of Alcohol, Tobacco and Firearms has determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Individuals. (2) Companies. (3) Corporations. (4) Firearms Licensees. (5) Explosive Licensees. (6) Explosive Permittees. (7)
Bureau personnel. (8) Federal law enforcement agencies. (9) State law enforcement agencies. (10) Local law enforcement agencies. (11) Foreign
law enforcement agencies. (12) Federal Regulatory agencies. (13) State Regulatory agencies. (14) Local Regulatory agencies. (15) Non-Bureau
Chemists.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Exempt under 5 U.S.C. 552a (k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/TTB .001</systemNumber>
<subsection type="systemName">Regulatory Enforcement Record System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Alcohol and Tobacco Tax and Trade Bureau (TTB), 1310 G Street NW., Washington, DC 20005. Components of this system of records are also
geographically dispersed throughout TTB's field offices. A list of TTB's field offices is available on the TTB Web site at <i>
http://www.ttb.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Individuals who file tax returns or submit return information to TTB regarding special occupational tax and excise taxes on
alcohol, tobacco, and firearms and ammunition; and
</p><p>(2) Individuals who have been issued permits, have filed applications with TTB, or have registered with TTB. They include (a) Alcohol and
tobacco permittees and (b) Claimants for refund, abatement, credit, allowance, or drawback of excise or special occupational taxes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records containing investigative material compiled for TTB's responsibilities under the Internal Revenue Code of 1986 and the Federal
Alcohol Administration Act, which may consist of the following: (1) Abstracts of offers in compromise; (2) Administrative law judge decisions;
(3) Assessment records including notices of proposed assessments, notices of shortages or losses, copies of notices from IRS to assess taxes,
and recommendations for assessments; (4) Claim records including claims, letters of claim rejection, sample reports, supporting data, and
vouchers and schedules of payment; (5) Correspondence concerning records in this system and related matters; (6) Financial statements; (7)
Inspection and investigation reports; (8) Demands for payment of excise tax liabilities; (9) Letters of warning; (10) Lists of permittees;
(11) Lists of officers, directors, and principal stockholders; (12) Mailing lists and addressograph plates; (13) Notices of delinquent
reports; (14) Offers in compromise; (15) Operational records, such as operating and inventory reports, and transaction records and reports;
(16) Orders of revocation, suspension, or annulment of permits; (17) Chief Counsel opinions and memoranda; (18) Reports of violations; (19)
Permits and permit histories; (20) Qualifying records including access authorizations, advertisement records, applications, business
histories, criminal records, educational histories, employment histories, financial data, formula approvals, notices, permits, personal
references, registrations, sample reports, special permissions and authorizations, and statements of process; (21) Show cause orders; and (22)
Tax records including control cards relating to periodic payment and prepayment of taxes, tax returns, and notices of tax discrepancy or
adjustment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 5001, 5006(a), 5008, 5041, 5042(a)(2) and (3), 5044, 5051, 5055, 5056, 5061, 5062, 5064, 5101, 5132, 5172,
5179(a), 5181, 5271(b)(1), 5275, 5301(a) and (b), 5312, 5356, 5401, 5417, 5502, 5511(3), 5705, 5712, 6001, 6011(a), 6201, 6423, 7011, and
7122; 27 U.S.C. 204 and 207; and Homeland Security Act of 2002.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to determine suitability, eligibility, or qualifications of individuals who are engaged or propose to
engage in activities regulated by TTB; achieve compliance with laws under TTB's jurisdiction; assure full collection of revenue due from legal
industries; eliminate commercial bribery, consumer deception, and other improper trade practices in the distilled spirits, malt beverage, and
wine industries; and interact with Federal, State, and local governmental agencies in the resolution of problems relating to revenue
protection and other areas of joint jurisdictional concern.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Routine uses of records within this system pursuant to which a record may be disclosed are to:
</p><p>(1) Third parties when such disclosure is required by statute or Executive Order;
</p><p>(2) Third parties to the extent necessary to collect or verify information pertinent to the Bureau's decision to grant, deny, or revoke a
license or permit; to initiate or complete an investigation of violations or alleged violations of laws and regulations administered by the
Bureau;
</p><p>(3) Appropriate Federal, State, local, or foreign agencies for the purpose of enforcing administrative, civil, or criminal laws; hiring or
retention of an employee; issuance of a security clearance, license, contract, grant, or other benefit by the requesting agency, to the extent
that the information is relevant and necessary to the requesting agency's decision on the matter;
</p><p>(4) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of or in preparation for civil discovery, litigation, or settlement negotiations, in response to a subpoena where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(5) INTERPOL and similar national and international intelligence gathering organizations for the purpose of identifying international and
national criminals involved in consumer fraud, revenue evasion, crimes, or persons involved in terrorist activities;
</p><p>(6) Foreign governments in accordance with formal or informal international agreements;
</p><p>(7) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing
or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or
potential violation of criminal law or regulation;
</p><p>(8) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(9) The news media to provide information in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings;
</p><p>(10) Third parties for a purpose consistent with any permissible disclosure of returns or return information under the Internal Revenue
Code of 1986, as amended;
</p><p>(11) Appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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;
</p><p>(12) A contractor for the purpose of processing administrative records and/or compiling, organizing, analyzing, programming, or otherwise
refining records subject to the same limitations applicable to U.S. Department of the Treasury officers and employees under the Privacy Act;
</p><p>(13) The Department of Justice when seeking legal advice or when (a) the Department of the Treasury or (b) the disclosing agency, or (c)
any employee of the disclosing agency in his or her official capacity, or (d) any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee, or (e) the United States, where the disclosing agency determines that
litigation is likely to affect the disclosing agency, is a party to litigation or has an interest in such litigation, and the use of such
records by the Department of Justice is deemed by the agency to be relevant and necessary to the litigation; and
</p><p>(14) Representatives of the National Archives and Records Administration (NARA) who are conducting records management inspections under
authority of 44 U.S.C. 2904 and 2906.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in file folders in filing cabinets and in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by name, by permit or license number, by document locator number, or by employer identification number (EIN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Direct access is restricted to personnel in the Department of the Treasury in the performance of their duties. Non-electronic records
are stored in file cabinets in rooms locked during non-duty hours. Records stored in electronic media are password protected and encrypted
while at rest in the system and when transmitted. Disclosures are made to routine users on a "need to know" basis and upon
verification of the substance and propriety of the request.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>TTB maintains records according to TTB Brief 1345.1 (dated 03/20/09 and renewed, 03/20/10) which incorporates the modifications made
to Bureau of Alcohol, Tobacco and Firearms (ATF) Order 1345.1, Change 3 (10/29/1991; updated 4/5/2002) that contains the extracted retention
guidance from the NARA-approved retention schedules (for ATF prior to 2003) per the Homeland Security Act of 2002 "Savings Clause.
" TTB is in the process of requesting NARA's approval for new TTB Records Control Schedules to supersede the ATF retention schedules
authorized for use under the "Savings Clause." TTB will not dispose of records not currently covered by TTB's approved record
retention schedule until TTB receives approval from NARA. Some records are managed in accordance with General Records Schedules numbers 1
through 27 issued by NARA.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, National Revenue Center, Alcohol and Tobacco Tax and Trade Bureau, 550 Main Street, Suite 8002, Cincinnati, OH 45202.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system of records has been determined to be exempt from compliance with the notification provisions of 5 U.S.C. 552a(e)(4)(G).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system of records has been determined to be exempt from compliance with the access provisions of 5 U.S.C. 552a(e)(4)(H).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>This system of records has been determined to be exempt from compliance with the provisions of 5 U.S.C. 552a(e)(4)(H) allowing an
individual to contest the contents of records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records has been determined to be exempt from compliance with the provisions of 5 U.S.C. 552a(e)(4)(I) requiring the
record source categories be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated as exempt from the following provisions of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). See 31 CFR 1.36.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .100</systemNumber>
<subsection type="systemName">Enforcement Action Report System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Enforcement and Compliance Division, 250 E Street SW., Washington, DC 20219-
0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are: (1) Current and former directors, officers, employees, shareholders, and independent
contractors of financial institutions who have had enforcement actions taken against them by the OCC, the Board of Governors of the Federal
Reserve System, the Federal Deposit Insurance Corporation, the Office of Thrift Supervision, or the National Credit Union Administration;
</p><p>(2) Current and former directors, officers, employees, shareholders, and independent contractors of financial institutions who are the
subjects of pending enforcement actions initiated by the OCC; and
</p><p>(3) Individuals who must obtain the consent of the Federal Deposit Insurance Corporation pursuant to 12 U.S.C. 1829 to become or continue
as an institution-affiliated party within the meaning of 12 U.S.C. 1813(u) of a federally-insured depository institution, a direct or indirect
owner or controlling person of such an entity, or a direct or indirect participant in the conduct of the affairs of such an entity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain the names of individuals, their positions or titles with financial institutions,
descriptions of offenses and enforcement actions, and descriptions of offenses requiring Federal Deposit Insurance Corporation approval under
12 U.S.C. 1829.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records is used by the OCC to monitor enforcement actions and to assist it in its regulatory responsibilities,
including review of the qualifications and fitness of individuals who are or propose to become responsible for the business operations of CC-
regulated entities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) An OCC-regulated entity when the information is relevant to the entity's operations;
</p><p>(2) Third parties to the extent necessary to obtain information that is relevant to an examination or investigation;
</p><p>(3) The news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(4) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers, including the review of the
qualifications and fitness of individuals who are or propose to become responsible for the business operations of such providers;
</p><p>(5) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(6) A congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(7) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(8) Third parties when mandated or authorized by statute, or
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Enforcement and Compliance Division, Law Department, Office of the Comptroller of the Currency, 250 E Street SW.,
Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Non-exempt information maintained in this system is obtained from OCC personnel, OCC-regulated entities, other federal financial
regulatory agencies, and criminal law enforcement authorities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)
(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2)<i>.</i> See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .110</systemNumber>
<subsection type="systemName">Reports of Suspicious Activities--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Enforcement and Compliance Division, 250 E Street SW., Washington, DC 20219-
0001. Suspicious Activity Reports (SARs) are managed by the Financial Crimes Enforcement Network (FinCEN), Department of the Treasury, 2070
Chain Bridge Road, Vienna, Virginia 22182, and stored at the IRS Computing Center in Detroit, Michigan. Information extracted from or relating
to SARs or reports of crimes and suspected crimes is maintained in an OCC electronic database. This database, as well as the database managed
by FinCEN, is accessible to designated OCC headquarters and district office personnel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are individuals who have been designated as suspects or witnesses in SARs or reports of crimes and
suspected crimes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain the name of the entity to which a report pertains, the names of individual suspects and
witnesses, the types of suspicious activity involved, and the amounts of known losses. Other records maintained in this system may contain
arrest, indictment and conviction information, and information relating to administrative actions taken or initiated in connection with
activities reported in a SAR or a report of crime and suspected crime.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C. 5318.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records is used by the OCC to monitor criminal law enforcement actions taken with respect to known or suspected
criminal activities affecting OCC-regulated entities. System information is used to determine whether matters reported in SARs warrant the
OCC's supervisory action. Information in this system also may be used for other supervisory and licensing purposes, including the review of
the qualifications and fitness of individuals who are or propose to become responsible for the business operations of OCC-regulated entities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) The Department of Justice through periodic reports containing the identities of individuals suspected of having committed violations of
criminal law;
</p><p>(2) An OCC-regulated entity if the SAR relates to that institution;
</p><p>(3) Third parties to the extent necessary to obtain information that is relevant to an examination or investigation;
</p><p>(4) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation and supervision of financial service providers, including the review of the
qualifications and fitness of individuals who are or propose to become responsible for the business operations of such providers;
</p><p>(5) An appropriate governmental, international, tribal, self-regulatory, or professional organization if the information is relevant to a
known or suspected violation of a law or licensing standard within that organization's jurisdiction;
</p><p>(6) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(7) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(8) Third parties when mandated or authorized by statute, or
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Special Supervision Division, Midsize/Community Bank Supervision, Office of the Comptroller of the Currency, 250 E Street
SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Non-exempt information maintained in this system is obtained from CC personnel, OCC-regulated entities, other financial regulatory
agencies, criminal law enforcement authorities, and FinCEN.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records in this system have been designated as exempt from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1), (e)(2), (e)
(3), (e)(4)(G), (H), and (I), (e)(5), and (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .120</systemNumber>
<subsection type="systemName">Bank Fraud Information System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Bank Supervision Operations, 250 E Street SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are those who submit complaints or inquiries about fraudulent or suspicious financial instruments
or transactions or who are the subjects of complaints or inquiries.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain: The name, address, or telephone number of the individual who submitted a complaint or
inquiry; the name, address, or telephone number of the individual or entity who is the subject of a complaint or inquiry; the types of
activity involved; the date of a complaint or inquiry; and numeric codes identifying a complaint or inquiry's nature or source. Supporting
records may contain correspondence between the OCC and the individual or entity submitting a complaint or inquiry, correspondence between the
OCC and an OCC-regulated entity, or correspondence between the OCC and other law enforcement or regulatory bodies. Other records maintained in
this system may contain arrest, indictment and conviction information, and information relating to administrative actions taken or initiated
in connection with complaints or inquiries.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C. 5318.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records tracks complaints or inquiries concerning fraudulent or suspicious financial instruments and transactions.
These records assist the OCC in its efforts to protect banks and their customers from fraudulent or suspicious banking activities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) An OCC-regulated entity to the extent that such entity is the subject of a complaint, inquiry, or fraudulent activity;
</p><p>(2) Third parties to the extent necessary to obtain information that is relevant to the resolution of a complaint or inquiry, an
examination, or an investigation;
</p><p>(3) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers;
</p><p>(4) An appropriate governmental, international, tribal, self-regulatory, or professional organization if the information is relevant to a
known or suspected violation of a law or licensing standard within that organization's jurisdiction;
</p><p>(5) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(6) A congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(7) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(8) Third parties when mandated or authorized by statute, or
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically, in card files, and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Special Supervision, Bank Supervision Operations, Office of the Comptroller of the Currency, 250 E Street SW., Washington,
DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street, SW., Washington, DC 20219-0001. See 31 CFR part 1, subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature. Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an
individual's identity, and to the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or
obtaining information under false pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Non-exempt information maintained in this system is obtained from individuals and entities who submit complaints or inquiries, OCC
personnel, OCC-regulated entities, criminal law enforcement authorities, and governmental or self-regulatory bodies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1),
(e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31
CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .200</systemNumber>
<subsection type="systemName">Chain Banking Organizations System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Operations Risk Policy, 250 E Street, SW., Washington, DC 20219-0001, and the
OCC's district offices as follows:
</p><p>Central District Office, One Financial Place, Suite 2700, 440 South LaSalle Street, Chicago, IL 60605-1073;
</p><p>Northeastern District Office, 340 Madison Avenue, Fifth Floor, New York, NY 10017-2613;
</p><p>Southern District Office, 500 North Akard Street, Suite 1600, Dallas, TX 75201-3394; and
</p><p>Western District Office, 1225 17th Street, Suite 300, Denver, CO 80202-5534.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are individuals who directly, indirectly, or acting through or in concert with one or more other
individuals, own or control a chain banking organization. A chain banking organization exists when two or more independently chartered
financial institutions, including at least one OCC-regulated entity, are controlled either directly or indirectly by the same individual,
family, or group of individuals closely associated in their business dealings. Control generally exists when the common ownership has the
ability or power, directly or indirectly, to:
</p><p>(1) Control the vote of 25 percent or more of any class of an organization's voting securities;
</p><p>(2) Control in any manner the election of a majority of the directors of an organization; or
</p><p>(3) Exercise a controlling influence over the management or policies of an organization. A registered multibank holding company and its
subsidiary banks are not ordinarily considered a chain banking group unless the holding company is linked to other banking organizations
through common control.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system contain the names of individuals who, either alone or in concert with others, own or control a chain
banking organization. Other information may contain: The name, location, charter number, charter type, and date of last examination of each
organization comprising a chain; the percentage of outstanding stock owned or controlled by controlling individuals or groups; and the name of
any intermediate holding entity and the percentage of such entity owned or controlled by the individual or group.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 481, 1817(j), and 1820.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>Information maintained in this system is used by the OCC to carry out its supervisory responsibilities with respect to national banks
and District of Columbia banks operating under the OCC's regulatory authority, including the coordination of examinations, supervisory
evaluations and analyses, and administrative enforcement actions with other financial regulatory agencies.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) An OCC-regulated entity when information is relevant to the entity's operation;
</p><p>(2) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers;
</p><p>(3) An appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or
suspected violation of a law or licensing standard within the organization's jurisdiction;
</p><p>(4) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(5) A Congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(6) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(7) Third parties when mandated or authorized by statute, or
</p><p>(8) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Operational Risk Policy, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system is obtained from OCC personnel, other Federal financial regulatory agencies, and individuals who
file notices of their intention to acquire control over an OCC-regulated financial institution.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .210</systemNumber>
<subsection type="systemName">Bank Securities Dealers System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Credit and Market Risk, 250 E Street SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are individuals who are or seek to be associated with a municipal securities dealer or a government
securities broker/dealer that is a national bank, Federal savings association, a District of Columbia savings association operating under the
OCC's regulatory authority, or a department or division of any such bank or savings association in the capacity of a municipal securities
principal, municipal securities representative, or government securities associated person.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain an individual's name, address history, date and place of birth, social security number,
educational and occupational history, certain professional qualifications and testing information, disciplinary history, or information about
employment termination.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1 (as amended), 481, 1464, 1818, and 1820; 15 U.S.C. 78o-4, 78o-5, 78q, and 78w.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records will be used by the OCC to carry out its responsibilities under the Federal securities laws relating to the
professional qualifications and fitness of individuals who engage or propose to engage in securities activities on behalf of national banks,
Federal savings associations, and District of Columbia savings associations operating under the OCC's regulatory authority.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) An OCC-regulated entity in connection with its filing relating to the qualifications and fitness of an individual serving or proposing
to serve the entity in a securities-related capacity;
</p><p>(2) Third parties to the extent needed to obtain additional information concerning the professional qualifications and fitness of an
individual covered by the system;
</p><p>(3) Third parties inquiring about the subject of an OCC enforcement action;
</p><p>(4) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers, including the review of the
qualifications and fitness of individuals who are or propose to become involved in the provider's securities business;
</p><p>(5) An appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or
suspected violation of a law or licensing standard within that organization's jurisdiction;
</p><p>(6) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(7) A Congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(8) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(9) Third parties when mandated or authorized by statute, or
</p><p>(10) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the electronic database is restricted to authorized personnel who have been issued non-transferrable access codes and
passwords. Other records are maintained in locked file cabinets or rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Comptroller, Credit and Market Risk, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219-
0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250 E
Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a
passport or identification badge) or two items of identification that bear both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system is obtained from OCC-regulated entities that are: Municipal securities dealers and/or government
securities brokers/dealers; individuals who are or propose to become municipal securities principals, municipal securities representatives, or
government securities associated persons; or governmental and self-regulatory organizations that regulate the securities industry.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .220</systemNumber>
<subsection type="systemName">Notices of Proposed Changes in Employees, Officers and Directors Tracking System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Special Supervision, 250 E Street SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are those who are named in notices filed: (1) under 12 CFR 5.51 as proposed directors or senior
executive officers of a national bank, or federal branches of foreign banks (Section 5.51-regulated entities) when the entities:
</p><p>(a) Have a composite rating of 4 or 5 under the Uniform Financial Institutions Rating System;
</p><p>(b) Are subject to cease and desist orders, consent orders, or formal written agreements, unless otherwise informed in writing by the OCC;
</p><p>(c) Have been determined, in writing, by the OCC to be in "troubled condition;"
</p><p>(d) Are not in compliance with minimum capital requirements prescribed under 12 CFR Part 3; or
</p><p>(e) Have been advised by the OCC, in connection with its review of an entity's capital restoration plan, that such filings are appropriate.
</p><p>(2) Under 12 CFR 5.20(g)(2) as proposed officers or directors of national banks (Section 5.20(g)(2) entities) for a two-year period from
the date they commence business.
</p><p>(3) under 12 CFR 163, Subpart H (previously 12 CFR 563, Subpart H) as proposed directors or senior executive officers of Federal savings
associations (Part 163, Subpart H entities) when the entities:
</p><p>(a) Are not in compliance with minimum capital requirements prescribed under 12 CFR 167 (previously 12 CFR 567);
</p><p>(b) Have a composite rating of 4 or 5 under the Uniform Financial Institutions Rating system;
</p><p>(c) Are subject to capital directives, cease and desist orders, consent orders, formal written agreements, or prompt corrective action
directives relating to the safety and soundness or financial viability of the federal savings association, unless otherwise informed I writing
by the OCC;
</p><p>(d) Have been determined in writing by the OCC to be in "troubled condition;" or
</p><p>(e) Have been advised by the OCC, in connection with its review of an entity's capital restoration plan required by 12 U.S.C. 1831o, that
such notice is required.
</p><p>(4) pursuant to 12 U.S.C. 1818(b) as proposed employees of national banks, Federal savings associations or any other entity subject to the
OCC's jurisdiction (1818(b) entities), other than employees covered by 12 CFR 5.51 or 12 CFR 163, Subpart H, when required to do so pursuant
to 12 U.S.C. 1818(b)."
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this electronic database may contain: the names, charter numbers, and locations of the OCC-regulated entities
that have submitted notices; the names, addresses, dates of birth, and social security numbers of individuals proposed as either directors or
senior executive officers; and the actions taken by the OCC in connection with these notices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1 (as amended), 27, 93a, 481, 1464, 1817(j), 1818, 1820, and 1831i.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>Information maintained in this system is used by the OCC to carry out its statutory and other regulatory responsibilities, including
other reviews of the qualifications and fitness of individuals who propose to become responsible for the business operations of OCC-regulated
entities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) An Section 5.51 entity, a Section 5.20(g)(2) entity, a Part 163, Subpart H entity, or a Section 1818(b) entity in connection with
review and action on a notice filed by that entity;
</p><p>(2) Third parties to the extent necessary to obtain information that is pertinent to the OCC's review and action on a notice received under
any authority cited herein;
</p><p>(3) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers, including the review of the
qualifications and fitness of individuals who are or propose to become responsible for the business operations of such providers;
</p><p>(4) An appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or
suspected violation of a law or licensing standard within that organization's jurisdiction;
</p><p>(5) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(6) A congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(7) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(8) Third parties when mandated or authorized by statute, or
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Comptroller, Special Supervision, Bank Supervision Operations, Office of the Comptroller of the Currency, 250 E Street SW.,
Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document).
</p><p>An individual seeking notification in person must establish his or her identity by providing proof in the form of a single official
document bearing a photograph (such as a passport or identification badge) or two items of identification that bear both a name and signature.
Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to the
fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system is obtained from OCC-regulated entities, individuals named in notices filed pursuant to 5 CFR
5.51, Federal or State financial regulatory agencies, criminal law enforcement authorities, credit bureaus, and OCC personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)
(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .340</systemNumber>
<subsection type="systemName">Access Control System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Security Office, Office of Management, 250 E Street SW., Washington, DC 20219-
001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are OCC employees, contractors, agents, and volunteers who have been issued an OCC identification
card.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain an individual's name, location information, picture, and authorizations to use the OCC's
fitness facility or its headquarters parking garage, if applicable. This system of records also may contain time records of entrances and
exits and attempted entrances and exits of OCC premises.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 481, and 482; 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>The OCC has an access control system linked to identification cards which limits access to its premises to authorized individuals and
records the time that individuals are on the premises. This system of records is used to assist the OCC in maintaining the security of its
premises and to permit the OCC to identify individuals on its premises at particular times.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) Third parties to the extent necessary to obtain information that is relevant to an investigation concerning access to or the security
of the OCC's premises;
</p><p>(2) An appropriate governmental authority if the information is relevant to a known or suspected violation of a law within that
organization's jurisdiction;
</p><p>(3) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(4) A congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(5) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(6) Third parties when mandated or authorized by statute, or
</p><p>(7) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records Management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director for Critical Infrastructure Protection and Security (CIPS), Office of the Comptroller of the Currency, 250 E Street
SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system is obtained from individuals and the OCC's official personnel records. Information concerning
entry and exit of OCC premises is obtained from identification card scanners.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .500</systemNumber>
<subsection type="systemName">Chief Counsel's Management Information System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Office of Chief Counsel, 250 E Street SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by the system are: Individuals who have requested information or action from the OCC; parties or witnesses in
civil proceedings or administrative actions; individuals who have submitted requests for testimony and/or production of documents pursuant to
12 CFR part 4, Subpart C; individuals who have been the subjects of administrative actions or investigations initiated by the OCC, including
current or former shareholders, directors, officers, employees and agents of OCC-regulated entities, current, former, or potential bank
customers, and OCC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain the names of: Banks; requestors; parties; witnesses; current or former shareholders;
directors, officers, employees and agents of OCC-regulated entities; current, former or potential bank customers; and current or former OCC
employees. These records contain summarized information concerning the description and status of Law Department work assignments. Supporting
records may include pleadings and discovery materials generated in connection with civil proceedings or administrative actions, and
correspondence or memoranda related to work assignments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 93(d) (second), 481, 1818, and 1820.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records is used to track the progress and disposition of OCC Law Department work assignments.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) An OCC-regulated entity involved in an assigned matter;
</p><p>(2) Third parties to the extent necessary to obtain information that is relevant to the resolution of an assigned matter;
</p><p>(3) The news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(4) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers;
</p><p>(5) An appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or
suspected violation of a law or licensing standard within that organization's jurisdiction;
</p><p>(6) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(7) A Congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(8) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(9) Third parties when mandated or authorized by statute, or
</p><p>(10) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Assistant to the Chief Counsel, Law Department, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC
20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Non-exempt information maintained in this system is obtained from individuals who request information or action from the OCC,
individuals who are involved in legal proceedings in which the OCC is a party or has an interest, OCC personnel, and OCC-regulated entities
and other entities, including governmental, tribal, self-regulatory, and professional organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1),
(e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31
CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .510</systemNumber>
<subsection type="systemName">Litigation Information System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Office of Chief Counsel, Litigation Division, 250 E Street SW., Washington, DC 20219
-0001.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by the system are parties or witnesses in civil proceedings or administrative actions, and individuals who have
submitted requests for testimony or the production of documents pursuant to 12 CFR part 4, Subpart C.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system are those generated in connection with civil proceedings or administrative actions, such as
discovery materials, evidentiary materials, transcripts of testimony, pleadings, memoranda, correspondence, and requests for information
pursuant to 12 CFR part 4, Subpart C.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1, 93(d) (second), 481, 1818, and 1820.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records is used by the OCC in representing its interests in legal actions and proceedings in which the OCC, its
employees, or the United States is a party or has an interest.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) Third parties to the extent necessary to obtain information that is relevant to the subject matter of civil proceedings or
administrative actions involving the OCC;
</p><p>(2) The news media in accordance with guidelines contained in 28 CFR 50.2;
</p><p>(3) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers;
</p><p>(4) An appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or
suspected violation of a law or licensing standard within that organization's jurisdiction;
</p><p>(5) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(6) A Congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(7) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(8) Third parties when mandated or authorized by statute, or
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>System records are maintained in locked file cabinets or rooms and in electronic format on secure drives and media.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Litigation Division, Law Department, Office of the Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219
-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street, SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Non-exempt information maintained in this system is obtained from: Individuals or entities involved in legal proceedings in which the
OCC is a party or has an interest; OCC-regulated entities; and governmental, tribal, self-regulatory or professional organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (4), (e)(1),
(e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31
CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CC .600</systemNumber>
<subsection type="systemName">Consumer Complaint and Inquiry Information System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Customer Assistance Group, 1301 McKinney Street, Suite 3450, Houston, TX 77010-
3034.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are individuals who submit complaints or inquiries about national banks, Federal Savings
Associations, District of Columbia savings associations operating under OCC's regulatory authority, federal branches and agencies of foreign
banks, or subsidiaries of any such entity (OCC-regulated entities), and other entities that the OCC does not regulate. This includes
individuals who file complaints and inquiries directly with the OCC or through other parties, such as attorneys, members of Congress, or other
governmental organizations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain: The name and address of the individual who submitted the complaint or inquiry; when
applicable, the name of the individual or organization referring a matter; the name of the entity that is the subject of the complaint or
inquiry; the date of the incoming correspondence and its receipt; numeric codes identifying the complaint or inquiry's nature, source, and
resolution; the OCC office and personnel assigned to review the
correspondence; the status of the review; the resolution date; and, when applicable, the amount of reimbursement. Supporting records may
contain correspondence between the OCC and the individual submitting the complaint or inquiry, correspondence between the OCC and the
regulated entity, and correspondence between the OCC and other law enforcement or regulatory bodies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1 (as amended), 481, 1464 and 1820; 15 U.S.C. 41 et seq.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records is used to administer the OCC's Customer Assistance Program and to track the processing and resolution of
complaints and inquiries.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) An OCC-regulated entity that is the subject of a complaint or inquiry;
</p><p>(2) Third parties to the extent necessary to obtain information that is relevant to the resolution of a complaint or inquiry;
</p><p>(3) The appropriate governmental, tribal, self-regulatory or professional organization if that organization has jurisdiction over the
subject matter of the complaint or inquiry, or the entity that is
the subject of the complaint or inquiry;
</p><p>(4) An appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or
suspected violation of a law or licensing standard within that
organization's jurisdiction;
</p><p>(5) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(6) A Congressional office or appropriate governmental or tribal organization when the information is relevant to a complaint or inquiry
referred to the OCC by that office or organization on behalf of the individual about whom the information is maintained;
</p><p>(7) An appropriate governmental or tribal organization in communication with the OCC about a complaint or inquiry the organization has
received concerning the actions of an OCC-regulated entity. Information that may be disclosed under this routine use will ordinarily consist
of a description of the conclusion made by the OCC concerning the actions of such an entity and the corrective action taken, if any;
</p><p>(8) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(9) Third parties when mandated or authorized by statute, or
</p><p>(10) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been
compromised; (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 interests, 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 made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferrable access codes and passwords.
Other records are maintained in locked file cabinets or rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with the OCC's records management policies and National Archives and Records Administration
regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director for Ombudsman Operation, CAG Remedy System Owner, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC
20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street, SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a
passport or identification badge) or two items of identification that bear both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Non-exempt information maintained in this system is obtained from individuals and entities filing complaints and inquiries, other
governmental authorities, and OCC-regulated entities that are the subjects of complaints and inquiries.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)
(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
	<section id="TREASURY" toc="yes">
<systemNumber>/CC .700</systemNumber>
<subsection type="systemName">Correspondence Tracking System--Treasury/Comptroller.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency (OCC), Office of Chief Counsel, 250 E Street, SW., Washington, DC 20219-0001.
Components of this record system are maintained in the Comptroller of the Currency's Office and the Chief Counsel's Office.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by this system are those whose correspondence is submitted to the Comptroller of the Currency or the Chief
Counsel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records maintained in this system may contain the names of individuals who correspond with the OCC, information concerning the subject
matter of the correspondence, correspondence disposition information, correspondence tracking dates, and internal office assignment
information. Supporting records may contain correspondence between the OCC and the individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1; 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system of records is used by the OCC to track the Comptroller of the Currency's or the Chief Counsel's correspondence, including
the progress and disposition of the OCC's response.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information maintained in this system may be disclosed to:
</p><p>(1) The OCC-regulated entity involved in correspondence;
</p><p>(2) Third parties to the extent necessary to obtain information that is relevant to the response;
</p><p>(3) Appropriate governmental or self-regulatory organizations when the OCC determines that the records are relevant and necessary to the
governmental or self-regulatory organization's regulation or supervision of financial service providers;
</p><p>(4) An appropriate governmental, tribal, self-regulatory, or professional organization if the information is relevant to a known or
suspected violation of a law or licensing standard within that organization's jurisdiction;
</p><p>(5) The Department of Justice, a court, an adjudicative body, a party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the OCC, any OCC employee in his or her official capacity, any OCC employee in
his or her individual capacity represented by the Department of Justice or the OCC, or the United States is a party or has an interest;
</p><p>(6) A congressional office when the information is relevant to an inquiry made at the request of the individual about whom the record is
maintained;
</p><p>(7) A contractor or agent who needs to have access to this system of records to perform an assigned activity;
</p><p>(8) Third parties when mandated or authorized by statute, or
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records maintained in this system are stored electronically and in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records maintained in this system may be retrieved by the name of an individual covered by the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic records is restricted to authorized personnel who have been issued non-transferable access codes and passwords.
Other records are maintained in locked file cabinets or rooms.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Electronic and other records are retained in accordance with the OCC's records management policies and National Archives and Records
Administration regulations.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Assistant to the Comptroller, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219-0001.
Special Assistant to the Chief Counsel, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature (such as credit cards). Alternatively, identity may be established by providing a notarized statement, swearing or
affirming to an individual's identity, and to the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for
requesting or obtaining information under false pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information maintained in this system is obtained from individuals who submit correspondence and OCC personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/CS .269</systemNumber>
<subsection type="systemName">Accounts Payable Voucher File--Treasury/Customs.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Financial Management Division, U.S. Customs Service, Gulf Customs Management Center, 423 Canal Street, New Orleans, LA 70130.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All South Central Region personnel to whom travel and other disbursements are made. All individuals who provide goods and services to
the South Central Region.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Invoices and travel/other vouchers and supporting disbursements schedules.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information in the records may be used to: (1) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File folders in unlocked file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Usage limited to Regional personnel; cabinets are located in rooms which are locked during non-working hours.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with Records Control Manual; records are disposed of when no longer needed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Financial Management Division, U.S. Customs Service, Gulf Customs Management Center, 423 Canal Street, New Orleans, LA
70130.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>See Customs appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See Customs appendix A.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Access, Customs appendix A.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Invoices and travel/other vouchers submitted by the individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p>
<p><b>Appendix A--U.S. Customs Service
</b></p>
<p><i>I. Notification, Record Access and Amendment Procedures
</i></p><p>Notification and Record Access Procedures: Requests by an individual to be notified if the system of records contains records pertaining to
him and requesting access to the records shall be in writing with envelope and letter clearly marked "Privacy Act Request" and directed to the
Assistant Commissioner, Office of Regulations and Rulings, U.S. Customs Service, Rm. 3.4A, Ronald Reagan Bldg., 1300 Pennsylvania Avenue, NW,
Washington, DC 20229, or to the Customs Management Center Director of the region in which the records are located (see addresses below).
</p><p>The request may be presented in person between the hours of 9 a.m. and 4:30 p.m. Where the request is presented in person, the requester
shall present adequate identification to establish his identity, and a comparison of his signature and those in the records may be made where
the records contain the signature of the person to whom the records pertain. If an individual is unable to provide the requisite documents for
identification purposes, he may be required to make a signed statement asserting identity and stipulating that he understands that knowingly
or willfully seeking or obtaining access to records about another person under false pretenses is punishable by a fine of not more than
$5,000.
</p><p>Where the request is made in writing, it shall be accompanied by a notarized statement executed by the requester asserting identity and
stipulating that he understands that knowingly or willfully seeking or obtaining access to records about another person under false pretenses
is punishable by a fine of not more than $5,000. A comparison of his signature and those in the records may be made where the records contain
the signature of the person to whom the records pertain.
</p><p>Amendment Procedures: Requests by an individual contesting the context of a record within a system of records shall be in writing with the
envelope and letter clearly marked "Privacy Act Amendment" and directed to the Assistant Commissioner, Office of Regulations and Rulings, U.S.
Customs Service, 1300 Pennsylvania Avenue, NW, Washington, DC 20229, or to the Director of the Customs Management Center of the region in
which the records are located. (See addresses below.)
</p><p><i>II. Location</i>
</p><p>Addresses of Headquarters, U.S. Customs Service, Customs Management Centers, Regional Directors (Internal Affairs), Port Directors of
Customs, and Customs Office of Enforcement field offices:
</p><p>Headquarters U.S. Customs Service: 1300 Pennsylvania Avenue, NW, Washington, DC 20229.
</p><p>Customs Management Centers
</p><p>Arizona--4740 North Oracle Road, Suite 310, Tucson, AZ 85705, (520) 670-5900.
</p><p>Caribbean Area--1B1 La Puntilla St., Room 203, San Juan PR 00901, (787) 729-6950.
</p><p>East Great Lakes--4455 Genesee St., Buffalo, NY 14225, (716) 626-0400.
</p><p>East Texas--2323 S. Shepherd St., Suite 1200, Houston, TX 77019, (713) 313-2843.
</p><p>Gulf--423 Canal St., Room 337, New Orleans, LA 70130, (504) 670-2404.
</p><p>Mid-America--610 S. Canal St. Suite 900, Chicago, IL 60607, (312) 353-4733.
</p><p>Mid Atlantic--103 S. Gay St., Suite 208, Baltimore, MD 21202, (410) 962-6200.
</p><p>Mid Pacific--33 New Montgomery St., Suite 1601, San Francisco, CA 94105, (415) 744-1530,
</p><p>New York--6 World Trade Center, Room 716, New York, NY 10048, (212) 466-4444.
</p><p>North Atlantic--10 Causeway St., Room 801, Boston, MA 02222, (617) 565-6210.
</p><p>North Florida--1624 E. Seventh Ave., Suite 301, Tampa, FL 33605, (813) 228-2381.
</p><p>North Pacific--90332 N.E. Alderwood Rd., Portland, OR 97220, (503) 326-7625.
</p><p>Northwest Great Plains--1000 Second Ave., Suite 2000, Seattle, WA 98104, (206) 553-6944.
</p><p>South Atlantic--1691 Phoenix Blvd., Suite 270, College Park, GA 30349, (770) 994-2306
</p><p>South Florida--909 SE First Ave. Suite 980, Miami, FL 33131, (305) 536-6600.
</p><p>South Pacific--One World Trade Center, Suite 705, Long Beach, CA 90831 (562) 980-3100.
</p><p>South Texas--PO Box 3130, Laredo, TX 78044, (956) 718-4161
</p><p>Southern California--610 W. Ash St., Suite 1200, San Diego, CA 92101, (619) 557-5455.
</p><p>West Great Lakes--613 Abbott St., 3rd Floor, Detroit, MI 48226, (313) 226-2955.
</p><p>West Texas/New Mexico--9400 Viscount Blvd., Suite 104, El Paso, TX 79925, (915) 540-5800.
</p><p>Office of Internal Affairs Field Offices
</p><p>Regional Director (Internal Affairs), 10 Causeway Street, Boston, MA 02110.
</p><p>Resident Agent in Charge (Internal Affairs), 6 World Trade Center, New York, N.Y. 10048.
</p><p>Resident Agent in Charge (Internal Affairs), 1000 Bricknell Avenue, Miami, FL 33101.
</p><p>Resident Agent in Charge (Internal Affairs), 423 Canal Street, New Orleans, LA 70112.
</p><p>Special Agent in Charge (Internal Affairs), 2323 S. Shepherd Street, Houston, TX 77002.
</p><p>Resident Agent in Charge (Internal Affairs), 610 S. Canal Street, Chicago, IL. 60603.
</p><p>Special Agent in Charge (Internal Affairs), One World Trade Center, Long Beach, CA 90815
</p><p>Customs Service/Area Ports Offices
</p><p>Anchorage: 605 West Fourth Avenue, Room 205, Anchorage, AK 99501 (907) 271-2675.
</p><p>Atlanta: 700 Doug Davis Drive, Atlanta, GA 30354 (404) 763-7020.
</p><p>Baltimore: 40 S. Gay St, Baltimore, MD 21202 (410) 962-2666.
</p><p>Baton Rouge: 5353 Essen Lane, Baton Rouge, LA 70809 (504) 389-0261.
</p><p>Blaine: 9901 Pacific Highway, Blaine, WA 98230 (360) 332-5771.
</p><p>Boston: 10 Causeway Street, Boston, MA 02222-1059 (617) 565-6147.
</p><p>Buffalo: 111 West Huron Street, Buffalo, NY 14202-2378 (716) 551-4373.
</p><p>Calais: 1 Main Street, Calais, ME 04619 (207) 454-3621.
</p><p>Calexico: PO Box 632, Calexico, CA 92231 (619) 357-7310.
</p><p>Champlain: 198 West Service Road, Champlain, NY 12919-8314 (518) 298-8347.
</p><p>Charleston: 200 East Bay Street, Charleston, SC 29401 (803) 727-4296.
</p><p>Charlotte: 1801-K Cross Beam Drive, Charlotte, NC 28217 (704) 329-6101.
</p><p>Charlotte/Amalie: Main Post Ofc-Sugar Estate, St. Thomas, VI 00801 (809) 774-2911.
</p><p>Chicago: 610 South Canal Street, Chicago, IL 60607 (312) 353-6100.
</p><p>Christiansted: Church Street PO Box 249, Christianstedt/ St.Croix, VI 00820 (809) 773-1490.
</p><p>Cleveland: 55 Erieview Plaza, 6th Floor, Cleveland, OH 44114. (216) 891-3804
</p><p>Dallas/Ft. Worth: PO Box 619050, DFW Airport, TX 75261-4818 (972) 574-2170.
</p><p>Denver: 4735 Oakland Street, Denver, CO 80239 (303) 361-0715.
</p><p>Derby Line: Interstate 91, Derby Line, VT 05830 (802) 873-3489.
</p><p>Detroit: 477 Michigan Avenue, Detroit, MI 48226 (313) 226-3178.
</p><p>Douglas: 1st Street &amp; Pan American Avenue, Douglas, AZ 85607 (602) 364-8486.
</p><p>Duluth: 515 West 1 St Street, Duluth, MN 55802-1390 (218) 720-5201.
</p><p>El Paso: 9400 Viscount Boulevard, El Paso, TX 79925 (915) 540-5800.
</p><p>Grand Rapids: 6450 Air Cargo Dr., Grand Rapids, MI 49512 (616) 456-2515.
</p><p>Great Falls: 21 Third St., N., Suite 201, Great Falls, MT 59401 (406) 453-7631.
</p><p>Greenville/Spartanburg: 150-A West Phillips Road, Greer, SC 29650 (864) 877-8006.
</p><p>Harrisburg: Harrisburg International Airport, Bldg 135, Middletown, PA 17057-5035 (717) 782-4510.
</p><p>Hartford: 135 High Street, Hartford, CT 06103 (203) 240-4306.
</p><p>Highgate Springs: 480 Welcome Center Rd., Swanton, VT 05488 (802) 868-2778.
</p><p>Honolulu: 1001 Bishop St., Suite 2500, Pacific Tower Bldg. Honolulu, HI 968813 (808) 522-8060.
</p><p>Houlton: RR 3, Box 5300, Houlton, ME 04730 (207) 532-2131.
</p><p>Houston/Galveston: 3549 San Edigo, Suite 700, Houston, TX 27055 (713) 985-6712.
</p><p>Jacksonville: 2831 Talleyrand Avenue, Jacksonville, FL 32206 (904) 232-3476.
</p><p>Kansas City: 2701 Rockcreek Parkway, N. Kansas City, Mo 64116 (816) 374-6424.
</p><p>Laredo/Columbia: PO Box 3130, Laredo, TX 78044 (210) 726-2267.
</p><p>Los Angeles: 300 South Ferry Street, Room 1001, Terminal Island, CA 90731 (310) 514-6001.
</p><p>Los Angeles Airport Area: 300 South Ferry Street, Terminal Island, CA 90731 (310) 514-6029.
</p><p>Los Angeles/Long Beach Seaport Area: 300 South Ferry Street, Terminal Island, CA 90731 (310) 514-6002.
</p><p>Louisville: 601 West Broadway, Room 43, Louisville, KY 40202 (502) 582-5186.
</p><p>Miami Airport: 6601 Northwest 25th Street, Miami, FL 33222-5280 (305) 869-2800.
</p><p>Miami Seaport: 1500 Port Blvd, Miami, FL 33132 (305) 536-5261.
</p><p>Milwaukee: PO Box 37260, Milwaukee, WI 53237-0260 (414) 571-2860.
</p><p>Minneapolis: 330 2nd Ave. South, Suite 560, Minneapolis, MN 55401 (612) 348-1690.
</p><p>Mobile: 150 North Royal Street, Mobile, AL 36602 (205) 441-5106.
</p><p>Nashville: 322 Knapp Blvd., Suite 160, Nashville, TN 31277-0008 (615) 736-5861.
</p><p>New Orleans: 423 Canal Street, New Orleans, LA 70130 (504) 589-6353.
</p><p>New York: 6 World Trade Center, New York, NY 10048 (212) 466-4444.
</p><p>New York-JFK Area: Bldg 1B77, Jamaica, NY 11430 (718) 553-1542.
</p><p>New York-NY/Newark Area: Hemisphere Center, Rm 200, Rts. 1 &amp; 9 South, Newark, NJ 07114 (201) 645-3760.
</p><p>Nogales: 9 North Grand Avenue, Nogales, AZ 85621 (520) 287-1410.
</p><p>Norfolk: 200 Granby Street, Norfolk, VA 23510 (804) 441-3400.
</p><p>Ogdensburg: 127 N. Water Street, Ogdensburg, NY 13669 (315) 393-0660.
</p><p>Orlando: 5390 Bear Road, Orlando, FL 32827 (407) 825-4301.
</p><p>Oroville: 33643 Hwy 97, Oroville, WA 98844 (509) 476-2955.
</p><p>Pembina: 112 West Stoutsman, Pembina, ND 58271 (701) 825-6201.
</p><p>Philadelphia: 2nd &amp; Chestnut Streets, Room 102, Philadelphia, PA 19106 (215) 597-4605.
</p><p>Phoenix: 1315 S. 27th Street, Phoenix, AZ 85034 (602) 379-3516.
</p><p>Otay Mesa: 9777 via De La Amistad, San Diego, CA 92173 (619) 661-3305.
</p><p>Port Huron: 526 Water Street, Room 301, Port Huron, MI 48060 (810) 985-7125.
</p><p>Portland, ME: 312 Fore Street, Portland, ME 04112 (207)780-3326.
</p><p>Portland, OR: PO Box 55580, Portland, OR 97238 (503) 326-2865.
</p><p>Providence: 49 Pavilion Avenue, Providence, RI 02905 (401) 941-6326.
</p><p>Raleigh/Durham: 120 Southcenter Court, Suite 500, Morrisville, NC 27560 (919) 467-3552.
</p><p>Richmond: 4501 Williamsburg Rd., Suite G, Richmond, VA 23231 (804) 226-9675.
</p><p>San Antonio: 9800 Airport Boulevard, Room 1103, San Antonio, TX 78216 (210) 821-6965.
</p><p>San Diego: 610 West Ash Street, San Diego, CA 92188 (619) 557-6758.
</p><p>San Francisco: 555 Battery Street, San Francisco, CA 94111 (415) 744-7700.
</p><p>San Juan: 1B1 La Puntilla, San Juan, PR 00901 (809) 729-6965.
</p><p>San Luis: PO Box H, San Luis, AZ 85349 (602) 627-8854.
</p><p>Sault Ste. Marie: International Bridge Plaza, Sault Ste Marie, MI 49783 (906) 632-7221.
</p><p>Savannah: 1 East Bay Street, Savannah, GA 31401 (912) 447-9400.
</p><p>Seattle: 1000 2nd Avenue, Seattle, WA 98104-1049 (206) 553-0770.
</p><p>Seattle Airport: SEA-TAC International Airport, Seattle, WA 98158 (206) 553-7960.
</p><p>Seattle Waterfront: S. Novada St., Suite 100, Seattle, WA 98134 (206) 553-1581.
</p><p>San Ysidro: 720 E. San Ysidro Blvd., San Ysidro, CA 92073 (619) 662-7201.
</p><p>St. Albans: PO Box 1490, St. Albans, VT 05478 (802) 524-7352.
</p><p>St. Louis: 4477 Woodson Road, Suite 100, St. Louis, MO 63134-3716 (314) 428-2662.
</p><p>Syracuse: 4034 S. Service Road, Hancock International Airport, Syracuse, NY 13212 (315) 455-8446.
</p><p>Tacoma: 2202 Tacoma Rd., Tacoma, WA 98421 (206) 593-6336.
</p><p>Tampa: 1624 E. 7th Ave., Tampa, FL 33607 (813) 228-2381.
</p><p>Tucson: 7150 South Tucson Boulevard, Tucson, AZ 85706 (520) 670-6461.
</p><p>Washington, DC: PO Box 17423, Washington, DC 20041 (703) 318-5900.
</p><p>Wilmington: 1 Virginia Avenue, Wilmington, NC 28401 (919) 815-4601.
</p><p>Customs Investigations Field Offices
</p><p>Special Agent in Charge, Room 801, 10 Causeway Street, Boston, MA 02222.
</p><p>Resident Agent in Charge, PO Box 368, Derby Line, Vermont, 05830.
</p><p>Resident Agent in Charge, PO Box 400, Houlton, Maine 04730.
</p><p>Resident Agent in Charge, PO Box 4688 (DTS), Portland, Maine 04112.
</p><p>Resident Agent in Charge, Federal Building, Suite 318, 150 Court Street, New Haven, CT 06510.
</p><p>Resident Agent in Charge, PO Box 68, Rouses Point, New York 12979.
</p><p>Special Agent in Charge, 40 South Gay Street, Room 424, Baltimore, Maryland 21202.
</p><p>Resident Agent in Charge, Second and Chestnut Street, Room 200, Philadelphia, PA 19106.
</p><p>Resident Agent in Charge, Room 826, Federal Building 1000 Liberty Avenue, Pittsburgh, PA 15222.
</p><p>Special Agent in Charge, 6 World Trade Center, Room 716, New York, N.Y. 10048
</p><p>Deputy Special Agent in Charge, JFK International Airport, Building 75, 2nd Floor, Jamaica, N.Y. 11430.
</p><p>Resident Agent in Charge, Airport International Plaza, Suite 400, Routes 1 and 9 South, Newark, N.J. 07114.
</p><p>Resident Agent in Charge, Leo O'Brien Federal Building, North Pearl Street, Room 746, Albany, N.Y. 12207.
</p><p>Resident Agent in Charge, 575 Johnson Avenue, 2nd floor, Bohemia, New York 11716.
</p><p>Special Agent in Charge, 423 Canal Street, Room 337, New Orleans, LA 70130.
</p><p>Resident Agent in Charge 8312 Florida Boulevard, Suite 216B, Baton Rouge, LA 70806.
</p><p>Resident Agent in Charge, Air Investigations, PO Box 980, Belle Chase, LA 70037.
</p><p>Resident Agent in Charge, 600 Beacon Parkway West, Suite 725, Birmingham, AL 35209.
</p><p>Resident Agent in Charge, PO Box 700, Dauphin Island, AL 36528.
</p><p>Resident Agent in Charge, Security Building, Room 600, 2301 14th Street, Gulfport, MS 39501.
</p><p>Resident Agent in Charge, Station 1, PO Box 10182, Houma, LA 70363.
</p><p>Resident Agent in Charge, 100 West Capitol Street, Suite 1418, Jackson, MS 39269.
</p><p>Resident Agent in Charge, 825 Kaliste Saloom, Brandywine, II, Suite 200, Lafayette, LA 70508.
</p><p>Resident Agent, 811 Bayou Pines Drive, Lake Charles, LA 70601.
</p><p>Resident Agent in Charge, 10825 Financial Parkway, Suite 321, Little Rock, AR 72211.
</p><p>Resident Agent in Charge, 951 Government Street, Suite 700, Mobile, AL 36604.
</p><p>Resident Agent in Charge, 4721 Trousdale Drive, Suite 216, Nashville, TN 37220.
</p><p>Resident Agent in Charge, 610 Texas Street, Suite 610, Shreveport, LA 71101.
</p><p>Special Agent in Charge, 4141 N. Saur, Houston Parkway, East, Houston, TX 77032.
</p><p>Resident Agent in Charge, 421 Cold Avenue, SW, Albuquerque, NM 87103.
</p><p>Resident Agent in Charge, PO Box 9640, Alpine, TX 79830.
</p><p>Resident Agent in Charge, PO Box 99, Austin, TX 78767.
</p><p>Resident Agent in Charge, PO Box 4500, Brownsville, TX 78521.
</p><p>Resident Agent in Charge, PO Box 2159, Corpus Christi, TX 78403.
</p><p>Resident Agent in Charge, 400 South Record Street, Suite 800, Dallas TX 75242.
</p><p>Resident Agent in Charge, PO Box 1169, Del Rio, TX 78841.
</p><p>Resident Agent in Charge, PO Box 1818, Deming NM 88030.
</p><p>Resident Agent in Charge, PO Box 1076, Douglas, AZ 86508.
</p><p>Resident Agent in Charge, 160 Garrison Street, Eagle Pass, TX 78852.
</p><p>Special Agent in Charge, 6501 Boeing Drive, Building G, El Paso, TX 79925.
</p><p>Resident Agent in Charge, PO Box 12, Falcon Heights, TX 78545.
</p><p>Resident Agent in Charge, PO Box HH, Flagstaff, AZ 86001.
</p><p>Resident Agent in Charge, PO Box 570, Galveston, TX 77553.
</p><p>Resident Agent in Charge, PO Box 2128, Laredo, TX 78044.
</p><p>Resident Agent in Charge, PO Box 7150, Las Cruces, NM 88006.
</p><p>Resident Agent in Charge, PO Drawer 189, Lukeville, AZ 85341.
</p><p>Resident Agent in Charge, 1701 West Business 83, Suite 508, McAllen, TX 78501.
</p><p>Resident Agent in Charge, 3500 NW 56th Street, Suite 200, Oklahoma City, OK 73112.
</p><p>Resident Agent in Charge, 3010 North 2nd Street, Suite 201, Phoenix, AZ 85012.
</p><p>Resident Agent in Charge, 4550 75th Street, Port Arthur, TX 77642.
</p><p>Resident Agent in Charge, PO Drawer H, Presidio, TX 79845.
</p><p>Resident Agent in Charge, 1802 NE Loop 410, Suite 302, San Antonio, TX 78217.
</p><p>Resident Agent in Charge, PO Box 458, Sells, AZ 85634.
</p><p>Special Agent in Charge, 555 East River Road, Tucson, AZ 85704.
</p><p>Resident Agent in Charge, PO Box 5757, Yuma, AZ 85364.
</p><p>Special Agent in Charge, PO Box 1309 MPO, Los Angeles, CA 90053.
</p><p>Resident Agent in Charge, PO Box 100199, Anchorage, AK 99501.
</p><p>Resident Agent in Charge, PO Box 535, Astoria, OR 97103.
</p><p>Resident Agent in Charge, PO Box 1360, Blaine, WA 98230.
</p><p>Resident Agent in Charge (Calexico) 1681 West Main Street, Suite 306, El Centro, CA 92243.
</p><p>Resident Agent in Charge, PO Box 209, Coos Bay, OR 97420.
</p><p>Resident Agent in Charge, PO Box 465, Eureka, CA 95502.
</p><p>Resident Agent in Charge, PO Box 12465, Fresno, CA 93778.
</p><p>Resident Agent in Charge (Guam), PO Box 2508, Agana, Guam 96910.
</p><p>Resident Agent in Charge, (LAX), 222 North Sepulveda Boulevard, Suite 200, El Secundo, CA 90245.
</p><p>Resident Agent in Charge, PO Box 329, Oceanside, CA 92054.
</p><p>Resident Agent in Charge (Orange County), 15941 Red Hill Avenue, Suite 200, Tustin, CA 92680.
</p><p>Resident Agent in Charge, PO Box 6155, Oxnard, CA 93031.
</p><p>Resident Agent in Charge, Federal Office Building, 138 West First Street, Room 216, Port Angeles, WA 98352.
</p><p>Resident Agent in Charge, PO Box 2841, Portland, OR 97208
</p><p>Resident Agent in Charge, 1755 E. Plumb Lane, Airport Plaza, Suite 229, Reno, NV 89502.
</p><p>Resident Agent in Charge, PO Box 214666, Sacramento, CA 95821.
</p><p>Special Agent in Charge, 401 West A Street, Suite 305, San Diego, CA 90101.
</p><p>Special Agent in Charge, 1700 Montgomery Street, Suite 445, San Francisco, CA 94111.
</p><p>Resident Agent in Charge (SFO), San Francisco International Airport, P.O. Box 251747, San Francisco, CA 94128.
</p><p>Resident Agent in Charge, Courthouse and Federal Building, 280 South First Street, Suite 190, San Jose, CA 95113.
</p><p>Resident Agent in Charge, 406 Virginia Avenue, San Ysidro, CA 92073.
</p><p>Special Agent in Charge, Federal Office Building, 909 First Avenue, Room 4100, Seattle, WA 98174.
</p><p>Resident Agent in Charge, West 904 Riverside, Room 332, Spokane, WA 92210.
</p><p>Special Agent in Charge, 610 South Canal Street, Room 851, Chicago, IL 60607.
</p><p>Resident Agent in Charge (Cincinnati) Suite 200, 207 Grandview Drive, Fort Mitchell, KY 41017.
</p><p>Resident Agent in Charge (Cleveland) Commerce Place, 7123 Pearl Road, Room 305, Middleburg Heights, OH 44130.
</p><p>Resident Agent in Charge, 78 E. Chestnut Street, Room 411, Columbus, OH 42315.
</p><p>Special Agent in Charge, PO Drawer 3609, Denver, CO 80294.
</p><p>Special Agent in Charge, McNamara Federal Building, 477 Michigan Avenue, Room 350, Detroit, MI 48226.
</p><p>Resident Agent in Charge, PO Box 791, Great Falls, MT 59403
</p><p>Resident Agent in Charge, PO Box 51366, Indianapolis, IN 46251.
</p><p>Resident Agent in Charge, 2701 Rockcreek Parkway, Suite 206, North Kansas City, MO 64117.
</p><p>Resident Agent in Charge, PO Box 92847, Milwaukee, WI 53202.
</p><p>Resident Agent in Charge, Federal Office Building, 212 Third Avenue South, Room 154, Minneapolis, MN 55401.
</p><p>Resident Agent in Charge, PO Box 192, Pembina, ND 58271.
</p><p>Resident Agent in Charge, 114 Market Street, Room 942, St. Louis, MO 63101.
</p><p>Resident Agent in Charge, 1745 W. 1700 S, Room 1124, Salt Lake City, UT 84104.'
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .002</systemNumber>
<subsection type="systemName">Personal Property Claim File--Treasury/BEP
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC
20228 and Office of the Chief Counsel, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth,
TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Civilian officers, employees, and former employees of the Bureau of Engraving and Printing, and their survivors having claims for
damage to or loss of personal property incident to their service.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains investigative and adjudication documents relative to personal property damage claims.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Military Personnel and Civilian Employees' Claims Act of 1964, 31 U.S.C. 3721, as amended.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the Bureau of Engraving and Printing to more effectively and efficiently process and manage
claims, and to provide statistics that allow us to focus our resources in order to continually improve the safety of our workforce,
work environment, and equipment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(6) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(8) Provide information to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that
the security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the stored information.
Access to the electronic and paper record system is limited to the staff of the Office of the Chief Counsel who have a need to know the
information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the National Archives and Records Administration (NARA), General Records Schedule No. 18, records are destroyed
when two (2) years old.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, Office of the Chief Counsel, Bureau of Engraving and Printing, Eastern Currency Facility, 14th and C Streets SW.,
Washington, DC 20228 and Manager, Office of the Chief Counsel, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue
Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F, to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington,
DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals having claim for damage to or loss of personal property.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None. </p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .004</systemNumber>
<subsection type="systemName">Counseling Records--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Equal Opportunity and Diversity Management, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C
Streets SW., Washington, DC 20228 and Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX
76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees or former employees of the Bureau of Engraving and Printing who have received counseling.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains correspondence relative to counseling information and follow-up reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a history and record of the employee counseling session.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains, contingent upon that individual signing a release of information form;
</p><p>(5) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(6) Provide general educational information to unions recognized as exclusive bargaining representatives under the Civil Service
Reform Act of 1978, 5 U.S.C. 7111, 7114;
</p><p>(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(8) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are stored on file folders, magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
Treasury automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the electronic and paper record system is limited to the individuals in the Office of Equal
Opportunity and Diversity Management, who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions. The Office of Human Resources, Employee &amp; Labor Management Relations Division will have
access the electronic and paper record system in the event of disciplinary action.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with National Archives and Records Administration (NARA), General Records Schedule No. 1, records are destroyed three
(3) years after termination of counseling.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Equal Opportunity and Diversity Management, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp;
C Streets SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F, to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington,
DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employee.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .005</systemNumber>
<subsection type="systemName">Compensation Claims--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Human Resources, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC
20228 and Human Resources Management Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort
Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Bureau of Engraving and Printing employees and former employees who file claims for work-connected injuries or illnesses under the
Federal Employee Compensation Act for medical expenses, lost wages, leave buy-back, and scheduled awards continuation of pay or
disability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>All pertinent documentation, including investigative reports, medical reports, forms, letters, Department of Labor Office of
Workers' Compensation (DOL-OWCP) letters, relative to work-connected injuries or illnesses of employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Employees Compensation Act, as amended, 5 U.S.C. 8101 et seq., 20 CFR Part 10.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the Bureau of Engraving and Printing to more effectively and efficiently
process and manage claims, and to provide statistics and information to the Department of Labor Office of Workers' Compensation
(DOL-OWCP). It also allows us to focus our resources in order to continually improve the safety of our workforce and work
environment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(7) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(9) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:  </p><p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked
door. The records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name and date of injury.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper records system is limited to those individuals from the Office of Human Resources who
have a need to know the information for performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the National Archives and Records Administration (NARA), General Records Schedule No. 1, records are destroyed
three (3) years after cutoff on termination of compensations or when the deadline for filing has passed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Human Resources, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington,
DC 20228 and Human Resources Officer, Human Resources Management Division, Bureau of Engraving and Printing, Western Currency Facility,
9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Occupational health unit daily reports, medical providers, supervisors' reports, and employee-provided information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .006</systemNumber>
<subsection type="systemName">Debt Files of Employees--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Human Resources and Office of the Chief Counsel, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C
Streets SW., Washington, DC 20228 and Human Resources Management Division and Office of the Chief Counsel, Western Currency Facility,
9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees of the Bureau of Engraving and Printing against whom garnishment proceedings or debt complaints have
been filed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>May contain correspondence; complaint information, including counseling efforts and final disposition of complaints; court
judgments; writs, orders, summons, or other legal process in the nature of garnishment; child support account numbers; names and
addresses of current employers of former agency employees; and records on current or former employees to include name, Social Security
number, address, phone number, position, wages, and employment benefits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 5520a, 31 U.S.C. 321, 42 U.S.C. 659, 44 U.S.C. 3101, and Exec. Order No. 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records about individuals who owe debt(s) to the United States of America, through one or
more of its departments and agencies, and/or to individuals, including past due support enforced by states. The information contained
in the records is maintained for the purpose of taking action to facilitate the collection and resolution of the debt(s) using various
collection methods, including, but not limited to, offset, levy, and administrative wage garnishment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(7) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation;
</p><p>(9) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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;
</p><p>(10) Disclose information to a court of competent jurisdiction, an authorized official or authorized state agency as defined in 5
CFR parts 581, 582, or a party to a garnishment action, in response to legal process, including interrogatories, served on the Bureau
of Engraving and Printing in connection with garnishment proceedings against a current or former employee; and
</p><p>(11) Provide information to private creditors for the purpose of garnishment of wages of an employee if a debt has been reduced to a
judgment.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
Treasury automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the electronic and paper record system is limited to those individuals in the Office of
Human Resources and Office of the Chief Counsel who have a need to know the information for the performance of their official duties
and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the National Archives and Records Administration (NARA), General Records Schedule No. 2, records are destroyed
three (3) years after garnishment is terminated.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Human Resources and Chief Counsel, Office of the Chief Counsel, Bureau of Engraving and Printing, Eastern Currency
Facility, 14th &amp; C Streets SW., Washington, DC 20228 and Human Resources Officer, Human Resources Management Division, Bureau of
Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F, to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington,
DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees, complainants, creditors, court judgments, garnishment orders, and personnel records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .014</systemNumber>
<subsection type="systemName">Employee's Production Record--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>All Bureau of Engraving and Printing Organizational Components, Bureau of Engraving and Printing, Eastern Currency Facility, 14th
&amp; C Streets SW., Washington, DC 20228, and the Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road,
Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All current employees of the Bureau of Engraving and Printing, Eastern and Western Currency Facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Employee's name;
</p><p>&#149; Dates;
</p><p>&#149; Work hours;
</p><p>&#149; Record of production;
</p><p>&#149; History of work assignments;
</p><p>&#149; Training;
</p><p>&#149; Work performance;
</p><p>&#149; Progress reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 4103, 4302.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the Bureau of Engraving and Printing to maintain performance records used to
support awards, promotions, performance-based actions, training, and other personnel actions, and to track and evaluate performance
based upon the accomplishments of each employee.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(6) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(8) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:  </p><p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked
door. The records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name and work code number, and cross-referenced by project number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper records system is limited to those individuals who have a need to know the information
for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with the National Archives and Records Administration (NARA), General Records
Schedule No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC 20228: Director, Office of
Director; Deputy Director, Office of Deputy Director; Chief Counsel, Office of the Chief Counsel; Chief, Office of External Affairs;
Associate Director-Chief Financial Officer including: Chief-Office of Financial Management, Chief-Office of Acquisition, and Chief-
Office of Compliance; Associate Director, Eastern Currency Facility including: Chief-Office of Engraving, Chief-Office of Security
Printing, and Chief-Office of Operations Support; Associate Director, Product &amp; Technology Development including: Deputy Associate
Director-Product &amp; Technology Development, Chief-Office of Product Development, Chief-Office of Materials Technology, Chief-Office
of Engineering, and Chief-Central Bank Liaison Staff; Associate Director-Management including: Chief-Office of Security, Chief Office
of Human Resources, Chief-Office of Facilities Support, Chief-Office of Environmental Health &amp; Safety, and Chief-Office of Equal
Opportunity &amp; Diversity Management; Associate Director-Chief Information Officer including: Chief-Office of Critical Infrastructure
&amp; IT Security, Chief-Office of IT Operations, and Chief-Office of Enterprise Solutions; Associate Director- Corporate Planning
&amp; Strategic Analysis including: Chief-Office of Strategic Systems Management, Chief-Office of Quality, Chief-Office of Order
Management &amp; Delivery Systems, and Chief-Office of Portfolio &amp; Project Management.
</p><p>Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131: Associate Director-Western
Currency Facility including: Chief-Office of Currency Manufacturing, Chief, Office Operations Support Division, Security Officer-
Security Division, and Human Resources Officer-Human Resources Management Division.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information furnished by employee, developed by supervisor, or by referral document.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .016</systemNumber>
<subsection type="systemName">Employee Suggestions--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Human Resources, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC
20228, and Human Resources Management Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort
Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Bureau of Engraving and Printing employees submitting suggestions under the incentive award program.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains employee's suggestion, reviewer evaluation, and final disposition information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 4502(c).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the Bureau of Engraving and Printing to maintain records on the suggestions submitted by
employees and used to support awards if the suggestions are adopted.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(6) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(8) Provide information to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that
the security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:  </p><p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked
door. The records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
Treasury automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the electronic and paper record system is limited to those individuals in the Office of
Human Resources who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with the National Archives and Records Administration (NARA), General Records
Schedule No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Human Resources, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington,
DC 20228 and Human Resources Officer-Human Resources Management Division, Bureau of Engraving and Printing, Western Currency Facility,
9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual employee, employee's supervisor, and review committee.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .020</systemNumber>
<subsection type="systemName">Industrial Truck Licensing Records--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Environment, Health, and Safety, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW.,
Washington, DC 20228, and Office of Operations Support, Environment, Health &amp; Safety Branch, Bureau of Engraving and Printing,
Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Bureau of Engraving and Printing employees designated to operate self-propelled material and/or machinery handling equipment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Record of employee physical examination, testing, license number and issue date for purposes of operating one or more types of
material handling equipment used within the Bureau of Engraving and Printing.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is used to document who is authorized to operate self-propelled material and/or machinery
handling equipment. In addition, it keeps track of the expiration dates of the licenses.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that
the security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
Treasury automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the electronic and paper record system is limited to those individuals from the Office of
Environment, Health, and Safety in the Eastern and Western Currency Facilities who have a need to know the information for the
performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the National Archives and Records Administration (NARA), General Records Schedule No. 10, records are destroyed
three (3) years after separation of employee or three (3) years after rescission of authorization to operate Government-owned vehicle,
whichever is sooner.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Environment, Health, and Safety, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228 and Chief, Office of Operations Support, Environment, Health &amp; Safety Branch, Bureau of Engraving and
Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Supervisor's request, results of physical examination, and data obtained during training or practical tests.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None. </p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .021</systemNumber>
<subsection type="systemName">Investigative Files--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Security, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC 20228, and
Security Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Former and current BEP employees, contractors, and service company employees, applicants for employment, visitors to BEP, news-media
correspondents, and employees or contractors of companies to which samples or test decks of Federal Reserve notes or other Government
securities are supplied.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Security files;
</p><p>&#149; Personnel clearance requests;
</p><p>&#149; Case files;
</p><p>&#149; Bank shortage letters;
</p><p>&#149; Contractor files;
</p><p>&#149; Currency discrepancy reports;
</p><p>&#149; Intelligence files;
</p><p>&#149; Stamp discrepancy reports;
</p><p>&#149; Case records;
</p><p>&#149; Correspondence from the public concerning security matters;
</p><p>&#149; Security Files Reference Record;
</p><p>&#149; Employee Indebtedness Record.
</p><p>Type of Information:
</p><p>&#149; Passport numbers;
</p><p>&#149; Character references;
</p><p>&#149; Police force reports;
</p><p>&#149; Previous employment verification;
</p><p>&#149; Newspaper articles;
</p><p>&#149; Social Security numbers;
</p><p>&#149; Laboratory reports to include handwriting results and latent fingerprint examinations;
</p><p>&#149; Law enforcement criminal and subversive record checks;
</p><p>&#149; Court records;
</p><p>&#149; Security register;
</p><p>&#149; Residency information;
</p><p>&#149; Reports of shortages or thefts of Bureau products including subsequent investigations;
</p><p>&#149; Personnel records of various types;
</p><p>&#149; Fingerprint card, photograph;
</p><p>&#149; Names of individuals including those at contractor plants who worked on a shortage involving Bureau products;
</p><p>&#149; Credit checks;
</p><p>&#149; Background investigation reports conducted by Office of Personnel Management, Bureau of Engraving and Printing, the
Internal Revenue Service, and other Federal Investigative Agencies
</p><p>&#149; Disciplinary action recommended and/or received;
</p><p>&#149; Military record forms and extracted information;
</p><p>&#149; List of Bureau employees granted security clearances;
</p><p>&#149; Processes served (e.g., summons, subpoenas, warrants);
</p><p>&#149; Personnel security case numbers, dates--case opened and closed, and recommendations;
</p><p>&#149; Certificate of Security Clearance;
</p><p>&#149; Reports of violations of Bureau regulations and procedures;
</p><p>&#149; Bureau visitor control documents;
</p><p>&#149; Correspondence relating to individuals;
</p><p>&#149; Claims of indebtedness from firms and collection agencies and other sources, and assorted documents, recorded audio or
video testimony;
</p><p>&#149; Bureau investigation reports, information supplied by Law Enforcement agencies;
</p><p>&#149; Applicant interview record;
</p><p>&#149; Anonymous tips concerning Bureau employees;
</p><p>&#149; Official investigative statements;
</p><p>&#149; Names of those requesting security assistance and report of the assistance rendered;
</p><p>&#149; Other pertinent Governmental records;
</p><p>&#149; Education records and information;
</p><p>&#149; Date of birth and physical description of individual in the files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 321, Exec. Order No. 10,450, and implementing Treasury and Bureau Regulations.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is to permit the Bureau of Engraving and Printing to collect and maintain background investigation records on applicants
for employment, current Bureau employees, and contractors for issuance of security clearances; visitors seeking access to Bureau
facilities; and those to whom samples or test decks of Federal Reserve notes or other Government securities are supplied. Information
is also collected as part of investigations conducted by the Bureau's Office of Security.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(7) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(9) Provide to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved alphabetically by name and company name, and numerically by case number, passport number, Social Security
number, and year.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper records system is limited to those individuals in the Office of Security in the
Eastern and Western Currency Facilities who have a need to know the information for the performance of their official duties and who
have appropriate clearances or permissions.  </p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with the National Archives and Records Administration (NARA), General Records
Schedule No. 18.  </p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Security, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets, SW., Washington, DC
20228 and Security Officer, Security Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort
Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The sources of the information are the individual concerned and information supplied by federal, state, and local investigative
agencies, credit bureaus, financial institutions, court records, educational institutions, and individuals contacted concerning the
person being investigated.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to
5 U.S.C. 552a(k)(2) and 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .027</systemNumber>
<subsection type="systemName">Access Control and Alarm Monitoring Systems (ACAMS)--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Security, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC 20228, and
Security Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the Bureau of Engraving and Printing; employees of other U.S. Government agencies, contractors, and service company
employees who have been cleared for access to the Bureau of Engraving and Printing and issued BEP Access Badges; and escorted visitors
(i.e., contractors and service company employees who have not undergone the formal clearance to enter the Bureau of Engraving and
Printing).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(A) The following information is maintained concerning all individuals who are issued BEP access badges with photographs:
photograph; full name; Social Security number; date of birth; badge number; supervisory status; work telephone; work area number; BEP
access clearance level; date BEP access level granted; date last security background investigation was completed; BEP access level; BEP
access time zone; date access badge issued; date access badge voided; and time, date, and location of each passage through a security
control point, (B) In the case of BEP employees and contractors issued "Temporary Access" badges and contractors and others
issued "No Escort" badges, in lieu of his/her BEP access badge with photograph, the same information as in paragraph A
(above) is kept, and (C) BEP ACAMS maintains the following information on official visitors, contractors, and others issued
"Escort Visitor" badges: photograph; full name; date of birth; home address; driver's license number; passport number and
date of issue; and date, time, and location of each passage through a security control point; and any additional data contained on an
identification card presented when seeking an Escort Visitor badge.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 321, 5 U.S.C. 301, 6106.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain a record of those persons who entered the Bureau of Engraving and Printing premises and
the time and areas visited for internal security use. This system of records is used to assist in maintaining the security of the
Bureau premises and to permit the identification of individuals on the premises at particular times.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(7) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(9) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored on computer printouts, magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved numerically by PASS/badge number, alphabetically by last name, and appropriate index by subject. </p>
</xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access is limited to the Office of Security, Eastern Currency Facility and Security Division, Western Currency Facility.
On-line terminals are installed in a locked 24-hour manned Central Police Operations Center and the Security Systems Operations Center
(SSOC) at the Eastern Currency Facility. These terminals are on lines that can be manually activated and deactivated in the Security
Systems Operations Center (SSOC).
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with BEP Records Retention and Disposal Schedule No. 8 (N1/318/04/8) as required
by the National Archives and Records Administration (NARA). For official visitors, contractors, and others issued "Escort
Visitor" badges, information other than name and photograph scanned from identification cards is disposed of immediately upon
collection.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Security, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC
20228 and Security Officer, Security Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort
Worth, TX 76131.  </p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Eastern Currency Facility, Bureau of Engraving and Printing, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual concerned, his/her supervisor, or an official of the individual's firm or agency.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None. 
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .035</systemNumber>
<subsection type="systemName">Tort Claims against the United States of America--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC
20228, and Office of the Chief Counsel, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth,
TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals and/or organizations making claim for money damage against the United States of America for injury to or loss of
property or personal injury or death caused by neglect, wrongful act, or omission of a Bureau of Engraving and Printing employee while
acting within the scope of his office or employment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contains investigative and adjudication documents relative to personal injury and/or property damage claims.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Tort Claims Act, 28 U.S.C. 2672.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records is used by the Bureau of Engraving and Printing to track the claims submitted, including their progress,
adjudication, and final disposition.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(7) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper record system is limited to those individuals in the Office of the Chief Counsel who
have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are to be retained and disposed in accordance with BEP Records Retention and Disposal Schedule No. 3 (N1/318/04/3) as
required by the National Archives and Records Administration (NARA).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of the Chief Counsel, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW.,
Washington, DC 20228 and Office of the Chief Counsel, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound
Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, 14th &amp; C Streets SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual or organization's claim and/or investigative reports.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .038</systemNumber>
<subsection type="systemName">Unscheduled Absence Record--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Human Resources, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC
20228, and Human Resources Management Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort
Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the Bureau of Engraving and Printing who have had unscheduled absences.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Record contains chronological documentation of unscheduled absences.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a history and a record of the employee's unscheduled absences.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(7) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper record system is limited to the supervisor's employee and authorized timekeeping
personnel who have a need to know the information for the performance of their official duties and who have appropriate clearances or
permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with the National Archives and Records Administration (NARA), General Records
Schedule No. 2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Human Resources, Bureau of Engraving and Printing, 14th &amp; C Streets SW., Washington, DC 20228 and Human
Resources Officer, Human Resources Management Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound
Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual employee's time and attendance records and his/her supervisor.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .041</systemNumber>
<subsection type="systemName">Record of Discrimination Complaints--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Equal Opportunity and Diversity Management, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C
Streets SW., Washington, DC 20228 and Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX
76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the Bureau of Engraving and Printing who have initiated discrimination complaints.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Data developed as a result of inquiry by the person making the allegation of discrimination.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Exec. Order No. 11,478.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a history and record of the employee counseling session. Documentation of all statements made will be kept for use in the
resolution of the case and forwarded, if need be, to the Equal Employment Opportunity Commission (EEOC).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose to EEOC to adjudicate discrimination complaints;
</p><p>(2) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(3) Disclose information to a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(8) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name and case number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper record system is limited to complainants and individuals from the Office of Equal
Opportunity and Diversity Management who have a need to know the information for the performance of their official duties and who have
appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with the National Archives and Records Administration (NARA), General Records
Schedule No. 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Equal Opportunity and Diversity Management, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp;
C Streets SW., Washington, DC 20228 and Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth,
TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F, to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington,
DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual employees who have discrimination complaints.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .045</systemNumber>
<subsection type="systemName">Mail Order Sales Customer Files--Treasury/BEP
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of External Relations, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC
20228 and External Affairs Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX
76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Customers ordering engraved prints and numismatic products from the Bureau of Engraving and Printing through the mail, and those
individuals who have requested that their names be placed on the BEP mailing list.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Mail order customers' names; addresses; company names; credit card numbers and expiration dates; history of customer sales; and
inventory data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the Bureau of Engraving and Printing to maintain a mailing list of customers and interested
parties to provide continuous communication and/or promotional materials about existing and upcoming product offerings; to record and
maintain records of customer, interested party, and order information and requests for promotional materials; and to capture orders
through each stage of the order life cycle, research and resolve orders that were not successfully delivered to customers and
interested parties, and maintain a list of its products and to monitor and maintain product and promotional material inventory levels
to meet customer and interested party demand.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To electronically transmit credit card information to obtain approval or disapproval from the issuing financial institution.
Categories of users include personnel involved in credit card approval; and
</p><p>(2) To inform appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>(3) To disclose to consumer reporting agencies any debt information concerning a Government claim against an individual in
accordance with 5 U.S.C. 552a(b)(12) and Section 3 of the Debt Collection Act of 1982 (Pub. L. 97-365), to encourage repayment of
an overdue debt.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by customer name, order number, or customer number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper record system is limited to those individuals in the Office of External Relations who
have a need to know the information for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with BEP Records Retention and Disposal Schedule No. 21 (N1/318/04/21) approved by
the National Archives and Records Administration (NARA).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Office of External Relations, Marketing Division, Bureau of Engraving and Printing, 14th &amp; C Streets SW., Washington,
DC 20228 and Manager, WCF External Affairs Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road,
Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility. 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Customers, BEP employees, financial institutions.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .046</systemNumber>
<subsection type="systemName">Automated Mutilated Currency Tracking System--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Financial Management, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington,
DC 20228.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals and financial institutions submitting mutilated paper currency claims.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Mutilated currency claimants' names, addresses, company names, amounts of claims, amounts paid, and types and conditions of
currency.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 12 U.S.C. 413, 31 U.S.C. 321.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain historical information and to respond to claimants' inquiries (e.g., non-receipt of
reimbursement, status of case).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a federal, state, or local agency, maintaining civil, criminal, or other relevant enforcement
information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the
bureau's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings;
</p><p>(4) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(5) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2, which relate to an agency's
functions relating to civil and criminal proceedings;
</p><p>(6) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5
U.S.C. 7111, 7114;
</p><p>(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information
pertinent to the investigation; and
</p><p>(8) Provide information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage: </p><p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked
door. The records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by claimant name, case number, address, or registered mail number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable
Treasury automated systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the
information that is being stored. Access to the electronic and paper record system is limited to those individuals in the Office of
Financial Management who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with BEP Records Retention and Disposal Schedule No. 10
(N1/318/04/10) approved by the National Archives and Records Administration (NARA).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Financial Management, Bureau of Engraving and Printing, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the
records, or contest the contents of any records maintained in this system may submit inquiries in accordance with instructions
appearing in 31 CFR part 1, subpart C, appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, 14th
&amp; C Streets SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, banking institutions, and BEP employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .047</systemNumber>
<subsection type="systemName">Employee Emergency Notification System--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC 20228,
and Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the Bureau of Engraving and Printing who have voluntarily
provided personal information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The types of personal information collected by this system are necessary to ensure the
timely emergency notification to individuals that employees have identified. The types of personal information presently include or
potentially could include the following:
</p><p>(a) Personal identifiers (name; home, work, and email addresses; telephone, fax, and pager numbers);
</p><p>(b) Emergency notification contact (name of person to be notified; address; telephone number).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>44 U.S.C. 3101, 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to provide emergency notification to those person(s) employees have voluntarily designated
to receive such information.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that
the security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is
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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders and on electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name or other unique identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper record system is limited to those individuals who have a need to know the information
for the performance of their official duties and who have appropriate clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>In accordance with the National Archives and Records Administration (NARA), General Records Schedule No. 1-Item 18 (a), records are
reviewed and destroyed annually when the records are superseded or obsolete. The file relating to a former employee is destroyed within
one (1) year after separation or transfer.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC 20228: Director, Office of
Director; Deputy Director, Office of Deputy Director; Chief Counsel, Office of the Chief Counsel; Chief, Office of External Affairs;
Associate Director-Chief Financial Officer including: Chief-Office of Financial Management, Chief-Office of Acquisition, and Chief-
Office of Compliance; Associate Director, Eastern Currency Facility including: Chief-Office of Engraving, Chief-Office of Security
Printing, and Chief-Office of Operations Support; Associate Director, Product &amp; Technology Development including: Deputy Associate
Director-Product &amp; Technology Development, Chief-Office of Product Development, Chief-Office of Materials Technology, Chief-Office
of Engineering, and Chief-Central Bank Liaison Staff; Associate Director-Management including: Chief-Office of Security, Chief Office
of Human Resources, Chief-Office of Facilities Support, Chief-Office of Environmental Health &amp; Safety, and Chief-Office of Equal
Opportunity &amp; Diversity Management; Associate Director-Chief Information Officer including: Chief-Office of Critical Infrastructure
&amp; IT Security, Chief-Office of IT Operations, and Chief-Office of Enterprise Solutions; Associate Director-Corporate Planning &amp;
Strategic Analysis including: Chief-Office of Strategic Systems Management, Chief-Office of Quality, Chief-Office of Order Management
&amp; Delivery Systems, and Chief-Office of Portfolio &amp; Project Management.
</p><p>Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131: Associate Director-Western
Currency Facility including: Chief-Office of Currency Manufacturing, Chief, Office Operations Support Division, Security Officer-
Security Division, and Human Resources Officer-Human Resources Management Division.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit inquiries in accordance with instructions appearing in 31 CFR part 1, subpart C,
appendix F. Address inquiries to Disclosure Officer, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets
SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>BEP Employees.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .048</systemNumber>
<subsection type="systemName">Electronic Police Operations Command Reporting System (EPOCRS)--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Security, Bureau of Engraving and Printing, Eastern Currency Facility, 14th &amp; C Streets SW., Washington, DC 20228, and
Security Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the Eastern and Western Currency Facilities of the Bureau of Engraving and Printing, employees of other U.S. government
agencies, contractors, service company employees, and visitors who have provided information to BEP police officers relating to an
incident or accident at a BEP facility.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The information maintained in this system includes electronic and paper records of criminal/administrative incidents and/or general
complaints/concerns reported to the BEP Police Services Division that require investigation, response, and reporting for purposes of
administrative processing activity at the Bureau. Information that will be collected and maintained includes personal information such
as names, addresses, telephone numbers, dates of birth, property information (such as vehicular brand, model, or other identifying
data), notification information, narratives, voluntary statements, images, witnesses, and locations of the incidents).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 552(a)b, 31 U.S.C. 321, 40 U.S.C. 1315(b)(2)(a-c).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of the system is to establish a database for records regarding investigation activity that directly or indirectly
impacts BEP persons and property. Records are of an administrative and/or investigative nature involving the BEP.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate federal, state, and local agencies responsible for investigating or prosecuting the violation of, or for enforcing
or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of a potential violation of
civil or criminal law or regulation;
</p><p>(2) A court, magistrate, or administrative tribunal, in the course of presenting evidence, including disclosures to opposing counsel
or witnesses, for the purpose of civil discovery, litigation, or settlement negotiations or in response to a court order, where
relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(4) Representatives of the National Archives and Records Administration (NARA) who are conducting records management inspections
under authority of 44 U.S.C. 2904, 2906;
</p><p>(5) The U.S. Department of Justice ("DOJ") for its use in providing legal advice to the Department or in representing
the Department in a proceeding before a court, adjudicative body, or other administrative body before which the Department is
authorized to appear, where the Department deems DOJ's use of such information relevant and necessary to the litigation, and such
proceeding names as a party or interests:
</p><p>(a) The Department or any component of it;
</p><p>(b) Any employee of the Department in his or her official capacity;
</p><p>(c) Any employee of the Department in his or her individual capacity where DOJ has agreed to represent the employee; or
</p><p>(d) The United States, where the Department determines that litigation is likely to affect the Department or any of its components;
and
</p><p>(6) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The
records are stored in file folders or on magnetic discs, tapes, or electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of the individual(s) involved in the incident, date(s) of the incident, and by system generated
report numbers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in accordance with applicable rules and policies, including all applicable Treasury automated
systems security and access policies. Strict controls have been imposed to minimize the risk of compromising the information that is
being stored. Access to the electronic and paper records system is limited to those individuals in the Office of Security, Office of
Compliance and Office of Critical Infrastructure &amp; IT Security of the Eastern Currency Facility and Security Division of the
Western Currency Facility who have a need to know the information for the performance of their official duties and who have appropriate
clearances or permissions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with BEP Records Retention and Disposal Schedule No. 8 (N1/318/04/8) approved by the
National Archives and Records Administration (NARA).
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Security, Eastern Currency Facility, Bureau of Engraving and Printing, 14th &amp; C Streets SW., Washington, DC
20228 and Security Officer, Security Division, Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort
Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, gain access to the records, or contest the contents
of any records maintained in this system may submit written inquiries in accordance with instructions appearing in 31 CFR part 1,
subpart C, appendix F. to the Disclosure Officer, Bureau of Engraving and Printing, 14th &amp; C Streets SW., Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure."
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) BEP employees, (2) individuals directly or indirectly involved in an incident, (3) authorized officials or legal representatives
of such individuals, or (4) legal representatives of firms, companies, or agencies directly or indirectly involved in an incident.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BEP .049</systemNumber>
<subsection type="systemName">Bureau of Engraving and Printing Tour Scheduling System also known as BEP Tour Scheduling System--Treasury/BEP.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of Engraving and Printing, Office of External Relations (OEX)--Public Service Division, Eastern Currency Facility (ECF), 14th &amp; C Streets SW., Washington, DC 20228 and Bureau of Engraving and Printing, Office of External Relations (OEX)--External Affairs Division, Western Currency Facility (WCF), 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Primary and secondary contacts of group of visitors or congressional groups and Members of Congress and congressional staffers scheduling tours with the BEP's Tour and Visitor Center in Washington, DC, and Fort Worth, TX.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>&#149; Name of Primary and Secondary Contact (WCF only) of Group of Visitors;
</p><p>&#149; Name of Constituent known as Primary Contact of Congressional Group, Member of Congress, and Staffer;
</p><p>&#149; Title and State of Member of Congress;
</p><p>&#149; Phone Number, Email Address, Fax Number of Congressional Staffer;
</p><p>&#149; Phone Number, Email Address, Fax Number, Mailing Address, City, State, Zip Code of Primary Contact of Group of Visitors;
</p><p>&#149; Phone Number of Secondary Contact of Group of Visitors (WCF only);
</p><p>&#149; Date, Time, and Type of Tour;
</p><p>&#149; Name of Group;
</p><p>&#149; Number of Individuals in group;
</p><p>&#149; Grade of School Group (WCF only);
</p><p>&#149; Information required to accommodate a disability of an Individual in a Group Tour, if applicable; and
</p><p>&#149; Confirmation Number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 31 U.S.C. 321
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to establish a manual and electronic database that will facilitate the scheduling of group and congressional tour reservations for the BEP's facilities in Washington, DC, (DCF) and Fort Worth, TX (WCF). Records are for internal purposes only and will facilitate the reservation process for the following tours within the Washington, DC, and Fort Worth, TX, facilities:
</p><p>&#149; Special Gallery Tours (DCF &amp; WCF);
</p><p>&#149; Group Tours (DCF &amp; WCF);
</p><p>&#149; Congressional Tours (DCF &amp; WCF);
</p><p>&#149; Floor Tours (DCF); and
</p><p>&#149; VIP Tours (WCF).
</p><p>The BEP Tour Scheduling System, the Group Reservation Request Form, and the Congressional Tour Reservation Form will help the OEX to: (1) Record the daily number of visitors who take the group and congressional tour at BEP's DCF and WCF facilities; (2) accommodate the visitors in a group or congressional tour; (3) anticipate the number of visitors expected on a specific day and timeframe; (4) provide accommodations for individuals with disabilities who take a group tour; (5) identify whether the visitors are a group or congressional tour; (6) send confirmation notices to the point of contact of the group of visitors or congressional staffer; and (7) send to the point of contact of the group of visitors or congressional staffer advance notices of any changes that may affect reservations.
</p><p>The BEP will not require individual members of a group scheduling or taking tours to present identification or sign entry logs or registers to be able to take any tour within the DCF or WCF facilities. <i>See</i> 31 CFR part 605.1.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to appropriate agencies, entities, and persons when: (a) The Department suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored on electronic media and hard copy. Paper records are maintained in locked cabinets in a locked room.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by:
</p><p>&#149; Name of primary Contact of Group, Member of Congress, Congressional Staffer, Constituent--Primary Contact of Congressional Group;
</p><p>&#149; Title and State of Member of Congress;
</p><p>&#149; Date of Tour;
</p><p>&#149; Time of Tour;
</p><p>&#149; Type of Tour;
</p><p>&#149; Number in Group;
</p><p>&#149; Name of Group;
</p><p>&#149; Fax Number, Email Address, Phone Number, City, State, and Zip Code of Primary Contact of Group of Visitors;
</p><p>&#149; Email Address and Phone Number of Congressional Staffer;
</p><p>&#149; Approver/User ID of BEP employee or contractor;
</p><p>&#149; Date when Record was Created or Modified;
</p><p>&#149; Confirmation Number;
</p><p>&#149; Name of Secondary Contact of Group of Visitors;
</p><p>&#149; Phone number of Secondary Contact of Group of Visitors; and
</p><p>&#149; Grade of School Group.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to electronic and paper records is limited to authorized personnel in the Office of External Relations, Public Service Division, Eastern Currency Facility in Washington, DC, and the Office of External Relations, External Affairs Division, Western Currency Facility in Fort Worth, TX, and determined by pre-authorized privileges granted to users based on their need to know to perform daily job functions.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed in accordance with the Bureau of Engraving and Printing Agency Specific Records Schedule N1/318/04/21 as required by the National Archives and Records Administration. Paper records that are collected with respect to a group or congressional tour will be destroyed once the information is transferred to electronic record. The electronic records will be destroyed automatically upon completion of the tour.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Manager, Bureau of Engraving and Printing, Eastern Currency Facility, Office of External Relations, Public Service Division, 14th &amp; C Streets SW., Washington, DC 20228 and Manager, Bureau of Engraving and Printing, Western Currency Facility, Office of External Relations, External Affairs Division, 9000 Blue Mound Road, Fort Worth, TX 76131.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether this system of records contains information about themselves should address written inquires to the Disclosure Officer, Department of the Treasury, Bureau of Engraving and Printing, Office of the Chief Counsel, 14th &amp; C Streets SW., Room 419-A, Washington, DC 20228.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See, "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See, "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in the system originates from the individual scheduling the group or congressional tour reservation.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .001</systemNumber>
<subsection type="systemName">Human Resources and Administrative Records--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the following Bureau of the Public Debt locations: 200 Third Street, Parkersburg, WV; 320 Avery Street,
Parkersburg, WV; Second and Avery Streets, Parkersburg, WV; and 799 9th Street, NW., Washington, DC. Copies of some documents have been
duplicated for maintenance by supervisors for employees or programs under their supervision. These duplicates are also covered by this system
of records.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records cover present and former employees, applicants for employment, contractors, vendors, and visitors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records is limited to those records the Bureau of the Public Debt needs to function in an efficient manner and does not
cover those records reported under another system of records notice.
</p><p>(A) Human Resources Records: These records relate to categories such as disciplinary and adverse actions; leave and hours of duty;
alternate work schedules, standards of conduct and ethics programs; indebtedness; employee suitability and security determinations;
grievances; performance problems; bargaining unit matters; Federal labor relations issues; relocation notices; outside employment;
recruitment; placement; merit promotion; special hiring programs, including veterans recruitment, employment of people with disabilities,
Student Employment Programs; position classification and management; special areas of pay administration, including grade and pay retention,
premium pay, scheduling of work, performance management and recognition; training and employee development programs; incentive awards;
benefits and retirement programs; personnel and payroll actions; insurance; worker's and unemployment compensation; employee orientation;
retirement; accident reports; and consolidation of personnel/program efforts among offices.
</p><p>(B) Equal Employment Opportunity Records: These are records of informal EEO complaints and discussions that have not reached the level of
formal complaints. After 30 days these records are destroyed or incorporated in a formal complaint file. Formal complaints are handled by the
Treasury Department's Regional Complaints Center. Copies of formal complaint documents are sometimes maintained by the Bureau of the Public
Debt's EEO Office.
</p><p>(C) Administrative Services Records: These records relate to administrative support functions including motor vehicle operation, safety and
security, access to exterior and interior areas, contract guard records, offense/incident reports, accident reports, and security
determinations.
</p><p>(D) Procurement Records: These records relate to contractors/vendors if they are individuals; purchase card holders, including the name,
social security number and credit card number for employees who hold Government-use cards; procurement integrity certificates, containing
certifications by procurement officials that they are familiar with the Federal Procurement Policy Act.
</p><p>(E) Financial Management Records: These records relate to government travel, vendor accounts, other employee reimbursements, interagency
transactions, employee pay records, vendor registration data, purchase card accounts and transactions, and program payment agreements.
</p><p>(F) Retiree Mailing Records: These records contain the name and address furnished by Bureau of the Public Debt retirees requesting mailings
of newsletters and other special mailings.
</p><p>(G) Travel Records: These records relate to employee relocation travel authorizations, reimbursements, and related vendor invoices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are collected and maintained to document various aspects of a person's employment with the Bureau of the Public Debt and
to assure the orderly processing of administrative actions within the Bureau.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) The Office of Personnel Management, the Merit Systems Protection Board, the Equal Employment Opportunity Commission, and the Federal
Labor Relations Authority upon authorized request;
</p><p>(2) Other Federal, State, or local agencies, such as a State employment compensation board or housing administration agency, so that the
agency may adjudicate an individual's eligibility for a benefit, or liability in such matters as child support;
</p><p>(3) Next-of-kin, voluntary guardians, and other representative or successor in interest of a deceased or incapacitated employee or former
employee;
</p><p>(4) Unions recognized as exclusive bargaining representatives under 5 U.S.C. chapter 71, arbitrators, and other parties responsible for the
administration of the Federal labor-management program if needed in the performance of their authorized duties;
</p><p>(5) Private creditors for the purpose of garnishing wages of an employee if a debt has been reduced to a judgment;
</p><p>(6) Authorized Federal and non-Federal entities for use in approved computer matching efforts, limited to those data elements considered
necessary in making a determination of eligibility under particular benefit programs administered by those agencies or entities, to improve
program integrity, and to collect debts and other monies owed to those agencies or entities or to the Bureau of the Public Debt;
</p><p>(7) Contractors of the Bureau of the Public Debt for the purpose of processing personnel and administrative records;
</p><p>(8) Other Federal, State, or local agencies in connection with the hiring or retention of an individual, the issuance of a security
clearance, the conducting of a security or suitability investigation of an individual, the issuance of a license, contract, grant, or other
benefit;
</p><p>(9) Congressional offices in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(10) Other Federal agencies to effect salary or administrative offset for the purpose of collecting a debt, except that addresses obtained
from the Internal Revenue Service shall not be disclosed to other agencies;
</p><p>(11) Consumer reporting agencies, including mailing addresses obtained from the Internal Revenue Service to obtain credit reports;
</p><p>(12) Debt collection agencies, including mailing addresses obtained from the Internal Revenue Service, for debt collection services;
</p><p>(13) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for
enforcing or implementing a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or regulation;
</p><p>(14) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in
response to a subpoena;
</p><p>(15) Third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation; and
</p><p>(16) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>In accordance with the Privacy Act (5 U.S.C. 552a(b)(12)), disclosures may be made from this system of records to "consumer
reporting agencies" as defined in 31 U.S.C. 3701(a)(3). The purpose of the disclosure is to aid in the collection of outstanding debts
owed to the Federal Government. After the prerequisites of 31 U.S.C. 3711 have been followed, the Bureau of the Public Debt may disclose
information necessary to establish the identity of the individual responsible for the claim, including name, address, and taxpayer
identification number; the amount, status, and history of the claim; and the agency or program under which the claim arose.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, microform, or in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, social security number, or other assigned identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are maintained in controlled access areas. Identification cards are verified to ensure that only authorized personnel
are present. Electronic records are protected by restricted access procedures, including the use of passwords and sign-on protocols that are
periodically changed. Only employees whose official duties require access are allowed to view, administer, and control these records. Copies
of records maintained on computer have the same limited access as paper records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with National Archives and Records Administration retention schedules. Paper and microform
records ready for disposal are destroyed by shredding or maceration. Records in electronic media are electronically erased using accepted
techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(A) Human Resources Records: Assistant Commissioner, Office of Management Services, Human Resources Division, Bureau of the Public
Debt, 200 Third Street, Parkersburg, WV 26106-5312 and Executive Director, Administrative Resource Center, Human Resources Operations
Division, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p><p>(B) Equal Employment Opportunity Records: Assistant Commissioner, Office of Management Services, Equal Employment Opportunity, Bureau of
the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p><p>(C) Administrative Services Records: Assistant Commissioner, Office of Management Services, Division of Administrative Services and
Division of Security and Emergency Preparedness, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p><p>(D) Procurement Records: Executive Director, Administrative Resource Center, Division of Procurement, Bureau of the Public Debt, 200 Third
Street, Parkersburg, WV 26106-5312.
</p><p>(E) Financial Management Records: Executive Director, Administrative Resource Center, Accounting Services Division, 200 Third Street,
Parkersburg, WV 26106-5312.
</p><p>(F) Retiree Mailing Records: Assistant Commissioner, Office of Management Services, Division of Administrative Services, Bureau of the
Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p><p>(G) Travel Records: Executive Director, Administrative Resource Center, Travel Services Division, 200 Third Street, Parkersburg, WV 26106
-5312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>(1) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and
clearly indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's
identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Bureau of the Public Debt or the delegate of such officer. Appeals
must be mailed or delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001 (or
as otherwise provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the initial
denial of the requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records is provided by the subject of the record, authorized representatives, supervisor, employers,
medical personnel, other employees, other Federal, State, or local agencies, and commercial entities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .002</systemNumber>
<subsection type="systemName">United States Savings-Type Securities--Treasury/BPD.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of the Public Debt, 200 Third Street, Parkersburg, WV; Bureau of the Public Debt, 799 9th Street, NW., Washington, DC; and
Federal Reserve Banks and Branches in Minneapolis, MN and Pittsburgh, PA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and former owners of, claimants to, persons entitled to, and inquirers concerning United States savings-type securities and
interest on securities, including without limitation United States Savings Bonds, Savings Notes, Retirement Plan Bonds, and Individual
Retirement Bonds.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Issuance: Records relating to registration, issuance, and correspondence in connection with issuance of savings-type securities.
This category includes records of current income savings bonds processed under an automated system that will permit access by selected Federal
Reserve Banks and Branches.
</p><p>(2) Holdings: Records documenting ownership, status, payments by date and account numbers, and inscription information; interest activity;
correspondence in connection with notice of change of name and address; non-receipt or over- or underpayments of interest and principal; and
numerical registers of ownership. Such records include information relating to savings-type securities held in safekeeping in conjunction with
the Department's program to deliver such securities to the owners or persons entitled. This category includes records of current income
savings bonds processed under an automated system that will permit access by selected Federal Reserve Banks and Branches.
</p><p>(3) Transactions (redemptions, payments, and reissues): Records, which include securities transaction requests; interest activity; legal
papers supporting transactions; applications for disposition or payment of securities and/or interest thereon of deceased or incapacitated
owners; records of retired securities; and payment records. This category includes records of current income savings bonds processed under an
automated system that will permit access by selected Federal Reserve Banks and Branches.
</p><p>(4) Claims: Records including correspondence concerning lost, stolen, destroyed, or mutilated savings-type securities; bonds of indemnity;
legal documents supporting claims for relief; and records of caveats entered.
</p><p>(5) Inquiries: Records of correspondence with individuals who have requested information concerning savings-type securities and/or interest
thereon.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 3101, <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information in this system of records is collected and maintained to enable the Bureau of the Public Debt and its agents to issue
savings bonds, to process transactions, to make payments, and to identify owners and their accounts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Agents or contractors of the Department for the purpose of administering the public debt of the United States;
</p><p>(2) Next-of-kin, voluntary guardian, legal representative or successor in interest of a deceased or incapacitated owner of securities and
others entitled to the reissue, distribution, or payment for the purpose of assuring equitable and lawful disposition of securities and
interest;
</p><p>(3) Either co-owner for bonds registered in that form or to the beneficiary for bonds registered in that form, provided that acceptable
proof of death of the owner is submitted;
</p><p>(4) The Internal Revenue Service for the purpose of facilitating collection of the tax revenues of the United States;
</p><p>(5) The Department of Justice when seeking legal advice or when
</p><p>(a) The Department of the Treasury (agency) or
</p><p>(b) The Bureau of the Public Debt, or
</p><p>(c) Any employee of the agency in his or her official capacity, or
</p><p>(d) Any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or
</p><p>(e) The United States, where the agency determines that litigation is likely to affect the agency or the Bureau of the Public Debt, is a
party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to
be relevant and necessary to the litigation;
</p><p>(6) The Department of Veterans Affairs and selected veterans' publications for the purpose of locating owners or other persons entitled to
undeliverable bonds held in safekeeping by the Department;
</p><p>(7) Other Federal agencies to effect salary or administrative offset for the purpose of collecting debts;
</p><p>(8) A consumer reporting agency, including mailing addresses obtained from the Internal Revenue Service, to obtain credit reports;
</p><p>(9) A debt collection agency, including mailing addresses obtained from the Internal Revenue Service, for debt collection services;
</p><p>(10) Contractors conducting Treasury-sponsored surveys, polls, or statistical analyses relating to the marketing or administration of the
public debt of the United States;
</p><p>(11) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or license;
</p><p>(12) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in
response to a subpoena;
</p><p>(13) A Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(14) Disclose through computer matching information on individuals owing debts to the Bureau of the Public Debt to other Federal agencies
for the purpose of determining whether the debtor is a Federal employee or retiree receiving payments that may be used to collect the debt
through administrative or salary offset;
</p><p>(15) Disclose through computer matching information on holdings of savings-type securities to requesting Federal agencies under approved
agreements limiting the information to that which is relevant in making a determination of eligibility for Federal benefits administered by
those agencies;
</p><p>(16) Disclose through computer matching, information on individuals with whom the Bureau of the Public Debt has lost contact, to other
Federal agencies for the purpose of utilizing letter forwarding services to advise these individuals that they should contact the Bureau about
returned payments and/or matured, unredeemed securities; and
</p><p>(17) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>In accordance with the Privacy Act (5 U.S.C. 552a(b)(12)), disclosures may be made from this system of records to "consumer
reporting agencies" as defined in 31 U.S.C. 3701(a)(3). The purpose of the disclosure is to aid in the collection of outstanding debts
owed to the Federal Government. After the prerequisites of 31 U.S.C. 3711 have been followed, the Bureau of the Public Debt may disclose
information necessary to establish the identity of the individual responsible for the claim, including name, address, and taxpayer
identification number; the amount, status, and history of the claim; and the agency or program under which the claim arose.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, microform, or in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information can be retrieved alphabetically by name, address, and period of time the security was issued, by bond serial numbers,
other assigned identifier, or, in some cases, numerically by social security number. In the case of securities, except Series G savings bonds,
registered in more than one name, information relating to those securities can be retrieved only by the names, or, in some cases, the social
security number of the registrants, primarily the registered owners or first-named co-owners. In the case of gift bonds inscribed with the
social security number of the purchaser, bonds are retrieved under that number, or by bond serial number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information is contained in secure buildings or in areas which are occupied either by officers and responsible employees of the Bureau
of the Public Debt who are subject to personnel screening procedures and to the Treasury Department Code of Conduct or by agents of the Bureau
of the Public Debt who are required to maintain proper control over records while in their custody. Additionally, since in most cases,
numerous steps are involved in the retrieval process, unauthorized persons would be unable to retrieve information in meaningful form.
Information stored in electronic media is safeguarded by automatic data processing security procedures in addition to physical security
measures. Additionally, for those categories of records stored in computers with online terminal access, the information cannot be accessed
without proper passwords and preauthorized functional capability.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records of holdings, forms, documents, and other legal papers which constitute the basis for transactions subsequent to original issue
are maintained for such time as is necessary to protect the legal rights and interests of the United States Government and the persons
affected, or otherwise until they are no longer historically significant. Other records are disposed of at varying intervals in accordance
with records retention schedules reviewed and approved by the National Archives and Records Administration (NARA). Paper and microform records
ready for disposal are destroyed by shredding or maceration. Records in electronic media are electronically erased using accepted techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Office of Retail Securities, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>(1) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and
clearly indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii).
</p><p>(3) Requests by individuals about securities they own:
</p><p>(a) For current income savings bonds: Individuals may contact the nearest Treasury Retail Securities Site as listed in the Appendix to this
system of records or the Office of Retail Securities, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312. If the
Treasury Retail Securities Site cannot access the particular record, the individual will be advised to contact Retail Securities at the Bureau
of the Public Debt. Individuals must provide sufficient information, including their address and social security number, to identify
themselves as owner or co-owner of the securities. They should provide the complete bond serial numbers, including alphabetic prefixes and
suffixes, if known. Otherwise, the series, approximate date, form of registration, and, except for Series G Savings Bonds registered in co-
ownership form, the names and social security numbers of all persons named in the registration should be provided. If a Case Identification
Number is known, that should be provided.
</p><p>(b) For all other types of securities covered by this system of records: Individuals should contact the following: Office of Retail
Securities, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312. Individuals should provide sufficient information,
including their address and social security number, to identify themselves as owner or co-owner of the securities. Individuals must provide
sufficient information to identify the securities, such as type or series of security, approximate date of issue, serial number, form of
registration, and the name and social security number of the first-named co-owner, or in the case of gift bonds the social security number of
the purchaser if that number was used.
</p><p>(4) Requests by anyone other than individuals named on securities must contain sufficient information to identify the securities; this
would include type or series of securities, approximate date of issue, serial number, and form of registration. These requests will be honored
only if the identity and right of the requester to the information have been established. Send requests to the addresses shown in (3)(a) or
(3)(b) above, depending on the type of security involved.
</p><p>(a) Requests by a beneficiary for information concerning securities registered in beneficiary form must be accompanied by the name and
social security number of the owner and by proof of death of the registered owner.
</p><p>(b) Requests for records of holdings or other information concerning a deceased or incapacitated individual must be accompanied either by
evidence of the requester's appointment as legal representative of the estate of the individual or by a statement attesting that no such
representative has been appointed and giving the nature of the relationship between the requester and the individual.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's
identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Public Debt or the delegate of such officer. Appeals must be mailed or
delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001 (or as otherwise
provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the initial denial of the
requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information on records in this system is furnished by the individuals or their authorized representatives as listed in "
Categories of Individuals" and issuing agents for securities or is generated within the system itself.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p><b>Appendix of Treasury Retail Securities Sites:
</b></p><p>This appendix provides individuals contact information for inquiring about their securities.
</p><p>Federal Reserve Bank, Pittsburgh Branch, P.O. Box 299, Pittsburgh, PA 15230-0299; Telephone 1-800-245-2804.
</p><p>Federal Reserve Bank, Minneapolis Branch, P.O. Box 214, Minneapolis, MN 55480-0214; Telephone 1-800-553-2663.
</p><p>Bureau of the Public Debt, Retail Securities, Parkersburg, WV 26106-5312.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .003</systemNumber>
<subsection type="systemName">United States Securities (Other than Savings-Type Securities)--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of the Public Debt, 200 Third Street, Parkersburg, WV; Bureau of the Public Debt, 799 9th Street, NW., Washington, DC; and
Federal Reserve Banks and Branches in Minneapolis, MN; Philadelphia, PA; and Pittsburgh, PA.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and former owners of, subscribers to, claimants to, persons entitled to, and inquirers concerning United States Treasury
securities (except savings-type securities) and interest on securities and such securities for which the Treasury acts as agents, including
without limitation, Treasury Bonds, Notes, and Bills; Adjusted Service Bonds; Armed Forces Leave Bonds; and Federal Housing Administration
Debentures.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Issuance: Records relating to tenders, bids, subscriptions, advices of shipment, requests (applications) for original issue, and
correspondence concerning erroneous issue and nonreceipt of securities.
</p><p>(2) Holdings: Records of ownership and interest activity on registered or recorded United States securities (other than savings-type
securities); records about fees for Legacy TreasuryDirect accounts exceeding a stipulated amount; change of name and address notices;
correspondence concerning errors in registration or recordation; nonreceipt or over- and underpayments of interest and principal; records of
interest activity; records of unclaimed accounts; and letters concerning the New York State tax exemption for veterans of World War I.
</p><p>(3) Transactions (redemptions, payments, reissues, transfers, and exchanges): Records which include securities transaction requests;
records about fees for definitive securities issued; legal papers supporting transactions; applications for transfer, disposition, or payment
of securities of deceased or incompetent owners; records of Federal estate tax transactions; certificates of ownership covering paid overdue
bearer securities; records of erroneous redemption transactions; records of retired securities; and payment records.
</p><p>(4) Claims: Records including correspondence concerning lost, stolen, destroyed, or mutilated United States securities (other than savings-
type securities) or securities for which the Treasury acts as agent and interest coupons thereon; bonds of indemnity; legal documents
supporting claims for relief; and records of caveats entered.
</p><p>(5) Inquiries: Records of correspondence with individuals who have requested information concerning United States Treasury securities
(other than savings-type securities) or securities for which the Treasury acts as agent.
</p><p>(6) All of the above categories of records except "(4) Claims" include records of Treasury bills, notes, and bonds in the
TreasuryDirect Book-entry Securities System.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 3101 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information in this system of records is collected and maintained to enable the Bureau of the Public Debt and its agents to issue
United States securities (other than savings-type securities), to process transactions, to make payments, and to identify owners and their
accounts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Agents or contractors of the Department for the purpose of administering the public debt of the United States;
</p><p>(2) Next-of-kin, voluntary guardian, legal representative or successor in interest of a deceased or incapacitated owner of securities and
others entitled upon transfer, exchange, distribution, or payment for the purpose of assuring equitable and lawful disposition of securities
and interest;
</p><p>(3) Any of the owners if the related securities are registered or recorded in the names of two or more owners;
</p><p>(4) The Internal Revenue Service for the purpose of facilitating the collection of the tax revenues of the United States;
</p><p>(5) The Department of Justice when seeking legal advice or when:
</p><p>(a) The Department of the Treasury (agency) or
</p><p>(b) The Bureau of the Public Debt, or
</p><p>(c) Any employee of the agency in his or her official capacity, or
</p><p>(d) Any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or
</p><p>(e) The United States, where the agency determines that litigation is likely to affect the agency or the Bureau of the Public Debt, is a
party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to
be relevant and necessary to the litigation;
</p><p>(6) The Department of Veterans Affairs when it relates to the holdings of Armed Forces Leave Bonds to facilitate the redemption or
disposition of these securities;
</p><p>(7) Other Federal agencies to effect salary or administrative offset for the purpose of collecting debts;
</p><p>(8) A consumer reporting agency, including mailing addresses obtained from the Internal Revenue Service, to obtain credit reports;
</p><p>(9) A debt collection agency, including mailing addresses obtained from the Internal Revenue Service, for debt collection services;
</p><p>(10) Contractors conducting Treasury-sponsored surveys, polls, or statistical analyses relating to marketing or administration of the
public debt of the United States;
</p><p>(11) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or license;
</p><p>(12) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in
response to a subpoena;
</p><p>(13) A Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(14) Disclose through computer matching information on individuals owing debts to the Bureau of the Public Debt to other Federal agencies
for the purpose of determining whether the debtor is a Federal employee or retiree receiving payments that may be used to collect the debt
through administrative or salary offset;
</p><p>(15) Disclose through computer matching information on holdings of Treasury securities to requesting Federal agencies under approved
agreements limiting the information to that which is relevant in making a determination of eligibility for Federal benefits administered by
those agencies;
</p><p>(16) Disclose through computer matching, information on individuals with whom the Bureau of the Public Debt has lost contact, to other
Federal agencies for the purpose of utilizing letter-forwarding services to advise these individuals that they should contact the Bureau about
returned payments and/or matured unredeemed securities; and
</p><p>(17) To appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>In accordance with the Privacy Act (5 U.S.C. 552a(b)(12)), disclosures may be made from this system of records to "consumer
reporting agencies" as defined in 31 U.S.C. 3701(a)(3). The purpose of the disclosure is to aid in the collection of outstanding debts
owed to the Federal Government. After the prerequisites of 31 U.S.C. 3711 have been followed, the Bureau of the Public Debt may disclose
information necessary to establish the identity of the individual responsible for the claim, including name, address, and taxpayer
identification number; the amount, status, and history of the claim; and the agency or program under which the claim arose.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, microform, or in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information can be retrieved by social security account number, other assigned identifier, or, in some cases, alphabetically by name
or numerically by security serial number. In the case of securities registered in more than one name, information relating to those securities
generally can be retrieved only by social security number or by the name of the first-named owner.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Information is contained in secure buildings, Federal Records Centers, or in areas which are occupied either by officers and
responsible employees of the Department who are subject to personnel screening procedures and to the Executive Branch and Treasury Department
Standards of Conduct or by agents of the Department who are required by the Department to maintain proper control over records while in their
custody. Additionally, since in most cases, numerous steps are involved in the retrieval process, unauthorized persons would be unable to
retrieve information in a meaningful form. Information stored in electronic media is safeguarded by automatic data processing security
procedures in addition to physical security measures. Additionally, for those categories of records stored in computers with terminal access,
the information cannot be obtained or modified without proper passwords and preauthorized functional capability.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records of holdings, forms, documents, and other legal papers which constitute the basis for transactions subsequent to original issue
are maintained for such time as is necessary to protect the legal rights and interests of the U.S. Government and the persons affected, or
otherwise until they are no longer historically significant. Other records are disposed of at varying intervals in accordance with records
retention schedules reviewed and approved by the National Archives and Records Administration (NARA). Paper and microform records ready for
disposal are destroyed by shredding or maceration. Records in electronic media are electronically erased using accepted techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Office of Retail Securities, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>(1) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and
clearly indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 FR
1.26(d)(2)(ii).
</p><p>(3) Requests by individuals about securities they own:
</p><p>(a) For Treasury bills, notes, or bonds held in the Legacy Treasury Direct Book-entry Securities System: Individuals may contact the
nearest Treasury Retail Securities Site listed in the Appendix to this system of records or contact Office of Retail Securities, Bureau of the
Public Debt, 200 Third Street, Parkersburg, WV 26106-5312. Individuals should provide sufficient information, including their social
security number, to identify themselves as owners of securities and sufficient information, including account number, to identify their
TreasuryDirect account.
</p><p>(b) For all other categories of records in this system of records: Individual owners should contact: Office of Retail Securities, Bureau of
the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312. Requests must contain information to identify themselves including name,
address, and social security number; the type of security involved such as a registered note or bond, an Armed Forces Leave Bond, etc.; and,
to the extent possible specify the loan, issue date, denomination, exact form of registration, and other information about the securities.
</p><p>(4) Requests by individuals who are representatives of owners or their estates require appropriate authority papers. Write to: Office of
Retail Securities, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312, to obtain information on these requirements.
</p><p>(5) In all cases: The request for information will be honored only if the identity and right of the requester to the information have been
established.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's
identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Public Debt or the delegate of such officer. Appeals must be mailed to
or delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001 (or as otherwise
provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the initial denial of the
requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in records in the system is furnished by the individuals or their authorized representatives as listed in
"Categories of Individuals," or is generated within the system itself.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p><b>Appendix of Treasury Retail Securities Sites:
</b></p><p>This appendix lists the mailing addresses and telephone number of the places that individuals may contact to inquire about their
securities accounts maintained in Legacy Treasury Direct. The toll-free telephone number 1-800-722-2678 is used to reach all
the locations.
</p><p>Office of Retail Securities, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p><p>Treasury Retail Securities Site, P.O. Box 567, Pittsburgh, PA 15230-0567.
</p><p>Treasury Retail Securities Site, P.O. Box 9150, Minneapolis, MN 55480-9150.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .004</systemNumber>
<subsection type="systemName">Controlled Access Security System--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of the Public Debt, Parkersburg, WV.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Bureau of the Public Debt employees, employees of contractors or service companies, and official visitors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>A record is created for each physical access to designated areas and includes card number, work shift, access level, and the time,
date and location of each use of the access card at a card reader. The access record also includes the individual's biographic information
(full legal name, date of birth, and Social Security Number) and biometric information (fingerprints, digital color photograph, height,
weight, and eye/hair color).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. Sec. 321; 41 CFR 101-20.103.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information in this system of records is collected and maintained to allow the Bureau of the Public Debt to control and verify access
to all Parkersburg, West Virginia Public Debt facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing
or implementing a statute, rule, regulation, order, or license;
</p><p>(2) A Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations, or in connection with criminal law proceedings, or in
response to a subpoena;
</p><p>(4) A Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(5) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114,
arbitrators and other parties responsible for the administration of the Federal labor-management program if needed in the performance of their
authorized duties; and
</p><p>(6) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, microform, or in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information on individuals can be retrieved by name or card number or other assigned identifier such as biometric or biographic
information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Both the central system and the peripheral system will have limited accessibility. Paper records and magnetic disks are maintained in
locked file cabinets with access limited to those personnel whose official duties require access, such as the systems manager, Bureau security
officials, and employee relations specialists. Access to terminals is limited through the use of passwords to those personnel whose official
duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention period is for five years. Paper and microform records ready for disposal are destroyed by shredding or maceration.
Records in electronic media are electronically erased using accepted techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Office of Management Services, Division of Security and Emergency Programs, Bureau of the Public Debt, 200
Third Street, Parkersburg, WV 26106-5312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>(1) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and
clearly indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's
identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Bureau of the Public Debt or the delegate of such officer. Appeals
must be mailed to or delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001
(or as otherwise provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the
initial denial of the requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual concerned, his/her supervisor, or an official of the individual's firm or agency.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .005</systemNumber>
<subsection type="systemName">Employee Assistance Records--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>This system covers Bureau of the Public Debt employee assistance records that are maintained by another Federal, State, or local
government, or contractor under an agreement with the Bureau of the Public Debt directly or through another entity to provide the Employee
Assistance Program (EAP) functions. The address of the other agency or contractor may be obtained from the system manager below.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Bureau of the Public Debt employees and former employees who will be or have been counseled, either by self-referral or supervisory-
referral regarding alcohol or drug abuse, emotional health, or other personal problems. Where applicable, this system also covers family
members of these employees when the family member utilizes the services of the EAP as part of the employee's counseling or treatment process.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system contains records of each employee and, in some cases, family members of the employee who have utilized the Employee
Assistance Program for an alcohol, drug, emotional, or personal problem. Examples of information which may be found in each record are the
individual's name, social security number, date of birth, grade, job title, home address, telephone numbers, supervisor's name and telephone
number, assessment of problem, and referrals to treatment facilities and outcomes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 7361, 7362, 7904; 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a history and record of the employee counseling session.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) An entity under contract with the Bureau of the Public Debt for the purpose of providing the EAP function;
</p><p>(2) Medical personnel to the extent necessary to meet a bona fide medical emergency in accordance with the Confidentiality of Alcohol and
Drug Abuse Patient Records regulations
</p><p>(42 CFR part 2);
</p><p>(3) Qualified personnel for the purpose of conducting scientific research, management audits, financial audits, or program evaluation,
provided individual identifiers are not disclosed in any manner, in accordance with the Confidentiality of Alcohol and Drug Abuse Patient
Records regulations (42 CFR part 2);
</p><p>(4) A third party upon authorization by an appropriate order of a court of competent jurisdiction granted after application showing good
cause therefore, in accordance with the Confidentiality of Alcohol and Drug Abuse Patient Records regulations (42 CFR part 2);
</p><p>(5) The Department of Justice or other appropriate Federal agency in defending claims against the United States when the records are not
covered by the Confidentiality of Alcohol and Drug Abuse Patient Records regulations at 42 CFR part 2; and
</p><p>(6) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, microform, or in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by the name and social security number or other assigned identifier of the individual on whom they are
maintained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are maintained in a secure room in a locked file cabinet, safe, or similar container when not in use. Automated records are
protected by restricted access procedures. Access to records is strictly limited to agency or contractor officials with a bona fide need for
the records. When the Bureau of the Public Debt contracts with an entity for the purpose of providing the EAP functions, the contractor shall
be required to maintain Privacy Act safeguards with respect to such records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The retention period is three years after termination of counseling or until any litigation is resolved, after which the records are
destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Administrative Resource Center, Human Resources Operations Division, Bureau of the Public Debt, 200 Third Street,
Parkersburg, WV 26106-5312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>After you contact the contractor, following are the steps that will be required:
</p><p>(1) Submit requests to the contractor. For information about how to contact the contractor, write to the appropriate office as shown under
"System Manager and Address" above.
</p><p>(2) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and clearly
indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The contractor reserves the right to require additional verification of an individual's identity.
</p><p>(3) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests: After you contact the contractor, following are the steps that will be required:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The contractor reserves the right to require additional verification of an individual's identity.
</p><p>(2) Submit requests to the contractor. For information about how to contact the contractor, write to the appropriate office as shown under
"System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Bureau of the Public Debt or the delegate of such officer. Appeals
must be mailed to or delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001
(or as
otherwise provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the initial
denial of the requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records comes from the individual to whom it applies, the supervisor of the individual if the individual
was referred by a supervisor, or the contractor's staff member who records the counseling session.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .006</systemNumber>
<subsection type="systemName">Health Service Program Records--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of the Public Debt locations at 200 Third Street, Parkersburg, WV; and Avery Street Building, 320 Avery Street, Parkersburg,
WV.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Bureau of the Public Debt employees who receive services under the Federal Employee Health Services Program from the Bureau of the
Public Debt Health Unit in Parkersburg, West Virginia.
</p><p>(2) Federal employees of other organizations in the Parkersburg, West Virginia vicinity who receive services under the Federal Employee
Health Services Program from the Bureau of the Public Debt Health Unit in Parkersburg, West Virginia.
</p><p>(3) Non-Federal individuals working in or visiting the buildings, who may receive emergency treatment from the Bureau of the Public Debt
Health Unit in Parkersburg, West Virginia.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system is comprised of records developed as a result of an individual's utilization of services provided under the Federal
Government's Health Service Program. These records contain information such as: Examination, diagnostic, assessment and treatment data;
laboratory findings; nutrition and dietetic files; nursing notes; immunization records; blood donor records; CPR training; First Aider; names,
Social Security number, date of birth, handicap code, addresses, and telephone numbers of individual; name, address, and telephone number of
individual's physician; name, address, and telephone number of hospital; name, address, and telephone number of emergency contact; and
information obtained from the individual's physician; and record of requested accesses by any Bureau of the Public Debt employee (other than
Health Unit personnel) who has an official need for the information.
</p><p><b>Note:
</b></p><p>This system does not cover records related to counseling for drug, alcohol, or other problems covered by System No. Treasury/BPD.005
-Employee Assistance Records. Medical records relating to a condition of employment or an on-the-job occurrence are covered by the
Office of Personnel Management's System of Records No. OPM/GOVT-10-Employee Medical File System Records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7901.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records document an individual's utilization on a voluntary basis of health services provided under the Federal Government's
Health Service Program at the Health Unit at the Bureau of the Public Debt in Parkersburg, West Virginia. Data is necessary to ensure proper
evaluation, diagnosis, treatment, and referral to maintain continuity of care; a medical history of care received by the individual; planning
for further care of the individual; a means of communication among health care members who contribute to the individual's care; a legal
document of health care rendered; a tool for evaluating the quality of health care rendered.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Medical personnel under a contract agreement with the Bureau of the Public Debt;
</p><p>(2) A Federal, State, or local public health service agency as required by applicable law, concerning individuals who have contracted
certain communicable diseases or conditions. Such information is used to prevent further outbreak of the disease or condition;
</p><p>(3) Appropriate Federal, State, or local agencies responsible for investigation of an accident, disease, medical condition, or injury as
required by pertinent legal authority;
</p><p>(4) The Department of Justice when seeking legal advice or when
</p><p>(a) The Department of the Treasury (agency) or
</p><p>(b) The Bureau of the Public Debt, or
</p><p>(c) Any employee of the agency in his or her official capacity, or
</p><p>(d) Any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or
</p><p>(e) The United States, where the agency determines that litigation is likely to affect the agency or the Bureau of the Public Debt, is a
party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to
be relevant and necessary to the litigation;
</p><p>(5) A Federal agency responsible for administering benefits programs in connection with a claim for benefits filed by an employee;
</p><p>(6) 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;
</p><p>(7) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a subpoena or in connection with
criminal law proceedings; and
</p><p>(8) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, or in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by the name or other assigned identifier of the individual to whom they pertain.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are maintained in a secured room with access limited to Health Unit personnel whose duties require access. Medical
personnel under a contract agreement who have access to these records are required to maintain adequate safeguards with respect to such
records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with National Archives and Records Administration retention schedules. Paper and microform
records ready for disposal are destroyed by shredding or maceration. Records in electronic media are electronically erased using accepted
techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Office of Management Services, Division of Security and Emergency Programs, Bureau of the Public Debt, 200
Third Street, Parkersburg, WV 26106-5312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>(1) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and
clearly indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii). An individual who requests access to a Health Service Program Record shall, at the time the request is made, designate in
writing the name of a responsible representative who will be willing to review the record and inform the subject individual of its content.
This does not permit the representative to withhold the records from the requester. Rather, the representative is expected to provide access
to the records while explaining sensitive or complex information contained in the records.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's
identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of signature, address, and one other identifier such as a photocopy of an official document bearing the
individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Bureau of the Public Debt or the delegate of such officer. Appeals
must be mailed to or delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001
(or as otherwise provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the
initial denial of the requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records comes from the individual to whom it applies; laboratory reports and test results; Health Unit
physicians, nurses, and other medical technicians who have examined, tested, or treated the individual; the individual's personal physician;
other Federal employee health units; and other Federal agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .007</systemNumber>
<subsection type="systemName">Gifts to Reduce the Public Debt--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of the Public Debt, 200 Third Street, Parkersburg, WV.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Donors of gifts to reduce the public debt.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence; copies of checks, money orders, or other payments; copies of wills and other legal documents; and other material
related to gifts to reduce the public debt received on or after October 1, 1984, by the Bureau of the Public Debt either directly from the
donor, through the donor's Congressional or other representative, or, since January 14, 2010, from the Financial Management Service.
</p><p><b>Note:
</b></p><p>This system does not cover gifts to reduce the public debt received prior to October 1, 1984, when the Financial Management Service
handled this function. This system of records does not cover gifts sent to other agencies, such as gifts sent with one's Federal income tax
return to the Internal Revenue Service. This system does not include any other gifts to the United States.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 3113.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records document the receipt from donors of gifts to reduce the public debt. They provide a record of correspondence
acknowledging receipt, information concerning any legal matters, and a record of depositing the gift and accounting for it.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing
or implementing a statute, rule, regulation, order, or license;
</p><p>(2) A court, magistrate, or administrative tribunal in the course of presenting evidence including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a subpoena, or in connection with
criminal law proceedings;
</p><p>(3) A Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(4) Agents or contractors of the Department for the purpose of administering the public debt of the United States;
</p><p>(5) A legal representative of a deceased donor for the purpose of properly administering the estate of the deceased;
</p><p>(6) The Internal Revenue Service for the purpose of confirming whether a tax-deductible event has occurred;
</p><p>(7) The Department of Justice when seeking legal advice or when
</p><p>(a) The Department of the Treasury (agency) or
</p><p>(b) The Bureau of the Public Debt, or
</p><p>(c) Any employee of the agency in his or her official capacity, or
</p><p>(d) Any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or
</p><p>(e) The United States, where the agency determines that litigation is likely to affect the agency or the Bureau of the Public Debt, is a
party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to
be relevant and necessary to the litigation;
</p><p>(8) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been
compromised; (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 interests, 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 made to such
agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper, microform, or in electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by the name of the donor; amount of gift; type of gift; date of gift; social security number of donor, if
provided; control number; check number; State code; or other assigned identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are maintained in controlled access areas. Automated records are protected by restricted access procedures. Checks and
other payments are stored in locked safes with access limited to personnel whose duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records of gifts to reduce the public debt are maintained in accordance with National Archives and Records Administration retention
schedules. Paper and microform records ready for disposal are destroyed by shredding or maceration. Records in electronic media are
electronically erased using accepted techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(A) Customer Service Records: Assistant Commissioner, Office of Retail Securities, Division of Accounting and Risk Management, Bureau
of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312.
</p><p>(B) Accounting Records: Assistant Commissioner, Office of Public Debt Accounting, Bureau of the Public Debt, 200 Third Street, Parkersburg,
WV 26106-5312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>(1) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and
clearly indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's
identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Bureau of the Public Debt or the delegate of such officer. Appeals
must be mailed to or delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001
(or as otherwise provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the
initial denial of the requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system of records comes from the individual to whom it applies, executors, administrators, and other involved
persons.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .008</systemNumber>
<subsection type="systemName">Retail Treasury Securities Access Application--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bureau of the Public Debt locations at 200 Third Street, Parkersburg, WV; and 799 9th Street, NW., Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records cover those individuals who provide information to create an account in TreasuryDirect for the purchase of United States
Treasury securities through the Internet.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system collects and uses personal information to ensure the accurate identification of individuals who have an account in
TreasuryDirect or to provide personalized service to these individuals. The types of personal information presently include or potentially
could include the following:
</p><p>(a) Personal identifiers (name, including previous name used; social security number; date of birth; physical and electronic addresses;
telephone, fax, and pager numbers);
</p><p>(b) Authentication aids (personal identification number, password, account number, shared-secret identifier, digitized signature, or other
unique identifier).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 3101, <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Information in this system of records is collected and maintained to identify the individuals doing electronic business with the
Bureau of the Public Debt. The information is required for individuals who invest in Treasury securities by using the Internet to purchase
securities and conduct related transactions. The records are also used to improve service to those individuals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Appropriate Federal, State, local, or foreign agencies or other public authority responsible for investigating or prosecuting the
violations of, or for enforcing or implementing a statute, rule, regulation, order or license where the disclosing agency becomes aware of an
indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations, or in response to a court-ordered subpoena, or in
connection with criminal law proceedings where relevant or potentially relevant to a proceeding;
</p><p>(3) A Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(4) Agents or contractors who have been engaged to assist the Bureau of the Public Debt in the performance of a service related to this
system of records and who need to have access to the records in order to perform the activity;
</p><p>(5) The Department of Justice when seeking legal advice or when
</p><p>(a) The Department of the Treasury (agency) or
</p><p>(b) The Bureau of the Public Debt, or
</p><p>(c) Any employee of the agency in his or her official capacity, or
</p><p>(d) Any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or
</p><p>(e) The United States, where the agency determines that litigation is likely to affect the agency or the Bureau of the Public Debt, is a
party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to
be relevant and necessary to the litigation; and
</p><p>(6) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on electronic media, multiple client-server platforms that are backed up to magnetic tape, microform, or other
storage media, and/or hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, alias names, social security number, account number, or other unique identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The Bureau of the Public Debt has Internet firewall security via hardware and software configurations as well as specific monitoring
tools. Records are maintained in controlled access areas. Identification cards are verified to ensure that only authorized personnel are
present. Electronic records are protected by restricted access procedures, including the use of passwords, sign-on protocols, and user
authentication that are periodically changed. Only employees whose official duties require access are allowed to view, administer, and control
these records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are disposed of at varying intervals in accordance with records retention schedules reviewed and approved by the National
Archives and Records Administration (NARA). Paper and microform records ready for disposal are destroyed by shredding or maceration. Records
in electronic media are electronically erased using accepted techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Office of Retail Securities, Bureau of the Public Debt, 200 3rd Street, Parkersburg, WV 26106-5312
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals may submit their requests for determination of whether the system contains records about them or for access to records as
provided under "Records Access Procedures." Requests must be made in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests that do not comply fully with these procedures may result in noncompliance with the request, but will be answered to the
extent possible.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>(1) A request for access to records must be in writing, signed by the individual concerned, identify the system of records, and
clearly indicate that the request is made pursuant to the Privacy Act of 1974. If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing the individual's photograph or by the presentation of two items of
identification without a photograph, but showing a name and signature. If the individual is seeking access by mail, identity may be
established by presenting a signature, address, and one other identifier such as a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must state whether the requester wishes to be notified that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Initial amendment requests:
</p><p>(1) A request by an individual contesting the content of records or for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a single official document bearing the individual's photograph or by the
presentation of two items of identification without a photograph, but instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's
identity.
</p><p>(2) Submit requests to the appropriate office as shown under "System Manager and Address" above.
</p><p>(3) The request must specify:
</p><p>(a) The dates of records in question,
</p><p>(b) The specific records alleged to be incorrect,
</p><p>(c) The correction requested, and
</p><p>(d) The reasons.
</p><p>(4) The request must include available evidence in support of the request.
</p><p>Appeals from an initial denial of a request for correction of records:
</p><p>(1) An appeal from an initial denial of a request for correction of records must be in writing, signed by the individual involved, identify
the system of records, and clearly state that it is made pursuant to the Privacy Act of 1974. If the individual is making an appeal in person,
identity may be established by the presentation of a single official document bearing the individual's photograph or by the presentation of
two items of identification without a photograph, but showing a name and signature. If the individual is making an appeal by mail, identity
may be established by the presentation of a signature, address, and one other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau of the Public Debt reserves the right to require additional verification of an individual's identity.
</p><p>(2) Appellate determinations will be made by the Commissioner of the Bureau of the Public Debt or the delegate of such officer. Appeals
must be mailed to or delivered personally to: Chief Counsel, Bureau of the Public Debt, 799 9th Street, NW., Washington, DC 20239-0001
(or as otherwise provided for in the applicable appendix to 31 CFR part 1, subpart C), within 35 days of the individual's receipt of the
initial denial of the requested correction.
</p><p>(3) An appeal must be marked "Privacy Act Amendment Appeal" and specify:
</p><p>(a) The records to which the appeal relates,
</p><p>(b) The date of the initial request made for correction of the records, and
</p><p>(c) The date the initial denial of the request for correction was received.
</p><p>(4) An appeal must also specify the reasons for the requester's disagreement with the initial denial of correction and must include any
applicable supporting evidence.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by the individual covered by this system of records or, with their authorization, is derived from other
systems of records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/BPD .009</systemNumber>
<subsection type="systemName">U.S. Treasury Securities Fraud Information System--Treasury/BPD.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system of records is located at the Bureau of the Public Debt in Parkersburg, WV and Washington, DC as well as the Federal Reserve
Banks of Philadelphia, Pittsburgh, and Minneapolis. This system also covers the Bureau of the Public Debt records that are maintained by
contractor(s) under agreement. The system manager(s) maintain(s) the system location of these records. The address(es) of the contractor(s)
may be obtained from the system manager(s) below.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals under investigation or who make inquiries or report fraudulent or suspicious activities related to Treasury securities and
other U.S. obligations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The types of personal information collected/used by this system are necessary to ensure the accurate identification of individuals who
report or make fraudulent transactions involving Treasury securities and other U.S. obligations. The types of personal information potentially
could include the following:
</p><p>(1) Personal identifiers (name, including previous name used, and aliases; social security number; tax identification number; physical and
electronic addresses; telephone, fax, and pager numbers); and
</p><p>(2) Authentication aids (personal identification number, password, account number, credit card number, shared-secret identifier, digitized
signature, or other unique identifier).
</p><p>Supporting records may contain correspondence between the Bureau of the Public Debt and the entity or individual submitting a complaint or
inquiry, correspondence between the Bureau of the Public Debt and the Department of the Treasury, or correspondence between the Bureau of the
Public Debt and law enforcement, regulatory bodies, or other third parties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 321(a)(5), 31 U.S.C. 333, 31 U.S.C. 3101, <i>et seq.</i> 31 U.S.C. 5318, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Records in this system are used to: (1) Identify and monitor fraudulent and suspicious activity related to Treasury securities and
other U.S. obligations; (2) ensure that the Bureau of the Public Debt provides a timely and appropriate notification of a possible violation
of law to law enforcement and regulatory agencies; (3) protect the Government and individuals from fraud and loss; (4) prevent the misuse of
Treasury names and symbols on fraudulent instruments; and, (5) compile summary reports that conform with the spirit of the USA Patriot Act's
anti-terrorism financing provisions and the Bank Secrecy Act's anti-money laundering provisions, and submit the reports to the Financial
Crimes Enforcement Network (FinCEN).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be disclosed to:
</p><p>(1) Congressional offices in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(2) Appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing
or implementing a statute, rule, regulation, order, or license;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings or in
response to a subpoena;
</p><p>(4) Third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
</p><p>(5) Agents or contractors who have been engaged to assist the Bureau of the Public Debt in the performance of a service related to this
system of records and who need to have access to the records in order to perform the activity;
</p><p>(6) The Department of Justice when seeking legal advice or when
</p><p>(a) The Department of the Treasury (agency) or
</p><p>(b) The Bureau of the Public Debt, or
</p><p>(c) Any employee of the agency in his or her official capacity, or
</p><p>(d) Any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or
</p><p>(e) The United States, where the agency determines that litigation is likely to affect the agency or the Bureau of the Public Debt, is a
party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to
be relevant and necessary to the litigation; and
</p><p>(7) To appropriate agencies, entities, and persons when (a) The Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on electronic media, multiple client-server platforms that are backed-up to magnetic tape or other storage
media, and/or hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by (name, alias name, social security number, tax identification number, account number, or other unique
identifier).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are maintained in controlled access areas. Identification cards are verified to ensure that only authorized personnel
are present. Electronic records are protected by restricted access procedures, including the use of passwords and sign-on protocols that are
periodically changed. Only employees whose official duties require access are allowed to view, administer, and control these records. Copies
of records maintained on computer have the same limited access as paper records.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with National Archives and Records Administration retention schedules. Paper and microform
records ready for disposal are destroyed by shredding or maceration. Records in electronic media are electronically erased using accepted
techniques.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Assistant Commissioner, Office of Information Technology, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106
-5312.
</p><p>(2) Assistant Commissioner, Office of Retail Securities, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312
</p><p>(3) Office of the Chief Counsel, Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-5312
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system of records is exempt from the Privacy Act provision on notification procedures. (See "Exemptions Claimed for the
System," below.) An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit
a written request to the Disclosure Officer. See 31 CFR part 1, Subpart C, appendix I.
</p><p>Identification Requirements:
</p><p>An individual seeking notification through the mail must establish his or her identity by providing a signature and an address as well
as one other identifier bearing the individual's name and signature (such as a photocopy of a driver's license or other official document). An
individual seeking notification in person must establish his or her identity by providing proof in the form of a single official document
bearing a photograph (such as a passport or identification badge) or two items of identification that bear both a name and signature.
Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual's identity, and to the
fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses. Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system of records is exempt from the Privacy Act provision on record access procedures. (See "Notification Procedure"
above.)
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>This system of records is exempt from the Privacy Act provision on contesting record procedures. (See "Notification Procedure
" above.)
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records is exempt from the Privacy Act provision that requires that record source categories be reported. (See "
Exemptions Claimed for the System," below.)
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)
(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FinCEN .001</systemNumber>
<subsection type="systemName">FinCEN Data Base--Treasury/FinCEN
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The Financial Crimes Enforcement Network, P. O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Individuals who relate in any manner to official FinCEN efforts in support of the enforcement of the Bank Secrecy Act and money-
laundering and other financial crimes. Such individuals may include, but are not limited to, subjects of investigations and prosecutions;
suspects in investigations; victims of such crimes; witnesses in such investigations and prosecutions; and close relatives and associates of
any of these individuals who may be relevant to an investigation; (2) current and former FinCEN personnel whom FinCEN considers relevant to an
investigation or inquiry; and (3) individuals who are the subject of unsolicited information possibly relevant to violations of law or
regulations, who offer unsolicited information relating to such violations, who request assistance from FinCEN, and who make inquiries of
FinCEN.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Every possible type of information that contributes to effective law enforcement may be maintained in this system of records,
including, but not limited to, subject files on individuals, corporations, and other legal entities; information provided pursuant to the Bank
Secrecy Act; information gathered pursuant to search warrants; statements of witnesses; information relating to past queries of the FinCEN
Data Base; criminal referral information; complaint information; identifying information regarding witnesses, relatives, and associates;
investigative reports; and intelligence reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 31 U.S.C. 5311 et seq.; 31 CFR part 103; Treasury Department Order No. 105-08 (April 25, 1990).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to support FinCEN's efforts to provide a government-wide, multi-source intelligence and
analytical network to support the detection, investigation, and prosecution of domestic and international money laundering and other financial
crimes, and other domestic and international criminal, tax, and regulatory matters.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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.
</p><p>Records in this system may be used to:
</p><p>(1) Provide responses to queries from Federal, State, territorial, and local law enforcement and regulatory agencies, both foreign and
domestic, regarding Bank Secrecy Act and other financial crime enforcement;
</p><p>(2) Furnish information to other Federal, State, local, territorial, and foreign law enforcement and regulatory agencies responsible for
investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, where FinCEN
becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(3) Furnish information to the Department of Defense, to support its role in the detection and monitoring of aerial and maritime transit of
illegal drugs into the United States and any other role in support of law enforcement that the law may mandate;
</p><p>(4) Respond to queries from INTERPOL in accordance with agreed coordination procedures between FinCEN and INTERPOL;
</p><p>(5) Furnish information to individuals and organizations, in the course of enforcement efforts, to the extent necessary to elicit
information pertinent to financial law enforcement;
</p><p>(6) Furnish information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in
connection with civil or criminal law proceedings;
</p><p>(7) Furnish information to the news media in accordance with the guidelines contained in 28 CFR 50.2, which relate to civil and criminal
proceedings; and
</p><p>(8) Furnish information to the Department of State and the Intelligence Community to further those agencies' efforts with respect to
national security and the foreign aspects of international narcotics trafficking.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Magnetic media and hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, address, or unique identifying number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All FinCEN personnel accessing the system will have successfully passed a background investigation. FinCEN will furnish information
from the system of records to approved personnel only on a "need to know" basis using passwords and access control. Procedural and physical
safeguards to be utilized include the logging of all queries and periodic review of such query logs; compartmentalization of information to
restrict access to authorized personnel; physical protection of sensitive hard copy information; encryption of electronic communications;
intruder alarms; and 24-hour building guards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FinCEN personnel will review records each time a record is retrieved and on a periodic basis to see whether it should be retained or
modified. FinCEN will dispose of all records after twenty years. Records will be disposed of by erasure of magnetic media and by shredding
and/or burning of hard copy documents.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Financial Crimes Enforcement Network, P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2), this system of records may not be accessed for purposes of determining if the
system contains a record pertaining to a particular individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>See "Categories of individuals covered by the system" above. The system contains material for which sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)
(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FinCEN .002</systemNumber>
<subsection type="systemName">Suspicious Activity Report System (the "SAR System")--Treasury/FinCEN.
</subsection><subsection type="systemLocation"><xhtmlContent><p>The Internal Revenue Service Detroit Computing Center (DCC), 985 Michigan Avenue, Detroit, Michigan 48226-1129 and the Financial
Crimes Enforcement Network (FinCEN), P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The SAR System contains information about:
</p><p>(1) Individuals or entities that are known perpetrators or suspected perpetrators of a known or suspected federal criminal violation, or
pattern of criminal violations, committed or attempted against a financial institution, or participants in a transaction or transactions
conducted through the financial institution, that has been reported by the financial institution, either voluntarily or because such a report
is required under the rules of FinCEN, one or more of the Federal Supervisory Agencies (the Board of Governors of the Federal Reserve System
(the Board), the Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC), the Office of Thrift
Supervision (OTS), and the National Credit Union Administration (NCUA) (collectively, the "Federal Supervisory Agencies")), or both.
</p><p>(2) Individuals or entities that are participants in transactions, conducted or attempted by, at, or through a financial institution, that
have been reported because the institution knows, suspects, or has reason to suspect that: (a) The transaction involves funds derived from
illegal activities, the transaction is intended or conducted to hide or disguise funds or assets derived from illegal activities as part of a
plan to violate or evade any law or regulation or to avoid any transaction reporting requirement under Federal law; (b) the transaction is
designed to evade any regulations promulgated under the Bank Secrecy Act, Pub. L. 91-508, as amended, codified at 12 U.S.C. 1829b, 12
U.S.C. 1951-1959, and 31 U.S.C. 5311-5331; or (c) the transaction has no business or apparent lawful purpose or is not the sort in
which the particular customer would normally be expected to engage, and the financial institution knows of no reasonable explanation for the
transaction after examining the available facts, including the background and possible purpose of the transaction;
</p><p>(3) Individuals who are directors, officers, employees, agents, or otherwise affiliated with a financial institution;
</p><p>(4) Individuals or entities that are actual or potential victims of a criminal violation or series of violations;
</p><p>(5) Individuals who are named as possible witnesses in connection with matters arising from any such report;
</p><p>(6) Individuals or entities named as preparers of any such report;
</p><p>(7) Individuals or entities named as persons to be contacted for assistance by government agencies in connection with any such report;
</p><p>(8) Individuals or entities who have or might have information about individuals or criminal violations described above;
</p><p>(9) Individuals or entities involved in evaluating or investigating any matters arising from any such report;
</p><p>(10) Individuals, entities and organizations suspected of engaging in terrorist and other criminal activities and any person who may be
affiliated with such individuals, entities or organizations;
</p><p>(11) Individuals or entities named by financial institutions as persons to be contacted for further assistance by government agencies in
connection with individuals, entities or organizations suspected of engaging in terrorist or other criminal activities; and
</p><p>(12) Individuals or entities involved in evaluating or investigating any matters in connection with individuals, entities or organizations
suspected of engaging in terrorist or other criminal activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The SAR System contains information reported to FinCEN by a financial institution (including, but not limited to, a depository
institution, a money services business, a broker-dealer in securities, and a casino) on a Suspicious Activity Report ("SAR") that is filed
voluntarily or as required under the authority of FinCEN, one or more of the Federal Supervisory Agencies, or under any other authority. The
SAR System also may contain information that may relate to terrorist or other criminal activity that is reported voluntarily to FinCEN by any
individual or entity through any other means, including through FinCEN's Financial Institutions Hotline. The SAR System also may contain
information relating to individuals, entities, and organizations reasonably suspected based on credible evidence of engaging in terrorist or
other criminal activities, including information provided to FinCEN from financial institutions regarding such individuals, entities, and
organizations. SARs contain information about the categories of persons or entities specified in "Categories of Individuals Covered by the
system." The SAR System may also contain records pertaining to criminal prosecutions, civil actions, enforcement proceedings, and
investigations resulting from or relating to SARs. Additionally, it will contain records pertaining to criminal prosecutions, civil actions,
enforcement proceedings, and investigations relating to institutions required to file reports or under the supervision of one or more of the
Federal Supervisory agencies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The system is established and maintained in accordance with 31 U.S.C. 5318(g); 31 CFR Part 103; 31 U.S.C. 321; and 31 U.S.C. 310.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The requirements of FinCEN and the Federal Supervisory Agencies create an integrated process for reporting suspicious activity and
known or suspected crimes by, at, or through depository institutions and certain of their affiliates. The process is based on a single uniform
SAR filed with FinCEN.
</p><p>The SAR System has been created, as a key part of this integrated reporting process, to permit coordinated and enhanced analysis and
tracking of such information, and rapid dissemination of SAR information to appropriate law enforcement and supervisory agencies. The
provisions of 31 U.S.C. 5318(g)(4)(B) specifically require that the agency designated as repository for SARs refer those reports to any
appropriate law enforcement or supervisory agency.
</p><p>Data from the SAR System will be exchanged, retrieved, and disseminated, both manually and electronically among FinCEN, the Federal
Supervisory Agencies, appropriate Federal, State, and local law enforcement agencies, and State banking supervisory agencies. Agencies to
which information will be referred electronically, which in certain cases may involve electronic transfers of batch information, include the
Federal Supervisory Agencies, the Federal Bureau of Investigation (FBI), the Criminal Investigation Division of the Internal Revenue Service,
the United States Secret Service, the United States Customs and Border Protection, the Executive Office of the United States Attorneys and the
Offices of the 93 United States Attorneys, and State bank supervisory agencies and certain State law enforcement agencies, which have entered
into appropriate agreements with FinCEN. (The FBI and Secret Service may receive electronic transfers of batch information as forms are filed
to permit those agencies more efficiently to carry out their investigative responsibilities.) Organizations to which information is regularly
disseminated are referred to as SAR System Users. It is anticipated that information from the SAR System will also be disseminated to other
appropriate Federal, State, or local law enforcement organizations and regulatory agencies that enter into appropriate agreements with FinCEN.
In addition, information may be disseminated to non-United States financial regulatory and law enforcement agencies.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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.
</p><p>These records may be used to:
</p><p>(1) Provide information or records, electronically or manually, to SAR System Users relevant to the enforcement and supervisory programs
and operations of those Users;
</p><p>(2) Provide SAR System Users and their Executive Departments with reports that indicate the number, amount, individual identity, and other
details concerning potential violations of the law that have been the subject of Suspicious Activity Reports;
</p><p>(3) Provide information or records to any appropriate domestic or non-United States governmental agency or self-regulatory organization
charged with the responsibility of administering law or investigating or prosecuting violations of law, or charged with the responsibility of
enforcing or implementing a statute, rule, regulation, order, or policy, or charged with the responsibility of issuing a license, security
clearance, contract, grant, or benefit, when relevant to the responsibilities of these agencies or organizations;
</p><p>(4) Provide information or records, when appropriate, to international and foreign governmental authorities in accordance with law and
formal or informal international agreement;
</p><p>(5) Disclose on behalf of a SAR System User, the existence, but not necessarily the content, of information or records to a third party, in
cases where a SAR System User is a party or has a direct interest and where the SAR System User has concluded that such disclosure is
necessary;
</p><p>(6) Provide information or records to the Department of Justice, or in a proceeding before a court, adjudicative body, or other
administrative body before which the SAR System User is authorized to appear, when (a) the SAR System User, or any component thereof; or (b)
any employee of the SAR System User in his or her official capacity; or (c) any employee of the SAR System User, where the Department of
Justice or the SAR System User has agreed to represent the employee; or (d) the United States is a party to litigation or has an interest in
such litigation, when the SAR System User determines that litigation is likely to affect the SAR System User or any of its components and the
use of such records by the Department of Justice or the SAR System User is deemed by the SAR System User to be relevant and necessary to the
litigation, provided, however, that in each case it has been determined that the disclosure is compatible with the purpose for which the
records were collected;
</p><p>(7) Disclose information or records to individuals or entities to the extent necessary to elicit information pertinent to the
investigation, prosecution, or enforcement of civil or criminal statutes, rules, regulations, or orders;
</p><p>(8) In accordance with Executive Order 12968 (August 2, 1995), provide information or records to any appropriate government authority in
connection with investigations and reinvestigations to determine eligibility for access to classified information to the extent relevant for
matters that are by statute permissible subjects of inquiry;
</p><p>(9) Provide, when appropriate, information or records to a bar association, or other trade or professional organization performing similar
functions, for possible disciplinary action;
</p><p>(10) Provide information or records to the Department of State and to the United States Intelligence Community, within the meaning of
Executive Order 12333 (December 4, 1981) to further those agencies' efforts with respect to national security and international narcotics
trafficking;
</p><p>(11) Furnish analytic and statistical reports to government agencies and the public providing information about trends and patterns derived
from information contained on Suspicious Activity Reports, in a form in which individual identities are not revealed;
</p><p>(12) Disclose information or records to any person with whom FinCEN, the DCC, or a SAR System User contracts to provide consulting, data
processing, clerical, or secretarial functions relating to the official programs and operations of FinCEN, DCC, or the SAR System User; and
</p><p>(13) Disclose information to United States intelligence agencies in the conduct of intelligence or counterintelligence activities,
including analysis, to protect against international terrorism.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in magnetic media and on hard paper copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data in the SAR System may be retrieved by sectionalized data fields (i.e., name of financial institution or holding company, type of
suspected violation, individual suspect name, witness name, and name of individual authorized to discuss the referral with government
officials) or by the use of search and selection criteria.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The system is located in a guarded building that has restricted access. Access to the computer facilities and any paper records is
subject to additional physical safeguards that restrict access. Access to any electronic records in the system is restricted by means of
passwords and non-transferable identifiers issued to authorized SAR System Users. The system complies with all applicable security
requirements of the Department of the Treasury.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be updated periodically to reflect changes, and will be maintained in electronic form as long as needed
for the purpose for which the information was collected. Records will then be disposed of in accordance with applicable law.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Financial Crimes Enforcement Network, P.O. Box 39, Vienna, VA 22183-0039.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system is exempt from notification requirements, record access requirements, and requirements that an individual be permitted to
contest its contents, pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system may be provided by or obtained from: individuals; financial institutions and certain of their affiliates;
Federal Supervisory Agencies; State financial institution supervisory agencies; domestic or foreign governmental agencies; foreign or
international organizations; and commercial sources. Pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2), this system is exempt from
the requirement that the Record source categories be disclosed.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FinCEN .003</systemNumber>
<subsection type="systemName">Bank Secrecy Act Reports System--Treasury/FinCEN
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Electronic Records: Currency and Banking Retrieval System, Internal Revenue Service Detroit Computing Center, 985 Michigan Avenue,
Detroit, Michigan, 48226-1129 and Treasury Enforcement Communications System, United States Customs and Border Protection, Newington,
7681 Boston Boulevard, Springfield, Virginia, 22153-3140. Paper Records: FinCEN Form 105--U.S. Customs and Border Protection,
Newington, VA. All other forms, including, but not limited to, FinCEN Form 104, TDF 90.22-1 and Form 8362--Internal Revenue
Service, Detroit, MI.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons identified in reports filed under the Bank Secrecy Act and its implementing regulations (31 CFR part 103) including, but not
limited to, reports made on FinCEN Form 104 (Currency Transaction Report), FinCEN Form 103 (Currency Transaction Report by Casinos), forms
filed by casinos located in the State of Nevada in lieu of Form 8362, FinCEN Form 8300 (Report of Cash Payments Over $10,000 Received in a
Trade or Business), FinCEN Form 105 (Report of International Transportation of Currency or Monetary Instruments), Treasury Form TDF 90-
22.1 (Report of Foreign Bank and Financial Accounts), Treasury Form TDF 90-22.53 (Designation of Exempt Person), and FinCEN Form 107
(Registration of Money Services Businesses). (This system of records does not cover persons identified in Suspicious Activity Reports, TDF 90
-22.47. Those reports are included in another system of records, "Suspicious Activity Reporting System--Treasury/FinCEN .002.")
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information or reports filed under the Bank Secrecy Act and its implementing regulations (31 CFR part 103) including, but not limited
to, reports made on FinCEN Form 104 (Currency Transaction Report), FinCEN Form 103 (Currency Transaction Report by Casinos), forms filed by
casinos located in the State of Nevada in lieu of Form 8362, FinCEN Form 8300 (Report of Cash Payments Over $10,000 Received in a Trade or
Business), FinCEN Form 105 (Report of International Transportation of Currency or Monetary Instruments), Treasury Form TDF 90-22.1
(Report of Foreign Bank and Financial Accounts), Treasury Form TDF 90-22.53 (Designation of Exempt Person), and FinCEN Form 107
(Registration of Money Services Businesses). (This system does not include Suspicious Activity Reports, TDF 90-22.47, required under 31
CFR part 103. Those reports are included in another system of records, "Suspicious Activity Reporting System--Treasury/FinCEN .002").
These reports include names of individuals and other entities filing the reports, names of the owners of monetary instruments, the amounts and
kinds of currency or other monetary instruments transported, reported, or in foreign banking accounts, account numbers, addresses, dates of
birth, and other personal identifiers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5331; 5 U.S.C. 301; 31 CFR part 103; 31 U.S.C. 310.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Bank Secrecy Act, codified at 12 U.S.C. 1829b and 1951-1959 and 31 U.S.C. 5311-5331 authorizes the Secretary of the
Treasury to issue regulations requiring records and reports that are determined to have a high degree of usefulness in criminal, tax, and
regulatory matters. The Secretary's authority has been implemented through regulations promulgated at 31 CFR part 103. The purpose of this
system of records is to maintain the information contained on the reports required under these regulations. This information is disseminated,
both electronically and manually, in accordance with strict safeguards, to appropriate Federal, State, local, and foreign criminal law
enforcement and regulatory personnel in the official performance of their duties. The information is used in a wide range of criminal
investigations, including, but not limited to, investigation of international and domestic money laundering, tax evasion, fraud, and other
financial crimes, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international
terrorism.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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.
</p><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to Federal, State, or local agencies, maintaining civil, criminal, or other relevant information, which has
requested information relevant to or necessary to the requesting agency's hiring or retention of an individual, or issuance of a security
clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose to appropriate Federal, State, or local agencies engaged in the identification, investigation, and prosecution of violations
or potential violations of criminal statutes, information, in a computerized format, to identify or to permit the identification of patterns
of suspected criminal activity that fall within the jurisdiction of the agency requesting the information;
</p><p>(4) Provide information or records to any appropriate domestic or non-United States governmental agency or self-regulatory organization
charged with the responsibility of administering law or investigating or prosecuting violations of law, or charged with the responsibility of
enforcing or implementing a statute, rule, regulation, order, or policy, when relevant to the responsibilities of these agencies or
organizations;
</p><p>(5) Disclose relevant information on individuals to authorized Federal and State agencies through computer matching in order to help
eliminate waste, fraud, and abuse in Government programs and identify individuals who are potentially in violation of civil law, criminal law,
or regulation;
</p><p>(6) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in
connection with criminal law proceedings;
</p><p>(7) Provide information to the news media, in accordance with guidelines contained in 28 CFR 50.2, that relates to an agency's functions
relating to civil and criminal proceedings;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(9) Provide information or records to United States intelligence agencies in the conduct of intelligence or counterintelligence activities,
including analysis, to protect against international terrorism; and
</p><p>(10) Disclose to the public information about Money Services Businesses that have registered with FinCEN pursuant to 31 CFR 103.41, other
than information that consists of trade secrets, or that is privileged and confidential commercial or financial information.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in magnetic media and on hard paper copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and other unique identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All persons with electronic access to records in the system will have successfully completed a background investigation. All State and
local agency personnel, and all Federal personnel outside the U. S. Department of the Treasury with electronic access will have successfully
completed appropriate training. Passwords and access controls will be utilized. Signed agreements outlining usage and dissemination rules are
required of all non-Treasury agencies before electronic access is authorized. Procedural and physical safeguards include: The logging of all
queries and periodic review of such query logs; compartmentalization of information to restrict access to authorized personnel; physical
protection of sensitive hard copy documents and magnetic tapes; encryption of electronic communications; intruder alarms and other security
devices; and 24-hour building guards. The system complies with all applicable security requirements of the Department of the Treasury.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system will be updated periodically to reflect changes, and will be maintained in electronic form as long as needed
for the purposes for which the information was collected. Records will be disposed of in accordance with applicable law.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>General Policy: Deputy Director, Financial Crimes Enforcement Network, P.O. Box 39, Vienna, Virginia 22183-0039. Computer
Systems Maintenance and Administration: Director, IRS Computing Center, 985 Michigan Avenue, Detroit, Michigan, 48226-1129 and Director,
Office of Information Technology, U.S. Customs and Border Protection, Newington, 7681 Boston Boulevard, Springfield, Virginia, 22153-
3140.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system is exempt from notification requirements, record access requirements, and requirements that an individual be permitted to
contest its contents, pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2), this system is exempt from the requirement that the Record source
categories be disclosed.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .001</systemNumber>
<subsection type="systemName">Administrative Records--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>FMS, U.S. Department of the Treasury, Prince George's Metro Center II, 3700 East-West Highway, Room 144, Hyattsville, MD 20782. Also,
please see Appendix I.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>FMS personnel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Motor Vehicle Accident Reports. (2) Parking Permits. (3) Distribution lists of individuals requesting various Treasury
publications. (4) Treasury Credentials.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose to GSA for driver's permits, parking permits, accident reports, and credentials;
</p><p>(2) Disclose to GPO or FMS contractors for servicing the public on Treasury publications and managing subscriptions to the appropriate
publications;
</p><p>(3) Disclose to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name and Treasury publication.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Locked containers.
</p><p>Administrative Procedure--names are only given to those who control the listing.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>(1) Distribution List [printed materials]--destroyed after appropriate revision of mailing list or after three months, whichever
is sooner.
</p><p>(2) Motor Vehicle Accident Reports--destroyed six years after the end of the fiscal year during which the records were created.
</p><p>(3) Treasury Credentials--destroyed in accordance with National Archives and Records Administration (NARA) General Records Schedule
11, item 4.
</p><p>(4) Parking Permits--destroyed two years after the end of the fiscal year during which the records were created.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Facilities Management Division, FMS, U.S. Department of the Treasury, Prince George's Metro Center II, 3700 East-West
Highway, Room 144, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be sent to the Disclosure Officer, FMS, U.S. Department of the Treasury, Liberty Center
Building, 401 14th Street SW., Washington, DC 20227. All individuals making inquiries should provide with their request as much descriptive
matter as is possible to identify the particular record desired. The system manager will advise as to whether the Service maintains the record
requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR Part 1, subpart C concerning requirements of this Department with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Financial Management Service personnel.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p><p><b>Appendix I to FMS .001
</b></p><p>Motor Vehicle Accident Reports: Prince George's Metro Center II, 3700 East-West Highway, Room 127, Hyattsville, MD 20782.
</p><p>Parking Permits: 1. Prince George's Metro Center II, 3700 East-West Highway, Room 127, Hyattsville, MD 20782.
</p><p>2. Liberty Center Building, 401 14th Street SW., Room 118, Washington, DC 20227.
 Distribution List: Prince George's Metro Center II, 3700 East-West Highway, Hyattsville, MD 20782.
</p><p>Treasury Credentials: Prince George's Metro Center II, 3700 East-West Highway, Room 158-B, Hyattsville, MD 20782.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .002</systemNumber>
<subsection type="systemName">Payment Records--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The FMS, U.S. Department of the Treasury, Washington, DC 20227. Records are also located throughout the United States at FMS
operations centers, Federal Records Centers, Federal Reserve Banks acting as Treasury's fiscal agents, and financial institutions acting as
Treasury's financial agents. Additional addresses may be obtained from the system managers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are the intended or actual recipients of payments disbursed by the United States Government.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Payment records showing a payee's name; Social Security number, employer identification number, or other agency identification or
account number; physical and/or electronic mailing address; telephone numbers; payment amount; date of issuance; trace number or other payment
identification number, such as Treasury check number and symbol; financial institution information, including the routing number of his or her
financial institution and the payee's account number at the financial institution; and vendor contract and/or purchase order number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 3325, and 31 U.S.C. 3321 note; Executive Order 6166, dated June 10, 1933.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose to the banking industry for payment verification;
</p><p>(2) Disclose to Federal investigative agencies, Departments and agencies for whom payments are made, and payees;
</p><p>(3) Disclose pertinent information to appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(4) Disclose information to a Federal, State, or local agency maintaining civil, criminal or other relevant enforcement information or
other pertinent information, which has requested information relevant or necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(5) Disclose information to a court, magistrate, mediator, or administrative tribunal in the course of presenting evidence; to counsel,
experts, or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings;
</p><p>(6) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(7) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(8) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings;
</p><p>(9) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114;
</p><p>(10) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(11) Disclose information concerning delinquent debtors to Federal creditor agencies, their employees, or their agents for the purpose of
facilitating or conducting Federal administrative offset, Federal tax refund offset, Federal salary offset, or for any other authorized debt
collection purpose;
</p><p>(12) Disclose information to any State, Territory or Commonwealth of the United States, or the District of Columbia to assist in the
collection of State, Commonwealth, Territory or District of Columbia claims pursuant to a reciprocal agreement between FMS and the State,
Commonwealth, Territory or the District of Columbia, or pursuant to Federal law that authorizes the offset of Federal payments to collect
delinquent obligations owed to the State, Commonwealth, Territory, or the District of Columbia;
</p><p>(13) Disclose to the Defense Manpower Data Center and the United States Postal Service and other Federal agencies through authorized
computer matching programs for the purpose of identifying and locating individuals who are delinquent in their repayment of debts owed to the
Department or other Federal agencies in order to collect those debts through salary offset and administrative offset, or by the use of other
debt collection tools;
</p><p>(14) Disclose information to a contractor of the FMS for the purpose of performing routine payment processing services, subject to the same
limitations applicable to FMS officers and employees under the Privacy Act;
</p><p>(15) Disclose information to a fiscal or financial agent of the FMS, its employees, agents, and contractors, or to a contractor of the FMS,
for the purpose of ensuring the efficient administration of payment processing services, subject to the same or equivalent limitations
applicable to FMS officers and employees under the Privacy Act;
</p><p>(16) Disclose information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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; and
</p><p>(17) Disclose information to (a) a Federal or state agency, its employees, agents (including contractors of its agents) or contractors; or,
(b) a fiscal or financial agent designated by the FMS or other Department of the Treasury bureau or office, including employees, agents or
contractors of such agent; or, (c) a contractor of the FMS, for the purpose of identifying, preventing, or recouping improper payments to an
applicant for, or recipient of, Federal funds, including funds disbursed by a state in a state-administered, Federally funded program;
disclosure may be made to conduct computerized comparisons for this purpose.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name, social security number, employer identification number, agency-supplied identifier, date of payment,
or trace number or other payment identifying information, such as check number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All official access to the records is on a need-to-know basis, as authorized by a business line manager at FMS, or a fiscal or
financial agent of the United States, consistent with agent authority granted by Treasury or FMS. Procedural and physical safeguards, such as
personal accountability, audit logs, and specialized communications security, are utilized. Each user of computer systems containing records
has individual passwords (as opposed to group passwords) or other unique, secure access authentication credentials for which he or she is
responsible. Thus, a security manager can identify access to the records by user. Access to computerized records is limited, through use of
access codes, encryption techniques, and/or other internal mechanisms, to those whose official duties require access. Storage facilities are
secured by various means such as security guards, badge access, and locked doors with key entry.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>FMS has submitted a records schedule to the NARA with a proposed retention period of seven years. Until NARA approves the proposed
records schedule, disposal is not authorized.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Disbursing Officer, FMS, 401 14th Street SW., Washington, DC 20227.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be addressed to the Disclosure Officer, FMS, 401 14th Street SW., Washington, DC 20227.
All individuals making inquiries should provide with their request as much descriptive matter as is possible to identify the particular record
desired. The system manager will advise as to whether the FMS maintains the record requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR, Part 1, subpart C concerning requirements of this Department with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is provided by Federal departments and agencies responsible for certifying, disbursing, and collecting
Federal payments; Treasury or FMS-designated fiscal and financial agents of the United States that process payments and collections; and
commercial database vendors. Each of these record sources may include information obtained from individuals.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .003</systemNumber>
<subsection type="systemName">Claims and Inquiry Records on Treasury Checks, and International Claimants--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>FMS, U.S. Department of the Treasury, Prince George's Metro Center II, 3700 East-West Highway, Room 727D, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Payees and holders of Treasury checks, (2) Claimants awarded benefits under the War Claims Act and the International Claims
Settlement Act of 1949.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Treasury check claim file: Treasury check, claim of payee with name and address, settlement action taken.
</p><p>(2) Awards for claims for losses sustained by individuals.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; (1) For Treasury check claims--31 U.S.C. 71 with delegation of authority from Comptroller General of the United
States; (2) International claims--50 U.S.C. 2012; 22 U.S.C. 1627, 1641, 1642.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Information is routinely disclosed to endorsers concerning checks for which there is liability, Federal agencies, State and local
law enforcement agencies, General Accountability Office, Congressional offices and media assistance offices on behalf of payee claimants.
</p><p>(2) International Claims--Information in files is used by claimants (awardees) and their representatives, Foreign Claims Settlement
Commission, and Congressmen. These records and information in the records may be used to:
</p><p>(a) Disclose pertinent information to appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(b) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or
other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal of competent jurisdiction;
</p><p>(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings;
</p><p>(7) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation;
</p><p>(9) Disclose information to the public when attempts by FMS to locate the claimant have been unsuccessful. This information is limited to
the claimant's name and city and state of last known address, and the amount owed to the claimant. (This routine use does not apply to the
Iran Claims Program or the Holocaust Survivors Claims Program or other claims programs that statutorily prohibit disclosure of claimant
information); and
</p><p>(10) Disclose information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by:
</p><p>(1) Name of payee and check number and symbol;
</p><p>(2) Alpha cross-reference to case number; and
</p><p>(3) Name of claimant or alpha reference to claim number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>(1) Secured building.
</p><p>(2) Secured files in secured building.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposal of electronic Treasury check claims records is not authorized at this time.[1]Hardcopy international claims records
are scheduled to be destroyed 10 years after the end of the fiscal year in which the case was closed.
[1]FMS has submitted a records schedule to the NARA with a proposed retention period of seven years for most electronic
Treasury check claims records, and a proposed retention period of 20 years for certain trust-fund-related records. Until NARA approves the
proposed records schedule, disposal is not authorized.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Category 1: Director, Financial Processing Division, Prince George's Metro Center II, 3700 East-West Highway, Room 727D, Hyattsville,
MD 20782. Category 2: Director, Funds Management Division, Prince George's Metro Center II, 3700 East-West Highway, Room 620D, Hyattsville, MD
20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be addressed to the Disclosure Officer, Financial Management Service, 401 14th Street
SW., Washington, DC 20227. All individuals making inquiries should provide with their request as much descriptive matter as is possible to
identify the particular record desired. The system managers will advise as to whether FMS maintains the record requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should
write to: Disclosure Officer, Financial Management Service, U.S. Department of the Treasury, 401 14th Street SW., Washington, DC 20227.
</p><p>All individuals are urged to examine the rules of the U.S. Department of the Treasury published in 31 CFR Part 1, subpart C concerning
requirements of this Department with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Individual payees of Treasury checks, endorsers of Treasury checks, investigative agencies, contesting claimants.
</p><p>(2) Awards certified to Treasury for payment by Foreign Claims Settlement Commission.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .004</systemNumber>
<subsection type="systemName">Education and Training Records--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Washington, DC 20227; Financial Management Service, U.S. Department of the Treasury, 1990 K Street NW., Suite 300, Washington, DC
20006.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Government employees (including separated employees, in certain cases) and other individuals who access and apply for FMS training
services.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Personal Profile--Account Record;
</p><p>(2) Transcript Record;
</p><p>(3) Enrollment Status Record;
</p><p>(4) Job Skills Record;
</p><p>(5) Individual Development Plan Record;
</p><p>(6) Assessment Performance Results Record;
</p><p>(7) Managerial Approval/Disapproval Status Record;
</p><p>(8) Class Roster Record;
</p><p>(9) Certificate--Training Program Status Record;
</p><p>(10) Class Evaluation Record;
</p><p>(11) Payment Record;
</p><p>(12) Statistical Reports--retrievable by names: (a) Personnel Transcript Report, (b) Class Enrollment Report, (c) Class
Payment/Billing Report, (d) Status of Training Report, (e) Ad hoc Training Report, and (f) Other similar files or registers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321; 31 U.S.C. chapter 33; 31 U.S.C. 3720.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records about Government employees and other individuals who participate in FMS' education
and training program. The information contained in the records will assist FMS in properly tracking individual training and accurately account
for training revenue and expenditures generated through the FMS' training programs (for example, Learning Management System (LMS)). For FMS
personnel, the records contained in FMS' training records will also assist managers' active participation in their employees' learning plans.
FMS maintains the information necessary to ensure that FMS keeps accurate records related to classes, including a training participant's
training and enrollment status, class completion information, transcripts and certificates of accomplishment. FMS also maintains the records
to ensure that financial records pertaining to a training participant's payment for training fees are maintained accurately. FMS' training
records will serve to report receipts to the appropriate Federal agency (currently the Treasury Department's Bureau of Public Debt)
responsible for maintaining FMS' financial records for training. Finally, the information contained in the covered records will be used for
collateral purposes related to the training processes, such as the collection of statistical information on training programs, development of
computer systems, investigation of unauthorized or fraudulent activity related to submission of information to FMS for training program
purposes and the collection of debts arising out of such activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting the violation of, or for enforcing
or implementing, a statute, rule, regulation, order, or license;
</p><p>(2) A court, magistrate, or administrative tribunal, in the course of presenting evidence, including disclosures to opposing counsel or
witnesses, for the purpose of civil discovery, litigation, or settlement negotiations or in response to a subpoena, where relevant or
potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(4) Federal agencies, financial institutions, and contractors for the purpose of performing financial management services, including, but
not limited to, processing payments, investigating and rectifying possible erroneous reporting information, testing and enhancing related
computer systems, creating and reviewing statistics to improve the quality of services provided, or conducting debt collection services;
</p><p>(5) Federal agencies, their agents and contractors for the purposes of facilitating the collection of receipts, determining the acceptable
method of collection, the accounting of such receipts, and the implementation of programs related to the receipts being collected as well as
status of their personnel training, statistical training information;
</p><p>(6) Financial institutions, including banks and credit unions, and credit card companies for the purpose of collections and/or
investigating the accuracy of information required to complete transactions using electronic methods and for administrative purposes, such as
resolving questions about a transaction;
</p><p>(7) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114;
</p><p>(8) Foreign governments in accordance with formal or informal international agreements and if they maintain proper administrative or
financial controls related to the training activity;
</p><p>(9) Third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
</p><p>(10) Federal agencies, their agents and contractors, credit bureaus, and employers of individuals who owe delinquent debt when the debt
arises from the unauthorized use of electronic payment methods. The information will be used for the purpose of collecting such debt through
offset, administrative wage garnishment, referral to private collection agencies, litigation, reporting the debt to credit bureaus, or for any
other authorized debt collection purpose;
</p><p>(11) Representatives of the NARA who are conducting records management inspections under authority of 44 U.S.C. 2904 and 2906; and
</p><p>(12) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic training data can be retrieved by Class Name and/or Organization Name and Participant Name. Electronic financial data can
be retrieved by Name, Organization and payment information (Credit Card, Form 182, DD Form 1556, for example).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All hardcopy records are maintained in a secured building, secured room, and locked cabinets. FMS personnel access to training data is
primarily for the purpose of using the training services or administering the LMS. For technical and administrative purposes, non-FMS
personnel access is limited to contractors who are maintaining the LMS system in the normal performance of their duties and have completed
non-disclosure statements and undergone security background checks consistent with their access in accordance with the existing contract.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention periods vary by record type, up to a maximum of 7 years after last training activity.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Management, Human Resources Division, FMS, U.S. Department of the Treasury, Prince George's Metro Center II,
3700 East-West Highway, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be addressed to the Disclosure Officer, FMS, 401 14th Street SW., Washington, DC 20227.
All individuals making inquiries should provide with their request as much descriptive matter as is possible to identify the particular record
desired. The system manager will advise as to whether the Service maintains the record requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974, as amended, concerning procedures for gaining access to or
contesting records should write to the Disclosure Officer. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR Part 1, subpart C, and appendix G, concerning requirements of this Department with respect to the Privacy Act of
1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is provided by: The individual on whom the record is maintained; the individual's employer, other
governmental agency or educational institutions.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .005</systemNumber>
<subsection type="systemName">FMS Personnel Records--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>FMS, U.S. Department of the Treasury, 401 14th Street SW., Washington, DC 20227; FMS, U.S. Department of the Treasury, Prince George's
Metro Center II, 3700 East-West Highway, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All Government employees (including separated employees, in certain cases) and applicants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Locator Cards.
</p><p>(2) Incentive Awards Record.
</p><p>(3) Official Personnel Folder.
</p><p>(4) Personnel Roster.
</p><p>(5) Logs of SF-52's.
</p><p>(6) Correspondence File.
</p><p>(7) Position Listings.
</p><p>(8) Position Descriptions with Evaluation Statements.
</p><p>(9) Personnel Management Evaluation Survey Reports.
</p><p>(10) Request for Certification File.
</p><p>(11) Merit Promotion File.
</p><p>(12) Exit Interview File.
</p><p>(13) Performance File.
</p><p>(14) Statistical Reports--retrievable by names: (a) Personnel Status Report, (b) Ad Hoc Retiree Report, (c) Monthly EEO report, (d)
Direct Hire Authority Report, (e) Registers Worked File, (f) Statements of Employment and Financial Interest, and (g) Other similar files or
registers.
</p><p>(15) Training Course Nominations.
</p><p>(16) Evaluation of Training Program.
</p><p>(17) Tuition Assistance Files.
</p><p>(18) Senior Executive Service Development File.
</p><p>(19) Management Development File.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Executive Order 10561, dated September 13, 1954, Federal Personnel Manual, and Title 5 of U.S.C. Code.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose pertinent information to appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or
other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in
connection with criminal law proceedings;
</p><p>(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings;
</p><p>(7) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114;
</p><p>(8) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation; and
</p><p>(9) Disclose information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Hardcopy/Electronic.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by name; also in some instances by organization, then Social Security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Secured building, secured room, and locked cabinets. Non-FMS access is limited to investigators from OPM, etc., members of Fair
Employment staff and Union officials.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Delete/destroy in accordance with NARA General Records Schedule 1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Management Division, FMS, U.S. Department of the Treasury, Prince George's Metro Center II, 3700 East-West
Highway, Room 115-F, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be addressed to the Disclosure Officer, FMS, 401 14th Street SW., Washington, DC 20227.
All individuals making inquiries should provide with their request as much descriptive matter as is possible to identify the particular record
desired. The system manager will advise as to whether the Service maintains the record requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR Part 1, subpart C concerning requirements of this Department with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Applicant Personnel Action Forms (SF-50), SF-171 (completed by applicant), Payroll Actions References, Educational
Institutions, etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .006</systemNumber>
<subsection type="systemName">Direct Deposit Enrollment Records--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are located at the Federal Reserve Bank, acting in its capacity as Treasury's fiscal agent, 2200 North Pearl Street, Dallas,
TX 75201.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who enroll with the FMS to receive Federal payments from the Federal Government via an electronic funds transfer program
known as "Direct Deposit."
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records may contain identifying information, such as an individual's name(s), social security number, home address, home and work
telephone number, and personal email address (home and work), and date of birth; about an individual's bank account(s) and other types of
accounts to which payments are made, such as the individual's bank account number and the financial institution routing and transit number;
information about an individual's payments received from the United States, including the type of payment received and the Federal agency
responsible for authorizing the payment; information related to the cancellation or suspension of an individual's Direct Express(R) debit
card[2] by FMS's financial agent; and information provided by an individual regarding a hardship due to a remote geographic
location or about his or her inability to manage a bank account or prepaid debit card due to mental impairment.</p>
<p>[2] Direct Express(R) is a registered service mark of the FMS, U.S. Department of the Treasury. The Direct Express(R) debit
card is issued by FMS's financial agent, Comerica Bank.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321; 31 U.S.C. chapter 33; 31 U.S.C. 3332.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records about individuals who wish to enroll in the Direct Deposit program in order to
receive Federal payments directly to a bank account or other similar type of account via electronic funds transfer, rather than by paper
check.
The records are used to process Direct Deposit enrollment applications that may be received directly by FMS, its fiscal agents, and/or
contractors. The records are collected and maintained to guarantee that Direct Deposit enrollment applications are processed properly to
ensure that a recipient's Federal payment will be disbursed to the correct account. Without the appropriate information, FMS, its fiscal
agents and contractors, would not be able to process the Direct Deposit enrollment application as requested by the individual authorizing the
Direct Deposit.
The information will also be used for collateral purposes related to the processing of Direct Deposit enrollments, such as collection of
statistical information on operations, development of computer systems, investigation of unauthorized or fraudulent activity, and the
collection of debts arising out of such activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting the violation of, or for enforcing
or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of a potential violation of civil
or criminal law or regulation;
</p><p>(2) A court, magistrate, or administrative tribunal, in the course of presenting evidence, including disclosures to opposing counsel or
witnesses, for the purpose of civil discovery, litigation, or settlement negotiations or in response to a subpoena, where relevant or
potentially relevant to a proceeding, or in connection with criminal law proceedings;
</p><p>(3) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(4) Fiscal agents, financial agents, financial institutions, and contractors for the purposes of (a) Processing Direct Deposit enrollment
applications, including, but not limited to, processing Direct Deposit enrollment forms and implementing programs related to Direct Deposit;
investigating and rectifying possible erroneous information; creating and reviewing statistics to improve the quality of services provided;
conducting debt collection services for debts arising from Direct Deposit activities; or developing, testing and enhancing computer systems;
and (b) processing waivers from the requirement to receive payments electronically, including, but not limited to, processing automatic
waivers and applications for waivers, as well as implementing the waivers; investigating and rectifying possible erroneous information or
fraud; creating and reviewing statistics to improve the quality of services provided; or developing, testing and enhancing computer systems.
</p><p>(5) Federal agencies, their agents and contractors for the purposes of facilitating the processing of Direct Deposit enrollment
applications and the implementation of programs related to Direct Deposit;
</p><p>(6) Federal agencies, their agents and contractors, credit bureaus, and employers of individuals who owe delinquent debt for the purpose of
garnishing wages, only when the debt arises from the unauthorized or improper use of the Direct Deposit program. The information will be used
for the purpose of collecting such debt through offset, administrative wage garnishment, referral to private collection agencies, litigation,
reporting the debt to credit bureaus, or for any other authorized debt collection purpose;
</p><p>(7) Financial institutions, including banks and credit unions, for the purpose of disbursing payments and/or investigating the accuracy of
information required to complete transactions using Direct Deposit and for administrative purposes, such as resolving questions about a
transaction;
</p><p>(8) Representatives of the NARA who are conducting records management inspections under authority of 44 U.S.C. 2904 and 2906; and
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Debt information concerning a government claim against a debtor when the debt arises from the unauthorized use of Direct Deposit is
also furnished, in accordance with 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e), to consumer reporting agencies, as defined by the Fair Credit
Reporting Act, 5 U.S.C. 1681(f), to encourage repayment of a delinquent debt.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, social security number, telephone number, transaction identification number, or other alpha/numeric
identifying information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All official access to the system of records is on a need-to-know basis only, as authorized by a business line manager at FMS or FMS's
fiscal agent. Procedural and physical safeguards, such as personal accountability, audit logs, and specialized communications security, are
utilized. Each user of computer systems containing records has individual passwords (as opposed to group passwords) for which he or she is
responsible. Thus, a security manager can identify access to the records by user. Access to computerized records is limited, through use of
access codes, encryption techniques, and/or other internal mechanisms, to those whose official duties require access. Storage facilities are
secured by various means such as security guards, badge access, and locked doors with key entry.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Electronic and paper records for enrollments and associated transactions will be retained for six (6) months or as otherwise required
by statute or court order. Records in electronic media are electronically erased using industry-accepted techniques, and in accordance with
applicable FMS policies regarding the retention and disposal of fiscal agency records. Paper records are destroyed in accordance with fiscal
agency archive and disposal procedures and applicable FMS policies regarding the retention and disposal of fiscal agency records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Payment Management, EFT Strategy Division, Financial Management Service, 401 14th Street SW., Washington, DC
20227.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974, as amended, shall be addressed to the Disclosure Officer, Financial Management Service, 401
14th Street SW., Washington, DC 20227. All individuals making inquiries should provide with their request as much descriptive matter as is
possible to identify the particular record desired. The system manager will advise as to whether FMS maintains the records requested by the
individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974, as amended, concerning procedures for gaining access to or
contesting records should write to the Disclosure Officer. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR Part 1, subpart C, and appendix G, concerning requirements of this Department with respect to the Privacy Act of
1974, as amended.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is provided by the individual on whom the record is maintained (or by his or her authorized
representative), other persons who electronically authorize payments from the Federal government, Federal agencies responsible for authorizing
payments, Federal agencies responsible for disbursing payments, Treasury financial agents, and Treasury fiscal agents that process Direct
Deposit enrollment applications, and contractors.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .007</systemNumber>
<subsection type="systemName">Payroll and Pay Administration--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>FMS, U.S. Department of the Treasury, Prince George's Metro Center II, 3700 East-West Highway, Room 133 and 101A, Hyattsville, MD
20782; and Room 120, Liberty Center Building, Washington, DC 20227.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All employees of the Service and separated employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Official Payroll Folder (a) Levy and Garnishment Records. (b) SF-1192--Savings Bond Authorization. (c) SF-1199A
--Allotment of Pay to Savings Account. (d) Copies of SF-50--Notification of Personnel Action. (e) Withholding Tax Exemptions.
(f) Copy of Health Benefit Designation. (g) Copy of Life Insurance Forms. (h) Payroll Change Slips. (i) Combined Federal Campaign
Designations. (j) Copy of SF-1150. (2) Time and Attendance Reports (a) SF-71 Request for Leave. (b) Court Leave Documents. (c)
Request for Advancement of Leave. (3) Payroll Comprehensive Listing (a) Current Payment Information. (b) Record of Leave Earned and Used. (c)
All Deductions from Pay. (d) Personnel Information such as Grade, Step, Salary, Title, Date of Birth, Social Security Number, Veterans
Preference, Tenure, etc. (4) Payroll Control Registers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 5--Pay, Leave and Allowances.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to disclose information:
</p><p>(1) To Federal Agencies and to State and Local Agencies for tax purposes; and
</p><p>(2) To appropriate agencies, entities, and persons when (1) the Department suspects or has confirmed that the security or confidentiality
of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records
are stored on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by Social Security Number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in this system are safeguarded in a secured building, secured room and locked cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Dispose of in accordance with NARA General Records Schedule 2.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Management Division, FMS, Prince George's Metro Center II, 3700 East-West Highway, Room 115-F, Hyattsville,
MD 20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be addressed to the Disclosure Officer, 401 14th Street SW., Washington, DC 20227. All
individuals making inquiries should provide with their request as much descriptive matter as is possible to identify the particular record
desired. The system manager will advise as to whether FMS maintains the record requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR Part 1, subpart C concerning requirements of this Department with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>From individual Service employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .008</systemNumber>
<subsection type="systemName">Mailing List Records--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are located at the offices of FMS, 401 14th Street SW., Washington, DC 20227, or its fiscal or financial agents at various
locations. The addresses of the fiscal or financial agents may be obtained by contacting the System Manager below.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Low- to moderate-income individuals, who are more likely to be unbanked or underbanked, who could potentially receive Federal tax
refund payments, and whose names and addresses are included on mailing lists purchased from commercial providers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records may contain identifying information, such as an individual's name(s) and address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321; 31 U.S.C. chapter 33; 31 U.S.C. 3332; Title XII of the Dodd-Frank Wall Street Reform and Consumer
Protection Act (Pub. L. 111-203, Jul. 21, 2010).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain limited records (names and addresses) about low to moderate income individuals, who are more
likely to be unbanked or under-banked, and who could potentially receive Federal tax refund payments. The records are used to send letters to
individuals informing them of the benefits of electronic payments and Treasury-recommended account options for receiving payments
electronically. Without the information, FMS, its fiscal or financial agents and contractors, would not be able to directly notify prospective
payment recipients about the benefits of electronic payments and the Treasury-recommended account options for the receipt of Federal payments
electronically.
</p><p>The information will also be used to study the effectiveness of offering account options to individuals for the purpose of receiving
Federal payments. To study program efficacy, FMS may use its mailing list records to collect aggregate statistical information on the success
and benefits of direct mail and the use of commercial database providers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) The U.S. Department of Justice ("DOJ") for its use in providing legal advice to the Department or in representing the
Department in a proceeding before a court, adjudicative body, or other administrative body before which the Department is authorized to
appear, where the use of such information by the DOJ is deemed by the Department to be relevant and necessary to the litigation, and such
proceeding names as a party or interests: (a) The Department or any component thereof; (b) Any employee of the Department in his or her
official capacity; (c) Any employee of the Department in his or her individual capacity where DOJ has agreed to represent the employee; or (d)
The United States, where the Department determines that litigation is likely to affect the Department or any of its components.
</p><p>(2) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains.
</p><p>(3) Fiscal agents, financial agents, and contractors for the purpose of mailing information to individuals about the benefits of electronic
Federal payments and Treasury-recommended account options for receipt of federal payments electronically, including, but not limited to,
processing direct mail or performing other marketing functions; and creating and reviewing statistics to improve the quality of services
provided.
</p><p>(4) Federal agencies, their agents and contractors for the purposes of implementing and studying options for encouraging current and
prospective Federal payment recipients to receive their Federal payments electronically.
</p><p>(5) Representatives of the NARA who are conducting records management inspections under authority of 44 U.S.C. 2904 and 2906.
</p><p>(6) Appropriate agencies, entities, and persons when: (a) FMS suspects or has confirmed that the security or confidentiality of information
in the system of records has been compromised; (b) FMS has determined that as a result of the suspected or confirmed compromise there is a
risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems
or programs (whether maintained by FMS or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist in connection with FMS's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The records
are store on magnetic disc, tape, digital media, and CD-ROM.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name, address, or other alpha/numeric identifying information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All official access to the system of records is on a need-to-know basis only, as authorized by a business line manager at FMS or FMS's
fiscal or financial agent. Procedural and physical safeguards, such as personal accountability, audit logs, and specialized communications
security, are utilized. Each user of computer systems containing records has individual passwords (as opposed to group passwords) for which he
or she is responsible. Thus, a security manager can identify access to the records by user. Access to computerized records is limited, through
use of access codes, encryption techniques, and/or other internal mechanisms, to those whose official duties require access. Storage
facilities are secured by various means such as security guards, badge access, and locked doors with key entry.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Electronic and paper records for mail operations based on the use of the mailing list records will be retained in accordance with
FMS's record retention requirements or as otherwise required by statute or court order. FMS disposes, or arranges for the disposal of records
in electronic media using industry-accepted techniques, and in accordance with applicable FMS policies regarding the retention and disposal of
fiscal or financial agency records. Paper records are destroyed in accordance with fiscal or financial agency archive and disposal procedures
and applicable FMS policies regarding the retention and disposal of fiscal agency records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Agency Enterprise Solutions Division, Payment Management, FMS, 401 14th Street SW., Washington, DC 20227.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974, as amended, shall be addressed to the Disclosure Officer, Financial Management Service, 401
14th Street SW., Washington, DC 20227. All individuals making inquiries should provide with their request as much descriptive matter as is
possible to identify the particular record desired. The system manager will advise as to whether FMS maintains the records requested by the
individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974, as amended, concerning procedures for gaining access to or
contesting records should write to the Disclosure Officer. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR Part 1, subpart C, and appendix G, concerning requirements of this Department with respect to the Privacy Act of
1974, as amended.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is provided by commercial database providers based on publicly available information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .010</systemNumber>
<subsection type="systemName">Delegations and Designations of Authority for Disbursing Functions--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Kansas City Regional Financial Center (KFC), FMS, Department of the Treasury, 4241 NE 34th Street, Kansas City, MO 64117.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Heads of Agencies, Certifying Officers, Designated Agents, and other Federal employees designated to perform specific disbursement-
related functions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records are maintained on the designation or removal of individuals to act in a specified capacity pursuant to a proper authorization.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Executive Order 6166, dated June 10, 1933.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Disclose to banking institutions, Federal Reserve Banks, and Government agencies for verification of information on authority of
individuals to determine propriety of actions taken by such individuals;
</p><p>(2) Disclose pertinent information to appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware
of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>(3) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or
other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in
connection with criminal law proceedings;
</p><p>(5) Disclose information to foreign governments in accordance with formal or informal international agreements;
</p><p>(6) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(7) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings;
</p><p>(8) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114;
</p><p>(9) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation; and
</p><p>(10) Disclose information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to computerized records is limited through use of access codes, encryption techniques, and/or other internal mechanisms, to
those whose official duties require access. Storage facilities are secured by various means such as security guards, badge access, locked
doors and locked cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Hardcopy records--destroy three years after authority is revoked. Electronic records--disposal is not authorized at this
time.[3]</p>
<p>[3] FMS must submit a records schedule to NARA. Until NARA approves the proposed records schedule, disposal is not
authorized.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Kansas City Regional Financial Center (KFC), FMS, Department of the Treasury, 4241 NE. 34th Street, Kansas City, MO 64117.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be addressed to the Disclosure Officer, FMS, 401 14th Street SW., Washington, DC 20227.
All individuals making inquiries should provide with their request as much descriptive matter as is possible to identify the particular record
desired. The system managers will advise as to whether the Service maintains the record requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should
write to the Disclosure Officer. All individuals are urged to examine the rules of the U.S. Department of the Treasury published in 31 CFR
Part 1, subpart C concerning requirements of this Department with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Government Departments and Agencies requiring services of Treasury Department for issuance and payment of Treasury checks.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .012</systemNumber>
<subsection type="systemName">Pre-complaint Counseling and Complaint Activities--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Financial Management Service, U.S. Treasury Department, Prince George's Metro Center II, 3700 East-West Highway, Room 132,
Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees seeking services of EEO Counselors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Monthly pre-complaint activity reports from seven Financial Centers and Headquarters.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7154; 42 U.S.C. 200e-16; Executive Order 11478; and 5 CFR Part 713.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to:
</p><p>(1) Keep records on EEO Counseling activities for annual submission to Treasury; and
</p><p>(2) Disclose information to appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security
or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by station and date of receipt.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Staff supervision is maintained during the day. Records are kept locked in the files.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Destroy EEO case files 4 years after final adjustment. Destroy pre-complaint counseling reports after 1 year.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>EEO Officer, FMS, Prince George's Metro Center II, 3700 East-West Highway, Room 132, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974 shall be addressed to the Disclosure Officer, 401 14th Street SW., Washington, DC 20227. All
individuals making inquiries should provide with their request as much descriptive matter as is possible to identify the particular record
desired. The system manager will advise as to whether FMS maintains the record requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974 concerning procedures for gaining access or contesting records should
write to the Disclosure Officer. All individuals are urged to examine the rules of the U.S. Department of the Treasury published in 31 CFR
Part 1, subpart C concerning requirements of this Department with respect to the Privacy Act of 1974.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Monthly submissions by Financial Centers and Headquarters.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .013</systemNumber>
<subsection type="systemName">Gifts to the United States--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>FMS, U.S. Department of the Treasury, Prince George's Metro Center II, 3700 East-West Highway, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Donors of intervivos and testamentary gifts to the United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence, copies of wills and court proceedings, and other material related to gifts to the United States.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 3113.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records may be used to disclose information to appropriate agencies, entities, and persons when (1) the Department suspects or has
confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Department has determined
that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name of donor.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is limited to persons on official business.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Permanent retention.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Financial Information Management, Directorate, FMS, Prince George's Metro Center II, 3700 East-West Highway, Hyattsville, MD 20782.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are named in this system of records, or gain access to records maintained in this system
must submit a written request containing the following elements:
</p><p>(1) Identify the record system;
</p><p>(2) Identify the category and type of records sought; and
</p><p>(3) Provide at least two items of secondary identification (date of birth, employee identification number, dates of employment or similar
information). Address inquiries to Disclosure Officer (See "Record Access Procedures" below).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Disclosure Officer, Financial Management Service, U.S. Department of the Treasury, Liberty Center Building, 401 14th Street SW.,
Washington, DC 20227.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, executors, administrators and other involved persons.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .014</systemNumber>
<subsection type="systemName">Debt Collection Operations System--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are also located throughout the United States at FMS operations centers, Federal Records Centers, Federal Reserve Banks acting
as Treasury's fiscal agents, and financial institutions acting as Treasury's financial agents. Additional addresses may be obtained from the
system managers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who owe debts to: (a) The United States, through one or more of its departments and agencies; and/or (b) States,
territories and commonwealths of the United States, and the District of Columbia (hereinafter collectively referred to as
"States").
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Debt records containing information about the debtor(s), the type of debt, the governmental entity to which the debt is owed, and the
debt collection tools utilized to collect the debt. The records may contain identifying information, such as name(s) and taxpayer identifying
number (i.e., Social Security Number or employer identification number); debtor contact information, such as work and home address, and work
and home telephone numbers; information concerning the financial status of the debtor and his/her household, including income, assets,
liabilities or other financial burdens, and any other resources from which the debt may be recovered; and name of employer and employer
address. Debts include unpaid taxes, loans, assessments, fines, fees, penalties, overpayments, advances, extensions of credit from sales of
goods or services, and other amounts of money or property owed to, or collected by, the Federal Government or a State, including past due
support which is being enforced by a State. The records also may contain information about: (a) The debt, such as the original amount of the
debt, the debt account number, the date the debt originated, the amount of the delinquency or default, the date of delinquency or default,
basis for the debt, amounts accrued for interest, penalties, and administrative costs, and payments on the account; (b) Actions taken to
collect or resolve the debt, such as copies of demand letters or invoices, documents or information required for the referral of accounts to
collection agencies or for litigation, and collectors' notes regarding telephone or other communications related to the collection or
resolution of the debt; and (c) The referring or governmental agency that is collecting or owed the debt, such as name, telephone number, and
address of the agency contact.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Claims Collection Act of 1966 (Pub. L. 89-508), as amended by the Debt Collection Act of 1982 (Pub. L. 97-365, as
amended); Deficit Reduction Act of 1984 (Pub. L. 98-369, as amended); Debt Collection Improvement Act of 1996 (Pub. L. 104-134,
sec. 31001); Taxpayer Relief Act of 1997 (Pub. L. 105-34); Internal Revenue Service Restructuring and Reform Act of 1998 (Pub. L. 105
-206); 26 U.S.C. 6402; 26 U.S.C. 6331; 31 U.S.C. Chapter 37 (Claims), Subchapter I (General) and Subchapter II (Claims of the U.S.
Government); 31 U.S.C. 3321 note.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records about individuals who owe debt(s) to the United States, through one or more of its
departments and agencies, and/or to States, including past due support enforced by States. The information contained in the records is
maintained for the purpose of taking action to facilitate the collection and resolution of the debt(s) using various collection methods,
including, but not limited to, requesting repayment of the debt by telephone or in writing, offset, levy, administrative wage garnishment,
referral to collection agencies or for litigation, and other collection or resolution methods authorized or required by law. The information
also is maintained for the purpose of providing collection information about the debt to the agency collecting the debt, to provide
statistical information on debt collection operations, and for the purpose of testing and developing enhancements to the computer systems
which contain the records. The information also is maintained for the purpose of resolving delinquent debts owed by debtors who are ineligible
for Federally funded programs until the delinquency is resolved, and for identifying, preventing, or recouping improper payments to
individuals who owe delinquent obligations to Federal and/or state agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate Federal, State, local or foreign agencies responsible for investigating or implementing, a statute, rule, regulation,
order, or license;
</p><p>(2) A court, magistrate, mediator, or administrative tribunal in the course of presenting evidence; counsel, experts, or witnesses in the
course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in connection with criminal law proceedings;
</p><p>(3) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(4) Any Federal agency, State or local agency, U.S. territory or commonwealth, or the District of Columbia, or their agents or contractors,
including private collection agencies (consumer and commercial):
</p><p>a. To facilitate the collection of debts through the use of any combination of various debt collection methods required or authorized by
law, including, but not limited to;
</p><p>(i) Request for repayment by telephone or in writing;
</p><p>(ii) Negotiation of voluntary repayment or compromise agreements;
</p><p>(iii) Offset of Federal payments, which may include the disclosure of information contained in the records for the purpose of providing the
debtor with appropriate pre-offset notice and to otherwise comply with offset prerequisites, to facilitate voluntary repayment in lieu of
offset, and to otherwise effectuate the offset process;
</p><p>(iv) Referral of debts to private collection agencies, to Treasury-designated debt collection centers, or for litigation;
</p><p>(v) Administrative and court-ordered wage garnishment;
</p><p>(vi) Debt sales;
</p><p>(vii) Publication of names and identities of delinquent debtors in the media or other appropriate places; and
</p><p>(viii) Any other debt collection method authorized by law;
</p><p>b. To conduct computerized comparisons to locate Federal payments to be made to debtors;
</p><p>c. To conduct computerized comparisons to locate employers of, or obtain taxpayer identifying numbers or other information about, an
individual for debt collection purposes;
</p><p>d. To collect a debt owed to the United States through the offset of payments made by States, territories, commonwealths, or the District
of Columbia;
</p><p>e. To account or report on the status of debts for which such entity has a financial or other legitimate need for the information in the
performance of official duties;
</p><p>f. For the purpose of denying Federal financial assistance in the form of a loan or loan guaranty to an individual who owes delinquent debt
to the United States or who owes delinquent child support that has been referred to FMS for collection by administrative offset;
</p><p>g. To develop, enhance and/or test database, matching, communications, or other computerized systems which facilitate debt collection
processes; or
</p><p>h. For any other appropriate debt collection purpose.
</p><p>(5) The Department of Defense, the U.S. Postal Service, or other Federal agency for the purpose of conducting an authorized computer
matching program in compliance with the Privacy Act of 1974, as amended, to identify and locate individuals receiving Federal payments
including, but not limited to, salaries, wages, and benefits, which may include the disclosure of information contained in the records for the
purpose of requesting voluntary repayment or implementing Federal employee salary offset or other offset procedures;
</p><p>(6) The Department of Justice or other Federal agency:
</p><p>a. when requested in connection with a legal proceeding, or
</p><p>b. to obtain concurrence in a decision to compromise, suspend, or terminate collection action on a debt;
</p><p>(7) Any individual or other entity who receives Federal payments as a joint payee with a debtor for the purpose of providing notice of, and
information about, offsets from such Federal payments; and
</p><p>(8) Any individual or entity:
</p><p>a. To facilitate the collection of debts through the use of any combination of various debt collection methods required or authorized by
law, including, but not limited to:
</p><p>(i) Administrative and court-ordered wage garnishment;
</p><p>(ii) Report information to commercial credit bureaus;
</p><p>(iii) Conduct asset searches or locate debtors;
</p><p>(iv) Publish names and identities of delinquent debtors in the media or other appropriate places; or
</p><p>(v) Debt sales;
</p><p>b. For the purpose of denying Federal financial assistance in the form of a loan or loan guaranty to an individual who owes delinquent debt
to the United States or who owes delinquent child support that has been referred to FMS for collection by administrative offset; or
</p><p>c. For any other appropriate debt collection purpose. Disclosure to consumer reporting agencies including for the provision of routine debt
collection services by an FMS contractor subject to the same limitations applicable to FMS officers and employees under the Privacy Act; and
</p><p>(9) Appropriate agencies, entities, and persons when (A) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>(10) (a) A Federal or state agency, its employees, agents (including contractors of its agents) or contractors; or, (b) a fiscal or
financial agent designated by the FMS or other Department of the Treasury bureau or office, including employees, agents or contractors of such
agent; or, (c) a contractor of the FMS, for the purpose of identifying, preventing, or recouping improper payments to an applicant for, or
recipient of, Federal funds, including funds disbursed by a state in a state-administered, Federally funded program; disclosure may be made to
conduct computerized comparisons for this purpose.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Debt information concerning a government claim against a debtor is also furnished, in accordance with 5 U.S.C. 552a(b)(12) and 31
U.S.C. 3711(e), to consumer reporting agencies, as defined by the Fair Credit Reporting Act, 5 U.S.C. 1681(f), to encourage repayment of a
delinquent debt.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by various combinations of name, taxpayer identifying number (i.e., social security number or employer
identification number), or debt account number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All officials access the system of records on a need-to-know basis only, as authorized by the system manager. Procedural and physical
safeguards are utilized, such as accountability, receipt records, and specialized communications security. Access to computerized records is
limited, through use of access codes, entry logs, and other internal mechanisms, to those whose official duties require access. Hard-copy
records are held in steel cabinets, with access limited by visual controls and/or lock systems. During normal working hours, files are
attended by responsible officials; files are locked up during non-working hours. The building is patrolled by uniformed security guards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retention periods vary by record type, up to a maximum of seven years after the end of the fiscal year in which a debt is resolved or
returned to the agency as uncollectible.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>System Manager, Debt Management Services, FMS, 401 14th Street SW., Washington, DC 20227.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974, as amended, shall be addressed to the Disclosure Officer, FMS, 401 14th Street SW.,
Washington, DC 20227. All individuals making inquiries should provide with their request as much descriptive matter as is possible to identify
the particular record desired. The system manager will advise as to whether FMS maintains the records requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974, as amended, concerning procedures for gaining access or contesting
records should write to the Disclosure Officer. All individuals are urged to examine the rules of the U.S. Department of the Treasury
published in 31 CFR Part 1, subpart C, and appendix G, concerning requirements of this Department with respect to the Privacy Act of 1974, as
amended.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is provided by the individual on whom the record is maintained; Federal and State agencies to which the
debt is owed; Federal agencies and other entities that employ the individual or have information concerning the individual's employment or
financial resources; Federal and State agencies issuing payments; collection agencies; locator and asset search companies, credit bureaus, and
other database vendors; Federal, State or local agencies furnishing identifying information and/or debtor address information; and/or public
documents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/FMS .01</systemNumber>
<subsection type="systemName">Collections Records--Treasury/FMS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are located at the FMS, U.S. Department of the Treasury, Liberty Center Building (Headquarters), 401 14th Street SW.,
Washington, DC 20227. Records are also located throughout the United States at various Federal Reserve Banks and financial institutions, which
act as Treasury's fiscal and financial agents. The address(es) of the fiscal and financial agents may be obtained from the system manager
below.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who electronically authorize payments to the Federal government through the use of communication networks, such as the
Internet, via means such as Automated Clearing House (ACH), check conversion, credit card, and/or stored value card.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Collections records containing information about individuals who electronically authorize payments to the Federal government to the
extent such records are covered by the Privacy Act of 1974. The records may contain identifying information, such as an individual's name(s),
taxpayer identifying number (i.e., Social Security Number or employer identification number), home address, home telephone number, and
personal email address (home and work); an individual's employer's name, address, telephone number, and email address; an individual's date of
birth and driver's license number; information about an individual's bank account(s) and other types of accounts from which payments are made,
such as financial institution routing and account number; credit card numbers; information about an individual's payments made to or from the
United States (or to other entities such as private contractors for the Federal government), including the amount, date, status of payments,
payment settlement history, and tracking numbers used to locate payment information; user name and password assigned to an individual; other
information used to identify and/or authenticate the user of an electronic system to authorize and make payments, such as a unique question
and answer chosen by an individual; information concerning the authority of an individual to use an electronic system (access status) and the
individual's historical use of the electronic system. The records also may contain information about the governmental agency to which payment
is made and information required by such agency as authorized or required by law. The information contained in the records covered by FMS's
system of records is necessary to process financial transactions while protecting the government and the public from financial risks that
could be associated with electronic transactions. It is noted that the system covers records obtained in connection with various mechanisms
that are either used currently or may be used in the future for electronic financial transactions. Not every transaction will require the
maintenance of all of the information listed in this section. The categories of records cover the broad spectrum of information that might be
connected to various types of transactions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 31 U.S.C. 321; 31 U.S.C. chapter 33; 31 U.S.C. 3720
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to maintain records about individuals who electronically authorize payments to the Federal government.
The information contained in the records is maintained for the purpose of facilitating the collection and reporting of receipts from the
public to the Federal government and to minimize the financial risk to the Government and the public of unauthorized use of electronic payment
methods. Examples of payment mechanisms authorized electronically include ACH, check conversion, credit card, or stored value cards.
Individuals may authorize payments using paper check conversion or Internet-based systems through programs such as "Pay.gov" and
"Electronic Federal Taxpayer Payment System (EFTPS)." The information also is maintained to:
</p><p>(a) Provide collections information to the Federal agency collecting the public receipts;
</p><p>(b) Authenticate the identity of individuals who electronically authorize payments to the Federal government;
</p><p>(c) Verify the payment history and eligibility of individuals to electronically authorize payments to the Federal government;
</p><p>(d) Provide statistical information on collections operations;
</p><p>(e) Test and develop enhancements to the computer systems that contain the records; and
</p><p>(f) Collect debts owed to the Federal government from individuals when the debt arises from the unauthorized use of electronic payment
methods.
</p><p>FMS's use of the information contained in the records is necessary to process financial transactions while protecting the government and
the public from financial risks that could be associated with electronic transactions. The records are collected and maintained for three
primary reasons. First, in order to process a payment electronically, a payor needs to submit his or her name and bank account or credit card
account information. Without such information, FMS would not be able to process the payment as requested by the individual authorizing the
payment. Second, to authenticate the identity of the person initiating the electronic transaction, FMS may, in some instances, require some or
all of the information described in "Categories of records in the system," above, depending upon the level of risk associated with
a particular type of transaction. Third, to verify the financial and other information provided by the person initiating the electronic
transaction and to evaluate the payor's ability to make the payment authorized, FMS may compare information submitted with information
available in FMS's electronic transaction historical database or commercial databases used for verification purposes, much like a store clerk
determines whether someone paying by paper check has a history of writing bad checks. The ability to research historical transaction
information will help eliminate the risk of fraudulent activity, such as the purchase of government products using an account with
insufficient funds or using a stolen identity. By collecting and maintaining a certain amount of unique personal information about an
individual who purchases goods from the government, FMS can help ensure that the individual's sensitive financial information will not be
fraudulently accessed or used by anyone other than the individual.
</p><p>In addition, the information contained in the covered records will be used for collateral purposes related to the processing of financial
transactions, such as collection of statistical information on operations, development of computer systems, investigation of unauthorized or
fraudulent activity related to electronic transactions, and the collection of debts arising out of such activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate Federal, state, local or foreign agencies responsible for investigating or prosecuting the violation of, or for enforcing
or implementing, a statute, rule, regulation, order, or license, but only if the investigation, prosecution, enforcement or implementation
concerns a transaction(s) or other event(s) that involved (or contemplates involvement of), in whole or part, an electronic method of
collecting receipts for the Federal government. The records and information may also be disclosed to commercial database vendors to the extent
necessary to obtain information pertinent to such an investigation, prosecution, enforcement or implementation;
</p><p>(2) Commercial database vendors for the purposes of authenticating the identity of individuals who electronically authorize payments to the
Federal government, to obtain information on such individuals' payment or check writing history, and for administrative purposes, such as
resolving a question about a transaction. For purposes of this notice, the term "commercial database vendors" means vendors who
maintain and disclose information from consumer credit, check verification, and address databases;
</p><p>(3) A court, magistrate, or administrative tribunal, in the course of presenting evidence, including disclosures to opposing counsel or
witnesses, for the purpose of civil discovery, litigation, or settlement negotiations or in response to a subpoena, where arguably relevant to
the litigation, or in connection with criminal law proceedings;
</p><p>(4) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
</p><p>(5) Fiscal agents, financial agents, financial institutions, and contractors for the purpose of performing financial management services,
including, but not limited to, processing payments, investigating and rectifying possible erroneous reporting information, creating and
reviewing statistics to improve the quality of services provided, conducting debt collection services, or developing, testing and enhancing
computer systems;
</p><p>(6) Federal agencies, their agents and contractors for the purposes of facilitating the collection of receipts, determining the acceptable
method of collection, the accounting of such receipts, and the implementation of programs related to the receipts being collected;
</p><p>(7) Federal agencies, their agents and contractors, credit bureaus, and employers of individuals who owe delinquent debt for the purpose of
garnishing wages only when the debt arises from the unauthorized use of electronic payment methods. The information will be used for the
purpose of collecting such debt through offset, administrative wage garnishment, referral to private collection agencies, litigation,
reporting the debt to credit bureaus, or for any other authorized debt collection purpose;
</p><p>(8) Financial institutions, including banks and credit unions, and credit card companies for the purpose of collections and/or
investigating the accuracy of information required to complete transactions using electronic methods and for administrative purposes, such as
resolving questions about a transaction; and
</p><p>(9) Appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Debt information concerning a government claim against a debtor when the debt arises from the unauthorized use of electronic payment
methods is also furnished, in accordance with 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e), to consumer reporting agencies, as defined by the
Fair Credit Reporting Act, 5 U.S.C. 1681(f), to encourage repayment of a delinquent debt.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically in secure facilities in a locked drawer behind a locked door.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by account number (such as financial institution account number or credit card account number), name
(including an authentication credential, e.g., a user name), social security number, transaction identification number, or other alpha/numeric
identifying information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>All officials access the system of records on a need-to-know basis only, as authorized by the system manager after security background
checks. Procedural and physical safeguards, such as personal accountability, audit logs, and specialized communications security, are
utilized. Accountability and audit logs allow systems managers to track the actions of every user of the system. Each user has an individual
password (as opposed to a group password) for which he or she is responsible. Thus, a system manager can identify access to the records by
user. Access to computerized records is limited, through use of encryption, access codes, and other internal mechanisms, to those whose
official duties require access. Storage facilities are secured by various means such as security guards, locked doors with key entry, and
limited virtual access requiring a physical token.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Disposal is not authorized at this time.[4]</p>
<p>[4] FMS is updating its records schedules for these records to provide for a retention period of seven years for most
collections records, and a retention period of 20 years for certain trust-fund-related records. FMS must submit the record schedules to NARA.
Until NARA approves the updated records schedules, disposal is not authorized.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Commissioner, Federal Finance, FMS, 401 14th Street SW., Washington, DC 20227.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974, as amended, shall be addressed to the Disclosure Officer, FMS, 401 14th Street SW.,
Washington, DC 20227. All individuals making inquiries should provide with their request as much descriptive matter as is possible to identify
the particular record desired. The system manager will advise as to whether FMS maintains the records requested by the individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals requesting information under the Privacy Act of 1974, as amended, concerning procedures for gaining access to or
contesting records should write to the Disclosure Officer. All individuals are urged to examine the rules of the U.S. Department of the
Treasury published in 31 CFR Part 1, subpart C, and appendix G, concerning requirements of this Department with respect to the Privacy Act of
1974, as amended.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is provided by the individual on whom the record is maintained (or by his or her authorized
representative), other persons who electronically authorize payments to the Federal government, Federal agencies responsible for collecting
receipts, Federal agencies responsible for disbursing and issuing Federal payments, Treasury fiscal and financial agents that process
collections, and commercial database vendors.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/Fiscal Service. 023</systemNumber>
<subsection type="systemName">Do Not Pay Payment Verification Records--Department of the Treasury/Bureau of the Fiscal Service.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records are maintained at the Bureau of the Fiscal Service, United States Department of the Treasury, Washington, DC 20227. Records are also located throughout the United States at Fiscal Service operations centers, Federal Records Centers, Federal Reserve Banks acting as Treasury's fiscal agents, and financial institutions acting as Treasury's financial agents. The specific address for each of the aforementioned locations may be obtained upon request.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals who have applied for or are receiving payments (including contract, grant, benefit or loan payments) disbursed by any Federal agency, its agents or contractors;
</p><p>(b) Individuals declared ineligible to participate in Federal procurement programs or to receive certain Federal loans, assistance, and/or benefits as a result of an exclusion or disqualification action;
</p><p>(c) Individuals declared ineligible to participate in Federal health care programs or to receive Federal assistance and/or benefits as a result of an exclusion action;
</p><p>(d) Individuals who are barred from entering the United States;
</p><p>(e) Individuals in bankruptcy proceedings or individuals who have declared bankruptcy;
</p><p>(f) Individuals who are, or have been, incarcerated and/or imprisoned;
</p><p>(g) Individuals who are in default or delinquent status on loans, judgment debt, or rural development and farm services programs provided through Federal agencies responsible for administering Federally-funded programs;
</p><p>(h) Individuals who owe non-tax debts to the United States;
</p><p>(i) Individuals who owe debts to states, where the state has submitted the debt to the Bureau of the Fiscal Service for offset; and
</p><p>(j) Individuals conducting, or attempting to conduct, transactions at or through a financial institution where the financial institution has identified, knows, suspects, or has reason to suspect that: (1) The transaction involves funds originating from illegal activities; (2) the purpose of the transaction is to hide or disguise funds or assets, or attempt to hide or disguise funds or assets, originating from illegal activities as part of a plan to violate or evade any law or regulation or to avoid any transaction reporting requirement under Federal law; or (3) the transaction is illegal in nature or is not the type of transaction in which the particular individual would normally be expected to engage, and the financial institution knows of no reasonable explanation for the transaction after examining the available facts, including the background and possible purpose of the transaction.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records in this system contain information that will assist Federal agencies to identify and prevent payment error, waste, fraud, and abuse within Federal spending. The records contain information about intended or actual payees or recipients of Federal payments, including information about financial assets, including income, wages, and bank accounts into which payments are made, and other information to assist Federal agencies in making eligibility determinations regarding applicants for and recipients of payments from the Federal Government.
</p><p>The records may contain the following information:
</p><p>(a) Name(s), including aliases and surnames;
</p><p>(b) State and Federal Taxpayer Identification Number (TIN), Social Security Number (SSN), Employer Identification Number (EIN), Individual Taxpayer Identification Number (ITIN), Taxpayer Identification Number for Pending U.S. Adoptions (ATIN), and Preparer Taxpayer Identification Number (PTIN));
</p><p>(c) Date of birth;
</p><p>(d) Home and work address;
</p><p>(e) Driver's license information and other information about licenses issued to an individual by a governmental entity;
</p><p>(f) Home, work, and mobile telephone numbers;
</p><p>(g) Personal and Work email addresses;
</p><p>(h) Income;
</p><p>(i) Employer information;
</p><p>(j) Assets and bank account information, including account number and financial institution routing and transit number;
</p><p>(k) Other types of accounts to which payments are made, including account numbers and identifiers (e.g., financial institution routing number, account number, credit card number, and information related to pre-paid debit cards);
</p><p>(l) Tracking numbers used to locate payment information;
</p><p>(m) Loan information, such as borrower identification (ID) number and ID type, case number, agency code, and type code;
</p><p>(n) Incarceration information, such as inmate status code, date of conviction, date of confinement, and release date;
</p><p>(o) Information about legal judgments;
</p><p>(p) Data Universal Numbering System (DUNS) numbers;
</p><p>(q) Information about non-tax debts owed to the United States; and
</p><p>(r) Information about debts owed to state agencies.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Improper Payments Elimination and Recovery Improvement Act of 2012, 31 U.S.C. 3321 note, Public Law 112-248; The Improper Payments Elimination and Recovery Act of 2010, Public Law 111-204; E.O. 13520 (Reducing Improper Payments and Eliminating Waste in Federal Programs), 74 FR 62201; OMB Memorandum M-13-20 (Protecting Privacy while Reducing Improper Payments with the Do Not Pay Initiative); Presidential Memorandum on Enhancing Payment Accuracy through a "Do Not Pay List" (June 18, 2010).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system of records will assist Federal agencies in verifying that individuals are eligible to receive Federal payments by allowing the Department of the Treasury/Bureau of the Fiscal Service to collect, maintain, analyze, and disclose records that will assist Federal agencies in identifying, preventing, and recovering payment error, waste, fraud, and abuse within Federal spending, as required by IPERIA.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>This system contains records that are collected by the Bureau of the Fiscal Service and other Federal agencies. The routine uses for this system of records are listed below. Federal law may further limit how records may be used, and the Bureau of the Fiscal Service may agree to additional limits on disclosure for some data through a written agreement with the entity that supplied the information. As such, the routine uses detailed below may not apply to every data set in the system. To identify which routine uses apply to specific data sets, visit <i>www.donotpay.treas.gov.</i>
</p><p>(a) Disclosure to (1) a Federal agency, its employees, agents (including contractors of its agents) or contractors; or (2) a fiscal or financial agent designated by the Bureau of the Fiscal Service, its predecessors, or other Department of the Treasury bureau or office, including employees, agents or contractors of such agent; or (3) a Bureau of the Fiscal Service contractor, for the purpose of identifying, preventing, or recouping improper payments to an applicant for, or recipient of, Federal funds;
</p><p>(b) Disclosure to a congressional office in response to an inquiry from the individual to whom the record or information pertains;
</p><p>(c) Disclosure to (1) a Federal agency, its employees, agents (including contractors of its agents) or contractors; or (2) a fiscal or financial agent designated by the Bureau of the Fiscal Service, its predecessors, or other Department of the Treasury bureau or office, including employees, agents or contractors of such agent; or (3) a Bureau of the Fiscal Service contractor, to initiate an investigation, or during the course of an investigation, and to the extent necessary, obtain information supporting an investigation pertinent to the elimination of systemic fraud, waste, and abuse within Federal programs;
</p><p>(d) Disclosure to (1) a Federal agency, its employees, agents (including contractors of its agents) or contractors; or (2) a fiscal or financial agent designated by the Bureau of the Fiscal Service, its predecessors, or other Department of the Treasury bureau or office, including employees, agents or contractors of such agent; or (3) a Bureau of the Fiscal Service contractor for the purpose of validating eligibility for an award through a Federal program;
</p><p>(e) Disclosure to (1) a Federal agency, its employees, agents (including contractors of its agents) or contractors; or (2) a fiscal or financial agent designated by the Bureau of the Fiscal Service, its predecessors, or other Department of the Treasury bureau or office, including employees, agents or contractors of such agent; or (3) a Bureau of the Fiscal Service contractor to check or improve the quality and accuracy of system records;
</p><p>(f) Disclosure to financial institutions and their servicers in order (1) to verify the proper routing and delivery of any Federal payment; (2) to verify the identity of any recipient or intended recipient of a Federal payment; or (3) to investigate or pursue recovery of any improper payment;
</p><p>(g) Disclosure to appropriate Federal agencies responsible for investigating or prosecuting violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of a possible violation of civil or criminal law or regulation;
</p><p>(h) Disclosure to a Federal agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information, which has requested information relevant or necessary to the requesting agency's hiring or retention of an individual or issuance of a security clearance, license, contract, grant, or other benefit;
</p><p>(i) Disclosure to a court, magistrate, mediator, or administrative tribunal in the course of presenting evidence to counsel, experts, or witnesses in the course of civil discovery, litigation, or settlement negotiations, in response to a subpoena, or in connection with criminal law proceedings;
</p><p>(j) Disclosure to appropriate agencies, entities, and persons when (1) the Department of the Treasury suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, 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 (3) the disclosure made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records in this system are stored electronically or on paper in secure facilities in a locked drawer behind a locked door. The electronic records are stored on magnetic disc, tape, and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by identifiers, including, but not limited to, exact name, partial name, SSN, TIN, EIN, DUNS numbers, or a combination of these elements.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>System records are safeguarded in accordance with the requirements of the Privacy Act. Access to the Treasury's working system is available only by authorized individuals on a need-to-know basis. External access logs to Treasury's working system are reviewed to ensure compliance with rules of behavior agreed to by credentialed users. Internal access log control measures are reviewed to ensure compliance with security guidelines governing access to Privacy Act data. Audit logs allow system managers to monitor external and internal user actions and address any misuse or violation of access privileges. Access to computerized records is limited through the use of internal mechanisms available to only those whose official duties require access. Facilities where records are physically located are secured by various means, such as security guards, locked doors with key entry, and equipment requiring a physical token to gain access. The Bureau of the Fiscal Service may agree to additional safeguards for some data through a written agreement with the entity supplying the data. Information on additional safeguards can be found at <i>www.donotpay.treas.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system created or collected by the Bureau of the Fiscal Service are governed by a NARA records schedule, and are generally retained for a maximum of seven years after the end of the fiscal year in which the record was created. Pursuant to Section 7(b) of OMB Memorandum 13-20, the Bureau of the Fiscal Service will retain and dispose of records supplied by other Federal agencies in accordance with our written agreements with those agencies. Information on additional retention and disposal requirements can be found at <i>www.donotpay.treas.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Do Not Pay Business Center, Bureau of the Fiscal Service, 401 14th Street SW., Washington, DC 20227.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Inquiries under the Privacy Act of 1974, as amended, should be addressed to the Disclosure Officer, Bureau of the Fiscal Service, 401 14th Street SW., Washington, DC 20227. Individuals should describe the information they seek as specifically as possible. If an individual requests that information in a record be corrected, the system manager will advise the requestor where to send the request. Ordinarily, data errors must be corrected by the entity that supplied the data to Treasury's working system. Treasury will follow procedures for the accuracy and correction of information in the system that are described in OMB Memorandum M-13-20, available at <i>http://www.whitehouse.gov/sites/default/files/omb/memoranda/2013/m-13-20.pdf.</i> Information concerning Privacy Act requests are published at 31 CFR Part 1, Subpart C, and Appendix G. The Bureau of the Fiscal Service may agree to additional notification procedures for some data through a written agreement with the supplying entity. Information on additional notification procedures can be found at <i>www.donotpay.treas.gov.</i>
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is provided by the individual (or an authorized representative) to whom the record pertains, Federal agencies that authorize payments or issue payments with Federal funds, Treasury fiscal and financial agents who work with data in this system, and commercial database vendors. The system may contain information about an individual from more than one source, and this information may vary, depending on the source that provided it.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS .001</systemNumber>
<subsection type="systemName">Correspondence Files and Correspondence Control Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Initiators of correspondence; persons upon whose behalf the correspondence is initiated (including customers and employees who are
asked to complete surveys); and subjects of correspondence.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence received and sent with respect to matters under the jurisdiction of the IRS. Correspondence includes letters,
telegrams, memoranda of telephone calls, email, and other forms of communication. Corre spon dence may be included in other systems of records
described by specific notices.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To track correspondence including responses from voluntary surveys.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority that has requested information relevant or
necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to foreign governments in accordance with international agreements.
</p><p>(6) Disclose information to the news media as described in IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(7) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(8) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(9) To appropriate agencies, entities, and persons when: (a) The IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>System Manager may be any IRS supervisor. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record access procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Initiators of correspondence and information secured internally from other systems of records in order to prepare responses.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS .002</systemNumber>
<subsection type="systemName">Correspondence Files: Inquiries about Enforcement Activities--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Initiators of correspondence; persons upon whose behalf the correspondence was initiated; and subjects of the correspondence. Includes
individuals for whom tax liabilities exist, individuals who have made a complaint or inquiry, or individuals for whom a third party is
interceding relative to an internal revenue tax matter.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, and, if applicable, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer
identification number (EIN), or similar number assigned by the IRS); chronological investigative history; other information relative to the
conduct of the case; and/or the taxpayer's compliance history. Correspondence may include letters, telegrams, memoranda of telephone calls,
email, and other forms of communication.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To track correspondence concerning enforcement matters.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to foreign governments in accordance with international agreements.
</p><p>(6) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(7) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(8) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(9) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, SB/SE, TE/GE, and W&amp;I, and Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3); (d)(1)-(4); (e)(1); (e)(4)(G)-(I); and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
	

<section id="TREASURY" toc="yes">
<systemNumber>/IRS 00.003</systemNumber>
<subsection type="systemName">Taxpayer Advocate Service and Customer Feedback and Survey Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who provide feedback (both complaints and compliments) about IRS employees, including customer responses to surveys from
IRS business units and IRS employees about whom complaints and compliments are received by the Taxpayer Advocate Service.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Quality review and tracking information, customer feedback, and reports on current and former IRS employees and the resolution of that
feedback.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801; and Sec. 1211 of Pub. L. 104-168, Taxpayer Bill of Rights (TBOR) 2.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To improve quality of service by tracking customer feedback (including complaints and compliments), and to analyze trends and to take
corrective action on systemic problems.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or
similar number assigned by the IRS), and administrative case control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Taxpayer Advocate Service National Office and field offices or Head of the Office where the records are maintained. (See the IRS
Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Customer feedback and information from IRS employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
	<section id="TREASURY" toc="yes">
<systemNumber>/IRS 00.007</systemNumber>
<subsection type="systemName">Employee Complaint and Allegation Referral Records--Treasury/IRS
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Operations Support: Human Capital Office (Workforce Relations: Employee Conduct and Compliance Office). (See the IRS Appendix below
for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current or former IRS employees or contractors of the IRS who are the subject of complaints received by the IRS, including complaints
received by the Treasury Inspector General for Tax Administration (TIGTA) that are forwarded to the IRS; and individuals who submit these
complaints.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Documents containing the complaint, allegation or other information regarding current and former IRS employees and contractors;
documents reflecting investigations or other inquiries into the complaint, allegation or other information; and documents reflecting
management’s actions taken in response to a complaint, allegation or other information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801; Sections 3701 and 7803 of Pub. L. 105-206, IRS Restructuring and Reform Act of 1998 (RRA1998); and
Section 1211 of Pub. L. 104-168, Taxpayer Bill of Rights 2 (TBOR2).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide a timely and appropriate response to complaints and allegations concerning current and former IRS employees and
contractors; and to advise complainants of the status, and results, of investigations or inquiries into those complaints or allegations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to professional organizations or associations with which individuals covered by this system of records may be
affiliated, such as state bar disciplinary authorities, to meet their responsibilities in connection with the administration and maintenance
of standards of conduct and discipline.
</p><p>(7) Disclose information to complainants or victims to provide such persons with information and explanations concerning the progress
and/or results of the investigation or case arising from the matters of which they complained and/or of which they were a victim. Information
concerning the progress of the investigation or case is limited strictly to whether the investigation/case is opened or closed. Information
about any disciplinary action is provided only after the subject of the action has exhausted all reasonable appeal rights.
</p><p>(8) Disclose information to a contractor, including an expert witness or a consultant hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(9) Disclose information to complainants or victims to provide such persons with information and explanations concerning the progress
and/or results of the investigation or case arising from the matters of which they complained and/or of which they were a victim. Information
concerning the progress of the investigation or case is limited strictly to whether the case is open or closed. Information about any
disciplinary action is provided only after the subject of the action has exhausted all reasonable appeal rights.
</p><p>(10) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of individual who submitted the complaint, allegation or other information; or by name of the individual who is the subject of
the complaint, allegation or other information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Human Capital Officer (Operations Support, National Office). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records is exempt from the Privacy Act provision which requires that record source categories be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy Act pursuant to
U.S.C. 552a(k)(2). (See 31 CFR 1.36).</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 00.008</systemNumber>
<subsection type="systemName">Recorded Quality Review Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Wage &amp; Investment (W&amp;I) call sites. A list of these sites is available on-line at: <i>
http://www.irs.gov/help/article/0,,id=96730,00.html.</i> See the IRS Appendix below for other W&amp;I addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees who respond to taxpayer assistance calls.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Quality review and employee performance feedback program records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer quality review programs at call sites. Information maintained includes questions and other statements from taxpayers or
their representatives on recordings. The primary focus of the system is to improve service of, and retrieve information by, the employee and
not to focus on the taxpayer.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(2) Disclose information to a contractor, including an expert witness or a consultant hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(3) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By IRS employee/assistor’s name or identification number (e.g., SEID, badge number). Recorded calls or screens are not retrieved by
taxpayer name or Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or similar
number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those provided for by IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management. Audio recordings and screen capture images are kept long
enough for the review and discussion process to take place, generally not more than 45 days.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Customer Account Services, W&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Officer listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system are provided by IRS employees identifying themselves when they provide information to assist a taxpayer.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section><section id="TREASURY" toc="yes">
<systemNumber>/IRS 00.009</systemNumber>
<subsection type="systemName">Taxpayer Assistance Center (TAC) Recorded Quality Review Records--Treasury/IRS
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>W&amp;I Taxpayer Assistance Centers. A list of these sites is available on-line at: <i>http://www.irs.gov/localcontacts.</i> See the
IRS Appendix below for other W&amp;I addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees who respond to in-person taxpayer assistance contacts.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Audio recordings of conversations with taxpayers, captured computer screen images of taxpayer records reviewed during the
conversation, and associated records required to administer quality review and employee performance feedback programs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To evaluate and improve employee performance and the quality of service at TAC sites.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(4) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(5) Disclose information to a contractor, including an expert witness or a consultant hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(6) Disclose information to an arbitrator, mediator, or other neutral, in the context of alternative dispute resolution, to the extent
relevant and necessary for resolution of the matters presented, including asserted privileges. Information may also be disclosed to the
parties in the alternative dispute resolution proceeding.
</p><p>(7) Disclose information to the Office of Personnel Management, Merit Systems Protection Board, the Office of Special Counsel, or the Equal
Employment Opportunity Commission when the records are relevant and necessary to resolving personnel, discrimination, or labor management
matters within the jurisdiction of these offices.
</p><p>(8) Disclose information to the Federal Labor Relations Authority, including the Office of the General Counsel of that authority, the
Federal Service Impasses Board, or the Federal Mediation and Conciliation Service, when the records are relevant and necessary to resolving
any labor management matter within the jurisdiction of these offices.
</p><p>(9) Disclose information to the Office of Government Ethics when the records are relevant and necessary to resolving any conflict of
interest, conduct, financial statement reporting, or other ethics matter within the jurisdiction of that office.
</p><p>(10) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the employee to whom they apply.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management. Audio recordings and screen capture images are kept long
enough for the review and discussion process to take place, generally not more than 45 days.
</p><p>The agency may keep audio recordings and captured computer screen images for a longer period under certain circumstances, including, but
not limited to, resolution of matters pertaining to poor employee performance, security (threat, altercation, etc.), or conduct-related
issues.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Customer Account Services, W&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system are provided by taxpayers, employees, and IRS taxpayer account records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section><section id="TREASURY" toc="yes">
<systemNumber>/IRS 00.333</systemNumber>
<subsection type="systemName">Third Party Contact Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals on whom Federal tax assessments have been made; individuals believed to be delinquent in filing Federal tax returns or in
paying Federal taxes, penalties or interest; individuals who are or have been considered for examination for tax determination purposes, i.e.,
income, estate and gift, excise or employment tax liability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of third party contacts including the taxpayer’s name; Taxpayer Identification Number (TIN) (e.g., social security number
(SSN), employer identification number (EIN), or similar number assigned by the IRS); the third party contact’s name; date of contact; and IRS
employee’s identification number (e.g., SEID, badge number).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7602(c); and 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To comply with 26 U.S.C. 7602(c), records document third party contacts with respect to the determination or collection of the tax
liability of the taxpayer. Third party contact data is provided periodically to taxpayers and upon the taxpayer’s written request.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer’s name or TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Collection, Small Business/Self-Employed Division (SB/SE). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Officer listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax records of the individual; public information sources; third parties including individuals, city and state governments, other
Federal agencies, taxpayer’s employer, employees and/or clients, licensing and professional organizations, and foreign governments under tax
treaties.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 00.334</systemNumber>
<subsection type="systemName">Third Party Contact Reprisal Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals on whom Federal tax assessments have been made; individuals believed to be delinquent in filing Federal tax returns or in
paying Federal taxes, penalties or interest; individuals who are or have been considered for examination for tax determination purposes; i.e.,
income, estate and gift, excise or employment tax liability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of third party contacts as described in 26 U.S.C. 7602(c), where reprisal determinations have been made, including the
taxpayer name, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or similar
number assigned by the IRS); date of contact; fact of reprisal determination; and IRS employee’s identification number (e.g., SEID, badge
number).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7602(c); and 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the number of reprisal determinations made pursuant to 26 U.S.C. 7602(c)(3)(B).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and/or TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Collection, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records is exempt from the Privacy Act provision which requires that record source categories be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3); (d)(1)-(4); (e)(1); (e)(4)(G)-(I); and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
	<section id="TREASURY" toc="yes">
<systemNumber>/IRS 10.001</systemNumber>
<subsection type="systemName">Biographical Files, Communications and Liaison--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>IRS employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records are biographical data and photographs of key IRS employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the media and the public.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By key employee’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Communications &amp; Liaison. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>By employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
	</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 10.004</systemNumber>
<subsection type="systemName">Stakeholder Relationship Management and Subject Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have stakeholder relationships with the IRS, including individuals who attend IRS forums and educational outreach
meetings.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include stakeholder relationship information, correspondence, newspaper clippings, email and other forms of communication.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track stakeholder relationships and inform individuals about tax administration.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the media and the public.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or administrative case control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Communications &amp; Liaison. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information from news media, and correspondence within the IRS and from IRS stakeholders.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
	</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 10.555</systemNumber>
<subsection type="systemName">Volunteer Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>W&amp;I National Office, field and campus offices. See IRS the IRS Appendix below for addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who promote and participate in IRS volunteer programs; and individuals who have an interest in promoting tax outreach and
return preparation, including tax professionals and practitioners.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Volunteer names; contact information; electronic filing identification numbers (EFINs); and information to be used in program
administration; and information pertaining to reviews of each site and other information about volunteer operations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To manage IRS volunteer programs, including determining assignments of IRS resources to various volunteer programs and making
recommendations for training or other quality improvement measures.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
the Department of Justice (DOJ) has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest
in, or is likely to be affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the
proceeding. Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the
information.
</p><p>(3) Disclose information to a contractor, including an expert witness or a consultant, hired by the IRS to the extent necessary for the
performance of a contract.
</p><p>(4) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(5) Provide information to volunteers who coordinate activities and staffing at taxpayer assistance sites.
</p><p>(6) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the name of the volunteer. Records pertaining to electronic filing capabilities may also be retrieved by the electronic filing
identification number (EFIN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, W&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records may inquire in accordance with instructions appearing at
31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed in the IRS Appendix below serving the
requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Individuals seeking to contest content of a record in this system of records may inquire in accordance with instructions appearing at
31 CFR part 1, subpart C, appendix B.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Treasury employees; Federal, State, or local agencies that sponsor free financial services in coordination with IRS; taxpayers who
visit these sites; and volunteer individuals and organizations that provide free tax preparation and tax-related services to these taxpayers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 21.001</systemNumber>
<subsection type="systemName">Tax Administration Advisory Services Resources Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Tax Administration Advisory Services (TAAS), LB&amp;I (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and potential tax administration advisors who have served or indicated an interest in serving on advisory assignments, and
selected officials engaged in tax administration and related fields for matters pertaining to international issues.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applicant roster database, locator cards or lists with names, addresses, telephone numbers, and organizational affiliations of
officials engaged in tax administration; work assignment or application folders of past and potential tax administration advisors, which
contain employment history, information, medical abstracts, security clearances, and passport information; bio-data sketches on IRS employees
and others engaged in tax administration and related fields.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To identify employees who have expressed an interest in overseas assignments, and to identify historical and current activities
pertaining to international issues.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, (LB&amp;I). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, organizations with which they are associated, or other knowledgeable tax administration experts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.003</systemNumber>
<subsection type="systemName">Annual Listing of Undelivered Refund Checks--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers whose refund checks have been returned as undeliverable since the last Annual Listing of Undelivered Refund Checks was
produced.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), and records containing tax module information (tax period, amount of credit balance and
Document Locator Number (DLN)).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To keep track of refund checks returned as undeliverable.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name or TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I and SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.011</systemNumber>
<subsection type="systemName">File of Erroneous Refunds--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers issued erroneous refunds.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Case reference taxpayer name, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or other similar number assigned by IRS), administrative control number, date of erroneous refund, statute expiration date, status of
case, location, correspondence and research material.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records necessary to resolve erroneous refunds.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I and SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.012</systemNumber>
<subsection type="systemName">Health Coverage Tax Credit (HCTC) Program Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>W&amp;I National Office and HCTC contractor location offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who apply for and are eligible for the credit.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records required to administer the HCTC program.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 35, 7527, and 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer the health care credit provisions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or
other similar number assigned by the IRS), or health care insurance policy number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, W&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester. The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals eligible under HCTC program; IRS taxpayer account information; Health Coverage providers; Department of Labor; Pension
Benefit Guaranty Corporation; state workforce agencies; and the Department of Health and Human Services.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.026</systemNumber>
<subsection type="systemName">Form 1042S Index by Name of Recipient--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>U.S. citizens living abroad subject to federal tax withholding.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include taxpayer’s name, address, country of residence and Taxpayer Identification Number (TIN) (e.g., social security number
(SSN), employer identification number (EIN), or similar number assigned by the IRS), and name of withholding agent.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer the back-up withholding laws and regulations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, (LB&amp;I) (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester. The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.027</systemNumber>
<subsection type="systemName">Foreign Information System (FIS)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Large Business and International (LB&amp;I) National Office, field, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individual taxpayers who file Form 5471, Information Return with Respect to a Foreign Corporation and Form 5472, Information Return of
a Foreign Owned Corporation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), foreign corporation identification, information relating to stock, U.S. shareholders, Earnings
and Profits, Balance Sheet, and other available accounting information relating to a specific taxable period.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer laws and regulations relative to foreign owned corporations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Documents are stored and retrieved by Document Locator Number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, (LB&amp;I). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.028</systemNumber>
<subsection type="systemName">Disclosure Authorizations for U.S. Residency Certification Letters--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Philadelphia Campus. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals and third parties who are subjects of correspondence and who initiate correspondence requesting U.S. Residency
Certification.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records relating to the individual requesting certification, including identifying information of the individual requesting
certification, and records relating to the identity of third party designees authorized to receive tax information specific to the U.S.
Residency Certification request.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To certify filing and payment of U.S. income tax returns and taxes to allow a reduction in foreign taxes due in accordance with
various treaty provisions for U.S. citizens living abroad and U.S. domestic corporations conducting business in foreign countries.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employee identification number (EIN) or
similar number assigned by the IRS), and name of designee.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, (LB&amp;I). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals seeking certification, or persons acting on their behalf.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.032</systemNumber>
<subsection type="systemName">Individual Microfilm Retention Register--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Computing centers and through terminals at field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who file, or may be required to file, individual income tax returns (e.g., Form 1040, 1040A, or 1040EZ).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Selected data elements that have been archived from the Individual Master File (IMF).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To archive individual tax account information after a certain period of inactivity on the master file in order not to overburden the
computer system required for active accounts.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By individual taxpayer name Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), tax period, name, and type of tax.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Directors, Computing Centers. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.054</systemNumber>
<subsection type="systemName">Subsidiary Accounting Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Campuses. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers affected by one or more of the transactions reflected in the categories of records listed below.
 </p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Documents containing name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification
number (EIN), or similar number assigned by the IRS), and accounting information relevant to various transactions related to unapplied credits
and payments, property held by the IRS, erroneous payments, accounts transferred, funds collected for other agencies, abatements and/or
assessments of tax, uncollectible accounts, and Offers-in-Compromise.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer the accounting files relevant to the types of transactions described in "Categories of records in the system
" above.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN, or document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I and SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.060</systemNumber>
<subsection type="systemName">Automated Non-Master File (ANMF)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Computing Centers and through terminals at field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers whose accounts are not compatible with the normal master file processes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS) and information that cannot be input into the Master File, including child support payment
information from the states.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track taxpayer account information that is not input to the Master File.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN, or document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I and SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.061</systemNumber>
<subsection type="systemName">Information Return Master File (IRMF)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Computing Centers and through terminals at field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individual payors and payees of various types of income for which information reporting is required (e.g., wages, dividends, interest,
etc.).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information returns.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer tax accounts related to the filing of information returns.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By payor and payee name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, W&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3); (d)(1)-(4); (e)(1); (e)(4)(G), (H), (I); and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.062</systemNumber>
<subsection type="systemName">Electronic Filing Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Electronic return providers (electronic return preparers, electronic return collectors, electronic return originators, electronic
filing transmitters, individual filing software developers) who have applied to participate, are participating, or have been rejected,
expelled or suspended from participation, in the electronic filing program (including Volunteer Income Tax Assistance (VITA) volunteers).
Individuals who attend, or have indicated interest in attending, seminars and marketing programs to encourage electronic filing and improve
electronic filing programs (including individuals who provide opinions or suggestions to improve electronic filing programs), or who otherwise
indicate interest in participating in electronic filing programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records pertaining to individual electronic filing providers, including applications to participate in electronic filing, credit
reports, reports of misconduct, law enforcement records, and other information from investigations into suitability for participation. Records
pertaining to the marketing of electronic filing, including surveys and opinions about improving electronic filing programs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 6011, 6012, and 7803.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer and market electronic filing programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(2) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(3) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(4) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(5) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(6) Disclose information to a contractor, including an expert witness or a consultant, hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(7) Disclose information to state taxing authorities to promote joint and state electronic filing, including marketing such programs and
enforcing the legal and administrative requirements of such programs.
</p><p>(8) Disclose to the public the names and addresses of electronic return originators, electronic return preparers, electronic return
transmitters, and individual filing software developers, who have been suspended, removed, or otherwise disciplined. The Service may also
disclose the effective date and duration of the suspension, removal, or other disciplinary action.
</p><p>(9) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By electronic filing provider name or Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer
identification number (EIN), or similar number assigned by the IRS), or document control number (DCN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Return Preparer Office. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. See "Record Access Procedures" above for records that
are not tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(1) Electronic filing providers; (2) informants and third party witnesses; (3) city and state governments; (4) IRS and other Federal
agencies; (5) professional organizations; (6) business entities; and (7) participants in marketing efforts or who have otherwise indicated
interest in electronic filing programs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 22.030</systemNumber>
<subsection type="systemName">CADE Individual Master File (IMF)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Computing Centers and through terminals at field and campus offices. (See the IRS Appendix below for address.).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who file Federal Individual Income Tax Returns; individuals who file other information filings; and individuals operating
under powers of attorney.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Tax records for each applicable tax period or year, representative authorization information (including Centralized Authorization
Files (CAF)), and a code identifying taxpayers who threatened or assaulted IRS employees. An indicator will be added to any taxpayer’s account
who owes past due child and/or spousal support payments and whose name has been submitted to IRS by a state.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records of tax returns, return transactions, and authorized taxpayer representatives.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN),
or other similar number assigned by the IRS), or document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, W&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual or taxpayer representative and agency entries made in the administration of the
individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 24.046</systemNumber>
<subsection type="systemName">CADE Business Master File (BMF)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Computing Centers and through terminals at field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who file business tax and information returns; individuals who file other information filings; and individuals operating
under powers of attorney for these businesses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Tax records for each applicable tax year or period, including employment tax returns, partnership returns, excise tax returns,
retirement and employee plan returns, wagering returns, estate tax returns; information returns; and representative authorization information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records of business tax returns, return transactions, and authorized taxpayer representatives.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name, type of tax, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification
number (EIN), or other similar number assigned by the IRS), or document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 24.047</systemNumber>
<subsection type="systemName">Audit Underreporter Case Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Recipients of income (payees) with a discrepancy between the income tax returns they file and information returns filed by payors with
respect to them.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Payee and payor name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification
number (EIN), or similar number assigned by the IRS), and income records containing the types and amounts of income received/reported.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To reconcile discrepancies between tax returns and information returns filed.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Payee’s and payor’s names and TINs.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I and SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information returns filed by payors and income tax returns filed by taxpayers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3); (d)(1)-(4); (e)(1); (e)(4)(G)-(I); (e)(5); (e)(8); and (f) of
the Privacy Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.001</systemNumber>
<subsection type="systemName">Acquired Property Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals with delinquent tax accounts whose property has been acquired by the government by purchase or right of redemption.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), and revenue officer reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track property acquired under 26 U.S.C. 6334.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3); (d)(1)-(4); (e)(1); (e)(4)(G)-(I); and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.006</systemNumber>
<subsection type="systemName">Form 2209, Courtesy Investigations--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals on whom a delinquency or other investigation is located in one IRS office, but the individual is now living or has assets
located in the jurisdiction of another IRS office.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), asset ownership information, chronological investigative history, and, where applicable, Form
SSA-7010 cases (request for preferential investigation on an earning discrepancy case).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the assignment of, and progress of, these investigations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3); (d)(1)-(4); (e)(1); (e)(4)(G)-(I); and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.009</systemNumber>
<subsection type="systemName">Lien Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals on whom Notices of Federal Tax Liens have been filed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Open and closed Federal tax liens, including Certificates of Discharge of Property from Federal Tax Lien; Certificates of
Subordination; Certificates of Non-Attachment; Exercise of Government’s Right of Redemption of Seized Property; and Releases of Government’s
Right of Redemption.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 6323 and 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To identify those individuals on whom a Notice of Federal Tax Lien, discharge, or subordination on lien attachment has been filed.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN),
or similar number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Officer listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.012</systemNumber>
<subsection type="systemName">Offer in Compromise (OIC) Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field, campus and computing center offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have submitted an offer to compromise a tax liability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), assignment information; and records, reports and work papers relating to the assignment,
investigation, review and adjudication of the offer.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To process offers to compromise a tax liability.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.013</systemNumber>
<subsection type="systemName">Trust Fund Recovery Cases/One Hundred Percent Penalty Cases--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals against whom Federal tax assessments have been made or are being considered as a result of their being deemed responsible
for payment of unpaid corporation withholding taxes and social security contributions.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), information about basis of assessment, including class of tax, period, dollar figures, waivers
extending the period for asserting the penalty (if any), and correspondence.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer and enforce Trust Fund Recovery Penalty cases under 26 U.S.C. 6672.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN; cross-referenced to business name from which the penalty arises.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.014</systemNumber>
<subsection type="systemName">Record 21, Record of Seizure and Sale of Real Property--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals against whom tax assessments have been made and whose real property was seized and sold to satisfy their tax liability.
Names and addresses of purchasers of this real property.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), information about basis of assessment, including class of tax, period, dollar amounts, and
property description.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
 </p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer sales of real property.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name, TIN, and seizure number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Manager listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Property records and information supplied by third parties pertaining to property records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.019</systemNumber>
<subsection type="systemName">Taxpayer Delinquent Account (TDA) Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals on whom Federal tax assessments have been made and persons who owe child support obligations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Investigatory records generated or received in the collection of Federal taxes and all other related sub-files related to the
processing of the tax case. This system also includes other management information related to a case and used for tax administration purposes
including the Debtor Master File, and records that have a code identifying taxpayers that threatened or assaulted IRS employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide inventory control of delinquent accounts.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN),
or similar number assigned by the IRS), or name of person who owes child support obligations.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.020</systemNumber>
<subsection type="systemName">Taxpayer Delinquency Investigation (TDI) Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are, or may be, delinquent in filing Federal tax returns.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or
similar number assigned by the IRS); information from previously filed returns, information about the potential delinquent return(s),
including class of tax, chronological investigative history; and a code identifying taxpayers that threatened or assaulted IRS employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track information on taxpayers who may be delinquent in Federal tax payments or obligations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.021</systemNumber>
<subsection type="systemName">Transferee Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals on whom tax assessments have been made but who have, or may have, transferred their assets in order to place them beyond
the reach of the government.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Taxpayer name, address, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number
(EIN), or similar number assigned by the IRS), assessment, including class of tax, period, dollar amounts and information about the
transferee.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide inventory control on taxpayers believed to have transferred assets that may not be available to satisfy their delinquent
tax accounts.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in RECORD ACCESS
PROCEDURES, above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for Law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 26.055</systemNumber>
<subsection type="systemName">Private Collection Agency (PCA) Quality Review Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>PCAs are no longer used. There are no locations. See "System manager" below for contact information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system includes information about the PCAs (to the extent they are individuals) and employees of PCAs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system includes quality review and PCA employee performance records used to administer private debt collection; records of
allegations of PCA employee misconduct, including records of investigations and actions by PCAs and IRS in response to allegations or
complaints against PCA employees; records used to make a final determination of whether a PCA employee committed an act or omission described
in I.R.C. 6306(b) that made the individual ineligible to perform services under the PCA contract; and a log of complaints detailing IRS and
PCA investigations and actions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 7801; and 881 of the American Jobs Creation Act of 2004 (Pub. L. 108-357). The IRS no longer uses PCAs;
this system of records will be withdrawn as of December 31, 2012, in accordance with Federal records retention requirements, unless the IRS
receives communication supporting continuing maintenance of these records.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer, evaluate, and improve the service and performance of PCAs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of return and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as described
below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege
is asserted.
</p><p>(1) Disclose information to DOJ when seeking legal advice or for use in any proceeding, or in preparation for any proceeding, when: (a) the
IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her individual capacity
under circumstances in which the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States government is a
party to the proceeding or has an interest in such proceeding, and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity where the IRS or
the Department of Justice (DOJ) has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest
in, or is likely to be affected by, the proceeding, and the IRS (or DOJ) determines that the information is relevant and necessary to the
proceeding. Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the
information.
</p><p>(3) Disclose information to a Federal, State, local, tribal agency, or other public authority, that has requested information relevant or
necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a violation or potential violation of law or regulation and the information
disclosed is relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to the news media as described in IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(6) Disclose information to an arbitrator, mediator, or other neutral person, and to the parties, in the context of alternative dispute
resolution, to the extent relevant and necessary for the resolution of the matters presented to permit the arbitrator, mediator, or similar
person to resolve the matters presented, including asserted privileges.
</p><p>(7) Disclose information to a former employee of the IRS or a PCA to the extent necessary for official purposes when the IRS requires
information and/or consultation assistance from the former employee regarding a matter within that person’s former area of responsibility.
</p><p>(8) Disclose information to professional organizations or associations with which individuals covered by this system of records may be
affiliated, such as state bar disciplinary authorities, to meet their responsibilities in connection with tax administration and maintenance
of standards of conduct and discipline.
</p><p>(9) Disclose to a contractor, including an expert witness or consultant, hired by the IRS to the extent necessary for the performance of a
contract.
</p><p>(10) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name or Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or
similar number assigned by the IRS), or by PCA names (to the extent they are individuals) and PCA employee name and/or identifying number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Collection, Small Business/Self-Employed Division (SB/SE). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Manager listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Individuals seeking access to any non-tax record contained in this
system of records, or seeking to contest its content, may inquire in accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Disclosure Office listed in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Taxpayers, their representatives and PCAs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 30.003</systemNumber>
<subsection type="systemName">Requests for Printed Tax Materials Including Lists--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Field and campus offices. See the IRS Appendix below for addresses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals that request various IRS printed and electronic materials.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name and address of individuals wanting to receive tax forms, newsletters, publications, or educational products.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to administer tracking and responses to requests for printed tax materials.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to mailing or distribution services contractors for the purpose of executing mail outs, order fulfillment, or
subscription fulfillment.
</p><p>(2) Disclose information to mailing or distribution services contractors for the purpose of maintaining mailing lists.
</p><p>(3) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by name or numerically by zip code.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Agency Wide Shared Services (Publishing Services). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information is supplied by the individual making the request and agency entries made in fulfilling the request.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 30.004</systemNumber>
<subsection type="systemName">Security Violations--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who violate physical security regulations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name of violator, circumstances of violation (e.g., date, time, actions of violator, etc.), supervisory action taken, and other
information pertaining to the violation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to administer programs to track and take appropriate action for security violations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Agency Wide Shared Services (Property, Security, and Records). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Contract guard force and security inspections.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.003</systemNumber>
<subsection type="systemName">Assignment and Accountability of Personal Property Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals receiving government property for use and repair.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Descriptions of property, receipts, reasons for removal, and property passes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain an inventory control over government property assigned to IRS employees for their use and to account for government
property requiring repair.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(4) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(5) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Agency Wide Shared Services (Space and Property). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals who receive government property; request property passes; or who request repairs on equipment.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.009</systemNumber>
<subsection type="systemName">Safety Program Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer safety programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and other individuals involved in IRS motor vehicle accidents, accidents, or injuries, on IRS property, or who have brought
tort or personal property claims against the Service; individuals issued IRS driver’s licenses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual driving records and license applications, motor vehicle accident reports, lost time and no-lost time personal injury
reports, tort and personal property claims case files, informal and formal investigative report files. Injury information is contained in the
Safety and Health Information System (SHIMS), which is part of the records of Treasury .011--Treasury Safety Incident Management
Information System (70 <i>Federal Register</i> 44177-44197 (August 1, 2005)).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and Executive Order 12196.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer the agency’s health and safety program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(3) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(4) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(5) Provide information to the Department of Labor in connection with investigations of accidents occurring in the workplace.
</p><p>(6) Provide information to other federal agencies for the purpose of effecting inter-agency salary offset or interagency administrative
offset.
</p><p>(7) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee or other individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Agency Wide Shared Services. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Individuals seeking access to any non-tax record contained in this
system of records, or seeking to contest its content, may inquire in accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Disclosure Office listed in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>IRS employees, and other claimants and third party witnesses.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.012</systemNumber>
<subsection type="systemName">Emergency Preparedness Cadre Assignments and Alerting Rosters Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees who have been identified as emergency preparedness points of contact.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Cadre assignments: Personal information on employees; e.g., name, address, phone number, family data, security clearance, relocation
assignment, etc. Alerting rosters: Current listing of individuals by name and title, stating their addresses (work, home, and email), and
phone numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To identify emergency preparedness team members and their responsibilities; and to provide a means of contacting cadre members in the
event of any emergency.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Physical Security and Emergency Services. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Cadre members.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.013</systemNumber>
<subsection type="systemName">Identification Media Files System for Employees and Others Issued IRS ID--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and contractors having one or more items of identification. Federal and non-federal personnel working in or visiting IRS
facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, home address, and other personal information and reports on loss, theft, or destruction of pocket commissions, enforcement
badges and other forms of identification.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the issuance and loss of identification media.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee, contractor, or visitor’s name and identification media serial number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Physical Security and Emergency Preparedness. See IRS Appendix below for address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Document 882, New Identification Badge Request; Form 11646, Proximity Card Badge Application; Form 12598, Lost Badge Record; Form
4589, Lost or Forgotten Badge Record; Form 9516, Visitor Badge.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.014</systemNumber>
<subsection type="systemName">Motor Vehicle Registration and Entry Pass Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are issued parking permits because they require continued access to IRS facilities; and parking area violators.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name of employee, registered owner of vehicle, office branch, telephone number, description of car, license number, employee’s
signature, name and expiration date of insurance, decal number; parking violations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track individuals to whom parking permits are issued and to whom parking violations are issued.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee or other individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Physical Security and Emergency Preparedness. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester. The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Parking permits: Employees and other individuals to whom they are issued. Parking violations: Security guard personnel who issue the
tickets.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.016</systemNumber>
<subsection type="systemName">Security Clearance Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Personnel Security Office. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and contractors who require security clearance, or have their security clearance canceled or transferred; individuals who
have violated IRS security regulations regarding classified national security information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, employing office, date of security clearance, level of clearance, reason for the need for the national security clearance, and
any changes in such clearance. Security violations records contain name of violator, circumstance of violation and supervisory action taken.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and Executive Order 11222.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer the national security clearance program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS or DOJ determines that the records are relevant and necessary
to the proceeding or advice sought.
</p><p>(2) Disclose information to agencies and on a need-to-know basis to determine the current status of an individual’s security clearance.
</p><p>(3) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or Social Security number of the employee.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Security (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Security Clearance Records: employee, employee’s personnel records, employee’s supervisor. Security Violation Records: guard reports,
security inspections, supervisor’s reports, etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.021</systemNumber>
<subsection type="systemName">Personnel Security Investigations--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Personnel Security Office. See IRS Appendix below for address.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current, former and prospective employees of IRS, and private contractors at IRS and lock box facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records pertaining to background investigations including application information, references, military service, work and academic
history, financial and tax information, reports of findings and contacts with third party witnesses.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 7801, Executive Orders 10450 and 11222.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To carry out personnel security investigations as to a person’s character, reputation and loyalty to the United States, so as to
determine that person’s suitability for employment, retention in employment, or the issuance of security clearances.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(2) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(3) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(4) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By employee’s name or Social Security number or administrative case control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Security. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(5).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(5).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Subjects of investigation (through employment application forms and interviews, or financial information); third parties including
Federal, state and local government agencies (police, court and vital statistics records), credit reporting agencies, schools and others; and
tax returns and examination results.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(5). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.022</systemNumber>
<subsection type="systemName">Automated Background Investigations System (ABIS)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Personnel Security Office. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former employees of IRS, contractors for IRS/Treasury and Lockbox employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records pertaining to background investigations, including: (1) ABIS records contain Personnel Security employee name, office, start
of employment, series/grade, title, separation date; (2) ABIS tracking records contain investigative status information from point of
initiation through conclusion; (3) ABIS timekeeping records contain assigned cases and distribution of time; (4) ABIS records contain
background investigations; and (5) levels of clearance, date of clearance and any change in status of clearance.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 7801, and Executive Order 11222.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track and administer background investigation records and to analyze trends in suitability matters.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that information may be disclosed to the adjudicative body to resolve issues of
relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(7) Disclose information to professional organizations or associations with which individuals covered by this system of records may be
affiliated, such as state bar disciplinary authorities, to meet their responsibilities in connection with the administration and maintenance
of standards of conduct and discipline.
</p><p>(8) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of individual to whom it applies, Social Security number alias, or date of birth.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Personnel Security. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(5).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(5).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Personnel Security employees, Subjects of investigation (through employment application forms and interviews, or financial
information); third parties including Federal, state and local government agencies (police, court and vital statistics records), credit
reporting agencies, schools and others; and tax returns and examination results.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(5). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 34.037</systemNumber>
<subsection type="systemName">Audit Trail and Security Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who have accessed, by any means, information contained within IRS electronic or paper records or who have otherwise used
any IRS computing equipment/resources, including access to Internet sites; individuals whose information is accessed using IRS
computing equipment/resources; and IRS employees and contractors who use IRS equipment to send electronic communications.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records concerning the use of IRS computing equipment or other resources by employees, contractors, or other individuals to access
IRS information; records concerning individuals whose information was accessed using IRS computing equipment/resources; records
identifying what information was accessed; records concerning the use of IRS computing equipment and other resources to send electronic
communications; and records concerning the investigation of such incidents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 7801, and 18 U.S.C. 1030(a)(2)(B).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To identify and track any unauthorized accesses to SBU and potential breaches or unauthorized disclosures of such information or
inappropriate use of government computers to access Internet sites for any purpose forbidden by IRS policy (e.g., gambling, playing
computer games, or engaging in illegal activity), or to detect electronic communications sent using IRS systems in violation of IRS
security policy.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(4) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to a contractor, including an expert witness or a consultant, hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(7) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, Social Security Number (SSN), or the employee identification number (SEID) of employee, contractor, or other individual who
has been granted access to IRS information, or to IRS equipment and resources, and by incident number. Also by name, SSN or Taxpayer
Identification Number (TIN) of entities whose records were accessed.
</p><p>The report of the altered system of records, as required by 5 U.S.C. 552a(r) of the Privacy Act, has been submitted to the Committee
on Oversight and Government Reform of the House of Representatives, the Committee on Homeland Security and Governmental Affairs of the
Senate and the Office of Management and Budget.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Physical Security and Emergency Services. See IRS Appendix below for address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act,
pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 35.001</systemNumber>
<subsection type="systemName">Reasonable Accommodation Request Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Prospective, current and former employees with disabilities who request reasonable accommodation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records that are used to determine qualification for reasonable accommodation (RA), including medical documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Title VII of the Civil Rights Act of 1964, as amended; Civil Rights Act of 1991; The Rehabilitation Act of 1973, 29
U.S.C. 701 <i>et seq.,</i> as amended; The Americans with Disabilities Act of 1990, 42 U.S.C. 12101 <i>et seq.</i> (ADA); Executive Order
13164, Requiring Federal Agencies to Establish Procedures to Facilitate the Provision of Reasonable Accommodation (July 26, 2000).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track and administer reasonable accommodation requests.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(6) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(7) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(8) Disclose information to a contractor, including an expert witness or a consultant, hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(9) Disclose information to an arbitrator, mediator, or other neutral, in the context of alternative dispute resolution, to the extent
relevant and necessary for resolution of the matters presented, including asserted privileges. Information may also be disclosed to the
parties in the alternative dispute resolution proceeding.
</p><p>(10) Disclose information to the Merit Systems Protection Board and the Office of Special Counsel in personnel, discrimination, and labor
management matters when relevant and necessary to their duties.
</p><p>(11) Disclose information to foreign governments in accordance with international agreements.
</p><p>(12) Disclose information to the Office of Personnel Management and/or to the Equal Employment Opportunity Commission in personnel,
discrimination, and labor management matters when relevant and necessary to their duties.
</p><p>(13) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of employee or applicant for employment who requests reasonable accommodation, and administrative case control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Equal Employment and Diversity. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual requesting accommodation; individual’s manager, individual’s medical practitioner; agency medical representative.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 36.001</systemNumber>
<subsection type="systemName">Appeals, Grievances and Complaints Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computer center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Applicants for Federal employment, current and former Federal employees (including annuitants) who submit appeals, grievances, or
complaints for resolution.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains information or documents relating to a decision or determination made by the IRS or other organization
(e.g., Office of Personnel Management, Equal Employment Opportunity Commission, Merit Systems Protection Board) affecting the employment
status of an individual. The records consist of the initial appeal or complaint, letters or notices to the individual, record of hearings when
conducted, materials placed into the record to support the decision or determination, affidavits or statements, testimonies of witnesses,
investigative reports, instructions to an agency about action to be taken to comply with decisions, and related correspondence, opinions and
recommendations. Automated Labor and Employee Relations Tracking System (ALERTS) records are included to provide administrative tracking for
personnel administration.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1302, 3301, 3302, 4308, 5115, 5338, 5351, 5388, 7105, 7151, 7154, 7301, 7512, 7701 and 8347, Executive Orders 9830, 10577,
10987, 11222, 11478 and 11491; and Pub. L. 92-261 (EEO Act of 1972), and Pub. L. 93-259.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track, and process, employment-related appeals, grievances and complaints.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be only made as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(6) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(7) Disclose information to a contractor, including an expert witness or a consultant, hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(8) Disclose information to a Member of Congress regarding the status of an appeal, complaint or grievance.
</p><p>(9) Disclose information to other agencies to the extent provided by law or regulation and as necessary to report apparent violations of
law to appropriate law enforcement agencies.
</p><p>(10) Disclose information to the Office of Personnel Management, Merit Systems Protection Board or Equal Employment Opportunity Commission
for the purpose of properly administering Federal Personnel Systems in accordance with applicable laws, Executive Orders and regulations.
</p><p>(11) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the individual and administrative case control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Equal Employment and Diversity and Human Capital Officer. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals who file complaints or grievances, IRS and/or other authorized Federal officials, affidavits or statements from employees,
testimony of witnesses, official documents relating to the appeal, grievance, or complaints, and third party correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 36.003</systemNumber>
<subsection type="systemName">General Personnel and Payroll Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Current employee personnel records: National Office, field, computing center and campus offices. Current employee payroll records:
Transactional Processing Center (TPC), U.S. Department of Agriculture, National Finance Center. Former employee personnel records: The
National Archives and Records Administration, National Personnel Records Center.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Prospective, current and former employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system consists of a wide variety of records relating to personnel actions and determinations made about an individual while
employed in the Federal service, including information required by the Office of Personnel Management (OPM) and maintained in the Official
Personnel File (OPF) or Employee Personnel File (EPF). Information is also maintained electronically in Automated Labor and Employee Relations
Tracking System (ALERTS) and Totally Automated Personnel System (TAPS). Listing of employee pseudonyms and Forms 3081 is also included. This
system also includes payroll records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 1302, 2951, 4118, 4308, 4506 and Executive Orders 9397 and 10561.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer personnel and payroll programs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(6) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(7) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(8) Disclose information to a contractor, including an expert witness or a consultant, hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(9) Disclose information to a prospective employer of an IRS employee or former IRS employee.
</p><p>(10) Disclose information to hospitals and similar institutions or organizations involved in voluntary blood donation activities.
</p><p>(11) Disclose information to educational institutions for recruitment and cooperative education purposes.
</p><p>(12) Disclose information to financial institutions for payroll purposes.
</p><p>(13) Disclose information about particular Treasury employees to requesting Federal agencies or non-Federal entities under approved
computer matching efforts, limited to only those data elements considered relevant to making a determination of eligibility under particular
benefit programs administered by those agencies or entities or by the Department of the Treasury or any constituent unit of the Department, to
improve program integrity, and to collect debts and other monies owed under those programs.
</p><p>(14) Disclose information to respond to state and local authorities for support garnishment interrogatories.
</p><p>(15) Disclose information to private creditors for the purpose of garnishment of wages of an employee if a debt has been reduced to a
judgment.
</p><p>(16) Disclose records to the Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, and
General Accounting Office for the purpose of properly administering Federal Personnel systems or other agencies’ systems in accordance with
applicable laws, Executive Orders, and applicable regulations;
</p><p>(17) Disclose information to a Federal, state, or local agency so that the agency may adjudicate an individual’s eligibility for a benefit,
such as a state unemployment compensation board, housing administration agency and Social Security Administration;
</p><p>(18) Disclose information to another agency such as the Department of Labor or Social Security Administration and state and local taxing
authorities as required by law for payroll purposes;
</p><p>(19) Disclose information to Federal agencies to effect inter-agency salary offset; to effect inter-agency administrative offset to the
consumer reporting agency for obtaining commercial credit reports; and to a debt collection agency for debt collection services;
</p><p>(20) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt information concerning a claim against an individual may be made
from this system to consumer reporting agencies as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, social security number (SSN) or other employee identifier, such as standard employee identification number (SEID) or badge
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Human Capital Office. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Personnel and payroll records come from the individual to whom they apply or from agency officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 37.006</systemNumber>
<subsection type="systemName">Correspondence, Miscellaneous Records, and Information Management Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Professional Responsibility (OPR), Internal Revenue Service (IRS), Washington, DC; Detroit Computing Center, Detroit,
Michigan; Martinsburg, West Virginia; and Memphis, Tennessee.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who correspond with OPR, individuals on whose behalf correspondence is initiated, and individuals who are the subject of
correspondence; individuals who file, pursuant to 31 CFR part 10, program sponsor agreements for continuing professional education for
enrolled agents or enrolled retirement plan agents; individuals who request, pursuant to 31 CFR part 10, authorization to make a special
appearance before the IRS to represent another person in a particular matter; former Government employees who, pursuant to 31 CFR part 10,
submit statements that their current firm has isolated them from representations that would create a post-employment conflict of interest;
individuals who appeal from determinations that they are ineligible to engage in limited practice before the IRS under 31 CFR part 10; and
individuals who serve as point of contact for organizations (including organizations that apply for recognition as a sponsor of continuing
professional education for enrolled agents or enrolled retirement plan agents and tax clinics that request OPR to issue authorizations for
special appearances to tax clinic personnel to practice before the IRS).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence (including, but not limited to, letters, faxes, telegrams, and emails) sent and received; mailing lists of, and
responses to, quality and improvement surveys of individuals; program sponsor agreements for continuing professional education; requests for
authorization to make a special appearance before the IRS; statements of isolation from representations that would create a post-employment
conflict of interest; appeals from determinations of ineligibility to engage in limited practice; records pertaining to consideration of these
matters; and workload management records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 7801 and 7803, and 31 U.S.C. 330.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To permit OPR to manage correspondence, to track responses from quality and improvement surveys, to manage workloads, and to collect
and maintain other administrative records that are necessary for OPR to perform its functions under the regulations governing practice before
the IRS, which are set out at 31 CFR part 10 and are published in pamphlet form as Treasury Department Circular No. 230, and its functions
under other grants of authority.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems the purpose of the disclosure to be compatible with the purpose for which the IRS collected the records and
no privilege is asserted:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) the IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by, the proceeding; and the IRS determines that the information is relevant and necessary
to the proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) the IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her individual capacity if the DOJ has
agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be affected by,
the proceeding; and the IRS or the DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, state, local, tribal, or foreign agency, or other public authority, which has requested information
relevant or necessary to hiring or retaining an employee or to issuing, or continuing, a contract, security clearance, license, grant, or
other benefit.
</p><p>(4) Disclose information to a Federal, state, local, tribal, or foreign agency or other public authority responsible for implementing or
enforcing, or for investigating or prosecuting, the violation of a statute, rule, regulation, order, or license when a record on its face, or
in conjunction with other records, indicates a violation or potential violation of law or regulation and the information disclosed is relevant
to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to a contractor to the extent necessary to perform the contract.
</p><p>(6) Disclose information to appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By individual’s name. Non-unique names will be distinguished by addresses.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Professional Responsibility, SE:OPR, 1111 Constitution Avenue NW., Washington, DC 20224.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, Subpart C, Appendix B. Inquiries should be addressed to the system manager listed above.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system, or seeking to contest its content, may inquire in accordance with
instructions appearing at 31 CFR part 1, Subpart C, Appendix B. Inquiries should be addressed to the system manager listed above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals, other correspondents, and Treasury Department records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 37.007</systemNumber>
<subsection type="systemName">Practitioner Disciplinary Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Professional Responsibility (OPR), Internal Revenue Service (IRS), Washington, DC; Martinsburg, West Virginia; and Memphis,
Tennessee.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Subjects and potential subjects of disciplinary proceedings relating to attorneys, certified public accountants, enrolled agents,
enrolled actuaries, enrolled retirement plan agents, appraisers, registered tax return preparers, and any individual who for compensation
prepares or assists with the preparation of all or substantially all of a tax return, claim for refund, or other document pertaining to any
taxpayer’s liability for submission to the IRS; subjects or potential subjects of actions to deny eligibility to engage in limited practice
before the IRS or actions to withdraw eligibility to practice before the IRS in any other capacity; individuals who have received disciplinary
sanctions or whose eligibility to practice before the IRS has been denied or withdrawn; and individuals who have submitted to OPR information
concerning potential violations of 31 CFR part 10.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information sent to, or collected by, OPR concerning potential violations of 31 CFR part 10, including disciplinary decisions and
orders (and related records) of Federal or state courts, agencies, bodies, and other licensing authorities; records pertaining to OPR’s
investigation and evaluation of such information; records of disciplinary proceedings brought by OPR before administrative law judges,
including records of appeals from decisions in such proceedings; petitions for reinstatement to practice before the IRS (and related records);
Federal court orders enjoining individuals from representing taxpayers before the IRS; and press releases concerning such injunctions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 7801 and 7803, and 31 U.S.C. 330.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To enforce and administer the regulations governing practice before the IRS, which are set out at 31 CFR part 10 and are published in
pamphlet form as Treasury Department Circular No. 230; to make available to the general public information about disciplinary proceedings and
disciplinary sanctions; to assist public, quasi-public, or private professional authorities, agencies, organizations, and associations and
other law enforcement and regulatory authorities in the performance of their duties in connection with the administration and maintenance of
standards of integrity, conduct, and discipline; and to assist state tax agencies in their efforts to ensure compliance with ethical rules and
standards of conduct by individuals authorized to practice or individuals who seek permission to practice before the agency.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems the purpose of the disclosure to be compatible with the purpose for which the IRS collected the records and
no privilege is asserted:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by, the proceeding; and the IRS determines that the information is relevant and necessary
to the proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her individual capacity if the IRS or
the DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding; and the IRS or the DOJ determines that the information is relevant and necessary to the proceeding. Information
may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, state, local, tribal, or foreign agency, or other public authority, which has requested information
relevant or necessary to hiring or retaining an employee or to issuing, or continuing, a contract, security clearance, license, grant, or
other benefit.
</p><p>(4) Disclose information to a Federal, state, local, tribal, or foreign agency or other public authority responsible for implementing or
enforcing, or for investigating or prosecuting, the violation of a statute, rule, regulation, order, or license when a record on its face, or
in conjunction with other records, indicates a violation or potential violation of law or regulation and the information disclosed is relevant
to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to a contractor to the extent necessary to perform the contract.
</p><p>(6) Disclose information to third parties during the course of an investigation to the extent deemed necessary by the IRS to obtain
information pertinent to the investigation.
</p><p>(7) Subject to the protective measures in 31 CFR part 10, make available for public inspection or otherwise disclose to the general public
reports and decisions of the Secretary of the Treasury, or his delegate, in disciplinary proceedings, including any reports and decisions of
the administrative law judge.
</p><p>(8) Make available for public inspection or otherwise disclose to the general public, after the final agency decision has been issued or
after OPR has taken final action: (a) The name, mailing address, professional designation (attorney, certified public accountant, enrolled
agent, enrolled actuary, enrolled retirement plan agent, appraiser, registered tax return preparer, or any individual who for compensation
prepares or assists with the preparation of all or substantially all of a tax return, claim for refund, or other document pertaining to any
taxpayer’s liability for submission to the IRS), type of disciplinary sanction, effective dates, and information about the conduct that gave
rise to the sanction pertaining to individuals who have been censured, individuals who have been suspended or disbarred from practice before
the IRS, individuals who have resigned as an enrolled agent, an enrolled retirement plan agent, or a registered tax return preparer in lieu of
a disciplinary proceeding being instituted or continued, individuals upon whom a monetary penalty has been imposed, and individual appraisers
who have been disqualified; and (b) the name, mailing address, representative capacity (family member; general partner; full-time employee or
officer of a corporation, association, or organized group; full-time employee of a trust, receivership, guardianship, or estate; officer or
regular employee of a government unit; an individual representing a taxpayer outside the United States; or unenrolled return preparer), the
fact of the denial of eligibility for limited practice, effective dates, and information about the conduct that gave rise to the denial
pertaining to individuals who have been denied eligibility to engage in limited practice before the IRS pursuant to 31 CFR part 10.
</p><p>(9) Make available for public inspection or otherwise disclose to the general public: The name, mailing address, professional designation
or representative capacity, the fact of being enjoined from representing taxpayers before the IRS, the scope of the injunction, effective
dates, and information about the conduct that gave rise to the injunction pertaining to individuals who have been enjoined by any Federal
court from representing taxpayers before the IRS.
</p><p>(10) Disclose information to a public, quasi-public, or private professional authority, agency, organization, or association, which
individuals covered by this system of records may be licensed by, subject to the jurisdiction of, a member of, or affiliated with, including
but not limited to state bars and certified public accountancy boards, to assist such authorities, agencies, organizations, or associations in
meeting their responsibilities in connection with the administration and maintenance of standards of integrity, conduct, and discipline.
</p><p>(11) Disclose upon written request to a member of the public who has submitted to OPR written information concerning potential violations
of the regulations governing practice before the IRS: (a) That OPR is currently investigating or evaluating the information; (b) that OPR has
determined that no action will be taken, because jurisdiction is lacking, because a disciplinary proceeding would be time-barred, or because
the information does not constitute actionable violations of the regulations; (c) that OPR has determined that the reported conduct does not
warrant a censure, suspension, or disbarment; and (d) if applicable, the name of the authority, agency, organization, or association or
Department of the Treasury or IRS office to which OPR has referred the information.
</p><p>(12) Disclose to the Office of Personnel Management the identity and status of disciplinary cases in order for the Office of Personnel
Management to process requests for assignment of administrative law judges employed by other Federal agencies to conduct disciplinary
proceedings.
</p><p>(13) Disclose information to a state tax agency for tax administration purposes, including the agency’s efforts to ensure compliance with
ethical rules and standards of conduct by individuals authorized to practice or individuals who seek permission to practice before the agency.
</p><p>(14) Disclose information to appropriate agencies, entities, and persons when (a) The IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By individual’s name, social security number (SSN) (where available), or complaint number pertaining to a disciplinary proceeding.
Non-unique names will be distinguished by addresses.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Professional Responsibility, SE:OPR, 1111 Constitution Avenue NW., Washington, DC 20224.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system of records may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Records
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals covered by this system of records; witnesses; Federal or state courts, agencies, or bodies; professional authorities,
agencies, organizations, or associations; state tax agencies; Treasury Department records; and public records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to section (k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), the records contained within this system are exempt from the
following sections of the Act: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 37.009</systemNumber>
<subsection type="systemName">Enrolled Agent and Enrolled Retirement Plan Agent Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Return Preparer Office (RPO), Internal Revenue Service (IRS), Washington, DC; Detroit Computing Center, Detroit, Michigan;
Martinsburg, West Virginia, and Memphis, Tennessee.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals currently or formerly enrolled to practice before the IRS; applicants for enrollment to practice before the IRS, including
those who have appealed denial of applications for enrollment; and candidates for enrollment examinations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications for enrollment to practice before the IRS; records pertaining to RPO’s investigation and evaluation of eligibility for
enrollment; appeals from denials of applications for enrollment (and related records); records relating to enrollment examinations, including
candidate applications, answer sheets, and examination scores; applications for renewal of enrollment, including information on continuing
professional education; and administrative records pertaining to enrollment status, including current status, dates of enrollment, dates of
renewal, and dates of resignation or termination.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 7801 and 7803, and 31 U.S.C. 330.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer the enrollment program under the regulations governing practice before the IRS, which are set out at 31 CFR part 10 and
are published in pamphlet form as Treasury Department Circular No. 230; to make available to the general public sufficient information to
assist taxpayers in locating enrolled individuals and in accurately verifying individuals’ enrollment status; to assist public, quasi-public,
or private professional authorities, agencies, organizations, and associations and other law enforcement and regulatory authorities in the
performance of their duties in connection with the administration and maintenance of standards of integrity, conduct, and discipline; and to
assist state tax agencies in their efforts to ensure compliance with ethical rules and standards of conduct by individuals authorized to
practice or individuals who seek permission to practice before the agency.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems the purpose of the disclosure to be compatible with the purpose for which the IRS collected the records and
no privilege is asserted:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by, the proceeding; and the IRS determines that the information is relevant and necessary
to the proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her individual capacity if the IRS or
the DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding; and the IRS or the DOJ determines that the information is relevant and necessary to the proceeding. Information
may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, state, local, tribal, or foreign agency, or other public authority, which has requested information
relevant or necessary to hiring or retaining an employee or to issuing, or continuing, a contract, security clearance, license, grant, or
other benefit.
</p><p>(4) Disclose information to a Federal, state, local, tribal, or foreign agency or other public authority responsible for implementing or
enforcing, or for investigating or prosecuting, the violation of a statute, rule, regulation, order, or license when a record on its face, or
in conjunction with other records, indicates a violation or potential violation of law or regulation and the information disclosed is relevant
to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to a contractor to the extent necessary to perform the contract.
</p><p>(6) Disclose information to third parties during the course of an investigation to the extent deemed necessary by the IRS to obtain
information pertinent to the investigation.
</p><p>(7) Make available for public inspection or otherwise disclose to the general public the name, enrollment number, and enrollment status
(active, inactive, inactive retired, terminated for failure to meet the requirements for renewal of enrollment, or resigned for reasons other
than in lieu of a disciplinary proceeding being instituted or continued, including effective dates), as well as the mailing address, company
or firm name, telephone number, fax number, email address, and Web site address, pertaining to individuals who are, or were, enrolled to
practice before the IRS.
</p><p>(8) Disclose information to a public, quasi-public, or private professional authority, agency, organization, or association, which
individuals covered by this system of records may be licensed by, subject to the jurisdiction of, a member of, or affiliated with, including
but not limited to state bars and certified public accountancy boards, to assist such authorities, agencies, organizations, or associations in
meeting their responsibilities in connection with the administration and maintenance of standards of integrity, conduct, and discipline.
</p><p>(9) Disclose information to a state tax agency for tax administration purposes, including the agency’s efforts to ensure compliance with
ethical rules and standards of conduct by individuals authorized to practice or individuals who seek permission to practice before the agency.
</p><p>(10) Disclose information to appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By individual’s name (including other names used), social security number (SSN) (where available), enrollment examination candidate
number, enrollment application control number, enrollment number, or street address. Non-unique names will be distinguished by addresses.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Return Preparer Office. See IRS Appendix below for address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals covered by this system of records; witnesses; Federal or state courts, agencies, or bodies; professional authorities,
agencies, organizations, or associations; state tax agencies; Treasury Department records; and public records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to section (k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), the records contained within this system are exempt from the
following sections of the Act: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 37.111</systemNumber>
<subsection type="systemName">Preparer Tax Identification Number (PTIN) Records
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, Field Offices, Campuses, and Computing Centers. (See IRS Appendix below for addresses.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Applicants for a PTIN; registered paid tax return preparers (individuals issued a PTIN); individuals whose application or registration
is rejected, revoked, or suspended. Individual providers of continuing education for paid tax return preparers, including applicants for IRS
approval, approved providers, and former providers. Individual contractors who assist the IRS in reviewing continuing education provider
applications. Individuals who communicate with the IRS regarding the paid tax return preparer registration program or about any specific paid
tax return preparer or continuing education provider.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Administrative records pertaining to paid tax return preparers, including records pertaining to applications for registration, renewal
of registration, revocations, suspensions, and appeals; records pertaining to IRS investigation and evaluation of eligibility for
registration; records relating to proof of identity for applicants who do not have Social Security numbers; records related to competency
testing, including applications, answer sheets, and test scores; records related to background, fingerprint, and tax compliance checks;
records on continuing education requirements to become a registered paid tax return preparer; and information related to testing and education
exemptions due to supervised status and types of returns prepared. Records pertaining to individual providers of continuing education for paid
tax return preparers, including applications for IRS approval of courses or programs, grants and denials of such applications, and records of
participation in offered courses and programs. Records pertaining to individual contractors who assist IRS in reviewing continuing education
provider applications. Records pertaining to received communications.
</p><p>
<i>Note:</i> Disciplinary records pertaining to registered paid tax return preparers are maintained in Treasury/IRS 37.007,
Practitioner Disciplinary Records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801 and 7803; 31 U.S.C. 330.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer records pertaining to the issuance of PTINs to registered paid tax return preparers.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Returns and return information may be disclosed only as authorized by 26 USC 6103. Material covered by rule 6(e) of the Federal Rules
of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the IRS deems that
the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to an arbitrator, mediator, or other neutral, in the context of alternative dispute resolution, to the extent
relevant and necessary for resolution of the matters presented, including asserted privileges. Information may also be disclosed to the
parties in the alternative dispute resolution proceeding.
</p><p>(4) Disclose to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant or necessary
to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(5) Disclose pertinent information to an appropriate Federal, State, local, or tribal agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(6) Disclose information to foreign governments in accordance with international agreements.
</p><p>(7) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(8) Disclose information to professional organizations or associations with which individuals covered by this system of records may be
affiliated, such as state bar and accountancy disciplinary authorities, to meet their responsibilities in connection with the administration
and maintenance of standards of conduct and discipline.
</p><p>(9) To the extent consistent with the American Bar Association’s Model Rules of Professional Conduct, Rule 4.2, disclose to a person the
fact that his chosen legal representative may not be authorized to represent him before the IRS.
</p><p>(10) Disclose information to a contractor, including an expert witness or a consultant, hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(11) Disclose information to a supervised tax return preparer sufficient to identify the supervising tax return preparer, and information
to a supervising tax return preparer sufficient to identify the tax return preparers who have named that individual as their supervisor.
</p><p>(12) Disclose information to a contractor’s financial institution to the extent necessary for the processing of PTIN application and
registration fee payments.
</p><p>(13) Disclose information to a former employee of the IRS to the extent necessary for personnel-related or other official purposes when the
IRS requires information and/or consultation assistance from the former employee regarding a matter within that person’s former area of
responsibility.
</p><p>(14) Disclose information to the public sufficient to identify individuals who have registered with the IRS as a paid tax return preparer
and been issued a PTIN, and to advise the public when such an individual is removed from the program.
</p><p>(15) Disclose information to the public sufficient to identify individual providers of continuing education for paid tax return preparers,
including contact information.
</p><p>(16) Disclose information to appropriate agencies, entities, and persons when: (a) The IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records pertaining to paid tax return preparers may be retrieved by the preparer’s PTIN, name, Taxpayer Identification Number (Social
Security Number or Employer Identification Number), or application number. Records pertaining to individual continuing education providers may
be retrieved by provider name, Taxpayer Identification Number, application number, or course or program number. Records pertaining to
contractors may be retrieved by contractor name or Taxpayer Identification Number, or by contract number. Records pertaining to communications
with individuals regarding the paid tax return preparer registration program may be retrieved by the name of the individual or the name or
other identifying information of a paid tax return preparer or a continuing education provider identified in the communication. Records may
also be retrieved by IRS employee identification number for the employee assigned to the case, project, or determination.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Record retention will be established in accordance with the National Archives and Records Administration Regulations Part 1228,
Subpart B--Scheduling Records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Return Preparer Office. See IRS Appendix below for address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR, Part 1, Appendix B. Written inquiries should be addressed to Director,
Return Preparer Office, at the address provided in the IRS Appendix below. This system of records contains records that are exempt from the
notification, access and contest requirements pursuant to 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. With respect to records other than tax records, see "
Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Applicants and registered paid tax return preparers; Treasury and other Federal agency records; state and municipal government
agencies; contractors; continuing education providers; witnesses; professional organizations; publicly available records such as real estate
records and news media.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some of the records in this system are exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the
Privacy Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.001</systemNumber>
<subsection type="systemName">Examination Administrative Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers who are being considered for examination, or who are, or were, examined to determine an income, estate and gift, excise, or
employment tax liability.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Investigatory materials required in making a tax determination or other verification in the administration of tax laws and all other
sub-files related to the processing of the tax case. This system also includes other management information related to a case and used for tax
administration purposes, including classification and scheduling records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To document the examinations of tax returns or other determinations as to a taxpayer’s tax liability; to document determinations
whether or not to examine a taxpayer; and to analyze trends in taxpayer compliance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer’s name, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or
similar number assigned by the IRS), and document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I, SB/SE., TE/GE, and LB&amp;I . (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Taxpayers’ returns, books and records; informants and other third party witnesses; city and state governments; other Federal agencies;
examinations of other taxpayers; and taxpayers’ representatives.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.002</systemNumber>
<subsection type="systemName">Excise Compliance Programs--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>SB/SE (Excise Program) area and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>These records include information about individuals engaged in any taxable activity related to excise taxes; the filing, preparing, or
transmitting of Federal excise taxes; or witnesses or other parties with knowledge of such taxable activity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include information about individuals who are the subject of excise tax compliance programs administered by the IRS,
including records pertaining to witnesses or other parties with knowledge of such taxable activity.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>These records are used to administer the Federal Excise Compliance Program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of return and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by taxpayer name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer
identification number (EIN), or similar number assigned by IRS), or document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner SB/SE (Excise Program). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Filed IRS Forms 720, 720-TO/CS, 637, 2290, 8849; Customs Form 7501, Entry Summary; dyed diesel fuel inspections; individuals
engaged in any activity related to excise taxes, or the filing, preparing, or transmitting of excise taxes; witnesses or other parties with
knowledge of such activity.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records maintained in this system have been designated as exempt from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)
(G), (H), and (I), and (f) of the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.005</systemNumber>
<subsection type="systemName">Whistleblower Office Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Whistleblower Office, Washington, DC, and Ogden Campus, Ogden, Utah.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>These records include information about individuals who submit allegations of possible tax noncompliance and claims for award to the
Whistleblower Office ("claimants"), claimants’ representatives, and the taxpayers and third parties about whom the information is
received, which is pertinent to a claim for award.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include claimant identity information, allegation information received, claims or award (including supporting
information or documentation), information pertaining to any civil or criminal investigation initiated, or expanded, as a result of the
allegations received by the Whistleblower Office, any other information pertinent to the Whistleblower Office’s determination as to the
amount, if any, of any award for which the claimant may be eligible under 26 U.S.C. 7623, including information pertaining to appeals of award
determinations to the Tax Court (including the results of such appeals).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>26 U.S.C. 7623 and 7801, and 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records in this system will be used to administer the claimant award program under 26 U.S.C. 7623.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103.
</p><p>To the extent authorized by 26 U.S.C. 6103, disclosure may also be made to appropriate agencies, entities, and persons when (1) the IRS
suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the IRS has
determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft
or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the IRS or another agency or
entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with IRS efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data is retrieved by the name or taxpayer identification number (TIN) of the claimant(s), of the taxpayer(s) who are the subject(s) of
the allegation(s), or of third parties identified in the records; the name or Centralized Authorization File (CAF) number of the claimant’s
representative; or an award claim number assigned by the Whistleblower Office.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Whistleblower Office, SE:WO, 1111 Constitution Avenue NW., Washington, DC 20224.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or to contest the content of records; the records are exempt under 5 U.S.C.
552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Claimants and their representatives; Department of the Treasury employees and records; newspapers, court records, and other publicly
available information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated as exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.008</systemNumber>
<subsection type="systemName">Audit Information Management System (AIMS)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers whose tax returns are under the jurisdiction of examiners in W&amp;I, SB/SE, TE/GE and LB&amp;I.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or
other similar number assigned by the IRS) of taxpayers; information from the Master Files (IRS 24.030 and 24.046) and a code identifying
taxpayers that threatened or assaulted IRS employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain information about returns in inventory and closed returns.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I, SB/SE, TE/GE and LB&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and examination files.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.017</systemNumber>
<subsection type="systemName">International Enforcement Program Information Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Division Commissioner, LB&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Any individual having foreign business or financial activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Listing of individual taxpayers, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification
number (EIN), or similar number assigned by IRS), summary of income expenses, financial information as to foreign operations or financial
transactions, acquisition of foreign stock, controlling interest of a foreign corporation, organization or reorganization of foreign
corporation examination results, information concerning potential tax liability, records pertaining to Advanced Pricing Agreements and mutual
agreements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To monitor the International Enforcement Program.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Disclosure of tax convention information
may be made only as provided by 26 U.S.C. 6105. All other records may be used as described below if the IRS deems that the purpose of the
disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and TIN.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, LB&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax convention and treaty partners; individual’s tax returns; examinations of other taxpayers; and public sources of information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.021</systemNumber>
<subsection type="systemName">Compliance Programs and Projects Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who may be involved in tax evasion schemes or noncompliance schemes, including but not limited to withholding
noncompliance or other areas of noncompliance grouped by industry, occupation, or financial transactions; individuals who may be selling or
promoting abusive tax schemes or abusive tax avoidance transactions; individuals who may be in noncompliance with tax laws concerning tax
exempt organizations, return preparers, corporate kickbacks, or questionable Forms W-4, tax evasion schemes involving identity theft,
among others.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records pertaining to individuals in compliance projects and programs, and records used to consider individuals for selection in these
compliance projects and programs.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track information relating to special programs and projects to identify non-compliance schemes and to select individuals involved
in such schemes for enforcement actions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN),
or other similar number assigned by the IRS), or document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioners, W&amp;I, SB/SE, TE/GE, and LB&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.027</systemNumber>
<subsection type="systemName">Data on Taxpayers’ Filings on Foreign Holdings--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Division Commissioner, LB&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who file Form 5471, Information Return with respect to a Foreign Corporation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Names of individuals who file Form 5471.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To monitor individuals who file Form 5471, Controlled Foreign Corporation.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN),
or similar number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, LB&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Form 5471.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.031</systemNumber>
<subsection type="systemName">Anti-Money Laundering/Bank Secrecy Act (BSA) and Form 8300 Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Computing Center and field offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals subject to the reporting and recordkeeping requirements of the BSA, including:
</p><p>(1) Individuals whose businesses provide any of the financial services which subject them to the reporting, recordkeeping or registration
requirements of the laws commonly known as the Bank Secrecy Act (BSA), or the related reporting and recordkeeping requirements of 26 U.S.C.
6050I.
</p><p>(2) Individuals acting as employees, owners or customers of such institutions or involved, directly or indirectly, in any transaction with
such institutions. Examples of institutions that offer financial services are: Currency dealers, check cashiers, money order or traveler’s
check issuers, sellers, or redeemers, casinos, card clubs, and other money transmitters.
</p><p>(3) Individuals who are required to file reports or maintain records required under the Bank Secrecy Act, such as the Report of Foreign
Bank and Financial Accounts and related records.
</p><p>(4) Persons who may be witnesses or may otherwise provide information concerning these individuals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records relate to the administration of the IRS anti-money laundering program including the registration, reporting and recordkeeping
requirements of the BSA and 26 U.S.C. 6050I. They may also relate to individuals who, based upon certain tolerances, exhibit patterns of
financial transactions suggesting noncompliance with the registration, reporting and recordkeeping requirements of the BSA and 26 U.S.C.
6050I. Records may also relate to individuals who are required to file reports or maintain records required under the Bank Secrecy Act, such
as the Report of Foreign Bank and Financial Accounts and related records. Records may also relate to IRS administrative actions, such as
notification, educational or other outreach efforts, examination results, and civil or criminal referrals.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 31 U.S.C. 5311-5332, 26 U.S.C. 6050I, and 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer 26 U.S.C. 6050I and the Bank Secrecy Act.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to appropriate Federal, State, local or foreign agencies responsible for investigating or prosecuting the
violations of or for enforcing or implementing a statute, rule, regulation, order, or license, where the Service becomes aware of an
indication of a potential violation of civil or criminal law or regulation, or the use is required in the conduct of intelligence or counter-
intelligence activities, including analysis, to protect against international terrorism.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(7) Disclose information to any agency, including any State financial institutions supervisory agency, United States intelligence agency or
self-regulatory organization registered with the Securities and Exchange Commission or the Commodity Futures Trading Commission, upon written
request of the head of the agency or organization. The records shall be available for a purpose that is consistent with title 31, as required
by 31 U.S.C. 5319.
</p><p>(8) Disclose information to representatives of the National Archives and Records Administration (NARA) who are conducting records
management inspections under authority of 44 U.S.C. 2904 and 2906.
</p><p>(9) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or similar
number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains material for which sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 42.888</systemNumber>
<subsection type="systemName">Qualifying Therapeutic Discovery Project Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>IRS Campus, Ogden, UT.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who file an Application for a Qualifying Therapeutic Discovery Project credit (or grant in lieu of credit) in their
individual capacity or on behalf of their sole proprietorship.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include information pertaining to the IRS’s administration of the Qualifying Therapeutic Discovery Project Program.
Records include, but are not limited to the application, including Form 8942 and the Project Information Memorandum, representative
authorization information, and a unique administrative control identifier associated with each application for certification. The records may
contain taxpayer names and Taxpayer Identification Numbers (TIN) (social security number (SSN)).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 48D and 7801. Section 9023(a) of The Patient Protection and Affordable Care Act (Pub. L. 111-148) as
amended by the Health Care and Education Reconciliation Act of 2010 (Pub. L. 111-152) [Affordable Care Act].
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To administer, in consultation with the Department of Health &amp; Human Services, a qualifying therapeutic discovery project program
to consider and award certifications for qualified investments eligible for the credit (or, at the taxpayer’s election, the grant) to
qualifying therapeutic discovery project sponsors.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>(1) To disclose certain information to the public regarding the amount of the grant, the identity of the person to whom the grant was made,
and a description of the project with respect to which the grant was made in accordance with the intent of Congress to publicize the projects
that show significant potential to produce new and cost-saving therapies, support good jobs, and increase U.S. competitiveness.
</p><p>(2) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(3) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to a contractor, including an expert witness or a consultant hired by the IRS, to the extent necessary for the
performance of a contract.
</p><p>(7) To appropriate agencies, entities, and persons when: (a) The IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>(8) Disclose information to professional organizations or associations with which individuals covered by this system of records may be
affiliated, such as state bar disciplinary authorities, to meet their responsibilities in connection with the administration and maintenance
of standards of conduct and discipline.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name and Taxpayer Identification Number (TIN) (social security number (SSN), employer identification number (EIN), or
similar number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, SB/SE, 5000 Ellin Road, New Carrollton, MD 20706.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester. The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. For all other records, see "Records Access Procedures"
above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in this system are provided by the applicants, the Department of Health and Human Services, and the IRS taxpayer account
records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 44.001</systemNumber>
<subsection type="systemName">Appeals Case Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, campus, and field offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers who seek administrative review of IRS proposed adjustments and collection actions with which they disagree. Persons who seek
administrative review of initial Freedom of Information Act (FOIA) determinations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Investigatory materials required in making a tax determination or other verification in the administration of tax laws and all other
sub-files related to the processing of the tax case, including history notes and work papers required in an administrative review of an
assessment or other initial tax determination, collection action, or FOIA determination. This system also includes other management
information related to a case.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 5 U.S.C. 552, and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To document the actions taken during Appeals’ administrative review of IRS proposed adjustments, collection actions, or Freedom of
Information Act (FOIA) initial determinations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Appeals. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 44.003</systemNumber>
<subsection type="systemName">Appeals Centralized Data (ACD)--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers who seek administrative review of IRS proposed adjustments and collection actions with which they disagree. Individuals who
seek administrative review of initial Freedom of Information Act (FOIA) determinations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information from 24.030, 24.046, 42.001, and 44.001 systems, related internal management information, including the taxpayer’s DIF
Score, and a code identifying taxpayers that threatened or assaulted IRS employees. Information pertaining to FOIA cases under administrative
appeal.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 5 U.S.C. 552, and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track information about cases in inventory and closed cases.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or other
similar number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Appeals. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Tax returns and other filings made by the individual and agency entries made in the administration of the individual’s tax account.
FOIA administrative appeals and agency entries made in the administration of the FOIA appeal. Also, time reports prepared by Appeals Officers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 44.004</systemNumber>
<subsection type="systemName">Art Case Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office (Appeals). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Famous or noted artists whose works have been evaluated by the Commissioner’s Art Panel or its staff for use in a taxpayer’s case.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Commissioner’s Art Panel or its staff decisions on values of works of art by named artists and appraisal documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To establish value of art works for purposes of tax administration.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(7) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(8) Disclose information to foreign governments in accordance with international agreements.
</p><p>(9) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer, artist, and appraiser name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Appeals. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Commissioner’s Art panel and staff decisions and appraisal documentation.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 44.005</systemNumber>
<subsection type="systemName">Expert Witness and Fee Appraiser Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Expert witnesses for litigation and appraisers, including Art Advisory Panelists whose services may be or are used.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Biographical data, application letters, or list of expert/appraiser names by specialty.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track individuals available for expert witness and appraisal services.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which
IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(4) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(7) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(8) Disclose information to foreign governments in accordance with international agreements.
</p><p>(9) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Expert witness or appraiser name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Appeals. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Records Access Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Expert witnesses, appraisers, or public sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 46.002</systemNumber>
 <subsection type="systemName">Criminal Investigation Management Information System (CIMIS) and case files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Subjects and potential subjects of Criminal Investigation (CI) investigations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Criminal investigatory materials required in making a determination or other verification in the administration of tax and other laws
under the jurisdiction of Criminal Investigation and all other sub-files related to the processing of the case. This system also includes
other management information related to a case and used for administrative purposes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 31 U.S.C. 5311-5332, and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain and process investigative information that identifies patterns of noncompliance (including criminal activity and civil
noncompliance that does not rise to the level of criminal noncompliance) with federal tax laws and other statutes CI is authorized to
investigate.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer’s name and Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN),
or other similar number assigned by the IRS), and administrative case control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3)-(4), (d)(1)-(4), (e)(1)-(3), (e)(4)(G)-(I), (e)
(5), (e)(8), (f) and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 46.003</systemNumber>
 <subsection type="systemName">Confidential Informants--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Confidential informants and subjects of confidential informant’s reports.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information related to confidential informant reports.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the identities of, and related information regarding, confidential informants.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By confidential informant’s name and administrative case control number and by name of subject in informant’s case report.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3)-(4), (d)(1)-(4), (e)(1)-(3), (e)(4)(G)-(I), (e)
(5), (e)(8), (f) and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 46.005</systemNumber>
 <subsection type="systemName">Electronic Surveillance Files--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office (Criminal Investigation). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Subjects of electronic surveillance.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information relating to the conduct of electronic surveillance.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To monitor and track all electronic surveillances conducted by field offices.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By names, addresses, and telephone numbers of the subjects of surveillance.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3)-(4), (d)(1)-(4), (e)(1)-(3), (e)(4)(G)-(I), (e)
(5), (e)(8) (f) and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 46.009</systemNumber>
 <subsection type="systemName">Centralized Evaluation and Processing of Information Items (CEPIIs), Evaluation and Processing of Information (EOI)--
Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals about whom the IRS has received information alleging their commission of, or involvement with, a violation of Federal laws
within IRS jurisdiction, including individuals who may be the victims of identity theft or other fraudulent refund schemes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Copies of income tax returns, special agent’s reports, revenue agent’s reports, reports from police and other investigative agencies,
memoranda of interview, question-and-answer statements, sworn statements, collateral requests and replies, information items, newspaper and
magazine articles and other published data, financial information from public records, court records, confidential reports, case initiating
documents and other similar and related documents.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain and process sensitive investigative information that identifies potential criminal and/or civil noncompliance with federal
tax law and money-laundering laws. To establish linkages between identity theft and other refund fraud schemes that may be used to perfect
filters that identify such fraudulent returns upon filing and to facilitate tax account adjustments for taxpayers victimized by these schemes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the individual about whom information is received or the provider of the information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3)-(4), (d)(1)-(4), (e)(1)-(3), (e)(4)(G)-(I), (e)
(5), (e)(8), (f) and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 46.015</systemNumber>
 <subsection type="systemName">Relocated Witnesses--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Relocated witnesses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records pertaining to the relocation of witnesses for their protection.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By relocated witness’ name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(j)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3)-(4), (d)(1)-(4), (e)(1)-(3), (e)(4)(G)-(I), (e)
(5), (e)(8), (f) and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 46.050</systemNumber>
 <subsection type="systemName">Automated Information Analysis System--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, campus, and computing center offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Taxpayers and other individuals involved in financial transactions that require the filing of information reflected in the "
Categories of records" below.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Reported income, tax, and Bank Secrecy Act information maintained in a variety of existing systems that include: Treasury/IRS 22.034,
24.030, 26.019, 26.020, and 42.001.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records that identify transaction patterns, which are indicative of criminal and/or civil noncompliance with Federal
income tax and money laundering laws.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, address, and social security number (SSN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Criminal Investigation. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(j)(2) and (k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1)-(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)
(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). Additionally, pursuant to 5 U.S.C. 552a(k)(2), it is
exempt from 5 U.S.C. 552a (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act. (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 48.001</systemNumber>
 <subsection type="systemName">Disclosure Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, computing center, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Subjects of ex parte orders or written requests for tax information in non-tax criminal matters or with respect to terrorist
activities under 26 U.S.C. 6103(i).
</p><p>(2) Persons who have made requests or demands for IRS information under Treas. Reg. 301.9000-1 through -6 in matters falling
under the jurisdiction of Privacy, Governmental Liaison and Disclosure (PGLD).
</p><p>(3) Requesters of and intended recipients of letter forwarding services.
</p><p>(4) Persons who have applied for Federal employment or presidential appointments and applicants for Department of Commerce "E"
Awards, for whom tax checks have been requested.
</p><p>(5) Requesters for access to records pursuant to 26 U.S.C. 6103, the Freedom of Information Act (FOIA), 5 U.S.C. 552, and initiators of
requests for access, amendment or other action pursuant to the Privacy Act (PA) of 1974, 5 U.S.C. 552a.
</p><p>(6) Individuals identified on Forms 10848, Report of Inadvertent Disclosure of Tax and Privacy Act (PA) Information.
</p><p>(7) Individuals identified by, or initiating other correspondence or inquiries with, matters falling under the jurisdiction of PGLD.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence, demands and requests for IRS records, responses to those requests, notes and other background information, copies of
records secured, testimony authorizations, tax check documentation, Forms 10848, any documents related to the processing of FOIA, PA or other
requests.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 552, 552a and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the processing of requests or demands for agency records under applicable laws and regulations concerning the disclosure of
official information.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in
his or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to
the proceeding or advice sought.
</p><p>(2) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(3) Disclose debtor information to a Federal payer agency for purposes of salary and administrative offsets, to a consumer reporting agency
to obtain commercial credit reports, and to a debt collection agency for debt collection services.
</p><p>(4) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(5) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been
compromised; (b) the IRS has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or
property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether
maintained by the IRS or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in
connection with IRS efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or other
similar number assigned by the IRS).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Privacy, Governmental Liaison &amp; Disclosure. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 48.008</systemNumber>
 <subsection type="systemName">Defunct Special Service Staff Files Being Retained Because of Congressional Directive--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office (Privacy, Governmental Liaison &amp; Disclosure). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals suspected of violating the internal revenue law by the Special Service Staff before its discontinuation on August 23,
1973.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Individual Master File printouts; returns and field reports; information from other law enforcement government investigative agencies;
Congressional Reports, and news media articles.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To preserve under Congressional Directive the activities of the Special Services Staff before its discontinuation in order to permit
subjects of the former Special Services Staff to view records about themselves. This system is no longer being used by the Internal Revenue
Service. The Special Service Staff was abolished on August 13, 1973.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or DOJ has agreed to provide representation for the employee; or (d) the United States is a party to,
has an interest in, or is likely to be affected by, the proceeding and the IRS determines that the records are relevant and necessary to the
proceeding or advice sought.
</p><p>(2) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By subject name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Privacy, Governmental Liaison &amp; Disclosure. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office 3
(Baltimore) listed in the IRS Appendix below. The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>News media articles, taxpayers’ returns and records, informant and third party information, other Federal agencies and examinations of
related or other taxpayers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 49.001</systemNumber>
 <subsection type="systemName">Collateral and Information Requests System--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, campus, and computing center offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>U.S. citizens, resident aliens, and nonresident aliens whose tax matters come under the jurisdiction of the U.S. competent authority
in accordance with pertinent provisions of tax treaties with foreign countries.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records of interviews with witnesses regarding financial transactions of taxpayers; employment data; bank and brokerage house records;
probate records; property valuations; public documents; payments of foreign taxes; inventories of assets; business books and records.
</p><p>These records relate to tax investigations conducted by the IRS where some aspects on an investigation must be pursued in foreign countries
pursuant to the various tax conventions between the United States and foreign governments. The records also include individual case files of
taxpayers on whom information (as is pertinent to carrying out the provisions of the convention or preventing fraud or fiscal evasion in
relation to the taxes which are the subject of this convention) is exchanged with foreign tax officials of treaty countries.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records of correspondence and other documentation with respect to the exchange of information requests by or to foreign
governments with which the U.S. maintains tax treaties.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Disclosure of tax treaty information may
be made only as provided by 26 U.S.C. 6105. Material covered by rule 6(e) of the Federal Rules of Criminal Procedure may be disclosed only as
permitted by that rule. All other records may be used as described below if the IRS deems that the purpose of the disclosure is compatible
with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, LB&amp;I. See the IRS Appendix below for address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 49.002</systemNumber>
 <subsection type="systemName">Tax Treaty Information Management System--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, campus, and computing center offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>U.S. citizens, resident aliens, and nonresident aliens whose tax matters come under the jurisdiction of the U.S. competent authority
in accordance with pertinent provisions of tax treaties with foreign countries.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Management information regarding investigations of, or information exchange requests about taxpayers pursuant to tax treaties between
the United States and foreign governments, including information from the Master File, including the taxpayer’s DIF Score, and a code
identifying
taxpayers that threatened or assaulted IRS employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the inventory of individual case files of taxpayers who request competent authority assistance pursuant to the provisions of
income tax treaties, or about whom information exchange requests are made by foreign governments pursuant to applicable tax treaties.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Disclosure of tax treaty information may
be made only as provided by 26 U.S.C. 6105. Material covered by rule 6(e) of the Federal Rules of Criminal Procedure may be disclosed only as
permitted by that rule. All other records may be used as described below if the IRS deems that the purpose of the disclosure is compatible
with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, LB&amp;I. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>This system of records contains investigatory material compiled for law enforcement purposes whose sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 50.001</systemNumber>
 <subsection type="systemName">Tax Exempt &amp; Governmental Entities (TE/GE) Correspondence Control Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, campus, and computing center offices (TE/GE). (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Requesters of letter rulings and determination letters, and subjects of field office requests for technical advice and assistance and
other correspondence, including correspondence associated with section 527 organizations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, date, nature and subject of an assignment, and work history. Sub-systems include case files and section 527 records that contain
the correspondence, internal memoranda, digests of issues involved in proposed revenue rulings, and related material.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103 and 6104 where applicable. All other
records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS
collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of requester or the subject of a letter ruling, determination letter, or other correspondence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, TE/GE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, Appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals who request rulings, determination letters, or submit other correspondence, and field offices requesting technical advice
or assistance.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 50.003</systemNumber>
 <subsection type="systemName">Tax Exempt &amp; Government Entities (TE/GE) Reports of Significant Matters--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field, and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who submit letter ruling requests or determination letter requests with respect to organizations, or who are the subjects
of technical advice requests, where the matter raised has some significance to tax administration.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Summaries of significant technical matters pertaining to letter rulings or determination letters under the jurisdiction of the
Division Commissioner, TE/GE.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103 and 6104 where applicable. All other
records may be used as described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS
collected the records, and no privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of the requester or the subject of a letter ruling, determination letter, or other correspondence.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, TE/GE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine if this system of records contains a record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed as in "Record Access Procedures"
below.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Individuals seeking access to any record contained in this system of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be addressed to the Disclosure Office listed
in the IRS Appendix below serving the requester.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individuals who submit determination or letter ruling requests and the employees who process them.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 50.222</systemNumber>
 <subsection type="systemName">Tax Exempt/Government Entities (TE/GE) Case Management Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Division Commissioner, Tax Exempt/Government Entities (TE/GE), National Office, Area Offices, Local Offices, Service
Campuses, and Computing Centers. (See the IRS Appendix below for addresses.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are the subject of or are connected to TE/GE examinations and tax determinations, including compliance projects,
regarding Federal tax exemption requirements, employee plan requirements, and employment tax requirements.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include case identification, assignment, and status information from TE/GE examination and tax determination files,
information about individuals pertaining to TE/GE’s methods of investigating exempt organizations, retirement plans, and government entities
with regard to their compliance with statutory Federal requirements and/or their tax exempt status. In addition, this system contains
identifying information regarding informants who have provided information that is significant and relevant to TE/GE investigations of
taxpayers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system will provide TE/GE records for case management, including employee assignments and file tracking. TE/GE maintains records
on businesses, organizations, employee plans, government entities, and Indian Tribal Government entities and individuals, such as principals
and officers, connected with these entities. Records in this system are used for law enforcement investigations and may contain identifying
information about informants who have provided significant information relevant to investigations of taxpayers.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of return and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as described
below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege
is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer name, Taxpayer Identification Number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or
other similar number assigned by the IRS), or by IRS employee name or identification number for the employee who is assigned the case,
project, or determination.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Division Commissioner, TE/GE. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual. The records are exempt under 5 U.S.C. 552a(k)(2) from the notification provisions of the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed to inspect or contest the content of records. The records are exempt under 5 U.S.C. 552a(k)(2) from
the access provisions of the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from tax returns, application returns and supporting material, determination files, examination files,
compliance review files, compliance programs and projects, and IRS personnel records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated as exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(2). (See 31 CFR 1.36.)
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 60.000</systemNumber>
 <subsection type="systemName">Employee Protection System Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office, field and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals attempting to interfere with the administration of internal revenue laws through assaults, threats, suicide threats,
filing or threats of filing frivolous criminal or civil legal actions against Internal Revenue Service (IRS) employees, or IRS contractors or
the employees’ or contractors’ immediate family members, or through forcible interference against any officer, government contractor or
employee while discharging the official duties at his/her position. An individual is designated as a potentially dangerous taxpayer (PDT),
based on reliable information, furnished to the IRS or Treasury Inspector General for Tax Administration (TIGTA), that fits any of the
criteria (1) through (5) below: (1) Individuals who assault employees or members of the employees’ immediate families, (2) individuals who
attempt to intimidate or threaten employees or members of the employees’ immediate families through specific threats of bodily harm, a show of
weapons, the use of animals, or through other specific threatening or intimidating behavior, (3) individuals who are active members of groups
that advocate violence against IRS employees specifically, or against Federal employees generally where advocating such violence could
reasonably be understood to threaten the safety of IRS employees and impede the performance of their official duties, (4) individuals who have
committed the acts set forth in any of the above criteria, but whose acts have been directed against employees or contractors of other
governmental agencies at Federal, State, county, or local levels, and (5) individuals who are not designated as potentially dangerous
taxpayers through application of the above criteria, but who have demonstrated a clear propensity toward violence through act(s) of violent
behavior within the five-year period immediately preceding the time of referral of the individual to the Employee Protection System (EPS). An
individual is designated as a taxpayer who should be approached with caution (CAU), based on reliable information furnished to the IRS or the
TIGTA, individuals who have threatened physical harm that is less severe or immediate than necessary to satisfy PDT criteria, suicide threat
by the taxpayer, or individuals who have filed or threatened to file a frivolous civil or criminal legal action (including liens, civil
complaints in a court, criminal charges) against any IRS employee or contractor, or their immediate families.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Documents reporting the incident; documentary evidence of the incident (e.g. threatening correspondence, copies of liens and legal
actions); documentation of investigation of incident, with report of investigation, statements, affidavits, and related tax information;
records of any legal action resulting from the incident; local police records of individual named in the incident, if such records are
requested or otherwise provided during investigation of the incident; FBI record of individual named in the incident, if such records are
requested or otherwise provided during investigation of the incident; newspaper or periodical items, or information from other sources,
provided to the IRS or to TIGTA for investigation of individuals who have demonstrated a clear propensity toward violence; correspondence
regarding the reporting of the incident, referrals for investigation, investigation of the incident; and result of investigation (i.e.
designation as PDT or CAU).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and 26 U.S.C. 7801.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain reports by IRS employees or contractors of attempts by individuals to obstruct or impede them or other law enforcement
personnel in the performance of their official duties, investigations into the matters reported, and determinations whether the taxpayers
should be designated a PDT or CAU.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no privilege is asserted.
</p><p>(1) Disclose information during a proceeding before a court, administrative tribunal, or other adjudicative body when: (a) The IRS or any
component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal capacity if the IRS or
DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest in, or is likely to be
affected by, the proceeding and the IRS or DOJ determines that the information is relevant and necessary to the proceeding. Information may be
disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(2) Disclose information to a Federal, State, local, or tribal agency, or other public authority, which has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(3) Disclose information to an appropriate Federal, State, local, tribal, or foreign agency, or other public authority, responsible for
implementing or enforcing, or for investigating or prosecuting the violation of, a statute, rule, regulation, order, or license, when a record
on its face, or in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is
relevant to any regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(4) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name or social security number (SSN) of individual with respect to whom the PDT or CAU designation is being considered and by
administrative case control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Office of Employee Protection. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(2).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed to inspect or contest the content of records. The records are exempt under 5 U.S.C. 552a(k)(2) from
the access provisions of the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records. Other records are exempt from contest as stated in "Record
Access Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The system contains material for which sources need not be reported.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I) and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36.).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 70.001</systemNumber>
 <subsection type="systemName">Individual Income Tax Returns, Statistics of Income--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>National Office and campus offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individual taxpayers whose data is selected for compilation into a statistical sample.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Sources of income, exemptions, deductions, income tax, and tax credits, as reported on Form 1040 series of U.S. Individual income tax
return. The records are used to prepare and publish statistics. The statistics, studies, and compilations are designed so as to prevent
disclosure of any particular taxpayer’s identity.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 26 U.S.C. 6108 and 7801.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103 and 6108. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which IRS collected the records, and no
privilege is asserted.
</p><p>To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with IRS efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By taxpayer identification number (TIN) (e.g., social security number (SSN), employer identification number (EIN), or other similar
number assigned by the IRS), or document locator number (DLN).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in accordance with IRM 1.15, Records Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Research Analysis, and Statistics. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>This system may not be accessed for purposes of determining whether the system contains a record pertaining to a particular
individual; the records are exempt under 5 U.S.C. 552a(k)(4).
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>This system may not be accessed for purposes of inspection or in order to contest the content of records; the records are exempt under
5 U.S.C. 552a(k)(4).
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Form 1040 series of U.S. Individual Income Tax Returns.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>This system has been designated exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy
Act, pursuant to 5 U.S.C. 552a(k)(4). See 31 CFR. 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 90.001</systemNumber>
 <subsection type="systemName">Chief Counsel Management Information System Records --Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel; Office of the Special Counsel to the National Taxpayer Advocate; Offices of the Associate Chief Counsel
(Corporate), (Financial Institutions &amp; Products), (General Legal Services), (Income Tax &amp; Accounting), (International), (Passthroughs
&amp; Special Industries), and (Procedure &amp; Administration); Offices of the Division Counsel/Associate Chief Counsel, (Criminal Tax) and
(Tax Exempt &amp; Government Entities); and Office of the Division Counsel (Large Business &amp; International), (Small Business/Self
Employed) and (Wage &amp; Investment); and Area Counsel offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Individuals who are the subjects of, or are connected to, matters received by or assigned to the Office of Chief Counsel.
</p><p>(2) Chief Counsel employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records that contain summary information concerning the description and status of assignments received in the Office of Chief Counsel.
These records include the names or subjects of a case, the case file number, case status, issues, professional time expended, and due dates.
These records may be used to produce management information on case inventory by taxpayer or employee name and professional time required to
complete an assignment.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801 and 7803; 31 U.S.C. 330.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The computerized Counsel Automated System Environment (CASE) system is used to track, count, and measure the workload of the Office of
Chief Counsel, capturing summary information (such as the name of principal parties or subjects, case file numbers, assignments, status, and
classification) of cases and other matters assigned to Counsel personnel throughout their life cycle. CASE is used to generate reports to
assist management and other employees to keep track of resources and professional time devoted to individual assignments and broad categories
of workload. CASE information is also useful in the preparation of budget requests and other reports to the IRS, to the Treasury Department,
or the Congress. CASE also serves as a timekeeping function for employees of the Office of Chief Counsel directly involved in cases and other
matters.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which the IRS collected the records and no privilege is
asserted. Accordingly, the IRS may:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice, or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by the proceeding, and the IRS determines that the records are relevant and useful.
</p><p>(2) Disclose information in a proceeding (including discovery) before a court, administrative tribunal, or other adjudicative body when:
(a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal
capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest
in, or is likely to be affected by, the proceeding, and the IRS or the DOJ determines that the information is relevant and necessary.
Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to the parties and to an arbitrator, mediator, or other neutral party, in the context of alternative dispute
resolution, to the extent relevant and necessary for resolution of the matters presented, including asserted privileges.
</p><p>(4) Disclose information to a former employee of the IRS to the extent necessary to refresh their recollection for official purposes when
the IRS requires information and/or consultation assistance from the former employee regarding a matter within that individual’s former area
of responsibility.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to a contractor hired by the IRS, including an expert witness or a consultant, to the extent necessary for the
performance of a contract.
</p><p>(7) Disclose information to a Federal, State, local, or tribal agency, or other public authority responsible for implementing, enforcing,
investigating, or prosecuting the violation of a statute, rule, regulation, order, or license, when a record on its face, or in conjunction
with other records, indicates a potential violation of law or regulation and the information disclosed is relevant to any regulatory,
enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(8) Disclose information to a Federal, State, local, or tribal agency, or other public authority that has requested information relevant or
necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(9) To the extent consistent with the American Bar Association’s Model Rules of Professional Conduct, Rule 4.2, disclose to any person the
fact that his chosen legal representative may not be authorized to represent him before the IRS.
</p><p>(10) Disclose information to a public, quasi-public, or private professional authority, agency, organization, or association, with which
individuals covered by this system of records may be licensed by, subject to the jurisdiction of, a member of, or affiliated with, including
but not limited to state bars and certified accountancy boards, to assist such authorities, agencies, organizations and associations in
meeting their responsibilities in connection with the administration and maintenance of standards of integrity, conduct, and discipline.
</p><p>(11) Disclose information to foreign governments in accordance with international agreements.
</p><p>(12) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(13) Disclose information to appropriate agencies, entities, and persons when: (a) The IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name or taxpayer identification number of the individual to whom they apply, employees assigned, and by
workload case number. If there are multiple parties to a proceeding, then the record is generally retrieved only by the name of the first
listed person in the complaint or other document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the records control schedules applicable to the records of the Office of Chief
Counsel, IRM 1.15.13 through 1.15.15.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Chief Counsel (Finance &amp; Management). See the IRS Appendix below for the address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, appendix B. Written inquiries should be addressed to Chief,
Disclosure and Litigation Support Branch, Legal Processing Division, IRS Office of Chief Counsel, CC:PA:LPD:DLS, 1111 Constitution Avenue NW.,
Washington, DC 20224. This system of records may contain records that are exempt from the notification, access, and contest requirements
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>IRS and Chief Counsel employees; Department of Treasury employees; court records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some of the records in this system are exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the
Privacy Act, pursuant to 5 .U.S.C. 552a(j)(2) and 552a(k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 90.002</systemNumber>
 <subsection type="systemName">Chief Counsel Litigation and Advice (Civil) Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel; Offices of the Associate Chief Counsel (Corporate), (Financial Institutions &amp; Products), (General
Legal Services), (Income Tax &amp; Accounting), (International), (Passthroughs &amp; Special Industries), and (Procedure &amp;
Administration); Office of the Division Counsel/Associate Chief Counsel (Tax Exempt &amp; Government Entities); Offices of the Division
Counsel (Large Business &amp; International), (Small Business/Self Employed) and (Wage &amp; Investment); Office of the Special Counsel to the
National Taxpayer Advocate; Office of the Special Counsel to the Office of Professional Responsibility; and Area Counsel offices. (See the IRS
Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Individuals who have requested advice in the form of a letter ruling, closing agreement, or information letter as set forth under
the first annual revenue procedure published by the IRS each year.
</p><p>(2) Individuals who are the subject of technical advice that responds to any request on the interpretation and proper application of tax
laws, tax treaties, regulations, revenue rulings, notices, or other precedents to a specific set of facts that concerns the treatment of an
item in a year under examination or appeal, which is submitted under the second annual revenue procedure published by the IRS each year.
</p><p>(3) Individuals about whom advice has been requested or provided under any other internal rules and procedures, such as may be set forth in
the Internal Revenue Manual (IRM) or Chief Counsel Notices.
</p><p>(4) Individuals who are subjects of, or provide information pertinent to, matters under the jurisdiction of the Office of Professional
Responsibility, when such matters are brought to the attention of Counsel;
</p><p>(5) Individuals who are parties to litigation with the IRS, or in litigation in which the IRS has an interest, or in proceedings before an
administrative law judge.
</p><p>(6) Individuals who have corresponded with, or who are the subjects of correspondence to, the IRS regarding a matter under consideration by
these offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Advice files;
</p><p>(2) Litigation files;
</p><p>(3) Correspondence files;
</p><p>(4) Reference copies of selected work products.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801 and 7803; 31 U.S.C. 330 and 5314.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To represent the IRS’ interests in litigation before the United States Tax Court and in proceedings before administrative law judges;
To assist the Department of Justice in representing the IRS’ interests in litigation before other Federal and state courts; To provide legal
advice and assistance on civil tax administration matters, including matters pertaining to practice before the IRS and the regulation of tax
return preparers; To respond to general inquiries and other correspondence related to these matters; To assist Counsel staff in coordinating
and preparing future litigation, advice, or correspondence, to ensure the consistency of such work products and to retain copies of work
products for historical, legal research, investigational, and similar purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems the purpose of the disclosure is compatible with the purpose for which the IRS collected the records, and no privilege is asserted.
Accordingly, the IRS may:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice, or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by the proceeding, and the IRS determines that the records are relevant and useful.
</p><p>(2) Disclose information in a proceeding (including discovery) before a court, administrative tribunal, or other adjudicative body when:
(a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal
capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest
in, or is likely to be affected by the proceeding and the IRS or the DOJ determines that the information is relevant and necessary.
Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to the parties and to an arbitrator, mediator, or other neutral, in the context of alternative dispute resolution,
to the extent relevant and necessary for resolution of the matters presented, including asserted privileges.
</p><p>(4) Disclose information to a former employee of the IRS to the extent necessary to refresh their recollection for official purposes when
the IRS requires information and/or consultation assistance from the former employee regarding a matter within that individual’s former area
of responsibility.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to a contractor hired by the IRS, including an expert witness or a consultant, to the extent necessary for the
performance of a contract.
</p><p>(7) Disclose information to a Federal, State, local, or tribal agency, or other public authority responsible for implementing, enforcing,
investigating, or prosecuting the violation of a statute, rule, regulation, order, or license, when a record on its face, or in conjunction
with other records, indicates a potential violation of law or regulation and the information disclosed is relevant to any regulatory,
enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(8) Disclose information to a Federal, State, local, or tribal agency, or other public authority that has requested information relevant or
necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(9) To the extent consistent with the American Bar Association’s Model Rules of Professional Conduct, Rule 4.2, and Circular 230, disclose
to any person the fact that his chosen legal representative may not be authorized to represent him before the IRS.
</p><p>(10) Disclose information to a public, quasi-public, or private professional authority, agency, organization, or association, with which
individuals covered by this system of records may be licensed by, subject to the jurisdiction of, a member of, or affiliated with, including
but not limited to state bars and certified accountancy boards, to assist such authorities, agencies, organizations and associations in
meeting their responsibilities in connection with the administration and maintenance of standards of integrity, conduct, and discipline.
</p><p>(11) Disclose information to foreign governments in accordance with international agreements.
</p><p>(12) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(13) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance
Deterrent Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(14) Disclose information to other Federal agencies holding funds of an individual for the purpose of collecting a liability owed by the
individual.
</p><p>(15) Disclose information to appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>Records of the Office of the Associate Chief Counsel (General Legal Services), including the various Area Counsel (General Legal Services),
may also be used as described below if the IRS deems the purpose of the disclosure is compatible with the purpose for which the IRS collected
the records, and no privilege is asserted.
</p><p>(16) Disclose information to the Joint Board of Actuaries in enrollment and disciplinary matters.
</p><p>(17) Disclose information to the Office of Personnel Management, Merit Systems Protection Board, the Office of Special Counsel, and the
Equal Employment Opportunity Commission in personnel, discrimination, and labor management matters.
</p><p>(18) Disclose information to arbitrators, the Federal Labor Relations Authority, including the Office of the General Counsel of that
authority, the Federal Service Impasses Board, and the Federal Mediation and Conciliation Service in labor management matters.
</p><p>(19) Disclose information to the General Services Administration in property management matters.
</p><p>(20) Disclose information regarding financial disclosure statements to the IRS, which makes the statements available to the public as
required by law.
</p><p>(21) Disclose information to other federal agencies for the purpose of effectuating inter-agency salary offset or inter-agency
administrative offset.
</p><p>(22) Disclose information to the Office of Government Ethics in conflict of interest, conduct, financial statement reporting, and other
ethics matters.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures of debt information concerning a claim against an individual may be made from this system to consumer reporting agencies
as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the (1) name(s) of the individual(s) to whom the records pertain, and related individuals; (2) subject matter; (3) certain key
administrative dates; and (4) the internal control number for correspondence. If there are multiple parties to litigation, or other
proceeding, then the record is generally retrieved only by the name of the first listed person in the complaint or other document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>A background investigation is made on personnel. Offices are located in secured areas. Access to keys to these offices is restricted.
Access to records storage facilities is limited to authorized personnel or individuals in the company of authorized personnel. Access controls
are not less than those provided by the Physical Security Standards, IRM 1.16, and Information Technology (IT) Security Policy and Standards,
IRM 10.8.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the records control schedules applicable to the records of the Office of Chief
Counsel, IRM 1.15.13 through 1.15.15 and 1.15.30.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Chief Counsel, Special Counsel to the National Taxpayer Advocate, Special Counsel to the Office of Professional Responsibility,
each Associate Chief Counsel, and each Division Counsel is the system manager of the system in that office. See the IRS Appendix below for
addresses.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, appendix B. Written inquiries should be addressed to Chief,
Disclosure and Litigation Support Branch, Legal Processing Division, IRS Office of Chief Counsel, CC:PA:LPD:DLS, 1111 Constitution Avenue NW.,
Washington, DC 20224. This system of records may contain records that are exempt from the notification, access, and contest requirements
pursuant to 5 U.S.C. 552a(k)(2). The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Taxpayers and their representatives; Department of the Treasury personnel; other Federal agencies; State, local, tribal, and foreign
governments, and other public authorities; witnesses; informants; parties to disputed matters of fact or law; judicial and administrative
proceedings; congressional offices; labor organizations; public records such as telephone books, Internet Web sites, court documents, and real
estate records; individual subjects of legal advice, written determinations, and other correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some of the records in this system are exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the
Privacy Act, pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 90.003</systemNumber>
 <subsection type="systemName">Chief Counsel Litigation and Advice (Criminal) Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Chief Counsel; Office of the Division Counsel/Associate Chief Counsel (Criminal Tax); and Area Counsel (Criminal Tax)
offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Individual subjects of investigations as to their compliance with tax and other laws under the jurisdiction of IRS Criminal
Investigation, with respect to whom criminal recommendations have been made.
</p><p>(2) Individuals who have requested advice, and about whom advice has been requested, concerning tax-related and criminal offenses under the
jurisdiction of IRS Criminal Investigation, where these matters or issues are brought to Counsel’s attention.
</p><p>(3) Individuals who have filed petitions for the remission or mitigation of forfeitures or who are otherwise directly involved as parties
in judicial or administrative forfeiture matters.
</p><p>(4) Individuals who have requested advice, about whom advice has been requested, or with respect to whom a criminal recommendation has been
made concerning non-tax criminal matters delegated to the IRS for enforcement and investigation, such as money laundering (18 U.S.C. 1956 and
1957) and the Bank Secrecy Act (31 U.S.C. 5311-5330).
</p><p>(5) Individuals about whom advice has been requested or provided under any internal rules and procedures, as may be set forth in the
Internal Revenue Manual (IRM), Chief Counsel Notices, or other internal issuances.
</p><p>(6) Individuals who are parties to litigation with the IRS, or in litigation in which the IRS has an interest.
</p><p>(7) Individuals who have corresponded with the IRS regarding a matter under consideration by these offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Advice files;
</p><p>(2) Litigation files;
</p><p>(3) Correspondence files;
</p><p>(4) Reference copies of selected work products.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801 and 7803; 31 U.S.C. 330 and 5311-5332.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To provide legal advice and assistance on criminal tax administration matters, and on nontax criminal matters delegated to the IRS. To
assist the Department of Justice (DOJ) in representing the IRS’ interests in litigation before Federal and State courts. To respond to general
inquiries and other correspondence related to these matters. To assist Counsel staff in coordinating and preparing future litigation, advice,
or correspondence to ensure the consistency of such work products and to retain copies of work products for historical, legal research,
investigational, and similar purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems the purpose of the disclosure is compatible with the purpose for which the IRS collected the records, and no privilege is asserted.
Accordingly, the IRS may:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice, or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by the proceeding, and the IRS determines that the records are relevant and useful.
</p><p>(2) Disclose information in a proceeding (including discovery) before a court, administrative tribunal, or other adjudicative body when:
(a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal
capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest
in, or is likely to be affected by the proceeding and the IRS or the DOJ determines that the information is relevant and necessary.
Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to the parties and to an arbitrator, mediator, or other neutral, in the context of alternative dispute resolution,
to the extent relevant and necessary for resolution of the matters presented, including asserted privileges.
</p><p>(4) Disclose information to a former employee of the IRS to the extent necessary to refresh their recollection for official purposes when
the IRS requires information and/or consultation assistance from the former employee regarding a matter within that individual’s former area
of responsibility.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to a contractor hired by the IRS, including an expert witness or a consultant, to the extent necessary for the
performance of a contract.
</p><p>(7) Disclose information to a Federal, State, local, or tribal agency, or other public authority responsible for implementing, enforcing,
investigating, or prosecuting the violation of a statute, rule, regulation, order, or license, when a record on its face, or in conjunction
with other records, indicates a potential violation of law or regulation and the information disclosed is relevant to any regulatory,
enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(8) Disclose information to a Federal, State, local, or tribal agency, or other public authority that has requested information relevant or
necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(9) To the extent consistent with the American Bar Association’s Model Rules of Professional Conduct, Rule 4.2, disclose to any person the
fact that his chosen legal representative may not be authorized to represent him before the IRS.
</p><p>(10) Disclose information to a public, quasi-public, or private professional authority, agency, organization, or association, with which
individuals covered by this system of records may be licensed by, subject to the jurisdiction of, a member of, or affiliated with, including
but not limited to State bars and certified accountancy boards, to assist such authorities, agencies, organizations and associations in
meeting their responsibilities in connection with the administration and maintenance of standards of integrity, conduct, and discipline.
</p><p>(11) Disclose information to foreign governments in accordance with international agreements.
</p><p>(12) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(13) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance
Deterrent Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(14) Disclose information to other Federal agencies holding funds of an individual for the purpose of collecting a liability owed by the
individual.
</p><p>(15) Disclose information to appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the (1) name(s) of the individual(s) to whom the records pertain, and related individuals; (2) subject matter; (3) certain key
administrative dates; and (4) the internal control number for correspondence. If there are multiple parties to a proceeding, then the record
is generally retrieved only by the name of the first listed person in the complaint or other document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the records control schedules applicable to the records of the Office of Chief
Counsel, IRM 1.15.13 through 1.15.15 and 1.15.30.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Division Counsel/Associate Chief Counsel (Criminal Tax) is the system manager. See the IRS Appendix, below for addresses.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, appendix B. Written inquiries should be addressed to Chief,
Disclosure and Litigation Support Branch, Legal Processing Division, IRS Office of Chief Counsel, CC:PA:LPD:DLS, 1111 Constitution Avenue NW.,
Washington, DC 20224. This system of records may contain records that are exempt from the notification, access, and contest requirements
pursuant to 5 U.S.C. 552a(j)(2). The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Taxpayers, or other subjects of investigation, and their representatives; Department of the Treasury personnel; other Federal
agencies; State, local, tribal, and foreign governments, and other public authorities; witnesses; informants; parties to disputed matters of
fact or law; judicial and administrative proceedings; congressional offices; labor organizations; public records such as telephone books,
Internet Web sites, court documents, and real estate records; individual subjects of legal advice, written determinations, and other
correspondence.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some of the records in this system are exempt from sections (c)(3)-(4); (d)(1)-(4); (e)(1)-(3); (e)(4)(G)-(I);
(e)(5); (e)(8); (f) and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 90.004</systemNumber>
 <subsection type="systemName">Chief Counsel Legal Processing Division Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Associate Chief Counsel (Procedure &amp; Administration), National Office. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who communicate with the IRS regarding access requests under the Freedom of Information Act (FOIA), Privacy Act of 1974,
or 26 U.S.C. 6110, where these matters or issues are brought to Counsel’s attention; payers of user fees under 26 U.S.C. 7528, 6103(p), and 31
U.S.C. 9701; recipients of payments of court judgments; individual taxpayers who are the subject of written determinations or other work
products processed for public inspection under the FOIA or 26 U.S.C. 6110.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Correspondence files.
</p><p>(2) FOIA, Privacy Act, and 26 U.S.C. 6110 requests for Chief Counsel National Office records.
</p><p>(3) Privacy Act requests to amend Chief Counsel National Office records.
</p><p>(4) User fee files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 552, and 552a; 26 U.S.C. 7801 and 7803.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To coordinate searches and to make disclosure determinations with respect to Chief Counsel National Office records sought under FOIA,
the Privacy Act, and 26 U.S.C. 6110. To respond to Privacy Act requests to amend Chief Counsel National Office records. To process user fees
pertaining to Private Letter Rulings, Change in Accounting Methods (Form 3115), Change in Accounting Periods (Form 1128), Advance Pricing
Agreements, and Closing Agreements. To process files for the payment of court judgments.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which the IRS collected the records, and no privilege is
asserted. Accordingly, the IRS may:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice, or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by the proceeding, and the IRS determines that the records are relevant and useful.
</p><p>(2) Disclose information in a proceeding (including discovery) before a court, administrative tribunal, or other adjudicative body when:
(a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal
capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest
in, or is likely to be affected by the proceeding, and the IRS or the DOJ determines that the information is relevant and necessary.
Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the information.
</p><p>(3) Disclose information to the parties and to an arbitrator, mediator, or other neutral, in the context of alternative dispute resolution,
to the extent relevant and necessary for resolution of the matters presented, including asserted privileges.
</p><p>(4) Disclose information to a former employee of the IRS to the extent necessary to refresh their recollection for official purposes when
the IRS requires information and/or consultation assistance from the former employee regarding a matter within that individual’s former area
of responsibility.
</p><p>(5) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(6) Disclose information to a contractor hired by the IRS, including an expert witness or a consultant, to the extent necessary for the
performance of a contract.
</p><p>(7) Disclose information to an appropriate Federal, State, local, or tribal agency, or other public authority responsible for implementing,
enforcing, investigating, or prosecuting the violation of a statute, rule, regulation, order, or license, when a record on its face, or in
conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is relevant to any
regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(8) Disclose information to a Federal, State, local, or tribal agency, or other public authority that has requested information relevant or
necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(9) To the extent consistent with the American Bar Association’s Model Rules of Professional Conduct, Rule 4.2, disclose to any person the
fact that his chosen legal representative may not be authorized to represent him before the IRS.
</p><p>(10) Disclose information to a public, quasi-public, or private professional authority, agency, organization, or association, with which
individuals covered by this system of records may be licensed by, subject to the jurisdiction of, a member of, or affiliated with, including
but not limited to state bars and certified accountancy boards, to assist such authorities, agencies, organizations and associations in
meeting their responsibilities in connection with the administration and maintenance of standards of integrity, conduct, and discipline.
</p><p>(11) Disclose information to foreign governments in accordance with international agreements.
</p><p>(12) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(13) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance
Deterrent Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(14) Disclose information to other Federal agencies holding funds of an individual for the purpose of collecting a liability owed by the
individual.
</p><p>(15) Disclose information to appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By the (1) name(s) of the individual(s) to whom the records pertain, and related individuals; (2) subject matter; (3) certain key
administrative dates; and (4) the internal control number for correspondence. If there are multiple parties to a proceeding, then the record
is generally retrieved only by the name of the first listed person in the complaint or other document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the records control schedules applicable to the records of the Office of Chief
Counsel, IRM 1.15.13 through 1.15.15. Freedom of Information Act request files are retained and disposed of in accordance with IRM 1.15.13.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Chief Counsel (Procedure &amp; Administration), National Office. See the IRS Appendix below for the address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, appendix B. Written inquiries should be addressed to Chief,
Disclosure and Litigation Support Branch, Legal Processing Division, IRS Office of Chief Counsel, CC:PA:LPD:DLS, 1111 Constitution Avenue NW.,
Washington, DC 20224. This system of records may contain records that are exempt from the notification, access, and contest requirements
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Persons who communicate with the IRS regarding FOIA, Privacy Act, and 26 U.S.C. 6110 requests, user fees or judgment payments;
Department of Treasury employees; State, local, tribal, and foreign governments, and other public authorities; other Federal agencies;
witnesses; informants; public sources such as telephone books, Internet Web sites, court documents, and real estate records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>User fee and judgment payment files can be accessed as described above. All other records in this system have been designated as
exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2) and 5
U.S.C. 552a(k)(2). (See 31 CFR 1.36).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 90.005</systemNumber>
 <subsection type="systemName">Chief Counsel Library Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Associate Chief Counsel (Finance &amp; Management), National Office. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) IRS employees who check out materials from the Library or through inter-library loans.
</p><p>(2) Individuals who are the subject of the work products maintained for reference (legal research) purposes on tax issues.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Reference work product, including General Counsel Memoranda (GCMs), Office Memoranda (OMs), Actions on Decision (AODs), briefs,
and other historical issuances dating back to 1916.
</p><p>(2) Internal control records used to catalog and cross-reference records for legal research purposes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801 and 7803; and 31 U.S.C. 330.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the location of materials borrowed from the library or through inter-library loan and to permit the research of the internal
revenue laws.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. Material covered by rule 6(e) of the
Federal Rules of Criminal Procedure may be disclosed only as permitted by that rule. All other records may be used as described below if the
IRS deems that the purpose of the disclosure is compatible with the purpose for which the IRS collected the records, and no privilege is
asserted. Accordingly, the IRS may:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice, or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by the proceeding, and the IRS determines that the records are relevant and useful.
</p><p>(2) Disclose information in a proceeding (including discovery) before a court, administrative tribunal, or other adjudicative body when (a)
the IRS or any component thereof, (b) any IRS employee in his or her official capacity, (c) any IRS employee in his or her personal capacity
where the IRS or the Department of Justice (DOJ) has agreed to provide representation for the employee, or (d) the United States is a party
to, has an interest in, or is likely to be affected by such proceeding, and the IRS or the DOJ determines that the information is relevant and
necessary and not otherwise privileged. Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or
privilege pertaining to the information.
</p><p>(3) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(4) Disclose information to a Federal, State, local, or tribal agency, or other public authority, responsible for implementing or
enforcing, or for investigating or prosecuting the violation of a statute, rule, regulation, order, or license, when a record on its face, or
in conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is relevant to any
regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(5) Disclose information to a Federal, State, local, or tribal agency, or other public authority that has requested information relevant or
necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(6) Disclose information to foreign governments in accordance with international agreements.
</p><p>(7) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance Deterrent
Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(8) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(9) To appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or confirmed
compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’ efforts to
respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the name of the individual(s) to whom they pertain. If there are multiple parties to a proceeding, then the
record is generally retrieved only by the identity of the first listed person in the complaint or other document.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the records control schedules applicable to the records of the Office of Chief
Counsel, IRM 1.15.13 through 1.15.15.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Chief Counsel (Finance &amp; Management), National Office. See the IRS Appendix below for the address.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, appendix B. Written inquiries should be addressed to Chief,
Disclosure and Litigation Support Branch, Legal Processing Division, IRS Office of Chief Counsel, CC:PA:LPD:DLS, 1111 Constitution Avenue NW.,
Washington, DC 20224. This system of records may contain records that are exempt from the notification, access, and contest requirements
pursuant to 5 U.S.C. 552a(j)(2) or (k)(2). The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedures" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>IRS employees; Congress; Department of the Treasury personnel; taxpayers and their representatives; other Federal agencies; witnesses;
informants; State, local, tribal, and foreign governments, and other public authorities; parties to disputed matters of fact and law; other
persons who communicate with the IRS; libraries to and from which inter-library loans are made; public sources such as telephone books,
Internet Web sites, court documents, and real estate records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some of the records in this system are exempt from sections (c)(3)-(4); (d)(1)-(4); (e)(1)-(3); (e)(4)(G)-(I);
(e)(5); (e)(8); (f) and (g) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2). Some of the records in this system are exempt from sections
(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the Privacy Act, pursuant to 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2).
See 31 CFR 1.36.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/IRS 90.006</systemNumber>
 <subsection type="systemName">Chief Counsel Human Resources and Administrative Records--Treasury/IRS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>All Chief Counsel offices. (See the IRS Appendix below for address.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Current and former employees of the Office of Chief Counsel;
</p><p>(2) Applicants for employment in the Office of Chief Counsel;
</p><p>(3) Tax Court witnesses whose expenses are paid by the IRS.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Records relating to personnel actions and determinations made about an individual while employed with the Office of Chief Counsel.
These records include the records maintained in current and former employees’ Official Personnel Folders and Employee Performance Folders, in
accordance with Office of Personnel Management (OPM)’s regulations and instructions, which are described in the notices of OPM’s government-
wide systems of records, OPM/GOVT-1 and OPM/GOVT-2, respectively. The records reflect employment qualifications; employment
history (including performance improvement plan or discipline records); training and awards; reasonable accommodation and similar records
potentially containing medical information; and other recognition. These records include data documenting reasons for personnel actions,
decisions, or recommendations and background material leading to any personnel action (including adverse action).
</p><p>(2) Records relating to payroll processing, such as employee name, date of birth, Social Security number (SSN), home address, grade or
rank, employing organization, timekeeper identity, salary, civil service retirement fund contributions, pay plan, number of hours worked,
leave accrual rate, usage, and balances, deductions for Medicare and/or FICA, Federal, State and city tax withholdings, Federal Employees
Governmental Life Insurance withholdings, Federal Employees Health Benefits withholdings, awards, commercial garnishments, child support
and/or alimony wage assignments, allotments, and Thrift Savings Plan contributions.
</p><p>(3) Employee recruiting records for attorney and non-attorney Chief Counsel Employees (including application files, eligible applicant
listings, and internal control records).
</p><p>(4) Financial records such as travel expenses, notary public expenses, moving expenses, expenses of Tax Court witnesses, fees and expenses
of expert witnesses, and miscellaneous expenses.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; 26 U.S.C. 7801 and 7803; and 31 U.S.C. 330.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To carry out personnel management responsibilities, including but not limited to (1) recommending or taking personnel actions such as
appointments, promotions, separations (e.g., retirements, resignations), reassignments, within-grade increases, disciplinary or adverse
actions; (2) employee training, recognition, or reasonable accommodation; (3) processing payroll so as to ensure that each employee receives
the proper pay and allowances; that proper deductions and authorized allotments are made from employees’ pay; and that employees are credited
and charged with the proper amount of leave; (4) recruitment and other hiring decisions; and (5) to maintain records of individually based
non-payroll expenditures such as expert witness and contractor expenses necessary to the operations of the Office. The records may also be
used as a basis for staffing and budgetary planning and control, organizational planning, and human resource utilization.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure of returns and return information may be made only as provided by 26 U.S.C. 6103. All other records may be used as
described below if the IRS deems that the purpose of the disclosure is compatible with the purpose for which the IRS collected the records,
and no privilege is asserted. Accordingly, the IRS may:
</p><p>(1) Disclose information to the Department of Justice (DOJ) when seeking legal advice, or for use in any proceeding, or in preparation for
any proceeding, when: (a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his
or her individual capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party
to, has an interest in, or is likely to be affected by the proceeding, and the IRS determines that the records are both relevant and necessary
to the proceeding or advice sought. Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or
privilege pertaining to the information.
</p><p>(2) Disclose information in a proceeding (including discovery) before a court, administrative tribunal, or other adjudicative body when:
(a) The IRS or any component thereof; (b) any IRS employee in his or her official capacity; (c) any IRS employee in his or her personal
capacity if the IRS or the DOJ has agreed to provide representation for the employee; or (d) the United States is a party to, has an interest
in, or is likely to be affected by, the proceeding, and the IRS or the DOJ determines that the information is relevant and necessary to the
proceeding. Information may be disclosed to the adjudicative body to resolve issues of relevancy, necessity, or privilege pertaining to the
information.
</p><p>(3) Disclose information to a court, authorized official acting pursuant to a court order or state or local law, a state agency, or the
office of a bankruptcy trustee, for the purpose of implementing a garnishment or wage assignment order.
</p><p>(4) Disclose information to all individuals, and/or a court, adjudicative body, or other administrative body, where multiple related
individuals are represented before the Service by one attorney, and a potential or actual conflict of interest arises, and the attorney fails
to provide adequate confirmation to the Service that full disclosure of the conflict of interest situation has been made to all taxpayers and
that all agree to the representation.
</p><p>(5) Disclose information to the defendant in a criminal prosecution, the Department of Justice, or a court of competent jurisdiction where
required in criminal discovery or by the Due Process Clause of the Constitution.
</p><p>(6) Disclose information to the parties and to arbitrators, the Federal Labor Relations Authority, including the Office of the General
Counsel of that authority, the Federal Service Impasses Board and the Federal Mediation and Conciliation Service in labor management matters.
</p><p>(7) Disclose the results of a drug test performed at the work site, as provided by section 503 of the Supplemental Appropriations Act of
1987, Public Law 100-71, (101 Stat. 391, 468-471).
</p><p>(8) Disclose information to a former employee of the IRS to the extent necessary to refresh their recollection for official purposes when
the IRS requires information and/or consultation assistance from the former employee regarding a matter within that individual’s former area
of responsibility.
</p><p>(9) Disclose information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to
the investigation.
</p><p>(10) Disclose information to a contractor hired by the IRS, including an expert witness or a consultant, to the extent necessary for the
performance of a contract.
</p><p>(11) Disclose pertinent information to a Federal, State, local, or tribal agency, or other public authority responsible for implementing,
enforcing, investigating, or prosecuting the violation of a statute rule, regulation, order, or license, when a record on its face, or in
conjunction with other records, indicates a potential violation of law or regulation and the information disclosed is relevant to any
regulatory, enforcement, investigative, or prosecutorial responsibility of the receiving authority.
</p><p>(12) Disclose information to a Federal, State, local, or tribal agency, or other public authority that has requested information relevant
or necessary to hiring or retaining an employee, or issuing or continuing a contract, security clearance, license, grant, or other benefit.
</p><p>(13) To the extent consistent with the American Bar Association’s Model Rules of Professional Conduct, Rule 4.2, disclose to any person the
fact that his chosen legal representative may not be authorized to represent him before the IRS.
</p><p>(14) Disclose information to a public, quasi-public, or private professional authority, agency, organization, or association, with which
individuals covered by this system of records may be licensed by, subject to the jurisdiction of, a member of, or affiliated with, including
but not limited to state bars and certified accountancy boards, to assist such authorities, agencies, organizations and associations in
meeting their responsibilities in connection with the administration and maintenance of standards of integrity, conduct, and discipline.
</p><p>(15) Disclose information to foreign governments in accordance with international agreements.
</p><p>(16) Disclose information to officials of labor organizations recognized under 5 U.S.C. Chapter 71 when relevant and necessary to their
duties of exclusive representation.
</p><p>(17) Disclose information to the news media as described in the IRS Policy Statement P-1-183, News Coverage to Advance
Deterrent Value of Enforcement Activities Encouraged, IRM 1.2.1.2.41.
</p><p>(18) Disclose information regarding financial disclosure statements to the IRS, which makes the statements available to the public as
required by law.
</p><p>(19) Disclose information to other Federal agencies holding funds of an individual for the purpose of collecting a liability owed by the
individual.
</p><p>(20) Disclose information to the Joint Board of Actuaries in enrollment and disciplinary matters.
</p><p>(21) Disclose information to the Office of Personnel Management, Merit Systems Protection Board, the Office of Special Counsel, and the
Equal Employment Opportunity Commission in personnel, discrimination, and labor management matters.
</p><p>(22) Disclose information to the General Services Administration in property management matters.
</p><p>(23) Disclose information to the Office of Government Ethics in conflict of interest, conduct, financial statement reporting, and other
ethics matters.
</p><p>(24) Disclose information to appropriate agencies, entities, and persons when (a) the IRS suspects or has confirmed that the security or
confidentiality of information in the system of records has been compromised; (b) the IRS has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the IRS or another agency or entity) that rely upon the compromised
information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the IRS’
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>(25) Disclose information to the General Services Administration Board of Contract Appeals, the Government Accountability Office, and other
Federal agencies that address contracting issues in connection with disputes and protests of procurement actions and decisions.
</p><p>Disclosure to consumer reporting agencies:
</p><p>Disclosures of debt information concerning a claim against an individual may be made from this system to consumer reporting agencies
as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper records and electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are generally retrieved by the name or taxpayer identity number of the individual to whom they apply. Records pertaining to
expert witnesses may also be retrieved by the name of a party to the proceeding for which the expert was retained.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access controls are not less than those published in IRM 10.8, Information Technology (IT) Security, and IRM 10.2, Physical Security
Program.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with the records control schedules applicable to the records of the Office of Chief
Counsel, IRM 1.15.13 through 1.15.15, and to personnel records, IRM 1.15.38 and 1.15.39.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Division Counsel/Associate Chief Counsel is the system manager of records in their respective offices. See the IRS Appendix below
for addresses.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking notification and access to any record contained in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR part 1, appendix B. Written inquiries should be addressed to Chief,
Disclosure and Litigation Support Branch, Legal Processing Division, IRS Office of Chief Counsel, CC:PA:LPD:DLS, 1111 Constitution Avenue NW.,
Washington, DC 20224. This system of records may contain records that are exempt from the notification, access, and contest requirements
pursuant to 5 U.S.C. 552a(k)(2). The IRS may assert 5 U.S.C. 552a(d)(5) as appropriate.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above. 26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Department of the Treasury personnel; Tax Court and expert witnesses; other Federal agencies; witnesses; State, local, tribal, and
foreign governments, and other public authorities; references provided by the applicant, employee, or expert witness; former employers; public
records such as telephone books, Internet Web sites, court documents, and real estate records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Some of the records in this system are as exempt from sections (c)(3), (d)(1)-(4), (e)(1), (e)(4)(G)-(I), and (f) of the
Privacy Act, pursuant to 5 U.S.C. 552a(k)(5). See 31 CFR 1.36.
</p><p><b>IRS Appendix
</b></p><p>This appendix contains the addresses of Treasury/IRS system locations along with the title of the principal system manager(s).
Internal Revenue Service (IRS) system locations are geographically dispersed through field offices. Additional information regarding the
structure and locations of the IRS is available on the Internet at <i>www.irs.gov.</i> Select the "About the IRS" tab or contact
one of the Disclosure Offices.</p>
<p><i>Internal Revenue Service Disclosure Offices for Privacy Act Requests
</i></p><p>Access and amendment requests for records maintained in IRS systems should be marked "Privacy Act Request" on the outside
and mailed to the following address:
</p><p>Internal Revenue Service, Disclosure Scanning Operation--Stop 93A, Post Office Box 621506, Atlanta, GA 30362-3006.
</p><p><i>IRS System Locations
</i></p><p>The National Office of the IRS and the address for the following systems managers is: 1111 Constitution Avenue NW., Washington, DC.
The listing below is arranged according to organizational lines. Any exception to the location of an office is indicated accordingly.
</p><p>Commissioner, Internal Revenue Service
</p><p>Chief of Staff, Office of the Secretariat
</p><p>Chief, Communications and Liaison
</p><p>Chief, Equal Employment Opportunity and Diversity
</p><p>Director, Research, Analysis, Statistics
</p><p>National Taxpayer Advocate
</p><p>Chief, Appeals, 1099 14th Street NW., Washington, DC
</p><p>Director, Strategy &amp; Finance
</p><p>Director, Technical Services
</p><p>Director, Field Operations--East
</p><p>Director, Field Operations--West, 24000 Avila Road, Laguna Niguel, CA
</p><p>Deputy Commissioner for Services &amp; Enforcement
</p><p>Division Commissioner, Large Business &amp; International Division (LB&amp;I), 9th &amp; H Street, Washington, DC
</p><p>Director, Physical Security and Emergency Preparedness
</p><p>Director, Privacy, Governmental Liaison, and Disclosure
</p><p>Service &amp; Enforcement Office Locations: Division Commissioner, Small Business/Self-Employed (SB/SE)
</p><p>Division Commissioner, Tax Exempt and Government Entities (TE/GE) Division, 999 North Capital Street NE., Washington, DC
</p><p>Division Commissioner, Wage and Investment (W&amp;I), 401 W. Peachtree Street, Atlanta, GA
</p><p>Chief, Criminal Investigation
</p><p>Director, Office of Professional Responsibility
</p><p>Director, Return Preparer Office
</p><p>Deputy Commissioner Operations Support
</p><p>Chief Technology Officer
</p><p>Chief Financial Officer
</p><p>Chief Human Capital Officer
</p><p>Chief, Agency Wide Shared Services
</p><p>Large Business &amp; International (LB&amp;I), 9th &amp; H Street, Washington, DC
</p><p>Deputy Division Commissioner, Domestic
</p><p>Deputy Division Commissioner, International
</p><p>Director, Management &amp; Finance
</p><p>Director, Business System Planning
</p><p>Director, Planning, Analysis, Inventory, &amp; Research
</p><p>Director, Communications &amp; Liaison
</p><p>Director, Equity, Diversity &amp; Inclusion
</p><p>Director, Pre-Filing and Technical Guidance
</p><p>Director, Shared Support
</p><p>LB&amp;I Industry Directors:
</p><p>Industry Director, Communications, Technology and Media, 1301 Clay Street, Oakland, CA
</p><p>Industry Director, Financial Services, 290 Broadway, New York, NY
</p><p>Industry Director, Global High Wealth
</p><p>Industry Director, Heavy Manufacturing and Pharmaceuticals, 111 Wood Avenue South, Iselin, NJ
</p><p>Industry Director, Natural Resources and Construction, 1919 Smith Street, Houston, TX
</p><p>Industry Director, Retailers, Food, Transportation, and Healthcare, 1901 Butterfield Road, Downers Grove, IL
</p><p>LB&amp;I Overseas Offices:
</p><p>Berlin, Germany--Internal Revenue Service, c/o United States Embassy, PSC 120, Box 3000, APO AE 09265
</p><p>London, England--Internal Revenue Service, E/IRS--U.S. Embassy, PSC--801, Box 44, FPO AE 09498-4044
</p><p>Plantation, Florida (covers Mexico, Central &amp; South America, Caribbean)--IRS, Plantation, 7850 SW., 6th Court, Plantation, FL
</p><p>Paris, France--Internal Revenue Service, PSC 116, Box E-414, APO AE 09777
</p><p>Tokyo, Japan--IRS, American Embassy, Unit 45004, Box 208, APO AP 96337-0001
</p><p>Small Business/Self-Employed
</p><p>Director, Communications, Liaison and Disclosure
</p><p>Director, Collection
</p><p>Director, Compliance Services, Campus Operations
</p><p>Director, EEO
</p><p>Director, Examination
</p><p>Director, Fraud/BSA
</p><p>Director, Specialty Programs
</p><p>SB/SE Field Area Offices:
</p><p>Collection Area Directors:
</p><p>North Atlantic, 290 Broadway, New York, NY
</p><p>South Atlantic, 5000 Ellin Road, Lanham, MD
</p><p>Central Area, 477 Michigan Avenue, Detroit, MI
</p><p>Midwest Area, 230 South Dearborn, Chicago, IL
</p><p>Gulf States Area, 801 Broadway, Nashville, TN
</p><p>Western Area, 915 Second Avenue, Seattle, WA
</p><p>California Area, 1301 Clay Street, Oakland, CA
</p><p>Examination Area Directors
</p><p>North Atlantic, 15 New Sudbury Street, Boston, MA
</p><p>Central Area, 600 Arch Street, Philadelphia, PA
</p><p>South Atlantic, 400 W. Bay, Jacksonville, FL
</p><p>Midwest, 316 N. Robert, St. Paul, MN
</p><p>Gulf States, 4050 Alpha Road, Dallas, TX
</p><p>Western, 600 17th Street, Denver, CO
</p><p>California, 300 N, Los Angeles Street, Los Angeles, CA
</p><p>Tax Exempt &amp; Government Entities, 999 North Capitol Street NW., Washington DC
</p><p>Director, Employee Plans
</p><p>Director, Exempt Organizations
</p><p>Director, Government Entities
</p><p>Director, Customer Account Services
</p><p>Director, Business Systems Planning
</p><p>Director, Research &amp; Analysis
</p><p>Director, Communications &amp; Liaison
</p><p>Director, Finance
</p><p>Director, Human Resources
</p><p>Director, Planning
</p><p>EEOD Program Manager
</p><p>Wage &amp; Investment, 401 W Peachtree Street, Atlanta, GA
</p><p>Director, Earned Income Tax Credit and Health Coverage Tax Credit
</p><p>Director, Customer Account Services Consolidation
</p><p>Director, Strategy &amp; Finance
</p><p>Director, EEO &amp; Diversity
</p><p>Director, Business Systems Planning
</p><p>Director, Human Capital
</p><p>Director, Customer Assistance Relationships and Education
</p><p>Director, Customer Account Services
</p><p>Director, Compliance
</p><p>Health Care Tax Credit (HCTC) office locations:
</p><p>Production System--HCTC Qwest, 22810 International Dr., Sterling, VA
</p><p>Customer Contact Center--HCTC Affina, 131 Tower Park Drive, Suite 300, Waterloo, IA
</p><p>HCTC Delivery Center--HCTC Accenture, 15115 Park Row, Houston, TX
</p><p>HCTC Program Office--HCTC IRS, 1750 Pennsylvania Ave, 2nd Floor, Washington, DC
</p><p>Criminal Investigation
</p><p>Director, Operations Policy and Support
</p><p>Director, Field Operations
</p><p>Director, Strategy
</p><p>Director, Refund Crimes
</p><p>Director, Communications and Education
</p><p>Director, EEO &amp; Diversity
</p><p>CI Directors of Field Operations:
</p><p>North Atlantic, 600 Arch Street, Philadelphia, PA
</p><p>Mid-Atlantic, 31 Hopkins Plaza, Baltimore, MD
</p><p>Southeast, 401 West Peachtree Avenue, Atlanta, GA
</p><p>Central, 2001 Butterfield Road, Downers Grove, IL
</p><p>Midstates, 4050 Alpha Road, Farmers Branch, TX
</p><p>Pacific, 24000 Avila Road, Laguna Niguel, CA
</p><p>Automated Criminal Investigation Office, 7940 Kentucky Drive, Florence, KY
</p><p>Operations Support Office Locations:
</p><p>Director, Information Technology
</p><p>Director, Stakeholder Management
</p><p>Director, Information Security
</p><p>Director, Return Preparer Office
</p><p>Associate CIO, Management
</p><p>Associate CIO, Business Systems Modernization
</p><p>Associate CIO, Information Technology Services
</p><p>Associate CIO, Enterprise Services
</p><p>Computing Centers:
</p><p>Martinsburg Computing Center, Martinsburg, WV
</p><p>Detroit Computing Center, 985 Michigan Ave., Detroit, MI
</p><p>Finance Office
</p><p>Associate CFO for Performance Budgeting
</p><p>Associate CFO for Revenue Financial Management
</p><p>Associate CFO for Internal Financial Management
</p><p>Director, Assistance and Review
</p><p>Human Capital Office
</p><p>Director, Executive Services
</p><p>Director, Leadership and Education
</p><p>Director, Organizational Change Program Office
</p><p>Director, Field Personnel Services
</p><p>Director, Personnel Policy
</p><p>Director, Planning and Measures
</p><p>Director, Program Management Office
</p><p>Director, Talent and Technology Management
</p><p>Director, Workforce Relations
</p><p>Agency-Wide Shared Services
</p><p>Director, Real Estate and Facilities Management, 2221 South Clark Street, Arlington, VA
</p><p>Director, Procurement
</p><p>Director, EEO &amp; Diversity, Field Services
</p><p>Director, Competitive Sourcing Program
</p><p>Director, Employee Support Services, 290 Broadway, New York, NY
</p><p>Director, Assurance Programs
</p><p>Director, Emergency Management Programs
</p><p>Director, Certification, Testing, Evaluation and Assessment
</p><p>Director, Modernization and Systems Security Engineering
</p><p>Director, Personnel Security, 5 Spiral Drive, Suite 2, Florence, KY
</p><p>Chief Counsel System Locations:
</p><p>The offices of the Chief Counsel for the Internal Revenue Service are located at: 1111 Constitution Avenue NW., Washington, DC. Offices at
this address include:
</p><p>Chief Counsel
</p><p>Deputy Chief Counsel (Operations)
</p><p>Deputy Chief Counsel (Technical)
</p><p>Special Counsel to the National Taxpayer Advocate
</p><p>Associate Chief Counsel (Corporate), (Financial Institutions &amp; Products), (Finance &amp; Management), (General Legal Services),
(International), (Income Tax &amp; Accounting), (Procedure &amp; Administration), and (Passthroughs &amp; Special Industries)
</p><p>Associate Chief Counsel/Division Counsel (Criminal Tax), and (Tax Exempt &amp; Government Entities)
</p><p>Division Counsel (Large Business &amp; International)
</p><p>Division Counsel (Wage &amp; Investment)
</p><p>Division Counsel (Small Business/Self-Employed)
</p><p>Addresses of Chief Counsel and Area Counsel Offices
</p><p>National Office: 1111 Constitution Avenue NW., Washington, DC.
</p><p>Offices at this address: Office of the Chief Counsel; Offices of the Deputy Chief Counsel; Offices of the Associate Chief Counsel
(Corporate), (Financial Institutions &amp; Products), (Finance &amp; Management), (General Legal Services), (International), (Income Tax &amp;
Accounting), (Procedure &amp; Administration), and (Passthroughs &amp; Special Industries); Office of the Special Counsel to the National
Taxpayer Advocate; Offices of the Division Counsel/Associate Chief Counsel (Criminal Tax), and (Tax Exempt &amp; Government Entities); Offices
of the Division Counsel (Large Business &amp; International) and (Wage &amp; Investment).
</p><p>Division Counsel (Small Business/Self-Employed) National Office, 5000 Ellin Road, Lanham, MD.
</p><p>Area Counsel Offices (Alphabetical by State)
</p><p>Various components of Chief Counsel may have offices at the same Area Counsel office location. The abbreviations following each address
indicate the Chief Counsel divisions having offices at that location. The abbreviations represent the following offices:
</p><p>CT--Office of the Division Counsel/Associate Chief Counsel (Criminal Tax)
</p><p>GLS--Office of the Associate Chief Counsel (General Legal Services)
</p><p>LB&amp;I-- Office of the Division Counsel (Large Business &amp; International)
</p><p>SB/SE--Office of the Division Counsel (Small Business/Self-Employed)
</p><p>TE/GE--Office of the Division Counsel/Associate Chief Counsel (Tax Exempt &amp; Government Entities)
</p><p>Note: </p><p>Matters involving taxpayers falling under the jurisdiction of the Office of Division Counsel (Wage &amp; Investment) are
coordinated by area SB/SE offices.
</p><p>801 Tom Martin Drive, Birmingham, AL. (SB/SE)
</p><p>4041 N. Central Ave., Phoenix, AZ. (CT, LB&amp;I, SB/SE)
</p><p>Chet Holifield Building, 24000 Avila Road, Laguna Niguel, CA. (LB&amp;I, SB/SE)
</p><p>Federal Building, 300 N. Los Angeles Street, Los Angeles, CA. (CT, LB&amp;I, SB/SE, TE/GE)
</p><p>1301 Clay Street, Oakland, CA. (LB&amp;I)
</p><p>4330 Watt Avenue, Sacramento, CA. (SB/SB)
</p><p>701 B Street, San Diego, CA. (CT, LB&amp;I, SB/SE)
</p><p>100 First Street, San Francisco, CA. (CT, GLS, LB&amp;I, SB/SE)
</p><p>55 South Market Street, San Jose, CA. (LB&amp;I, SB/SE)
</p><p>950 Hampshire Road, East Pavilion, Thousand Oaks, CA. (SB/SE, TE/GE)
</p><p>333 East River Drive, Commerce Center One, Hartford, CT. (CT, LB&amp;I, SB/SE)
</p><p>600 17th Street, Denver, CO. (CT, LB&amp;I, SB/SE, TE/GE)
</p><p>455 Massachusetts Ave. NW., Washington, DC. (LB&amp;I, SB/SE)
</p><p>Federal Office Building, 400 West Bay Street, Jacksonville, FL. (CT, LB&amp;I, SB/SE)
</p><p>1000 South Pine Island Road, Plantation, FL. (CT, LB&amp;I, SB/SE)
</p><p>Federal Office Building, 51 SW. First Avenue, Miami, FL. (CT, LB&amp;I, SB/SE)
</p><p>401 West Peachtree Street NW., Atlanta, GA. (CT, GLS, LB&amp;I, SB/SE)
</p><p>PJKK Federal Building, 300 Ala Moana Boulevard, Honolulu, HI. (SB/SE)
</p><p>200 West Adams Street, Chicago, IL. (CT, GLS, LB&amp;I, SB/SE., TE/GE)
</p><p>1901 Butterfield Road, Downers Grove, IL. (LB&amp;I)
</p><p>Minton-Capehart Federal Building, 575 N. Pennsylvania Street, Indianapolis, IN. (CT, SB/SE)
</p><p>462 S. Fourth Street, Louisville, KY. (CT, SB/SE)
</p><p>F. Edward Hebert Federal Building, 600 South Maestri Place, New Orleans, LA. (CT, SB/SE)
</p><p>31 Hopkins Plaza, Baltimore, MD. (SB/SE, TE/GE)
</p><p>10 Causeway Street, Boston, MA. (CT, LB&amp;I, SB/SE)
</p><p>500 Woodward Avenue, Detroit, MI. (CT, LB&amp;I, SB/SE)
</p><p>380 Jackson Street, St. Paul, MN. (CT, LB&amp;I, SB/SE)
</p><p>2345 Grand Boulevard, Kansas City, MO. (LB&amp;I, SB/SE)
</p><p>1222 Spruce Street, St. Louis, MO. (CT, SB/SE)
</p><p>The Roman L. Hruska U.S. Courthouse, 111 South 18th Plaza, Omaha, NE. (SB/SE)
</p><p>110 City Parkway, Las Vegas, NV. (CT, SB/SE)
</p><p>Metro Park Office Complex, 111 Wood Avenue, South, Iselin, NJ. (LB&amp;I)
</p><p>One Newark Center, Newark, NJ. (CT, LB&amp;I, SB/SE)
</p><p>300 Pearl Street, Olympic Towers, Buffalo, NY. (CT, LB&amp;I, SB/SE)
</p><p>33 Maiden Lane, New York, NY. (CT, GLS, LB&amp;I, SB/SE)
</p><p>1600 Stewart Avenue, Westbury, NY. (CT, LB&amp;I, SB/SE, TE/GE)
</p><p>320 Federal Place, Greensboro, NC. (CT, LB&amp;I, SB/SE)
</p><p>312 Elm Street, Cincinnati, OH. (CT, LB&amp;I, SB/SE)
</p><p>One Cleveland Center, 1375 East Ninth Street, Cleveland, OH. (CT, SB/SE)
</p><p>55 North Robinson Street, Oklahoma City, OK. (LB&amp;I, SB/SE)
</p><p>620 SW. Main Street, Portland, OR. (CT, SB/SE)
</p><p>701 Market Street, Philadelphia, PA. (CT, LB&amp;I, SB/SE)
</p><p>Liberty Center, 1000 Liberty Avenue, Pittsburgh, PA. (LB&amp;I, SB/SE)
</p><p>810 Broadway, Nashville, TN. (LB&amp;I, SB/SE)
</p><p>300 East Eighth Street, Austin, TX. (CT, SB/SE)
</p><p>4050 Alpha Road, Dallas, TX. (CT, GLS, LB&amp;I, SB/SE, TE/GE)
</p><p>8701 South Gessner Street, Houston, TX. (CT, LB&amp;I, SB/SE)
</p><p>1919 Smith Street, Houston, TX. (LB&amp;I)
</p><p>150 Social Hall Avenue, Salt Lake City, UT. (SB/SE)
</p><p>400 North 8th Street, Richmond, VA. (CT, LB&amp;I, SB/SE)
</p><p>Federal Building, 915 Second Avenue, Seattle, WA. (LB&amp;I, SB/SE)
</p><p>211 West Wisconsin Avenue, Milwaukee, WI. (LB&amp;I, SB/SE).
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT 001</systemNumber>
<subsection type="systemName">Cash Receivable Accounting Information System.</subsection>
	<subsection type="systemLocation"><xhtmlContent><p>(1) United States Mint, 801 9th Street NW., Washington, DC 20220;</p><p> (2) United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) United States Mint, West Point, NY 10996; and
</p><p>(6) United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and former employees of the United States Mint. Members of the public and United States
Mint employees who have purchased numismatic items from the United States Mint.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Receivables due from United States Mint employees, former employees, and the general public
for lost Government property, salary overpayments, and sales of numismatic items; and
</p><p>(2) Receivables due from United States Mint employees and former employees who have outstanding
travel advances, salary advances, or leave advances (cash equivalents).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. Chapter 55; 31 U.S.C. 5111(a)(3).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to track and record the creation
and payment of the financial obligations to the United States Mint reflected in the system.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Accounting officers, managers, supervisors, and government officials with an official
interest in cash receivables and debts owed the Government;
</p><p>(2) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(3) A federal, state, or local agency that has requested information relevant or necessary to the
requesting agency’s or the bureau’s hiring or retention of an employee or issuance of a security
clearance, license, contract, grant, or other benefit;
</p><p>(4) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(5) Foreign governments in accordance with international agreements;
</p><p>(6) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(7) The news media, at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(8) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act
of 1978, 5 U.S.C. 7111 and 7114;
</p><p>(9) Third parties during the course of an authorized criminal or administrative investigation to
the extent necessary to obtain information pertinent to the investigation;
</p><p>(10) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name or numeric identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized accounting
personnel. Electronic records are stored in secured systems subject to access controls in accordance
with Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with Government Accountability Office
guidance, National Archives and Records Administration (NARA) regulations, and NARA-approved records
retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Chief Financial Officer, United States Mint, 801 9th Street NW., Washington, DC 20220;
</p><p>(2) Plant Manager, United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) Plant Manager, United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) Plant Manager, United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) Plant Manager, United States Mint, West Point, NY 10996; and
</p><p>(6) Officer-in-Charge, United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests from individuals wishing to be notified if they are currently named in this system of
records, or seeking access to any record contained in the system of records, or seeking to contest
its content, should be addressed to the head of the organizational unit having immediate custody of
the records (See "System Managers and Addresses" above). Requests may be made in
accordance with instructions appearing at 31 CFR Part 1, subpart C, appendix H. Requests for
information or specific guidance on where to send records requests should be addressed to the
following official: Disclosure Officer, United States Mint, 801 9th Street NW., Washington, DC
20220.
</p><p>The individual must submit a written request containing identification, to include at least one
of the following: (a) United States Federal employee identification; (b) driver’s license; (c)
officially notarized statement attesting or affirming to the individual’s identity; or (d) other
means of identification, such as Social Security number and date of birth.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "NOTIFICATION PROCEDURE" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>United States Mint employees and appropriate agency officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .003</systemNumber>
<subsection type="systemName">Employee and Former Employee Travel and Training Accounting Information
System--Treasury/United States Mint.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) United States Mint, 801 9th Street NW., Washington, DC 20220;
</p><p>(2) United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) United States Mint, West Point, NY 10996; and
</p><p>(6) United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees and former employees of the United States Mint who have engaged in travel and training.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(1) Schedule of Payments generated from the Electronic Certification System (ECS) with supporting
documents such as Travel Voucher and Application and Account for Advance of Funds; (2) Travel
Authority; and (3) Request, Authorization, Agreement and Certification of Training.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. Chapters 41 and 57.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to track and record the creation
and payment of travel and training advances owed to the United States Mint.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Accounting officers, managers, supervisors, and government officials with an official
interest in cash receivables and debts owed the Government;
</p><p>(2) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(3) A federal, state, or local agency that has requested information relevant or necessary to the
requesting agency’s or the bureau’s hiring or retention of an employee or issuance of a security
clearance, license, contract, grant, or other benefit;
</p><p>(4) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(5) Foreign governments in accordance with international agreements;
</p><p>(6) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(7) The news media, at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(8) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act
of 1978, 5 U.S.C. 7111 and 7114;
</p><p>(9) Third parties during the course of an authorized criminal or administrative investigation;
</p><p>(10) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name or numeric identifier.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel.
Electronic records are stored in secured systems subject to access controls in accordance with
Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with National Archives and Records
Administration (NARA) regulations, and NARA-approved records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Chief Financial Officer, United States Mint, 801 9th Street NW., Washington, DC 20220;
</p><p>(2) Plant Manager, United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) Plant Manager, United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) Plant Manager, United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) Plant Manager, United States Mint, West Point, NY 10996; and
</p><p>(6) Officer-in-Charge, United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests from individuals wishing to be notified if they are currently named in this system of
records, or seeking access to any record contained in the system of records, or seeking to contest
its content, should be addressed to the head of the organizational unit having immediate custody of
the records (See "System Managers and Addresses" above). Requests may be made in
accordance with instructions appearing at 31 CFR Part 1, subpart C, appendix H. Requests for
information or specific guidance on where to send records requests should be addressed to the
following official: Disclosure Officer, United States Mint, 801 9th Street NW., Washington, DC
20220.
</p><p>The individual must submit a written request containing identification, to include at least one
of the following: (a) United States Federal employee identification; (b) driver’s license; (c)
officially notarized statement attesting to or affirming to the individual’s identity; or (d) other
means of identification, such as Social Security number and date of birth.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>United States Mint employees and appropriate agency officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .004</systemNumber>
<subsection type="systemName">Occupational Safety and Health Accident and Injury Records; Claims for Injuries or Damage
Compensation Records--Treasury/United States Mint.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) United States Mint, 801 9th Street NW., Washington, DC 20220;
</p><p>(2) United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) United States Mint, West Point, NY 10996; and
</p><p>(6) United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>United States Mint employees, former employees, and members of the public.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Accident/Injury/Illness Records; Motor Vehicle Accident Data; Claims Against the Government; and
Operators Training/Licensing.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 3701 and 3721; 5 U.S.C. chapter 81; 29 U.S.C. 668; 28 U.S.C. 2680 <i>et
seq.;</i> 29 CFR Part 1960; 31 CFR Parts 3 and 4; E.O. 12196; E.O. 9397, as amended by E.O.13478.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to more effectively and
efficiently process and manage claims and to provide statistics that allow us to prepare mandatory
reports and focus our resources to continually improve the safety of our workforce, work
environment, and equipment.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(2) A federal, state, or local agency that has requested information relevant or necessary to the
requesting agency’s or the bureau’s hiring or retention of an employee or issuance of a security
clearance, license, contract, grant, or other benefit;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(4) Foreign governments in accordance with international agreements;
</p><p>(5) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(6) The news media, at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(7) Third parties during the course of an authorized criminal or administrative investigation;
</p><p>(8) Physicians providing medical services or advice to United States Mint management and
employees, or to private physicians of United States Mint employees, for the purpose of assisting in
making medical diagnoses or treatment;
</p><p>(9) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm. </p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, Social Security number, date, or location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel.
Electronic records are stored in secured systems subject to access controls in accordance with
Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with National Archives and Records
Administration (NARA) regulations, and NARA-approved General Records Control, DOL, OSHA, EPA, and
United States Mint records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Chief, Human Resources Division, Chief, United States Mint Police, and Safety Officer, United
States Mint, 801 9th Street NW., Washington, DC 20220;
</p><p>(2) Plant Manager, United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) Plant Manager, United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) Plant Manager, United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) Plant Manager, United States Mint, West Point, NY 10996; and
</p><p>(6) Officer-in-Charge, United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests from individuals wishing to be notified if they are currently named in this system of
records, or seeking access to any record contained in the system of records, or seeking to contest
its content, should be addressed to the head of the organizational unit having immediate custody of
the records (See "System Managers and Addresses" above). Requests may be made in
accordance with instructions appearing at 31 CFR Part 1, subpart C, appendix H. Requests for
information or specific guidance on where to send records requests should be addressed to the
following official: Disclosure Officer, United States Mint, 801 9th Street, NW., Washington, DC
20220.
</p><p>The individual must submit a written request containing identification, to include at least one
of the following: (a) United States Federal employee identification; (b) driver’s license; (c)
officially notarized statement attesting or affirming to the individual’s identity; or (d) other
means of identification, including Social Security number and date of birth.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees, supervisors, medical staff, general public, and visitors to the facilities of the
United States Mint.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .005</systemNumber>
	<subsection type="systemName">Employee-Supervisor Performance Evaluation, Counseling, and Time and Attendance
Records--Treasury/United States Mint.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) United States Mint, 801 9th Street NW., Washington, DC 20220;
</p><p>(2) United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) United States Mint, West Point, NY; and
</p><p>(6) United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>United States Mint employees and former employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information necessary for managers and supervisors to effectively carry out supervisory
responsibilities. Included are records such as copies of personnel actions, performance appraisals,
quarterly reviews, disciplinary actions, overtime reports, tardiness reports, work assignments,
alternative work schedule request forms, telecommute agreements, training reports, training
requests, applications for employment, home addresses, phone numbers, leave reports, leave requests,
and employee awards. (Supervisors maintain varying combinations of the above records. Some
supervisors may maintain all or none of the above records depending upon the nature and size of the
operation or organization and the number of individuals supervised.)
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to: maintain performance records
used to support awards, promotions, performance-based actions, training, and other personnel
actions; to track and evaluate performance based upon the accomplishments of each employee; and to
accurately calculate employee leave accruals, track usage, compensate separating employees with lump
sum entitlements, and bill employees who owe payment for leave taken in excess of their leave
balance.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(2) A federal, state, or local agency that has requested information relevant to or necessary to
the requesting agency’s or the bureau’s hiring or retention of an employee, or issuance of a
security clearance, license, contract, grant, or other benefit;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(4) Foreign governments in accordance with international agreements;
</p><p>(5) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(6) The news media, at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(7) Third parties during the course of an authorized criminal or administrative investigation;
</p><p>(8) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm. </p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel.
Electronic records are stored in secured systems subject to access controls in accordance with
Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with National Archives and Records
Administration (NARA) regulations, and NARA-approved records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Chief, Human Resources Division, United States Mint, 801 9th Street NW., Washington, DC
20220;
</p><p>(2) Plant Manager, United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) Plant Manager, United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) Plant Manager, United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) Plant Manager, United States Mint, West Point, NY 10996; and
</p><p>(6) Officer-in-Charge, United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests from individuals wishing to be notified if they are currently named in this system of
records, or seeking access to any record contained in the system of records, or seeking to contest
its content, should be addressed to the head of the organizational unit having immediate custody of
the records (See "System Managers and Addresses" above). Requests may be made in
accordance with instructions appearing at 31 CFR Part 1, subpart C, appendix H. Requests for
information or specific guidance on where to send records requests should be addressed to the
following official: Disclosure Officer, United States Mint, 801 9th Street NW., Washington, DC
20220.
</p><p>The individual must submit a written request containing identification, to include at least one
of the following: (a) United States Federal employee identification; (b) driver’s license; (c)
officially notarized statement attesting or affirming to the individual’s identity; or (d) other
means of identification, including Social Security number and date of birth.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees, former employers, and appropriate agency officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .007</systemNumber>
 <subsection type="systemName">General Correspondence--Treasury/United States Mint.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Mint, 801 9th Street NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members of the public, Members of Congress, United States Mint officials, and officials from
other federal agencies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Incoming correspondence, public comments and replies pertaining to the mission, function, and
operation of the United States Mint.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 5131 and 5132; OMB Memorandum M-10-06.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to respond effectively and in a
timely manner to the correspondence and comments that it receives on many issues from its various
stakeholders, including Members of Congress and the general public.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(2) A federal, state, or local agency that has requested information relevant to or necessary to
the requesting agency’s or the bureau’s hiring or retention of an employee, or issuance of a
security clearance, license, contract, grant, or other benefit;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(4) Foreign governments in accordance with international agreements;
</p><p>(5) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(6) The news media, at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(7) Third parties during the course of an authorized criminal or administrative investigation;
</p><p>(8) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name (limited retrievability by subject or control number).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel.
Electronic records are stored in secured systems subject to access controls in accordance with
Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with National Archives and Records
Administration (NARA) regulations, and NARA-approved records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Secretariat, United States Mint, 801 9th Street NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests from individuals wishing to be notified if they are currently named in this system of
records, or seeking access to any record contained in the system of records, or seeking to contest
its content, should be addressed to the Executive Secretariat (See "System Manager and
Address" above). Requests may be made in accordance with instructions appearing at 31 CFR Part
1, subpart C, appendix H. Requests for information or specific guidance on where to send records
requests should be addressed to the following official: Disclosure Officer, United States Mint, 801
9th Street NW., Washington, DC 20220. The individual must submit a written request containing his or
her name.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The general public, Members of Congress, and other federal officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .008</systemNumber>
 <subsection type="systemName">Employee Background Investigations Files--Treasury/United States Mint.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Mint, 801 9th Street NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former United States Mint employees, applicants for employment, and current
contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name of individual, location of United States Mint facility, and reports by United States Mint
Police and federal government security personnel performing investigative services for the United
States Mint.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>18 U.S.C.; 40 U.S.C. 1315; 31 U.S.C. 321, 31 U.S.C. 5141 (note); 5 U.S.C. 3301, 3302; 5 CFR Parts
731 and 736; E.O. 10450, as amended; Treasury Order 101-33 (March 30, 2010).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to collect and maintain background
investigation records on applicants and current United States Mint employees and contractors for
issuance of security clearances, access to United States Mint facilities, or other administrative
reasons.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(2) A federal, state, or local agency that has requested information relevant to or necessary to
the requesting agency’s or the bureau’s hiring or retention of an employee, or issuance of a
security clearance, license, contract, grant, or other benefit;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(4) Foreign governments in accordance with international agreements;
</p><p>(5) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(6) The news media at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(7) Third parties during the course of an authorized criminal or administrative investigation;
</p><p>(8) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel.
Electronic records are stored in secured systems subject to access controls in accordance with
Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with National Archives and Records
Administration (NARA) regulations, and NARA-approved records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, United States Mint Police, and Chief, Human Resources Division, United States Mint, 801
9th Street NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests from individuals wishing to be notified if they are currently named in this system of
records, seeking access to any record contained in the system of records, or seeking to contest its
content should be addressed to the System Manager named above. Requests may be made in accordance
with instructions appearing at 31 CFR Part 1, subpart C, appendix H. Requests for information or
specific guidance on where to send records requests should be addressed to the following official:
Disclosure Officer, United States Mint, 801 9th Street NW., Washington, DC 20220.
</p><p>The individual must submit a written request containing identification, to include at least one
of the following: (a) United States Federal employee identification; (b) driver’s license; (c)
officially notarized statement attesting or affirming to the individual’s identity; or (d) other
means of identification, including Social Security number and date of birth.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>United States Mint and other law enforcement officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>As authorized by 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions:
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H) &amp; (I); and (f) of 5 U.S.C. 552a.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .009</systemNumber>
<subsection type="systemName">Retail Sales System (RSS); Customer Mailing List; Order Processing Records for Coin Sets, Medals,
and Numismatic Items; Records of Undelivered Orders; and Product Descriptions, Availability, and
Inventory--Treasury/United States Mint.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Mint, 801 9th Street NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members of the public and United States Mint employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Names, addresses, phone numbers, email addresses, and order history of customers purchasing
numismatic items, of individuals who wish to receive notification of numismatic offerings by the
United States Mint, and of individuals requesting information and promotional materials (and their
intended use of requested materials and information).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 5111, 5112, 5132, 5136, and 31 CFR Part 92.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to: maintain a mailing list of
customers and interested parties to provide continuous communication and promotional materials about
existing and upcoming numismatic product offerings, circulating coins, and
</p><p>activities; record and maintain records of customers’ and interested parties’ order information
and requests for promotional materials; capture and process orders through each stage of the order
life cycle; maintain integrity and security of orders, customer information and the system; research
and resolve orders that were not successfully delivered to customers and interested parties; and
maintain a list of its products and monitor and maintain product and promotional material inventory
levels to meet customer and interested party demand while remaining within mandated mintage levels,
as applicable.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Accounting officers, managers, supervisors, and government officials with an official
interest in cash receivables and debts owed the Government;
</p><p>(2) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(3) A federal, state, or local agency that has requested information relevant to or necessary to
the requesting agency’s or the bureau’s hiring or retention of an employee, or issuance of a
security clearance, license, contract, grant, or other benefit;
</p><p>(4) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(5) Foreign governments in accordance with international agreements;
</p><p>(6) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(7) The news media, at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(8) Third parties during the course of an authorized criminal or administrative investigation;
</p><p>(9) Contractors performing work under a contract or agreement for the federal government, when
necessary to accomplish an agency function related to this system of records, in compliance with the
Privacy Act of 1974, as amended;
</p><p>(10) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name, address, phone number, customer number or order number, order date, whether or not the
account is `flagged’ (such as due to an unusual quantity or an order requiring verification for
processing and completion), shipment tracking number, and any internal identification number that
may be assigned to the request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel.
Electronic records are stored in secured systems subject to access controls in accordance with
Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management. Only those individuals requiring the information to accommodate handling of
transactions with the customers can access information pertaining to an individual.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with Government Accountability Office
guidance, National Archives and Records Administration (NARA) regulations, and NARA-approved records
retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Director for Sales and Marketing, United States Mint, 801 9th Street, NW., Washington,
DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests from individuals wishing to be notified if they are currently named in this system of
records, or seeking access to any record contained in the system of records, or seeking to contest
its content, should be addressed to the "System Manager and Address" described above.
Requests may be made in accordance with instructions appearing at 31 CFR Part 1, subpart C, appendix
H. Requests for information or specific guidance on where to send records requests should be
addressed to the following official: Disclosure Officer, United States Mint, 801 9th Street, NW.,
Washington, DC 20220.
</p><p>Individuals who have previously registered on the bureau’s Web site for a customer account or
electronic product notifications may access their system records online by authenticating with their
valid username and password. Individuals making requests and inquiries concerning their system
records must provide identification to include their name, address, telephone number, customer
identification number and order number (or a combination of identifying information including order
information depending on the request) which must be successfully validated in the system.
</p><p>Requests by individuals to modify open orders cannot be made online or by telephone, but must be
made in writing by a manually signed document accompanied by valid photo identification. Such
requests must also include the individual’s name, address, telephone number, customer identification
number, and order number (or a combination of identifying information concerning the request
including order information), which must be successfully validated in the system.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Members of the public and government employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .012</systemNumber>
<subsection type="systemName">Union and Agency Negotiated Grievances; Adverse Personnel Actions; Discrimination Complaints;
Complaints and Actions before Arbitrators, Administrative Tribunals, and Courts (Third Parties)
--Treasury/United States Mint.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are located in the United States Mint’s Workforce Solutions Department, its Office
of Chief Counsel, and any other office within the United States Mint where an action arose.
Locations at which the system is maintained are:
</p><p>(1) United States Mint, 801 9th Street NW., Washington, DC 20220;
</p><p>(2) United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) United States Mint, West Point, NY 10996; and
</p><p>(6) United States Bullion Depository, Fort Knox, KY 40121
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals covered by the system include employees and former employees of the United States
Mint, and applicants for employment; adjudicators and legal counsel or other representatives; and
other members of the public who are witnesses or complainants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains information and documents relating to grievances, including Union
and Agency grievances filed pursuant to negotiated collective bargaining agreements and
nonbargaining unit employee grievances. System records also contain information and documents
relating to adverse personnel actions (including performance-based actions and other personnel
matters) and discrimination complaints, such as witness statements, interview reports, and
correspondence. The system also includes information and documents concerning actions before Third
Parties where applicable, such as pleadings, findings, decisions, and exhibits.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1302, 5 U.S.C. 7701 and 7702; 5 U.S.C. Ch. 75; and 5 U.S.C. Ch. 71. E.O.’s. 11491,
11616, 11636, 11838, 11901, 12027, and 12107; 29 CFR 1614; and negotiated agreements between the
United States Mint and exclusively recognized labor unions.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to permit the United States Mint to (1) support actions that fall
under Title 5 or Title 42 of the United States Code; (2) track, manage and maintain grievances,
adverse personnel actions and discrimination complaints; (3) maintain accurate statistical data for
mandated reports; (4) enforce decisions and judgments; and (5) maintain historical reference
information to ensure consistency of its personnel actions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used to disclose information to:
</p><p>(1) Appropriate federal, state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order,
or license;
</p><p>(2) A federal, state, or local agency that has requested information relevant to or necessary to
the requesting agency’s or the bureau’s hiring or retention of an employee or issuance of a security
clearance, license, contract, grant, or other benefit;
</p><p>(3) A court, magistrate, or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation,
or settlement negotiations, in response to a court-ordered subpoena, or in connection with criminal
law proceedings;
</p><p>(4) A Congressional office in response to an inquiry made at the request of the individual to
whom the record pertains;
</p><p>(5) The news media, at the Department of Justice’s direction or approval, in accordance with
guidelines contained in 28 CFR 50.2, which relate to an agency’s functions relating to civil and
criminal proceedings;
</p><p>(6) Unions recognized as exclusive bargaining representatives under the Civil Service Reform Act
of 1978, 5 U.S.C. 7111 and 7114;
</p><p>(7) Third parties during the course of an authorized criminal or administrative investigation;
</p><p>(8) To appropriate agencies, entities, and persons when (a) the United States Mint suspects or
has confirmed that the security, confidentiality, or availability of information in the system of
records has been compromised; (b) the United States Mint has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the United States Mint or another agency or entity) that rely upon
the compromised information; and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the United States Mint’s efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the names of the individuals on whom they are maintained, by case
number, or by the subject or date of the action.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel.
Electronic records are stored in secured systems subject to access controls in accordance with
Department of the Treasury and United States Mint policies and procedures. Access to electronic
records is restricted to authorized personnel, and is subject to multiple controls including an
access approval process, unique user identifier, user authentication and account management, and
password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with National Archives and Records
Administration (NARA) regulations, and NARA-approved records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Chief, Human Resources Division, United States Mint, 801 9th Street NW., Washington, DC
20220;
</p><p>(2) Plant Manager, United States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
</p><p>(3) Plant Manager, United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
</p><p>(4) Plant Manager, United States Mint, 155 Hermann Street, San Francisco, CA 94102;
</p><p>(5) Plant Manager, United States Mint, West Point, NY 10996; and
</p><p>(6) Officer-in-Charge, United States Bullion Depository, Fort Knox, KY 40121.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals who have filed a grievance, appeal, or complaint about a United States Mint decision
or determination or about conditions existing in the United States Mint already have been provided a
copy of the record. The contest, amendment, or correction of a record is permitted during the
prosecution of the action to whom the record pertains. After a case has been closed, however,
requests from individuals wishing to be notified if they are named in this system of records,
seeking access to any record contained in the system of records, or seeking to contest its content
should be addressed to the head of the organizational unit having immediate custody of the records
(See "System Managers and Addresses" above). Requests may be made in accordance with
instructions appearing at 31 CFR Part 1, subpart C, appendix H. Requests for information or specific
guidance on where to send records requests should be addressed to the following official: Disclosure
Officer, United States Mint, 801 9th Street, NW., Washington, DC 20220.
</p><p>The individual must submit a written request with information sufficient to verify the identity
of the requester such as full name, date of birth, a brief description of the grievance, and the
approximate date of submission.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The sources of these records are as follows: (a) individuals to whom the record pertains; (b)
Agency officials; (c) affidavits or statements from employees and third parties; (d) testimony of
witnesses; (e) official documents and correspondence relating to the grievance.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/UNITED STATES MINT .013</systemNumber>
 <subsection type="systemName">United States Mint National Electronic Incident Reporting System of Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>United States Mint, 801 9th Street NW., Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees, contractors, visitors and other members of the general public involved in incidents on or related
to United States Mint property; property for which the United States Mint Police share jurisdiction through a
Cooperative Agreement, Memorandum of Understanding or other arrangement; or property or assets under United
States Mint custody or control.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information in the system is expected to include some or all of the following:
</p><p>&#149; individual names,
</p><p>&#149; addresses,
</p><p>&#149; phone numbers,
</p><p>&#149; dates of birth,
</p><p>&#149; driver’s license numbers,
</p><p>&#149; social security numbers,
</p><p>&#149; license plate numbers,
</p><p>&#149; medical information (typically in the case of accidents or injuries),
</p><p>&#149; investigation information,
</p><p>&#149; property descriptions,
</p><p>&#149; vehicle identifying information and physical descriptions.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>40 U.S.C. 1315; 31 U.S.C. 321; 31 U.S.C. 5141 (note); Treasury Order 101-33 (March 30, 2010).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system is to enhance the incident management capabilities of the United States Mint
Police. This is a centrally managed electronic database and workflow system that will: Support the collection,
management, and sharing of information regarding reported incidents on or related to United States Mint
property; property for which the United States Mint shares jurisdiction through a Cooperative Agreement,
Memorandum of Understanding or other arrangement; or property or assets under United States Mint custody or
control. It is intended to be usable by all United States Mint Police Officers in accordance with applicable
procedures, improve data management and security, and provide a tracking system to notify supervisors of case
status.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, all or a
portion of the records or information contained in this system may be disclosed outside Treasury as a routine
use pursuant 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. Appropriate federal, state, local or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule, regulation, order or license;
</p><p>2. A federal, state, or local agency that has requested information relevant to or necessary to the
requesting agency’s or the bureau’s hiring or retention of an employee, or issuance of security clearance,
license, contract, grant or other benefit;
</p><p>3. A court, magistrate, or administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement
negotiations; in response to a court-ordered subpoena; or in connection with criminal law proceedings;
</p><p>4. A Congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>5. The news media at the Department of Justice’s direction or approval, in accordance with guidelines
contained in 28 CFR 50.02 which relate to an agency’s functions relating to civil and criminal proceedings;
</p><p>6. Third parties during the course of an authorized criminal or administrative investigation;
</p><p>7. Accounting offices, managers, supervisors and government officials pertaining to cash receivables and
debts owed to the Federal Government;
</p><p>8. Appropriate agencies, entities, and persons when (a) the United States Mint suspects or has confirmed
that the security, confidentiality or availability of information in the system of records has been
compromised; (b) the United States Mint has determined that, as a result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the
security or integrity of this system or other systems or programs (whether maintained by the United States Mint
or another agency or entity) that rely on the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in connection with the United States Mint’s
efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Paper documents and electronic records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name or an identifier, including social security number and driver’s license
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are stored in secured filing cabinets with access only by authorized personnel. Electronic
records are stored in secured systems subject to access controls in accordance with Treasury and United States
Mint policies and procedures. Access to electronic records is restricted to authorized personnel, and is
subject to multiple controls including an access approval process, unique user identifier, user authentication
and account management, and password management.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained and disposed of in accordance with National Archives and Records Administration
(NARA) regulations, and NARA-approved records retention schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, Policy and Training Branch, United States Mint Police, United States Mint, 801 9th Street NW.,
Washington, DC 20220.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals wishing to be notified if they are currently named in this system of records, seeking access to
any record contained in this system of records, or seeking to contest its content, may inquire in writing in
accordance with instructions appearing at 31 CFR part 1, subpart C, appendix H. Requests for information and
specific guidance on where to send requests for records may be addressed to: Disclosure Officer, United States
Mint, 801 9th Street NW., Washington, DC 20220.
</p><p>When seeking records about yourself from this system of records, you must first verify your identity by
providing at least one of the following: (a) United States Federal employee identification; (b) driver’s
license; (c) or other official document. You must provide your full name, current address and date of birth.
You must sign your request, and your signature must either be notarized or submitted under 28 U.S.C. 1746, a
law that permits statements to be made under penalty of perjury as a substitute for notarization. In addition
you should provide the following:
</p><p>&#149; An explanation of why you believe the United States Mint would have information on you;
</p><p>&#149; Specify when you believe the records would have been created;
</p><p>&#149; Provide any other information that will help determine the location of responsive records; and
</p><p>&#149; If your request is seeking records pertaining to another living individual, you must include a
statement from that individual certifying his or her agreement for you to access his/her records.
</p><p>Without this bulleted information the United States Mint may not be able to conduct an effective search, and
your request may be denied due to lack of specificity or lack of compliance with applicable regulations.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from employees, contractors, visitors, and other members of the general public involved
in incidents on or related to: United States Mint property; property for which the United States Mint Police
share jurisdiction through a Cooperative Agreement, Memorandum of Understanding or other arrangement; or
property or assets under United States Mint custody or control. Sources may also include the National Crime
Information Center database, Department of the Treasury’s Office of Inspector General, and other federal, state
or local law enforcement agencies conducting investigations that they or the United States Mint initiate.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/USSS .0001</systemNumber>
 <subsection type="systemName">Administrative Information System--Treasury/USSS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>(a) U.S. Secret Service (Headquarters), 950 H St. NW, Washington, DC 20223. Components of this system are geographically dispersed
throughout U.S. Secret Service field offices. (See below, United States Secret Service, Appendix A, listing the addresses of Secret Service
offices.) (b) U.S. Secret Service Uniformed Division, 1111 18th St., NW, Washington, DC 20223; (c) Presidential Protective Division, U.S.
Secret Service, Room 10, Old Executive Office Building, 17th and Pennsylvania Ave., NW, Washington, DC 20502; (d) Vice Presidential Protective
Division, U.S. Secret Service, Old Executive Office Building, Room 295, Washington, DC 20502; (e) Dignitary Protective Division, U.S. Secret
Service, 950 H St., NW, Washington, DC 20223; (f) Special Services Division, U.S. Secret Service, Anacostia Naval Annex, Building 411, 245
Murray Drive, Washington, DC 20373; (g) Johnson Protective Division, U.S. Secret Service, PO Box 927, Stonewall, TX 78671; (h) Ford Protective
Division, U.S. Secret Service, PO Box 955, Rancho Mirage, CA 92270-955; (i) Technical Security Division, U.S. Secret Service, 1709 New
York Avenue, NW., Washington, DC 20006; (j) Carter Protective Division, U.S. Secret Service, PO Box 308, Plains, GA 31780; (k) Reagan
Protective Division, U.S. Secret Service, 2121 Avenue of the Stars, Century City, CA 90067; (l) Bush Protective Division, U.S. Secret Service,
PO Box 79797, Houston, Texas 77279-9797; (m) White House Security Branch, U.S. Secret Service, Old Executive Office Building, Rm. 23,
Washington, DC 20502.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals who are now or were Secret Service employees; (b) Individuals, contractors, and vendors, etc., who are presently doing
or previously did business with the Secret Service; (c) Claimants against the Secret Service under the Federal Tort Claims Act and the
Military Personnel and Federal Employees Claims Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(a) Records containing information on issuance of Secret Service equipment and accountable government property; (b) Records containing
procurement negotiations, contracts, agreements, etc., with the Secret Service; (c) Records containing information on past, present, and
future administrative correspondence with individuals, contractors, vendors, etc., who have or plan to enter into contractual agreements with
the Secret Service; (d) Records on vehicle accidents, injuries, fatalities.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 40 and 41 of the U.S. Code, and other rules and regulations where applicable; 5 U.S.C. 301; 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Disclosure of information to the Department of Treasury, GAO, OMB, GSA, the Department of Justice and other Federal, state, and
local government agencies regarding purchases, contracts, and anticipated purchases and contracts of the Secret Service; (2) To provide
administrative services for the Secret Service and maintain administrative records as required by law; (3) To use in the adjudication of any
claim for or against the Secret Service; (4) Disclosure to individuals, contractors, vendors, etc., for the purpose of inquiries relating to
or confirmation of orders and purchases; (5) Disclosure to a student participating in a Secret Service student volunteer program, where such
disclosure is necessary to further the efforts of the Secret Service.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are contained in file jackets and portions of the information are stored electronically at Headquarters.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by name and/or number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>(1) File jackets and electronic data at Headquarters are located in locked rooms which are secured by alarms and other internal
security devices with guards on duty on an around the clock basis. Access is available only to employees responsible for records management
and operational employees who have a need for such information, each of whom holds a top secret security clearance; (2) The file jackets in
Secret Service field offices are located in locked file cabinets or in locked rooms when Secret Service employees are not on duty. Access to
the system is limited to employees of the Secret Service holding top secret security clearances.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The file jackets and electronic data are retained in accordance with mandatory National Archives Records Administration (NARA),
General Records Schedules 3, 4, 8, 10, 11, 13, &amp; 23. Disposal is by burning, shredding, and/or electronic deletion.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Office of Administration, U.S. Secret Service, 950 H St., NW, Suite 8250, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals who wish to present a request as to whether this system contains records pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service, 950 H St., NW, Suite 3000, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for information contained in this system should be addressed to: Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 950 H St., NW, Suite 3000, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(a) Individuals who are presently or were Secret Service employees; (b) Individuals, corporations, companies, contractors, etc.,
previously engaged or presently engaged in business with the Secret Service; (c) Claimants.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/USSS .002</systemNumber>
 <subsection type="systemName">Chief Counsel Record System--Treasury/USSS.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Chief Counsel, United States Secret Service, 950 H St., NW, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(a) Individuals who have filed administrative claims; (b) Individuals involved in litigation against the U.S. Secret Service; (c)
Individuals who have filed a petition regarding forfeiture; (d) Employees, former employees or applicants who have filed equal employment
opportunity claims against the U.S. Secret Service; (e) Employees or former employees who have appealed disciplinary actions taken against
them by the U.S. Secret Service to the Merit System Protection Board.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>(a) Copies of administrative claims filed against the Secret Service or employees of the U.S. Secret Service and responses thereto;
(b) Any type of legal document, including but not limited to complaints, summaries, affidavits, litigation reports, motions, subpoenas and any
other court filing or administrative filing or evidence; (c) Records concerning requests for information regarding the use of reproductions of
obligations of the United States including bonds, checks, coins, coupons, currencies (U.S. and foreign), fractional notes, postage stamps
(U.S. and foreign), postal money orders, and postmarks.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>18 U.S.C. 3056; 28 U.S.C. 2672 (Federal Tort Claims Act); 18 U.S.C. 471-509.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Administrative claims may be routinely sent to Department of Justice attorneys to assist them in litigation involving the Secret
Service; (2) Legal records and litigation reports may be sent to Department of Justice attorneys to assist them in the preparation for
litigation; (3) Records indicating 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, may be referred to the
appropriate Federal, state, local or foreign agency charged with the responsibility of investigating or prosecuting such violation or charged
with enforcing or implementing the statute, rule, regulation or order issued pursuant thereto; (4) Disclosures to opposing counsel, a court
magistrate or administrative tribunal in the course of a legal proceeding, and disclosures to opposing counsel in the course of discovery
proceedings for the purpose of, enforcing, or prosecuting, 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; (5)
Disclosures to Federal, state or local agencies maintaining civil, criminal or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary to obtain information 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; (6)
Disclosures 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 information is relevant and necessary to the requesting agency’s decision on the
matter; (7) Disclosure to a student participating in a Secret Service student volunteer program, where such disclosure is necessary to further
the efforts of the Secret Service.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are contained in file jackets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>This system is indexed chronologically for administrative claims and requests for information regarding reproductions. Access to the
physical files containing litigation records is by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The file jackets are secured in a locked room with guards on duty on an around-the-clock basis. Access to the records is available
only to employees responsible for record management and operational employees who have a need for such information, each of whom holds a top
secret security clearance.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>(1) Closed litigation case files are retained for a period of 5 years; (2) Administrative claims, and requests for information are
disposed of at varying intervals in accordance with the records retention schedule approved by the National Archives and Records
Administration. Any disposal is by shredding and/or burning.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Counsel, U.S. Secret Service, 950 H St., NW, Suite 9200, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals who wish to present a request as to whether the system contains records pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service, 950 H St., NW, Suite 3000, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Requests for information contained in this system should be addressed to: Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 950 H St., NW, Suite 3000, Washington, DC 20223.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Record access procedures" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>(a) Administrative claims are filed by those individuals who believe that they have a claim against the U.S. Secret Service; (b)
Individuals who are involved in legal proceedings against the U.S. Secret Service. All litigation reports are initiated by Office of Chief
Counsel, U.S. Secret Service. Information may be received from courts, administrative bodies, other federal or state agencies and private
parties or entities who have information concerning a legal matter involving the U.S. Secret Service, and (c) Requests for information
regarding the use of reproductions from Secret Service field offices, the general public, and from professional organizations; other Federal
agencies, and Federal, State and local courts.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p>
<p><b>USSS Appendix A</b></p>
<p>U.S. Secret Service field offices and resident offices:
</p><p>Great Washington Professional Building, 441 Wolf Ledges Parkway, Akron, OH 44311
</p><p>Compass Bank Building, 505 Marquette Street, NW, Suite 1700, Albuquerque, NM 87102
</p><p>6100 Rockside Woods Blvd., Room 440, Cleveland, OH 44131-2334. Equitable Building, PO Box 54407, Atlanta, GA 30308
</p><p>Ventnor Professional Campus, 6601 Ventnor Ave., Suite 501, Ventnor City, NJ 08406
</p><p>Federal Office Building, 300 East 8th Street, Suite 972, Austin, TX 78701
</p><p>100 S. Charles Street, 11th Floor, Baltimore, MD 21201
</p><p>125 East John W. Carpenter Fwy, Suite 1B300, Irving, TX 75062
</p><p>Daniel Bldg., 15 South 20th St., Suite 1125, Birmingham, AL 35233
</p><p>Thomas P. O’Neill, Jr. Federal Bldg., 10 Causeway Street, Suite 791, Boston, MA 02222-1080
</p><p>610 Main St., Suite 300, Buffalo, NY 14202
</p><p>BB&amp;T Square, 300 Summers Start, Suite 910, Charleston, WV 25301
</p><p>One Fairview Center, 6302 Fairview Rd., Suite 400, Charlotte, NC 28210
</p><p>Gateway IV Building, 300 Riverside Plaza, Suite 1200 North, Chicago, IL 60606
</p><p>John Weld Peck Federal Building, 550 Main Street, Room 6118, Cincinnati, OH 45202
</p><p>6100 Rockside Woods Blvd., Suite 440, Cleveland, OH 44131
</p><p>Strom Thurmond Federal Bldg., 1835 Assembly Street, Suite 1425, Columbia, SC 29201
</p><p>500 South Front Street, Suite 800, Columbus, OH 43215
</p><p>125 East John W. Carpenter, Suite 300, Irving, TX 75062
</p><p>1660 Lincoln Street, Suite 1430, Denver, CO 80264
</p><p>Patrick V. McNamara Building, Suite 1000, 477 Michigan Avenue, Detroit, MI 48226
</p><p>Mesa One Building, 4849 North Mesa, Suite 210, El Paso, TX 79912
</p><p>330 Ionia Ave., NW, Suite 302, Grand Rapids, MI 49503-2350
</p><p>301 North Main Street, Greenville, SC 29601
</p><p>300 Ala Moana Boulevard; Room 6-210, PO Box 50046, Honolulu, HI 96850
</p><p>602 Sawyer St., Suite 500, Houston, TX 77007
</p><p>Federal Building, 575 N. Pennsylvania Street, Suite 211, Indianapolis, IN 46204
</p><p>Federal Bldg., 100 West Capitol Street, Suite 840, Jackson, MS 39269
</p><p>7820 Arlington Expressway, Suite 500, Jacksonville, FL 32211
</p><p>JFK International Airport, Bldg.1B75, Room 246, Jamaica, NY 11430
</p><p>1150 Grand Avenue, Suite 510, Kansas City, MO 64106
</p><p>PO Box 16027, Federal Station, Las Vegas, NV 89101
</p><p>111 Center Street, Suite 1700, Little Rock, AR 72201
</p><p>RoyBal Federal Bldg., 17th Fl., 255 E. Temple Street, Los Angeles, CA 90012
</p><p>377 Federal Building, 600 Dr. Martin Luther King, Jr., Place, Louisville, KY 40202
</p><p>35 Pinelawn Road, Suite 216E, Melville, NY 11747
</p><p>5350 Poplar Ave., Suite 204, Memphis, TN 38119
</p><p>8375 Northwest 53rd Street, Suite 100, Miami, FL 33166
</p><p>572 Federal Courthouse, 517 E. Wisconsin Ave., Milwaukee, WI 53202
</p><p>U.S. Courthouse, 300 South 4th Street, Minneapolis, MN 55415
</p><p>182 Saint Francis Street, Suite 200, Mobile, AL 32501
</p><p>U.S. Courthouse 658, 801 Broadway Street, Nashville, TN 37203
</p><p>Headquarters Plaza--West Tower, Suite 700, One Speedwell Ave., Morristown, NJ 07960
</p><p>PO Box 45, New Haven, CT 06501
</p><p>Hale Boggs Federal Building, 501 Magazine St., Room 807, New Orleans, LA 70130
</p><p>7 World Trade Center, 9th Fl., New York, NY 10048-1901
</p><p>Federal Building, Suite 640, 200 Granby Street, Norfolk, VA 23510
</p><p>Lakepointe Towers, Suite 650, 4013 NW Expressway, Oklahoma City, OK 73116
</p><p>2707 North 108th Street, Suite 301, Omaha, NE 68164
</p><p>135 W. Central Blvd., Suite 670, Orlando, FL 32801
</p><p>7236 Federal Building, 600 Arch Street, Philadelphia, PA 19106-1676
</p><p>3200 North Central Ave., Suite 1450, Phoenix, AZ 85012
</p><p>William S. Moorehead Federal Bldg., 1000 Liberty Avenue, Room 1611, Pittsburgh, PA 15222
</p><p>The Federal Center, 380 Westminster St., Suite 343, Providence, RI 02903
</p><p>4407 Bland Road, Suite 210, Raleigh, NC 27609
</p><p>Main St Centre, 600 East Main Street, Suite 1910, Richmond, VA 23219
</p><p>4371 Latham St., Suite 203, Riverside, CA 92501
</p><p>501 I Street, Suite 9-5000, Sacramento, CA 95814
</p><p>301 E Genesee, Suite 200, Saginaw, MI 48607
</p><p>111 South 10th Street, St. Louis, MO 63102
</p><p>American Plaza II, 57 West 200 South, Suite 450, Salt Lake City, UT 84101
</p><p>727 E. Durango Blvd.,Room B410, Federal Building, San Antonio, TX 78206
</p><p>550 West C St., Suite 660, San Diego, CA 92101
</p><p>345 Spear St., Suite 530, San Francisco, CA 94105
</p><p>U.S. Courthouse and Federal Building, 280 South 1st St., Suite 2050, San Jose, CA 95113
</p><p>200 W. Santa Ana Blvd., Suite 500, Santa Ana, CA 92701
</p><p>915 Second Ave., Room 806, Seattle, WA 98174
</p><p>601 W. Riverside Avenue, Suite 1340, Spokane, WA 99201
</p><p>400 West Monroe, Suite 301, Springfield, IL 62704
</p><p>501 East Polk St., Room 1101, Tampa, FL 33602
</p><p>402 East State Street, Trenton, NJ 08608
</p><p>1050 Connecticut Ave., NW, Suite 1000, Washington, DC 20036
</p><p>Suite 800, 505 South Flagler Drive, West Palm Beach, FL 33401
</p><p>140 Grand St., Suite 300, White Plains, NY 10601
</p><p>920 King Street, Suite 414, Wilmington, DE 19801
</p><p>American Embassy/USSS--Bangkok Box 64, APO AP 96546
</p><p>U.S. Embassy--Bogota, Unit 5146, APO AA 34038
</p><p>American Embassy, Bonn, PSC 117, Box 300, APO AE 09080
</p><p>U.S. Consulate, Montreal, PO Box 847, Champlain, NY 12919-0847
</p><p>American Embassy/USSS--London, England PSC 801, Box 64, FPO AE 09498-4064
</p><p>1510 FD Roosevelt Ave., Suite 3B, Guaynabo, PR 00968
</p><p>United States Consulate General, PSC 59, Milan, APO AE 09624
</p><p>American Embassy, Nicosia, PSC 815, FPO AE 09836
</p><p>American Embassy/USSS--Manila, Philippines PSC 500 Box 12 FPO AP 96515
</p><p>American Embassy/USSS--Paris, PSC 116, Box D306, APO AE 09777-5000
</p><p>American Embassy/USSS--Rome, Italy PSC 59, Box 62, USSS, APO AE 09624
</p><p>U.S. Consulate General, PSC 464, Box 25, FPO AP 96521-0006
</p><p>U.S. Embassy, PO Box 5000, Ogdensburg, NY 13669
</p><p>PCS 120, Box 3000, APO AE 09265
</p><p>PSC 77 (USSS), APO AE 09721
</p><p>Department of State, 9300 Pretoria Place, Washington, DC 20521
</p><p>U.S. Consulate, Vancover, PO Box 5002, Point Roberts, WA 98281
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/OTS .002</systemNumber>
 <subsection type="systemName">Correspondence/Correspondence Tracking.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>White House and Executive Office of the President officials, Members of Congress, Treasury Department officials, the general public,
and businesses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Incoming correspondence addressed to the Director of OTS, letters from members of Congress transmitting letters from constituents or
making inquiries, OTS responses, OTS memoranda and notes used to prepare responses, and information concerning internal office assignments,
processing, and responses to the correspondence.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain written records of correspondence addressed to the Director of OTS and congressional correspondence; to track the progress
of the response; and to document the completion of the response to the incoming correspondence.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in these records may be used to:
</p><p>(1) Make disclosures to a congressional office from the records of an individual in response to an inquiry made at the request of the
individual to whom the record pertains;
</p><p>(2) Disclose information to the appropriate governmental agency charged with the responsibility of administering law or investigating or
prosecuting violations of law or charged with enforcing or implementing a statute, rule, regulation, order, or license;
</p><p>(3) Disclose information in civil, criminal, administrative or arbitration proceedings before a court, magistrate, administrative or
arbitration tribunal, in the course of pre-trial discovery, motions, trial, appellate review, or in settlement negotiations, when OTS, the
Director of OTS, an OTS employee, the Department of the Treasury, the Secretary of the Treasury, or the United States is a party or has an
interest in or is likely to be affected by such proceeding and an OTS attorney determines that the information is arguably relevant to that
proceeding;
</p><p>(4) Disclose relevant information to the Department of Justice, private counsel, or an insurance carrier for the purpose of defending an
action or seeking legal advice, to assure that the agency and its employees receive appropriate representation in legal proceedings;
</p><p>(5) Disclose information to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic media and in paper files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are maintained by name of individual; assignment control number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to paper records is limited to authorized personnel with a direct need to know. Some paper records are maintained in locked
file cabinets in a secured office with access limited to those personnel whose official duties require access. Access to computerized records
is limited, through the use of a password, to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computerized records relating to non-congressional correspondence are retained for two (2) years after the Director’s term.
Computerized records relating to congressional correspondence are kept permanently. Paper records are retained for two (2) years after the
Director’s or member of Congress’ term, then transferred directly to the National Archives.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Assistant to the Comptroller, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219-0001.
Special Assistant to the Chief Counsel, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual’s name and signature (such as a photocopy of a driver’s
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual’s identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Congressional letters and responses from a Member of Congress and/or a constituent.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/OTS .003</systemNumber>
 <subsection type="systemName">OTS Consumer Complaint System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency, 250 E St. SW., Washington, DC, 20219.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who submit inquiries or complaints concerning Federally insured depository institutions, service corporations, and
subsidiaries.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Consumer’s name, savings association’s docket number, case number as designated by a Consumer Complaint Case number. Within these
categories of records, the following information may be obtained: consumer’s address, source of inquiry or complaint, nature of the inquiry or
complaint, nature of the inquiry or complaint designated by instrument and complaint code, information on the investigation and resolution of
inquiries and complaints.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 57a(f), 5 U.S.C. 301.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>OTS uses this system to track individual complaints and to provide additional information about each institution’s compliance with
regulatory requirements.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in these records may be used to:
</p><p>(1) Disclose information to officials of regulated savings associations in connection with the investigation and resolution of complaints
and inquiries;
</p><p>(2) Make relevant information available to appropriate law enforcement agencies or authorities in connection with the investigation and/or
prosecution of alleged civil, criminal, and
administrative violations;
</p><p>(3) Disclose information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(4) Disclose information to other Federal and nonfederal governmental supervisory or regulatory authorities when the subject matter is
within such other agency’s jurisdiction;
</p><p>(5) Disclose information in civil, criminal, administrative or arbitration proceedings before a court, magistrate, administrative or
arbitration tribunal, in the course of pre-trial discovery, motions, trial, appellate review, or in settlement negotiations, when OTS, the
Director of OTS, an OTS employee, the Department of the Treasury, the Secretary of the Treasury, or the United States is a party or has an
interest in or is likely to be affected by such proceeding and an OTS
attorney determines that the information is arguably relevant to that proceeding;
</p><p>(6) Disclose relevant information to the Department of Justice, private counsel, or an insurance carrier for the purpose of defending an
action or seeking legal advice, to assure that the agency and its employees receive appropriate representation in legal proceedings;
</p><p>(7) Disclose information to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in paper files and on electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of individual, complaint case number, savings association name, docket number, region complaint code, instrument code, source
code, or by some combination thereof.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are maintained in locked file cabinets with access limited to those personnel whose official duties require access.
Access to computerized records is limited, through use of the system passwords, to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Active paper files are maintained until the case is closed. Closed files are retained six (6) years then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Ombudsman, Office of the Comptroller of the Currency, 250 E St. SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual’s name and signature (such as a photocopy of a driver’s
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual’s identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Inquirer or complainant (or his or her representative which may include a member of Congress or an attorney); savings association
officials and employees; compliance/safety and soundness examiner(s); and other supervisory records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/OTS .006</systemNumber>
 <subsection type="systemName">Employee Locator File.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Employees of the former OTS and persons whose employment has been terminated within the last six months. This system is being
maintained by the OCC for historical purposes. The OCC will not be adding any records to the system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee’s name, present address, telephone number, and the name, address, and telephone number of another person to notify in case of
emergency.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system provides current information on employee’s address and emergency contact person.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in these records may be used to:
</p><p>(1) Disclose information to a congressional office in response to an inquiry made at the request of the individual to whom the record
pertains;
</p><p>(2) Provide information to medical personnel in case of an emergency;
</p><p>(3) Disclose information in civil, criminal, administrative or arbitration proceedings before a court, magistrate, administrative or
arbitration tribunal, in the course of pre-trial discovery, motions, trial, appellate review, or in settlement negotiations, when OTS, the
Director of OTS, an OTS employee, the Department of the Treasury, the Secretary of the Treasury, or the United States is a party or has an
interest in or is likely to be affected by such proceeding and an OTS
attorney determines that the information is arguably relevant to that proceeding;
</p><p>(4) Disclose relevant information to the Department of Justice, private counsel, or an insurance carrier for the purpose of defending an
action or seeking legal advice, to assure that the agency and its employees receive appropriate representation in legal proceedings;
</p><p>(5) Disclose information to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on electronic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are filed by name of individual.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>System access is limited to those personnel whose official duties require such access and who have a need to know information in a
record for a particular job-related purpose. Access to computerized records is limited, through use of a password, to those whose official
duties
require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained until termination of employee’s employment with OTS. After termination, records are retained for six months
then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director for Thrift Supervision Application Delivery, 400 7th Street SW., Washington, DC 20024
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual’s name and signature (such as a photocopy of a driver’s
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual’s identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The individual whose record is being maintained.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/OTS .012</systemNumber>
 <subsection type="systemName">Payroll/Personnel System &amp; Payroll Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This is a legacy OTS system. It contains information about individuals who were formerly employed by the OTS and may or may not now be
employed by the OCC. The records being maintained are available for read access only and for historical purposes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information pertaining to (1) employee status, grade, salary, pay plan, hours worked, hours of leave taken and earned, hourly rate,
gross pay, taxes, deductions, net pay, location, and payroll history; (2) employee’s residence, office, social security number, and address;
(3) Personnel actions (SF-50), State employees’ withholding exemption certificates, Federal employees’ withholding allowance
certificates (W4), Bond Allotment File (SF-1192), Federal Employee’s Group Life Insurance (SF-2810 and 2811), Savings Allotment-
Financial Institutions, Address File (OTS Form 108), Union Dues Allotment, time and attendance reports, individual retirement records (SF
-2806), Combined Federal Campaign allotment, direct deposit, health benefits, and thrift investment elections to either the Federal
Thrift Savings Plan (TSP-1) or OTS’s Financial Institutions Thrift Plan (FITP-107 and K 1-2).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, 44 U.S.C. 3101.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Provided all the key personnel and payroll data for each employee which is required for a variety of payroll and personnel functions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) In the event that records maintained in this system of records indicate 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
pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal,
State, local, or foreign, charged with the responsibility of implementing the statute, or rule or regulation or order issued pursuant thereto.
</p><p>(2) A record from this system may be disclosed to other Federal agencies and the Office of Personnel Management if necessary for or
regarding the payment of salaries and expenses incident to employment at the Office of Thrift Supervision or other Federal employment, or the
vesting, computation, and payment of retirement or disability benefits.
</p><p>(3) A record from this system may be disclosed if necessary to support the assessment, computation, and collection of Federal, State, and
local taxes, in accordance with established procedures.
</p><p>(4) Disclosure of information may be made to a congressional office in response to an inquiry made at the request of the individual to whom
the record pertains.
</p><p>(5) Records from this system may be disclosed to the Office of Child Support Enforcement, Administration for Children and Families,
Department of Health and Human Services, for the purpose of locating individuals to establish paternity, establishing and modifying orders of
child support, identifying sources of income, and for other support enforcement actions as required by the Personal Responsibility and Work
Opportunity Reconciliation Act (Welfare Reform Law, Pub. L. 104-193).
</p><p>(6) Information from these records may be disclosed in civil, criminal, administrative or arbitration proceedings before a court,
magistrate, administrative or arbitration tribunal, in the course of
pre-trial discovery, motions, trial, appellate review, or in settlement negotiations, when OTS, the Director of OTS, an OTS employee, the
Department of the Treasury, the Secretary of the Treasury, or the United States is a party or has an interest in or is likely to be affected
by such proceeding and an OTS attorney determines that the information is arguably relevant to that proceeding.
</p><p>(7) Relevant information may be disclosed to the Department of Justice, private counsel, or an insurance carrier for the purpose of
defending an action or seeking legal advice, to assure that the agency and its employees receive appropriate representation in legal
proceedings.
</p><p>(8) Information may be disclosed to respond to State and local authorities in connection with garnishment proceedings;
</p><p>(9) Information may be disclosed to private creditors for the purpose of garnishment of wages of an employee if the debt has been reduced
to a judgment.
</p><p>(10) Information may be disclosed to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that
the security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on electronic media, microfiche, and in paper files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are filed by individual name, social security number and by office.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper and microfiche records are maintained in secured offices and access is limited to personnel whose official duties require such
access and who have a need to know the information in a record for a particular job-related purpose. Access to computerized records is
limited, through the use of a password, to those whose official duties require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with National Archives and Records Administration Approved Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director for Accounting, Office of the Comptroller of the Currency, 250 E Street SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual’s name and signature (such as a photocopy of a driver’s
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual’s identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Personnel and payroll records of current and former employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/OTS .013</systemNumber>

<subsection type="systemName">Mass Communication System.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>The system is hosted at a contractor site in Burbank, California. The address of the contractor may be obtained by writing to the
system manager below.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>All employees of The Office of the Comptroller of the Currency.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee’s name, home phone number, personal cell phone number, personal email address, official business phone number, official
business email address, official business cell phone number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Executive Order 12148, <i>Federal Emergency Managemen</i>t.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The OCC Security Office will use the Mass Communication System to communicate with OCC personnel during and after local, regional or
national emergency events, communicate with staff during and after security incidents, disseminate time sensitive information to staff,
provide Human Resources and OCC Leadership with employee accountability status during emergency events, and conduct communication tests. The
system is a managed service that is hosted at a contractor site. The system will allow Security staff and other authorized individuals to send
messages to the OCC workforce and receive confirmation back from staff in order to help senior management assess the availability of staff
during times of emergency. Employees have the right to decline to provide personal information, however, their official business contact
information is entered into the system through an automated upload.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in these records may be used to:
</p><p>(1) Make disclosures to a congressional office from the records of an individual in response to an inquiry made at the request of the
individual to whom the record pertains;
</p><p>(2) Representatives of the National Archives and Records Administration (NARA) who are conducting records management inspections under
authority of 44 U.S.C. 2904 and 2906.
</p><p>(3) A contractor for the purpose of full filling a contract, compiling, organizing, analyzing, programming, or otherwise refining records
to accomplish an agency function subject to the same limitations applicable to U.S. Department of Treasury officers and employees under the
Privacy Act.
</p><p>(4) Disclose information to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic format at the service provider’s site.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by OCC office and individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Safeguards in place to prevent misuse of data include: role-based user access, the use of user ID and authorization code to access the
Web site, monitoring of application access and database access, encryption of passwords stored in the database, and physical access controls
to the building housing the system.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with National Archives and Records Administration General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director of Critical Infrastructure Protection &amp; Security, 250 E St. SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual’s name and signature (such as a photocopy of a driver’s
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual’s identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>Non-exempt information maintained in this system is obtained from OCC personnel, OCC-regulated entities, other federal financial
regulatory agencies, and criminal law enforcement authorities.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="TREASURY" toc="yes">
<systemNumber>/OTS .015</systemNumber>
 
<subsection type="systemName">Retiree Billing System.</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of the Comptroller of the Currency, 250 E St. SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Former OTS Financial Institutions Retirement Fund (FIRF) retirees and OTS employees retiring under the Civil Service Retirement System
or the Federal Employees Retirement System and who participate in the OTS-sponsored life insurance plan.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Former OTS employee retirees’ names, home phone numbers, mailing addresses, email addresses, and bank account numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 12 U.S.C. 1462a (h).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The OTS Retiree Billing system was used to bill insurance premiums to both Financial Institutions Retirement Fund (FIRF) employees and
employees who retired from OTS and had the OTS sponsored life insurance. The system is used by Payroll Accounting Specialists in the Human
Resources office. Retiree name and bank account information was shared with the Financial Management Services (FMS), which is another bureau
of the Treasury Department, so that retirees could be properly billed for health/insurance premiums. FMS provided Automated Clearing House
(ACH) debit services on behalf of OTS; OTS provides FMS with retiree information so that FMS could perform a debit on the bank account of the
retiree for the funds owed to OTS and deposit the money into an OTS account. This system is now maintained only for historical search
purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in these records may be used to:
</p><p>(1) Make disclosures to a congressional office from the records of an individual in response to an inquiry made at the request of the
individual to whom the record pertains;
</p><p>(2) Representatives of the National Archives and Records Administration (NARA) who are conducting records management inspections under
authority of 44 U.S.C. 2904 and 2906.
</p><p>(3) A contractor for the purpose of full filling a contract, compiling, organizing, analyzing, programming, or otherwise refining records
to accomplish an agency function subject to the same limitations applicable to U.S. Department of Treasury officers and employees under the
Privacy Act.
</p><p>(4) Disclose information to the appropriate agencies, entities, and persons when (a) the Department suspects or has confirmed that the
security or confidentiality of information in the system of records has been compromised; (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 interests, 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 made to such agencies, entities, and persons is 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.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by retirees’ names or social security numbers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Safeguards in place to prevent misuse of data include: role-based user access, the use of userid and authorization code to access the
system, and locking paper files when not in use.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of in accordance with National Archives and Records Administration General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Compensation and Benefits, Office of Human Resources, 250 E St. SW., Washington, DC 20219.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>An individual wishing to be notified if he or she is named in non-exempt records maintained in this system must submit a written
request to the Freedom of Information Act Officer, Communications Division, Mailstop 2-3, Office of the Comptroller of the Currency, 250
E Street SW., Washington, DC 20219-0001. See 31 CFR part 1, Subpart C, Appendix J.
</p><p>Identification Requirements: An individual seeking notification through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the individual’s name and signature (such as a photocopy of a driver’s
license or other official document). An individual seeking notification in person must establish his or her identity by providing proof in the
form of a single official document bearing a photograph (such as a passport or identification badge) or two items of identification that bear
both a name and signature.
</p><p>Alternatively, identity may be established by providing a notarized statement, swearing or affirming to an individual’s identity, and to
the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining information under false
pretenses.
</p><p>Additional documentation establishing identity or qualification for notification may be required, such as in an instance where a legal
guardian or representative seeks notification on behalf of another individual.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See "Notification Procedure" above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>OTS retirees and OTS payroll and personnel systems.
</p></xhtmlContent></subsection>
	<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>


<appendix id="appa" toc="yes" letter="A">
<title> Addresses of Office of Thrift Supervision Regional Offices </title>
<xhtmlContent><p>(1) Northeast Region: Harborside Financial Center Plaza Five, Suite 1600, Jersey City, NJ 07311.
</p><p>(2) Southeast Region: 1475 Peachtree Street, NE., Atlanta, GA 30309.
</p><p>(3) Central Region: 1 South Wacker Drive, Suite 2000, Chicago, IL 60606.
</p><p>(4) Midwest Region: 225 E. John Carpenter Freeway, Suite 500, Irving, TX 75062-2326.
</p><p>(5) West Region: Office of Thrift Supervision, Pacific Plaza, 2001 Junipero Serra Boulevard, Suite 650, Daly City, CA 94014-3897.
</p></xhtmlContent></appendix>

<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 3, 2012 and December 31, 2013</title>
</previousPubs>
<regulations id="reg1" toc="yes">
<regulationsTitle number="31">
<heading> Money and Finance: Treasury </heading>
<regulationsPart number="1">
<heading> DISCLOSURE OF RECORDS </heading>
<xhtmlContent>
<p><b>Subpart C--Privacy Act</b></p>

<p>Sec.
</p>
<p>1.1 </p>
<p><b>General. 
</b></p>
<p>1.2 </p>
<p><b>Information made available. 
</b></p>
<p>1.3 </p>
<p><b>Publication in the Federal Register. 
</b></p>
<p>1.4 </p>
<p><b>Public inspection and copying. 
</b></p>
<p>1.5 </p>
<p><b>Specific requests for other records. 
</b></p>
<p>1.6 </p>
<p><b>Business information. 
</b></p>
<p>1.7 </p>
<p><b>Fees for services. 
</b></p>
<p>Appendix A to Subpart A--Departmental Offices 
</p>
<p>Appendix B to Subpart A--Internal Revenue Service 
</p>
<p>Appendix C to Subpart A--United States Customs Service 
</p>
<p>Appendix D to Subpart A--United States Secret Service 
</p>
<p>Appendix E to Subpart A--Bureau of Alcohol, Tobacco and Firearms 
</p>
<p>Appendix F to Subpart A--Bureau of Engraving and Printing 
</p>
<p>Appendix G to Subpart A--Financial Management Service 
</p>
<p>Appendix H to Subpart A--United States Mint 
</p>
<p>Appendix I to Subpart A--Bureau of the Public Debt 
</p>
<p>Appendix J to Subpart A--Office of the Comptroller of the Currency 
</p>
<p>Appendix K to Subpart A--Federal Law Enforcement Training Center 
</p>
<p>Appendix L to Subpart A--Office of Thrift Supervision
</p>
<p>Appendix M to Subpart A--Financial Crimes Enforcement Network
</p><p><b>Subpart B--Other Disclosure Provisions
</b></p>
<p>1.8</p>
<p><b>Scope.
</b></p>
<p>1.9</p>
<p><b>Records not to be otherwise withdrawn or disclosed.
</b></p>
<p>1.10</p>
<p><b>Oral information.
</b></p>
<p>1.11</p>
<p><b>Testimony or the production of records in a court or other proceeding.
</b></p>
<p>1.12</p>
<p><b>Regulations not applicable to official request.
</b></p><p><b>Subpart C--Privacy Act
</b></p>
<p>1.20</p>
<p><b>Purpose and scope of regulation.
</b></p>
<p>1.21</p>
<p><b>Definitions.
</b></p>
<p>1.22</p>
<p><b>Requirements relating to systems of records.
</b></p>
<p>1.23</p>
<p><b>Publication in the Federal Register--Notices of systems of records, general exemptions, specific exemptions, review of all systems.
</b></p>
<p>1.24</p>
<p><b>Disclosure of records to person other than the individual to whom they pertain.
</b></p>
<p>1.25</p>
<p><b>Accounting of disclosures.
</b></p>
<p>1.26</p>
<p><b>Procedures for notification and access to records pertaining to individuals--format and fees for request for access.
</b></p>
<p>1.27</p>
<p><b>Procedures for amendment of records pertaining to individuals--format, agency review and appeal from initial adverse agency determination.
</b></p>
<p>1.28</p>
<p><b>Training, rules of conduct, penalties for non-compliance.
</b></p>
<p>1.29</p>
<p><b>Records transferred to Federal Records Center or National Archives of the United States.
</b></p>
<p>1.30</p>
<p><b>Application to system of records maintained by Government contractors.
</b></p>
<p>1.31</p>
<p><b>Sale or rental of mailing lists.
</b></p>
<p>1.32</p>
<p><b>Use and disclosure of social security numbers.
</b></p>
<p>1.34</p>
<p><b>Guardianship.
</b></p>
<p>1.35</p>
<p><b>Information forms.
</b></p>
<p>1.36</p>
<p><b>Systems exempt in whole or in part from provisions of 5 U.S.C. 552a and this part.
</b></p>
<p>Appendix A to Subpart C--Departmental Offices
</p>
<p>Appendix B to Subpart C--Internal Revenue Service
</p>
<p>Appendix C to Subpart C--United States Customs Service
</p>
<p>Appendix D to Subpart C--United States Secret Service
</p>
<p>Appendix E to Subpart C--Bureau of Alcohol, Tobacco and Firearms
</p>
<p>Appendix F to Subpart C--Bureau of Engraving and Printing
</p>
<p>Appendix G to Subpart C--Financial Management Service
</p>
<p>Appendix H to Subpart C--United States Mint
</p>
<p>Appendix I to Subpart C--Bureau of the Public Debt
</p>
<p>Appendix J to Subpart C--Office of the Comptroller of the Currency
</p>
<p>Appendix K to Subpart C--Federal Law Enforcement Training Center
</p>
<p>Appendix L to Subpart C--Office of Thrift Supervision
</p>
<p>Appendix M to Subpart C [Reserved]
</p>
<p>Appendix N to Subpart C--Financial Crimes Network
</p>
<p><b>Authority:</b> 5 U.S.C. 301 and 31 U.S.C. 321. Subpart A also issued under 5 U.S.C. 552, as amended. Subpart C also issued under 5 U.S.C. 552a.
</p>
<p><b>Source:</b> 52 FR 26305, July 14, 1987, unless otherwise noted.
</p><p><b>Subpart A--Freedom of Information Act
</b></p>
<p><b>Source:</b> 65 FR 40504, June 30, 2000, unless otherwise noted.

</p>
<p><b>&#167; 1.1
</b></p>
<p><b>General.
</b></p>
<p>(a) Purpose and scope. (1) This subpart contains the regulations of the Department of the Treasury implementing the Freedom of Information Act (FOIA), 5 U.S.C. 552, as amended by the Electronic Freedom of Information Act Amendments of 1996. The regulations set forth procedures for requesting access to records maintained by the Department of the Treasury. These regulations apply to all components of the Department of the Treasury. Any reference in this subpart to the Department or its officials, employees, or records shall be deemed to refer also to the components or their officials, employees, or records. Persons interested in the records of a particular component should also consult the appendix to this subpart that pertains to that component. In connection with such republication, and at other appropriate times, components may issue supplementary regulations applicable only to the component in question, which are consistent with these regulations. In the event of any actual or apparent inconsistency, these Departmental regulations shall govern. Persons interested in the records of a particular component should, therefore, also consult the Code of Federal Regulations for any rules or regulations promulgated specifically with respect to that component (see Appendices to this subpart for cross references). The head of each component is hereby authorized to substitute the officials designated and change the addresses specified in the appendix to this subpart applicable to the components. The components of the Department of the Treasury for the purposes of this subpart are the following offices and bureaus:
</p>
<p>(i) The Departmental Offices, which include the offices of:
</p>
<p>(A) The Secretary of the Treasury, including immediate staff;
</p>
<p>(B) The Deputy Secretary of the Treasury, including immediate staff;
</p>
<p>(C) The Chief of Staff, including immediate staff;
</p>
<p>(D) The Executive Secretary of the Treasury and all offices reporting to such official, including immediate staff;
</p>
<p>(E) Under Secretary (International Affairs) and all offices reporting to such official, including immediate staff;
</p>
<p>(F) Assistant Secretary (International Economics and Development) and all offices reporting to such official, including immediate staff;
</p>
<p>(G) Assistant Secretary (Financial Markets and Investment Policy) and all offices reporting to such official, including immediate staff;
</p>
<p>(H) Under Secretary (Domestic Finance) and all offices reporting to such official, including immediate staff;
</p>
<p>(I) Fiscal Assistant Secretary and all offices reporting to such official, including immediate staff;
</p>
<p>(J) Assistant Secretary (Financial Institutions) and all offices reporting to such official, including immediate staff;
</p>
<p>(K) Assistant Secretary (Financial Markets) and all offices reporting to such official, including immediate staff;
</p>
<p>(L) Assistant Secretary (Financial Stability) and all offices reporting to such official, including immediate staff;
</p>
<p>(M) Under Secretary (Terrorism &amp; Financial Intelligence) and all offices reporting to such official, including immediate staff;
</p>
<p>(N) Assistant Secretary (Terrorist Financing) and all offices reporting to such official, including immediate staff;
</p>
<p>(O) Assistant Secretary (Intelligence and Analysis) and all offices reporting to such official, including immediate staff;
</p>
<p>(P) General Counsel and all offices reporting to such official, including immediate staff; except legal counsel to the components listed in paragraphs (a)(1)(i)(W), (a)(1)(i)(X), (a)(1)(i)(Y), and (a)(1)(ii) through (x) of this section;
</p>
<p>(Q) Treasurer of the United States including immediate staff;
</p>
<p>(R) Assistant Secretary (Legislative Affairs) and all offices reporting to such official, including immediate staff;
</p>
<p>(S) Assistant Secretary (Public Affairs) and all offices reporting to such official, including immediate staff;
</p>
<p>(T) Assistant Secretary (Economic Policy) and all offices reporting to such official, including immediate staff;
</p>
<p>(U) Assistant Secretary (Tax Policy) and all offices reporting to such official, including immediate staff;
</p>
<p>(V) Assistant Secretary (Management) and Chief Financial Officer, and all offices reporting to such official, including immediate staff;
</p>
<p>(W) The Inspector General, and all offices reporting to such official, including immediate staff;
</p>
<p>(X) The Treasury Inspector General for Tax Administration, and all offices reporting to such official, including immediate staff;
</p>
<p>(Y) The Special Inspector General for the Troubled Asset Relief Program, and all offices reporting to such official, including immediate staff;
</p>
<p>(ii) Alcohol and Tobacco Tax and Trade Bureau.
</p>
<p>(iii) Bureau of Public Debt.
</p>
<p>(iv) Financial Management Service.
</p>
<p>(v) Internal Revenue Service.
</p>
<p>(vi) Comptroller of the Currency.
</p>
<p>(vii) Office of Thrift Supervision.
</p>
<p>(viii) Bureau of Engraving and Printing.
</p>
<p>(ix) United States Mint.
</p>
<p>(x) Financial Crimes Enforcement Network.
</p>
<p>(2) For purposes of this subpart, the office of the legal counsel for the components listed in paragraphs (a)(1)(i)(W), (a)(1)(i)(X), (1)(i)(Y) and (a)(1)(ii) through (x) of this section, are to be considered a part of their respective component. Any office which is now in existence or may hereafter be established, which is not specifically listed or known to be a component of any of those listed above, shall be deemed a part of the Departmental Offices for the purpose of these regulations.
</p>
<p>(b) <i>Definitions.</i> As used in this subpart, the following terms shall have the following meanings: 
</p>
<p>(1) <i>Agency</i> has the meaning given in 5 U.S.C. 551(1) and 5 U.S.C. 552(f). 
</p>
<p>(2) <i>Appeal</i> means a request for a review of an agency’s determination with regard to a fee waiver, category of requester, expedited processing, or denial in whole or in part of a request for access to a record or records. 
</p>
<p>(3) <i>Bureau</i> means an entity of the Department of the Treasury that is authorized to act independently in disclosure matters. 
</p>
<p>(4) <i>Business information</i> means trade secrets or other commercial or financial information. 
</p>
<p>(5) <i>Business submitter</i> means any entity which provides business information to the Department of the Treasury or its bureaus and which has a proprietary interest in the information. 
</p>
<p>(6) <i>Computer software</i> means tools by which records are created, stored, and retrieved. Normally, computer software, including source code, object code, and listings of source and object codes, regardless of medium, are not agency records. However, when data are embedded within the software and cannot be extracted without the software, the software may have to be treated as an agency record. Proprietary (or copyrighted) software is not an agency record. 
</p>
<p>(7) <i>Confidential commercial information</i> means records provided to the government by a submitter that arguably contain material exempt from release under Exemption 4 of the Freedom of Information Act, 5 U.S.C. 552(b)(4), because disclosure could reasonably be expected to cause substantial competitive harm. 
</p>
<p>(8) <i>Duplication</i> refers to the process of making a copy of a record in order to respond to a FOIA request. Such copies can take the form of paper copy, microform, audio-visual materials, or machine readable documentation (e.g., magnetic tape or disk), among others. 
</p>
<p>(9) <i>Electronic records</i> means those records and information which are created, stored, and retrievable by electronic means. This ordinarily does not include computer software, which is a tool by which to create, store, or retrieve electronic records. 
</p>
<p>(10) <i>Request</i> means any request for records made pursuant to 5 U.S.C. 552(a)(3). 
</p>
<p>(11) <i>Requester</i> means any person who makes a request for access to records. 
</p>
<p>(12) <i>Responsible official</i> means a disclosure officer or the head of the organizational unit having immediate custody of the records requested, or an official designated by the head of the organizational unit. 
</p>
<p>(13) <i>Review,</i> for fee purposes, refers to the process of examining records located in response to a commercial use request to determine whether any portion of any record located is permitted to be withheld. It also includes processing any records for disclosure; e.g., doing all that is necessary to excise them and otherwise prepare them for release. 
</p>
<p>(14) <i>Search</i> includes all time spent looking for material that is responsive to a request, including page-by-page or line-by-line identification of material within records. Searches may be done manually or by automated means.
</p>
<p>[65 FR 40504, June 30, 2000, as amended at 68 FR 55311, Sept. 25, 2003; 75 FR 743, Jan. 6, 2010]

</p>
<p><b>&#167; 1.2 
</b></p>
<p><b>Information made available. 
</b></p>
<p>(a) <i>General.</i> The FOIA (5 U.S.C. 552) provides for access to information and records developed or maintained by Federal agencies. The provisions of section 552 are intended to assure the right of the public to information. Generally, this section divides agency information into three major categories and provides methods by which each category of information is to be made available to the public. The three major categories of information are as follows: 
</p>
<p>(1) Information required to be published in the <i>Federal Register</i> (see &#167; 1.3); 
</p>
<p>(2) Information required to be made available for public inspection and copying or, in the alternative, to be published and offered for sale (see &#167; 1.4); and 
</p>
<p>(3) Information required to be made available to any member of the public upon specific request (see &#167; 1.5). 
</p>
<p>(b) Subject only to the exemptions and exclusions set forth in 5 U.S.C. 552(b) and (c), any person shall be afforded access to information or records in the possession of any bureau of the Department of the Treasury, subject to the regulations in this subpart and any regulations of a bureau implementing or supplementing them. 
</p>
<p>(c) <i>Exemptions.</i> (1) The disclosure requirements of 5 U.S.C. 552(a) do not apply to certain matters which are exempt under 5 U.S.C. 552(b); nor do the disclosure requirements apply to certain matters which are excluded under 5 U.S.C. 552(c). 
</p>
<p>(2) Even though an exemption described in 5 U.S.C. 552(b) may be applicable to the information or records requested, a Treasury bureau may, if not precluded by law, elect under the circumstances of that request not to apply the exemption. The fact that the exemption is not applied by a bureau in response to a particular request shall have no precedential significance in processing other requests, but is merely an indication that, in the processing of the particular request, the bureau finds no necessity for applying the exemption. 

</p>
<p><b>&#167; 1.3 
</b></p>
<p><b>Publication in the Federal Register. 
</b></p>
<p>(a) <i>Requirement.</i> Subject to the application of the exemptions and exclusions in 5 U.S.C. 552(b) and (c) and subject to the limitations provided in 5 U.S.C. 552(a)(1), each Treasury bureau shall, in conformance with 5 U.S.C. 552(a)(1), separately state, publish and maintain current in the <i>Federal Register</i> for the guidance of the public the following information with respect to that bureau: 
</p>
<p>(1) Descriptions of its central and field organization and the established places at which, the persons from whom, and the methods whereby, the public may obtain information, make submittals or requests, or obtain decisions; 
</p>
<p>(2) Statements of the general course and method by which its functions are channeled and determined, including the nature and requirements of all formal and informal procedures available; 
</p>
<p>(3) Rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations; 
</p>
<p>(4) Substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by the bureau; and 
</p>
<p>(5) Each amendment, revision, or repeal of matters referred to in paragraphs (a)(1) through (4) of this section. 
</p>
<p>(b) <i>The United States Government Manual.</i> The functions of each bureau are summarized in the description of the Department and its bureaus in the United States Government Manual, which is issued annually by the Office of the Federal Register. 

</p>
<p><b>&#167; 1.4 
</b></p>
<p><b>Public inspection and copying. 
</b></p>
<p>(a) <i>In general.</i> Subject to the application of the exemptions and exclusions described in 5 U.S.C. 552(b) and (c), each Treasury bureau shall, in conformance with 5 U.S.C. 552(a)(2), make available for public inspection and copying, or, in the alternative, promptly publish and offer for sale the following information with respect to the bureau: 
</p>
<p>(1) Final opinions, including concurring and dissenting opinions, and orders, made in the adjudication of cases; 
</p>
<p>(2) Those statements of policy and interpretations which have been adopted by the bureau but are not published in the <i>Federal Register</i>; 
</p>
<p>(3) Its administrative staff manuals and instructions to staff that affect a member of the public; 
</p>
<p>(4) Copies of all records, regardless of form or format, which have been released to any person under 5 U.S.C. 552(a)(3), and which the bureau determines have become or are likely to become the subject of subsequent requests for substantially the same records because they are clearly of interest to the public at large. The determination that records have become or may become the subject of subsequent requests shall be made by the Responsible Official (as defined at &#167; 1.1(b)(12)). 
</p>
<p>(5) A general index of the records referred to in paragraph (a)(4) of this section. 
</p>
<p>(b) <i>Information made available by computer telecommunications.</i> For records required to be made available for public inspection and copying pursuant to 5 U.S.C. 552(a)(2) (paragraphs (a)(1) through (4) of this section) which are created on or after November 1, 1996, as soon as practicable but no later than one year after such records are created, each bureau shall make such records available on the Internet. 
</p>
<p>(c) <i>Deletion of identifying details.</i> To prevent a clearly unwarranted invasion of personal privacy, or pursuant to an exemption in 5 U.S.C. 552(b), a Treasury bureau may delete information contained in any matter described in paragraphs (a)(1) through (4) of this section before making such matters available for inspection or publishing it. The justification for the deletion shall be explained fully in writing, and the extent of such deletion shall be indicated on the portion of the record which is made available or published, unless including that indication would harm an interest protected by the exemption in 5 U.S.C. 552(b) under which the deletion is made. If technically feasible, the extent of the deletion shall be indicated at the place in the record where the deletion was made. 
</p>
<p>(d) <i>Public reading rooms.</i> Each bureau of the Department of the Treasury shall make available for public inspection and copying, in a reading room or otherwise, the material described in paragraphs (a)(1) through (5) of this section. Fees for duplication shall be charged in accordance with &#167; 1.7. See the appendices to this subpart for the location of established bureau reading rooms. 
</p>
<p>(e) <i>Indexes.</i> (1) Each bureau of the Department of the Treasury shall maintain and make available for public inspection and copying current indexes identifying any material described in paragraphs (a)(1) through (3) of this section. In addition, each bureau shall promptly publish, quarterly or more frequently, and distribute (by sale or otherwise) copies of each index or supplement unless the head of each bureau (or a delegate) determines by order published in the <i>Federal Register</i> that the publication would be unnecessary and impractical, in which case the bureau shall nonetheless provide copies of the index on request at a cost not to exceed the direct cost of duplication. 
</p>
<p>(2) Each bureau shall make the index referred to in paragraph (a)(5) of this section available on the Internet by December 31, 1999. 

</p>
<p><b>&#167; 1.5 
</b></p>
<p><b>Specific requests for other records. 
</b></p>
<p>(a) <i>In general.</i> (1) Except for records made available under 5 U.S.C. 552(a)(1) and (a)(2), but subject to the application of the exemptions and exclusions described in 5 U.S.C. 552(b) and (c), each bureau of the Department of the Treasury shall promptly make the requested records available to any person in conformance with 5 U.S.C. 552(a)(3). The request must conform in every respect with the rules and procedures of this subpart and the applicable bureau’s appendix to this subpart. Any request or appeal from the initial denial of a request that does not comply with the requirements in this subpart will not be considered subject to the time constraints of paragraphs (h), (i), and (j) of this section, unless and until the request is amended to comply. Bureaus shall promptly advise the requester in what respect the request or appeal is deficient so that it may be amended and resubmitted for consideration in accordance with this subpart. If a requester does not respond within 30 days to a communication from a bureau to amend the request in order for it to be in conformance with this subpart, the request file will be considered closed. When the request conforms with the requirements of this subpart, bureaus shall make every reasonable effort to comply with the request within the time constraints. If the description of the record requested is of a type that is not maintained by the bureau, the requester shall be so advised and the request shall be returned to the requester. 
</p>
<p>(2) This subpart applies only to records in the possession or control of the bureau at the time of the request. Records considered to be responsive to the request are those in existence on or before the date of receipt of the request by the appropriate bureau official. Requests for the continuing production of records created after the date of the appropriate bureau official’s receipt of the request shall not be honored. Bureaus shall provide the responsive record or records in the form or format requested if the record or records are readily reproducible by the bureau in that form or format. Bureaus shall make reasonable efforts to maintain their records in forms or formats that are reproducible for the purpose of disclosure. For purposes of this section, <i>readily reproducible</i> means, with respect to electronic format, a record or records that can be downloaded or transferred intact to a floppy disk, compact disk (CD), tape, or other electronic medium using equipment currently in use by the office or offices processing the request. Even though some records may initially be readily reproducible, the need to segregate exempt from nonexempt records may cause the releasable material to not be readily reproducible. 
</p>
<p>(3) Requests for information classified pursuant to Executive Order 12958, "Classified National Security Information," require the responsible bureau to review the information to determine whether it continues to warrant classification. Information which no longer warrants classification under the Executive Order’s criteria shall be declassified and made available to the requester, unless the information is otherwise exempt from disclosure. 
</p>
<p>(4) When a bureau receives five or more requests for substantially the same records, it shall place those requests in front of an existing request backlog that the responsible official may have. Upon completion of processing, the released records shall be made available in the bureau’s public reading room, and if created on or after November 1, 1996, shall be made available in the electronic reading room of the bureau’s web site. 
</p>
<p>(b) <i>Form of request.</i> In order to be subject to the provisions of this section, the following must be satisfied. 
</p>
<p>(1) The request for records shall be made in writing, signed by the person making the request, and state that it is made pursuant to the Freedom of Information Act, 5 U.S.C. 552, or this subpart. 
</p>
<p>(2) The request shall indicate whether the requester is a commercial user, an educational institution, non-commercial scientific institution, representative of the news media, or "other" requester, subject to the fee provisions described in &#167; 1.7. In order for the Department to determine the proper category for fee purposes as defined in this section, a request for records shall also state how the records released will be used. This information shall not be used to determine the releasibility of any record or records. A determination of the proper category of requester shall be based upon a review of the requester’s submission and the bureau’s own records. Where a bureau has reasonable cause to doubt the use to which a requester will put the records sought, or where that use is not clear from the request itself, bureaus should seek additional clarification before assigning the request to a specific category. The categories of requesters are defined as follows: 
</p>
<p>(i) <i>Commercial.</i> A commercial use request refers to a request from or on behalf of one who seeks information for a use or purpose that furthers the commercial, trade, or profit interests of the requester or the person on whose behalf the request is made, which can include furthering those interests through litigation. The bureaus may determine from the use specified in the request that the requester is a commercial user. 
</p>
<p>(ii) <i>Educational institution.</i> This refers to a preschool, a public or private elementary or secondary school, an institution of graduate higher education, an institution of undergraduate higher education, an institution of professional education, and an institution of vocational education, which operates a program or programs of scholarly research. This category does not include requesters wanting records for use in meeting individual academic research or study requirements. 
</p>
<p>(iii) <i>Non-commercial scientific institution.</i> This refers to an institution that is not operated on a "commercial" basis as that term is defined in paragraph (b)(2)(i) of this section, and which is operated solely for the purpose of conducting scientific research, the results of which are not intended to promote any particular product or industry. 
</p>
<p>(iv) <i>Representative of the news media.</i> This refers to any person actively gathering news for an entity that is organized and operated to publish or broadcast news to the public. The term <i>news</i> means information that is about current events or that would be of current interest to the public. Examples of news media entities include television or radio stations broadcasting to the public at large, and publishers of periodicals (but only in those instances when they can qualify as disseminators of "news") who make their products available for purchase or subscription by the general public. These examples are not intended to be all-inclusive. In the case of "freelance" journalists, they may be regarded as working for a news organization if they can demonstrate a solid basis for expecting publication through that organization, even though not actually employed by it. A publication contract would be the clearest proof, but bureaus may also look to the past publication record of a requester in making this determination. 
</p>
<p>(v) <i>"Other" Requester.</i> This refers to a requester who does not fall within any of the previously described categories. 
</p>
<p>(3) The request must be properly addressed to the bureau that maintains the record. The functions of each bureau are summarized in <i>The United States Government Manual</i> which is issued annually and is available from the Superintendent of Documents. Both the envelope and the request itself should be clearly marked "Freedom of Information Act Request." See the appendices to this subpart for the office or officer to which requests shall be addressed for each bureau. A requester in need of guidance in defining a request or determining the proper bureau to which a request should be sent may contact Disclosure Services at 202/622-0930, or may write to Disclosure Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW, Washington, DC 20220. Requesters may access the "FOIA Home Page" at the Department of the Treasury World Wide Web site at: <i>http://www.treas.gov.</i>
</p>
<p>(4) The request must reasonably describe the records in accordance with paragraph (d) of this section. 
</p>
<p>(5) The request must set forth the address where the person making the request wants to be notified about whether or not the request will be granted.
</p>
<p>(6) The request must state whether the requester wishes to inspect the records or desires to have a copy made and furnished without first inspecting them. 
</p>
<p>(7) The request must state the firm agreement of the requester to pay the fees for search, duplication, and review as may ultimately be determined in accordance with &#167; 1.7. The agreement may state the upper limit (but not less than $25) that the requester is willing to pay for processing the request. A request that fees be waived or reduced may accompany the agreement to pay fees and shall be considered to the extent that such request is made in accordance with &#167; 1.7(d) and provides supporting information to be measured against the fee waiver standard set forth in &#167; 1.7(d)(1). The requester shall be notified in writing of the decision to grant or deny the fee waiver. A requester shall be asked to provide an agreement to pay fees when the request for a fee waiver or reduction is denied and the initial request for records does not include such agreement. If a requester has an outstanding balance of search, review, or duplication fees due for FOIA request processing, the requirements of this paragraph are not met until the requester has remitted the outstanding balance due. 
</p>
<p>(c) <i>Requests for records not in control of bureau; referrals; consultations.</i> (1) When a requested record is in the possession or under the control of a bureau of the Department other than the office to which the request is addressed, the request for the record shall be transferred to the appropriate bureau and the requester notified. This referral shall not be considered a denial of access within the meaning of these regulations. The bureau of the Department to which this referral is made shall treat this request as a new request addressed to it and the time limits for response set forth by paragraph (h)(1) of this section shall begin when the referral is received by the designated office or officer of the bureau. 
</p>
<p>(2) When a requested record has been created by an agency or Treasury bureau other than the Treasury bureau possessing the record, the bureau having custody of the record shall refer the record to the originating agency or Treasury bureau for a direct response to the requester. The requester shall be informed of the referral unless otherwise instructed by the originating agency. This is not a denial of a FOIA request; thus no appeal rights accrue to the requester. 
</p>
<p>(3) When a FOIA request is received for a record created by a Treasury bureau that includes information originated by another bureau of the Department of the Treasury or another agency, the record shall be referred to the originating agency or bureau for review and recommendation on disclosure. The agency or bureau shall respond to the referring office. The Treasury bureau shall not release any such records without prior consultation with the originating bureau or agency. 
</p>
<p>(4) In certain instances and at the discretion of the Departmental Offices, requests having impact on two or more bureaus of the Department may be coordinated by the Departmental Offices. 
</p>
<p>(d) <i>Reasonable description of records.</i> The request for records must describe the records in reasonably sufficient detail to enable employees who are familiar with the subject area of the request to locate the records without placing an unreasonable burden upon the Department. Whenever possible, a request should include specific information about each record sought, such as the date, title or name, author, recipients, and subject matter of the record. If the Department determines that the request does not reasonably describe the records sought, the requester shall be given an opportunity to provide additional information. Such opportunity may, when necessary, involve a discussion with knowledgeable Department of the Treasury personnel. The reasonable description requirement shall not be used by officers or employees of the Department of the Treasury to improperly withhold records from the public. 
</p>
<p>(e) <i>Requests for expedited processing.</i> (1) When a request for records includes a request for expedited processing, both the envelope and the request itself must be clearly marked, "Expedited Processing Requested." 
</p>
<p>(2) Records will be processed as soon as practicable when a requester asks for expedited processing in writing and is granted such expedited treatment by the Department. The requester must demonstrate a compelling need for expedited processing of the requested records. A compelling need is defined as follows: 
</p>
<p>(i) Failure to obtain the requested records on an expedited basis could reasonably be expected to pose an imminent threat to the life or physical safety of an individual. The requester shall fully explain the circumstances warranting such an expected threat so that the Department may make a reasoned determination that a delay in obtaining the requested records could pose such a threat; or 
</p>
<p>(ii) With respect to a request made by a person primarily engaged in disseminating information, urgency to inform the public concerning actual or alleged Federal Government activity. A person "primarily engaged in disseminating information" does not include individuals who are engaged only incidentally in the dissemination of information. The standard of "urgency to inform" requires that the records requested pertain to a matter of current exigency to the American public and that delaying a response to a request for records would compromise a significant recognized interest to and throughout the American general public. The requester must adequately explain the matter or activity and why the records sought are necessary to be provided on an expedited basis. 
</p>
<p>(3) A demonstration of a compelling need by a person making a request for expedited processing shall be made by a statement certified by the requester to be true and correct to the best of his or her knowledge and belief. The statement must be in the form prescribed by 28 U.S.C. 1746, "I declare under penalty of perjury that the foregoing is true and correct to the best of my knowledge and belief. Executed on [date]." 
</p>
<p>(4) Upon receipt by the appropriate bureau official, a request for expedited processing shall be considered and a determination as to whether to grant or deny the request for expedited processing shall be made, and the requester notified, within 10 calendar days of the date of the request. However, in no event shall the bureau have fewer than five days (excluding Saturdays, Sundays, and legal public holidays) from the date of receipt of the request for such processing. The determination to grant or deny a request for expedited processing may be made solely on the information contained in the initial letter requesting expedited treatment. 
</p>
<p>(5) Appeals of initial determinations to deny expedited processing must be made within 10 calendar days of the date of the initial letter of determination denying expedited processing. Both the envelope and the appeal itself shall be clearly marked, "Appeal for Expedited Processing."
</p>
<p>(6) An appeal determination regarding expedited processing shall be made, and the requester notified, within 10 days (excluding Saturdays, Sundays, and legal public holidays) from the date of receipt of the appeal. 
</p>
<p>(f) <i>Date of receipt of request.</i> A request for records shall be considered to have been received on the date on which a complete request containing the information required by paragraph (b) of this section has been received. A determination that a request is deficient in any respect is not a denial of access, and such determinations are not subject to administrative appeal. Requests shall be stamped with the date of receipt by the office prescribed in the appropriate appendix. As soon as the date of receipt has been established, the requester shall be so informed and shall also be advised when to expect a response. The acknowledgment of receipt requirement shall not apply if a disclosure determination will be issued prior to the end of the 20-day time limit. 
</p>
<p>(g) <i>Search for record requested.</i> Department of the Treasury employees shall search to identify and locate requested records, including records stored at Federal Records Centers. Searches for records maintained in electronic form or format may require the application of codes, queries, or other minor forms of programming to retrieve the requested records. Wherever reasonable, searches shall be done by electronic means. However, searches of electronic records are not required when such searches would significantly interfere with the operation of a Treasury automated information system or would require unreasonable effort to conduct. The Department of the Treasury is not required under 5 U.S.C. 552 to tabulate or compile information for the purpose of creating a record or records that do not exist. 
</p>
<p>(h) <i>Initial determination</i>--(1) <i>In general.</i> The officers designated in the appendices to this part shall make initial determinations either to grant or to deny in whole or in part requests for records. Such officers shall respond in the approximate order of receipt of the requests, to the extent consistent with sound administrative practice. These determinations shall be made and the requester notified within 20 days (excepting Saturdays, Sundays, and legal public holidays) after the date of receipt of the request, as determined in accordance with paragraph (f) of this section, unless the designated officer invokes an extension pursuant to paragraph (j)(1) of this section or the requester otherwise agrees to an extension of the 20-day time limitation. 
</p>
<p>(2) <i>Granting of request.</i> If the request is granted in full or in part, and if the requester wants a copy of the records, a copy of the records shall be mailed to the requester, together with a statement of the applicable fees, either at the time of the determination or shortly thereafter. 
</p>
<p>(3) <i>Inspection of records.</i> In the case of a request for inspection, the requester shall be notified in writing of the determination, when and where the requested records may be inspected, and of the fees incurred in complying with the request. The records shall then promptly be made available for inspection at the time and place stated, in a manner that will not interfere with Department of the Treasury operations and will not exclude other persons from making inspections. The requester shall not be permitted to remove the records from the room where inspection is made. If, after making inspection, the requester desires copies of all or a portion of the requested records, copies shall be furnished upon payment of the established fees prescribed by &#167; 1.7. Fees may be charged for search and review time as stated in &#167; 1.7. 
</p>
<p>(4) <i>Denial of request.</i> If it is determined that the request for records should be denied in whole or in part, the requester shall be notified by mail. The letter of notification shall: 
</p>
<p>(i) State the exemptions relied on in not granting the request; 
</p>
<p>(ii) If technically feasible, indicate the amount of information deleted at the place in the record where such deletion is made (unless providing such indication would harm an interest protected by the exemption relied upon to deny such material); 
</p>
<p>(iii) Set forth the name and title or position of the responsible official;
</p>
<p>(iv) Advise the requester of the right to administrative appeal in accordance with paragraph (i) of this section; and 
</p>
<p>(v) Specify the official or office to which such appeal shall be submitted.
</p>
<p>(5) <i>No records found.</i> If it is determined, after a thorough search for records by the responsible official or his delegate, that no records have been found to exist, the responsible official will so notify the requester in writing. The letter of notification will advise the requester of the right to administratively appeal the Department’s determination that no records exist (<i>i.e.,</i> to challenge the adequacy of the Department’s search for responsive records) in accordance with paragraph (i) of this section. The response shall specify the official or office to which the appeal shall be submitted for review. 
</p>
<p>(i) <i>Administrative appeal.</i> (1)(i) A requester may appeal a Department of the Treasury initial determination when: 
</p>
<p>(A) Access to records has been denied in whole or in part; 
</p>
<p>(B) There has been an adverse determination of the requester’s category as provided in &#167; 1.7(d)(4); 
</p>
<p>(C) A request for fee waiver or reduction has been denied; 
</p>
<p>(D) It has been determined that no responsive records exist; or 
</p>
<p>(E) A request for expedited processing has been denied. 
</p>
<p>(ii) An appeal, other than an appeal for expedited processing, must be submitted within 35 days of the date of the initial determination or the date of the letter transmitting the last records released, whichever is later, except in the case of a denial for expedited processing. An appeal of a denial for expedited processing must be made within 10 days of the date of the initial determination to deny expedited processing (see &#167; 1.5(e)(5)). All appeals must be submitted to the official specified in the appropriate appendix to this subpart whose title and address should also have been included in the initial determination. An appeal that is improperly addressed shall be considered not to have been received by the Department until the office specified in the appropriate appendix receives the appeal. 
</p>
<p>(2) The appeal shall-- 
</p>
<p>(i) Be made in writing and signed by the requester or his or her representative; 
</p>
<p>(ii) Be addressed to and mailed or hand delivered within 35 days (or within 10 days when expedited processing has been denied) of the date of the initial determination, or the date of the letter transmitting the last records released, whichever is later, to the office or officer specified in the appropriate appendix to this subpart and also in the initial determination. (See the appendices to this subpart for the address to which appeals made by mail should be addressed); 
</p>
<p>(iii) Set forth the address where the requester desires to be notified of the determination on appeal; 
</p>
<p>(iv) Specify the date of the initial request and date of the letter of initial determination, and, where possible, enclose a copy of the initial request and the initial determination being appealed. 
</p>
<p>(3)(i) Appeals shall be stamped with the date of their receipt by the office to which addressed, and shall be processed in the approximate order of their receipt. The receipt of the appeal shall be acknowledged by the office or officer specified in the appropriate appendix to this subpart and the requester advised of the date the appeal was received and the expected date of response. The decision to affirm the initial determination (in whole or in part) or to grant the request for records shall be made and notification of the determination mailed within 20 days (exclusive of Saturdays, Sundays, and legal public holidays) after the date of receipt of the appeal, unless extended pursuant to paragraph (j)(1) of this section. If it is decided that the initial determination is to be upheld (in whole or in part) the requester shall be-- 
</p>
<p>(A) Notified in writing of the denial; 
</p>
<p>(B) Notified of the reasons for the denial, including the FOIA exemptions relied upon; 
</p>
<p>(C) Notified of the name and title or position of the official responsible for the determination on appeal; and 
</p>
<p>(D) Provided with a statement that judicial review of the denial is available in the United States District Court for the judicial district in which the requester resides or has a principal place of business, the judicial district in which the requested records are located, or the District of Columbia in accordance with 5 U.S.C. 552(a)(4)(B). 
</p>
<p>(ii) If the initial determination is reversed on appeal, the requester shall be so notified and the request shall be processed promptly in accordance with the decision on appeal. 
</p>
<p>(4) If a determination cannot be made within the 20-day period (or within a period of extension pursuant to paragraph (j)(1) of this section), the requester may be invited to agree to a voluntary extension of the 20-day appeal period. This voluntary extension shall not constitute a waiver of the right of the requester ultimately to commence an action in a United States district court. 
</p>
<p>(j) <i>Time extensions; unusual circumstances.</i> (1) In unusual circumstances, the time limitations specified in paragraphs (h) and (i) of this section may be extended by written notice from the official charged with the duty of making the determination to the person making the request or appeal setting forth the reasons for this extension and the date on which the determination is expected to be sent. As used in this paragraph, <i>unusual circumstances</i> means, but only to the extent reasonably necessary to the proper processing of the particular requests: 
</p>
<p>(i) The need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request; 
</p>
<p>(ii) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or 
</p>
<p>(iii) The need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request, or among two or more bureaus or components of bureaus of the Department of the Treasury having substantial subject matter interest therein. 
</p>
<p>(2) Any extension or extensions of time shall not cumulatively total more than 10 days (exclusive of Saturdays, Sundays, and legal public holidays). However, if additional time is needed to process the request, the bureau shall notify the requester and provide the requester an opportunity to limit the scope of the request or arrange for an alternative time frame for processing the request or a modified request. The requester shall retain the right to define the desired scope of the request, as long as it meets the requirements contained in this subpart. 
</p>
<p>(3) Bureaus may establish multitrack processing of requests based on the amount of work or time, or both, involved in processing requests. 
</p>
<p>(4) If more than one request is received from the same requester, or from a group of requesters acting in concert, and the Department believes that such requests constitute a single request which would otherwise satisfy the unusual circumstances specified in paragraph (j)(1) of this section, and the requests involve clearly related matters, the Department may aggregate these requests for processing purposes. 
</p>
<p>(k) <i>Failure to comply.</i> If a bureau of the Department of the Treasury fails to comply with the time limits specified in paragraphs (h) or (i) of this section , or the time extensions of paragraph (j) of this section, any person making a request for records in accordance with &#167; 1.5 shall be considered to have exhausted administrative remedies with respect to the request. Accordingly, the person making the request may initiate suit as set forth in paragraph (l) of this section. 
</p>
<p>(l) <i>Judicial review.</i> If an adverse determination is made upon appeal pursuant to paragraph (i) of this section, or if no determination is made within the time limits specified in paragraphs (h) and (i) of this section, together with any extension pursuant to paragraph (j)(1) of this section or within the time otherwise agreed to by the requester, the requester may commence an action in a United States district court in the district in which he resides, in which his principal place of business is located, in which the records are situated, or in the District of Columbia, pursuant to 5 U.S.C. 552(a)(4). 
</p>
<p>(m) <i>Preservation of records.</i> Under no circumstances shall records be destroyed while they are the subject of a pending request, appeal, or lawsuit under the FOIA. 
</p>
<p>(n) <i>Processing requests that are not properly addressed.</i> A request that is not properly addressed as specified in the appropriate appendix to this subpart shall be forwarded to the appropriate bureau or bureaus for processing. If the recipient of the request does not know the appropriate bureau to forward it to, the request shall be forwarded to the Departmental Disclosure Officer (Disclosure Services, DO), who will determine the appropriate bureau. A request not addressed to the appropriate bureau will be considered to have been received for purposes of paragraph (f) of this section when the request has been received by the appropriate bureau office as designated in the appropriate appendix to this subpart. An improperly addressed request, when received by the appropriate bureau office, shall be acknowledged by that bureau. 

</p>
<p><b>&#167; 1.6 
</b></p>
<p><b>Business information. 
</b></p>
<p>(a) <i>In general.</i> Business information provided to the Department of the Treasury by a business submitter shall not be disclosed pursuant to a Freedom of Information Act request except in accordance with this section. 
</p>
<p>(b) <i>Notice to business submitters.</i> A bureau shall provide a business submitter with prompt written notice of receipt of a request or appeal encompassing its business information whenever required in accordance with paragraph (c) of this section, and except as is provided in paragraph (g) of this section. Such written notice shall either describe the exact nature of the business information requested or provide copies of the records or portions of records containing the business information. 
</p>
<p>(c) <i>When notice is required.</i> The bureau shall provide a business submitter with notice of receipt of a request or appeal whenever: 
</p>
<p>(1) The business submitter has in good faith designated the information as commercially or financially sensitive information, or 
</p>
<p>(2) The bureau has reason to believe that disclosure of the information could reasonably be expected to cause substantial competitive harm. 
</p>
<p>(3) Notice of a request for business information falling within paragraph (c)(1) or (2) of this section shall be required for a period of not more than ten years after the date of submission unless the business submitter requests, and provides acceptable justification for, a specific notice period of greater duration. 
</p>
<p>(4) The submitter’s claim of confidentiality should be supported by a statement by an authorized representative of the company providing specific justification that the information in question is in fact confidential commercial or financial information and has not been disclosed to the public. 
</p>
<p>(d) <i>Opportunity to object to disclosure.</i> (1) Through the notice described in paragraph (b) of this section, a bureau shall afford a business submitter ten days from the date of the notice (exclusive of Saturdays, Sundays, and legal public holidays) to provide the bureau with a detailed statement of any objection to disclosure. Such statement shall specify all grounds for withholding any of the information under any exemption of the Freedom of Information Act and, in the case of Exemption 4, shall demonstrate why the information is considered to be a trade secret or commercial or financial information that is privileged or confidential. Information provided by a business submitter pursuant to this paragraph may itself be subject to disclosure under the FOIA. 
</p>
<p>(2) When notice is given to a submitter under this section, the requester shall be advised that such notice has been given to the submitter. The requester shall be further advised that a delay in responding to the request may be considered a denial of access to records and that the requester may proceed with an administrative appeal or seek judicial review, if appropriate. However, the requester will be invited to agree to a voluntary extension of time so that the bureau may review the business submitter’s objection to disclose. 
</p>
<p>(e) <i>Notice of intent to disclose.</i> A bureau shall consider carefully a business submitter’s objections and specific grounds for nondisclosure prior to determining whether to disclose business information. Whenever a bureau decides to disclose business information over the objection of a business submitter, the bureau shall forward to the business submitter a written notice which shall include: 
</p>
<p>(1) A statement of the reasons for which the business submitter’s disclosure objections were not sustained; 
</p>
<p>(2) A description of the business information to be disclosed; and 
</p>
<p>(3) A specified disclosure date which is not less than ten days (exclusive of Saturdays, Sundays, and legal public holidays) after the notice of the final decision to release the requested information has been mailed to the submitter. Except as otherwise prohibited by law, a copy of the disclosure notice shall be forwarded to the requester at the same time. 
</p>
<p>(f) <i>Notice of FOIA lawsuit.</i> Whenever a requester brings suit seeking to compel disclosure of business information covered by paragraph (c) of this section, the bureau shall promptly notify the business submitter. 
</p>
<p>(g) <i>Exception to notice requirement.</i> The notice requirements of this section shall not apply if: 
</p>
<p>(1) The bureau determines that the information shall not be disclosed; 
</p>
<p>(2) The information lawfully has been published or otherwise made available to the public; or 
</p>
<p>(3) Disclosure of the information is required by law (other than 5 U.S.C. 552). 

</p>
<p><b>&#167; 1.7 
</b></p>
<p><b>Fees for services. 
</b></p>
<p>(a) <i>In general.</i> This fee schedule is applicable uniformly throughout the Department of the Treasury and pertains to requests processed under the Freedom of Information Act. Specific levels of fees are prescribed for each of the following categories of requesters. Requesters are asked to identify the applicable fee category they belong to in their initial request in accordance with &#167; 1.5(b). 
</p>
<p>(1) <i>Commercial use requesters.</i> These requesters are assessed charges which recover the full direct costs of searching for, reviewing, and duplicating the records sought. Commercial use requesters are not entitled to two hours of free search time or 100 free pages of duplication of documents. Moreover, when a request is received for disclosure that is primarily in the commercial interest of the requester, the Department is not required to consider a request for a waiver or reduction of fees based upon the assertion that disclosure would be in the public interest. The Department may recover the cost of searching for and reviewing records even if there is ultimately no disclosure of records, or no records are located. 
</p>
<p>(2) <i>Educational and Non-Commercial Scientific Institution Requesters.</i> Records shall be provided to requesters in these categories for the cost of duplication alone, excluding charges for the first 100 pages. To be eligible, requesters must show that the request is made under the auspices of a qualifying institution and that the records are not sought for a commercial use, but are sought in furtherance of scholarly (if the request is from an educational institution) or scientific (if the request is from a non-commercial scientific institution) research. These categories do not include requesters who want records for use in meeting individual academic research or study requirements. 
</p>
<p>(3) <i>Requesters who are Representatives of the News Media.</i> Records shall be provided to requesters in this category for the cost of duplication alone, excluding charges for the first 100 pages. 
</p>
<p>(4) <i>All Other Requesters.</i> Requesters who do not fit any of the categories described above shall be charged fees that will recover the full direct cost of searching for and duplicating records that are responsive to the request, except that the first 100 pages of duplication and the first two hours of search time shall be furnished without charge. The Department may recover the cost of searching for records even if there is ultimately no disclosure of records, or no records are located. Requests from persons for records about themselves filed in the Department’s systems of records shall continue to be treated under the fee provisions of the Privacy Act of 1974 which permit fees only for duplication, after the first 100 pages are furnished free of charge. 
</p>
<p>(b) <i>Fee waiver determination.</i> Where the initial request includes a request for reduction or waiver of fees, the responsible official shall determine whether to grant the request for reduction or waiver before processing the request and notify the requester of this decision. If the decision does not waive all fees, the responsible official shall advise the requester of the fact that fees shall be assessed and, if applicable, payment must be made in advance pursuant to &#167; 1.7(e)(2). 
</p>
<p>(c) <i>When fees are not charged.</i> (1) No fee shall be charged for monitoring a requester’s inspection of records. 
</p>
<p>(2) Fees shall be charged in accordance with the schedule contained in paragraph (g) of this section for services rendered in responding to requests for records, unless any one of the following applies: 
</p>
<p>(i) Services were performed without charge; 
</p>
<p>(ii) The cost of collecting a fee would be equal to or greater than the fee itself; or,
</p>
<p>(iii) The fees were waived or reduced in accordance with paragraph (d) of this section. 
</p>
<p>(d) <i>Waiver or reduction of fees.</i> (1) Fees may be waived or reduced on a case-by-case basis in accordance with this paragraph by the official who determines the availability of the records, provided such waiver or reduction has been requested in writing. Fees shall be waived or reduced by this official when it is determined, based upon the submission of the requester, that a waiver or reduction of the fees is in the public interest because furnishing the information is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requester. Fee waiver/reduction requests shall be evaluated against the fee waiver policy guidance issued by the Department of Justice on April 2, 1987. 
</p>
<p>(2) Normally no charge shall be made for providing records to state or foreign governments, international governmental organizations, or local government agencies or offices. 
</p>
<p>(3) Appeals from denials of requests for waiver or reduction of fees shall be decided in accordance with the criteria set forth in paragraph (d)(1) of this section by the official authorized to decide appeals from denials of access to records. Appeals shall be addressed in writing to the office or officer specified in the appropriate appendix to this subpart within 35 days of the denial of the initial request for waiver or reduction and shall be decided within 20 days (excluding Saturdays, Sundays, and legal public holidays). 
</p>
<p>(4) Appeals from an adverse determination of the requester’s category as described in &#167; 1.5(b)(2) and provided in &#167; 1.5(i)(1) shall be decided by the official authorized to decide appeals from denials of access to records and shall be based upon a review of the requester’s submission and the bureau’s own records. Appeals shall be addressed in writing to the office or officer specified in the appropriate appendix to this subpart within 35 days of the date of the bureau’s determination of the requester’s category and shall be decided within 20 days (excluding Saturdays, Sundays, and legal public holidays). 
</p>
<p>(e) <i>Advance notice of fees.</i> (1) When the fees for processing the request are estimated to exceed the limit set by the requester, and that amount is less than $250, the requester shall be notified of the estimated costs. The requester must provide an agreement to pay the estimated costs; however, the requester shall also be given an opportunity to reformulate the request in an attempt to reduce fees. 
</p>
<p>(2) If the requester has failed to state a limit and the costs are estimated to exceed $250.00, the requester shall be notified of the estimated costs and must pre-pay such amount prior to the processing of the request, or provide satisfactory assurance of full payment if the requester has a history of prompt payment of FOIA fees. The requester shall also be given an opportunity to reformulate the request in such a way as to constitute a request for responsive records at a reduced fee. 
</p>
<p>(3) When the Department or a bureau of the Department acts under paragraphs (e)(1) or (2) of this section, the administrative time limits of 20 days (excluding Saturdays, Sundays, and legal public holidays) from receipt of initial requests or appeals, plus extensions of these time limits, shall begin only after fees have been paid, a written agreement to pay fees has been provided, or a request has been reformulated. 
</p>
<p>(f) <i>Form of payment.</i> (1) Payment may be made by check or money order payable to the Treasury of the United States or the relevant bureau of the Department of the Treasury. 
</p>
<p>(2) The Department of the Treasury reserves the right to request prepayment after a request is processed and before documents are released. 
</p>
<p>(3) When costs are estimated or determined to exceed $250, the Department shall either obtain satisfactory assurance of full payment of the estimated cost where the requester has a history of prompt payment of FOIA fees or require a requester to make an advance payment of the entire estimated or determined fee before continuing to process the request. 
</p>
<p>(4) If a requester has previously failed to pay a fee within 30 days of the date of the billing, the requester shall be required to pay the full amount owed plus any applicable interest, and to make an advance payment of the full amount of the estimated fee before the Department begins to process a new request or the pending request. Whenever interest is charged, the Department shall begin assessing interest on the 31st day following the day on which billing was sent. Interest shall be at the rate prescribed in 31 U.S.C. 3717. In addition, the Department shall take all steps authorized by the Debt Collection Act of 1982, as amended by the Debt Collection Improvement Act of 1996, including administrative offset pursuant to 31 CFR Part 5, disclosure to consumer reporting agencies and use of collection agencies, to effect payment.
</p>
<p>(g) <i>Amounts to be charged for specific services.</i> The fees for services performed by a bureau of the Department of the Treasury shall be imposed and collected as set forth in this paragraph. 
</p>
<p>(1) <i>Duplicating records.</i> All requesters, except commercial requesters, shall receive the first 100 pages duplicated without charge. Absent a determination to waive fees, a bureau shall charge requesters as follows: 
</p>
<p>(i) $.20 per page, up to 8 1/2 x 14", made by photocopy or similar process. 
</p>
<p>(ii) Photographs, films, and other materials--actual cost of duplication. 
</p>
<p>(iii) Other types of duplication services not mentioned above--actual cost. 
</p>
<p>(iv) Material provided to a private contractor for copying shall be charged to the requester at the actual cost charged by the private contractor. 
</p>
<p>(2) <i>Search services.</i> Bureaus shall charge for search services consistent with the following: 
</p>
<p>(i) <i>Searches for other than electronic records.</i> The Department shall charge for search time at the salary rate(s) (basic pay plus 16 percent) of the employee(s) making the search. However, where a single class of personnel is used exclusively (e.g., all administrative/clerical, or all professional/executive), an average rate for the range of grades typically involved may be established. This charge shall include transportation of personnel and records necessary to the search at actual cost. Fees may be charged for search time as prescribed in &#167; 1.7, even if the search does not yield any responsive records, or if records are denied. 
</p>
<p>(ii) <i>Searches for electronic records.</i> The Department shall charge for actual direct cost of the search, including computer search time, runs, and the operator’s salary. The fee for computer output shall be actual direct costs. For requesters in the "all other" category, when the cost of the search (including the operator time and the cost of operating the computer to process a request) equals the equivalent dollar amount of two hours of the salary of the person performing the search (<i>i.e.,</i> the operator), the charge for the computer search will begin. 
</p>
<p>(3) <i>Review of records.</i> The Department shall charge commercial use requesters for review of records at the salary rate(s) (<i>i.e.,</i> basic pay plus 16 percent) of the employee(s) making the review. However, when a single class of personnel is used exclusively (e.g., all administrative/clerical, or all professional/executive), an average rate for the range of grades typically involved may be established. Fees may be charged for review time as prescribed in &#167; 1.7, even if records ultimately are not disclosed. 
</p>
<p>(4) <i>Inspection of records.</i> Fees for all services provided shall be charged whether or not copies are made available to the requester for inspection. 
</p>
<p>(5) <i>Other services.</i> Other services and materials requested which are not covered by this part nor required by the FOIA are chargeable at the actual cost to the Department. This includes, but is not limited to: 
</p>
<p>(i) Certifying that records are true copies; 
</p>
<p>(ii) Sending records by special methods such as express mail, etc. 
</p>
<p>(h) <i>Aggregating requests.</i> When the Department or a bureau of the Department reasonably believes that a requester or group of requesters is attempting to break a request down into a series of requests for the purpose of evading the assessment of fees, the agency shall aggregate any such requests and charge accordingly. </p>
<p><b>Appendix A to Subpart A of Part 1--Departmental Offices
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Departmental Offices as defined in 31 CFR 1.1(a)(1). 
</p>
<p>2. <i>Public reading room.</i> The public reading room for the Departmental Offices is the Treasury Library. The Library is located in the Main Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. For building security purposes, visitors are required to make an appointment by calling 202-622-0990. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the Departmental Offices will be made by the head of the organizational unit having immediate custody of the records requested or the delegate of such official. Requests for records should be addressed to: Freedom of Information Request, DO, Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW, Washington, DC 20220. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> 
</p>
<p>(i) Appellate determinations under 31 CFR 1.5(i) with respect to records of the Departmental Offices will be made by the Secretary, Deputy Secretary, Under Secretary, General Counsel, Inspector General, Treasury Inspector General for Tax Administration, Special Inspector General for Troubled Assets Relief Program, Treasurer of the United States, or Assistant Secretary having jurisdiction over the organizational unit which has immediate custody of the records requested, or the delegate of such officer. 
</p>
<p>(ii) Appellate determinations with respect to requests for expedited processing shall be made by the Deputy Assistant Secretary for Privacy and Treasury Records.
</p>
<p>(iii) Appeals should be addressed to: 
</p>
<p>Freedom of Information Appeal, DO, Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the General Counsel of the Department of the Treasury or the delegate of such officer and shall be delivered to the following location: General Counsel, Department of the Treasury, Room 3000, Main Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. 
</p>
<p>[52 FR 26305, July 14, 1987, as amended at 75 FR 744, Jan. 6, 2010]
</p><p><b>Appendix B to Subpart A of Part 1--Internal Revenue Service 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Internal Revenue Service. See also 26 CFR 601.702. 
</p>
<p>2. <i>Public reading room.</i> The public reading rooms for the Internal Revenue Service are maintained at the following location: 
</p><p>National Office 
</p>
<p>Mailing Address 
</p>
<p>Freedom of Information Reading Room, PO Box 795, Ben Franklin Station, Washington, DC 20044 
</p>
<p>Walk-In Address 
</p>
<p>Room 1621, 1111 Constitution Avenue, NW., Washington, DC 
</p><p>Northeast Region 
</p>
<p>Mailing Address 
</p>
<p>Freedom of Information Reading Room, PO Box 5138, E:QMS:D, New York, NY 10163 
</p>
<p>Walk-In Address 
</p>
<p>11th Floor, 110 W. 44th Street, New York, NY 
</p><p>Midstates Region 
</p>
<p>Mailing Address 
</p>
<p>Freedom of Information Reading Room, Mail Code 7000 DAL, 1100 Commerce Street, Dallas, TX 75242
</p>
<p>Walk-In Address 
</p>
<p>10th Floor, Rm. 10B37, 1100 Commerce Street, Dallas, TX 
</p><p>Southeast Region 
</p>
<p>Mailing Address 
</p>
<p>401 W. Peachtree Street, NW., Stop 601D, Room 868, Atlanta, GA 30365 
</p>
<p>Walk-In Address 
</p>
<p>Same as mailing address 
</p><p>Western Region 
</p>
<p>Mailing Address 
</p>
<p>1301 Clay Street, Stop 800-S, Oakland, CA 94612 
</p>
<p>Walk-In Address 
</p>
<p>8th Floor, 1301 Clay Street, Oakland, CA 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the Internal Revenue Service, grant expedited processing, grant a fee waiver, or determine requester category will be made by those officials specified in 26 CFR 601.702. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate eterminations under 31 CFR 1.5(i) with respect to records of the Internal Revenue Service will be made by the Commissioner of Internal Revenue or the delegate of such officer. Appeals made by mail should be addressed to:
</p>
<p>Freedom of Information Appeal, Commissioner of Internal Revenue Service, c/o Ben Franklin Station, PO Box 929, Washington, DC 20044. 
</p>
<p>Appeals may be delivered personally to the Assistant Chief Counsel (Disclosure Litigation) CC:EL:D, Office of the Chief Counsel, Internal Revenue Building, 1111 Constitution Avenue NW., Washington, D.C. 
</p>
<p>5. <i>Delivery of process.</i> Service of process shall be effected consistent with Rule 4 of the Federal Rule of Civil Procedure, and directed to the Commissioner of Internal Revenue at the following address:
</p>
<p>Commissioner, Internal Revenue Service, 1111 Constitution Avenue NW., Washington, DC 20224. Attention: CC:EL:D. </p>
<p><b>Appendix C to Subpart A of Part 1--United States Customs Service 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the United States Customs Service. 
</p>
<p>2. <i>Public reading room.</i> The public reading room for the United States Customs Service is maintained at the following location: 
</p>
<p>United States Customs Service, 1300 Pennsylvania Avenue NW., Washington, DC 20229. 
</p>
<p>3. <i>Requests for records.</i> 
</p>
<p>(a) Headquarters--Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records will be made by the appropriate Division Director at Customs Service Headquarters having custody of or functional jurisdiction over the subject matter of the requested records. If the request relates to records maintained in an office which is not within a division, the initial determination shall be made by the individual designated for that purpose by the Assistant Commissioner having responsibility for that office. Requests may be mailed or delivered in person to:
</p>
<p>Freedom of Information Act, Chief, Disclosure Law Branch, U.S. Customs Service, 1300 Pennsylvania Avenue, NW., Washington, DC 20229. 
</p>
<p>(b) Field Offices--Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records maintained by the Office of Investigations will be made by the Special Agent in Charge in whose office the records are maintained. Initial determinations of records maintained in Customs Ports of Entry as to whether or not to grant requests for records will be made by the Port Director of the Customs Service Port having jurisdiction over the Port of Entry in which the records are maintained. Requests may be mailed or faxed to or delivered personally to the respective Special Agents in Charge or Port Directors of the Customs Service Ports at the following locations: 
</p><p>Offices of Special Agents in Charge (SACS) 
</p>
<p>Atlanta--SAC 
</p>
<p>1691 Phoenix Blvd., Suite 250, Atlanta, Georgia 30349, Phone (770) 994-2230, FAX (770) 994-2262 
</p>
<p><b>Detroit--SAC 
</b></p>
<p>McNamara Federal Building, 477 Michigan Avenue, Room 350, Detroit, Michigan 8226-2568, Phone (313) 226-3166, FAX (313) 226-6282 
</p>
<p><b>Baltimore--SAC 
</b></p>
<p>40 South Gay Street, 3rd Floor Baltimore, Maryland 21202, Phone (410) 962-2620, FAX (410) 962-3469 
</p>
<p><b>El Paso--SAC 
</b></p>
<p>9400 Viscount Blvd., Suite 200, El Paso, Texas 79925, Phone (915) 540-5700, FAX (915) 540-5754 
</p>
<p><b>Boston--SAC 
</b></p>
<p>10 Causeway Street, Room 722, Boston, MA 02222-1054, Phone (617) 565-7400, FAX (617) 565-7422 
</p>
<p><b>Houston--SAC 
</b></p>
<p>4141 N. Sam Houston Pkwy, E., Houston, Texas 77032, Phone (281) 985-0500, FAX (281) 985-0505 
</p>
<p><b>Buffalo--SAC 
</b></p>
<p>111 West Huron Street, Room 416, Buffalo, New York 14202, Phone (716) 551-4375, FAX (716) 551-4379 
</p>
<p><b>Los Angeles--SAC 
</b></p>
<p>300 South Ferry St., Room 2037, Terminal Island, CA 90731, Phone (310) 514-6231, FAX (310) 514-6280 
</p>
<p><b>Chicago--SAC 
</b></p>
<p>610 South Canal Street, Room 1001, Chicago, Illinois 60607, Phone (312) 353-8450, FAX (312) 353-8455 
</p>
<p><b>Miami--SAC 
</b></p>
<p>8075 NW 53rd Street, Scranton Building, Miami, Florida 33166, Phone (305) 597-6030, FAX (305) 597-6227 
</p>
<p><b>Denver--SAC 
</b></p>
<p>115 Inverness Drive, East, Suite 300, Englewood, CO 80112-5131, Phone (303) 84-6480, FAX (303) 784-6490 
</p>
<p><b>New Orleans--SAC 
</b></p>
<p>423 Canal Street, Room 207, New Orleans, LA 70130, Phone (504) 670-2416, FAX (504) 589-2059 
</p>
<p><b>New York--SAC 
</b></p>
<p>6 World Trade Center, New York, New York 10048-0945, Phone (212) 466-2900, FAX (212) 466-2903
</p>
<p><b>San Juan--SAC 
</b></p>
<p>#1, La Puntilla Street, Room 110, San Juan, PR 00901, Phone (787) 729-6975 FAX (787) 729-6646 
</p>
<p><b>San Antonio--SAC 
</b></p>
<p>10127 Morocco, Suite 180, San Antonio, Texas 78216, Phone (210) 229-4561, FAX (210) 229-4582 
</p>
<p><b>Seattle--SAC 
</b></p>
<p>1000--2nd Avenue, Suite 2300, Seattle, Washington, 98104, Phone (206) 553-7531, FAX (206) 553-0826 
</p>
<p><b>San Diego--SAC 
</b></p>
<p>185 West "F" Street, Suite 600, San Diego, CA 92101, Phone (619) 57-6850, FAX (619) 557-5109 
</p>
<p><b>Tampa--SAC 
</b></p>
<p>2203 North Lois Avenue, Suite 600, Tampa, Florida 33607, Phone (813) 348-1881, FAX (813) 348-1871 
</p>
<p><b>San Francisco--SAC 
</b></p>
<p>1700 Montgomery Street, Suite 445, San Francisco, CA 94111, Phone (415) 705-4070, FAX (415) 705-4065 
</p>
<p><b>Tucson--SAC 
</b></p>
<p>555 East River Road, Tucson, Arizona 85704, Phone (520) 670-6026, FAX (520) 70-6233 
</p><p><b>Customs Service Ports 
</b></p>
<p>Anchorage: 605 West Fourth Avenue Anchorage, AK 99501. Phone: (907) 271-2675; FAX: (907) 271-2684. 
</p>
<p>Minneapolis: 110 South Street Minneapolis, MN 55401. Phone: (612) 348-1690; FAX: (612) 348-1630. 
</p>
<p>Baltimore: 200 St. Paul Place Baltimore, MD 21202. Phone: (410) 962-2666; FAX: (410) 962-9335. 
</p>
<p>Mobile: 150 North Royal Street Mobile, AL 36602. Phone: (205) 441-5106; FAX: (205) 441-6061. 
</p>
<p>Blaine: 9901 Pacific Highway Blaine, WA 98230. Phone: (360) 332-5771; FAX: (360) 332-4701. 
</p>
<p>New Orleans: 423 Canal Street New Orleans, LA 70130. Phone: (504) 589-6353; FAX: (504) 589-7305. 
</p>
<p>Boston: 10 Causeway Street Boston, MA 02222-1059. Phone: (617) 565-6147; FAX: (617) 565-6137. 
</p>
<p>New York: 6 World Trade Center New York, NY 10048. Phone: (212) 466-4444; FAX: (212) 455-2097. 
</p>
<p>Buffalo: 111 West Huron Street Buffalo, NY 14202-22378. Phone: (716) 551-4373; FAX: (716) 551-5011. 
</p>
<p>New York-JFK Area: Building #77 Jamaica, NY 11430. Phone: (718) 553-1542; FAX: (718) 553-0077. 
</p>
<p>Champlain: 35 West Service Road Rts. 1 &amp; 9 South Champlain, NY 12919. Phone: (518) 298-8347; FAX: (518) 298-8314. 
</p>
<p>New York-NY/Newark Area: Hemisphere Center, Newark, NJ 07114. Phone: (201) 645-3760; FAX: (201) 645-6634. 
</p>
<p>Charleston: 200 East Bay Street Charleston, SC 29401. Phone: (803) 727-4296; FAX: (803) 727-4043. 
</p>
<p>Nogales: 9 North Grand Avenue Nogales, AZ 85621. Phone: (520) 287-1410; FAX: (520) 287-1421. 
</p>
<p>Charlotte: 1801-K Cross Beam Drive Charlotte, NC 28217. Phone: (704) 329-6101; FAX: (704) 329-6103. 
</p>
<p>Norfolk: 200 Granby Street Norfolk, VA 23510. Phone: (804) 441-3400; FAX: (804) 441-6630. 
</p>
<p>Charlotte/Amalie: Main Post OFC-Sugar Estate St. Thomas, VI 00801. Phone: (809) 774-2511; FAX: (809) 776-3489. 
</p>
<p>Pembina: PO Box 610 Pembina, ND 58271. Phone: (701) 825-6201; FAX: (701) 825-6473. 
</p>
<p>Chicago: 610 South Canal Street Chicago, IL 60607. Phone: (312) 353-6100; FAX: (312) 353-2337. 
</p>
<p>Philadelphia: 2nd &amp; Chestnut Streets Philadelphia, PA 19106. Phone: (215) 597-4605; FAX: (215) 597-2103. 
</p>
<p>Cleveland: 56 Erieview Plaza Cleveland, OH 44114. Phone: (216) 891-3804; FAX: (216) 891-3836. 
</p>
<p>Portland, Oregon: 511 NW Broadway Portland, OR 97209. Phone: (503) 326-2865; FAX: (503) 326-3511. 
</p>
<p>Dallas/Fort Worth: PO Box 61905 Dallas/Fort Worth Airport, TX 75261. Phone: (972) 574-2170; FAX: (972) 574-4818. 
</p>
<p>Providence: 49 Pavilion Avenue Providence, RI 02905. Phone: (401) 941-6326; FAX: (401) 941-6628. 
</p>
<p>Denver: 4735 Oakland Street Denver, CO 80239. Phone: (303) 361-0715; FAX: (303) 361-0722. 
</p>
<p>San Diego: 610 West Ash Street San Diego, CA 92188. Phone: (619) 557-6758; FAX: (619) 557-5314. 
</p>
<p>Detroit: 477 Michigan Avenue Detroit, MI 48226. Phone: (313) 226-3178; FAX: (313) 226-3179. 
</p>
<p>San Francisco: 555 Battery Avenue San Francisco, CA 94111. Phone: (415) 744-7700; FAX: (415) 744-7710. 
</p>
<p>Duluth: 515 West 1st Street Duluth, MN 55802-1390. Phone: (218) 720-5201; FAX: (218) 720-5216. 
</p>
<p>San Juan: #1 La Puntilla San Juan, PR 00901. Phone: (809) 729-6965; FAX: (809) 729-6978. 
</p>
<p>El Paso: 9400 Viscount Boulevard El Paso, TX 79925. Phone: (915) 540-5800; FAX: (915) 540-3011. 
</p>
<p>Savannah: 1 East Bay Street Savannah, GA 31401. Phone: (912) 652-4256; FAX: (912) 652-4435. 
</p>
<p>Great Falls: 300 2nd Avenue South Great Falls, MT 59403. Phone: (406) 453-7631; FAX: (406) 453-7069. 
</p>
<p>Seattle: 1000 2nd Avenue Seattle, WA 98104-1049. Phone: (206) 553-0770; FAX: (206) 553-2970. 
</p>
<p>Honolulu: 335 Merchant Street Honolulu, HI 96813. Phone: (808) 522-8060; FAX: (808) 522-8060. 
</p>
<p>St. Albans: P.O. Box 1490 St. Albans, VT 05478. Phone: (802) 524-7352; FAX: (802) 527-1338. 
</p>
<p>Houston/Galveston: 1717 East Loop Houston, TX 77029. Phone: (713) 985-6712; FAX: (713) 985-6705. 
</p>
<p>St. Louis: 4477 Woodson Road St. Louis, MO 63134-3716. Phone: (314) 428-2662; FAX: (314) 428-2889. 
</p>
<p>Laredo/Colombia: P.O. Box 3130 Laredo, TX 78044. Phone: (210) 726-2267; FAX: (210) 726-2948. 
</p>
<p>Tacoma: 2202 Port of Tacoma Road, Tacoma, WA 98421. Phone: (206) 593-6336; FAX: (206) 593-6351. 
</p>
<p>Los Angeles: 300 South Ferry Street Terminal Island, CA 90731. Phone: (310) 514-6001; FAX: (310) 514-6769. 
</p>
<p>Tampa: 4430 East Adamo Drive Tampa, FL 33605. Phone: (813) 228-2381; FAX: (813) 225-7309. 
</p>
<p>Miami Airport: 6601 West 25th Street Miami, FL 33102-5280. Phone: (305) 869-2800; FAX: (305) 869-2822. 
</p>
<p>Washington, DC: P.O. Box 17423 Washington, DC. 20041. Phone: (703) 318-5900; FAX: (703) 318-6706. 
</p>
<p>Milwaukee: P.O. Box 37260 Milwaukee, WI 53237-0260. Phone: (414) 571-2860; FAX: (414) 762-0253.
</p>
<p>(c) All such requests should be conspicuously labeled on the face of the envelope, "Freedom of Information Act Request" or "FOIA Request". 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) will be made by the Assistant Commissioner of Customs (Office of Regulations and Rulings), or his designee, and all such appeals should be mailed, faxed (202/927-1873) or personally delivered to the United States Customs Service, 1300 Pennsylvania Avenue, NW., Washington, DC 20229. If possible, a copy of the initial letter of determination should be attached to the appeal. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Chief Counsel, United States Customs Service, 1300 Pennsylvania Avenue, NW., Washington, DC 20229. 
</p><p><b>Appendix D to Subpart A of Part 1--United States Secret Service
</b></p>
<p>1. <i>In general.</i> This appendix applies to the United States Secret Service. 
</p>
<p>2. <i>Public reading room.</i> The United States Secret Service will provide a room on an ad hoc basis when necessary. Contact the Disclosure Officer, Room 720, 1800 G Street, NW., Washington, DC 20223 to make appointments. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the United States Secret Service will be made by the Freedom of Information and Privacy Acts Officer, United States Secret Service. Requests may be mailed or delivered in person to: 
</p>
<p>Freedom of Information Act Request, FOIA and Privacy Acts Officer, U.S. Secret Service, oom 720, 1800 G Street, NW., Washington, DC 20223. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the United States Secret Service will be made by the Deputy Director, United States Secret Service. Appeals should be addressed to: 
</p>
<p>Freedom of Information Appeal, Deputy Director, U.S. Secret Service, Room 800, 1800 G Street, NW., Washington, DC 20223. 
</p>
<p>5. <i>Delivery of Process.</i> Service of process will be received by the United States Secret Service Chief Counsel at the following address: 
</p>
<p>Chief Counsel, U.S. Secret Service, Room 842, 1800 G Street, NW., Washington, DC 20223. 
</p><p><b>Appendix E to Subpart A of Part 1--Bureau of Alcohol, Tobacco and Firearms
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Bureau of Alcohol, Tobacco and Firearms. 
</p>
<p>2. <i>Public reading room.</i> The Bureau of Alcohol, Tobacco and Firearms will make materials available for review on an ad hoc basis when necessary. Contact the Chief, Disclosure Division, Bureau of Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the Bureau of Alcohol, Tobacco, and Firearms will be made by the Chief, Disclosure Division, Office of Assistant Director (Liaison and Public Information) or the delegate of such officer. Requests may be mailed or delivered in person to: 
</p>
<p>Freedom of Information Act Request, Chief, Disclosure Division, Bureau of Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the Bureau of Alcohol, Tobacco and Firearms will be made by the Assistant Director, Liaison and Public Information, Bureau of Alcohol, Tobacco, and Firearms or the delegate of such officer. 
</p>
<p>Appeals may be mailed or delivered in person to: 
</p>
<p>Freedom of Information Appeal, Assistant Director, Liaison and Public Information, Bureau of Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Director of the Bureau of Alcohol, Tobacco, and Firearms at the following location: 
</p>
<p>Bureau of Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226, Attention: Chief Counsel. 
</p><p><b>Appendix F to Subpart A of Part 1--Bureau of Engraving and Printing
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Bureau of Engraving and Printing. 
</p>
<p>2. <i>Public reading room.</i> Contact the Disclosure Officer, 14th and C Streets, SW., Washington, DC 20228, to make an appointment. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the Bureau of Engraving and Printing will be made by the Assistant to the Director. Requests may be mailed or delivered in person to: 
</p>
<p>Freedom of Information Act Request, Disclosure Officer, (Assistant to the Director), Room 112-M, Bureau of Engraving and Printing, Washington, DC 20228. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the Bureau of Engraving and Printing will be made by the Director of the Bureau of Engraving and Printing or the delegate of the Director. Appeals may be mailed or delivered in person to: 
</p>
<p>Freedom of Information Appeal, Director, Bureau of Engraving and Printing, 14th and C Streets, SW., Room 119-M, Washington, DC 20228. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Chief Counsel or the delegate of such officer at the following location: 
</p>
<p>Chief Counsel, Bureau of Engraving and Printing, 14th and C Streets, SW., Room 04-24 M, Washington, DC 20228.
</p><p><b>Appendix G to Subpart A of Part 1--Financial Management Service 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Financial Management Service. 
</p>
<p>2. <i>Public reading room.</i> The public reading room for the Financial Management Service is maintained at the following location:
</p>
<p>Library, Main Treasury Building, 1500 Pennsylvania Avenue NW., Washington, DC 20220.
</p>
<p>For building security purposes, visitors are required to make an appointment by calling 202/622-0990. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) whether to grant requests for records will be made by the Disclosure Officer, Financial Management Service. Requests may be mailed or delivered in person to:
</p>
<p>Freedom of Information Request, Disclosure Officer, Financial Management Service, 401 14th Street, SW., Washington, DC 20227. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) will be made by the Commissioner, Financial Management Service. Appeals may be mailed to:
</p>
<p>Freedom of Information Appeal (FOIA), Commissioner, Financial Management Service, 401 14th Street, SW., Washington, DC 20227. 
</p>
<p>Appeals may be delivered personally to the Office of the Commissioner, Financial Management Service, 401 14th Street, SW., Washington, DC. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Commissioner, Financial Management Service, and shall be delivered to:
</p>
<p>Commissioner, Financial Management Service, Department of the Treasury, 401 14th Street, SW., Washington, DC 20227. 
</p><p><b>Appendix H to Subpart A of Part 1--United States Mint 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the United States Mint. 
</p>
<p>2. <i>Public reading room.</i> The U.S. Mint will provide a room on an ad hoc basis when necessary. Contact the Freedom of Information/Privacy Act Officer, United States Mint, Judiciary Square Building, 7th floor, 633 3rd Street, NW., Washington, DC 20220. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the United States Mint will be made by the Freedom of Information/Privacy Act Officer, United States Mint. Requests may be mailed or delivered in person to:
</p>
<p>Freedom of Information Act Request, Freedom of Information/Privacy Act Officer, United States Mint, Judiciary Square Building, 7th Floor, 633 3rd Street, NW., Washington, DC 20220. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the United States Mint will be made by the Director of the Mint. Appeals made by mail should be addressed to:
</p>
<p>Freedom of Information Appeal, Director, United States Mint, Judiciary Square Building, 7th Floor, 633 3rd Street, NW., Washington, DC 20220. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Director of the Mint and shall be delivered to:
</p>
<p>Chief Counsel, United States Mint, Judiciary Square Building, 7th Floor, 633 3rd Street, NW., Washington, D.C. 20220. 
</p><p><b>Appendix I to Subpart A of Part 1--Bureau of the Public Debt 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Bureau of the Public Debt. 
</p>
<p>2. <i>Public reading room.</i> The public reading room for the Bureau of the Public Debt is maintained at the following location:
</p>
<p>Library, Main Treasury Building, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
</p>
<p>For building security purposes, visitors are required to make an appointment by calling 202/622-0990. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) whether to grant requests for records will be made by the Disclosure Officer of the Bureau of the Public Debt. Requests may be sent to:
</p>
<p>Freedom of Information Act Request, Disclosure Officer, Administrative Resource Center, Bureau of the Public Debt, Department of the Treasury, 200 Third Street, Room 211, Parkersburg, WV 26101-5312. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the Bureau of the Public Debt will be made by the Executive Director, Administrative Resource Center, Bureau of the Public Debt. Appeals may be sent to:
</p>
<p>Freedom of Information Act Appeal, Executive Director, Administrative Resource Center, Bureau of the Public Debt, Department of the Treasury, 200 Third Street, Room 211, Parkersburg, WV 26101-5312. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Chief Counsel, Bureau of the Public Debt, or the delegate of such officer, and shall be delivered to the following location:
</p>
<p>Chief Counsel’s Office, Bureau of the Public Debt, 200 Third Street, Room G-15, Parkersburg, WV 26106-1328. 
</p>
<p>[65 FR 40504, June 30, 2000, as amended at 67 FR 34402, May 14, 2002]
</p><p><b>Appendix J to Subpart A of Part 1--Office of the Comptroller of the Currency 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Office of the Comptroller of the Currency. 
</p>
<p>2. <i>Public reading room.</i> The Office of the Comptroller of the Currency will make materials available through its Public Information Room at 250 E Street, SW., Washington, DC 20219. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the Office of the Comptroller of the Currency will be made by the Disclosure Officer or the official so designated. Requests may be mailed or delivered in person to:
</p>
<p>Freedom of Information Act Request, Disclosure Officer, Communications Division, 3rd Floor, Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the Office of the Comptroller of the Currency will be made by the Chief Counsel or delegates of such person. Appeals made by mail should be addressed to:
</p>
<p>Communications Division, Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219. 
</p>
<p>Appeals may be delivered personally to the Communications Division, Comptroller of the Currency, 250 E Street, SW., Washington, DC. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Director, Litigation Division, Comptroller of the Currency, and shall be delivered to such officer at the following location:
</p>
<p>Litigation Division, Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219. 
</p><p><b>Appendix K to Subpart A of Part 1--Federal Law Enforcement Training Center 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Federal Law Enforcement Training Center. 
</p>
<p>2. <i>Public reading room.</i> The public reading room for the Federal Law Enforcement Training Center is maintained at the following location:
</p>
<p>Library, Building 262, Federal Law Enforcement Training Center, Glynco, GA 31524. 
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records will be made by the Chief, Management Analysis Division, Federal Law Enforcement Training Center. Requests made by mail should be addressed to:
</p>
<p>Freedom of Information Act Request, Freedom of Information Act Officer, Federal Law Enforcement Training Center, Department of the Treasury, Building 94, Glynco, GA 31524. 
</p>
<p>Requests may be delivered personally to the Management Analysis Division, Federal Law Enforcement Training Center, Building 94, Glynco, GA. 
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the consolidated Federal Law Enforcement Training Center will be made by the Director, Federal Law Enforcement Training Center. Appeals may be mailed to:
</p>
<p>Freedom of Information Appeal, Federal Law Enforcement Training Center, Department of the Treasury, Building 94, Glynco, GA 31524. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Legal Counsel of the Federal Law Enforcement Training Center, or his delegate, and shall be delivered to such officer at the following location:
</p>
<p>Legal Counsel, Federal Law Enforcement Training Center, Department of the Treasury, Building 94, Glynco, GA 31524.
</p><p><b>Appendix L to Subpart A of Part 1--Office of Thrift Supervision 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Office of Thrift Supervision (OTS). OTS regulatory handbooks and other publications are available for sale. Information may be obtained by calling the OTS Order Department at 301/645-6264. OTS regulatory handbooks and other publications may be purchased by forwarding a request, along with a check to: OTS Order Department, PO Box 753, Waldorf, MD 20604 or by calling 301/645-6264 to pay by VISA or MASTERCARD. 
</p>
<p>2. <i>Public reading room.</i> The public reading room for the Office of Thrift Supervision is maintained at the following location: 
</p>
<p>1700 G Street, NW., Washington, DC 20552.
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of the Office of Thrift Supervision will be made by the Director, OTS Dissemination Branch. Requests for records should be addressed to: Freedom of Information Request, Manager, Dissemination Branch, Records Management &amp; Information Policy Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552. 
</p>
<p>Requests for records may be delivered in person to:
</p>
<p>Public Reference Room, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC.
</p>
<p>4. <i>Administrative appeal of initial determination to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to records of the Office of Thrift Supervision will be made by the Director, Records Management &amp; Information Policy, Office of Thrift Supervision, or their designee. Appeals made by mail should be addressed to: Freedom of Information Appeal, Director, Records Management &amp; Information Policy Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>Appeals may be delivered in person to:
</p>
<p>Public Reference Room, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC.
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Corporate Secretary of the Office of Thrift Supervision or their designee and shall be delivered to the following location:
</p>
<p>Corporate Secretary, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p><p><b>Appendix M to Subpart A of Part 1--Financial Crimes Enforcement Network
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Financial Crimes Enforcement Network (FinCEN). 
</p>
<p>2. <i>Public Reading Room.</i> FinCEN will provide a room on an ad hoc basis when necessary. Contact Office of Regulatory Programs, FinCEN, (202) 354-6400.
</p>
<p>3. <i>Requests for records.</i> Initial determinations under 31 CFR 1.5(h) as to whether to grant requests for records of FinCEN will be made by the Freedom of Information Act/Privacy Act Officer, FinCEN. Requests for records may be mailed to: Freedom of Information Act/Privacy Act Request, Financial Crimes Enforcement Network, Post Office Box 39, Vienna, VA 22183. 
</p>
<p>4. <i>Administrative appeal of initial determinations to deny records.</i> Appellate determinations under 31 CFR 1.5(i) with respect to the records of FinCEN will be made by the Director of FinCEN or the delegate of the Director. Appeals should be mailed to: Freedom of Information Appeal, Post Office Box 39, Vienna, VA 22183. 
</p>
<p>5. <i>Delivery of process.</i> Service of process will be received by the Chief Counsel of FinCEN and shall be delivered to: Chief Counsel, Financial Crimes Enforcement Network, Post Office Box 39, Vienna, VA 22183.
</p>
<p>[68 FR 55310, Sept. 25, 2003]
</p><p><b>Subpart B--Other Disclosure Provisions

</b></p>
<p><b>&#167; 1.8
</b></p>
<p><b>Scope.
</b></p>
<p>The regulations in this subpart concern access to information and records other than under 5 U.S.C. 552. This subpart is applicable to the Departmental Offices and to the bureaus of the Department as defined in &#167; 1.1(a) of this part, except to the extent that bureaus of the Department have adopted separate guidance governing the subject matter of a provision of this subpart.
</p>
<p>[69 FR 54003, Sept. 7, 2004]

</p>
<p><b>&#167; 1.9
</b></p>
<p><b>Records not to be otherwise withdrawn or disclosed.
</b></p>
<p>Except in accordance with this part, or as otherwise authorized, Treasury Department officers and employees are prohibited from making records or duplicates available to any person who is not an officer or employee of the Department, and are prohibited from withdrawing any such records or duplicates from the files, possession or control of the Department.
</p>
<p>[69 FR 54003, Sept. 7, 2004]

</p>
<p><b>&#167; 1.10
</b></p>
<p><b>Oral information.
</b></p>
<p>(a) Officers and employees of the Department may, in response to requests, orally provide information contained in records of the Department that are determined to be available to the public. If the obtaining of such information requires a search of records, a written request and the payment of the fee for a record search set forth in &#167; 1.6 will be required.
</p>
<p>(b) Information with respect to activities of the Department not a matter of record shall not be disclosed if the information involves matters exempt from disclosure under 5 U.S.C. 552 or the regulations in this part, or if the disclosure of such information would give the person requesting the information advantages not accorded to other citizens.
</p>
<p>[69 FR 54003, Sept. 7, 2004]

</p>
<p><b>&#167; 1.11
</b></p>
<p><b>Testimony or the production of records in a court or other proceeding.
</b></p>
<p>(a) <i>Applicability.</i> (1) This section sets forth the policies and procedures of the Department regarding the testimony of employees and former employees as witnesses in legal proceedings and the production or disclosure of information contained in Department documents for use in legal proceedings pursuant to a request, order, or subpoena (collectively referred to in this subpart as a demand).
</p>
<p>(2) This section does not apply to any legal proceeding in which an employee is to testify while on leave status regarding facts or events that are unrelated to the official business of the Department.
</p>
<p>(3)(i) Nothing in this section affects the rights and procedures governing public access to records pursuant to the Freedom of Information Act (5 U.S.C. 552) or the Privacy Act (5 U.S.C. 552a).
</p>
<p>(ii) Demands in legal proceedings for the production of records, or for the testimony of Department employees regarding information protected by the Privacy Act (5 U.S.C. 552a), the Trade Secrets Act (18 U.S.C. 1905) or other confidentiality statutes, must satisfy the requirements for disclosure set forth in those statutes and the applicable regulations of this part before the records may be provided or testimony given.
</p>
<p>(4) This section is intended only to provide guidance for the internal operations of the Department and to inform the public about Department procedures concerning the service of process and responses to demands or requests, and the procedures specified in this section, or the failure of any Treasury employee to follow the procedures specified in this section, are not intended to, do not, and may not be relied upon to create a right or benefit, substantive or procedural, enforceable at law by a party against the United States.
</p>
<p>(b) <i>Definitions.</i> For purposes of this section:
</p>
<p>(1) <i>Agency counsel</i> means:
</p>
<p>(i) With respect to the Departmental Offices, the General Counsel or his or her designee; or
</p>
<p>(ii) With respect to a bureau or office of the Department, the Chief Counsel or Legal Counsel (or his or her designee) of such bureau or office.
</p>
<p>(2) <i>Demand</i> means a request, order, or subpoena for testimony or documents related to or for possible use in a legal proceeding.
</p>
<p>(3) <i>Department</i> means the United States Department of the Treasury.
</p>
<p>(4) <i>Document</i> means any record or other property, no matter what media and including copies thereof, held by the Department, including without limitation, official letters, telegrams, memoranda, reports, studies, calendar and diary entries, maps, graphs, pamphlets, notes, charts, tabulations, analyses, statistical or informational accumulations, any kind of summaries of meetings and conversations, film impressions, magnetic tapes and sound or mechanical reproductions.
</p>
<p>(5) <i>Employee</i> means all employees or officers of the Department, including contractors and any other individuals who have been appointed by, or are subject to the supervision, jurisdiction or control of the Secretary, as well as the Secretary of the Treasury. The procedures established within this subpart also apply to former employees of the Department where specifically noted.
</p>
<p>(6) <i>General Counsel</i> means the General Counsel of the Department or other Department employee to whom the General Counsel has delegated authority to act under this subpart.
</p>
<p>(7) <i>Legal proceeding</i> means all pretrial, trial and post trial stages of all existing or reasonably anticipated judicial or administrative actions, hearings, investigations, or similar proceedings before courts, commissions, boards, grand juries, or other tribunals, foreign or domestic. This phrase includes all phases of discovery as well as responses to formal or informal requests by attorneys or others involved in legal proceedings.
</p>
<p>(8) <i>Official business</i> means the authorized business of the Department.
</p>
<p>(9) <i>Secretary</i> means the Secretary of the Treasury.
</p>
<p>(10) <i>Testimony</i> means a statement in any form, including personal appearances before a court or other legal tribunal, interviews, depositions, telephonic, televised, or videotaped statements or any responses given during discovery or similar proceedings, which response would involve more than the production of documents.
</p>
<p>(c) <i>Department policy.</i> No current or former employee shall, in response to a demand, produce any Department documents, provide testimony regarding any information relating to or based upon Department documents, or disclose any information or produce materials acquired as part of the performance of that employee’s official duties or official status, without the prior authorization of the General Counsel or the appropriate agency counsel.
</p>
<p>(d) <i>Procedures for demand for testimony or production of documents.</i> (1) A demand directed to the Department for the testimony of a Department employee or for the production of documents shall be served in accordance with the Federal Rules of Civil Procedure, Federal Rules of Criminal Procedure, or applicable state procedures and shall be directed to the General Counsel, Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220, or to the Chief or Legal Counsel of the concerned Department component. Acceptance of a demand shall not constitute an admission or waiver with respect to jurisdiction, propriety of service, improper venue, or any other defense in law or equity available under the applicable laws or rules.
</p>
<p>(2) A subpoena or other demand for testimony directed to an employee or former employee shall be served in accordance with the Federal Rules of Civil or Criminal Procedure or applicable State procedure and a copy of the subpoena shall be sent to agency counsel.
</p>
<p>(3)(i) In court cases in which the United States or the Department is not a party, where the giving of testimony or the production of documents by the Department, or a current or former employee is desired, an affidavit (or if that is not feasible, a statement) by the litigant or the litigant’s attorney, setting forth the information with respect to which the testimony or production is desired, must be submitted in order to obtain a decision concerning whether such testimony or production will be authorized. Such information shall include: the title of the legal proceeding, the forum, the requesting party’s interest in the legal proceeding, the reason for the demand, a showing that other evidence reasonably suited to the requester’s needs is not available from any other source and, if testimony is requested, the intended use of the testimony, a general summary of the desired testimony, and a showing that no document could be provided and used in lieu of testimony. The purpose of this requirement is to assist agency counsel in making an informed decision regarding whether testimony or the production of document should be authorized. Permission to testify or produce documents will, in all cases, be limited to the information set forth in the affidavit or statement, or to such portions thereof as may be deemed proper.
</p>
<p>(ii) Agency counsel may consult or negotiate with an attorney for a party, or the party if not represented by an attorney, to refine or limit a demand so that compliance is less burdensome or obtain information necessary to make the determination required by paragraph (e) of this section. Failure of the attorney or party to cooperate in good faith to enable agency counsel to make an informed determination under this subpart may serve, where appropriate, as a basis for a determination not to comply with the demand.
</p>
<p>(iii) A determination under this subpart to comply or not to comply with a demand is without prejudice as to any formal assertion or waiver of privilege, lack of relevance, technical deficiency or any other ground for noncompliance.
</p>
<p>(4)(i) Employees shall immediately refer all inquiries and demands made on the Department to agency counsel.
</p>
<p>(ii) An employee who receives a subpoena shall immediately forward the subpoena to agency counsel. Agency counsel will determine the manner in which to respond to the subpoena.
</p>
<p>(e) <i>Factors to be considered by agency counsel.</i> (1) In deciding whether to authorize the release of official information or the testimony of personnel concerning official information (hereafter referred to as "the disclosure") agency counsel shall consider the following factors:
</p>
<p>(i) Whether the request or demand is unduly burdensome;
</p>
<p>(ii) Whether the request would involve the Department in controversial issues unrelated to the Department’s mission;
</p>
<p>(iii) Whether the time and money of the United States would be used for private purposes;
</p>
<p>(iv) The extent to which the time of employees for conducting official business would be compromised;
</p>
<p>(v) Whether the public might misconstrue variances between personal opinions of employees and Department policy;
</p>
<p>(vi) Whether the request demonstrates that the information requested is relevant and material to the action pending, genuinely necessary to the proceeding, unavailable from other sources, and reasonable in its scope;
</p>
<p>(vii) Whether the number of similar requests would have a cumulative effect on the expenditure of agency resources;
</p>
<p>(viii) Whether disclosure otherwise would be inappropriate under the circumstances; and
</p>
<p>(ix) Any other factor that is appropriate.
</p>
<p>(2) Among those demands and requests in response to which compliance will not ordinarily be authorized are those with respect to which any of the following factors exists:
</p>
<p>(i) The disclosure would violate a statute, Executive order, or regulation;
</p>
<p>(ii) The integrity of the administrative and deliberative processes of the Department would be compromised;
</p>
<p>(iii) The disclosure would not be appropriate under the rules of procedure governing the case or matter in which the demand arose;
</p>
<p>(iv) The disclosure, including release in camera, is not appropriate or necessary under the relevant substantive law concerning privilege;
</p>
<p>(v) The disclosure, except when in camera and necessary to assert a claim of privilege, would reveal information properly classified or other matters exempt from unrestricted disclosure; or
</p>
<p>(vi) The disclosure would interfere with ongoing enforcement proceedings, compromise constitutional rights, reveal the identity of an intelligence source or confidential informant, or disclose trade secrets or similarly confidential commercial or financial information.
</p>
<p>(f) <i>Requests for opinion or expert testimony.</i> (1) Subject to 5 CFR 2635.805, an employee or former employee shall not provide, with or without compensation, opinion or expert testimony concerning official information, subjects, or activities, except on behalf of the United States or a party represented by the Department of Justice, without written approval of agency counsel.
</p>
<p>(2) Upon a showing by the requestor of exceptional need or unique circumstances and that the anticipated testimony will not be adverse to the interests of the Department or the United States, agency counsel may, in writing, grant authorization for an employee, or former employee, to appear and testify at no expense to the United States.
</p>
<p>(3) Any expert or opinion testimony by a former employee of the Department shall be excepted from &#167; 1.11(f)(1) where the testimony involves only general expertise gained while employed at the Department.
</p>
<p>(g) <i>Procedures when agency counsel directs an employee not to testify or provide documents.</i> (1) If agency counsel determines that an employee or former employee should not comply with a subpoena or other request for testimony or the production of documents, agency counsel will so inform the employee and the party who submitted the subpoena or made the request.
</p>
<p>(2) If, despite the determination of the agency counsel that testimony should not be given and/or documents not be produced, a court of competent jurisdiction or other appropriate authority orders the employee or former employee to testify and/or produce documents, the employee shall notify agency counsel of such order.
</p>
<p>(i) If agency counsel determines that no further legal review of, or challenge to, the order will be sought, the employee or former employee shall comply with the order.
</p>
<p>(ii) If agency counsel determines to challenge the order, or that further legal review is necessary, the employee or former employee should not comply with the order. Where necessary, the employee should appear at the time and place set forth in the subpoena. If legal counsel cannot appear on behalf of the employee, the employee should produce a copy of this subpart and respectfully inform the legal tribunal that he/she has been advised by counsel not to provide the requested testimony and/or produce documents. If the legal tribunal rules that the subpoena must be complied with, the employee shall respectfully decline to comply, citing this section and <i>United States</i> ex rel. <i>Touhy</i> v. <i>Ragen,</i> 340 U.S. 462 (1951).
</p>
<p>[69 FR 54003, Sept. 7, 2004]

</p>
<p><b>&#167; 1.12
</b></p>
<p><b>Regulations not applicable to official request.
</b></p>
<p>The regulations in this part shall not be applicable to official requests of other governmental agencies or officers thereof acting in their official capacities, unless it appears that granting a particular request would be in violation of law or inimical to the public interest. Cases of doubt should be referred for decision to agency counsel (as defined in &#167; 1.11(b)(1)).
</p>
<p>[69 FR 54003, Sept. 7, 2004]
</p><p><b>Subpart C--Privacy Act

</b></p>
<p><b>&#167; 1.20
</b></p>
<p><b>Purpose and scope of regulation.
</b></p>
<p>The regulations in this subpart are issued to implement the provisions of the Privacy Act of 1974 (5 U.S.C. 552a). The regulations apply to all records which are contained in systems of records maintained by the Department of the Treasury and which are retrieved by an individual’s name or personal identifier. They do not relate to those personnel records of Government employees, which are under the jurisdiction of the Office of Personnel Management to the extent such records are subject to regulations issued by such OPM. The regulations apply to all components of the Department of the Treasury. Any reference in this subpart to the Department or its officials, employees, or records shall be deemed to refer also to the components or their officials, employees, or records. The regulations set forth the requirements applicable to Department of the Treasury employees maintaining, collecting, using or disseminating records pertaining to individuals. They also set forth the procedures by which individuals may request notification of whether the Department of the Treasury maintains or has disclosed a record pertaining to them or may seek access to such records maintained in any nonexempt system of records, request correction of such records, appeal any initial adverse determination of any request for amendment, or may seek an accounting of disclosures of such records. For the convenience of interested persons, the components of the Department of the Treasury may reprint these regulations in their entirety (less any appendices not applicable to the component in question) in those titles of the Code of Federal Regulations which normally contain regulations applicable to such components. In connection with such republication, and at other appropriate times, components may issue supplementary regulations applicable only to the component in question, which are consistent with these regulations. In the event of any actual or apparent inconsistency, these Departmental regulations shall govern. Persons interested in the records of a particular component should, therefore, also consult the Code of Federal Regulations for any rules or regulations promulgated specifically with respect to that component (see Appendices to this subpart for cross references). The head of each component is hereby also authorized to substitute other appropriate officials for those designated and correct addresses specified in the appendix to this subpart applicable to the component. The components of the Department of the Treasury for the purposes of this subpart are the following offices and bureaus:
</p>
<p>(a) The Departmental Offices, which include the offices of:
</p>
<p>(1) The Secretary of the Treasury, including immediate staff;
</p>
<p>(2) The Deputy Secretary of the Treasury, including immediate staff;
</p>
<p>(3) The Chief of Staff, including immediate staff;
</p>
<p>(4) The Executive Secretary of the Treasury and all offices reporting to such official, including immediate staff;
</p>
<p>(5) Under Secretary (International Affairs) and all offices reporting to such official, including immediate staff;
</p>
<p>(6) Assistant Secretary (International Economics and Development) and all offices reporting to such official, including immediate staff;
</p>
<p>(7) Assistant Secretary (Financial Markets and Investment Policy) and all offices reporting to such official, including immediate staff;
</p>
<p>(8) Under Secretary (Domestic Finance) and all offices reporting to such official, including immediate staff;
</p>
<p>(9) Fiscal Assistant Secretary and all offices reporting to such official, including immediate staff;
</p>
<p>(10) Assistant Secretary (Financial Institutions) and all offices reporting to such official, including immediate staff;
</p>
<p>(11) Assistant Secretary (Financial Markets) and all offices reporting to such official, including immediate staff;
</p>
<p>(12) Assistant Secretary (Financial Stability) and all offices reporting to such official, including immediate staff;
</p>
<p>(13) Under Secretary (Terrorism &amp; Financial Intelligence) and all offices reporting to such official, including immediate staff;
</p>
<p>(14) Assistant Secretary (Terrorist Financing) and all offices reporting to such official, including immediate staff;
</p>
<p>(15) Assistant Secretary (Intelligence and Analysis) and all offices reporting to such official, including immediate staff;
</p>
<p>(16) General Counsel and all offices reporting to such official, including immediate staff; except legal counsel to the components listed in paragraphs (a)(23), (a)(24), and (a)(25) and (b) through (j) of this section;
</p>
<p>(17) Treasurer of the United States including immediate staff;
</p>
<p>(18) Assistant Secretary (Legislative Affairs) and all offices reporting to such official, including immediate staff;
</p>
<p>(19) Assistant Secretary (Public Affairs) and all offices reporting to such official, including immediate staff;
</p>
<p>(20) Assistant Secretary (Economic Policy) and all offices reporting to such official, including immediate staff;
</p>
<p>(21) Assistant Secretary (Tax Policy) and all offices reporting to such official, including immediate staff;
</p>
<p>(22) Assistant Secretary (Management) and Chief Financial Officer, and all offices reporting to such official, including immediate staff;
</p>
<p>(23) The Inspector General, and all offices reporting to such official, including immediate staff;
</p>
<p>(24) The Treasury Inspector General for Tax Administration, and all offices reporting to such official, including immediate staff;
</p>
<p>(25) The Special Inspector General for the Troubled Asset Relief Program, and all offices reporting to such official, including immediate staff;
</p>
<p>(b) Alcohol and Tobacco Tax and Trade Bureau.
</p>
<p>(c) Bureau of Public Debt.
</p>
<p>(d) Financial Management Service.
</p>
<p>(e) Internal Revenue Service.
</p>
<p>(f) Comptroller of the Currency.
</p>
<p>(g) Office of Thrift Supervision.
</p>
<p>(h) Bureau of Engraving and Printing.
</p>
<p>(i) United States Mint.
</p>
<p>(j) Financial Crimes Enforcement Network.
</p>
<p>For purposes of this subpart, the office of the legal counsel for the components listed in paragraphs (a)(23), (a)(24), (a)(25), (b) through (j) of this section are to be considered a part of such components. Any office, which is now in existence or may hereafter be established, which is not specifically listed or known to be a component of any of those listed above, shall be deemed a part of the Departmental Offices for the purpose of these regulations.
</p>
<p>[52 FR 26305, July 14, 1987, as amended at 60 FR 31633, June 16, 1995; 65 FR 2333, Jan. 14, 2000; 68 FR 55311, Sept. 25, 2003; 73 FR 51221, Sept. 2, 2008; 75 FR 744, Jan. 6, 2010; 75 FR 36535, June 28, 2010]

</p>
<p><b>&#167; 1.21
</b></p>
<p><b>Definitions.
</b></p>
<p>(a) The term <i>agency</i> means agency as defined in 5 U.S.C. 552(e);
</p>
<p>(b) The term <i>individual</i> means a citizen of the United States or an alien lawfully admitted for permanent residence;
</p>
<p>(c) The term <i>maintain</i> includes maintain, collect, use, or disseminate;
</p>
<p>(d) The term <i>record</i> means any item, collection, or grouping of information about an individual that is maintained by the Department of the Treasury or component of the Department. This includes, but is not limited to, the individual’s education, financial transactions, medical history, and criminal or employment history and that contains the name, or an identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph;
</p>
<p>(e) The term <i>system of records</i> means a group of any records under the control of the Department of the Treasury or any component from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual;
</p>
<p>(f) The term <i>statistical record</i> means a record in a system of records maintained for statistical research or reporting purposes only and not used in whole or part in making any determination about an identifiable individual, except as provided by 13 U.S.C. 8.
</p>
<p>(g) The term <i>routine use</i> means the disclosure of a record that is compatible with the purpose for which the record was collected;
</p>
<p>(h) The term <i>component</i> means a bureau or office of the Department of the Treasury as set forth in &#167; 1.20 and in the appendices to these regulations. (See 5 U.S.C. 552a(a).)
</p>
<p>(i) The term <i>request for access</i> means a request made pursuant to 5 U.S.C. 552a(d)(1).
</p>
<p>(j) The term <i>request for amendment</i> means a request made pursuant to 5 U.S.C. 552a(d)(2).
</p>
<p>(k) The term <i>request for accounting</i> means a request made pursuant to 5 U.S.C. 552a(c)(3).

</p>
<p><b>&#167; 1.22
</b></p>
<p><b>Requirements relating to systems of records.
</b></p>
<p>(a) <i>In general.</i> Subject to 5 U.S.C. 552a (j) and (k) and &#167; 1.23(c), each component shall, in conformance with 5 U.S.C. 552a:
</p>
<p>(1) Maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required to be accomplished by the statute or by Executive order of the President (See 5 U.S.C. 552a(e)(1)).
</p>
<p>(2) Collect information to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual’s rights, benefits, and privileges under Federal programs. (See 5 U.S.C. 552a(e)(2)).
</p>
<p>(b) <i>Requests for information from individuals.</i> Subject to 5 U.S.C. 552a(j) and &#167; 1.23(c)(1), each component of the Treasury shall inform each individual whom it asks to supply information, on the form which it uses to collect the information or on a separate form that can be retained by the individual:
</p>
<p>(1) The authority (whether granted by statute, or by Executive order of the President) which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary;
</p>
<p>(2) The principal purpose or purposes for which the information is intended to be used;
</p>
<p>(3) The routine uses which may be made of the information, as published pursuant to 5 U.S.C. 552a(e)(4)(D); and
</p>
<p>(4) The effects on such individual, if any, of not providing all or any part of the requested information. (See 5 U.S.C. 552a(e)(3)).
</p>
<p>(c) <i>Report on new systems.</i> Each component of the Treasury shall provide adequate advance notice to Congress and the Office of Management and Budget through the Disclosure Branch and Administration Section of the Office of the General Counsel of any proposal to establish or alter any system of records in order to permit an evaluation of the probable or potential effect of such proposal on the privacy and other personal or property rights of individuals or the disclosure of information relating to such individuals, and its effect on the preservation of the constitutional principles of federalism and separation of powers. (See 5 U.S.C. 552a(o)).
</p>
<p>(d) <i>Accurate and secure maintenance of records.</i> Each component shall:
</p>
<p>(1) Subject to 5 U.S.C. 552a(j) and &#167; 1.23(c)(1), maintain all records which are used in making any determination about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination (see 5 U.S.C. 552a(e)(5);
</p>
<p>(2) Prior to disseminating any record about an individual to any person other than an agency, unless the dissemination is made pursuant to 5 U.S.C. 552 (see 31 CFR part 1, subpart A), make reasonable efforts to assure that such records are accurate, complete, timely, and relevant for Department of the Treasury purposes (see 5 U.S.C. 552a(e)(6)) and
</p>
<p>(3) Establish appropriate administrative, technical, and physical safeguards to insure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained. (See 5 U.S.C. 552a(e)(10)).
</p>
<p>(i) System managers, with the approval of the head of their offices within a component, shall establish administrative and physical controls, consistent with Department regulations, to insure the protection of records systems from unauthorized access or disclosure and from physical damage or destruction. The controls instituted shall be proportional to the degree of sensitivity of the records but at a minimum must insure that records other than those available to the general public under the Freedom of Information Act (5 U.S.C. 552), are protected from public view, that the area in which the records are stored is supervised during all business hours and physically secure during nonbusiness hours to prevent unauthorized personnel from obtaining access to the records. Automated systems shall comply with the security standards promulgated by the National Bureau of Standards.
</p>
<p>(ii) System managers, with the approval of the head of their offices within a component, shall adopt access restrictions to insure that only those individuals within the agency who have a need to have access to the records for the performance of their duties have access to them. Procedures shall also be adopted to prevent accidental access to, or dissemination of, records.
</p>
<p>(e) <i>Prohibition against maintenance of records concerning First Amendment rights.</i> No component shall maintain a record describing how any individual exercises rights guaranteed by the First Amendment (e.g. speech), unless the maintenance of such record is:
</p>
<p>(1) Expressly authorized by statute, or
</p>
<p>(2) Expressly authorized by the individual about whom the record is maintained, or
</p>
<p>(3) Pertinent to and within the scope of an authorized law enforcement activity. (See 5 U.S.C. 552a (e)(7))
</p>
<p>(f) <i>Notification of disclosure under compulsory legal process.</i> Subject to 5 U.S.C. 552a(j) and &#167; 1.23(c)(1), when records concerning an individual are subpoenaed by a Grand Jury, Court, or quasi-judicial agency, or disclosed in accordance with an ex parte court order pursuant to 26 U.S.C. 6103(i), the official served with the subpoena or court order shall make reasonable efforts to assure that notice of any disclosure is provided to the individual. Notice shall be provided within five working days of making the records available under compulsory legal process or, in the case of a Grand Jury subpoena or an ex parte order, within five days of its becoming a matter of public record. Notice shall be mailed to the last known address of the individual and shall contain the following information: the date and authority to which the subpoena is, or was returnable, or the date of and court issuing the ex parte order, the name and number of the case or proceeding, and the nature of the information sought and provided. Notice of the issuance of a subpoena or an ex parte order is not required if the system of records has been exempted from the notice requirement of 5 U.S.C. 552a (e)(8) and this section, pursuant to 5 U.S.C. 552a (j) and &#167; 1.23 (c)(1), by a Notice of Exemption published in the <i>Federal Register.</i> (See 5 U.S.C. 552a (e)(8)).
</p>
<p>(g) <i>Emergency disclosure.</i> If information concerning an individual has been disclosed to any person under compelling circumstances affecting health or safety, the individual shall be notified at the last known address within 5 days of the disclosure (excluding Saturdays, Sundays, and legal public holidays). Notification shall include the following information: The nature of the information disclosed, the person or agency to whom it was disclosed, the date of disclosure, and the compelling circumstances justifying the disclosure. Notification shall be given by the officer who made or authorized the disclosure. (See 5 U.S.C. 552a (b)(8)).

</p>
<p><b>&#167; 1.23
</b></p>
<p><b>Publication in the Federal Register--Notices of systems of records, general exemptions, specific exemptions, review of all systems.
</b></p>
<p>(a) <i>Notices of systems of records to be published in the</i> <i>Federal Register.</i> (1) The Department shall publish a notice of the existence and character of all systems of records every 3 years in the <i>Federal Register.</i> An annual notice of systems of records is required to be published by the Office of the Federal Register in the publication entitled "Privacy Act Issuances", as specified in 5 U.S.C. 552a(f).
</p>
<p>(2) Minor changes to systems of records shall be published annually. (See paragraph (d)(8) of this section)
</p>
<p>(3) In addition, the Department shall publish in the <i>Federal Register</i> upon establishment or revision a notice of the existence and character of any new or revised systems of records. Unless otherwise instructed, each notice shall include:
</p>
<p>(i) The name and location of the system;
</p>
<p>(ii) The categories of individuals on whom records are maintained in the system;
</p>
<p>(iii) The categories of records maintained in the system;
</p>
<p>(iv) Each routine use of the records contained in the system, including the categories of users and the purpose of such use;
</p>
<p>(v) The policies and practices of the component regarding storage, retrievability, access controls, retention, and disposal of the records;
</p>
<p>(vi) The title and business address of the Treasury official who is responsible for the system of records;
</p>
<p>(vii) The procedures of the component whereby an individual can be notified if the system of records contain a record pertaining to the individual, including reasonable times, places, and identification requirements.
</p>
<p>(viii) The procedures of the component whereby an individual can be notified on how to gain access to any record pertaining to such individual that may be contained in the system of records, and how to contest its content; and
</p>
<p>(ix) The categories of sources of records in the system. (See 5 U.S.C. 552a(e)(4))
</p>
<p>(b) <i>Notice of new or modified routine uses to be published in the</i> <i>Federal Register.</i> At least 30 days prior to a new use or modification of a routine use, as published under paragraph (a)(3)(iv) of this section, each component shall publish in the <i>Federal Register</i> notice of such new or modified use of the information in the system and provide an opportunity for interested persons to submit written data, views, or arguments to the components. (See 5 U.S.C. 552a(e)(11))
</p>
<p>(c) <i>Promulgation of rules exempting systems from certain requirements</i>--(1) <i>General exemptions.</i> In accordance with existing procedures applicable to a Treasury component’s issuance of regulations, the head of each such component may adopt rules, in accordance with the requirements (including general notice) of 5 U.S.C. 553 (b) (1), (2), and (3), (c) and (e), to exempt any system of records within the component from any part of 5 U.S.C. 552a and these regulations except subsections (b) (sec. 1.24, conditions of disclosure), (c)(1) (sec. 1.25, keep accurate accounting of disclosures), (c)(2) (sec. 1.25, retain accounting for five years or life of record), (e)(4) (A) through (F) (paragraph (a) of this section, publication of annual notice of systems of records), (e)(6) (sec. 1.22(d), accuracy of records prior to dissemination), (e)(7) (sec. 1.22(e), maintenance of records on First Amendment rights), (e)(9) (sec. 1.28, establish rules of conduct), (e)(10) (sec. 1.22(d)(3), establish safeguards for records), (e)(11) (paragraph (c) of this section, publish new intended use), and (i) (sec. 1.28(c), criminal penalties) if the systems of records maintained by the component which performs as its principal function any activity pertaining to the enforcement of criminal laws, including police efforts to prevent, control, or reduce crime or to apprehend criminals, and the activities of prosecutors, courts, correctional, probation, pardon, or parole authorities, and which consists of:
</p>
<p>(i) Information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole, and probation status;
</p>
<p>(ii) Information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or
</p>
<p>(iii) Reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. (See 5 U.S.C. 552a(j))
</p>
<p>(2) <i>Specific exemptions.</i> In accordance with existing procedures applicable to a Treasury component’s issuance of regulations, the head of each such component may adopt rules, in accordance with the requirements (including general notice) of 5 U.S.C. 553 (b) (1), (2), and (3), (c), and (e), to exempt any system of records within the component from 5 U.S.C. 552a(c)(3) (sec. 1.25(c)(2), accounting of certain disclosures available to the individual), (d) (sec. 1.26(a), access to records), (e)(1) (sec. 1.22(a)(1), maintenance of information to accomplish purposes authorized by statute or executive order only), (e)(4)(G) (paragraph (a)(7) of this section, publication of procedures for notification), (e)(4)(H) (paragraph (a)(8) of this section, publication of procedures for access and contest), (e)(4)(I) (paragraph (a)(9) of this section, publication of sources of records), and (f) (sec. 1.26, promulgate rules for notification, access and contest), if the system of records is:
</p>
<p>(i) Subject to the provisions of 5 U.S.C. 552(b)(1);
</p>
<p>(ii) Investigatory material compiled for law enforcement purposes, other than material within the scope of subsection (j)(2) of 5 U.S.C. 552a and paragraph (a)(1) of this section. If any individual is denied any right, privilege, or benefit that such individual would otherwise be entitled to by Federal law, or for which such individual would otherwise be eligible, as a result of the maintenance of this material, such material shall be provided to the individual, except to the extent that the disclosure of the material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence;
</p>
<p>(iii) Maintained in connection with providing protective services to the President of the United States or other individuals pursuant to 18 U.S.C. 3056;
</p>
<p>(iv) Required by statute to be maintained and used solely as statistical records;
</p>
<p>(v) Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence;
</p>
<p>(vi) Testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service the disclosure of which would compromise the objectivity or fairness of the testing or examination process; or
</p>
<p>(vii) Evaluation material used to determine potential for promotion in the armed services, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.
</p>
<p>(3) At the time that rules under this subsection are adopted, the head of the component shall include in the statement required under 5 U.S.C. 553(c) the reasons why the system of records is to be exempted from a provision of 5 U.S.C. 552a and this part. (See 5 U.S.C. 552a (j) and (k))
</p>
<p>(d) <i>Review and report to OMB.</i> The Department shall ensure that the following reviews are conducted as often as specified below by each of the components who shall be prepared to report to the Departmental Disclosure Branch upon request the results of such reviews and any corrective action taken to resolve problems uncovered. Each component shall:
</p>
<p>(1) Review every two years a random sample of the component’s contracts that provide for the maintenance of a system of records on behalf of the component to accomplish a function of the component, in order to ensure that the working of each contract makes the provisions of the Act apply. (5 U.S.C. 552a(m)(1))
</p>
<p>(2) Review annually component’s recordkeeping and disposal policies and practices in order to assure compliance with the Act.
</p>
<p>(3) Review routine use disclosures every 3 years, that are associated with each system of records in order to ensure that the recipient’s use of such records continues to be compatible with the purpose for which the disclosing agency originally collected the information.
</p>
<p>(4) Review every three years each system of records for which the component has issued exemption rules pursuant to section (j) or (k) of the Privacy Act in order to determine whether the exemption is needed.
</p>
<p>(5) Review annually each ongoing matching program in which the component has participated during the year, either as a source or as a matching agency in order to assure that the requirements of the Act, the OMB Matching Guidelines, and the OMB Model Control System and checklist have been met.
</p>
<p>(6) Review component’s training practices annually to ensure that all component personnel are familiar with the requirements of the Act, these regulations and Departmental directives.
</p>
<p>(7) Review annually the actions of component personnel that have resulted either in the agency being found civilly liable under section (g) of the Act, or an employee being found criminally liable under the provisions of section (i) of the Act, in order to determine the extent of the problem and to prevent future recurrences.
</p>
<p>(8) Review annually each system of records notice to ensure that it accurately describes the system. Where minor changes are needed, publish an amended notice in the <i>Federal Register.</i> Minor changes shall be consolidated in one annual comprehensive publication. The term "minor change to a system of records" means a change that does not significantly change the system. More specifically, a minor change does not affect the character or purpose of the system and does not affect the ability of an individual to gain access to a record about the individual or to any information pertaining to such individual which is contained in the system; for example, changing the title of the system manager or the location of the system.

</p>
<p><b>&#167; 1.24
</b></p>
<p><b>Disclosure of records to person other than the individual to whom they pertain.
</b></p>
<p>(a) <i>Conditions of disclosure.</i> No component of Treasury shall disclose any record which is contained in a system of records maintained by it by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, or the parent, if a minor, or legal guardian, if incompetent, of such individual, unless disclosure of the record would be:
</p>
<p>(1) To those offices and employees of the Department of the Treasury who have a need for the record in the performance of their duties;
</p>
<p>(2) Retired under 5 U.S.C. 552 (subpart A of this part);
</p>
<p>(3) For a routine use as defined in 5 U.S.C. 552a(a)(7) and &#167; 1.21(g) and as described under 5 U.S.C. 552a(e)(4)(D) and &#167; 1.23(a)(4);
</p>
<p>(4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of title 13 of the U.S. Code;
</p>
<p>(5) To a recipient who has provided the component with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
</p>
<p>(6) To the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Administrator of General Services or the designee of such official to determine whether the record has such value;
</p>
<p>(7) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity.
</p>
<p>(i) If the activity is authorized by law; and
</p>
<p>(ii) If the head of the agency or instrumentality has made a written request to the Department of the Treasury specifying the particular portion desired and the law enforcement activities for which the record is sought;
</p>
<p>(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual, if upon such disclosure, notification is transmitted to the last known address of such individual;
</p>
<p>(9) To either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee.
</p>
<p>(10) To the Comptroller General, or the authorized representatives of such official, in the course of the performance of the duties of the General Accounting Office; or
</p>
<p>(11) Pursuant to the order of a court of competent jurisdiction. (See 5 U.S.C. 552a(b))

</p>
<p><b>&#167; 1.25
</b></p>
<p><b>Accounting of disclosures.
</b></p>
<p>(a) <i>Accounting of certain disclosures.</i> Each component, with respect to each system of records under its control, shall:
</p>
<p>(1) Keep an accurate accounting of: (i) The date, nature, and purpose of each disclosure of a record to any person or to an agency made under 5 U.S.C. 552a (b) and &#167; 1.24; and (ii) the name and address of the person or agency to whom the disclosure is made;
</p>
<p>(2) Retain the accounting made under paragraph (a)(1) of this section for at least five years or the life of the record, whichever is longer, after the disclosure for which the accounting is made; and
</p>
<p>(3) Inform any person or other agency about any correction or notation of dispute made by the constitutent unit in accordance with 5 U.S.C. 552a (d) and &#167; 1.28 of any record that has been disclosed to the person or agency if an accounting of the disclosure was made. (See 5 U.S.C. 552(c).)
</p>
<p>(b) <i>Accounting systems.</i> To permit the accounting required by paragraph (a) of this section, system managers, with the approval of the head of their offices within a component, shall establish or implement, a system of accounting for all disclosures of records, either orally or in writing, made outside the Department of the Treasury. Accounting records shall:
</p>
<p>(1) Be established in the least expensive and most convenient form that will permit the system manager to advise individuals, promptly upon request, what records concerning them have been disclosed and to whom:
</p>
<p>(2) Provide, as a minimum, the identification of the particular record disclosed, the name and address of the person or agency to whom or to whom or to which disclosed, and the date, nature and purpose of the disclosure; and
</p>
<p>(3) Be maintained for 5 years or until the record is destroyed or transferred to the National Archives and Records Service for storage in records centers, in which event, the accounting pertaining to those records, unless maintained separately, shall be transferred with the records themselves.
</p>
<p>(c) <i>Exemptions from accounting requirements.</i> No accounting is required for disclosure of records:
</p>
<p>(1) To those officers and employees of the Department of the Treasury who have a need for the record in the performance of their duties; or
</p>
<p>(2) If disclosure would be required under 5 U.S.C. 552 and Subpart A of this part.
</p>
<p>(d) <i>Access to accounting by individual.</i> (1) Subject to paragraphs (c) and (d)(2) of this section, each component shall establish and set forth in the appendix to this subpart applicable to the component, procedures for making the accounting required under paragraph (a) of this section available to the individual to whom the record pertains and shall thereafter make such accounting available in accordance therewith at the request of the individual. The procedures may require the requester to provide reasonable identification.
</p>
<p>(2) Access accountings of disclosure may be withheld from the individual named in the record only if the disclosures were (i) made under 5 U.S.C. 552a (b)(7) and &#167; 1.24 (a)(7), or (ii) under a system of records exempted from the requirements of 5 U.S.C. 552a(c)(3) in accordance with 5 U.S.C. 552 (j) or (k) and &#167; 1.23(c). (See 5 U.S.C. 552a(c))

</p>
<p><b>&#167; 1.26
</b></p>
<p><b>Procedures for notification and access to records pertaining to individuals--format and fees for request for access.
</b></p>
<p>(a) <i>Procedures for notification and access.</i> Each component shall establish, in accordance with the requirements of 5 U.S.C. 553, and set forth in the appendix to this subpart applicable to such component procedures whereby an individual can be notified, in response to a request, if any system of records named by the individual contains a record pertaining to that individual. In addition, such procedures shall set forth the requirements for access to such records. As a minimum such procedures shall specify the times during, and the places at which access will be accorded, together with such identification as may be required of the individual before access. (See 5 U.S.C. 552a(f) (1), (2) and (3))
</p>
<p>(b) <i>Access.</i> Each component in accordance with the procedures prescribed under paragraph (a) of this section, shall allow an individual to gain access to records or to any information pertaining to such individual which is contained in the system of records upon request. The individual shall be permitted to review the record and have a copy made of all or any portion of the record in a form that is comprehensible. The individual will also be permitted to be accompanied by any person of the individual’s choosing to review the record, except that the agency may require the individual to furnish a written statement authorizing discussion of that individual’s record in the accompanying person’s presence. (See 5 U.S.C. 552a(d)(1))
</p>
<p>(c) <i>Exceptions.</i> Neither the procedures prescribed under paragraph (a) of this section nor the requirements for access under paragraph (b) of this section shall be applicable to--(1) systems of records exempted pursuant to 5 U.S.C. 552a (j) and (k) and &#167; 1.23(c); (2) information compiled in reasonable anticipation of a civil action or proceeding (See 5 U.S.C. 552(d)(5)); or (3) information pertaining to an individual which is contained in, and inseparable from, another individual’s record.
</p>
<p>(d) <i>Format of request.</i> (1) A record for notification of whether a record exists shall:
</p>
<p>(i) Be made in writing and signed by the person making the request, who must be the individual about whom the record is maintained, or such individual’s duly authorized representative (See &#167; 1.34);
</p>
<p>(ii) State that it is made pursuant to the Privacy Act, 5 U.S.C. 552a or these regulations, have marked "Privacy Act Request" on the request and on the envelope;
</p>
<p>(iii) Give the name of the system or subsystem or categories of records to which access is sought, as specified in "Privacy Act Issuances" published by the Office of the Federal Register and referenced in the appendices to this subpart;
</p>
<p>(iv) Describe the nature of the record(s) sought in sufficient detail to enable Department personnel to locate the system of records containing the record with a reasonable amount of effort. Whenever possible, a request for access should describe the nature of the record sought, the date of the record or the period in which the record was compiled.
</p>
<p>(v) Provide such identification of the requester as may be specified in the appropriate appendix to this subpart; and
</p>
<p>(vi) Be addressed or delivered in person to the office or officer of the component indicated for the particular system or subsystem or categories of records the individual wishes access to, as specified in "Privacy Act Issuances" published by the Office of the Federal Register and referenced in the appendices to this subpart. Assistance in ascertaining the appropriate component or in preparing a request for notification may be obtained by a written request to this effect addressed as specified in Appendix A of this part, as the address for the Departmental Offices for "Request for notification and access to records and accountings of disclosures".
</p>
<p>(2) A request for access to records shall, in addition to complying with paragraph (a)(1)(i) through (vi) of this section:
</p>
<p>(i) State whether the requester wishes to inspect the records or desires to have a copy made and furnished without first inspecting them;
</p>
<p>(ii) If the requester desires to have a copy made, state the firm agreement of the requester to pay the fees for duplication ultimately determined in accordance with (31 CFR 1.6) Subpart A of this title, unless such fees are waived pursuant to that section by the system manager or other appropriate official as indicated in the appropriate appendix to these regulations; and
</p>
<p>(iii) Comply with any other requirement set forth in the applicable appendix to this subpart or the "Notice of Records Systems" applicable to the system in question. Requesters are hereby advised that any request for access which does not comply with the foregoing requirements and those set forth elsewhere in this Subpart C, will not be deemed subject to the time constraints of this section, unless and until amended so as to comply. However, components shall advise the requester in what respect the request is deficient so that it may be processed. This section applies only to records which are contained in a system of records and which are in the possession or control of the component. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(e) <i>Requests for records not in control of component.</i> (1) Treasury employees shall make reasonable efforts to assist an oral requester to ascertain to which office or officer a written request should be sent. When the request is for a record which is not in the possession or control of any component of the Department of the Treasury, the requester shall be so advised.
</p>
<p>(2) Where the record requested was created by a Department or agency other than the Department of the Treasury or a component of the Department and has been classified (e.g. National Defense or Intelligence Information) or otherwise restrictively endorsed (e.g. Office of Personnel Management records of FBI reports) by such other Department or agency, and a copy is in the possession of a component of the Department of the Treasury, that portion of the request shall be referred to the originating agency for determination as to all issues in accordance with the Privacy Act. In the case of a referral to another agency under this paragraph, the requester shall be notified that such portion of the request has been so referred and that the requester may expect to hear from that agency.
</p>
<p>(3) When information sought from a system manager or other appropriate official in the Department of the Treasury includes information furnished by other Federal agencies not classified or otherwise restrictively endorsed, the system manager or other appropriate official receiving the request shall consult with the appropriate agency prior to making a decision to disclose or not to disclose the record. The decision as to whether the record shall be disclosed shall be made, in the first instance by the system manager or other appropriate official maintaining the record. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(f) <i>Date of receipt of request.</i> A request for notification or access to records shall be considered to have been received for purposes of this subpart on the date on which the requirements of paragraph (d) of this section have been satisfied. Requests for notification or access to records and any separate agreement to pay shall be stamped or endorsed with the date of receipt by the receiving office. The latest of such stamped dates will be deemed to be the date of receipt of the request for the purposes of this subpart. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(g) <i>Notification of determination</i>--(1) <i>In general.</i> Notification of determinations as to notification of whether a record exists or as to whether to grant access to records requested will be made by the officers designated in the appendices to this subpart. The notification of the determination shall be mailed within 30 days (excluding Saturdays, Sundays and legal public holidays) after the date of receipt of the request, as determined in accordance with paragraph (f) of this section. If it is not possible to respond within 30 days, the designated officer shall inform the requester, stating the reason for the delay (e.g. volume of records requested, scattered location of the records, need to consult other agencies, or the difficulty of the legal issues involved) and when a response will be dispatched. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(2) <i>Granting of access.</i> When it has been determined that the request for access will be granted--(i) and a copy requested; such copy in a form comprehensible to the requester shall be furnished promptly, together with a statement of the applicable fees for duplication; and (ii) and the right to inspect has been requested, the requester shall be promptly notified in writing of the determination, and when and where the requested records may be inspected. An individual seeking to inspect such records may be accompanied by another person of such individual’s choosing. The individual seeking access shall be required to sign the required form indicating that the Department of the Treasury is authorized to discuss the contents of the subject record in the accompanying person’s presence. If, after making the inspection, the individual making the request desires a copy of all or a portion of the requested records, such copy in a form comprehensible to the individual shall be furnished upon payment of the applicable fees for duplication. Fees to be charged are as prescribed by 31 CFR part 1, Subpart A, &#167; 1.6 Fees shall not be charged where they would amount, in the aggregate, to less than $3.00. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(3) <i>Requirements for access to medical records.</i> When access is requested to medical records, including psychological records, the responsible official may determine that such release could have an adverse effect on the individual and that release will be made only to a physician authorized in writing to have access to such records by the individual making the request. Upon receipt of the authorization the physician will be permitted to review the records or to receive copies of the records by mail, upon proper verification of identity. (See 5 U.S.C. 552a (f) (3))
</p>
<p>(4) <i>Denial of request.</i> When it is determined that the request for notification of whether a record exists or access to records will be denied (whether in whole or part or subject to conditions or exceptions), the person making the request shall be so notified by mail in accordance with paragraph (g)(1) of this section. The letter of notification shall specify the city or other location where the requested records are situated (if known), contain a statement of the reasons for not granting the request as made, set forth the name and title or position of the responsible official and advise the individual making the request of the right to file suit in accordance with 5 U.S.C. 552a (g)(1)(B).
</p>
<p>(5) <i>Prohibition against the use of 5 U.S.C. 552 (b) exemptions.</i> Exemptions from disclosure under 5 U.S.C. 552 (b) (31 CFR part 1, Subpart A, &#167; 1.2 (c)), may not be invoked for the purpose of withholding from an individual any record which is otherwise accessible to such individual under the Privacy Act, 5 U.S.C. 552a and this subpart. (See 5 U.S.C. 552a (q))
</p>
<p>(6) <i>Records exempt in whole or in part.</i> (i) When an individual requests notification as to whether a record exists or access to records concerning the individual which have been exempted from individual access pursuant to 5 U.S.C. 552a (j) or which have been compiled in reasonable anticipation of a civil action or proceeding in either a court or before an administrative tribunal and the assertion of the exemption is deemed necessary, the Department of the Treasury will neither confirm nor deny the existence of the record but shall advise the individual only that no record available to the individual pursuant to the Privacy Act of 1974 has been identified.
</p>
<p>(ii) Requests from individuals for access to records which have been exempted from access pursuant to 5 U.S.C. 552a (k) shall be processed as follows:
</p>
<p>(A) Requests for information classified pursuant to Executive Orders 12958, 13526, or successor or prior Executive Orders require the responsible component of the Department to review the information to determine whether it continues to warrant classification pursuant to an Executive Order. Information which no longer warrants classification under these criteria shall be declassified and made available to the individual. If the information continues to warrant classification, the individual shall be advised that the information sought is classified, that it has been reviewed and continues to warrant classification, and that it has been exempted from access pursuant to 5 U.S.C. 552 (b)(1) and 5 U.S.C. 552a (k)(1). Information which has been exempted pursuant to 5 U.S.C. 552a (j) and which is also classified shall be reviewed as required by this paragraph but the response to the individual shall be in the form prescribed by paragraph (g)(6)(i) of this section.
</p>
<p>(B) Requests for information which has been exempted from disclosure pursuant to 5 U.S.C. 552a (k)(2) shall be responded to in the manner provided in paragraph (g)(6)(i) of this section unless the requester shows that the information has been used or is being used to deny the individual any right, privilege or benefit for which he is eligible or to which he would otherwise be entitled under federal law. In that event, the individual shall be advised of the existence of the information but such information as would identify a confidential source shall be extracted or summarized in a manner which protects the source to the maximum degree possible and the summary extract shall be provided to the requesting individual.
</p>
<p>(C) Information compiled as part of an employee background investigation which has been exempted pursuant to 5 U.S.C. 552a (k)(5) shall be made available to an individual upon request except to the extent that it identifies the confidential source. Material identifying the confidential sources shall be extracted or summarized in a manner which protects the source to the maximum degree possible and the summary or extract shall be provided to the requesting individual.
</p>
<p>(D) Testing or examination material which has been exempted pursuant to 5 U.S.C. 552a (k)(6) shall not be made available to an individual if disclosure would compromise the objectivity or fairness of the testing or examination process; but may be made available if no such compromise possibility exists. (See 5 U.S.C. 552a (d)(5), (j) and (k)).
</p>
<p>[52 FR 26305, July 14, 1987, as amended at 76 FR 4817, Jan. 27, 2011]

</p>
<p><b>&#167; 1.27
</b></p>
<p><b>Procedures for amendment of records pertaining to individuals--format, agency review and appeal from initial adverse agency determination.
</b></p>
<p>(a) <i>In general.</i> Subject to the application of exemptions promulgated by the head of each component, in accordance with &#167; 1.23(c), and subject to &#167; 1.27(f), each component of the Department of the Treasury, shall in conformance with 5 U.S.C. 552a(d)(2), permit an individual to request amendment of a record pertaining to such individual. Any request for amendment of records or any appeal that does not fully comply with the requirements of this section and any additional specific requirements imposed by the component in the applicable appendix to this subpart will not be deemed subject to the time constraints of paragraph (e) of this section, unless and until amended so as to comply. However, components shall advise the requester in what respect the request or appeal is deficient so that it may be resubmitted or amended. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(b) <i>Form of request to amend records.</i> In order to be subject to the provisions of this section, a request to amend records shall:
</p>
<p>(1) Be made in writing and signed by the person making the request, who must be the individual about whom the record is maintained, or the duly authorized representative of such individual;
</p>
<p>(2) State that it is made pursuant to the Privacy Act, 5 U.S.C. 552a or these regulations, have marked "Privacy Act Amendment Request" on the request and on the envelope;
</p>
<p>(3) Be addressed to the office or officer of the component specified for such purposes in "Privacy Act Issuances" published by the Office of the Federal Register and referenced in the appendices to this subpart for that purpose; and
</p>
<p>(4) Reasonably describe the records which the individual desires to have amended, including, to the best of the requester’s knowledge, dates of letters requesting access to such records previously and dates of letters in which notification concerning access was made, if any, and the individual’s documentation justifying the correction. (See U.S.C. 552a (d) and (f))
</p>
<p>(c) <i>Date of receipt of request.</i> A request for amendment of records pertaining to an individual shall be deemed to have been received for purposes of this subpart when the requirements of paragraph (b) of this section have been satisfied. The receiving office or officer shall stamp or otherwise endorse the date of receipt of the request. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(d) <i>Review of requests to amend records.</i> Officials responsible for review of requests to amend records pertaining to an individual, as specified in the appropriate appendix to this subpart, shall:
</p>
<p>(1) Not later than 10 days (excluding Saturdays, Sundays, and legal public holidays) after the date of receipt of such request, acknowledge in writing such receipt; and
</p>
<p>(2) Promptly, either--(i) Make any correction of any portion which the individual believes and the official agrees is not accurate, relevant, timely, or complete; or
</p>
<p>(ii) Inform the individual of the refusal to amend the record in accordance with the individual’s request, the reason for the refusal, and the name and business address of the officer designated in the applicable appendix to this subpart, as the person who is to review such refusal. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(e) <i>Administrative appeal</i>--(1) <i>In general.</i> Each component shall permit individuals to request a review of initial decisions made under paragraph (d) of this section, when an individual disagrees with a refusal to amend this record. (See 5 U.S.C. 552a (d), (f), and (g)(1))
</p>
<p>(2) Form of request for administrative review of refusal to amend record. At any time within 35 days after the date of the notification of the initial decision described in paragraph (d)(2)(ii) of this section, the requester may submit an administrative appeal from such refusal to the official specified in the notification of the initial decision and the appropriate appendix to this subpart. The appeal shall:
</p>
<p>(i) Be made in writing stating any arguments in support thereof and be signed by the person to whom the record pertains, or the duly authorized representative of such official;
</p>
<p>(ii) Be addressed to and mailed or hand delivered within 35 days of the date of the initial decision, to the office or officer specified in the appropriate appendix to this subpart and in the notification. (See the appendices to this subpart for the address to which appeals made by mail should be addressed);
</p>
<p>(iii) Have clearly marked on the appeal and on the envelope, "Privacy Act Amendment Appeal";
</p>
<p>(iv) Reasonably describe the records requested to be amended; and
</p>
<p>(v) Specify the date of the initial request, to amend records, and the date of the letter giving notification that the request was denied. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(3) <i>Date of receipt.</i> Appeals shall be promptly stamped with the date of their receipt by the office to which addressed and such stamped date will be deemed to be the date of receipt for all purposes of this subpart. The receipt of the appeal shall be acknowledged within 10 days (excluding Saturdays, Sundays, and legal public holidays) from the date of the receipt (unless the determination on appeal is dispatched in 10 days, in which case, no acknowledgement is required) by the responsible official and the requester advised of the date of receipt established by the foregoing and when a response is due in accordance with this paragraph. (See 5 U.S.C. 552a (d) and (f))
</p>
<p>(4) <i>Review of administrative appeals from denial of requests to amend records.</i> Officials responsible for deciding administrative appeals from denials of requests to amend records pertaining to an individual, as specified in the appendices to this subpart shall: Complete the review, and notify the requester of the final agency decision within 30 days (exclusive of Saturdays, Sundays and legal public holidays) after the date of receipt of such appeal, unless the time is extended by the head of the agency or the delegate of such official, for good cause shown. If such final agency decision is to refuse to amend the record, in whole or in part, the requester shall also be advised of the right--(i) to file a concise "Statement of Disagreement" setting forth the reasons for his disagreement with the decision which shall be filed within 35 days of the date of the notification of the final agency decision and (ii) to judicial review of the final agency decision under 5 U.S.C. 552a(g)(1)(A). (See 5 U.S.C. 552a (d), (f) and (g)(1))
</p>
<p>(5) <i>Notation on record and distribution of statements of disagreement.</i> The system manager is responsible, in any disclosure containing information about which an individual has filed a "Statement of Disagreement", occurring after the filing of the statement under paragraph (e)(4) of this section, for clearly noting any portion of the record which is disputed and providing copies of the statement and, if deemed appropriate, a concise statement of the component’s reasons for not making the amendments requested to persons or other agencies to whom the disputed record has been disclosed. (See 5 U.S.C. 552a(d)(4))
</p>
<p>(f) <i>Records not subject to correction under the Privacy Act.</i> The following records are not subject to correction or amendment by individuals:
</p>
<p>(1) Transcripts or written statements made under oath; and
</p>
<p>(2) Transcripts of Grand Jury proceedings, judicial or quasi-judicial proceedings which form the official record of those proceedings; and
</p>
<p>(3) Pre-sentence reports comprising the property of the courts but maintained in agency files; and
</p>
<p>(4) Records pertaining to the determination, the collection and the payment of the Federal taxes; and
</p>
<p>(5) Records duly exempted from correction by notice published in the <i>Federal Register</i>; and
</p>
<p>(6) Records compiled in reasonable anticipation of a civil action or proceeding.

</p>
<p><b>&#167; 1.28
</b></p>
<p><b>Training, rules of conduct, penalties for non-compliance.
</b></p>
<p>(a) <i>Training.</i> Subject to policy guidance and regulations issued by the Deputy Secretary, who has Departmentwide responsibility therefor, each component shall institute a training program to instruct employees and employees of Government contractors covered by 5 U.S.C. 552a(m), who are involved in the design, development, operation or maintenance of any system of records, on a continuing basis with respect to the duties and responsibilities imposed on them and the rights conferred on individuals by the Privacy Act, the regulations in this subpart, including the appendices thereto, and any other related regulations. Such training shall provide suitable emphasis on the civil and criminal penalties imposed on the Department and the individual employees by the Privacy Act for non-compliance with specified requirements of the Act as implemented by the regulations in this subpart. (See 5 U.S.C. 552a(e)(9))
</p>
<p>(b) <i>Rules of conduct.</i> In addition, to the Standards of Conduct published in part O of this title, particularly 31 CFR 0.735-44, the following are applicable to employees of the Department of the Treasury (including, to the extent required by the contract or 5 U.S.C. 552a(m), Government contractors and employees of such contractors), who are involved in the design, development, operation or maintenance of any system of records, or in maintaining any records, for or on behalf of the Department, including any component thereof.
</p>
<p>(1) The head of each office of a component of the Department shall be responsible for assuring that employees subject to such official’s supervision are advised of the provisions of the Privacy Act, including the criminal penalties and civil liabilities provided therein, and the regulations in this subpart, and that such employees are made aware of their individual and collective responsibilities to protect the security of personal information, to assure its accuracy, relevance, timeliness and completeness, to avoid unauthorized disclosure either orally or in writing, and to insure that no information system concerning individuals, no matter how small or specialized is maintained without public notice.
</p>
<p>(2) Employees of the Department of the Treasury involved in the design, development, operation, or maintenance of any system of records, or in maintaining any record shall:
</p>
<p>(i) Collect no information of a personal nature from individuals unless authorized to collect it to achieve a function or carry out a responsibility of the Department;
</p>
<p>(ii) Collect from individuals only that information which is necessary to Department functions or responsibilities, unless related to a system exempted under 5 U.S.C. 552a (j) or (k):
</p>
<p>(iii) Collect information, wherever possible, directly from the individual to whom it relates, unless related to a system exempted under 5 U.S.C. 552a(j);
</p>
<p>(iv) Inform individuals from whom information is collected about themselves of the authority for collection, the purposes thereof, the use that will be made of the information, and the effects, both legal and practical, of not furnishing the information. (While this provision does not explicitly require it, where feasible, third party sources should be informed of the purposes for which information they are asked to provide will be used.);
</p>
<p>(v) Neither collect, maintain, use nor disseminate information concerning an individual’s religious or political beliefs or activities or membership in associations or organizations, unless (A) the individual has volunteered such information for the individual’s own benefits; (B) the information is expressly authorized by statute to be collected, maintained, used or disseminated; or (C) the activities involved are pertinent to and within the scope of an authorized investigation, adjudication or correctional activity;
</p>
<p>(vi) Advise their supervisors of the existence or contemplated development of any record system which is capable of retrieving information about individuals by individual identifier;
</p>
<p>(vii) Disseminate no information concerning individuals outside the Department except when authorized by 5 U.S.C. 552a or pursuant to a routine use published in the <i>Federal Register;</i>
</p>
<p>(viii) Assure that an accounting is kept in the prescribed form, of all dissemination of personal information outside the Department, whether made orally or in writing, unless disclosed under 5 U.S.C. 552 and subpart A of this part;
</p>
<p>(ix) Maintain and process information concerning individuals with care in order to insure that no inadvertent disclosure of the information is made either within or without the Department; and
</p>
<p>(x) Assure that the proper Department authorities are aware of any information in a system maintained by the Department which is not authorized to be maintained under the provisions of the Privacy Act of 1974, including information on First Amendment Activities, information that is inaccurate, irrelevant or so incomplete as to risk unfairness to the individual concerned.
</p>
<p>(3) Heads of components within the Department or their delegates shall, at least annually, review the record systems subject to their supervision to insure compliance with the provisions of the Privacy Act of 1974 and the regulations in this subpart. (See 5 U.S.C. 552a (e)(9), (i) and (m))
</p>
<p>(c) <i>Criminal penalties.</i> (1) The Privacy Act imposes criminal penalties on the conduct of Government officers or employees as follows: Any officer or employee of an agency (which term includes the Department of the Treasury):
</p>
<p>(i) Who by virtue of the official’s employment or official position, has possession of, or access to, agency records which contain individually identifiable information the disclosure of which is prohibited by this section (5 U.S.C. 552a) or regulations established thereunder, and who knowing that disclosure of the specific material is so prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, or
</p>
<p>(ii) Who willfully maintains a system of records without meeting the notice requirements of paragraph (e)(4) of this section (5 U.S.C. 552a)--shall be guilty of a misdemeanor and fined not more than $5,000.
</p>
<p>(2) The Act also imposes a collateral criminal penalty on the conduct of any person as follows:
</p>
<p>"Any person who knowingly and willfully requests or obtains any record concerning an individual from an agency under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000."
</p>
<p>(3) For the purposes of 5 U.S.C. 552a (i), the provisions of paragraph (c)(1) of this section are applicable to Government contractors and employees of such contractors who by contract, operate by or on behalf of the Department of the Treasury a system of records to accomplish a Departmental function. Such contractor and employees are considered employees of the Department of the Treasury for the purposes of 5 U.S.C. 552a(i). (See 5 U.S.C. 552a (i) and (m).)

</p>
<p><b>&#167; 1.29
</b></p>
<p><b>Records transferred to Federal Records Center or National Archives of the United States.
</b></p>
<p>(a) <i>Records transferred to the Administrator of General Services for storage in the Federal Records Center.</i> Records pertaining to an identifiable individual which are transferred to the Federal Records Center in accordance with 44 U.S.C. 3103 shall, for the purposes of the Privacy Act, 5 U.S.C. 552a, be considered to be maintained by the component which deposited the record and shall be subject to the provisions of the Privacy Act and this subpart. The Administrator of General Services shall not disclose such records except to the Department of the Treasury or to others under rules consistent with the Privacy Act which may be established by the Department of the Treasury or a component. If such records are retrieved for the purpose of making a determination about an individual, they must be reviewed for accuracy, relevance, timeliness, and completeness.
</p>
<p>(b) <i>Records transferred to the National Archives of the United States.</i> (1) Records transferred to National Archives prior to September 27, 1975. Records pertaining to an identifiable individual transferred to the National Archives prior to September 27, 1975, as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government shall be considered to be maintained by the National Archives, and
</p>
<p>(i) Shall not be subject to 5 U.S.C. 552a,
</p>
<p>(ii) Except, that a statement describing such records [modeled after 5 U.S.C. 552a (e)(4) (A) through (G)] shall be published in the <i>Federal Register.</i>
</p>
<p>(2) <i>Records transferred to National Archives on or after September 27, 1975.</i> Records pertaining to an identifiable individual transferred to the National Archives as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, on or after September 27, 1975, shall be considered to be maintained by the National Archives, and
</p>
<p>(i) Shall not be subject to 5 U.S.C. 552a,
</p>
<p>(ii) Except, that a statement describing such records in accordance with 5 U.S.C. 552a (e)(4) (A) through (G) shall be published in the <i>Federal Register</i> and rules of conduct and training in accordance with 5 U.S.C. 552 (e) (9) are to be established by the National Archives. (See 5 U.S.C. 552a (e))

</p>
<p><b>&#167; 1.30
</b></p>
<p><b>Application to system of records maintained by Government contractors.
</b></p>
<p>When a component contracts for the operation of a system of records, to accomplish a Departmental function, the provisions of the Privacy Act, 5 U.S.C. 552a, and this subpart shall be applicable to such system. The component shall have responsibility for insuring that the contractor complies with the contract requirements relating to privacy.

</p>
<p><b>&#167; 1.31
</b></p>
<p><b>Sale or rental of mailing lists.
</b></p>
<p>(a) <i>In general.</i> An individual’s name and address shall not be sold or rented by a component unless such action is specifically authorized by law.
</p>
<p>(b) <i>Withholding of names and addresses.</i> This section shall not be construed to require the withholding of names and addresses otherwise permitted to be made public. (See 5 U.S.C. 552a (n)).

</p>
<p><b>&#167; 1.32
</b></p>
<p><b>Use and disclosure of social security numbers.
</b></p>
<p>(a) <i>In general.</i> An individual shall not be denied any right, benefit, or privilege provided by law by a component because of such individual’s refusal to disclose his social security number.
</p>
<p>(b) <i>Exceptions.</i> The provisions of paragraph (a) of this section shall not apply with respect to:
</p>
<p>(1) Any disclosure which is required by Federal statute, or
</p>
<p>(2) The disclosure of a social security number to any Federal, State, or local agency maintaining a system of records in existence and operating before January 1, 1975, if such disclosure was required under statute or regulation adopted prior to such date to verify the identity of an individual.
</p>
<p>(c) <i>Requests for disclosure of social security number.</i> Any component which requests an individual to disclose his or her social security account number shall inform that individual whether:
</p>
<p>(1) Disclosure is mandatory or voluntary.
</p>
<p>(2) By what statutory or other authority such number is solicited, and
</p>
<p>(3) What uses will be made of it. (See section 7 of the Privacy Act of 1974 set forth at 5 U.S.C. 552a, note.)

</p>
<p><b>&#167; 1.34
</b></p>
<p><b>Guardianship.
</b></p>
<p>The parent or guardian of a minor or a person judicially determined to be incompetent shall, in addition to establishing the identity of the minor or other person represented, establish parentage or guardianship by furnishing a copy of a birth certificate showing parentage or a court order establishing the guardianship and may thereafter, act on behalf of such individual. (See 5 U.S.C. 552a (h))

</p>
<p><b>&#167; 1.35
</b></p>
<p><b>Information forms.
</b></p>
<p>(a) <i>Review of forms.</i> Except for forms developed and used by constituent units, the Deputy Assistant Secretary for Administration shall be responsible for reviewing all forms developed and used by the Department of the Treasury to collect information from and about individuals. The heads of components shall each be responsible for the review of forms used by such component to collect information from and about individuals.
</p>
<p>(b) <i>Scope of review.</i> The responsible officers shall review each form for the purpose of eliminating any requirement for information that is not relevant and necessary to carry out an agency function and to accomplish the following objectives;
</p>
<p>(1) To insure that no information concerning religion, political beliefs or activities, association memberships (other than those required for a professional license), or the exercise of First Amendment rights is required to be disclosed unless such requirement of disclosure is expressly authorized by statute or is pertinent to, and within the scope of, any authorized law enforcement activity;
</p>
<p>(2) To insure that the form or a separate form that can be retained by the individual makes clear to the individual which information he is required by law to disclose and the authority for that requirement and which information is voluntary;
</p>
<p>(3) To insure that the form or a separate form that can be retained by the individual states clearly the principal purpose or purposes for which the information is being collected, and summarizes concisely the routine uses that will be made of the information;
</p>
<p>(4) To insure that the form or a separate form that can be retained by the individual clearly indicates to the individual the effect in terms of rights, benefits or privileges of not providing all or part of the requested information; and
</p>
<p>(5) To insure that any form requesting disclosure of a Social Security Number, or a separate form that can be retained by the individual, clearly advises the individual of the statute or regulation requiring disclosure of the number or clearly advises the individual that disclosure is voluntary and that no consequence will follow from the refusal to disclose it, and the uses that will be made of the number whether disclosed mandatorily and voluntarily.
</p>
<p>(c) <i>Revision of forms.</i> Any form which does not meet the objectives specified in the Privacy Act and in this section, shall be revised to conform thereto. A separate statement may be used in instances when a form does not conform. This statement will accompany a form and shall include all the information necessary to accomplish the objectives specified in the Privacy Act and this section.

</p>
<p><b>&#167; 1.36
</b></p>
<p><b>Systems exempt in whole or in part from provisions of 5 U.S.C. 552a and this part.
</b></p>
<p>(a) <i>In General.</i> In accordance with 5 U.S.C. 552a(j) and (k) and &#167; 1.23(c), the Department of the Treasury hereby exempts the systems of records identified below from the following provisions of the Privacy Act for the reasons indicated.
</p>
<p>(b) <i>Authority.</i> These rules are promulgated pursuant to the authority vested in the Secretary of the Treasury by 5 U.S.C. 552a(j) and (k) and pursuant to the authority of &#167; 1.23(c).
</p>
<p>(c) <i>General exemptions under 5 U.S.C. 552a(j)(2).</i> (1) Under 5 U.S.C. 552a(j)(2), the head of any agency may promulgate rules to exempt any system of records within the agency from certain provisions of the Privacy Act if the agency or component thereof that maintains the system performs as its principal function any activities pertaining to the enforcement of criminal laws. Certain components of the Department of the Treasury have as their principal function activities pertaining to the enforcement of criminal laws. This paragraph applies to the following systems of records maintained by the Department of the Treasury:
</p>
<p>(i) Treasury.
</p>
<p>(ii) Departmental Offices:
</p><table>
<tr>
<th scope="col">Number</th>
<th scope="col">System name</th></tr>
<tr><td>DO .190</td><td>Investigation Data Management System.
</td></tr>
<tr><td>DO .220</td><td>SIGTARP Hotline Database.
</td></tr>
<tr><td>DO .221</td><td>SIGTARP Correspondence Database.
</td></tr>
<tr><td>DO .222</td><td>SIGTARP Investigative MIS Database.
</td></tr>
<tr><td>DO .223</td><td>SIGTARP Investigative Files Database.
</td></tr>
<tr><td>DO .224</td><td>SIGTARP Audit Files Database.
</td></tr>
<tr><td>DO .303</td><td>TIGTA General Correspondence.
</td></tr>
<tr><td>DO .307</td><td>TIGTA Employee Relations Matters, Appeals, Grievances, and Complaint Files.
</td></tr>
<tr><td>DO .308</td><td>TIGTA Data Extracts.
</td></tr>
<tr><td>DO .309</td><td>TIGTA Chief Counsel Case Files.
</td></tr>
<tr><td>DO .310</td><td>TIGTA Chief Counsel Disclosure Section Records.
</td></tr>
<tr><td>DO .311</td><td>TIGTA Office of Investigations Files.</td></tr></table>
<p>(iii) Alcohol and Tobacco Tax and Trade Bureau.
</p>
<p>(iv) Comptroller of the Currency:</p>
	<table>
<tr><th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>CC .110</td><td>Reports of Suspicious Activities.
</td></tr>
<tr><td>CC .120</td><td>Bank Fraud Information System.
</td></tr>
<tr><td>CC .500</td><td>Chief Counsel’s Management Information System.
</td></tr>
<tr><td>CC .510</td><td>Litigation Information System.
</td></tr>
<tr><td>OTS .001</td><td>Confidential Individual Information System.
</td></tr>
<tr><td>OTS .004</td><td>Criminal Referral Database.</td></tr></table>
<p>(v) Bureau of Engraving and Printing.
</p>
<p>(vi) Financial Management Service.
</p>
<p>(vii) Internal Revenue Service:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>Treasury/IRS 46.002</td><td>Management Information System and Case Files, Criminal Investigation.
</td></tr>
<tr><td>Treasury/IRS 46.003</td><td>Confidential Informant Records, Criminal Investigation.
</td></tr>
<tr><td>Treasury/IRS 46.005</td><td>Electronic Surveillance and Monitoring Records, Criminal Investigation.


</td></tr>
<tr><td>Treasury/IRS 46.015</td><td>Relocated Witness Records, Criminal Investigation.

</td></tr>
<tr><td>Treasury/IRS 46.050</td><td>Automated Information Analysis and Recordkeeping, Criminal Investigation.

</td></tr>
<tr><td>IRS 90.001</td><td>Chief Counsel Management Information System Records.
</td></tr>
<tr><td>IRS 90.003</td><td>Chief Counsel Litigation and Advice (Criminal) Records.
</td></tr>
<tr><td>IRS 90.004</td><td>Chief Counsel Legal Processing Division Records.
</td></tr>
<tr><td>IRS 90.005</td><td>Chief Counsel Library Records.</td></tr></table>
<p>(viii) U.S. Mint.
</p>
<p>(ix) Bureau of the Public Debt.
</p>
<p>(x) Financial Crimes Enforcement Network:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>FinCEN .001</td><td>FinCEN Database.
</td></tr>
<tr><td>FinCEN .002</td><td>Suspicious Activity Reporting System.
</td></tr>
<tr><td>FinCEN .003</td><td>Bank Secrecy Act Reports System.</td></tr></table>
<p>(2) The Department hereby exempts the systems of records listed in paragraphs (c)(1)(i) through (x) of this section from the following provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(j)(2): 5 U.S.C. 552a(c)(3) and (4), 5 U.S.C. 552a(d)(1), (2), (3), (4), 5 U.S.C. 552a(e)(1), (2) and (3), 5 U.S.C. 552a(e)(4)(G), (H), and (I), 5 U.S.C. 552a(e)(5) and (8), 5 U.S.C. 552a(f), and 5 U.S.C. 552a(g).
</p>
<p>(d) <i>Reasons for exemptions under 5 U.S.C. 552a(j)(2).</i> (1) 5 U.S.C. 552a(e)(4)(G) and (f)(l) enable individuals to inquire whether a system of records contains records pertaining to them. Application of these provisions to the systems of records would give individuals an opportunity to learn whether they have been identified as suspects or subjects of investigation. As further described in the following paragraph, access to such knowledge would impair the Department’s ability to carry out its mission, since individuals could:
</p>
<p>(i) Take steps to avoid detection;
</p>
<p>(ii) Inform associates that an investigation is in progress;
</p>
<p>(iii) Learn the nature of the investigation;
</p>
<p>(iv) Learn whether they are only suspects or identified as law violators;
</p>
<p>(v) Begin, continue, or resume illegal conduct upon learning that they are not identified in the system of records; or
</p>
<p>(vi) Destroy evidence needed to prove the violation.
</p>
<p>(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f)(2), (3) and (5) grant individuals access to records pertaining to them. The application of these provisions to the systems of records would compromise the Department’s ability to provide useful tactical and strategic information to law enforcement agencies.
</p>
<p>(i) Permitting access to records contained in the systems of records would provide individuals with information concerning the nature of any current investigations and would enable them to avoid detection or apprehension by:
</p>
<p>(A) Discovering the facts that would form the basis for their arrest;
</p>
<p>(B) Enabling them to destroy or alter evidence of criminal conduct that would form the basis for their arrest; and
</p>
<p>(C) Using knowledge that criminal investigators had reason to believe that a crime was about to be committed, to delay the commission of the crime or commit it at a location that might not be under surveillance.
</p>
<p>(ii) Permitting access to either on-going or closed investigative files would also reveal investigative techniques and procedures, the knowledge of which could enable individuals planning crimes to structure their operations so as to avoid detection or apprehension.
</p>
<p>(iii) Permitting access to investigative files and records could, moreover, disclose the identity of confidential sources and informants and the nature of the information supplied and thereby endanger the physical safety of those sources by exposing them to possible reprisals for having provided the information. Confidential sources and informants might refuse to provide criminal investigators with valuable information unless they believe that their identities will not be revealed through disclosure of their names or the nature of the information they supplied. Loss of access to such sources would seriously impair the Department’s ability to carry out its mandate.
</p>
<p>(iv) Furthermore, providing access to records contained in the systems of records could reveal the identities of undercover law enforcement officers who compiled information regarding the individual’s criminal activities and thereby endanger the physical safety of those undercover officers or their families by exposing them to possible reprisals.
</p>
<p>(v) By compromising the law enforcement value of the systems of records for the reasons outlined in paragraphs (d)(2)(i) through (iv) of this section, permitting access in keeping with these provisions would discourage other law enforcement and regulatory agencies, foreign and domestic, from freely sharing information with the Department and thus would restrict the Department’s access to information necessary to accomplish its mission most effectively.
</p>
<p>(vi) Finally, the dissemination of certain information that the Department maintains in the systems of records is restricted by law.
</p>
<p>(3) 5 U.S.C. 552a(d)(2), (3) and (4), (e)(4)(H), and (f)(4) permit an individual to request amendment of a record pertaining to him or her and require the agency either to amend the record, or to note the disputed portion of the record and to provide a copy of the individual’s statement of disagreement with the agency’s refusal to amend a record to persons or other agencies to whom the record is thereafter disclosed. Since these provisions depend on the individual having access to his or her records, and since these rules exempt the systems of records from the provisions of 5 U.S.C. 552a relating to access to records, for the reasons set out in paragraph (d)(2) of this section, these provisions should not apply to the systems of records.
</p>
<p>(4) 5 U.S.C. 552a(c)(3) requires an agency to make accountings of disclosures of a record available to the individual named in the record upon his or her request. The accountings must state the date, nature, and purpose of each disclosure of the record and the name and address of the recipient.
</p>
<p>(i) The application of this provision would impair the ability of law enforcement agencies outside the Department of the Treasury to make effective use of information provided by the Department. Making accountings of disclosures available to the subjects of an investigation would alert them to the fact that another agency is conducting an investigation into their criminal activities and could reveal the geographic location of the other agency’s investigation, the nature and purpose of that investigation, and the dates on which that investigation was active. Individuals possessing such knowledge would be able to take measures to avoid detection or apprehension by altering their operations, by transferring their criminal activities to other geographical areas, or by destroying or concealing evidence that would form the basis for arrest. In the case of a delinquent account, such release might enable the subject of the investigation to dissipate assets before levy.
</p>
<p>(ii) Moreover, providing accountings to the subjects of investigations would alert them to the fact that the Department has information regarding their criminal activities and could inform them of the general nature of that information. Access to such information could reveal the operation of the Department’s information-gathering and analysis systems and permit individuals to take steps to avoid detection or apprehension.
</p>
<p>(5) 5 U.S.C. 552(c)(4) requires an agency to inform any person or other agency about any correction or notation of dispute that the agency made in accordance with 5 U.S.C. 552a(d) to any record that the agency disclosed to the person or agency if an accounting of the disclosure was made. Since this provision depends on an individual’s having access to and an opportunity to request amendment of records pertaining to him or her, and since these rules exempt the systems of records from the provisions of 5 U.S.C. 552a relating to access to and amendment of records, for the reasons set out in paragraph (f)(3) of this section, this provision should not apply to the systems of records.
</p>
<p>(6) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a general notice listing the categories of sources for information contained in a system of records. The application of this provision to the systems of records could compromise the Department’s ability to provide useful information to law enforcement agencies, since revealing sources for the information could:
</p>
<p>(i) Disclose investigative techniques and procedures;
</p>
<p>(ii) Result in threats or reprisals against informants by the subjects of investigations; and
</p>
<p>(iii) Cause informants to refuse to give full information to criminal investigators for fear of having their identities as sources disclosed.
</p>
<p>(7) 5 U.S.C. 552a(e)(1) requires an agency to maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required to be accomplished by statute or executive order. The term "maintain," as defined in 5 U.S.C. 552a(a)(3), includes "collect" and "disseminate." The application of this provision to the systems of records could impair the Department’s ability to collect and disseminate valuable law enforcement information.
</p>
<p>(i) In many cases, especially in the early stages of investigation, it may be impossible to immediately determine whether information collected is relevant and necessary, and information that initially appears irrelevant and unnecessary often may, upon further evaluation or upon collation with information developed subsequently, prove particularly relevant to a law enforcement program.
</p>
<p>(ii) Not all violations of law discovered by the Department fall within the investigative jurisdiction of the Department of the Treasury. To promote effective law enforcement, the Department will have to disclose such violations to other law enforcement agencies, including State, local and foreign agencies, that have jurisdiction over the offenses to which the information relates. Otherwise, the Department might be placed in the position of having to ignore information relating to violations of law not within the jurisdiction of the Department of the Treasury when that information comes to the Department’s attention during the collation and analysis of information in its records.
</p>
<p>(8) 5 U.S.C. 552a(e)(2) requires an agency to collect information to the greatest extent practicable directly from the subject individual when the information may result in adverse determinations about an individual’s rights, benefits, and privileges under Federal programs. The application of this provision to the systems of records would impair the Department’s ability to collate, analyze, and disseminate investigative, intelligence, and enforcement information.
</p>
<p>(i) Most information collected about an individual under criminal investigation is obtained from third parties, such as witnesses and informants. It is usually not feasible to rely upon the subject of the investigation as a source for information regarding his criminal activities.
</p>
<p>(ii) An attempt to obtain information from the subject of a criminal investigation will often alert that individual to the existence of an investigation, thereby affording the individual an opportunity to attempt to conceal his criminal activities so as to avoid apprehension.
</p>
<p>(iii) In certain instances, the subject of a criminal investigation may assert his/her constitutional right to remain silent and refuse to supply information to criminal investigators upon request.
</p>
<p>(iv) During criminal investigations it is often a matter of sound investigative procedure to obtain information from a variety of sources to verify information already obtained from the subject of a criminal investigation or other sources.
</p>
<p>(9) 5 U.S.C. 552a(e)(3) requires an agency to inform each individual whom it asks to supply information, on the form that it uses to collect the information or on a separate form that the individual can retain, of the agency’s authority for soliciting the information; whether disclosure of information is voluntary or mandatory; the principal purposes for which the agency will use the information; the routine uses that may be made of the information; and the effects on the individual of not providing all or part of the information. The systems of records should be exempted from this provision to avoid impairing the Department’s ability to collect and collate investigative, intelligence, and enforcement data.
</p>
<p>(i) Confidential sources or undercover law enforcement officers often obtain information under circumstances in which it is necessary to keep the true purpose of their actions secret so as not to let the subject of the investigation or his or her associates know that a criminal investigation is in progress.
</p>
<p>(ii) If it became known that the undercover officer was assisting in a criminal investigation, that officer’s physical safety could be endangered through reprisal, and that officer may not be able to continue working on the investigation.
</p>
<p>(iii) Individuals often feel inhibited in talking to a person representing a criminal law enforcement agency but are willing to talk to a confidential source or undercover officer whom they believe are not involved in law enforcement activities.
</p>
<p>(iv) Providing a confidential source of information with written evidence that he or she was a source, as required by this provision, could increase the likelihood that the source of information would be subject to retaliation by the subject of the investigation.
</p>
<p>(v) Individuals may be contacted during preliminary information gathering, surveys, or compliance projects concerning the administration of the internal revenue laws before any individual is identified as the subject of an investigation. Informing the individual of the matters required by this provision would impede or compromise subsequent investigations.
</p>
<p>(10) 5 U.S.C. 552a(e)(5) requires an agency to maintain all records it uses in making any determination about any individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination.
</p>
<p>(i) Since 5 U.S.C. 552a(a)(3) defines "maintain" to include "collect" and "disseminate," application of this provision to the systems of records would hinder the initial collection of any information that could not, at the moment of collection, be determined to be accurate, relevant, timely, and complete. Similarly, application of this provision would seriously restrict the Department’s ability to disseminate information pertaining to a possible violation of law to law enforcement and regulatory agencies. In collecting information during a criminal investigation, it is often impossible or unfeasible to determine accuracy, relevance, timeliness, or completeness prior to collection of the information. In disseminating information to law enforcement and regulatory agencies, it is often impossible to determine accuracy, relevance, timeliness, or completeness prior to dissemination because the Department may not have the expertise with which to make such determinations.
</p>
<p>(ii) Information that may initially appear inaccurate, irrelevant, untimely, or incomplete may, when collated and analyzed with other available information, become more pertinent as an investigation progresses. In addition, application of this provision could seriously impede criminal investigators and intelligence analysts in the exercise of their judgment in reporting results obtained during criminal investigations.
</p>
<p>(11) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable efforts to serve notice on an individual when the agency makes any record on the individual available to any person under compulsory legal process, when such process becomes a matter of public record. The systems of records should be exempted from this provision to avoid revealing investigative techniques and procedures outlined in those records and to prevent revelation of the existence of an ongoing investigation where there is need to keep the existence of the investigation secret.
</p>
<p>(12) 5 U.S.C. 552a(g) provides for civil remedies to an individual when an agency wrongfully refuses to amend a record or to review a request for amendment, when an agency wrongfully refuses to grant access to a record, when an agency fails to maintain accurate, relevant, timely, and complete records which are used to make a determination adverse to the individual, and when an agency fails to comply with any other provision of 5 U.S.C. 552a so as to adversely affect the individual. The systems of records should be exempted from this provision to the extent that the civil remedies may relate to provisions of 5 U.S.C. 552a from which these rules exempt the systems of records, since there should be no civil remedies for failure to comply with provisions from which the Department is exempted. Exemption from this provision will also protect the Department from baseless civil court actions that might hamper its ability to collate, analyze, and disseminate investigative, intelligence, and law enforcement data.
</p>
<p>(e) <i>Specific exemptions under 5 U.S.C. 552a(k)(1).</i> (1) Under 5 U.S.C. 552a(k)(1), the head of any agency may promulgate rules to exempt any system of records within the agency from certain provisions of the Privacy Act to the extent that the system contains information subject to the provisions of 5 U.S.C. 552(b)(1). This paragraph applies to the following systems of records maintained by the Department of the Treasury:
</p>
<p>(i) Departmental Offices:</p>
<table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>DO .120</td><td>Records Related to Office of Foreign Assets Control Economic Sanctions.</td></tr></table>
<p>(ii) Financial Crimes Enforcement Network:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>FinCEN .001</td><td>FinCEN Database.</td></tr></table>
<p>(2) The Department of the Treasury hereby exempts the systems of records listed in paragraph (e)(1)(i) and (ii) of this section from the following provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(1): 5 U.S.C. 552a(c)(3), 5 U.S.C. 552a(d)(1), (2), (3), and (4), 5 U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
</p>
<p>(f) <i>Reasons for exemptions under 5 U.S.C. 552a(k)(1).</i> The reason for invoking the exemption is to protect material authorized to be kept secret in the interest of national defense or foreign policy pursuant to Executive Orders 12958, 13526, or successor or prior Executive Orders.
</p>
<p>(g) <i>Specific exemptions under 5 U.S.C. 552a(k)(2).</i> (1) Under 5 U.S.C. 552a(k)(2), the head of any agency may promulgate rules to exempt any system of records within the agency from certain provisions of the Privacy Act if the system is investigatory material compiled for law enforcement purposes and for the purposes of assuring the safety of individuals protected by the Department pursuant to the provisions of 18 U.S.C. 3056. This paragraph applies to the following systems of records maintained by the Department of the Treasury:
</p>
<p>(i) Treasury:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>Treasury .013</td><td>Department of the Treasury Civil Rights Complaints and Compliance Review Files.</td></tr></table>
<p>(ii) Departmental Offices:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>DO .120</td><td>Records Related to Office of Foreign Assets Control Economic Sanctions.
</td></tr>
<tr><td>DO .144</td><td>General Counsel Litigation Referral and Reporting System.
</td></tr>
<tr><td>DO .190</td><td>Investigation Data Management System.
</td></tr>
<tr><td>DO .220</td><td>SIGTARP Hotline Database.
</td></tr>
<tr><td>DO .221</td><td>SIGTARP Correspondence Database.
</td></tr>
<tr><td>DO .222</td><td>SIGTARP Investigative MIS Database.
</td></tr>
<tr><td>DO .223</td><td>SIGTARP Investigative Files Database.
</td></tr>
<tr><td>DO .224</td><td>SIGTARP Audit Files Database.
</td></tr>
<tr><td>DO.225</td><td>TARP Fraud Investigation Information System.
</td></tr>
<tr><td>DO .303</td><td>TIGTA General Correspondence.
</td></tr>
<tr><td>DO .307</td><td>TIGTA Employee Relations Matters, Appeals, Grievances, and Complaint Files.
</td></tr>
<tr><td>DO .308</td><td>TIGTA Data Extracts.
</td></tr>
<tr><td>DO .309</td><td>TIGTA Chief Counsel Case Files.
</td></tr>
<tr><td>DO .310</td><td>TIGTA Chief Counsel Disclosure Section Records.
</td></tr>
<tr><td>DO .311</td><td>TIGTA Office of Investigations Files.</td></tr></table>
<p>(iii) Alcohol and Tobacco Tax and Trade Bureau:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>TTB .001</td><td>Regulatory Enforcement Record System.</td></tr></table>
<p>(iv) Comptroller of the Currency:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>CC .100</td><td>Enforcement Action Report System.
</td></tr>
<tr><td>CC .110</td><td>Reports of Suspicious Activities.
</td></tr>
<tr><td>CC .120</td><td>Bank Fraud Information System.
</td></tr>
<tr><td>CC .220</td><td>Section 914 Tracking System.
</td></tr>
<tr><td>CC .500</td><td>Chief Counsel’s Management Information System.
</td></tr>
<tr><td>CC .510</td><td>Litigation Information System.
</td></tr>
<tr><td>CC .600</td><td>Consumer Complaint Inquiry and Information System.
</td></tr>
<tr><td>OTS .001</td><td>Confidential Individual Information System.
</td></tr>
<tr><td>OTS .004</td><td>Criminal Referral Database.</td></tr></table>
<p>(v) Bureau of Engraving and Printing:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>BEP .021</td><td>Investigative files.</td></tr></table>
<p>(vi) Financial Management Service.
</p>
<p>(vii) Internal Revenue Service:
</p><table><tr>
<th scope="col">Number</th> 
<th scope="col">System name
</th></tr>
<tr><td>IRS 00.002</td><td>Correspondence File-Inquiries about Enforcement Activities.
</td></tr>
<tr><td>IRS 00.007</td><td>Employee Complaint and Allegation Referral Records.
</td></tr>
<tr><td>IRS 00.334</td><td>Third Party Contact Reprisal Records.
</td></tr>
<tr><td>IRS 22.061</td><td>Wage and Information Returns Processing (IRP).
</td></tr>
<tr><td>IRS 24.047</td><td>Audit Underreporter Case Files.
</td></tr>
<tr><td>IRS 26.001</td><td>Acquired Property Records.
</td></tr>
<tr><td>IRS 26.006</td><td>Form 2209, Courtesy Investigations.
</td></tr>
<tr><td>IRS 26.012</td><td>Offer in Compromise (OIC) Files.
</td></tr>
<tr><td>IRS 26.013</td><td>One-hundred Per Cent Penalty Cases.
</td></tr>
<tr><td>IRS 26.019</td><td>TDA (Taxpayer Delinquent Accounts).
</td></tr>
<tr><td>IRS 26.020</td><td>TDI (Taxpayer Delinquency Investigations) Files.
</td></tr>
<tr><td>IRS 26.021</td><td>Transferee Files.
</td></tr>
<tr><td>IRS 34.037</td><td>IRS Audit Trail and Security Records System.
</td></tr>
<tr><td>IRS 37.007</td><td>Practitioner Disciplinary Records.
</td></tr>
<tr><td>IRS 37.009</td><td>Enrolled Agents Records.
</td></tr>
<tr><td>IRS 42.001</td><td>Examination Administrative File.
</td></tr>
<tr><td>IRS 42.002</td><td>Excise Compliance Programs.
</td></tr>
<tr><td>IRS 42.005</td><td>Whistleblower Office Records.
</td></tr>
<tr><td>IRS 42.008</td><td>Audit Information Management System (AIMS).
</td></tr>
<tr><td>IRS 42.016</td><td>Classification and Examination Selection Files.
</td></tr>
<tr><td>IRS 42.017</td><td>International Enforcement Program Files.
</td></tr>
<tr><td>IRS 42.021</td><td>Compliance Programs and Projects Files.
</td></tr>
<tr><td>IRS 42.031</td><td>Anti-Money Laundering/Bank Secrecy Act (BSA) and Form 8300 Records.
</td></tr>
<tr><td>IRS 44.001</td><td>Appeals Case Files.
</td></tr>
<tr><td>Treasury/IRS 46.050</td><td>Automated Information Analysis and Recordkeeping, Criminal Investigation.
</td></tr>
<tr><td>IRS 48.001</td><td>Disclosure Records.
</td></tr>
<tr><td>IRS 49.001</td><td>Collateral and Information Requests System.
</td></tr>
<tr><td>IRS 49.002</td><td>Component Authority and Index Card Microfilm Retrieval System.
</td></tr>
<tr><td>IRS 50.222</td><td>Tax Exempt Government Entities Case Management Records.
</td></tr>
<tr><td>IRS 60.000</td><td>Employee Protection System Records.
</td></tr>
<tr><td>IRS 90.001</td><td>Chief Counsel Management Information System Records.
</td></tr>
<tr><td>IRS 90.002</td><td>Chief Counsel Litigation and Advice (Civil) Records.
</td></tr>
<tr><td>IRS 90.004</td><td>Chief Counsel Legal Processing Division Records.
</td></tr>
<tr><td>IRS 90.005</td><td>Chief Counsel Library Records.</td></tr></table>
<p>(viii) U.S. Mint:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>Mint .008</td><td>Criminal investigation files.</td></tr></table>
<p>(ix) Bureau of the Public Debt:
</p><table><tr>
<th scope="col">Number </th>
<th scope="col">System name
</th></tr>
<tr><td>BPD.009</td><td>U.S. Treasury Securities Fraud Information System.</td></tr></table>
<p>(x) Financial Crimes Enforcement Network:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>FinCEN .001</td><td>FinCEN Database.
</td></tr>
<tr><td>FinCEN .002</td><td>Suspicious Activity Reporting System.
</td></tr>
<tr><td>FinCEN .003</td><td>Bank Secrecy Act Reports System.</td></tr></table>
<p>(2) The Department hereby exempts the systems of records listed in paragraphs (g)(1)(i) through (x) of this section from the following provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C. 552a(c)(3), 5 U.S.C. 552a(d)(1), (2), (3), (4), 5 U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
</p>
<p>(h) <i>Reasons for exemptions under 5 U.S.C. 552a(k)(2).</i> (1) 5 U.S.C. 552a(c)(3) requires an agency to make accountings of disclosures of a record available to the individual named in the record upon his or her request. The accountings must state the date, nature, and purpose of each disclosure of the record and the name and address of the recipient.
</p>
<p>(i) The application of this provision would impair the ability of the Department of the Treasury and of law enforcement agencies outside the Department to make effective use of information maintained by the Department. Making accountings of disclosures available to the subjects of an investigation would alert them to the fact that an agency is conducting an investigation into their illegal activities and could reveal the geographic location of the investigation, the nature and purpose of that investigation, and the dates on which that investigation was active. Individuals possessing such knowledge would be able to take measures to avoid detection or apprehension by altering their operations, by transferring their illegal activities to other geographical areas, or by destroying or concealing evidence that would form the basis for detection or apprehension. In the case of a delinquent account, such release might enable the subject of the investigation to dissipate assets before levy.
</p>
<p>(ii) Providing accountings to the subjects of investigations would alert them to the fact that the Department has information regarding their illegal activities and could inform them of the general nature of that information.
</p>
<p>(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f)(2), (3) and (5) grant individuals access to records pertaining to them. The application of these provisions to the systems of records would compromise the Department’s ability to utilize and provide useful tactical and strategic information to law enforcement agencies.
</p>
<p>(i) Permitting access to records contained in the systems of records would provide individuals with information concerning the nature of any current investigations and would enable them to avoid detection or apprehension by:
</p>
<p>(A) Discovering the facts that would form the basis for their detection or apprehension;
</p>
<p>(B) Enabling them to destroy or alter evidence of illegal conduct that would form the basis for their detection or apprehension, and
</p>
<p>(C) Using knowledge that investigators had reason to believe that a violation of law was about to be committed, to delay the commission of the violation or commit it at a location that might not be under surveillance.
</p>
<p>(ii) Permitting access to either on-going or closed investigative files would also reveal investigative techniques and procedures, the knowledge of which could enable individuals planning non-criminal acts to structure their operations so as to avoid detection or apprehension.
</p>
<p>(iii) Permitting access to investigative files and records could, moreover, disclose the identity of confidential sources and informants and the nature of the information supplied and thereby endanger the physical safety of those sources by exposing them to possible reprisals for having provided the information. Confidential sources and informants might refuse to provide investigators with valuable information unless they believed that their identities would not be revealed through disclosure of their names or the nature of the information they supplied. Loss of access to such sources would seriously impair the Department’s ability to carry out its mandate.
</p>
<p>(iv) Furthermore, providing access to records contained in the systems of records could reveal the identities of undercover law enforcement officers or other persons who compiled information regarding the individual’s illegal activities and thereby endanger the physical safety of those undercover officers, persons, or their families by exposing them to possible reprisals.
</p>
<p>(v) By compromising the law enforcement value of the systems of records for the reasons outlined in paragraphs (h)(2)(i) through (iv) of this section, permitting access in keeping with these provisions would discourage other law enforcement and regulatory agencies, foreign and domestic, from freely sharing information with the Department and thus would restrict the Department’s access to information necessary to accomplish its mission most effectively.
</p>
<p>(vi) Finally, the dissemination of certain information that the Department may maintain in the systems of records is restricted by law.
</p>
<p>(3) 5 U.S.C. 552a(d)(2), (3) and (4), (e)(4)(H), and (f)(4) permit an individual to request amendment of a record pertaining to him or her and require the agency either to amend the record, or to note the disputed portion of the record and to provide a copy of the individual’s statement of disagreement with the agency’s refusal to amend a record to persons or other agencies to whom the record is thereafter disclosed. Since these provisions depend on the individual having access to his or her records, and since these rules exempt the systems of records from the provisions of 5 U.S.C. 552a relating to access to records, these provisions should not apply to the systems of records for the reasons set out in paragraph (h)(2) of this section.
</p>
<p>(4) 5 U.S.C. 552a(e)(1) requires an agency to maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required by statute or executive order. The term "maintain," as defined in 5 U.S.C. 552a(a)(3), includes "collect" and "disseminate." The application of this provision to the system of records could impair the Department’s ability to collect, utilize and disseminate valuable law enforcement information.
</p>
<p>(i) In many cases, especially in the early stages of investigation, it may be impossible immediately to determine whether information collected is relevant and necessary, and information that initially appears irrelevant and unnecessary often may, upon further evaluation or upon collation with information developed subsequently, prove particularly relevant to a law enforcement program.
</p>
<p>(ii) Not all violations of law discovered by the Department analysts fall within the investigative jurisdiction of the Department of the Treasury. To promote effective law enforcement, the Department will have to disclose such violations to other law enforcement agencies, including State, local and foreign agencies that have jurisdiction over the offenses to which the information relates. Otherwise, the Department might be placed in the position of having to ignore information relating to violations of law not within the jurisdiction of the Department of the Treasury when that information comes to the Department’s attention during the collation and analysis of information in its records.
</p>
<p>(5) 5 U.S.C. 552a(e)(4)(G) and (f)(1) enable individuals to inquire whether a system of records contains records pertaining to them. Application of these provisions to the systems of records would allow individuals to learn whether they have been identified as suspects or subjects of investigation. As further described in the following paragraph, access to such knowledge would impair the Department’s ability to carry out its mission, since individuals could:
</p>
<p>(i) Take steps to avoid detection;
</p>
<p>(ii) Inform associates that an investigation is in progress;
</p>
<p>(iii) Learn the nature of the investigation;
</p>
<p>(iv) Learn whether they are only suspects or identified as law violators;
</p>
<p>(v) Begin, continue, or resume illegal conduct upon learning that they are not identified in the system of records; or
</p>
<p>(vi) Destroy evidence needed to prove the violation.
</p>
<p>(6) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a general notice listing the categories of sources for information contained in a system of records. The application of this provision to the systems of records could compromise the Department’s ability to complete or continue investigations or to provide useful information to law enforcement agencies, since revealing sources for the information could:
</p>
<p>(i) Disclose investigative techniques and procedures;
</p>
<p>(ii) Result in threats or reprisals against informants by the subjects of investigations; and
</p>
<p>(iii) Cause informants to refuse to give full information to investigators for fear of having their identities as sources disclosed.
</p>
<p>(i) <i>Specific exemptions under 5 U.S.C. 552a(k)(4).</i> (1) Under 5 U.S.C. 552a(k)(4), the head of any agency may promulgate rules to exempt any system of records within the agency from certain provisions of the Privacy Act if the system is required by statute to be maintained and used solely as statistical records. This paragraph applies to the following system of records maintained by the Department, for which exemption is claimed under 5 U.S.C. 552a(k)(4).
</p>
<p>Internal Revenue Service:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>IRS 70.001</td><td>Statistics of Income--Individual Tax Returns.</td></tr></table>
<p>(2) The Department hereby exempts the system of records listed in paragraph (i)(1) of this section from the following provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(4): 5 U.S.C. 552a(c)(3), 5 U.S.C. 552a(d)(1), (2), (3), and (4), 5 U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
</p>
<p>(3) The system of records is maintained under section 6108 of the Internal Revenue Code, which provides that "the Secretary or his delegate shall prepare and publish annually statistics reasonably available with respect to the operation of the income tax laws, including classifications of taxpayers and of income, the amounts allowed as deductions, exemptions, and credits, and any other facts deemed pertinent and valuable."
</p>
<p>(j) <i>Reasons for exemptions under 5 U.S.C. 552a(k)(4).</i> The reason for exempting the system of records is that disclosure of statistical records (including release of accounting for disclosures) would in most instances be of no benefit to a particular individual since the records do not have a direct effect on a given individual.
</p>
<p>(k) <i>Specific exemptions under 5 U.S.C. 552a(k)(5).</i> (1) Under 5 U.S.C. 552a(k)(5), the head of any agency may promulgate rules to exempt any system of records within the agency from certain provisions of the Privacy Act if the system is investigatory material compiled solely for the purpose of determining suitability, eligibility, and qualifications for Federal civilian employment or access to classified information, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence. Thus to the extent that the records in this system can be disclosed without revealing the identity of a confidential source, they are not within the scope of this exemption and are subject to all the requirements of the Privacy Act. This paragraph applies to the following systems of records maintained by the Department or one of its bureaus:
</p>
<p>(i) Treasury:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name</th>
</tr>
<tr><td>Treasury .007</td><td>Personnel Security System.</td></tr></table>
<p>(ii) Departmental Offices:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>DO .306</td><td>TIGTA Recruiting and Placement.</td></tr></table>
<p>(iii) Alcohol and Tobacco Tax and Trade Bureau.
</p>
<p>(iv) Comptroller of the Currency.
</p>
<p>(v) Bureau of Engraving and Printing.
</p>
<p>(vi) Financial Management Service.
</p>
<p>(vii) Internal Revenue Service:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>IRS 34.021</td><td>Personnel Security Investigations, National Background Investigations Center.
</td></tr>
<tr><td>IRS 34.022</td><td>Automated Background Investigations System (ABIS).
</td></tr>
<tr><td>IRS 90.006</td><td>Chief Counsel Human Resources and Administrative Records.</td></tr></table>
<p>(viii) U.S. Mint.
</p>
<p>(ix) Bureau of the Public Debt.
</p>
<p>(x) Financial Crimes Enforcement Network.
</p>
<p>(2) The Department hereby exempts the systems of records listed in paragraph (k)(1)(i) through (x) of this section from the following provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(5): 5 U.S.C. 552a(c)(3), 5 U.S.C. 552a(d)(1), (2), (3), and (4), 5 U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
</p>
<p>(l) <i>Reasons for exemptions under 5 U.S.C. 552a(k)(5).</i> (1) The sections of 5 U.S.C. 552a from which the systems of records are exempt include in general those providing for individuals’ access to or amendment of records. When such access or amendment would cause the identity of a confidential source to be revealed, it would impair the future ability of the Department to compile investigatory material for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information. In addition, the systems shall be exempt from 5 U.S.C. 552a(e)(1) which requires that an agency maintain in its records only such information about an individual as is relevant and necessary to accomplish a purpose of the agency required to be accomplished by statute or executive order. The Department believes that to fulfill the requirements of 5 U.S.C. 552a(e)(1) would unduly restrict the agency in its information gathering inasmuch as it is often not until well after the investigation that it is possible to determine the relevance and necessity of particular information.
</p>
<p>(2) If any investigatory material contained in the above-named systems becomes involved in criminal or civil matters, exemptions of such material under 5 U.S.C. 552a(j)(2) or (k)(2) is hereby claimed.
</p>
<p>(m) <i>Exemption under 5 U.S.C. 552a(k)(6).</i> (1) Under 5 U.S.C. 552a(k)(6), the head of any agency may promulgate rules to exempt any system of records that is testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal service the disclosure of which would compromise the objectivity or fairness of the testing or examination process. This paragraph applies to the following system of records maintained by the Department, for which exemption is claimed under 5 U.S.C. 552a(k)(6).
</p>
<p>Departmental Officers:
</p><table><tr>
<th scope="col">Number</th>
<th scope="col">System name
</th></tr>
<tr><td>DO .306</td><td>TIGTA Recruiting and Placement Records.</td></tr></table>
<p>(2) The Department hereby exempts the system of records listed in paragraphs (m)(1) of this section from the following provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(6): 5 U.S.C. 552a(c)(3), 5 U.S.C. 552a(d)(1), (2), (3), and (4), 5 U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
</p>
<p>(n) <i>Reasons for exemptions under 5 U.S.C. 552a(k)(6).</i> The reason for exempting the system of records is that disclosure of the material in the system would compromise the objectivity or fairness of the examination process.
</p>
<p>(o) <i>Exempt information included in another system.</i> Any information from a system of records for which an exemption is claimed under 5 U.S.C. 552a(j) or (k) which is also included in another system of records retains the same exempt status such information has in the system for which such exemption is claimed.
</p>
<p>[77 FR 28479, May 15, 2012, as amended at 77 FR 59548, Sept. 28, 2012; 79 FR 12944, Mar. 7, 2014]
</p><p><b>Appendix A to Subpart C of Part 1--Departmental Offices
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Departmental Offices as defined in 31 CFR part 1, subpart C, &#167; 1.20. It sets forth specific notification and access procedures with respect to particular systems of records, identifies the officers designated to make the initial determinations with respect to notification and access to records, the officers  designated to make the initial and appellate determinations with respect to requests for amendment of records, the officers designated to grant extensions of time on appeal, the officers with whom "Statement of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e)(4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the Departmental Offices, will be made by the head of the organizational unit having immediate custody of the records requested, or the delegate of such official. This information is contained in the appropriate system notice in the "Privacy Act Issuances", published annually by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for records should be addressed to:
</p>
<p>Privacy Act Request, DO, Director, Disclosure Services Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p>
<p>3. <i>Requests for amendments of records.</i> Initial determinations under 31 CFR 1.27(a) through (d) with respect to requests to amend records for records maintained by the Departmental Offices will be made by the head of the organization or unit having immediate custody of the records or the delegate of such official. Requests for amendment of records should be addressed as indicated in the appropriate system notice in "Privacy Act Issuances" published by the Office of the Federal Register. Requests for information and specific guidance on where to send these requests should be addressed to: Privacy Act Amendment Request, DO, Director, Disclosure Services Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p>
<p>4. <i>Administrative appeal of initial determination refusing to amend record.</i> Appellate determinations under 31 CFR 1.27(e) with respect to records of the Departmental Offices, including extensions of time on appeal, will be made by the Secretary, Deputy Secretary, Under Secretary, General Counsel, Special Inspector General for Troubled Assets Relief Program, or Assistant Secretary having jurisdiction over the organizational unit which has immediate custody of the records, or the delegate of such official, as limited by 5 U.S.C. 552a(d) (2) and (3). Appeals made by mail should be addressed as indicated in the letter of initial decision or to:
</p>
<p>Privacy Act Amendment Request,  DO, Director, Disclosure Services Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. 
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" as described in 31 CFR 1.27(e)(4) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the General Counsel of the Department of the Treasury or the delegate of such official and shall be delivered to the following location:
</p>
<p>General Counsel, Department of the Treasury, Room 3000, Main Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of systems of records required to be published by the Office of the Federal Register in the publication entitled "Privacy Act Issuances", as specified in 5 U.S.C. 552a (f). Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 and 8 of this appendix, and locations for access are indicated in the notice for the pertinent system.
</p>
<p>8. <i>Verification of identity.</i> An individual seeking notification or access to records, or seeking to amend a record, must satisfy one of the following identification requirements before action will be taken by the Departmental Offices on any such request:
</p>
<p>(i) An individual seeking notification or access to records in person, or seeking to amend a record in person, may establish identity by the presentation of a single official document bearing a photograph (such as a passport or identification badge) or by the presentation of two items of identification which do not bear a photograph but do bear both a name and signature (such as a driver’s license or credit card).
</p>
<p>(ii) An individual seeking notification or access to records by mail, or seeking to amend a record by mail, may establish identity by a signature, address, and one other identifier such as a photocopy of a driver’s license or other official document bearing the individual’s signature.
</p>
<p>(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph, an individual seeking notification or access to records by mail or in person, or seeking to amend a record by mail or in person, who so desires, may establish identity by providing a notarized statement, swearing or affirming to such individual’s identity and to the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining access to records under false pretenses.
</p>
<p>Notwithstanding subdivision (i), (ii), or (iii) of this subparagraph, a designated official may require additional proof of an individual’s identity before action will be taken on any request, if such official determines that it is necessary to protect against unauthorized disclosure of information in a particular case. In addition, a parent of any minor or a legal guardian of any individual will be required to provide adequate proof of legal relationship before such person may act on behalf of such minor or such individual.
</p>
<p>[52 FR 26305, July 14, 1987, as amended at 75 FR 745, Jan. 6, 2010]
</p><p><b>Appendix B to Subpart C of Part 1--Internal Revenue Service
</b></p>
<p>1. <i>Purpose.</i> The purpose of this section is to set forth the procedures that have been established by the Internal Revenue Service for individuals to exercise their rights under the Privacy Act of 1974 (88 Stat. 1896) with respect to systems of records maintained by the Internal Revenue Service, including the Office of the Chief Counsel. The procedures contained in this section are to be promulgated under the authority of 5 U.S.C. 552a(f). The procedures contained in this section relate to the following:
</p>
<p>(a) The procedures whereby an individual can be notified in response to a request if a system of records named by the individual contains a record pertaining to such individual (5 U.S.C. 552a(f)(1)).
</p>
<p>(b) The procedures governing reasonable times, places, and requirements for identifying an individual who requests a record of information pertaining to such individual before the Internal Revenue Service will make the record or information available to the individual (5 U.S.C. 552a (f)(2)).
</p>
<p>(c) The procedures for the disclosure to an individual upon a request of a record of information pertaining to such individual, including special procedures for the disclosure to an individual of medical records, including psychological records. (5 U.S.C. 552a (f)(3)).
</p>
<p>(d) The procedures for reviewing a request from an individual concerning the amendment of any record or information pertaining to the individual, for making a determination on the request, for an appeal within the Internal Revenue Service of an initial adverse agency determination, and for whatever additional means may be necessary for individuals to be able to exercise fully their right under 5 U.S.C. 552a (5 U.S.C. 552a (f)(4)).
</p>
<p>Any individual seeking to determine whether a system of records maintained by any office of the Internal Revenue Service contains a record or information pertaining to such individual, or seeking access to, or amendment of, such a record, must comply fully with the applicable procedure contained in paragraph (3) or (4) of this section before the Internal Revenue Service will act on the request. Neither the notification and access (or accounting of disclosures) procedures under paragraph (3) of this section nor the amendment procedures under paragraph (4) of this section are applicable to (i) systems of records exempted pursuant to 5 U.S.C. 552a (j) and (k), (ii) information compiled in reasonable anticipation of a civil action or proceeding (see 5 U.S.C. 552a (d)(5)), or (iii) information pertaining to an individual which is contained in, and inseparable from, another individual’s record.
</p>
<p>2. <i>Access to and amendment of tax records.</i> The provisions of the Privacy Act of 1974 may not be used by an individual to amend or correct any tax record. The determination of liability for taxes imposed by the Internal Revenue Service Code, the collection of such taxes, and the payment (including credits or refunds of overpayments) of such taxes are governed by the provisions of the Internal Revenue Service Code and by the procedural rules of the Internal Revenue Service. These provisions set forth the established procedures governing the determination of liability for tax, the collection of such taxes, and the payment (including credits or refunds of overpayments) of such taxes. In addition, these provisions set forth the procedures (including procedures for judicial review) for resolving disputes between taxpayers and the Internal Revenue Service involving the amount of tax owed, or the payment or collection of such tax. These procedures are the exclusive means available to an individual to contest the amount of any liability for tax or the payment or collection thereof. See, for example, 26 CFR 601.103 for summary of general tax procedures. Individuals are advised that Internal Revenue Service procedures permit the examination of tax records during the course of an investigation, audit, or collection activity. Accordingly, individuals should contact the Internal Revenue Service employee conducting an audit or effecting the collection of tax liabilities to gain access to such records, rather than seeking access under the provisions of the Privacy Act. Where, on the other hand, an individual desires information or records not in connection with an investigation, audit, or collection activity, the individual may follow these procedures.
</p>
<p>3. <i>Procedures for access to records</i>--(a) <i>In general.</i> This paragraph sets forth the procedure whereby an individual can be notified in response to a request if a system of records named by the individual which is maintained by the Internal Revenue Service contains a record pertaining to such individual. In addition, this paragraph sets forth the procedure for the disclosure to an individual upon a request of a record or information pertaining to such individual, including the procedures for verifying the identity of the individual before the Internal Revenue Service will make a record available, and the procedure for requesting an accounting of disclosures of such records. An individual seeking to determine whether a particular system of records contains a record or records pertaining to such individual and seeking access to such records (or seeking an accounting of disclosures of such records) shall make a request for notification and access (or a request for an accounting of disclosures) in accordance with the rules provided in paragraph 3(b) of this section.
</p>
<p>(b) <i>Form of request for notification and access or request for an accounting of disclosures.</i> (i) A request for notification and access (or request for an accounting of disclosures) shall be made in writing and shall be signed by the person making the request.
</p>
<p>(ii) Such request shall be clearly marked, "Request for notification and access," or "Request for accounting of disclosures."
</p>
<p>(iii) Such a request shall contain a statement that it is being made under the provisions of the Privacy Act of 1974.
</p>
<p>(iv) Such request shall contain the name and address of the individual making the request. In addition, if a particular system employs an individual’s social security number as an essential means of accessing the system, the request must include the individual’s social security number. In the case of a record maintained in the name of two or more individuals (e.g., husband and wife), the request shall contain the names, addresses, and social security numbers (if necessary) of both individuals.
</p>
<p>(v) Such request shall specify the name and location of the particular system of records (as set forth in the Notice of Systems) for which the individual is seeking notification and access (or an accounting of disclosures), and the title and business address of the official designated in the access section for the particular system (as set forth in the Notice of Systems). In the case of two or more systems of records which are under the control of the same designated official at the same systems location, a single request may be made for such systems. In the case of two or more systems of records which are not in the control of the same designated official at the same systems location, a separate request must be made for each such system.
</p>
<p>(vi) If an individual wishes to limit a request for notification and access to a particular record or records, the request should identify the particular record. In the absence of a statement to the contrary, a request for notification and access for a particular system of records shall be considered to be limited to records which are currently maintained by the designated official at the systems location specified in the request.
</p>
<p>(vii) If such request is seeking notification and access to material maintained in a system of records which is exempt from disclosure and access under 5 U.S.C. 552a (k)(2), the individual making the request must establish that such individual has been denied a right, privilege, or benefit that such individual would otherwise be entitled to under Federal law as a result of the maintenance of such material.
</p>
<p>(viii) Such request shall state whether the individual wishes to inspect the record in person, or desires to have a copy made and furnished without first inspecting it. If the individual desires to have a copy made, the request must include an agreement to pay the fee for duplication ultimately determined to be due. If the individual does not wish to inspect a record, but merely wishes to be notified whether a particular system or records contains a record pertaining to such individual, the request should so state.
</p>
<p>(c) <i>Time and place for making a request.</i> A request for notification and access to records under the Privacy Act (or a request for accounting of disclosures) shall be addressed to or delivered in person to the office of the official designated in the access section for the particular system of records for which the individual is seeking notification and access (or an accounting of disclosures). The title and office address of such official is set forth for each system of records in the Notice of Systems of Records. A request delivered to an office in person must be delivered during the regular office hours of that office.
</p>
<p>(d) Sample request for notification and access to records. The following are sample requests for notification and access to records which will satisfy the requirements of this paragraph:
</p><p><b>Request for Notification and Access to Records by Mail
</b></p>
<p>I, John Doe, of 100 Main Street, Boston, MA 02108 (soc. sec. num. 000-00-0000) request under the Privacy Act of 1974 that the following system of records be examined and that I be furnished with a copy of any record (or a specified record) contained therein pertaining to me. I agree that I will pay the fees ultimately determined to be due for duplication of such record. I have enclosed the necessary information.
</p>
<p>System Name:
</p>
<p>System Location:
</p>
<p>Designated Official:
</p>
<p>John Doe 
</p><p><b>Request for Notification and Access to Records in Person
</b></p>
<p>I, John Doe, of 100 Main Street, Boston, MA 02108 (soc. sec. num. 000-00-0000) request under the provisions of the Privacy Act of 1974, that the following system of records be examined and that I be granted access in person to inspect any record (or a specified record) contained therein pertaining to me. I have enclosed the necessary identification.
</p>
<p>System Name:
</p>
<p>System Location:
</p>
<p>Designated Official:
</p><p>
John Doe  
</p>
<p>(e) <i>Processing a request for notification and access to records or a request for an accounting of disclosures.</i> (i) If a request for notification and access (or request for an accounting of disclosures) omits any information which is essential to processing the request, the request will not be acted upon and the individual making the request will be promptly advised of the additional information which must be submitted before the request can be processed.
</p>
<p>(ii) Within 30 days (not including Saturdays, Sundays, and legal public holidays) after the receipt of a request for notification and access (or a request for an accounting of disclosures), to a particular system of records by the designated official for such system, a determination will be made as to whether the particular system of records is exempt from the notification and access provisions of the Privacy Act, and if such system is not exempt, whether it does or does not contain a record pertaining to the individual making the request. If a determination cannot be made within 30 days, the individual will be notified of the delay, the reasons therefor, and the approximate time required to make a determination. If it is determined by the designated official that the particular system of records is exempt from the notification and access provisions of the Privacy Act, the individual making the request will be notified of the provisions of the Privacy Act under which the exemption is claimed. On the other hand, if it is determined by the designated official that the particular system of records is not exempted from the notification and access provisions of the Privacy Act and that such system contains a record pertaining to the individual making the request, the individual will be notified of the time and place where inspection may be made. If an individual has not requested that access be granted to inspect the record in person, but merely requests that a copy of the record be furnished, or if it is determined by the designated official that the granting of access to inspect a record in person is not feasible in a particular case, then the designated official will furnish a copy of the record with the notification, or if a copy cannot be furnished at such time, a statement indicating the approximate time such copy will be furnished. If the request is for an accounting of disclosures from a system of records which is not exempt from the accounting of disclosure provisions of the Privacy Act, the individual will be furnished with an accounting of such disclosures.
</p>
<p>(f) <i>Granting of access.</i> Normally, an individual will be granted access to inspect a record in person within 30 days (excluding Saturdays, Sundays, and legal public holidays) after the receipt for a request for notification and access by the designated official. If access cannot be granted within 30 days, the notification will state the reasons for the delay and the approximate time such access will be granted. An individual wishing to inspect a record may be accompanied by another person of his choosing. Both the individual seeking access and the individual accompanying him may be required to sign a form supplied by the IRS indicating that the Service is authorized to disclose or discuss the contents of the record in the presence of both individuals. See 26 CFR 601.502 for requirements to be met by taxpayer’s representatives in order to discuss the contents of any tax records.
</p>
<p>(g) <i>Medical records.</i> When access is requested to medical records (including psychological records), the designated official may determine that release of such records will be made only to a physician designated by the individual to have access to such records.
</p>
<p>(h) <i>Verification of identity.</i> An individual seeking notification or access to records, or seeking to amend a record, must satisfy one of the following identification requirements before action will be taken by the IRS on any such request:
</p>
<p>(i) An individual seeking notification or access to records in person, or seeking to amend a record in person, may establish identity by the presentation of a single document bearing a photograph (such as a passport or identification badge) or by the presentation of two items of identification which do not bear a photograph but do bear both a name and signature (such as a driver’s license or credit card).
</p>
<p>(ii) An individual seeking notification or access to records by mail, or seeking to amend a record by mail, may establish identity by a signature, address, and one other identifier such as a photocopy of a driver’s license or other document bearing the individual’s signature.
</p>
<p>(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph, an individual seeking notification or access to records by mail or in person, or seeking to amend a record by mail or in person, who so desires, may establish identity by providing a notarized statement, swearing or affirming to such individual’s identity and to the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining access to records under false pretenses.
</p>
<p>(iv) Notwithstanding subdivisions (i), (ii), or (iii) of this subparagraph, a designated official may require additional proof of an individual’s identity before action will be taken on any request if such official determines that it is necessary to protect unauthorized disclosure of information in a particular case. In addition, a parent of any minor or a legal guardian of any individual will be required to provide adequate proof of legal relationship before such person may act on behalf of such minor or such individual.
</p>
<p>(i) <i>Fees.</i> The fee for costs required of the IRS in copying records pursuant to this paragraph is $0.15 per page. However, no fee will be charged if the aggregate costs required of the IRS in copying records is less than $3.00. If an individual who has requested access to inspect a record in person is denied such access by the designated official because it would not be feasible in a particular case, copies of such record will be furnished to the individual without payment of the fees otherwise required under this subparagraph. If the IRS estimates that the total fees for costs incurred in complying with a request for copies of records will amount to $50 or more, the individual making the request may be required to enter into a contract for the payment of the actual fees with respect to the request before the Service will furnish the copies requested. Payment of fees for copies of records should be made by check or money order payable to the Internal Revenue Service.
</p>
<p>4. <i>Procedures for amendment of records.</i> (a) In general. This paragraph sets forth the procedures for reviewing a request from an individual concerning the amendment of any record or information pertaining to such individual, for making a determination on the request, for making an appeal within the IRS of an initial adverse determination, and for judicial review of a final determination.
</p>
<p>(b) <i>Amendment of record.</i> Under 5 U.S.C. 552a(d)(2), an individual who has been granted access to a record pertaining to such individual may, after inspecting the record, request that the record be amended to make any correction of any portion thereof which the individual believes is not accurate, relevant, timely, or complete. An individual may seek to amend a record in accordance with the rules provided in paragraph (d)(3) of this section. See paragraph (b) of this section for prohibition against amendment of tax records.
</p>
<p>(c) <i>Form of request for amendment of record.</i> (i) A request for amendment of a record shall be in writing and shall be signed by the individual making the request.
</p>
<p>(ii) Such request shall be clearly marked "Request for amendment of record."
</p>
<p>(iii) Such request shall contain a statement that it is being made under the provisions of the Privacy Act of 1974.
</p>
<p>(iv) Such request shall contain the name and address of the individual making the request. In addition, if a particular system employs an individual’s social security number as an essential means of accessing the system, the request must include the individual’s social security number. In the case of a record maintained in the name of two or more individuals (e.g., husband and wife), the request shall contain the names, addresses, and social security numbers (if necessary) of both individuals.
</p>
<p>(v) Such request shall specify the name and location of the system of records (as set forth in the Notice of Systems) in which such record is maintained, and the title and business address of the official designated in the access section for such system (as set forth in the Notice of Systems).
</p>
<p>(vi) Such request shall specify the particular record in the system which the individual is seeking to amend.
</p>
<p>(vii) Such request shall clearly state the specific changes which the individual wishes to make in the record and a concise explanation of the reasons for the changes. If the individual wishes to correct or add any information, the request shall contain specific language making the desired correction or addition.
</p>
<p>(d) <i>Time and place for making request.</i> A request to amend a record under the Privacy Act shall be addressed to or delivered in person to the office of the official designated in the access section for the particular system of records. The title and office address of such official is set forth for each system of records in the Notice of Systems of Records. A request delivered to an office in person must be delivered during the regular office hours of that office.
</p>
<p>(e) <i>Processing a request for amendment of a record.</i> (i) Within 10 days (not including Saturdays, Sundays, and legal public holidays) after the receipt of a request to amend a record by the designated official, the individual will be sent a written acknowledgement that will state that the request has been received, that action is being taken thereon, and that the individual will be notified within 30 days (not including Saturdays, Sundays, and legal public holidays) after the receipt of the request whether the requested amendments will or will not be made. If a request for amendment of a record omits any information which is essential to processing the request, the request will not be acted upon and the individual making the request will be promptly advised on the additional information which must be submitted before the request can be processed.
</p>
<p>(ii) Within 30 days (not including Saturdays, Sundays, and legal public holidays) after the receipt of a request to amend a record by the designated official, a determination will be made as to whether to grant the request in whole or part. The individual will then be notified in writing of the determination. If a determination cannot be made within 30 days, the individual will be notified in writing within such time of the reasons for the delay and the approximate time required to make a determination. If it is determined by the designated official that the request will be granted, the requested changes will be made in the record and the individual will be notified of the changes. In addition, to the extent an accounting was maintained, all prior recipients of such record will be notified of the changes. Upon request, an individual will be furnished with a copy of the record, as amended, subject to the payment of the appropriate fees. On the other hand, if it is determined by the designated official that the request, or any portion thereof, will not be granted, the individual will be notified in writing of the adverse determination. The notification of an adverse determination will set forth the reasons for refusal to amend the record. In addition, the notification will contain a statement informing the individual of such individual’s right to request an independent review of the adverse determination by a reviewing officer in the national office of the IRS and the procedures for requesting such a review.
</p>
<p>(f) <i>Administrative review of adverse determination.</i> Under 5 U.S.C. 552a (d)(3), an individual who disagrees with the refusal of the agency to amend a record may, within 35 days of being notified of the adverse determination, request an independent review of such refusal by a reviewing officer in the national office of the IRS. The reviewing officer for the IRS is the Commission of Internal Revenue, the Deputy Commissioner, or an Assistant Commissioner. In the case of an adverse determination relating to a system of records maintained by the Office of General Counsel for the IRS, the reviewing officer is the Chief Counsel or his delegate. An individual seeking a review of an adverse determination shall make a request for review in accordance with the rules provided in paragraph (d)(7) of this section.
</p>
<p>(g) <i>Form of request for review.</i> (i) A request for review of an adverse determination shall be in writing and shall be signed by the individual making the request.
</p>
<p>(ii) Such request shall be clearly marked "Request for review of adverse determination".
</p>
<p>(iii) Such request shall contain a statement that it is being made under the provisions of the Privacy Act of 1974.
</p>
<p>(iv) Such request shall contain the name and address of the individual making the request. In addition, if a particular system employs an individual’s social security number as an essential means of accessing the system, the request must include the individual’s social security number. In the case of a record maintained in the name of two or more individuals (e.g. husband and wife), the request shall contain the names, addresses, and social security numbers (if necessary) of both individuals.
</p>
<p>(v) Such request shall specify the particular record which the individual is seeking to amend, the name and location of the system of records (as set forth in the Notice of Systems) in which such record is maintained, and the title and business address of the designated official for such system (as set forth in the Notice of Systems).
</p>
<p>(vi) Such request shall include the date of the initial request for amendment of the record, and the date of the letter notifying the individual of the initial adverse determination with respect to such request.
</p>
<p>(vii) such request shall clearly state the specific changes which the individual wishes to make in the record and a concise explanation of the reasons for the changes. If the individual wishes to correct or add any information, the request shall contain specific language making the desired correction or addition.
</p>
<p>(h) <i>Time and place for making the request.</i> A request for review of an adverse determination under the Privacy Act shall be addressed to or delivered in person to the Director, Office of Disclosure, Attention: OP:EX:D Internal Revenue Service, 1111 Constitution Avenue, NW, Washington, DC 20224. A request for review of an adverse determination will be promptly referred by the Director, Office of Disclosure to the appropriate reviewing officer for his review and final determination.
</p>
<p>(i) <i>Processing a request for review of adverse determination.</i> Within 30 days (not including Saturdays, Sundays, and legal public holidays) after the receipt of a request for review of an adverse determination by the appropriate reviewing officer, the reviewing officer will review the initial adverse determination, make a final determination whether to grant the request to amend the record in whole or in part, and notify the individual in writing of the final determination. If a final determination cannot be made within 30 days, the Commissioner of Internal Revenue may extend such 30-day period. The individual will be notified in writing within the 30 day period of the cause for the delay and the approximate time required to make a final determination. If it is determined by the reviewing officer that the request to amend the record will be granted, the reviewing officer will cause the requested changes to be made and the individual will be so notified. Upon request, an individual will be furnished with a copy of the record as amended subject to the payment of appropriate fees. On the other hand, if it is determined by the reviewing officer that the request to amend the record, or any portion thereof, will not be granted, the individual will be notified in writing of the final adverse determination. The notification of a final adverse determination will set forth the reasons for the refusal of the reviewing officer to amend the record. The notification shall include a statement informing the individual of the right to submit a concise statement for insertion in the record setting forth the reasons for the disagreement with the refusal of the reviewing officer to amend the record. In addition, the notification will contain a statement informing the individual of the right to seek judicial review by a United States district court of a final adverse determination.
</p>
<p>(j) <i>Statement of disagreement.</i> Under 5 U.S.C. 552a (d)(3), an individual who disagrees with a final adverse determination not to amend a record subject to amendment under the Privacy Act may submit a concise statement for insertion in the record setting forth the reasons for disagreement with the refusal of the reviewing officer to amend the record. A statement of disagreement should be addressed to or delivered in person to the Director, Office of Disclosure, Attention: OP:EX:D, Internal Revenue Service, 1111 Constitution Avenue, NW, Washington, DC 20224. The Director, Office of Disclosure will foward the statement of disagreement to the appropriate designated official who will cause the statement to be inserted in the individual’s record. Any such statement will be available to anyone to whom the record is subsequently disclosed and the prior recipients of the record will be provided with a copy of the statement of disagreement, to the extent an accounting of disclosures was maintained.
</p>
<p>(k) <i>Judicial review.</i> If, after a review and final determination on a request to amend a record by the appropriate reviewing officer, the individual is notified that the request will not be granted, or if, after the expiration of 30 days (not including Sundays, Saturdays, and legal public holidays) from the receipt of such request by the Director, Disclosure Operations Division, action is not taken thereon in accordance with the requirements of paragraph (d)(9) of this section, an individual may commence an action within the time prescribed by law in a U.S. District Court pursuant to 5 U.S.C. 552a (g)(1). The statute authorizes an action only against the agency. With respect to records maintained by the IRS, the agency is the Internal Revenue Service, not an officer or employee thereof. Service of process in such an action shall be in accordance with the Federal Rules of Civil Procedure (28 U.S.C. App.) applicable to actions against an agency of the United States. Where provided in such Rules, delivery of process upon the IRS must be directed to the Commissioner of Internal Revenue, Attention: CC:GLS, 1111 Constitution Avenue, NW, Washington, DC 20224. The district court will determine the matter de novo.
</p>
<p>5. <i>Records transferred to Federal Records Centers.</i> Records transferred to the Administrator of General Services for storage in a Federal Records Center are not used by the Internal Revenue Service in making any determination about any individual while stored at such location and therefore are not subject to the provisions of 5 U.S.C. 552a (e)(5) during such time.
</p><p><b>Appendix C to Subpart C of Part 1--United States Customs Service
</b></p>
<p>1. <i>In general.</i> This appendix applies to the United States Customs Service. It sets forth specific notification and access procedures with respect to particular systems of records, identifies the officer designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accounting of disclosures.</i> (a) For records which are maintained at the United States Customs Service Headquarters, initial requests for notification and access to records and accountings of disclosures under 31 CFR 1.26, should be mailed or personally delivered to the Director, Office of Regulations &amp; Rulings, U.S. Customs Service, 1301 Constitution Avenue NW., Washington, DC 20229. The official who has authority over the maintenance of the file will have the authority to grant or deny the request.
</p>
<p>(b) For records maintained at Regional Offices, initial requests for notification and access to records and accountings of disclosures under 31 CFR 1.26, should be mailed or personally delivered to the Regional Commissioner of Customs in whose region the records are located. This official shall have the authority to grant the request or deny the request. The appropriate location of the regional offices is specified in Customs Appendix A in "Privacy Act Issuances" published annually by the Office of the Federal Register.
</p>
<p>(c) Each request shall comply with the identification and other requirements set forth in 31 CFR 1.26, and in the appropriate system notice in the "Privacy Act Issuances" published annually by the Office of the Federal Register. Each request should be conspicuously labeled on the face of the envelope "Privacy Act Request".
</p>
<p>3. <i>Request for amendment of records.</i> (a) For records which are maintained at Customs Service Headquarters, initial requests for amendment of records under 31 CFR 1.27 (a) through (d) should be mailed or personally delivered to the Director, Office of Regulations &amp; Rulings, U.S. Customs Service, 1301 Constitution Avenue NW., Washington, DC 20229. The official who has authority over the maintenance of the file will have the authority to grant or deny the request.
</p>
<p>(b) For records not maintained at Customs Service Headquarters, initial requests for amendment of records under 31 CFR 1.27 (a) through (d) should be mailed or personally delivered to the Regional Commissioner of Customs in whose region the records are located. This official shall have the authority to grant or deny the request. A request directed to a Regional Commissioner should be mailed to or personally delivered at the appropriate location specified in Customs Appendix A in "Privacy Act Issuances" published annually by the Office of the Federal Register.
</p>
<p>(c) Each request shall comply with the identification and other requirements set forth in 31 CFR 1.27, and in the appropriate system notice in "Privacy Act Issuance published by the Office of the Federal Register. Each request should be conspicuously labeled on the face of the envelope "Privacy Act Amendment Request".
</p>
<p>4. <i>Administrative appeal of initial determination refusing to amend records.</i> Appellate determinations (including extensions of time on appeal under 31 CFR 1.27 (e) with respect to all Customs Service records will be made by the Director, Office of Regulations &amp; Rulings or the delegate of such official. All such appeals should be mailed or personally delivered to the United States Customs Service, Office of Regulations &amp; Rulings, 1301 Constitution Avenue NW., Washington, DC 20229. Each appeal should be conspicuously labeled on the face of the envelope "Privacy Act Amendment Appeal".
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" pursuant to 31 CFR 1.27 (e)(4)(i) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the Chief Counsel, United States Customs Service, 1301 Constitution Avenue NW., Washington, DC 20229.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of the United States Customs Service systems of records required to be published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f), is included in the publication entitled "Privacy Act Issuances".
</p>
<p>8. <i>Verification of identity.</i> Each request shall comply with the identification and other requirements set forth in 31 CFR 1.26 and in the appropriate system notice published by the Office of the Federal Register. Each request should be conspicuously labeled on the face of the envelope "Privacy Act Request".
</p><p><b>Appendix D to Subpart C of Part 1--United States Secret Service
</b></p>
<p>1. <i>In general.</i> This appendix applies to the United States Secret Service. It sets forth specific notification and access procedures with respect to particular systems of records including identification requirements, and time and places where records may be reviewed; identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the United States Secret Service, will be made by the Freedom of Information and Privacy Act Officer, United States Secret Service. Requests for notification should be made by mail or delivered personally between the hours of 9:00 a.m. and 5:30 of any day excluding Saturdays, Sundays, and legal holidays to: Privacy Act Request, Freedom of Information and Privacy Act Officer, United States Secret Service, Suite 3000, 950 H Street, NW., Washington, DC 20373-5802.
</p>
<p>a. <i>Identification requirements.</i> In addition to the requirements specified in 31 CFR 1.26, each request for notification, access or amendment of records made by mail shall contain the requesting individual’s date and place of birth and a duly notarized statement signed by the requester asserting his or her identity and stipulating that the requesting individual understands that knowingly or willfully seeking or obtaining access to records about another person under false pretences is punishable by a fine of up to $5,000.
</p>
<p>b. <i>Individuals making requests in person.</i> Individuals making requests in person will be required to exhibit acceptable identifying documents such as employee identification numbers, drivers licenses, medical cards or other documents sufficient to verify the identity of the requester.
</p>
<p>c. <i>Physical inspection of records.</i> Upon determining that a request for the physical inspection of records is to be granted, the requester shall be notified in writing of the determination, and when and where the requested records may be inspected. The inspection of records will be conducted at the Secret Service field office or other facility located nearest to the residence of the individual making the request. Such inspection shall be conducted during the regular business hours of the Secret Service Field Office or other facility where the disclosure is made. A person of his or her own choosing may accompany the individual making the request provided the individual furnishes a written statement authorizing the disclosure of that individual’s record in the accompanying person’s presence. Any disclosure of a record will be made in the presence of a representative of the United States Secret Service.
</p>
<p>3. <i>Requests for amendment of records.</i> Initial determination under 31 CFR part 1, whether to grant requests to amend records will be made by the Freedom of Information and Privacy Act Officer. Requests should be mailed or delivered personally between the hours of 9:00 a.m. and 5:30 p.m. to: Privacy Act Amendment Request, Freedom of Information and Privacy Acts Officer, United States Secret Service, Suite 3000, 950 H Street, NW., Washington, DC 20373-5802.
</p>
<p>4. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations, including extensions of time on appeal, with respect to records of the United States Secret Service will be made by the Deputy Director, United States Secret Service. Appeals may be mailed or delivered personally to: Privacy Act Amendment Appeal, Deputy Director, United States Secret Service, 950 H Street, NW., Suite 8300, Washington, DC 20373-5802. 
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreements" under 31 CFR 1.27 (e)(4)(i) shall be filed with the official signing of the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the United States Secret Service General Counsel and shall be delivered to the following location: General Counsel, United States Secret Service, Suite 8300, 950 H Street, NW., Washington, DC 20373-5802.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent system.
</p>
<p>[52 FR 26305, July 14, 1987, as amended at 66 FR 9959, Feb. 13, 2001]
</p><p><b>Appendix E to Subpart C of Part 1--Alcohol and Tobacco Tax and Trade Bureau
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Alcohol and Tobacco Tax and Trade Bureau. It sets forth specific notification and access procedures with respect to particular systems of records, identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(3), (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determination under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the Alcohol and Tobacco Tax and Trade Bureau, will be made by the Director, Regulations and Rulings Division, or the delegate of such officer. Requests may be mailed or delivered in person to:
</p>
<p>Privacy Act Request, Director, Regulations and Rulings Division, Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street, NW., Box 12, Washington, DC 20005. Requests may also be faxed to 202-453-2331.
</p>
<p>3. <i>Requests for amendment of record.</i> Initial determinations under 31 CFR 1.27 (a) through (d) with respect to requests to amend records maintained by the Alcohol and Tobacco Tax and Trade Bureau will be made by the Director, Regulations and Rulings Division. Requests for amendment of records may be mailed or delivered in person to:
</p>
<p>Privacy Act Request, Director, Regulations and Rulings Division, Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street NW., Box 12, Washington, DC 20005. Requests may also be faxed to 202-453-2331. The Bureau will process a faxed request when the request meets the identity verification requirements outlined in paragraph 4(a) of this Appendix.
</p>
<p>4. <i>Verification of identity.</i> (a) In addition to the requirements specified in 31 CFR 1.26(d) of this appendix, each request for notification, access or amendment of records made by mail or fax shall contain the requesting individual’s date and place of birth and a statement signed by the requester asserting his or her identity and stipulating that the requester understands that knowingly or willfully seeking or obtaining access to records about another person under false pretenses is a misdemeanor and punishable by a fine of up to $5,000 provided, that the Alcohol and Tobacco Tax and Trade Bureau may require a signed notarized statement verifying the identity of the requester.
</p>
<p>(b) Individuals making requests in person will be required to exhibit at least two acceptable identifying documents such as employee identification cards, driver’s license, medical cards, or other documents sufficient to verify the identity of the requester.
</p>
<p>(c) The parent or guardian of a minor or a person judicially determined to be incompetent, shall in addition to establishing the identity of the minor or other person he represents as required in (a) and (b), establish his own parentage or guardianship by furnishing a copy of a birth certificate showing parentage (or other satisfactory documentation) or a court order establishing the guardianship.
</p>
<p>5. <i>Request for physical inspection of records.</i> Upon determining that a request for the physical inspection of records is to be granted, the requester shall be notified in writing of the determination, and when and where the records may be inspected. The inspection of records will be made at the Alcohol and Tobacco Tax and Trade Bureau Field Office or other facility located nearest to the residence of the individual making the request. Such inspection shall be conducted during the regular business hours of the field office or other facility where the disclosure is made. A person of the requester’s own choosing may accompany the requester provided the requester furnishes a written statement authorizing the disclosure of the requester’s record in the accompanying person’s presence. The record inspection will be made in the presence of a representative of the Bureau. Following the inspection of the record, the individual will acknowledge in writing the fact that he or she had an opportunity to inspect the requested record.
</p>
<p>6. <i>Requests for copies of records without prior physical inspection.</i> Upon determining that an individual’s request for copies of his or her records without prior physical inspection is to be granted, the requester shall be notified in writing of the determination, and the location and time for his or her receipt of the requested copies. The copies will be made available at the Alcohol and Tobacco Tax and Trade Bureau field office or other facility located nearest to the residence of the individual making the request, unless the individual requests that the documents be sent by mail. Copies shall be received by the requester during the regular business hours of the field office or other facility where the disclosure is made. Transfer of the copies to the individual shall be conditioned upon payment of copying costs and his presentation of at least two acceptable identifying documents such as employee identification cards, driver’s license, medical cards, or other documents sufficient to verify the identity of the requester. Following the receipt of the copies in person, the individual will acknowledge receipt in writing.
</p>
<p>7. <i>Administrative appeal of initial determination refusing to amend record.</i> Appellate determinations under 31 CFR 1.27(e) with respect to records of the Alcohol and Tobacco Tax and Trade Bureau, including extensions of time on appeal, will be made by the Administrator or the delegate of such officer. Appeals should be addressed to, or delivered in person to:
</p>
<p>Privacy Act Amendment Appeal, Administrator, Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street, NW., Box 12, Washington, DC 20005.
</p>
<p>8. <i>Statements of disagreement.</i> "Statements of Disagreement" as described in 31 CFR 1.27(e)(4) shall be filed with the official signing the notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>9. <i>Service of process.</i> Service of process will be received by the Administrator of the Alcohol and Tobacco Tax and Trade Bureau or the delegate of such official and shall be delivered to the following location:
</p>
<p>Administrator, Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street, NW., Box 12, Washington, DC 20005, Attention: Chief Counsel.
</p>
<p>10. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for each pertinent system.
</p>
<p>[76 FR 62298, Oct. 7, 2011]
</p><p><b>Appendix F to Subpart C of Part 1--Bureau of Engraving and Printing
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Bureau of Engraving and Printing. It sets forth specific notification and access procedures with respect to particular systems of records including identification requirements, identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a (e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances."
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the Bureau of Engraving and Printing, will be made by the head of the organizational unit having immediate custody of the records requested, or the delegate of such official. Requests for access to records contained within a particular system of records should be submitted to the address indicated for that system in the access section of the notices published by the Office of the Federal Register in "Privacy Act Issuances." Requests for information and specific guidance should be addressed to: Privacy Act Request, Disclosure Officer (Executive Assistant to the Director), Room 104-18M, Bureau of Engraving and Printing, Washington, DC 20228.
</p>
<p>3. <i>Requests for amendment of records.</i> Initial determination under 31 CFR 1.27 (a) through (d), whether to grant request to amend records will be made by the head of the organizational unit having immediate custody of the records or the delegate of such official. Requests for amendment should be addressed as indicated in the appropriate system notice in "Privacy Act Issuances" published by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for amendment should be addressed to: Privacy Act Amendment Request, Disclosure Officer (Executive Assistant to the Director), Bureau of Engraving and Printing, Room 104-18M, Washington, DC 20228.
</p>
<p>4. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of records under 31 CFR 1.27(e) including extensions of time on appeal, with respect to records of the Bureau of Engraving and Printing will be made by the Director of the Bureau or the delegate of such officer. Appeals made by mail should be addressed to, or delivered personally to: Privacy Act Amendment Appeal, Disclosure Officer (Executive Assistant to the Director), Room 104-18M, Bureau of Engraving and Printing, Washington, DC 20228.
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" under 31 CFR 1.27(e)(4)(8) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the Chief Counsel of the Bureau of Engraving and Printing and shall be delivered to the following location: Chief Counsel, Bureau of Engraving and Printing, Room 109-M, 14th and C Streets, SW., Washington, DC 20228.
</p>
<p>7. <i>Verification of identity.</i> An individual seeking notification or access to records, or seeking to amend a record, or seeking an accounting of disclosures, must satisfy one of the following identification requirements before action will be taken by the Bureau of Engraving and Printing on any such request:
</p>
<p>(i) An individual appearing in person may establish identity by the presentation of a single document bearing a photograph (such as a passport or identification badge) or by the presentation of two items of identification which do not bear a photograph, but do bear both a name and signature (such as a credit card).
</p>
<p>(ii) An individual may establish identity through the mail by a signature, address, and one other identifier such as a photocopy of a driver’s license or other document bearing the individual’s signature.
</p>
<p>(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph, an individual who so desires, may establish identity by providing a notarized statement, swearing or affirming to such individual’s identity and to the fact that the individual understands the penalties provided in 5 U.S.C. 552a(1)(3) for requesting or obtaining access to records under false pretenses.
</p>
<p>Notwithstanding subdivision (i), (ii), or (iii) of this subparagraph, the Executive Assistant or other designated official may require additional proof of an individual’s identity before action will be taken on any request if such official determines that it is necessary to protect against unauthorized disclosure of information in a particular case. In addition, a parent of any minor or a legal guardian of any individual will be required to provide adequate proof of legal relationship before such person may act on behalf of such minor or such individual.
</p>
<p>8. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 522a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent system.
</p><p><b>Appendix G to Subpart C of Part 1--Financial Management Service
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Financial Management Service. It sets forth specific notification and access procedures with respect to particular systems of records, identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the Financial Management Service, will be made by the head of the organizational unit having immediate custody of the records requested or an official designated by this official. This is indicated in the appropriate system notice in "Privacy Act Issuances" published annually by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for records may be mailed or delivered personally to: Privacy Act Request, Disclosure Officer, Financial Management Service, Room 108, Treasury Department Annex No. 1, Pennsylvania Avenue and Madison Place, NW., Washington, DC 20226.
</p>
<p>3. <i>Requests for amendment of records.</i> Initial determination under 31 CFR 1.27(a) through (d), whether to grant requests to amend records will be made by the head of the organzational unit having immediate custody of the records or the delegate of such official. Requests for amendment should be addressed as indicated in the appropriate system notice in "Privacy Act Issuances" published by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for amendment should be addressed to: Privacy Act Amendment Request, Disclosure Officer, Financial Management Service, Department of the Treasury, Treasury Annex No. 1, Washington, DC 20226.
</p>
<p>4. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of records under 31 CFR 1.27(e) incuding extensions of time on appeal, with respect to records of the Financial Management Service will be made by the Commissioner or the delegate of such official. Appeals made by mail should be addressed to, or delivered personally to: Privacy Act Amendment Appeal Commissioner, Financial Management Service (Privacy), Department of the Treasury, Room 618, Treasury Annex No. 1, Pennsylvania Avenue and Madison Place, NW., Washington, DC 20226.
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" under 31 CFR 1.27(e)(4)(i) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the Commissioner, Financial Management Service or the delegate of such official and shall be delivered to the following location: Commissioner, Financial Management Service (Privacy), Department of the Treasury, Room 618, Treasury Annex No. 1, Pennsylvania Avenue and Madison Place, NW, Washington, DC 20226.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent system.
</p><p><b>Appendix H to Subpart C of Part 1--United States Mint
</b></p>
<p>1. <i>In general.</i> This appendix applies to the United States Mint. It sets forth specific notification and access procedures with respect to particluar systems of records, identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the United States Mint will be made by the head of the organizational unit having immediate custody of the records requested or an official designated by this official. This is indicated in the appropriate system notice in "Privacy Act Issuances" published annually by the Office of the Federal Register. Requests should be directed to the Superintendent or Officer in charge of the facility in which the records are located or to the Chief, Administrative Programs Division. Requests for information and specific guidance on where to send requests for records may be mailed or delivered personally to: Privacy Act Request, Chief, Administrative Programs Division, United States Mint, Judiciary Square Building, 633 3rd Street, N.W, Washington, DC 20220.
</p>
<p>3. <i>Requests for amendment of records.</i> Initial determination under 31 CFR 1.27 (a) through (d), whether to grant requests to amend records will be made by the head of the Mint installation having immediate custody of the records or the delegated official. Requests should be mailed or delivered personally to: Privacy Act Amendment Request, Freedom of Information and Privacy Acts Officer, United States Mint, Judiciary Square Building, 633 3rd Street, Washington, DC 20220.
</p>
<p>4. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of records under 31 CFR 1.27 including extensions of time on appeal, with respect to records of the United States Mint will be made by the Director of the Mint or the delegate of the Director. Appeals made by mail should be addressed to, or delivered personally to: Privacy Act Amendment Appeal, United States Mint, Judiciary Square Building, 633 3rd Street, NW, Washington, DC 20220.
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" under 31 CFR 1.27 (e)(4)(i) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the Director of the Mint and shall be delivered to the following location: Director of the Mint, Judiciary Square Building, 633 3rd street, NW., Washington, DC 20220.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent system.
</p><p><b>Appendix I to Subpart C of Part 1--Bureau of the Public Debt
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Bureau of the Public Debt. It sets forth specific notification and access procedures with respect to particular systems of records, identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officer designated to grant extension of time on appeal, the officers with whom "Statements of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the Bureau of Public Debt, will be made by the head of the organizational unit having immediate custody of the records requested or an official designated by this official. This is indicated in the appropriate system notice in "Privacy Act Issuances" published annually by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for records may be mailed or delivered personally to: Privacy Act Request, Disclosure Officer, Administrative Resource Center, Bureau of the Public Debt, Department of the Treasury, 200 Third Street, Room 211, Parkersburg, WV 26101-5312.
</p>
<p>3. <i>Requests for amendment of records.</i> Initial determination under 31 CFR 1.27 (a) through (d), whether to grant requests to amend records will be made by the head of the organizational unit having immediate custody of the records or the delegate of such official. Requests for amendment should be addressed as indicated in the appropriate system notice in "Privacy Act Issuances" published by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for amendment should be addressed to: Privacy Act Amendment Request, Disclosure Officer, Administrative Resource Center, Bureau of the Public Debt, Department of the Treasury, 200 Third Street, Room 211, Parkersburg, WV 26101-5312.
</p>
<p>4. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of records under 31 CFR 1.27(e) including extensions of time on appeal, with respect to records of the Bureau of the Public Debt will be made by the Executive Director, Administrative Resource Center, Bureau of the Public Debt or the delegate of such officer. Appeals made by mail should be addressed to, or delivered personally to: Privacy Act Amendment Appeal, Chief Counsel, Bureau of the Public Debt, Department of the Treasury, Executive Director, Administrative Resource Center, Bureau of the Public Debt.
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" under 31 CFR 1.27 (e)(4)(i) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the Chief Counsel of the Bureau of the Public Debt and shall be delivered to the following location: Chief Counsel, Bureau of the Public Debt, Department of the Treasury, 200 Third Street, Room G-15, Parkersburg, WV 26106-1328.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent system.
</p><p><b>Appendix J to Subpart C of Part 1--Office of the Comptroller of the Currency
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Office of the Comptroller of the Currency. It sets forth specific notification and access procedures with respect to particular systems of records, identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the intial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26 whether to grant requests for notification and access to records and accountings of disclosures for the Office of the Comptroller of the Currency will be made by the head of the organizational unit having immediate custody of the records requested or the delegate of that official. This is indicated in the appropriate system notice in "Privacy Act Issuances" published biennially by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for records shall be mailed or delivered personally to: Disclosure Officer, Communications Division, Office of the Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
</p>
<p>3. <i>Requests for amendment of records.</i> Initial determinations under 31 CFR 1.27 (a) through (d) whether to grant requests to amend records will be made by the Comptroller’s delegate or the head of the organizational unit having immediate custody of the records or the delegate of that official. Requests for amendment shall be mailed or delivered personally to: Disclosure Officer, Communications Division, Office of the Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219.
</p>
<p>4. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of records under 31 CFR 1.27(e) including extensions of time on appeal, with respect to records of the Office of the Comptroller of the Currency will be made by the Comptroller of the Currency or the Comptroller’s delegate. Appeals shall be mailed or delivered personally to: Disclosure Officer, Communications Division, Office of the Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219.
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" under 31 CFR 1.27(e)(4)(i) shall be filed with the OCC’s Director of Communications at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process shall be delivered to the Chief Counsel or the Chief Counsel’s delegate at the following location: Office of the Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent system.
</p>
<p>[52 FR 26305, July 14, 1987, as amended at 60 FR 57333, Nov. 15, 1995; 67 FR 34402, May 14, 2002]
</p><p><b>Appendix K to Subpart C of Part 1--Federal Law Enforcement Training Center
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Federal Law Enforcement Training Center. It sets forth specific notification and access procedures with respect to particular systems of records, identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosure of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register, in "Privacy Act Issuances".
</p>
<p>2. <i>Requests for notification and access to records and accounting of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and acess to records and accounting of disclosures for the Federal Law Enforcement Training Center, will be made by the head of the organizational unit having immediate custody of the records requested or an official designated by this official. This is indicated in the appropriate system notice in "Privacy Act Issuances" published annually by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for records may be mailed or delivered personally to: Privacy Act Request, Library Building 262, Federal Law Enforcement Training Center, Glynco, Georgia 31524.
</p>
<p>3. <i>Requests for amendment of records.</i> Initial determinations under 31 CFR 1.27 (a) through (d), whether to grant requests to amend records will be made by the head of the organizational unit having immediate custody of the records or the delegate of such official. Requests for amendment should be addressed as indicated in the appropriate system notice in "Privacy Act Issuances" published by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for amendment should be addressed to: Privacy Act Amendment Request, Federal Law Enforcement Training Center, Glynco, Georgia 31524.
</p>
<p>4. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of records under 31 CFR 1.27(e) including extensions of time on appeal, with respect to records of the Federal Law Enforcement Training Center will be made by the Assistant Secretary (Enforcement), Department of the Treasury or the delegate of such officer. Appeals made by mail should be addressed to, or delivered personally to: Privacy Act Amendment Appeal, FLETC, Assistant Secretary (Enforcement), Department of the Treasury, 1500 Pennsylvania Avenue, NW., Room 4312, Washington, DC 20220.
</p>
<p>5. <i>Statements of disagreement.</i> "Statements of Disagreement" under 31 CFR 1.27(e)(4)(i) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the General Counsel of the Department of the Treasury or the delegate of such official and shall be delivered to the following location: General Counsel, Department of the Treasury, Room 3000, Main Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
</p>
<p>7. <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances". Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent system.
</p>
<p>[52 FR 26305, July 14, 1987. Redesignated at 65 FR 2334, Jan. 14, 2000]
</p><p><b>Appendix L to Subpart C of Part 1--Office of Thrift Supervision
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Office of Thrift Supervision. It sets forth specific notification and access procedures with respect to particular systems of records, and identifies the officers designated to make the initial determinations with respect to notification and access to records, the officers designated to make the initial and appellate determinations with respect to requests for amendment of records, the officers designated to grant extensions of time on appeal, the officers with whom "Statement of Disagreement" may be filed, the officer designated to receive services of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published biennially by the Office of the Federal Register in "Privacy Act Issuances."
</p>
<p>2. <i>Requests for notification and access to records and accounting of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for the Office of Thrift Supervision, will be made by the head of the organizational unit having immediate custody of the records requested, or the delegate of such official. This information is contained in the appropriate system notice in the "Privacy Act Issuances," published biennially by the Office of the Federal Register. Requests for information and specific guidance on where to send requests for records should be addressed to: Privacy Act Request, Chief, Disclosure Branch, Information Services Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>Requests may be delivered in person to: Office of Thrift Supervision, Information Services Division, 1700 G Street, NW., Washington, DC.
</p>
<p>3. <i>Requests for amendments of records.</i> Initial determinations under 31 CFR 1.27 (a) through (d) with respect to requests to amend records maintained by the Office of Thrift Supervision will be made by the head of the organization or unit having immediate custody of the records or the delegates of such official. Requests for amendment of records should be addressed as indicated in the appropriate system notice in "Privacy Act Issuances" published by the Office of the Federal Register. Requests for information and specific guidance on where to send these requests should be addressed to: Privacy Act Amendment Request, Chief, Disclosure Branch, Information Services Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>Privacy Act Amendment Requests may be delivered in person to: Office of Thrift Supervision, Information Services Division, 1700 G Street, NW., Washington, DC.
</p>
<p>4. <i>Administrative appeal of initial determination refusing to amend record.</i> Appellate determination under 31 CFR 1.27(e) with respect to records of the Office of Thrift Supervision, including extensions of time on appeal, will be made by the Director, Public Affairs, Office of Thrift Supervision, or the delegate of such official, as limited by 5 U.S.C. 552a(d) (2) and (3). Appeals made by mail should be addressed as indicated in the letter of initial decision or to: Privacy Act Amendment Request, Chief, Disclosure Branch, Information Services Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>Appeals may be delivered in person to: Office of Thrift Supervision, Information Services Division, 1700 G Street, NW., Washington, DC.
</p>
<p>5. <i>Statements of Disagreement.</i> "Statements of Disagreement" as described in 31 CFR 1.27(e)(4) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of notification and should be limited to one page.
</p>
<p>6. <i>Service of process.</i> Service of process will be received by the Corporate Secretary of the Office of Thrift Supervision or the delegate of such official and shall be delivered to the following location: Corporate Secretary, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>7. <i>Annual notice of systems of record.</i> The annual notice of systems of records required to be published by the Office of the Federal Register is included in the publication entitled "Privacy Act Issuances," as specified in 5 U.S.C. 552a(f). Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 and (8) below, and locations for access are indicated in the notice for the pertinent system.
</p>
<p>8. <i>Verification of identity.</i> An individual seeking notification or access to records, or seeking to amend a record, must satisfy one of the following identification requirements before action will be taken by the Office of Thrift Supervision on any such request:
</p>
<p>(i) An individual seeking notification or access to records in person, or seeking to amend a record in person, may establish identity by the presentation of a single official document bearing a photograph (such as a passport or identification badge) or by the presentation of two items of identification which do not bear a photograph but do bear both a name and signature (such as a driver’s license or credit card).
</p>
<p>(ii) An individual seeking notification or access to records by mail, or seeking to amend a record by mail, may establish identity by a signature, address, and one other identifier such as a photocopy of a driver’s license or other official document bearing the individual’s signature.
</p>
<p>(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph, an individual seeking notification or access to records by mail or in person, or seeking to amend a record by mail or in person, who so desires, may establish identity by providing a notarized statement, swearing or affirming to such individual’s identity and to the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining access to records under false pretenses. Alternatively, an individual may provide a statement that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining access to records under false pretenses which is subscribed by the individual as true and correct under penalty of perjury pursuant to 28 U.S.C. 1746. Notwithstanding subdivision (i), (ii), or (iii) of this subparagraph, a designated official may require additional proof of an individual’s identity before action will be taken on any request, if such official determines that it is necessary to protect against unauthorized disclosure of information in a particular case. In addition, a parent of any minor or a legal guardian of any individual will be required to provide adequate proof of legal relationship before such person may act on behalf of such minor or such individual.
</p>
<p>[60 FR 31633, June 16, 1995. Redesignated at 65 FR 2334, Jan. 14, 2000]</p>
<p><b>Appendix M to Subpart C of Part 1 [Reserved]
</b></p><p><b>Appendix N to Subpart C of Part 1--Financial Crimes Enforcement Network 
</b></p>
<p>1. <i>In general.</i> This appendix applies to the Financial Crimes Enforcement Network (FinCEN). It sets forth specific notification and access procedures with respect to particular systems of records, and identifies the officers designated to make the initial determinations with respect to notification and access to records and accountings of disclosures of records. This appendix also sets forth the specific procedures for requesting amendment of records and identifies the officers designated to make the initial and appellate determinations with respect to requests for amendment of records. It identifies the officers designated to grant extensions of time on appeal, the officers with whom "Statements of Disagreement" may be filed, the officer designated to receive service of process and the addresses for delivery of requests, appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the information in the system required by 5 U.S.C. 552a(4) and (11) and published biennially by the Office of the Federal Register in "Privacy Act Issuances." 
</p>
<p>2. <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26, whether to grant requests for notification and access to records and accountings of disclosures for FinCEN will be made by the Freedom of Information/Privacy Act officer, FinCEN. Requests may be mailed to: Privacy Act Request, Financial Crimes Enforcement Network, Post Office Box 39, Vienna, VA 22183. 
</p>
<p>3. <i>Requests for amendments of records.</i> Initial determinations under 31 CFR 1.27(a) through (d) whether to grant requests to amend records maintained by FinCEN will be made by the Freedom of Information/Privacy Act officer, FinCEN. Requests may be mailed to: Privacy Act Request, Financial Crimes Enforcement Network, Post Office Box 39, Vienna, VA 22183. 
</p>
<p>4. <i>Verification of Identity.</i> An individual seeking notification or access to records, or seeking to amend a record, or seeking an accounting of disclosures, must satisfy one of the following identification requirements before action will be taken by FinCEN on any such request: 
</p>
<p>(i) An individual may establish identity through the mail by a signature, address, and one other identifier such as a photocopy of a driver’s license or other official document bearing the individual’s signature. 
</p>
<p>(ii) Notwithstanding this paragraph (4)(i), an individual may establish identity by providing a notarized statement, swearing or affirming to such individual’s identity and to the fact that the individual understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting or obtaining access to records under false pretenses.
</p>
<p>(iii) Notwithstanding this paragraph (4)(i) and (ii), the Freedom of Information Act/Privacy Act Officer or other designated official may require additional proof of an individual’s identity before action will be taken on any request, if such official determines that it is necessary to protect against unauthorized disclosure of information in a particular case. In addition, a parent of any minor or a legal guardian of any individual will be required to provide adequate proof of legal relationship before such person may act on behalf of such minor or such individual. 
</p>
<p>5. <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of records under 31 CFR 1.27(e) including extensions of time on appeal with respect to the records of FinCEN will be made by the Director of FinCEN or the delegate of the Director. Appeals should be addressed to: Privacy Act Amendment Appeal, Financial Crimes Enforcement Network, Post Office Box 39, Vienna, VA 22183. 
</p>
<p>6. <i>Statements of Disagreement.</i> "Statements of Disagreement" as described in 31 CFR 1.27(e)(4) shall be filed with the official signing the notification of refusal to amend at the address indicated in the letter of notification within 35 days of the date of such notification and should be limited to one page. 
</p>
<p>7. <i>Service of Process.</i> Service of process will be received by the Chief Counsel of FinCEN and shall be delivered to the following location: Office of Chief Counsel, Financial Crimes Enforcement Network, Post Office Box 39, Vienna, VA 22183. 
</p>
<p>8. <i>Biennial notice of systems of records.</i> The biennial notice of systems of records is published by the Office of the Federal Register, as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuances." Any specific requirements for access, including identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 and paragraph 4 of this appendix are indicated in the notice for the pertinent system.
</p>
<p>[68 FR 55311, Sept. 25, 2003]</p>
	</xhtmlContent>
</regulationsPart>
</regulationsTitle>
</regulations>

<regulations id="reg2" toc="yes">
<regulationsTitle number="31">
<heading> Money and Finance: Treasury </heading>
<regulationsChapter number="II">
<heading> Fiscal Service </heading>
<regulationsPart number="323">
<heading> DISCLOSURE OF RECORDS </heading>
<xhtmlContent>
<p>Sec.
</p>
<p>323.1 Purpose of regulations.
</p>
<p>323.2 Rules governing availability of information.
</p>
<p>323.3 Materials available for inspection and copying.
</p>
<p>323.4 Requests for identifiable records.
</p>
<p>323.5 Fees.
</p>
<p><b>Authority:</b> 80 Stat. 379; sec. 3, 60 Stat. 238, as amended; 5 U.S.C. 301, 552.
</p>
<p><b>Source:</b> 32 FR 9967, July 7, 1967, unless otherwise noted.
</p>
<p><b>&#167; 323.1
 Purpose of regulations.
</b></p>
<p>The regulations of this part are issued to implement 5 U.S.C. 552(a) (2) and (3). The requirements of 5 U.S.C. 552(a)(1) are met
through the publication in the <i>Federal Register</i> of the statement of the organization, functions and procedures available of the Fiscal
Service, including the Bureau of the Public Debt, and revisions thereof, and through the publication therein of substantive and procedural
regulations of the Bureau. A synopsis of the statements of Bureau organization, functions and procedures available will be published annually
by the Office of the Federal Register in the U.S. Government Organization Manual.
</p>
<p><b>&#167; 323.2
 Rules governing availability of information.
</b></p>
<p>(a) <i>General.</i> The records of the Bureau of the Public Debt required by 5 U.S.C. 552 to be made available to the public shall be
made available in accordance with the regulations on the Disclosure of Records of the Office of the Secretary issued under 5 U.S.C. 552 and
published as part I of title 31 of the Code of Federal Regulations, 32 FR 9562, July 1, 1967, except as specifically provided in this part.
</p>
<p>(b) <i>Limitations on the availability of records relating to securities.</i> Records relating to the purchase, ownership of, and
transactions in Treasury securities or other securities handled by the Bureau of the Public Debt for government agencies or wholly or
partially Government-owned corporations will ordinarily be disclosed only to the owners of such securities, their executors, administrators or
other legal representatives or to their survivors or to investigative and certain other agencies of the Federal and State governments, to
trustees in bankruptcy, receivers of insolvents’ estates or where a proper order has been entered requesting disclosure of information to
Federal and State courts. These records are confidential because they relate to private financial affairs of the owners under this Part. In
addition, the information falls within the category of "personnel and medical files and similar files the disclosure of which would constitute
a clearly unwarranted invasion of personal privacy" under the Freedom of Information Act (FOIA), 5 U.S.C. 552(b)(6). FOIA Exemption (b)(6)
protects the privacy of living persons who own securities as well as the close survivors of deceased owners. Privacy interests, in the sense
of the right to control, use, or disclose information about oneself, cease at death. However, the exemption protects the deceased person’s
family-related privacy interests that survive death where disclosure would cause embarrassment, pain, grief, or disrupt the peace of mind, of
the surviving family. The Bureau of the Public Debt will determine, under FOIA exemption (b)(6), whether disclosure of the records is in the
public interest by balancing the surviving family members’ privacy interest against the public’s right to know the information.
</p>
<p>[32 FR 9967, July 7, 1967, as amended at 68 FR 67944, Dec. 5, 2003]
</p>
<p><b>&#167; 323.3
 Materials available for inspection and copying.
</b></p>
<p>(a) <i>Availability.</i> The materials which are required under 5 U.S.C. 552(a)(2) to be made available for inspection and copying
are:
</p>
<p>(1) Final opinions or orders made in the adjudication of cases. Any issued by the Bureau of the Public Debt would be in the form of letters
or memorandums setting out determinations made in disposing of any matter before the Bureau.
</p>
<p>(2) Statements of policy and interpretations which have been adopted by the Bureau but not published in the <i>Federal Register</i>.
</p>
<p>(3) Administrative staff manuals and instructions to the staff that affect any member of the public. Some Federal Reserve Bank memorandums
and Public Debt memorandums will be made available under this provision.
</p>
<p>(b) <i>Location.</i> The materials listed in paragraph (a) of this section are available for inspection and copy during office hours in the
Public Reading Room of the Treasury Department, 15th Street and Pennsylvania Avenue NW., Washington, DC 20220.
</p>
<p><b>&#167; 323.4
 Requests for identifiable records.
</b></p>
<p>(a) <i>Procedure.</i> (1) A written request for an identifiable record relating to a U.S. savings bond or note shall be addressed to
the Deputy Commissioner, Bureau of the Public Debt, Chicago, IL 60605.
</p>
<p>(2) A request for an identifiable record relating to any Treasury Department security, other than a savings bond or note, or a security of
a Government agency or a wholly or partially Government-owned corporation, the record of which is maintained by the Bureau of the Public Debt,
shall be addressed to the Chief, Division of Loans and Currency, Bureau of the Public Debt, Washington, DC 20226.
</p>
<p>(3) A request for an identifiable record relating to any security of a Government agency or wholly or partially Government-owned
corporation, the record for which is maintained by the Federal Reserve Bank of New York, shall be addressed to the Federal Reserve Bank of New
York, New York, NY 10045.
</p>
<p>(4) A written request for any identifiable record that the Bureau of the Public Debt has other than those set out in paragraphs (a) (1),
(2), and (3) of this section shall be addressed to the Commissioner of the Public Debt, Washington, DC 20220.
</p>
<p>(5) A request may be presented in person at the office to which a written request would be addressed.
</p>
<p>(b) <i>Determination of availability.</i> Determination as to whether or not a requested record shall be disclosed will be made by the
Officer to whom the request should be directed under paragraph (a) of this section, and by the Bureau of Public Debt Information Officer for
requests directed to the Office of the Commissioner, subject to an appeal to the Commissioner of the Public Debt. The decision of the
Commissioner shall constitute final agency action unless he refers the appeal to the Fiscal Assistant Secretary, in which case the decision of
the Fiscal Assistant Secretary shall constitute final agency action.
</p>
<p><b>&#167; 323.5
 Fees.
</b></p>
<p>The fees provided in part 1 of title 31 of the CFR (32 FR 9562, July 1, 1967), shall apply to all requests for identifiable records
under this part except as follows:
</p>
<p>(a) No charge will be made for verifying the record of a savings bond or note identified by series and denomination and either the
registration and issue date or the serial number at the request of the owner, coowner, or surviving beneficiary or person entitled to the
security under the applicable regulations.
</p>
<p>(b) No charge will be made for verifying the record of a registered Treasury security, other than a savings bond or note, or a registered
security of a Government agency or a wholly or partially Government-owned corporation, identified as to loan and registration for an owner,
joint owner or person entitled to the security under the applicable regulations.
</p>
<p>(c) No charge will be made for advising a person who has submitted satisfactory evidence of ownership as to the status of a bearer Treasury
security or a bearer security of a Government agency or a wholly or partially Government-owned corporation.
</p>
<p>(d) No charge will be made for furnishing an owner, coowner, joint owner, surviving beneficiary, or person who is entitled to the security
under the applicable regulations a photocopy or similar reproduction of any Treasury security, with any necessary supporting documents, which
it is alleged was improperly paid or was reissued, transferred or redeemed on a forged or defective request, endorsement, or assignment.
</p>
<p>(e) Fees may be waived for other classes of requested records upon a finding by the Commissioner of the Public Debt that the person
requesting the information is entitled to the record requested without charge.
</p>

</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>

<regulations id="reg3" toc="yes">
<regulationsTitle number="12">
<heading> Banks and Banking </heading>
<regulationsChapter number="V">
<heading> Office of Thrift Supervision
</heading>
<regulationsPart number="503">
<heading> PRIVACY ACT </heading>
<xhtmlContent>
<p>Sec.
</p>
<p>503.1 Scope and procedures.
</p>
<p>503.2 Exemptions of records containing investigatory material compiled for law enforcement purposes.
</p>
<p><b>Authority:</b> 5 U.S.C. 552a; 12 U.S.C. 1462a, 1463, 1464.
</p>
<p><b>Cross Reference:</b> See 31 CFR part 1, subpart C.
</p>
<p><b>&#167; 503.1
 Scope and procedures.
</b></p>
<p>(a) <i>In general.</i> The Privacy Act regulations of the Department of the Treasury, 31 CFR part 1, subpart C, apply to the Office as
a component part of the Department of the Treasury. This part 503 sets forth, for the Office, specific notification and access procedures with
respect to particular systems of records, and identifies the officials designated to make the initial determinations with respect to
notification and access to records and accountings of disclosures of records. This part 503 also sets forth the specific procedures for
requesting amendment of records and identifies the officials designated to make the initial and appellate determinations with respect to
requests for amendment of records. It identifies the officials designated to grant extensions of time on appeal, the officials with whom
"Statements of Disagreement" may be filed, the official designated to receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice of systems of records and notices of the routine uses of the
information in the system required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the Office of the Federal Register in "Privacy
Act Issuances."
</p>
<p>(b) <i>Requests for notification and access to records and accountings of disclosures.</i> Initial determinations under 31 CFR 1.26,
whether to grant requests for notification and access to records and accountings of disclosures for the Office, will be made by the head of
the organizational unit having immediate custody of the records requested or an official designated by this official. This is indicated in the
appropriate system notice in "Privacy Act Issuances" published annually by the Office of the Federal Register. Requests for information and
specific guidance on where to send requests for records may be mailed or delivered personally to: Privacy Act Request, Manager, Dissemination
Branch, Information Management &amp; Services Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>(c) <i>Requests for amendment of records.</i> Initial determinations under 31 CFR 1.27(a) through (d), whether to grant requests to amend
records will be made by the head of the organizational unit having immediate custody of the records or the delegate of such official. Requests
for amendment should be addressed to: Privacy Act Amendment Request, Manager, Dissemination Branch, Information Management &amp; Services
Division, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>(d) <i>Administrative appeal of initial determinations refusing amendment of records.</i> Appellate determinations refusing amendment of
records under 31 CFR 1.27(e) including extensions of time on appeal, with respect to records of the Office will be made by the Director of the
Office of Thrift Supervision ("Director") or Chief Counsel or the delegate of the Director or Chief Counsel. Appeals made by mail should be
addressed to, or delivered personally to: Privacy Act Amendment Appeal, Deputy Chief Counsel for General Law, Office of Thrift Supervision,
1700 G Street, NW., Washington, DC 20552.
</p>
<p>(e) <i>Statements of disagreement.</i> "Statements of Disagreement" under 31 CFR 1.27(e)(4)(i) shall be filed with the Deputy Director for
Washington Operations at the address indicated in the letter of notification within 35 days of the date of such notification and should be
limited to one page.
</p>
<p>(f) <i>Service of process.</i> Service of process will be received by the Chief Counsel’s Office or the delegate of such official and shall
be delivered to the following location: Chief Counsel’s Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
</p>
<p>(g) <i>Annual notice of systems of records.</i> The annual notice of systems of records is published by the Office of the Federal Register,
as specified in 5 U.S.C. 552a(f). The publication is entitled "Privacy Act Issuance." Any specific requirements for access, including
identification requirements, in addition to the requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
</p>
<p>[54 FR 49443, Nov. 30, 1989, as amended at 59 FR 18475, Apr. 19, 1994; 64 FR 69184, Dec. 10, 1999]
</p>
<p><b>&#167; 503.2
 Exemptions of records containing investigatory material compiled for law enforcement purposes.
</b></p>
<p>(a) <i>Scope.</i> The Office has established a system of records, entitled the "Confidential Individual Information System." The
purpose of this system is to assist the Office in the accomplishment of its statutory and regulatory responsibilities in connection with
supervision of savings associations. This system will be exempt from certain provisions of the Privacy Act of 1974 for the reasons set forth
in paragraph (c) of this section.
</p>
<p>(b) <i>Exemptions Under 5 U.S.C. 552a(k)(2).</i> (1) Pursuant to 5 U.S.C. 552a(k)(2), the head of an agency may issue rules to exempt any
system of records within the agency from certain provisions of the Privacy Act of 1974 if the system contains investigatory material compiled
for law enforcement purposes.
</p>
<p>(2) Provisions of the Privacy Act of 1974 from which exemptions will be made under 5 U.S.C. 552a(k)(2) are as follows:
</p>
<p>(i) 5 U.S.C. 552a(c)(3);
</p>
<p>(ii) 5 U.S.C. 552a(d)(1), (d)(2), (d)(3), and (d)(4);
</p>
<p>(iii) 5 U.S.C. 552a(e)(1);
</p>
<p>(iv) 5 U.S.C. 552a(e)(4)(G), (e)(4)(H), and (e)(4)(I); and
</p>
<p>(v) 5 U.S.C. 552a(f).
</p>
<p>(c) <i>Reasons for exemptions under 5 U.S.C. 552a(k)(2).</i> (1) 5 U.S.C. 552a(c)(3) requires that an agency make accountings of
disclosures of records available to individuals named in the records at their request. These accountings must state the date, nature, and
purpose of each disclosure of a record and the name and address of the recipient. The application of this provision would make known to
subjects of an investigation that an investigation is taking place and that they are the subjects of it. Release of such information could
result in the alteration or destruction of documentary evidence, improper influencing of witnesses, and reluctance of witnesses to offer
information, and could otherwise impede or compromise an investigation.
</p>
<p>(2) 5 U.S.C. 552a(d)(1), (d)(2), (d)(3), and (d)(4), (e)(4)(G) and (e)(4)(H), and (f), relate to an individual’s right to be notified of
the existence of, and the right to examine, records pertaining to such individual. Notifying an individual at the individual’s request of the
existence of records and allowing the individual to examine an investigative file pertaining to such individual, or granting access to an
investigative file, could:
</p>
<p>(i) Interfere with investigations and enforcement proceedings;
</p>
<p>(ii) Constitute an unwarranted invasion of the personal privacy of others;
</p>
<p>(iii) Disclose the identity of confidential sources and reveal confidential information supplied by those sources; or
</p>
<p>(iv) Disclose investigative techniques and procedures.
</p>
<p>(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the categories of sources of records in each system. Application of this provision
could disclose investigative techniques and procedures and cause sources to refrain from giving such information because of fear of reprisal,
or fear of breach of promises of anonymity and confidentiality, thus compromising the agency’s ability to conduct investigations and to
identify, detect, and apprehend violators.
</p>
<p>(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its records only information about an individual that is relevant and necessary
to accomplish a purpose of the agency required by statute or Executive Order. Limiting the system as described would impede enforcement
activities because:
</p>
<p>(i) It is not always possible to determine the relevance or necessity of specific information in the early stages of an investigation; and
</p>
<p>(ii) In any investigation the Office may obtain information concerning violations of laws other than those within the scope of its
jurisdiction. In the interest of effective law enforcement, the Office should retain this information to aid in establishing patterns of
criminal activity, and to provide leads for those law enforcement agencies charged with enforcing criminal or civil laws.
</p>
<p>(d) <i>Documents exempted.</i> Exemptions will be applied only when appropriate under 5 U.S.C. 552a(k).
</p>
<p>[55 FR 31371, Aug. 2, 1990]</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>

