[Federal Register Volume 63, Number 242 (Thursday, December 17, 1998)]
[Notices]
[Pages 69716-69965]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-31632]
[[Page 69715]]
_______________________________________________________________________
Part II
Department of the Treasury
_______________________________________________________________________
Privacy Act of 1974; Republication of System of Records; Notices
Federal Register / Vol. 63, No. 242 / Thursday, December 17, 1998 /
Notices
[[Page 69716]]
DEPARTMENT OF THE TREASURY
Privacy Act of 1974: Systems of Records
Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a) and the Office
of Management and Budget (OMB) Circular No. A-130, the Department of
the Treasury has completed a review of its Privacy Act systems of
records notices to identify minor changes that will more accurately
describe these records.
Customs .067--Bank Secrecy Act Reports File, was transferred to
Departmental Offices (DO) due to change in organizational
responsibilities (published January 10, 1997, at 62 FR 1489). The
system was renamed and renumbered as ``Treasury/DO .213--Bank Secrecy
Act Reports System.'' The system retains the exemptions claimed in 31
CFR 1.36.
IRS 42.029--Audit Underreporter Case Files was renumbered as IRS
24.047 to reflect new ownership within the IRS, and IRS 26.013 was
renamed as ``Trust Fund Recovery Cases/One Hundred Percent Penalty
Cases.'' In addition, the IRS has added a ``Purpose(s)'' statement to
many of its notices.
Other changes throughout the document are editorial in nature and
consist principally of changes to system locations and system manager
addresses, retention and disposal schedules, revisions to
organizational titles and transfers of functions.
The following four systems of records have been added to the
Department of the Treasury's inventory of Privacy Act notices since
October 1, 1995:
Departmental Offices:
DO .212--Suspicious Activity Report System (SARS) (published 3/
26/97 at 62 FR 14532.)
Financial Management Service:
FMS .016--Payment Records for Other Than Regular Recurring
Benefit Payments (published 9/12/95 at 60 FR 47435.)
Internal Revenue Service:
IRS 00.003--Customer Feedback System (published 7/23/97, at 62
FR 39604.)
IRS 46.050--Automated Information Analysis System (published 9/
9/96 at 61 FR 47547.)
As a result of this review, 19 systems of records, identified
below, are being removed from Treasury's inventory of Privacy Act
systems:
Departmental Offices:
DO .062--Executive Inventory Files
DO .065--Appointment at Above the Minimum Rate of the Grade File
DO .067--Detailed Employee Files
DO .070--Automated Systems Division, ASD Project Recording
System
DO .205--Executive Information System (EIS)
U.S. Customs Service:
CS .014--Advice Requests (Legal) (Pacific Region)
CS .028--Baggage Declaration
CS .092--Exit Interview
CS .161--Optional Retirement List
CS .210--Revocation of I. D. Privileges and ``Cash Basis Only''
for Reimbursable Services List
CS .217--Set Off Files
CS .219--Skills Inventory Records
CS .220--Supervisory Notes and Files
CS .277--Drivers License File
Bureau of Engraving and Printing:
BEP .023--Motor Vehicle Licensing Records
Internal Revenue Service:
IRS 90.006--Former Chief Counsel Interpretative Case Files
Bureau of the Public Debt:
BPD .008--Savings Bonds Sales Promotion/Volunteer Record System
BPD .009--Savings Bond Sales Record System
Office of Thrift Supervision:
OTS .009 Health Files
The systems notices are reprinted in their entirety following the
Table of Contents.
Dated: November 19, 1998.
Shelia Y. McCann,
Deputy Assistant Secretary (Administration).
Table of Contents
Departmental Offices (DO)
DO .002--Treasury Integrated Management Information System (TIMIS)
DO .004--Personnel Security System
DO .005--Grievance Records
DO .007--General Correspondence Files
DO .010--Office of Domestic Finance, Actuarial Valuation System
DO .060--Correspondence Files and Records on Employee Complaints
and/or Dissatisfaction
DO .068--Time-In-Grade Exception Files
DO .111--Office of Foreign Assets Control Census Records
DO .114--Foreign Assets Control Enforcement Records
DO .118--Foreign Assets Control Licensing Records
DO .144--General Counsel Litigation Referral and Reporting System
DO .149--Foreign Assets Control Legal Files
DO .150--Disclosure Records
DO .156--Tax Court Judge Applicants
DO .183--Private Relief Tax Bill Files--Office of the Assistant
Secretary for Tax Policy
DO .190--General Allegations and Investigative Records
DO .191--OIG Management Information System
DO .193--Employee Locator and Automated Directory System
DO .194--Circulation System (formerly Document Delivery Control
System)
DO .196--Security Information System
DO .200--FinCEN Data Base
DO .201--Fitness Center Records
DO .202--Drug-Free Workplace Program Records
DO .203--Public Transportation Incentive Program Records
DO .206--Office Tracking System (OTS)
DO .207--Waco Administrative Review Group Investigation
DO .209--Personal Services Contracts (PSC)
DO .210--Integrated Financial Management and Revenue System
DO .211--Telephone Call Detail Records
DO .212--Suspicious Activity Reporting System (SARS)
DO .213--Bank Secrecy Act Reports System (formerly CS .067--Bank
Secrecy Act Reports File)
Bureau of Alcohol, Tobacco, and Firearms (ATF)
ATF .001--Administrative Record System
ATF .002--Correspondence Record System
ATF .003--Criminal Investigation Report System
ATF .005--Freedom of Information Requests
ATF .006--Internal Security Record System
ATF .007--Personnel Record System
ATF .008--Regulatory Enforcement Record System
ATF .009--Technical and Scientific Services Record System
Comptroller of the Currency (CC)
CC .004--Consumer Complaint Information System
CC .012--Freedom of Information Index and Log
CC .013--Enforcement and Compliance Information System
CC .014--Personnel Security/Investigation Files/Employee Applicant
Reference File
CC .015--Chain Banking Organizations System
CC .016--Litigation Information System
CC .221--Registration Records for Municipal and United States
Government Securities Dealers (formerly: Professional Qualification
Records for Municipal Securities Principals, Municipal Securities
Representatives, and U.S. Government Securities Associated Persons)
CC .300--Administrative Personnel System
CC .310--Financial System
CC .320--General Personnel System
CC .500--Chief Counsel's Management Information System
U.S. Customs Service (CS)
CS .001--Acceptable Level of Competence, Negative Determination
CS .002--Accident Reports
CS .005--Accounts Receivable
CS .009--Acting Customs Inspector (Excepted)
CS .021--Arrest/Seizure/Search Report and Notice of Penalty File
CS .022--Attorney Case File
CS .030--Bankrupt Parties-In-Interest
CS .031--Bills Issued Files
CS .032--Biographical Files (Headquarters)
CS .040--Carrier File
CS .041--Cartmen or Lightermen
CS .042--Case and Complaint File
CS .043--Case Files (Associate Chief Counsel--Gulf Customs
Management Center) (formerly Case Files (Regional Counsel--South
Central Region))
CS .044--Certificates of Clearance
CS .045--Claims Act File
[[Page 69717]]
CS .046--Claims Case File
CS .050--Community Leader Survey
CS .053--Confidential Source Identification File
CS .054--Confidential Statements of Employment and Financial
Interests
CS .056--Congressional and Public Correspondence File
CS .057--Container Station Operator Files
CS .058--Cooperating Individual Files
CS .061--Court Case File
CS .064--Credit Card File
CS .069--Customs Brokers File
CS .077--Disciplinary Action, Grievance and Appeal Case Files
CS .078--Disclosure of Information File
CS .081--Dock Passes
CS .083--Employee Relations Case Files
CS .096--Fines, Penalties and Forfeiture Control and Information
Retrieval System
CS .098--Fines, Penalties and Forfeitures Records
CS .099--Fines, Penalties and Forfeiture Records (Supplemental
Petitions)
CS .100--Fines, Penalties and Forfeiture Record (Headquarters)
CS .105--Former Employees
CS .109--Handicapped Employee File
CS .122--Information Received File
CS .123--Injury Notice
CS .125--Intelligence Log
CS .127--Internal Affairs Records System
CS .129--Investigations Record System
CS .133--Justice Department Case File
CS .136--All Liquidated Damage Penalty, and Seizure Cases; Prior
Violators
CS .137--List of Vessel Agents Employees
CS .138--Litigation Issue Files
CS .144--Mail Protest File
CS .148--Military Personnel and Civilian Employees' Claims Act File
CS .151--Motor Vehicle Accident Reports
CS .156--Narcotics Violator File
CS .159--Notification of Personnel Management Division when an
Employee is placed under investigation by the Office of Internal
Affairs
CS .162--Organization (Customs) and Automated Position Management
System (COAPMS)
CS .163--Outside Employment Requests
CS .165--Overtime Earnings
CS .170--Overtime Reports
CS .171--Pacific Basin Reporting Network
CS .172--Parking Permits File
CS .186--Personnel Search
CS .190--Personnel Case File
CS .193--Operating Personnel Folder Files
CS .196--Preclearance Costs
CS .197--Private Aircraft/Vessel Inspection Reporting System
CS .201--Property File, Non-Expendable
CS .206--Regulatory Audits of Customhouse Brokers
CS .207--Reimbursable Assignment/Workticket System (formerly:
Reimbursable Assignment System)
CS .208--Restoration of Forfeited Annual Leave Cases
CS .209--Resumes of Professional Artists
CS .211--Sanction List
CS .212--Search/Arrest/Seizure Report
CS .214--Seizure File
CS .215--Seizure Report File
CS .224--Suspect Persons Index
CS .226--Television System
CS .227--Temporary Importation Under Bond (TIB) Defaulter Control
System
CS .232--Tort Claims Act File
CS .234--Tort Claims Act File
CS .238--Training and Career Individual Development Plans
CS .239--Training Records
CS .244--Treasury Enforcement Communications System
CS .249--Uniform Allowance-Unit Record
CS .251--Unscheduled Overtime Report
CS .252--Valuables Shipped Under Government Losses in Shipment Act
CS .258--Violator's Case Files
CS .260--Warehouse Proprietor Files
CS .262--Warnings to Importers in Lieu of Penalty
CS .268--Military Personnel and Civilian Employees' Claim Act File
CS .269--Accounts Payable Voucher File
CS .270--Background-Record File on Non-Customs Employees
CS .271--Cargo Security Record System
CS .272--Currency Declaration File (Customs Form 4790)
CS .274--Importers, Brokers, Carriers, Individuals and Sureties
Master File
CS .278--Automated Commercial System (ACS)
CS .284--Personnel Verification System
CS .285--Automated Index to Central Investigative Files (formerly:
Automated Index to Central Enforcement Files)
Customs Appendix A
Bureau of Engraving and Printing (BEP)
BEP .002--Personal Property Claim File
BEP .004--Counseling Records
BEP .005--Compensation Claims
BEP .006--Debt Files (Employees)
BEP .014--Employee's Production Record
BEP .016--Employee Suggestions
BEP .020--Industrial Truck Licensing Records
BEP .021--Investigative Files
BEP .027--Programmable Access Security System (PASS)
BEP .035--Tort Claims (Against the United States)
BEP .038--Unscheduled Absence Record
BEP .040--Freedom of Information and Privacy Act Requests
BEP .041--Record of Discrimination Complaints
BEP .043--Parking Program Records
BEP .044--Personnel Security Files and Indices
BEP .045--Mail Order Sales Customer Files
BEP .046--Automated Mutilated Currency Tracking System
Federal Law Enforcement Training Center (FLETC)
FLETC .001--FLETC Payroll/Personnel Records System
FLETC .002--FLETC Trainee Records
FLETC .004--FLETC Administrative Employee Records
Financial Management Service (FMS)
FMS .001--Administrative Records
FMS .002--Payment Issue Records for Regular Recurring Benefit
Payments
FMS .003--Claims and Inquiry Records on Treasury Checks, and
International Claimants
FMS .005--FMS Personnel Records
FMS .007--Payroll and Pay Administration
FMS .008--Personnel Security Records
FMS .010--Records of Accountable Officers' Authority with Treasury
FMS .012--Pre-complaint Counseling and Complaint Activities
FMS .013--Gifts to the United States
FMS .014--Debt Collection Operations System
FMS .016--Payment Records for Other Than Regular Recurring Benefit
Payments
Internal Revenue Service (IRS)
IRS 00.001--Correspondence Files and Correspondence Control Files
IRS 00.002--Correspondence Files/Inquiries About Enforcement
Activities
IRS 00.003--Customer Feedback System
IRS 10.001--Biographical Files, Public Affairs
IRS 10.004--Subject Files, Public Affairs
IRS 21.001--Tax Administration Resources File, Office of Tax
Administration Advisory Services
IRS 22.003--Annual Listing of Undelivered Refund Checks
IRS 22.011--File of Erroneous Refunds
IRS 22.026--Form 1042S Index by Name of Recipient
IRS 22.027--Foreign Information System (FIS)
IRS 22.032--Individual Microfilm Retention Register
IRS 22.034--Individual Returns Files, Adjustments and Miscellaneous
Documents Files
IRS 22.043--Potential Refund Litigation Case Files
IRS 22.044--P.O.W.--M.I.A. Reference File
IRS 22.054--Subsidiary Accounting Files
IRS 22.059--Unidentified Remittance File
IRS 22.060--Automated Non-Master File (ANMF) (formerly Manual
Accounting Replacement Systems)
IRS 22.061--Individual Return Master File (IRMF) (formerly Wage and
Information Returns Processing (IRP) File)
IRS 24.013--Combined Account Number File, Taxpayer Services
(formerly Combined Account Number File, Returns Processing)
IRS 24.029--Individual Account Number File (IANF), Taxpayer Services
(formerly Individual Account Number (IANF), Returns Processing)
IRS 24.030--Individual Master File (IMF), Taxpayer Services
(formerly Individual Master File (IMF), Returns Processing)
IRS 24.046--Business Master File (BMF), Taxpayer Services (formerly
Business Master File (BMF), Returns Processing)
IRS 24.047--Audit Underreporter Case File (formerly IRS 42.029)
IRS 24.070--Debtor Master File (DMF)
IRS 26.001--Acquired Property Records
IRS 26.006--Form 2209, Courtesy Investigations
IRS 26.008--IRS and Treasury Employee Delinquency
IRS 26.009--Lien Files (Open and Closed)
IRS 26.010--Lists of Prospective Bidders at Internal Revenue Sales
of Seized Property
IRS 26.011--Litigation Case Files
IRS 26.012--Offer in Compromise (OIC) File
[[Page 69718]]
IRS 26.013--Trust Fund Recovery Cases/One Hundred Percent Penalty
Cases (formerly: One Hundred Percent Penalty Cases)
IRS 26.014--Record 21, Record of Seizure and Sale of Real Property
IRS 26.016--Returns Compliance Programs (RCP)
IRS 26.019--Taxpayer Delinquent Accounts (TDA) Files including
subsystems: (a) Adjustments and Payment Tracers Files,(b) Collateral
Files, (c) Seized Property Records, (d) Tax Collection Waiver, Forms
900, Files, and (e) Accounts on Child Support Obligations
IRS 26.020--Taxpayer Delinquency Investigation (TDI) Files
IRS 26.021--Transferee Files
IRS 26.022--Delinquency Prevention Programs
IRS 30.003--Requests for Printed Tax Materials Including Lists
IRS 30.004--Security Violations
IRS 34.003--Assignment and Accountability of Personal Property Files
IRS 34.005--Parking Space Application and Assignment
IRS 34.007--Record of Government Books of Transportation Requests
IRS 34.009--Safety Program Files
IRS 34.012--Emergency Preparedness Cadre Assignments and Alerting
Rosters Files
IRS 34.013--Identification Media Files System for Employees and
Others Issued IRS ID
IRS 34.014--Motor Vehicle Registration and Entry Pass Files
IRS 34.016--Security Clearance Files
IRS 34.018--Integrated Data Retrieval System (IDRS) Security Files
IRS 36.001--Appeals, Grievances and Complaints Records
IRS 36.002--Employee Activity Records
IRS 36.003--General Personnel and Payroll Records
IRS 36.005--Medical Records
IRS 36.008--Recruiting, Examining and Placement Records
IRS 36.009--Retirement, Life Insurance and Health Benefits Records
System
IRS 37.001--Abandoned Enrollment Applications
IRS 37.002--Files containing derogatory information about
individuals whose applications for enrollment to practice before the
IRS have been denied and Applicant Appeal Files
IRS 37.003--Closed Files Containing Derogatory Information About
Individuals' Practice Before the Internal Revenue Service and Files
of Attorneys and Certified Public Accountants Formerly Enrolled to
Practice
IRS 37.004--Derogatory Information (No Action)
IRS 37.005--Present Suspensions and Disbarments Resulting from
Administrative Proceedings
IRS 37.006--General Correspondence File
IRS 37.007--Inventory
IRS 37.008--Register of Docketed Cases and Applicant Appeals
IRS 37.009--Enrolled Agents and Resigned Enrolled Agents (Action
pursuant to 31 CFR, Section 10.55(b))
IRS 37.010--Roster of Former Enrollees
IRS 37.011--Present Suspensions from Practice Before the Internal
Revenue Service
IRS 38.001--General Training Records
IRS 42.001--Examination Administrative File
IRS 42.008--Audit Information Management System (AIMS)
IRS 42.013--Project Files for the Uniform Application of Laws as a
Result of Technical Determinations and Court Decisions
IRS 42.014--Internal Revenue Service Employees' Returns Control
Files
IRS 42.016--Classification/Centralized Files and Scheduling Files
IRS 42.017--International Enforcement Program Files
IRS 42.021--Compliance Programs and Projects Files
IRS 42.027--Data on Taxpayers Filing on Foreign Holdings
IRS 42.030--Discriminant Function File (DIF)
IRS 44.001--Appeals Case Files
IRS 44.003--Unified System for Time and Appeals Records (Unistar)
IRS 44.004--Art Case File
IRS 44.005--Expert Witness and Fee Appraiser Files
IRS 46.002--Criminal Investigation Management Information
IRS 46.003--Confidential Informants, Criminal Investigation Division
IRS 46.004--Controlled Accounts-Open and Closed
IRS 46.005--Electronic Surveillance File, Criminal Investigation
Division
IRS 46.009--Centralized Evaluation and Processing of Information
Items (CEPIIs), Evaluation and Processing of Information (EOI),
Criminal Investigation Division (formerly: Centralized Evaluation
and Processing of Information Items (CEPIIs), Criminal Investigation
Division
IRS 46.011--Illinois Land Trust Files, Criminal Investigation
Division
IRS 46.015--Relocated Witnesses, Criminal Investigation Division
IRS 46.016--Secret Service Details, Criminal Investigation Division
IRS 46.022--Treasury Enforcement Communications System (TECS),
Criminal Investigation Division
IRS 46.050--Automated Information Analysis System
IRS 48.001--Disclosure Records
IRS 48.008--Defunct Special Service Staff File Being Retained
Because of Congressional Directive
IRS 49.001--Collateral and Information Requests System
IRS 49.002--Tax Treaty Information Management System--Competent
Authority and Index Card--Microfilm Retrieval System
IRS 49.003--Financial Statements File
IRS 49.007--Overseas Compliance Projects System
IRS 49.008--Taxpayer Service Correspondence System
IRS 50.001--Employee Plans/Exempt Organizations Correspondence
Control Records (Form 5961)
IRS 50.003--Employee Plans/Exempt Organizations, Reports of
Significant Matters in Technical (M-5945)
IRS 60.001--Assault and Threat Investigation Files, Inspection
IRS 60.002--Bribery Investigation Files, Inspection
IRS 60.003--Conduct Investigation Files, Inspection
IRS 60.004--Disclosure Investigation Files, Inspection
IRS 60.005--Enrollee Applicant Investigation Files, Inspection
IRS 60.006--Enrollee Charge Investigation Files, Inspection
IRS 60.007--Miscellaneous Information File, Inspection
IRS 60.008--Security, Background, and Character Investigation Files,
Inspection
IRS 60.009--Special Inquiry Investigation Files, Inspection
IRS 60.010--Tort Investigation Files, Inspection
IRS 60.011--Internal Security Management Information System (ISMIS)
IRS 70.001--Individual Income Tax Returns, Statistics of Income
IRS 90.001--Chief Counsel Criminal Tax Case Files
IRS 90.002--Chief Counsel Disclosure Litigation Case Files
IRS 90.003--Chief Counsel General Administrative Systems
IRS 90.004--Chief Counsel General Legal Services Case Files
IRS 90.005--Chief Counsel General Litigation Case Files
IRS 90.007--Chief Counsel Legislation and Regulations Division,
Employee Plans and Exempt Organizations Division, and Associate
Chief Counsel (Technical and International) Correspondence and
Private Bill File
IRS 90.009--Chief Counsel Field Services Case Files
IRS 90.010--Digest Room Files Containing Briefs, Legal Opinions, and
Digests of Documents Generated Internally or by the Department of
Justice Relating to the Administration of the Revenue Laws
IRS 90.011--Attorney Recruiting Files
IRS 90.013--Legal Case Files of the Chief Counsel, Deputy Chief
Counsel, and Associate Chief Counsels (Litigation), (Domestic),
(International), and (Employee Benefits and Exempt Organizations)
IRS 90.015--Reference Records of the Library in the Office of Chief
Counsel
IRS 90.016--Counsel Automated Tracking System (CATS) Records
IRS 90.017--Correspondence Control and Records, Associate Chief
Counsel (Technical and International)
IRS 90.018--Expert Witness Library
IRS Appendix A
United States Mint (Mint)
Mint .001--Cash Receivable Accounting Information System
Mint .002--Current Employee Security Identification Record
Mint .003--Employee and Former Employee Travel and Training
Accounting Information System
[[Page 69719]]
Mint .004--Occupational Safety and Health, Accident and Injury
Records, and Claims for Injuries or Damage Compensation Records
Mint .005--Employee-Supervisor Performance Evaluation, Counseling,
and Time and Attendance Records
Mint .007--General Correspondence
Mint .008--Criminal Investigations Files
Mint .009--Mail order and catalogue sales system (MACS), customer
mailing list, order processing record for coin sets, medals and
numismatic items, and records of undelivered orders, product
descriptions, availability and inventory (formerly Numismatic Coin
Operations System (NUCOS) Records, Customer Mailing List, Order
Processing Record for Coin Sets, Medals and Numismatic Items, and
records of undelivered orders)
Mint .012--Grievances. Union/Agency Negotiated Grievances, Adverse
Performance Based Personnel Actions; Discrimination Complaints;
Third Party Actions
Bureau of the Public Debt (BPD)
BPD .001--Human Resources and Administrative Records (formerly:
Personnel and Administrative Records)
BPD .002--United States Savings Type Securities
BPD .003--United States Securities (Other than Savings Type
Securities)
BPD .004--Controlled Access Security System
BPD .005--Employee Assistance Records
BPD .006--Health Services Program Records
BPD .007--Gifts to Reduce the Public Debt
United States Secret Service (USSS)
USSS .001--Administrative Information System
USSS .002--Chief Counsel Record System
USSS .003--Criminal Investigation Information System
USSS .004--Financial Management Information System
USSS .005--Freedom of Information Request System
USSS .006--Non-Criminal Investigation Information System
USSS .007--Protection Information System
USSS .008--Public Affairs Record System
USSS .009--Training Information System
USSS Appendix A
Office of Thrift Supervision (OTS)
OTS .001--Confidential Individual Information System
OTS .002--Correspondence/Correspondence Tracking
OTS .003--Consumer Complaint
OTS .004--Criminal Referral Database
OTS .005--Employee Counseling Service
OTS .006--Employee Locator File
OTS .007--Employee Parking
OTS .008--Employee Training Database
OTS .010--Inquiry/Request Control
OTS .011--Positions/Budget
OTS .012--Payroll/Personnel Systems & Payroll Records
OTS .013--Personnel Security and Suitability Program
Systems Covered by This Notice
This notice covers all systems of records adopted up to September
30, 1998.
Departmental Offices
TREASURY/DO .002
SYSTEM NAME:
Treasury Integrated Management Information Systems (TIMIS)--
Treasury/DO.
SYSTEM LOCATION:
The system management staff of TIMIS is located at 740 15th Street
NW, Suite 400, Washington, DC 20005. The TIMIS processing site is
located at the United States Department of Agriculture National Finance
Center, 13800 Old Gentilly Road, New Orleans, LA 70129.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and historical payroll/personnel data of employees of all
Treasury bureaus and organizations, except the Office of Thrift
Supervision (OTS).
Categories of records in the system:
Information contained in the records of the TIMIS system include
such data as: (1) Employee identification and status data such as name,
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,
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) 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.
Authority for maintenance of the system:
The Office of Personnel Management Manual, 50 U.S.C. App. 1705-
1707; 31 U.S.C. and Departmental Circular 145 and 830. The Department
of the Treasury Fiscal Requirements Manual; 5 U.S.C. 301; FPM Letter
298-10, Office of Personnel Management; Federal Personnel Manual
(Chapter 713 Subchapter 3A).
Purpose(s):
The purposes of the system include, but are not limited to: (1)
Maintaining current and historical payroll records which 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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Furnish data to the Department of Agriculture, National Finance Center
(which provides payroll/personnel processing services for TIMIS under a
cross-servicing agreement) affecting the conversion of Treasury
employee payroll and personnel processing services to TIMIS; 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; (2) furnish the
Internal Revenue Service and other jurisdictions which are authorized
to tax the employee's 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, 5217, and 5520, for the purpose of
furnishing employees with Forms W-2 which report such tax
distributions; (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
[[Page 69720]]
applicable laws, Executive Orders, and regulations; (4) furnish another
Federal agency information 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 to debt collection agencies for
collection services; (5) 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 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; (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 relevant or
potentially relevant to a proceeding, or in connection with criminal
law proceedings; (7) disclose information to foreign governments in
accordance with formal or informal international agreements; (8)
provide information to a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (9)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relates to civil and criminal
proceedings; (10) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (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; (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; (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; (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 an indication of a violation or potential violation of civil,
or criminal law or regulation; (15) disclose information about
particular Treasury employees to requesting 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 (i.e.,
matching for delinquent loans or other indebtedness to the
government);( 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).
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Disclosures may be made pursuant to 5 U.S.C. 552a(b)(12) and
section 3 of the Debt Collection Act of 1982; 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 (Pub. L. 97-365), 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).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, microfiche, and hard copy. Disbursement records are
stored at the Federal Records Center.
RETRIEVABILITY:
Records are retrieved generally by social security number, position
identification number within a bureau and region, or employee name.
Secondary identifiers are used to assure accuracy of data accessed,
such as master record number or date of birth.
SAFEGUARDS:
Entrance 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 like sensitivity.
RETENTION AND DISPOSAL:
The current payroll and personnel system and the Treasury
Integrated Management Information Systems (TIMIS) master files are kept
on magnetic media. Information rendered to hard copy in the form of
reports and payroll information documentation is also retained in
automated magnetic 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 Directives Manual TD 25-02,
``Records Disposition Management Program.''
SYSTEM MANAGER(S) AND ADDRESS:
Director, Treasury Integrated Management Information Systems
(System Manager for TIMIS), 740 15th Street NW, Suite 400, Washington,
DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to be notified if they are identified in this
system, or to gain access to records maintained in the system, must
submit a written request containing the following elements: (1)
Identification of the record system; (2) identification of the category
and types of records sought; and (3) at least two items of secondary
identification (e.g. employee name and date of birth, employee
identification number, date of employment or similar information). The
individual's identity must be verified by one other identifier, such as
a photocopy of a driver's license or
[[Page 69721]]
other official document bearing the individual's signature.
Alternatively, a notarized statement may be provided. Address inquiries
to Assistant Director, Disclosure Services, Department of the Treasury,
1500 Pennsylvania Avenue, NW, Room 1054-MT, Washington, DC 20220.
RECORD ACCESS PROCEDURES:
See ``Notification procedure'' above.
CONTESTING RECORD PROCEDURES:
See ``Notification procedure'' above.
RECORD SOURCE CATEGORIES:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/DO .004
SYSTEM NAME:
Personnel Security System--Treasury/DO.
SYSTEM LOCATION:
For individuals in category (a), Room 3210 Treasury Annex, 1500
Pennsylvania Avenue, NW., Washington, DC 20220. For individuals in
category (b), Room 3020 Treasury Annex, 1500 Pennsylvania Avenue, NW,
Washington, DC 20220.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(a) Current and former senior officials of the Department and
Treasury bureaus, and those within the Department who are involved in
Personnel Security matters. (b) Current and former government employees
or applicants occupying or applying for sensitive positions in the
Department.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Background investigations, (2) FBI and other agency name
checks, and (3) investigative information relating to personnel
investigations conducted by the Department of the Treasury and other
Federal agencies and departments on preplacement and postplacement
basis to make suitability and employability determinations and for
granting security clearances. Card records comprised of Notice of
Personnel Security Investigation (TD F 67-32.2) or similar, previously
used card indexes, and an automated data system reflecting
identification data on applicants, incumbents and former employees, and
record type of E.O. 10450 investigations and degree and date of
security clearance, if any, as well as status of investigations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
E.O. 10450, Sections 2 and 3, E.O. 12958, and E.O. 12968.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to
disclose information to departmental officials or other Federal
agencies relevant to, or necessary for, making suitability or
employability retention or security clearance determinations.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders, index cards, and magnetic media.
Retrievability:
Records are retrieved by name.
Safeguards:
Records are stored in locked metal containers and in locked rooms.
They are limited to officials who have a need to know in the
performance of their official duties.
Retention and Disposal:
Active files are retained during incumbent tenure and are subject
to update personnel investigation. Files of employees who effect intra-
agency transfers (between Treasury bureaus) are automatically
transferred to the gaining bureaus. When an employee transfers to
another government agency or leaves the Federal government, files are
retained, separate from the active files, for no more than five years.
Background investigations completed by OPM may be returned to that
agency or destroyed. Card indexes are periodically updated to reflect
changes and maintained as long as needed.
System Manager(s) and Address:
Director of Security, Room 3210 Treasury Annex, 1500 Pennsylvania
Avenue, NW., Washington, DC 20220.
Notification Procedure:
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 Assistant Director,
Disclosure Services (see ``Record access procedures'' below).
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054 MT, 1500 Pennsylvania Avenue, NW, Washington, DC
20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), through (e)(4)(I), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5).
TREASURY/DO .005
SYSTEM NAME:
Grievance Records--Treasury/DO.
SYSTEM LOCATION:
These records are located in personnel or designated offices in the
bureaus in which the grievances were filed.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
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.
CATEGORIES OF RECORDS IN THE SYSTEM:
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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;
[[Page 69722]]
agency employees, for personal relief in a matter of concern or
dissatisfaction which is subject to the control of agency management.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used: (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; (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; (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; (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; (5) to disclose information to another
Federal agency or to a court when the Government is party to a judicial
proceeding before the court; (6) by the National Archives and Records
Administration in records management inspections conducted under
authority of 44 U.S.C. 2904 and 2908; (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; (8) to disclose
information to officials of the Merit Systems Protection Board,
including 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; (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 subpoena, or in connection
with criminal law proceedings; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
File folders.
RETRIEVABILITY:
By the names of the individuals on whom they are maintained.
SAFEGUARDS:
Lockable metal filing cabinets to which only authorized personnel
have access.
RETENTION AND DISPOSAL:
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.
SYSTEM MANAGER(S) AND ADDRESSES:
ATF (Alcohol, Tobacco and Firearms), Chief, Personnel Division, 650
Massachusetts Ave., NW., Washington, DC 20226.
Customs
Director, Office of Human Resources, Ronald Reagan Building, Room 2.4A,
1300 Pennsylvania Avenue, NW, Washington, DC 20229
E&P (Engraving and Printing), Chief, Office of Industrial Relations,
14th & C Streets, SW., Room 202-13A, E&P Annex, Washington, DC 20228
FLETC (Federal Law Enforcement Training Center), Personnel Officer,
Building 94, Room 1F-14, Glynco, GA 31524.
FMS (Financial Management Service), Director, Personnel Management
Division, Prince George Metro Center II, 3700 East West Hwy, Room 115-
F, Hyattesville, MD 20782
IRS (Internal Revenue Service), Director, Human Resources Division,
1111 Constitution Avenue, NW, Room 1408 IR, Washington, DC 20224
DO (Departmental Offices), Chief, Personnel Resources, Room 1316 MT,
1500 Pennsylvania Ave., NW., Washington, DC 20220
PD (Public Debt), Director, Personnel Management Division, 300 13th
Street, SW., Room 446-4, E&P Annex, Washington, DC 20239.
SS (Secret Service), Chief, Personnel Division, 1800 G Street, NW, Room
901, Washington DC 20223
Mint
Assistant Director for Human Resources, 633 3rd Street, NW, Room 147,
Washington, DC 20004
OCC (Office of Comptroller of the Currency), Director, Human Resources,
250 E Street, SW, Washington, DC 20219
OTS (Office of Thrift Supervision), Manager, Human Resources Branch,
2nd Floor, 1700 G Street, NW, Washington, DC 20552
Records pertaining to administrative grievances filed at the
Departmental level: Director, Office of Personnel Policy, Room 4150-
Annex, Pennsylvania Ave. at Madison Place, NW, Washington, DC 20220.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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.
CONTESTING RECORD PROCEDURES:
Review of requests from individuals seeking amendment of their
records
[[Page 69723]]
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 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.
RECORD SOURCE CATEGORIES:
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/DO .007
SYSTEM NAME:
General Correspondence Files--Treasury/DO.
SYSTEM LOCATION:
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:
Office of Foreign Assets Control
Office of Tax Policy
Office of the Assistant Secretary for International Affairs
Office of the Executive Secretariat
Office of Public Correspondence
Office of Legislative Affairs
Categories of individuals covered by the system:
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.
Categories of records in the system:
Incoming correspondence and replies pertaining to the mission,
function, and operation of the Department, tasking sheets, and internal
Treasury memorandum.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The manual systems and/or electronic databases (e.g., 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.
Routine uses of records maintained in the system including categories
of users and the purposes of such uses:
These records and information in these 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 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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (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; (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.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Paper records, file folders and magnetic media.
Retrievability:
By name of individual or letter number, address, assignment control
number, or organizational relationship.
Safeguards:
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.
Retention and Disposal:
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.
System Manager(s) and address:
Director, Office of Foreign Assets Control, U.S. Treasury
Department, Room 2233, Treasury Annex, 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
Freedom of Information Act Officer, Office of Tax Policy, U.S.
Treasury Department, Room 1041-MT, 1500 Pennsylvania Ave., NW,
Washington, DC 20220
Director, OASIA Secretariat, U.S. Treasury Department, Room 5422-
MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220
Office of the Executive Secretariat, U.S. Treasury Department, Room
3419-MT, Washington, DC 20220
Director, Office of Public Correspondence, U.S. Treasury
Department, Room 2124-MT, Washington, DC 20220
Director, Office of Legislative Affairs, U.S. Treasury Department,
Room 3132-MT, Washington, DC 20220
Notification Procedure:
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
[[Page 69724]]
Assistant Director, Disclosure Services (see ``Record access
procedures'' below).
Record Access Procedures: Assistant Director, Disclosure Services,
Department of the Treasury, Room 1054-MT, 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
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.
Exemptions Claimed for the System:
None.
TREASURY/DO .010
System name:
Office of Domestic Finance, Actuarial Valuation System--Treasury/
DO.
System location:
Departmental Offices, Office of Government Financing, Office of the
Government Actuary, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
Categories of individuals covered by the system:
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, United States Information Agency, Agency for
International Development, Peace Corps, and the Department of Commerce.
Categories of records in the system:
Information in the system is as follows: Active Records: Name;
social security number; salary; category-grade; year of entry into
system; service computation date; year of birth; year of resignation or
year of death, and refund if any; indication of LWOP status (if any);
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; single or married; spouse's year of birth;
principal's year of death; number of children on annuity roll;
children's years of birth and annuities.
Authority for maintenance of the system:
22 U.S.C. 1101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Data regarding specific individuals is released only to the
contributing agency for purposes of verification.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data are on computer tapes and computer printouts.
Retrievability:
Alphabetically.
Safeguards:
Records are stored in the Actuary's office. Access is restricted to
employees of the Office of the Government Actuary.
Retention and Disposal:
Records are retained on a year-to-year basis. When agencies whose
pension funds are valued forward new records for valuation, older
records are discarded.
System Manager(s) and Address:
The Government Actuary, Departmental Offices, 1500 Pennsylvania
Ave., NW, Washington, DC 20220.
Notification Procedure:
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 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 (see ``Record access procedures'' below).
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054-MT, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
Data for actuarial valuation are provided by organizations
responsible for pension funds listed under ``category of individual,''
namely the Department of State, Department of Agriculture, United
States Information Agency, Agency for International Development, Peace
Corps, and the Department of Commerce.
Exemptions Claimed for the System:
None.
TREASURY/DO .060
System name:
Correspondence Files and Records on Employee Complaints and/or
Dissatisfaction--Treasury/DO.
System location:
Office of Personnel Policy, Room 4150-Annex, Pennsylvania Avenue at
Madison Place, NW, Washington, DC 20220.
Categories of individuals covered by the system:
Former and current Department employees who have submitted
complaints to the Office of Personnel or whose correspondence
concerning a matter of dissatisfaction has been referred to the Office
of Personnel.
Categories of records in the system:
Correspondence dealing with former and current employee complaints.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (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; (2) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (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; (4) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, file cabinets.
[[Page 69725]]
Retrievability:
By bureau and employee name.
Safeguards:
Maintained in filing cabinet and released only to Office of
Personnel staff or other Treasury officials on a need-to-know basis.
Retention and Disposal:
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.
System manager(s) and address:
The Government Actuary, Departmental Offices, 1500 Pennsylvania
Ave., NW, Washington, DC 20220. Avenue at Madison Place NW, Washington,
DC 20220.
Notification Procedure:
Persons inquiring as to the existence of a record on themselves may
contact: Assistant Director, (Human Relations) Department of the
Treasury, Room 4150-Annex, Pennsylvania Avenue at Madison Place, NW,
Washington, DC 20220. The inquiry must include the individual's name
and employing bureau.
Record Access Procedures:
Persons seeking access to records concerning themselves may
contact: The Director, Office of Personnel Policy, Department of the
Treasury, Room 4150-Annex, Pennsylvania Avenue at Madison Place, NW,
Washington, DC 20220. The inquiry must include the individual's name
and employing bureau.
Contesting Record Procedures:
Individuals wishing to request amendment to their records to
correct factual error should contact the Director of Personnel 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.
Record Source Categories:
Current and former employees, and/or representatives, employees'
relatives, Congressmen, the White House, management officials.
Exemptions Claimed for the System:
None.
TREASURY/DO .068
System name:
Time-In-Grade Exception Files--Treasury/DO. System location: Room
1462-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
Persons employed by, or proposed for employment by, the Department
of the Treasury and for whom an exception to Time-In-Grade Restrictions
is sought.
Categories of records in the system:
A collection of documents required for approval of exceptions to
Time-In-Grade Requirements including: Request for Approval of Non-
Competitive Action (SF-59); Personal Qualifications Statement (SF-171);
Position Description (OF-8); and, in some instances, Request for
Personnel Action (SF-52); and memoranda of justification.
Authority for maintenance of the system:
5 U.S.C. 301, and 5 U.S.C. 1104.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from these records may be disclosed to (1) the Office
of Personnel Management for audit of exceptions granted, and (2) a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinet.
Retrievability:
Indexed by name in log and filed chronologically.
Safeguards:
Access is limited to authorized Treasury personnel and management
officials on a need-to-know basis.
Retention and Disposal:
Records are retained for 2 years and are destroyed by standard
destruction methods including burning.
System Manager(s) and Address:
Director, Personnel Resources, Room 1462-MT, 1500 Pennsylvania
Ave., NW, Washington, DC 20220.
Notification Procedure:
Director, Personnel Resources, Room 1316-MT, 1500 Pennsylvania
Ave., NW, Washington, DC 20220. The individual is required to provide
his/her name and the Treasury organizational assignment, position
title, grade/salary, and approximate date of the Time-In-Grade
exception requested.
Record Access Procedures:
Director, Personnel Resources Directorate, Room 1316-MT, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
The documents which constitute this system, and which are listed
under Categories of Records, came from the individual employee or
applicant, his servicing personnel office, and other concerned
management officials within the Department of the Treasury.
Exemptions Claimed for the System:
None.
TREASURY/DO .111
System name:
Office of Foreign Assets Control Census Records--Treasury/DO.
System location:
Office of Foreign Assets Control Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Although most reporters in the Census in this system of records are
not individuals, such censuses reflect some 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.
Categories of records in the system:
Reports of several censuses of U.S.-based, foreign-owned assets
which have been blocked at any time since 1940 under Treasury
Department regulations found under 31 CFR subpart B, chapter V.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 22 U.S.C. 2370(a); 50 U.S.C. 1701 et seq.;
and 31 CFR chapter V.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to appropriate state agencies which are concerned
with or responsible for abandoned property; (2) disclose information to
foreign governments in accordance with formal or informal international
agreements; (3) provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
[[Page 69726]]
the record pertains; (4) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (5) provide certain
information to appropriate senior foreign-policy-making officials in
the Department of State.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records stored on magnetic media and/or as hard copy documents.
Retrievability:
By name of holder or custodian or owner of blocked property.
Safeguards:
Locked room, or in locked file cabinets located in areas in which
access is limited to Foreign Assets Control employees. Computerized
records are password-protected.
Retention and Disposal:
Records are periodically updated and maintained as long as needed.
When no longer needed, records are retired to Federal Records Center or
destroyed in accordance with established procedures.
System Manager(s) and address:
Director, Office of Foreign Assets Control, Room 2233-Annex,
Department of the Treasury, NW, Washington, DC 20220.
Notification Procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in the system, 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 (See ``Record access Procedures'' below.)
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
Custodians or other holders of blocked assets.
Exemptions Claimed for the System:
None.
TREASURY/DO .114
System name:
Foreign Assets Control Enforcement Records--Treasury/DO.
System location:
Office of Foreign Assets Control, Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Individuals who have engaged in or who are suspected of having
engaged in transactions and activities prohibited by Treasury
Department regulations found at 31 CFR subpart B, chapter V.
Categories of records in the system:
Documents related to suspected or actual violations of relevant
statutes and regulations administered by the Office of Foreign Assets
Control.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 50 U.S.C. 1701 et seq.; 22 U.S.C. 287(c); 22
U.S.C. 2370(a); and 31, CFR, Chapter V; 100 Stat. 1086, as amended by
H.J. Res. 756, Pub. L. 99-631.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to appropriate Federal agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order or license; (2)
disclose information to a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's official functions; (3) 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 subpoena or in connection with
criminal law proceedings; (4) disclose information to foreign
governments in accordance with formal or informal international
agreements; (5) provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and magnetic media.
Retrievability:
By name of individual.
Safeguards:
Folders in locked file cabinets are located in areas of limited
accessibility. Computerized records are password-protected.
Retention and Disposal:
Records are periodically updated and are maintained as long as
necessary. When no longer needed, records are retired to Federal
Records Center or destroyed in accordance with established procedures.
System Manager(s) and Address:
Director, Office of Foreign Assets Control, Room 2233-Annex, U.S.
Treasury Department, Washington, DC 20220.
Notification Procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record Access Procedures:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
From the individual, from the Office of Foreign Assets Control
investigations, and from other federal, state or local agencies.
Exemptions Claimed for the System:
This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4), (G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2).
TREASURY/DO .118
System name:
Foreign Assets Control Licensing Records--Treasury/DO.
System location:
Office of Foreign Assets Control, Treasury Annex, Washington, DC
20220.
[[Page 69727]]
Categories of individuals covered by the system:
Applicants for permissive and authorizing licenses under Treasury
Department regulations found at 31 CFR subpart B, chapter V.
Categories of records in the System:
Applications for Treasury licenses--together with related and
supporting documentary material and copies of licenses issued.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 22 U.S.C. 2370(a); 22 U.S.C. 287(c); 50
U.S.C. 1701 et seq.; 31 CFR, chapter V; 100 Stat. 1086, as amended by
H.J. Res. 756, Pub. L. 99-631.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to 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; (2) disclose information to the Department of State,
Commerce, Defense or other federal agencies, in connection with
Treasury licensing policy or other matters of mutual interest or
concern; (3) disclose information to a Federal, State, or local agency,
maintaining civil, criminal or other relevant enforcement or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's official functions; (4) 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 in response to a subpoena or in connection with
criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and magnetic media.
Retrievability:
The records are retrieved by license or letter number.
Safeguards:
Folders in locked filed cabinets are located in areas of limited
accessibility. Computerized records are password-protected.
Retention and Disposal:
Records are periodically updated to reflect changes and maintained
as long as needed. When no longer needed, records are retired to
Federal Records Center or destroyed in accordance with established
procedures.
System manager(s) and address:
Director, Office of Foreign Assets Control, Room 2233-Annex,
Department of the Treasury, Washington, DC 20220.
Notification Procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in the system of
records, must submit a written request containing the following
elements: (1) Indentify 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 Assistant Director, Disclosure Services (See ``Record access
procedures'' below).
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
Applicants for Treasury Department licenses under regulations
administered by the Office of Foreign Assets Control.
Exemptions Claimed for the system:
None.
TREASURY/DO .144
System name:
General Counsel Litigation Referral and Reporting System--Treasury/
DO.
System location:
U.S. Department of the Treasury, Office of the General Counsel,
1500 Pennsylvania Avenue NW, Washington, DC 20220.
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (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; (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; (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; (4) disclose information to foreign
governments in accordance with formal or informal international
agreements; (5) provide information to 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; (7)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
[[Page 69728]]
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The computerized records are maintained in computer data banks and
printouts.
Retrievability:
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).
Safeguards:
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.
Retention and Disposal:
The computer information is maintained for up to ten years after a
record is created.
System Manager(s) and Address:
Associate General Counsel (Legislation, Litigation, and
Regulation), Office of the General Counsel, Department of the Treasury,
1500 Pennsylvania Ave., NW., Washington, DC 20220.
Notification Procedure:
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 Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054 MT, 1500 Pennsylvania Ave., NW., Washington, DC
20220.
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
Treasury Department Legal Division, Department of Justice Legal
Division.
Exemptions Claimed for the System:
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).
TREASURY/DO .149
System name:
Foreign Assets Control Legal Files--Treasury/DO.
System location:
U.S. Department of the Treasury, Room 3133-Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Persons who are or who have been parties in litigation involving
the Office of Foreign Assets Control or statutes and regulations
administered by the agency found at 31 CFR subpart B, chapter V.
Categories of records in the System:
Information and documents relating to litigation involving the
Office of Foreign Assets Control or statutes and regulations
administered by the agency.
Authority for maintenance of the system:
31 U.S.C. 301; 50 U.S.C. App. 5(b); 50 U.S.C. 1701 et seq; 22
U.S.C. 278(c); and other statutes relied upon by the President to
impose economic sanctions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Prosecute, defend, or intervene in litigation related to the Office of
Foreign Assets Control and statutes and regulations administered by the
agency; (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; (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; (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; (5)
provide information to a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Folders in file cabinets and magnetic media.
Retrievability:
By name of private plaintiff or defendant.
Safeguards:
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.
Retention and Disposal:
Records are periodically updated and maintained as long as needed.
System Manager(s) and Address:
Administrative Officer, Room 3006-MT, U.S. Treasury Department,
Washington, DC 20220.
Notification Procedure:
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 at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information).
Record Access Procedures:
Address inquiries to Assistant Director, Disclosure Services,
Department of the Treasury, Room 1054, 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
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 investigation;
material obtained pursuant to requests made to other Federal agencies;
orders, opinions, and decisions of courts.
Exemptions Claimed for the System:
None.
TREASURY/DO .150
System name:
Disclosure Records--Treasury/DO.
[[Page 69729]]
System location:
Departmental Offices, Department of the Treasury, 1500 Pennsylvania
Ave., NW, Washington DC 20220.
Categories of individuals covered by the system:
Individuals who have submitted requests for information to the
Departmental Offices or who have appealed initial denials to the
requests.
Categories of records in the system:
Requests for records or information pursuant to the Freedom of
Information Act, 5 U.S.C. 552, and/or the Privacy Act, 5 U.S.C. 552a,
internal processing documents, memoranda, and referrals are kept by the
Disclosure Office. Copies of requested records are kept by the program
office responsible for fulfilling the request.
Authority for maintenance of the system:
5 U.S.C. 552, 5 U.S.C. 552a, 31 CFR Part 1.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to other agencies when required for coordination
of response or referral; (2) disclose information to the Department of
Justice for defending law suits.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the System:
Storage:
Paper files, magnetic media.
Retrievability:
By name and case number.
Safeguards:
Stored in filing cabinets. Access limited to individuals with need
to know or legitimate right to review.
Retention and Disposal:
Retained in accordance with the provisions of the Departmental
records management procedures.
System Manager(s) and Address:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Deputy Assistant Secretary (Law Enforcement), Department of the
Treasury, Room 4414, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Freedom of Information Act Officer, Office of Tax Policy,
Department of the Treasury, Room 4028A-MT, 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
Notification Procedure:
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 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 at the above address.
Record Access Procedures:
See ``Notification procedure'' above.
Contesting Record Procedures:
See ``Notification procedure'' above.
Record Source Categories:
Individuals who make Freedom of Information Act requests, federal
officials responding to Freedom of Information Act requests, and
documents from official records.
Exemptions Claimed for the System:
None.
TREASURY/DO .156
System name:
Tax Court Judge Applicants--Treasury/DO.
System location:
Department of the Treasury, Office of the General Counsel, Room
3000 MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
Individuals requesting consideration for appointment to Tax Court
judgeships.
Categories of records in the system:
Information concerning the qualification of individuals for
appointment to the Tax Court.
Authority for maintenance of the system:
26 U.S.C. 7443.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from this system may be disclosed to the White House
with recommendations to the President on appointments to the Tax Court.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinets.
Retrievability:
By name of individual.
Safeguards:
The files are kept in locked cabinets with a limited number of
employees- permitted access.
Retention and Disposal:
The records relating to individuals are destroyed at the end of
each administration.
System Manager(s) and Address:
Administrative Officer, Office of the General Counsel, Room 3006-
MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Notification Procedure:
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; (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 (See ``Record access procedures'' below).
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054 MT, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
Individual concerned and letters of recommendation from other
individuals submitted at the request of the individual and/or the
Department.
Exemptions claimed for the Systems:
None.
TREASURY/DO .183
System name:
Private Relief Tax Bill Files--Office of the Assistant Secretary
for Tax Policy-Treasury/DO.
System location:
Room 4040-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
[[Page 69730]]
Categories of individuals covered by the system:
Individuals who have had private relief tax bills introduced in
Congress on their behalf.
Categories of records in the system:
Congressional Committee or OMB request for Treasury views on
proposed legislation, plus comments on proposal from offices or bureaus
of Treasury, plus the Internal Revenue Service data concerning the
issues involved and that unit's recommendation, and the report of the
Treasury on the Bill.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from this system may be disclosed to OMB and Congress.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File Folders.
Retrievability:
By bill numbers or name of person for whom relief is sought.
Safeguards:
Access limited to Tax Policy personnel.
Retention and Disposal:
Records are periodically updated to reflect changes and maintained
as long as needed until shipped to National Archives and Records
Administration.
System Manager(s) and Address:
Management Services, Office of Tax Policy, Room 1041-MT, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
Notification Procedure:
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 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 (See ``Record access procedures'' below).
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054-MT, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Contesting Record Procedures:
See ``Record access procedures'' above.
Record Source Categories:
Principally the Congress and the Internal Revenue Service.
Exemptions Claimed for the System:
None.
TREASURY/DO .190
System name:
General Allegations and Investigative Records--Treasury/DO.
System location:
Office of Inspector General (OIG), Assistant Inspector General for
Investigations, 1201 Constitution Avenue, NW, Washington, DC 20220;
Regional Inspectors General for Investigations in Washington, DC;
Houston, TX; Los Angeles, CA; and Chicago, IL; and Office of
Investigations field offices in New York, NY, and Glynco, GA. Addresses
may be obtained from the system manager.
Categories of individuals covered by the system:
(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 Department's rules of conduct, the
Office of Personnel Management merit system, 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 the Inspector General in the conduct of
assigned duties. (B) Individuals who are: Witnesses; complainants;
confidential or nonconfidential informants; suspects; defendants;
parties who have been identified by the Office of the Inspector
General, constituent units of the Department of Treasury, other
agencies, or members of the general public in connection with the
authorized functions of the Inspector General. (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.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal or administrative misconduct. (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.
Authority for maintenance of the system:
The Inspector General Act of 1978, as Amended, 5 U.S.C.A. App.3.
Purpose(s):
The records and information collected for and maintained in this
system are used to (a) receive allegations of violations of the
Department's rules of conduct, the Office of Personnel Management merit
system, or any other criminal or civil misconduct and to (b) prove or
disprove, to the extent possible, allegations which the OIG receives
that are made against Department of the Treasury employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice in connection with
actual or potential criminal prosecution or civil litigation; (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; (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 employee, or the
issuance of a security clearance, license, contract, grant, or other
benefit; (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
[[Page 69731]]
settlement negotiations in response to a subpoena or in connection with
criminal law proceedings; (5) provide information to 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; (7)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file jackets are maintained in a secured locked
room. Also, magnetic media maintained on the case tracking systems are
password protected, secured by an internal lock and locked in a secured
room. Backup of the magnetic media is maintained in a locked safe.
Retrievability:
Alphabetically by name of subject or complainant, by case number,
and by special agent name and/or employee number.
Safeguards:
Paper records and word processing disks are maintained in locked
safes and all access doors are locked when offices are vacant.
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.
Retention and Disposal:
Investigative files and paper indices are stored on-site for 3
years. Indices to those files are stored on-site on magnetic media for
an indefinite time. The magnetic media will be retained indefinitely;
however, they will be updated periodically to reflect changes. Upon
expiration of their respective retention periods, the investigative
files are transferred to the Federal Records Center, Suitland,
Maryland, for storage and in most instances destroyed by burning,
maceration or pulping when 20 years old.
System Manager(s) and Address:
Assistant Inspector General for Investigations, Room 7320, 1201
Constitution Avenue, NW, Washington, DC 20220.
Notification Procedure:
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.
Record Access Procedures:
See ``Notification Procedure'' above.
Contesting Record Procedures:
See ``Notification Procedure'' above.
Record Source Categories:
See ``Categories of individuals'' above. This system contains
investigatory material for which sources need not be reported.
Exemptions Claimed for the System:
This system is exempt from 5 U.S.C. 552(a)(c)(3)(4),
(d)(1)(2)(3)(4), (e)(1)(2)(3), (4)(G), (H), and (I), (e)(5) and (8),
(f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and
(k)(2).
TREASURY/DO .191
System name:
OIG Management Information System (MIS).
System location:
Office of Inspector General (OIG), all headquarters, regional and
field offices. (See appendix A.)
Categories of individuals covered by the system:
Current and former employees of the Office of Inspector General.
Categories of records in the system:
(1) MIS Personnel system records contain OIG employee name, office,
start of employment, series/grade, title, separation date; (2) MIS
tracking records contain status information on audits, investigations
and other projects from point of request or annual planning through
follow-up and closure; (3) MIS Timekeeping records contain assigned
projects and distribution of time; (4) MIS Equipment Inventory records
contain assigned equipment; (5) MIS Travel records contain dates, type
of travel and costs; (6) MIS Training records contain dates, title of
training, and costs.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended; (5 U.S.C. Appendix 3) 5
U.S.C. 301; and 31 U.S.C. 321.
Purpose(s):
The purpose of the MIS 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 General Accounting Office, the
President's Council on Integrity and Efficiency and other federal
agencies; and (3) provide accurate information critical to the OIG's
daily operation, including employee performance and conduct.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(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. (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. (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
[[Page 69732]]
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. (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. (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. (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. (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. (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. (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. (10) A record from the system of records may be disclosed
in response to a subpoena 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. (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. (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 purpose served. In the case of a State Grand Jury
subpoena, the State equivalent of the U.S. Attorney and Attorney
General shall be substituted. (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. (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. (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. (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. (17) A record from the system of records may be
disclosed to the Office of Management and Budget, the General
Accounting Office, the President's Council on Integrity and Efficiency
and other Federal agencies for mandated reports.
Disclosure to consumer reporting agencies:
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.
Policies and practices for storing, retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Paper records and magnetic media.
Retrievability:
Most files are accessed by OIG employee name, employee number,
office, or cost center. Some records may be accessed by entering
equipment or project information.
Safeguards:
Access is limited to OIG employees who have a need for such
information in the course of their work. A central console is located
in a departmental computer room which is staffed during normal business
hours and locked at other times. Terminals and paper copies are
maintained in offices which are staffed during normal business hours
and locked at other times. Access to records on magnetic media is
controlled by computer passwords. Access to specific MIS records is
further limited and controlled by computer security programs limiting
access to authorized personnel.
[[Page 69733]]
Retention and Disposal:
Records are periodically updated to reflect changes and are
retained as long as necessary.
System Manager(s) and Address:
Assistant Inspector General for Resources, Suite 510, 740 15th St.
NW, Washington, DC 20220.
Notification Procedure:
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
identification number, dates of employment or similar information).
Address inquiries to Assistant Director, Disclosure Services (see
``Record access Procedures'' below).
Record Access Procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054, 1500 Pennsylvania Avenue, NW, Washington, DC
20220.
Contesting Records Procedures:
See ``Record access procedures'' above.
Record Source Categories:
Current and former employees of the OIG.
Exemptions Claimed for the System:
None.
Appendix A--Addresses of OIG Offices
Headquarters: Department of Treasury, Office of Inspector
General, Office of the Assistant Inspector General for Resources,
Suite 510, 740 15th Street, NW, Washington, D.C. 20220.
Field Locations: Contact System Manager for addresses.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Investigations, Office of the
Regional Inspector General for Investigations, Mid-States Regional
Office, Houston, TX 77057.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Investigations, Chicago Field
Office, Chicago, IL 60690.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Investigations, Office of the
Regional Inspector General for Investigations, Western Regional
Office, El Segundo, CA 90245-4320.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, FLETC Field Office, Federal
Law Enforcement Training Center, Glynco, GA 31524.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, Eastern Regional Office, Boston, MA
02110.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Deputy
Assistant Inspector General for Audit, New York Field Office, New
York, NY 10048.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, Eastern Regional Office, Philadelphia
Field Office, Marlton, NJ 08053.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, Central Regional Office, Chicago, IL
60603.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Deputy
Assistant Inspector General for Audit, Indianapolis Field Office,
Indianapolis, IN 46278.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, Southern Regional Office, Houston, TX
77057.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, Southern Regional Office, Miami Field
Office, Miami, FL 33166-7710.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, New Orleans Field Office, New Orleans,
LA 70130.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, Western Regional Office, El Segundo, CA
90245-4320.
Department of Treasury, Office of Inspector General, Office of the
Assistant Inspector General for Audit, Office of the Regional
Inspector General for Audit, Western Regional Office, San Francisco
Field Office, San Francisco, CA 94105.
TREASURY/DO .193
System name:
Employee Locator and Automated Directory System--Treasury/DO.
System location:
Main Treasury Building, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Categories of individuals covered by the system:
Information on all employees of the Department is maintained in the
system if the proper locator card is provided.
Categories of records in the system:
Name, office telephone number, bureau, office symbol, building,
room number, home address and phone number, and person to be notified
in case of emergency.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside of the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard copy and magnetic media.
Retrievability:
Indexed by name and/or block code numbers.
Safeguards:
All records, including computer system and all terminals are
located within secure space. Only authorized personnel have access.
Retention and Disposal:
Records are kept as long as needed, updated periodically and
destroyed by burning.
System Manager(s) and Address:
Chief, Telecommunications Operations Branch, Room 1121-MT, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
Notification Procedure:
See ``System manager'' above.
Record Access Procedures:
See ``System manager'' above.
Contesting Record Procedures:
See ``System manager'' above.
Record Source Categories:
Information is provided by individual employees. Necessary changes
made if requested.
Exemptions Claimed for the system:
None.
TREASURY/DO .194
System name:
Circulation System--Treasury.
System location:
Department of the Treasury, Library and Information Services
Division, Room 5030-MT, 1500 Pennsylvania Avenue, NW, Washington, DC
20220.
[[Page 69734]]
Categories of individuals covered by the system:
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.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. 301.
Purposes(s):
Track circulation of library materials and their borrowers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic media.
Retrievability:
Data can be retrieved from the system by borrower name or bar code
number and publication title or its associated bar code number.
Safeguards:
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.
Retention and Disposal:
Only current data are maintained on-line. Records for borrowers are
deleted when employee leaves Treasury.
SYSTEM Manager(s) and Address:
Assistant Director, Library and Information Services, Department of
the Treasury, Room 5030-MT, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
NOTIFICATION PROCEDURE:
Inquiries should be addressed to Assistant Director, Disclosure
Services, Department of the Treasury, Room 1054-MT, 1500 Pennsylvania
Ave., NW, Washington DC 20220.
RECORD ACCESS PROCEDURES:
See ``Notification procedure'' above.
CONTESTING RECORD PROCEDURES:
See ``Notification procedure'' above.
RECORD SOURCE CATEGORIES:
Patron information records are completed by borrowers and library
staff.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/DO .196
SYSTEM NAME:
Security Information System--Treasury/DO.
SYSTEM LOCATION:
Components of this system are located in the following offices
within the Departmental Offices: Office of Security, Room 3210 Treasury
Annex, 1500 Pennsylvania Avenue, NW, Washington, DC 20220, and
Assistant Director, Security, Safety and Parking, Administrative
Operations Division, Room 1212 MT, 1500 Pennsylvania Avenue, NW,
Washington, DC 20220.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Department of the Treasury officials who classify documents
with a national security classification, i.e., Top Secret, Secret, or
Confidential. (2) 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 classify a document at its present classification level.
(3) 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
authorized original classification authority by Treasury Order 102-10.
(4) Each Department of the Treasury office by name and position title
delegated the authority to derivatively classify national security
information in accordance with an approved classification guide or on
the basis of source documents. (5) Each Department of the Treasury
official who does not have original classification authority for
national security information and who is not authorized to downgrade
and declassify national security information, but who may control and/
or decontrol limited official use information. (6) An alphabetical
listing of Department of the Treasury employees who have valid security
violations as a result of the improper handling, safeguarding, or
storage of classified national security and limited official use
information. (7) Department of the Treasury personnel concerned with
classified national security and limited official use information who
have participated in a security orientation program regarding the
salient features of the security requirements and procedures for the
handling and safeguarding of such information.
CATEGORIES OF RECORDS IN THE SYSTEM:
The following records are maintained by the Director of Security:
(1) Report of Authorized Downgrading and Declassification Officials,
(2) Report of Authorized Classifiers, (3) Report of Authorized
Derivative Classifiers, (4) Designation of Controlling/Decontrolling
Officials, and (5) Record of Security Violation. The Assistant
Director, Security, Safety and Parking maintains the following records:
The Security Orientation Acknowledgment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Executive Order No. 12958, dated April 17, 1995, and Office of
Security Manual, TDP 71-10.
PURPOSE(S):
The system is designed to (1) oversee compliance with Executive
Order No. 12958 and Departmental programming and implementation, (2)
ensure proper classification of national security information, (3)
record details of valid security violations and (4) assist in
determining the effectiveness of information security programs
affecting classified and limited official use information.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
These records and information in these records may be used to
disclose information to appropriate Federal agencies and for enforcing
or implementing a statute, rule, regulation or order.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Hard Copy paper files.
RETRIEVABILITY:
Manually filed and indexed by office or bureau, date, name of
official and position title, where appropriate.
[[Page 69735]]
SAFEGUARDS:
Secured in security equipment to which access is limited to
personnel with the need to know.
RETENTION AND DISPOSAL:
With the exception of the Record of Security Violation, which is
maintained for a period of two years, and the Security Orientation
Acknowledgment, the remaining records are destroyed and/or updated on
an annual basis. Destruction is effected by shredding or other
comparable means.
SYSTEM MANAGER(S) AND ADDRESS:
Director of Security, 3210 Treasury Annex, 1500 Pennsylvania Avenue
NW, Washington, DC 20220, and Assistant Director, Security, Safety and
Parking, Administrative Operations Division, Room 1212 MT, 1500
Pennsylvania Avenue., NW, Washington, DC 20220
NOTIFICATION PROCEDURE:
Individuals wishing to be notified if they are named in this system
of records, or to 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 types 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) to the Assistant Director,
Disclosure Services. (See ``Record access procedures'' below).
RECORD ACCESS PROCEDURES:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054 MT, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
The sources of the information are office and bureau employees of
the Department of the Treasury. The information concerning any security
violation is reported by Department of the Treasury security officials
and Department of State security officials as concerns Treasury
personnel attached to U.S. diplomatic posts or missions.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/DO .200
SYSTEM NAME:
FinCEN Data Base--Treasury/DO.
SYSTEM LOCATION:
The Financial Crimes Enforcement Network, 2070 Chain Bridge Road,
Vienna, VA 22182.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(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; (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.
CATEGORIES OF RECORDS IN THE SYSTEM:
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records in this system may be used to: (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; (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; (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; (4)
respond to queries from INTERPOL in accordance with agreed coordination
procedures between FinCEN and INTERPOL; (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; (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; (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 (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media and hard copy.
Retrievability:
By name, address, or unique identifying number.
Safeguards:
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.
Retention and Disposal:
FinCEN personnel will review records each time a record is
retrieved and on
[[Page 69736]]
a periodic basis to see whether it should be retained or modified.
FinCEN will dispose of all records after six years and will never
retain any record for more than seven years. Records will be disposed
of by erasure of magnetic media and by shredding and/or burning of hard
copy documents.
System Manager(s) and Address:
Director, Financial Crimes Enforcement Network, 2070 Chain Bridge
Road, Vienna, VA 22182.
Notification Procedure:
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.
Record Access Procedures:
See ``Notification procedure'' above.
Contesting Record Procedures:
See ``Notification procedure'' above.
Record Source Categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources need not be reported.
Exemptions Claimed for the System:
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).
TREASURY/DO .201
System name:
Fitness Center Records--Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW,
Washington, DC 22020.
Categories of individuals covered by the system:
Treasury Department employees who have applied for membership and
participate in the Treasury fitness program.
Categories of records in the system:
Name, job title, addresses, date of birth, age, sex; name, address,
and telephone number of personal physician; name, and address and
telephone number of emergency contact; health and exercise history;
physician's clearance; informed consent form, waiver and release form,
program interest survey form; fitness assessment results; and results
of health tests taken by the Fitness Center members.
Authority for the maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The records are collected and maintained to provide the Fitness
Center contractor with written documentation of user's membership
status. The records enable the contractor to identify the current
fitness level and potential health risks faced by each user. The
collection of these records provides essential baseline information
allowing the contractor to prescribe the appropriate exercise program
to each user.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
No disclosures will be made outside the Departmental Offices.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By name and membership number.
Safeguards:
Records are stored in locked cabinets in a locked room. Access is
limited to authorized employees of the contractor responsible for
servicing the records in the performance of their duties.
Retention and Disposal:
Active records are retained indefinitely. Inactive records are held
for three years, then are destroyed by shredding.
System manager and address:
Director, Administrative Operations, Department of the Treasury,
Room 1212-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220. Name of
the contractor will be provided by the system manager upon request.
Notification Procedure:
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 addressed to Assistant Director, Disclosure
Services, Departmental Offices, Room 1054-MT, 1500 Pennsylvania Avenue,
NW, Washington, DC 20220.
Record Access Procedures:
Inquiries should be addressed to the Assistant Director, Disclosure
Services, Departmental Offices, Room 1054-MT, 1500 Pennsylvania Avenue,
NW, Washington, DC 20220.
Contesting Record Procedures:
See ``Notification procedures'' above.
Record Source Categories:
The source of the data is the Treasury Department employee who has
applied for membership, contractor personnel and the employee's
personal physician.
Exemptions Claimed for the System:
None.
TREASURY/DO .202
System name:
Drug-Free Workplace Program Records--Treasury/DO.
System location:
Records are located within Personnel Resources, Workforce
Effectiveness, Room 1450-MT, Department of the Treasury, Departmental
Offices, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
Employees of Departmental Offices.
Categories of records in the system:
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.
Authority for maintenance of the system:
Pub. L. 100-71; 5 U.S.C. 7301 and 7361; 21 U.S.C. 812; Executive
Order 12564, ``Drug-Free Federal Workplace''.
Purpose(s):
The system will be 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.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records and information in 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.
[[Page 69737]]
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and
magnetic media.
Retrievability:
Records are retrieved by name of employee, position, title, social
security number, I.D. number (if assigned), or any combination of
these.
Safeguards:
Records will be stored in secure containers, e.g., 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 Pub. L. 100-71 and the Department of Health and Human
Services Guidelines will be followed.
Retention and Disposal:
Records are retained for two years and then destroyed by shredding,
burning, 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.
System manager and address:
Departmental Offices, Office of Personnel Resources, Department of
the Treasury, 1500 Pennsylvania Ave., Room 1450-MT, Washington, DC
20220.
Notification Procedure:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Assistant Director, Disclosure Services,
Departmental Offices, 1500 Pennsylvania Ave., Room 1054-MT, 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.
Record Access Procedures:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Assistant Director, Disclosure Services,
Departmental Offices, 1500 Pennsylvania Ave., Room 1054-MT, 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.
Contesting Record Procedures:
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.
Record Source Categories:
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.
Exemptions Claimed for the System:
None.
TREASURY/DO .203
System name:
Public Transportation Incentive Program Records--Treasury/DO.
System location:
(1) Departmental Offices, Department of the Treasury, 1500
Pennsylvania Avenue, NW, Washington, DC 20220.
(2) Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
(3) United States Mint, Judiciary Square Building, 633 Third
Street, NW, Washington, DC 20220; United States Mint, 151 North
Independence Mall East, Philadelphia, PA 19106; United States Mint, 320
West Colfax Avenue, Denver, CO 80204; United States Mint, 901 Market
Street, Suite 470, San Francisco, CA 94103.
(4) Bureau of the Public Debt, 13th and C Streets, SW., and 999 E
Street NW., Washington, DC 20239; 200 Third Street, Parkersburg, WV
26106.
(5) Office of Inspector General, Office of Assistant Inspector for
Resources, Office of Administrative Services, Suite 510, 740 15th, NW.,
Washington, DC 20220; Office of Inspector General, Field Office Manager
(Audit), #6 World Trade Center, Room 745, New York, NY 10048; Office of
Inspector General, Assistant Inspector General for Investigations,
Chicago Field Office, Suite 520, 55 West Monroe Street, Chicago, IL
60603; Office of Inspector General, Regional Inspector General for
Audit, Eastern Regional Office, Room 330, 408 Atlantic Avenue, Boston,
MA 02110; Office of Inspector General, Regional Inspector General for
Audit, Central Region, Suite 510, 55 West Monroe Street, Chicago, IL
60603; Office of Inspector General, Regional Inspector General for
Audit, Western Region, Room 275, 333 Market Street, San Francisco, CA
94105.
(6) Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts
Ave., NW, Washington, DC 20226.
(7) Financial Management Service, 3700 East West Hwy., Hyattsville,
MD 20782.
Categories of individuals covered by the system:
Employees who have applied to participate in the Public
Transportation Incentive Program.
Categories of records in the system:
(1) Public Transportation Incentive Program application form
containing the participant's name, social security number, place of
residence, office address, office telephone, grade level, duty hours,
previous method of transportation, and the type of fare incentive
requested. (2) Reports submitted to the Department of the Treasury in
accordance with Treasury Directive 74-10.
Authority for maintenance of the system:
5 U.S.C. 301 and Pub. L. 101-509.
Purpose(s):
The records are collected and maintained to provide written
documentation pertaining to applicants and participants in the Public
Transportation Incentive Program.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
disclose information to: (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; (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, or in connection with criminal law proceedings;
(3) a congressional office in response to an inquiry made at the
request of the individual to whom the
[[Page 69738]]
record pertains; (4) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (5) agencies, contractors, and others to administer
Federal personnel and payroll systems, and for debt collection and
employment or security investigations; and (6) other Federal agencies
for matching to ensure that employees receiving PTI Program benefits
are not listed as a carpool or vanpool participant or the holder of a
parking permit.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, file folders and magnetic media.
Retrievability:
Alphabetically by individual and by office.
Safeguards:
Access is limited to authorized employees. Files are maintained in
locked safes and/or file cabinets. Records on magnetic media are
password-protected. During non-work hours, records are stored in locked
safes and/or cabinets in a locked room.
Retention and Disposal:
Active records are retained indefinitely. Inactive records are held
for three years and then destroyed.
System Manager(s) and Address:
(1) Departmental Offices: Director, Administrative Operations
Division, Department of the Treasury, Room 1212 MT, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
(2) Bureau of Engraving and Printing: Chief, Office of Management
Services, Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
(3) United States Mint: Executive Secretariat, United States Mint,
Judiciary Square Building, 633 Third Street, NW, Washington, DC 20220;
Property Management Officer, Management Analysis and Property
Management Staff, United States Mint, 151 North Independence Mall East,
Philadelphia, PA 19106; Chief, Administrative Services Division, United
States Mint, 320 West Colfax Avenue, Denver, CO 80204; Human Resources
Division and Budget and Accounting Division, United States Mint, 901
Market Street, Suite 470, San Francisco, CA 94103.
(4) Bureau of the Public Debt: Assistant Commissioner, Office of
Administration, 200 Third Street, Parkersburg, WV 26106.
(5) Office of Inspector General: Office of Assistant Inspector for
Resources, Office of Administrative Services, Suite 510, 740 15th St.
NW., Washington, DC 20220.
(6) Bureau of Alcohol, Tobacco and Firearms: Chief, Protection
Program, 650 Massachusetts Ave., NW, Washington, DC 20226.
(7) Financial Management Service: Director, Facilities Management
Division, Financial Management Service, 3700 East West Hwy., Room 144,
Hyattsville, MD 20782.
Notification Procedure:
Individuals seeking access to any record contained in the system of
records, or seeking to contest its content, may inquire in accordance
with instructions given in the Appendix for each Treasury component
appearing at 31 CFR part 1, subpart C. Inquiries should be sent to the
agency official identified below:
(1) Departmental Offices: Inquiries should be addressed to
Assistant Director, Disclosure Services, Departmental Offices, Room
1054 MT, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
(2) Bureau of Engraving and Printing: Inquiries should be addressed
to Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
(3) United States Mint: Inquiries should be addressed to Executive
Secretariat, United States Mint, Judiciary Square Building, 633 Third
Street, NW, Washington, DC 20220; Property Management Officer,
Management Analysis and Property Management Staff, United States Mint,
5th and Arch Streets, Philadelphia, PA 19106; Chief, Administrative
Services Division, United States Mint, 320 West Colfax Avenue, Denver,
CO 80204; Human Resources Division and Budget and Accounting Division,
United States Mint, Old Mint Building, 88 Fifth Street, San Francisco,
CA 94103.
(4) Bureau of the Public Debt: Assistant Commissioner, Office of
Administration, 200 Third Street, Parkersburg, WV 26106.
(5) Office of Inspector General: Inquiries should be addressed to:
Assistant Director, Disclosure Services, Departmental Offices, Room
1054 MT, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
(6) Bureau of Alcohol, Tobacco and Firearms: Privacy Act Request,
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226.
(7) Financial Management Service: Inquiries should be addressed to
Disclosure Officer, Financial Management Service, 401 14th St. SW.,
Washington, DC 20227.
RECORD ACCESS PROCEDURES:
See ``Notification procedure'' above.
CONTESTING RECORD PROCEDURES:
See ``Notification procedure'' above.
RECORD SOURCE CATEGORIES:
The source of the data are employees who have applied for the
transportation incentive, the system managers, and appropriate agency
officials.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/DO .206
SYSTEM NAME:
Office Tracking System (OTS)--Treasury/DO.
SYSTEM LOCATION:
Office of Administration, Automated Systems Division, 15th and
Pennsylvania Avenue, NW, Washington, DC 20220.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Departmental offices employees granted access to the OTS and
individuals who correspond with the Departmental Offices.
CATEGORIES OF RECORDS IN THE SYSTEM:
Each piece of correspondence will have a record generated in OTS
containing the name of the addresser, addressee, initials of the
approving individual and the name of the individual assigned to respond
or take action. This correspondence consists of letters to or from the
public, Congress or other agencies, and internal memoranda.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
The primary purpose of the system is to provide a facility to track
the status of incoming and internally generated correspondence within
an office. It provides management information related to action(s)
required and the responsible individual.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosures are not made outside Departmental Offices.
[[Page 69739]]
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media.
RETRIEVABILITY:
The records may be retrieved by name of writer, name of addresses,
or subject of document.
SAFEGUARDS:
Access is limited by a computer sign-on procedure which includes
access identification and a password protection as well as individual
file protection features.
RETENTION AND DISPOSAL:
The records are retained at the discretion of the OTS user who may
electronically delete or file the records. All records are saved to a
backup magnetic media at least once a month. These media are retained
for two years.
System Manager(s) and Address:
Chief, Automated Systems Development Branch, Automated Systems
Division, Room SC-1, 15th and Pennsylvania Avenue, NW, Washington, DC
20220.
Notification Procedure:
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 addressed to Assistant Director, Disclosure
Services, Departmental Offices, 15th and Pennsylvania Avenue, NW,
Washington, DC 20220.
Record Access Procedures:
Inquiries should be addressed to the Assistant Director, Disclosure
Services, Departmental Offices, 15th and Pennsylvania Avenue, NW,
Washington, DC 20220.
Contesting Record Procedures:
See ``Notification procedure'' above.
Record Source Categories:
The source of data in OTS is letters or memoranda from Treasury
officials, other agencies, members of Congress, the public or the
press.
Exemptions Claimed for the System:
None.
TREASURY/DO .207
System name:
Waco Administrative Review Group Investigation--Treasury/DO.
System location:
Department of the Treasury, Office of Enforcement, 1500
Pennsylvania Ave., NW Washington, DC 20220.
Categories of individuals covered by the system:
(A) Current and former employees of the Department of the Treasury
and its bureaus and persons whose associations with current and former
employees relate to the Bureau of Alcohol, Tobacco & 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. (B) Individuals who are: Witnesses; complainants;
confidential or non-confidential informants; suspects; defendants who
have been identified by the 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
Office of Enforcement. (C) Members of the general public who provide
information pertinent to the investigation.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal misconduct pertinent to the events leading to the
Bureau of Alcohol, Tobacco & Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas, on February
28, 1993. (B) Investigative files which include: (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 Bureau of Alcohol, Tobacco
& 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; (2) transcripts and documentation
concerning requests and approval for consensual telephone and
consensual nontelephone 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; (6) videotapes of events
pertinent to the events leading to the Bureau of Alcohol, Tobacco &
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; (7) audiotapes with transcripts of
events pertinent to the events leading to the Bureau of Alcohol,
Tobacco & 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; (8) photographs and
blueprints pertinent to the events leading to the Bureau of Alcohol,
Tobacco & 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 (9) drawings,
sketches, models portraying events pertinent to the events leading to
the Bureau of Alcohol, Tobacco & 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.
Purpose(s):
The purpose of the system of records is 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 Bureau of Alcohol, Tobacco & Firearms
execution of search and arrest warrants at the Branch Davidian
compound, near Waco, Texas, on February 28, 1993, and, where
appropriate, to disclose to other law enforcement agencies which have
an interest in the information.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice in connection with
actual or potential criminal prosecution or civil litigation; (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
[[Page 69740]]
potential violation of civil or criminal law or regulation; (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; (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, where relevant and necessary, or in connection
with criminal law proceedings; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; and (6) provide a report to
the President and the Secretary of the Treasury detailing the
investigation and findings concerning the events leading to the Bureau
of Alcohol, Tobacco & Firearms' execution of search and arrest warrants
at the Branch Davidian compound, near Waco, Texas, on February 28,
1993.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
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 Waco
Administrative Review Group, 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 which is subject to 24-hour security.
Retrievability:
Alphabetically by name, and or by number, or other alpha-numeric
identifiers.
Safeguards:
Records and word processing disks are maintained by administrative
documents and records control personnel of the Waco Administrative
Review Group. All access doors are locked when office is vacant. The
records are available on a need-to-know basis to the Waco
Administrative Review Group and Office of Enforcement personnel and
other Federal and state law enforcement personnel who have an
appropriate security clearance.
Retention and Disposal:
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 are
transferred to the Federal Records Center, Suitland, Maryland, for
storage and in most instances destroyed by burning, maceration or
pulping when 20 years old.
System Manager(s) and Address:
Office of Enforcement, Room 4312-MT, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
Notification Procedure:
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.
Record Access Procedures:
See ``Notification Procedure'' above.
Contesting Record Procedures:
See ``Notification Procedure'' above.
Record Source Categories:
See ``Categories of Individuals'' above. This system contains
investigatory material for which sources need not be reported.
Exemptions Claimed for the System:
None.
TREASURY/DO .209
System name:
Personal Services Contracts (PCSs)--Treasury/DO.
System location:
(1) Office of Technical Assistance, Department of the Treasury,
1730 K Street, NW., Suite 204, Washington, DC 20006. (2) Procurement
Services Division, Departmental Offices, Department of the Treasury,
1310 G St., NW., Suite 400 East, Washington, DC 20005.
Categories of individuals covered by the system:
Individuals who have been candidates or who have been awarded a
personal services contract (PSC) with the Department of the Treasury.
Categories of records in the system:
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.
Authority for maintenance of the system:
Support for Eastern European Democracy (SEED) Act of 1989 (Pub. L.
101-179), Freedom Support Act (Pub. L. 102-511), Executive Order 12703.
Purpose(s):
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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
information in these records may be used to disclose: (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; (2) information to the Department of
Justice for the purpose of litigating an action or seeking legal
advice; (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; (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, and (5) information to a
[[Page 69741]]
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders and on electronic media.
Retrievability:
Retrieved by name of the individual contractor and contract number.
Safeguards:
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.
Retention and Disposal:
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.
System Manager(s) and Address:
(1) Director, Office of Technical Assistance, Department of the
Treasury, 1730 K Street, NW., Suite 204, Washington, DC 20006.
(2) Director, Procurement Services Division, Departmental Offices,
Department of the Treasury, 1310 G St., NW., Suite 400 East,
Washington, DC 20005.
Notification Procedure:
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 Assistant
Director, Disclosure Services, Departmental Offices, Room 1054-MT, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
Record Access Procedures:
See ``Notification procedure'' above.
Contesting Record Procedures:
See ``Notification procedures'' above.
Record Source Categories:
Information is provided by the candidate, individual Personal
Services Contractor, and Treasury employees.
Exemptions Claimed for the System:
None.
TREASURY/DO .210
System name:
Treasury Integrated Financial Management and Revenue System--
Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220. Other locations at which the system is maintained
by Treasury components and their associated field offices are:
(a)(1) Departmental Offices (DO),
(2) Financial Crimes Enforcement Network (FinCEN),
(3) Office of Inspector General (OIG);
(b) Bureau of Alcohol, Tobacco and Firearms (ATF);
(c) Office of the Comptroller of the Currency (CC);
(d) United States Customs Service (CS);
(e) Bureau of Engraving and Printing (BEP);
(f) Federal Law Enforcement Training Center (FLETC);
(g) Financial Management Service (FMS);
(h) Internal Revenue Service (IRS);
(I) United States Mint (MINT);
(j) Bureau of the Public Debt (BPD);
(k) United States Secret Service (USSS);
(l) Office of Thrift Supervision (OTS).
Categories of individuals covered by the system:
(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.
Categories of records in the system:
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,
student intern documents, 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.
Authority for maintenance of the system:
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.
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
disclose
[[Page 69742]]
information: (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; (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; (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; (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; (5) To a Congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (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; (7) To third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation; (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; (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; (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 subpoena; (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; (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; (13) To disclose information to a consumer
reporting agency, including mailing addresses obtained from the
Internal Revenue Service, to obtain credit reports; (14) To a debt
collection agency, including mailing addresses obtained from the
Internal Revenue Service, for debt collection services; (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;
(16) To a public or professional auditing organization for the purpose
of conducting financial audit and/or compliance audits; (17) To a
student participating in a Treasury student volunteer program, where
such disclosure is necessary to support program functions of Treasury,
and (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.
Disclosure to consumer reporting agencies:
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper, microform and electronic media.
Retrievability:
Name, social security number, vendor ID number, and document number
(travel form, training form, purchase order, check, invoice, etc.).
Safeguards:
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.
Retention and Disposal:
Record maintenance and disposal is in accordance with National
Archives and Records Administration retention schedules, and any
supplemental guidance issued by individual components.
System Manager(s) and Address:
Departmental Offices: Director, Financial Management Division 1500
Pennsylvania Avenue, NW., Room 4101-Annex, Washington, DC 20220.
Chief Financial Officer, FinCEN, 2070 Chain Bridge Road, Vienna, VA
22182.
Assistant Inspector General for Resources, Suite 510, 740 15th St.
NW., Washington, DC 20220.
ATF: Chief, Financial Management Division, Bureau of Alcohol,
Tobacco & Firearms, 650 Massachusetts Avenue, NW., Room 4270
Washington, DC 20226.
IRS: Chief Financial Officer, Internal Revenue Service, 1111
Constitution
[[Page 69743]]
Avenue, NW., Room 3013, Washington, DC 20224.
BPD: Director, Division of Financial Management, Bureau of Public
Debt, 200 Third Street, PO Box 1328, Parkersburg, WV 26106-1328.
CS: Chief Financial Officer, U.S. Customs Service, 1300
Pennsylvania Avenue, NW., Room 4.5-D, Washington, DC 20229.
FLETC: Comptroller, Budget and Finance Division, Federal Law
Enforcement Training Center, Glynco Facility, Bldg. 94, Glynco, GA
31524.
CC: Chief Financial Officer, Comptroller of the Currency, 250 E
Street, SW., Washington, DC 20219.
BEP: Chief Financial Officer, Bureau of Engraving and Printing 14th
& C Streets, NW., Room 113M, Washington, DC 20228.
FMS: Chief Financial Officer, Financial Management Service 3700
East West Highway, Room 106A, Hyattsville, MD 20782.
Mint: Chief Financial Officer, U.S. Mint, 633 3rd Street, NW., Room
625, Washington, DC 20220.
USSS: Chief, Financial Management Division, U.S. Secret Service,
1800 G Street, NW., Room 748, Washington, DC 20226.
OTS: Director, Planning, Budget and Finance Division, Office of
Thrift Supervision, 1700 G Street, NW., Third Floor, Washington, DC
20552.
Notification Procedure:
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.
Record Access Procedures:
See ``Notification procedure'' above.
Contesting Record Procedures:
See ``Notification procedure'' above.
Record Source Categories:
Individuals, private firms, other government agencies, contractors,
documents submitted to or received from a budget, accounting, travel,
training or other office maintaining the records in the performance of
their duties.
Exemptions Claimed for the System:
None.
TREASURY/DO .211
System name:
Telephone Call Detail Records--Treasury/DO.
System location:
Department of the Treasury, 1425 New York Avenue, NW, Washington DC
20220. Other locations of this records system consisting of the
following Treasury components and their associated field offices are:
Departmental Offices (DO), including the Office of Inspector General
(OIG); Bureau of Alcohol, Tobacco and Firearms (ATF); Comptroller of
the Currency (CC); United States Customs Service (CS); Bureau of
Engraving and Printing (BEP); Federal Law Enforcement Training Center
(FLETC); Financial Management Service (FMS); Internal Revenue Service
(IRS); United States Mint (Mint); Bureau of the Public Debt (BPD);
United States Secret Service (USSS), and the Office of Thrift
Supervision (OTS).
Categories of individuals covered by the system:
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.
Categories of records in the system:
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).
Authority for maintenance of the system:
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.
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information from these records may be disclosed:
(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; (2)
to employees or contractors of the agency to determine individual
responsibility for telephone calls; (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; (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
subpoena, or in connection with criminal law proceedings where relevant
and necessary; (5) to a telecommunications company providing
telecommunication support to permit servicing the account; (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; (7) to the Department of Justice for the purpose of
litigating an action or seeking legal advice; (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; (9) to a congressional office in response
to an
[[Page 69744]]
inquiry made at the request of the individual to whom the record
pertains; (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; (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; (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.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(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)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Microform, electronic media, and/or hard copy media.
Retrievability:
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.
Safeguards:
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.
Retention and Disposal:
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.
System manager(s) and addresses:
Department of the Treasury: Official prescribing policies and
practices--Director, Corporate Systems Management, Department of the
Treasury, Room 2150, 1425 New York Avenue, NW., Washington, DC 20220.
The system managers for the Treasury components are:
DO: Chief, Telecommunications Branch, Automated Systems Division,
Room 1121, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
OIG: Assistant Inspector General for Resources, Suite 510, 740 15th
St. NW., Washington, DC 20220.
ATF: Chief, Voice Communications Branch, 650 Massachusetts Avenue,
NW., Washington, DC 20552.
CC: Associate Director, Telecommunications, Systems Support
Division, Office of the Comptroller of the Currency, 835 Brightseat
Road, Landover, MD 20785.
CS: Chief, Voice Communications, Office of Systems Engineering and
Operations, Field Office Division, 7681 Boston Boulevard, Springfield,
VA 22153.
BEP: Deputy Associate Director (Chief Information Officer), Office
of Information Systems, Bureau of Engraving and Printing, Room 711A,
14th and C Street, SW., Washington, DC 20228.
FLETC: Information Systems Officer, Information Systems Division,
ISD-Building 94, Glynco, GA 31524.
FMS: Director, Platform and Support Management, Room 424E, 3700
East West Highway, Hyattsville, MD 20782.
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.
Mint: Assistant Director for Information Resources Management, 633
3rd Street, NW., Washington, DC 20220.
BPD: Official prescribing policies and practices: Assistant
Commissioner (Office of Automated Information Systems), 200 Third
Street, Room 202, Parkersburg, WV 26106-1328. Office maintaining the
system: Division of Communication, 200 Third Street, Room 107,
Parkersburg, WV 26106-1328.
USSS: Chief, Information Resources Management Division, 1800 G
Street, NW., Room 1000, Washington, DC 20223.
OTS: Director, Office of Information Systems, 1700 G Street, NW.,
2nd Floor, Washington, DC 20552.
Notification Procedure:
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.
Record Access Procedures:
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.
Contesting Record Procedures:
See ``Notification procedure'' above.
Record Source Categories:
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.
Exemptions Claimed for the System:
None.
TREASURY/DO .212
System name:
Suspicious Activity Reporting System (the ``SAR System'').
System location:
The SAR System is housed at the Internal Revenue Service Computing
Center (``DCC'') in Detroit, Michigan and is managed by the Financial
Crimes Enforcement Network (``FinCEN''), 2070 Chain Bridge Road, Suite
200, Vienna, VA 22182, with the assistance of the staff of DCC.
Categories of individuals covered by the system:
The SAR System contains information about: (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
[[Page 69745]]
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. (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. 5311-5330; 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; (3) Individuals who are directors, officers,
employees, agents, or otherwise affiliated with a financial
institution; (4) Individuals or entities that are actual or potential
victims of a criminal violation or series of violations; (5)
Individuals who are named as possible witnesses in connection with
matters arising from any such report; (6) Individuals or entities named
as preparers of any such report; (7) Individuals or entities named as
persons to be contacted for assistance by government agencies in
connection with any such report; (8) Individuals or entities who have
or might have information about individuals or criminal violations
described above; and (9) Individuals or entities involved in evaluating
or investigating any matters arising from any such report.
Categories of records in the system:
The SAR System contains information reported to FinCEN by financial
institutions on a Suspicious Activity Report (``SAR'') required under
the authority of FinCEN or one or more of the Federal Supervisory
Agencies, or both. 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.
Authority for maintenance of the system:
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 Department of the
Treasury Order 105-08.
Purpose(s):
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.
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.
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
Service, 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.
Routine uses of records maintained in the system, Including Categories
of Users and the Purposes of Such Uses:
These records and information in these records may be used to: (1)
Provide information or records, electronically or manually, to SAR
System Users relevant to the enforcement and supervisory programs and
operations of those Users; (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;
(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; (4) Provide
information or records, when appropriate, to international and foreign
governmental authorities in accordance with law and formal or informal
international agreement; (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; (6)Provide information or records to
the Department of Justice, or in a
[[Page 69746]]
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; (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; (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; (9) Provide, when
appropriate, information or records to a bar association, or other
trade or professional organization performing similar functions, for
possible disciplinary action; (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; (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; and (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.
Policies and practices for storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in magnetic media and on hard paper copy.
Retrievability:
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.
Safeguards:
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.
Retention and Disposal:
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.
System Managers and Address:
Deputy Director, Financial Crimes Enforcement Network, United
States Department of the Treasury, 2070 Chain Bridge Road, Suite 200,
Vienna, Virginia 22182.
Notification Procedure:
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).
Record Access Procedures:
See ``Notification Procedure'' above.
Contesting Record Procedures:
See ``Notification Procedure'' above.
Record Source Categories:
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.
Exemptions Claimed for the System:
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).
TREASURY/DO .213.
System name:
Bank Secrecy Act Reports System--Treasury/DO .213.
System location:
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 Service Newington, 7681 Boston Boulevard,
Springfield, Virginia, 22153-3140. Paper Records: Form 4790-U.S.
Customs Service, Newington, VA. All other forms, including, but not
limited to, Form 4789, TDF 90.22-1 and Form 8362--Internal Revenue
Service, Detroit, MI.
Categories of individuals covered by the system:
Persons identified in reports required to be filed under the Bank
Secrecy Act and its implementing regulations (31 CFR part 103)
including, but not limited to, reports made on IRS Form 4789 (Currency
Transaction Report), IRS Form 8362 (Currency Transaction Report by
Casinos), Customs Form 4790 (Report of International Transportation of
Currency or Monetary Instruments), Treasury Form TDF 90-22.1 (Report of
Foreign Bank and Financial Accounts), and forms filed by casinos
located in the State of Nevada in lieu of Form 8362. (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/DO .212.'')
Categories of records in the system:
Reports required to be filed under the Bank Secrecy Act and its
implementing regulations (31 CFR part 103) including, but not limited
to, reports made on IRS Form 4789 (Currency Transaction Report), IRS
Form 8362 (Currency Transaction Report by Casinos),
[[Page 69747]]
Customs Form 4790 (Report of International Transportation of Currency
or Monetary Instruments), Treasury Form TDF 90-22.1 (Report of Foreign
Bank and Financial Accounts), and forms filed by casinos located in the
State of Nevada in lieu of Form 8362. (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/DO .212.'') 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.
Authority for maintenance of the system:
12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5314, 5316-5330; 5
U.S.C. 301; 31 CFR part 103; Treasury Department Order No. 105-08.
Purposes:
The Bank Secrecy Act, codified at 12 U.S.C. 1829b and 1951-1959 and
31 U.S.C. 5311-5314, 5316-5330, 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.
Routine uses of records maintained in the system, Including Categories
of Users and the Purpose of Such Uses:
These records and information in these records may be used to: (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; (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; (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; (4) Disclose
information to Federal or State regulatory agencies or self regulatory
agencies responsible for supervising compliance with the Bank Secrecy
Act, limited to information relevant to meeting supervisory or
compliance responsibilities; (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; (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; (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; and (8) Provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, Retrieving, Accessing, Retaining,
And Disposing of Records in The System:
Storage:
Records are maintained in magnetic media and on hard paper copy.
Retrievability:
By name and other unique identifier.
Safeguards:
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.
Retention and Disposal:
Indefinite.
System Manager(s) and Address:
General Policy: Director, Financial Crimes Enforcement Network,
2070 Chain Bridge Road, Vienna, Virginia 22182-2536.
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 Service Newington, 7681 Boston Boulevard, Springfield,
Virginia, 22153-3140.
Notification Procedure:
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).
Record Access Procedures:
See ``Notification Procedure'' above.
Contesting Record Procedures:
See ``Notification Procedure'' above.
Record Source Categories:
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.
[[Page 69748]]
Exemptions Claimed for the System:
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.
BILLING CODE: 4810-31-P
Bureau of Alcohol, Tobacco, and Firearms
TREASURY/ATF .001
System name:
Administrative Record System--Treasury/ATF.
System location:
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 8290, 650 Massachusetts Avenue, NW, Washington, DC
20226.
Categories of individuals covered by the system:
(1) Present employees of the Bureau of ATF. (2) Former employees of
the Bureau of ATF. (3) Claimants against the Bureau of ATF.
Categories of records in the system:
(1) Accident Report--vehicle; (2) Fatality reports; (3) Injury
reports; (4) Chief Counsel and District Counsel memoranda and opinions.
Authority for maintenance of the system:
(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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets.
Inactive records stored in file folders at Federal Records Centers.
Retrievability:
Records are retrievable by name of individual.
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
Chief, Administrative Program Division, Bureau of Alcohol, Tobacco,
and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Notification procedure:
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
8290, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts
Avenue, NW, Washington, DC 20226.
Record access procedures:
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.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(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.
Exemptions claimed for the system:
None.
TREASURY/ATF .002
System name:
Correspondence Record System--Treasury/ATF.
System location:
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 8290, 650 Massachusetts Avenue, NW Washington, DC 20226.
Categories of individuals covered by the system:
(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
[[Page 69749]]
scientific matters relating to Bureau activities.
Categories of records in the system:
Correspondence with individuals who contact the Bureau requesting
information relating to Bureau personnel and/or activities, Chief
Counsel and Regional Counsel memoranda and opinions.
Authority for maintenance of the system:
5 U.S.C. 301, Executive Order 11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets.
Inactive records stored in file folders at Federal Records Centers.
Retrievability:
Records are retrieved by name, subject matter and date of
correspondence.
Safeguards:
Transmitted to routine users on a ``need to know'' basis. Stored in
lockable file cabinets in rooms locked during non-duty hours.
Retention and disposal:
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.
System manager(s) and address:
Liaison and Public Information, Bureau of Alcohol, Tobacco and
Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Notification procedure:
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
8290, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts
Avenue, NW, Washington, DC 20226.
Record access procedures:
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 8290, Bureau of Alcohol, Tobacco and
Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226. Appeals
may be delivered personally to room 8290, Bureau of Alcohol, Tobacco
and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Persons who correspond with the Bureau on general, technical or
scientific matters.
Exemptions claimed for the system:
None.
TREASURY/ATF .003
System name:
Criminal Investigation Report System--Treasury/ATF.
System location:
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 8290, 650 Massachusetts
Avenue, NW, Washington, DC 20226.
Categories of individuals covered by the system:
(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.
Categories of records in the system:
(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
[[Page 69750]]
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).
Authority for maintenance of the system:
(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. section 301.
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
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.
Retrievability:
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.
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
Associate Directors, Firearms Explosive & Arson, Alcohol and
Tobacco Field Operations and Science & Technology, Bureau of Alcohol,
Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC
20226.
Notification procedure:
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).
Record access procedures:
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).
Contesting record procedures:
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).
[[Page 69751]]
Record source categories:
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).
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a (j) and 31 CFR 1.36.
TREASURY/ATF .005
System name:
Freedom of Information Requests--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, Disclosure Division, 650
Massachusetts Avenue, NW, Washington, DC 20226.
Categories of individuals covered by the system:
Individuals who are requesting information.
Categories of records in the system:
Correspondence pursuant to the Freedom of Information Act, internal
processing documents and memoranda, referrals and copies of requested
records, and Chief Counsel and Regional Counsel memoranda and opinions.
Authority for maintenance of the system:
Freedom of Information Act, 5 U.S.C. 552.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to other agencies when required for coordination
of response or referral; (2) disclose information to the Department of
Justice for defending law suits; (3) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folders.
Retrievability:
By name of requester(s) and date of request.
Safeguards:
Filed in filing cabinet and released only to individuals with
legitimate right to review.
Retention and disposal:
In accordance with the provisions of the Act and Departmental
records management procedures.
System manager(s) and address:
Chief, Disclosure Division, Bureau of Alcohol, Tobacco and
Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Notification procedure:
See ``System manager.''
Record access procedures:
See ``System manager.''
Contesting record procedures:
See ``System manager.''
Record source categories:
Individuals who make Freedom of Information Act requests. Federal
officials responding to Freedom of Information Act requests and
documents from official records.
Exemptions claimed for the system:
None.
TREASURY/ATF .006
System name:
Internal Security Record System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW, Washington, DC 20226.
Categories of individuals covered by the system:
(1) Present employees of the Bureau of ATF. (2) Former employees of
the Bureau of ATF. (3) Applicants for employment. (4) Non-Bureau
employees involved in criminal acts toward Bureau employees and Bureau
property. (5) Individuals who were interviewed by Internal Affairs
Special Agents. (6) Contract employees.
Categories of records in the system:
(1) Records containing investigative material compiled for law
enforcement purposes including reports relating to: (a) Conduct of
employees and contract employees. (b) Integrity of employees. (2)
Records containing investigative material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
Federal civilian employment or access to classified information
including reports relating to security clearances of employees.
Authority for maintenance of the system:
18 U.S.C. 201, Executive Order 10450, Executive Order 11222.
Purpose(s):
This system is used to assure the Bureau Director, the Department
of the Treasury, and the public that the Bureau is taking strong and
vigorous steps to maintain the highest standards of integrity, loyalty,
conduct, and security among Bureau personnel and contract employees.
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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 law relating to the
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) 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; (6) a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (7)
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; (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.
[[Page 69752]]
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets
and computer system (hard disk). Inactive records stored in file
folders at Federal Records Center.
Retrievability:
Records are retrievable by name.
Safeguards:
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 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.
Retention and disposal:
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.
System manager(s) and address:
Assistant Director (Office of Inspection), Bureau of Alcohol,
Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC
20226.
Notification procedure:
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).
Record access procedures:
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).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Employees of this Bureau; (2) Internal Investigative report
forms; (3) Witnesses; (4) Informants; (5) Federal, state and local
enforcement agencies; (6) Employers; (7) Educational institutions; (8)
Credit agencies; (9) Neighbors; (10) References; (11) Professional
Organizations; (12) Other government agencies; (13) Claimants; (14)
Victims.
Exemptions claimed for the system:
Portions exempt under 5 U.S.C. 552a (k) (relating to security
clearances) and 5 U.S.C. 552a (k)(2) (relating to conduct and
integrity) and 31 CFR 1.36.
TREASURY/ATF .007
System name:
Personnel Record System--Treasury/ATF.
System location:
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 8290, 650 Massachusetts Avenue, NW, Washington, DC
20226.
Categories of individuals covered by the system:
(1) Present Employees of the Bureau of ATF. (2) Former Employees of
the Bureau of ATF. (3) Applicants for employment with ATF.
Categories of records in the system:
(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.
Authority for maintenance of the system:
(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. (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)
Pub. L. 92-261 (Equal Employment Act of 1972). (16) Pub. L. 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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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 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.
[[Page 69753]]
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
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.
Retrievability:
Records are retrievable by name, date of birth, social security
number, employee identification number, or a combination of any of
these four.
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
Assistant Director (Management)/Chief Financial Officer, Bureau of
Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226.
Notification procedure:
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).
Record access procedures:
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).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(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.
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a (k) and 31 CFR 1.36.
TREASURY/ATF .008
System name:
Regulatory Enforcement Record System--Treasury/ATF.
System location:
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 8290, 650 Massachusetts Avenue, NW, Washington, DC
20226.
Categories of individuals covered by the system:
(1) Individuals who have been issued permits or licenses, have
filed applications with ATF, or have registered with ATF as: (a)
Brewers; (b) Claimants for refund, abatement, credit, allowance or
drawback of excise or special occupational taxes; (c) Collectors of
firearms or ammunition; (d) Importers of firearms or ammunition, and
(e) Users of explosive materials.
Categories of records in the system:
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.
Authority for maintenance of the system:
(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.
[[Page 69754]]
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 FR 11696, dated
June 19, 1972). (50) 5 U.S.C. 301. (51) 26 U.S.C. 5181.
Purpose(s):
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 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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in filing cabinets and in
electronic media.
Retrievability:
Records are retrievable by name, permit or license number, by
document locator number, or by employer Identification Number (EIN).
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
Assistant Directors (Firearms Explosive & Arson, Alcohol and
Tobacco Field Operations and Science & Technology), Bureau of Alcohol,
Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC
20226.
Notification procedure:
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).
Record access procedures:
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).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(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.
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a (k)(2) and 31 CFR 1.36.
TREASURY/ATF .009
System name:
Technical and Scientific Services Record System--Treasury/ATF.
System location:
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 8290, 650 Pennsylvania
Avenue, NW, Washington, DC 20226.
Categories of individuals covered by the system:
(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
[[Page 69755]]
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.
Categories of records in the system:
(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.
Authority for maintenance of the system:
(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), 517
9(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.
Purpose(s):
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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, 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Active records stored in file folders and in electronic media.
Retrievability:
Records are retrievable by name, by unique identifier, control
number, serial number of National Firearms Act firearms.
Safeguards:
Stored in file cabinets locked during non-duty hours.
Retention and disposal:
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.
System manager(s) and address:
Assistant Directors (Firearms Explosive & Arson, Alcohol and
Tobacco Field Operations and Science & Technology), Bureau of Alcohol,
Tobacco and Firearms, 650 Massachusetts Avenue, NW, Washington, DC
20226.
Notification procedure:
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).
Record access procedures:
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).
Contesting record procedures:
See ``Record access procedures'' above.
[[Page 69756]]
Record source categories:
(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.
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a(k)(2) and 31 CFR 1.36.
BILLING CODE: 4810-33-P
Comptroller of the Currency
TREASURY/COMPTROLLER .004
System name:
Consumer Complaint and Inquiry Information System--Treasury/
Comptroller.
System location:
Office of the Comptroller of the Currency, Customer Assistance
Group, 1301 McKinney Street, Suite 3710, Houston, Texas 77010.
Categories of individuals covered by the system:
Persons who file complaints against national banks and those who
make inquiries about banks or banking issues, whether filed or made
directly or through second parties--e.g., attorneys, Congressional
representatives, or others.
Categories of records in the system:
Records maintained in the system include: The name and address of
the correspondent; the name and charter number of the involved national
bank(s); the dates of the incoming correspondence and its receipt,
numeric codes identifying the nature of the complaint or inquiry, the
source of the complaint or inquiry, and the type of resolution;
identification of the involved OCC district or supervisory office and
the OCC personnel assigned to review the correspondence; the resolution
date; and, if appropriate, the amount of reimbursement. Supporting
records include documents and correspondence submitted by complainants
and individuals making inquiries.
Authority for maintenance of the system:
12 U.S.C. 1, et.seq., 5 U.S.C. 301, 15 U.S.C. 41 et. seq.
Purpose(s):
The information in these and supporting records is maintained by
OCC staff in its consumer affairs program for the investigation and
resolution of consumer complaints and inquiries; and by OCC staff in
the supervision of national banks.
Routine uses of records maintained in the system, including Categories
of users and the purposes of such uses:
The information in these records may be disclosed by OCC staff to
respond to Congressional inquiries and the referral of complaints or
inquiries made on behalf of constituents and to provide statistical
data to Congress and federal or state agencies. Redacted copies of the
files may be used in response to Congressional inquiries on specific
subjects.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are stored electronically.
Supporting records or materials are maintained in file folders and
cabinets.
Retrievability:
Correspondence records are retrieved from the Customer Assistance
Group's office using either: (a) The name of the correspondent, the
correspondent's representative, or the Congressman or Senator who has
made inquiry on behalf of a constituent; or (b) the identification
number assigned to the correspondence.
Safeguards:
Access to electronic records is limited to users in appropriate OCC
units having appropriate identification codes and passwords. Supporting
records or materials are maintained in locked file rooms.
Retention and disposal:
Electronic records are maintained indefinitely. Supporting records
and materials are retained in accordance with the OCC's record
management policies.
System manager(s) and address:
Ombudsman, Office of the Comptroller of the Currency, 1301 McKinney
Street, Suite 3710, Houston, Texas 77010.
Notification procedure:
Individuals who wish to be notified if they are named in the system
may write or call the Disclosure Officer, Communications, Office of the
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
Telephone 202-874-4700. Persons requesting such information must
provide their name, address, name of the involved bank, the date of
their complaint or inquiry, and, if available, the complaint
identification number.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The initial source is the person filing a complaint against a
national bank or making an inquiry about a bank or banking issue.
Subsequent sources are from bank correspondence, bank files, or from
reports based on on-site investigations.
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .012
System name:
Freedom of Information Index and Log--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Disclosure Office,
250 E Street, SW, Washington, DC 20219.
Categories of individuals covered by the system:
Persons making requests under the Freedom of Information Act
(FOIA).
Categories of records in the system:
Names of individuals making written requests for records under the
FOIA, the mailing addresses of such individuals, and the dates of such
requests and their receipt by the OCC. Supporting records include the
written correspondence received from the requesters and the responses
made to such requests by the OCC. Comparable records are maintained in
this system with respect to any appeals made from initial denials of
access.
Authority for maintenance of the system:
12 U.S.C. 1, 5 U.S.C. 301, and 5 U.S.C. 552.
Purpose(s):
Records are maintained to facilitate fulfillment of the
responsibilities of the OCC under the FOIA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be made available to other federal agencies as
well as third parties.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are stored electronically.
Supporting
[[Page 69757]]
records or materials are maintained in unlocked file cabinets.
Retrievability:
Records may be retrieved by the name of a requester or the FOIA
case number assigned to a request.
Safeguards:
Access to electronic records is restricted through use of passwords
assigned to personnel of the OCC's Disclosure Office.
Retention and disposal:
Electronic records are maintained indefinitely. Supporting records
and materials are retained in accordance with the OCC's records
management policies.
System manager(s) and address:
Disclosure Officer, Communications, Office of the Comptroller of
the Currency, 250 E Street, SW, Washington, DC 20219. Telephone 202-
874-4700.
Notification procedure:
Individuals wishing to be notified if they are named in this system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219. Telephone 202-874-4700.
Record access procedure:
See Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Persons making written requests under the FOIA for access to OCC
records.
Exemptions Claimed for this System:
None.
TREASURY/COMPTROLLER .013
System name:
Enforcement and Compliance Information System--Treasury/
Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Enforcement and
Compliance Division, 250 E Street, SW, Washington, DC 20219.
Computerized records of Suspicious Activity Reports (SAR),
administrative actions, with status updates, are managed by FinCEN,
Department of the Treasury, pursuant to a contractual agreement, and
are stored at the IRS Computing Center in Detroit, Michigan. Authorized
personnel at the Federal financial regulatory agencies have on-line
access to the computerized database managed by FinCEN through
individual work stations that are linked to the database central
computer.
Categories of individuals covered by the system:
Directors, officers, employees, shareholders, agents, and persons
participating in the conduct of the affairs of entities regulated by
the OCC who have been involved in suspected criminal activity or
suspicious financial transactions and referred to law enforcement
officials; and/or who have been involved in irregularities, violations
of law, unsafe or unsound practices and/or breaches of fiduciary duty
and have been the subject of an administrative action taken by the OCC.
Categories of records in the system:
SAR filed by national banks and/or by national bank examiners or
attorneys for the OCC. The SAR contains information identifying the
financial institution involved, the suspected person, the type of
suspicious activity involved, the amount of loss known, and any
witnesses. Also, administrative actions taken by the OCC against
directors, officers, employees, shareholders, agents, and persons
participating in the conduct of the affairs of entities regulated by
the OCC.
Authority for maintenance of the system:
12 U.S.C. 481, 1817(j), 1818, and 1820; 15 U.S.C. 78c(a)(34),
78l(I), 78u, 78o-4.
Purpose(s):
The overall system serves as a central OCC repository for
investigatory or enforcement information related to the responsibility
of the OCC to examine and supervise entities regulated by the OCC.
The system maintained by FinCEN serves as the database for the
cooperative storage, retrieval, analysis, and use of information
relating to Suspicious Activity Reports made to or by the Federal
financial regulatory agencies and FinCEN to various law enforcement
agencies for possible criminal, civil, or administrative proceedings
based on known or suspected violations affecting or involving persons,
financial institutions, or other entities under the supervision or
jurisdiction of such Federal financial regulatory agencies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used to: (1) Provide the
Department of Justice with periodic reports that indicate the number,
amount, individual identity, and other details concerning outstanding
potential criminal violations of the law that have been referred to the
Department; (2) Provide the Federal financial regulatory agencies and
FinCEN with information relevant to their operations; (3) Disclose
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (4) Provide information or records to any appropriate
domestic or foreign governmental agency or self-regulatory organization
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, policy, or license;
(5) Disclose, when considered appropriate, information to a bar
association, or other trade or professional organization performing
similar functions, for possible disciplinary action; (6) Disclose
information, when appropriate, to international and foreign
governmental authorities in accordance with law and formal or informal
international agreements; (7) Disclose the existence, but not
necessarily the content, of information or records in cases where the
OCC is a party or has a direct interest and where the OCC, in its sole
discretion, has concluded that such disclosure is necessary; and (8)
Disclose information to any person with whom the OCC contracts to
reproduce, by typing, photocopying or other means, any record within
this system for use by the OCC and its staff in connection with their
official duties or to any person who is utilized by the OCC to perform
clerical or stenographic functions relating to the official business of
the OCC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic media and in paper and card
files.
Retrievability:
Computer output, file folders, and card files are retrievable by
indexes of data fields, including name of financial institution and
individuals' names.
Safeguards:
Paper and card files are stored in lockable metal file cabinets.
Computer disks maintained at the OCC are accessed only by authorized
personnel. The database maintained by FinCEN complies with applicable
security requirements of the Department of the
[[Page 69758]]
Treasury. On-line access to the information in the database is limited
to authorized individuals who have been specified by each Federal
financial regulatory agency and FinCEN, and each such individual has
been issued a non-transferable identifier or password.
Retention and disposal:
Records are maintained indefinitely.
System manager(s) and address:
Director, Enforcement and Compliance Division, OCC, 250 E Street,
SW, Washington, DC 20219.
Notification procedure:
Certain records in this system are exempt from notification and
record-access requirements and requirements that an individual be
permitted to contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2)
as relating to investigatory material compiled for law enforcement
purposes. Requests relating to records not subject to exemption should
be sent to the OCC's Disclosure Officer, Communications, Office of the
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
Telephone 202-874-4700. Requesters must attest to their identity and
provide data supporting this identification.
Record access procedure:
See ``Notification procedures'' above.
Contesting record procedures:
See ``Notification procedures'' above.
Record source categories:
Suspicious activity reports and related historical information and
updating forms and administrative actions taken against individuals
compiled by the OCC and the other Federal financial regulatory agencies
for law enforcement purposes. The OCC will also include information
from its Enforcement and Compliance Information System.
Exemptions claimed for the system:
Components of this system have been designated as exempt from 5
U.S.C. 552a (c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G),
(e)(4)(H), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2) and (k)(2).
TREASURY/COMPTROLLER .014
System name:
Personnel Security/Investigation Files/Employee/Applicant Reference
File--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Administrative
Services Division, 250 E Street, SW, Washington, DC 20219. Components
of this system are geographically dispersed throughout the following
six (6) district offices.
(1) Northeastern District: New York District Office, 1114 Avenue of
the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial Place,
Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
Categories of individuals covered by the system:
Applicants for employment with and employees of the Comptroller of
the Currency.
Categories of records in the system:
Compilation of material for a determination regarding employability
and/or Security Clearance.
Authority for maintenance of the system:
12 U.S.C. 1; 5 U.S.C. 301; and EO 10450 and 12356.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Locked steel file cabinets located in a room secured with a key
lock.
Retrievability:
Filed in alphabetical order.
Safeguards:
Locked Steel file cabinets located in a room secured with a key
lock. Only the security officer within the Human Resources area has
access.
Retention and disposal:
Materials are retained for three months after employee leaves and
the records are disposed by shredding.
System manager(s) and address:
Director, Administrative Services Division, Office of the
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219. Telephone 202-874-4700. Individuals wishing to be notified if
they are named in the system must provide (1) the category and type of
records sought; and (2) attestation to their identity and at least two
items of secondary identification.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The information contained in these records is provided by subject
of the record: employers, co-workers, friends, neighbors and
associates, and finances.
Exemptions claimed for the system:
Portions of this system have been designated as exempt from certain
provisions of the Privacy Act pursuant to 5 U.S.C. 552a (k)(5).
TREASURY/COMPTROLLER .015
System name:
Chain Banking Organizations System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), 250 E Street, SW,
Washington, DC 20219, and the OCC's district offices, as follows:
(1) Northeastern District: New York District Office, 1114 Avenue of
the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial Place,
Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
[[Page 69759]]
Categories of individuals covered by the system:
Individuals who directly, or indirectly, or in concert with others,
own and/or control a chain banking organization.
Categories of records in the system:
Records consist of two types of data: (1) Name of an individual (or
group of individuals acting in concert) that owns or controls a chain
banking organization; and (2) information concerning each bank in the
chain, such as: name; location; charter number; charter type; date of
last examination; percentage of outstanding stock owned by controlling
individual or group; and, if applicable, name of intermediate holding
entity and percentage of it held by controlling individual or group.
Authority for maintenance of the system:
12 U.S.C. 1, 12 U.S.C. 481, 12 U.S.C. 1817(j).
Purpose(s):
These records are maintained and used within the OCC to carry out
the agency's supervisory responsibilities with respect to national and
district banks.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purpose of Such Uses:
The records may be used to: (1) Disclose information about specific
chain banking organizations to other financial institution supervisory
authorities for: (a) Coordination of examining resources when the chain
banking organization is composed of banks or financial institutions
subject to multiple supervisory jurisdiction; (b) coordination of
evaluations and analysis of the condition of the consolidated chain
group; (c) coordination of supervisory, corrective, or enforcement
actions; (2) disclose information to the extent provided by law or
regulation and as necessary to report any apparent violations of law to
appropriate law enforcement agencies; (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; (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 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; (5)
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 or civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (6) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are stored electronically or in hard
copy printouts stored in file cabinets.
Retrievability:
Records may be retrieved by district location, state,
alphabetically by surname of the individual(s) and/or entity
controlling the chain banking organization.
Safeguards:
Access to electronic records is restricted to personnel of the
OCC's Core Policy Development unit and the OCC's district offices.
Access to hard copy printouts is restricted to OCC personnel who have a
need for such records in the performance of their duties.
Retention and disposal:
Electronic records are maintained indefinitely. Hard copy printouts
are maintained in accordance with the OCC's record management policies.
System Manager(s) and Address:
Director, Core Policy Development, Office of the Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Notification procedure:
Individuals who wish to be notified if they are named in the system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219. Telephone 202-874-4700. Individuals must provide the name and
location of the bank(s) which they control individually or in concert
with others. Requesters may also be required to attest to their
identity and/or submit data substantiating such identity.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedure:
See ``Notification procedure'' above.
Record source categories:
Information that identifies chain banking groups primarily is
gathered from: (1) Examination reports and related materials; (2)
regulatory filings; and (3) Change in Bank Control notices filed
pursuant to 12 U.S.C. 1817(j).
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .016
System name:
Litigation Information System (LIS)--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Litigation
Division, 250 E Street, SW, Washington, DC 20219.
Categories of individuals covered by the system:
(A) Individuals who file administrative or judicial claims against
the OCC and/or officials or employees of the OCC in their capacity as
such; (B) individuals against whom the OCC files administrative or
judicial claims; (C) individuals named as party-plaintiffs or
defendants in administrative or judicial claims in which the OCC
participates as a nonparty; (D) all other individuals, including actual
or potential witnesses, involved in litigation brought by or against
the OCC or in which the OCC participates as a nonparty; and (E) persons
submitting requests for testimony and/or production of documents
pursuant to 12 CFR part 4, subpart C.
Categories of records in the system:
All records generated in connection with the claim or litigation,
including evidentiary material, transcripts of testimony, documents
prepared for administrative or judicial proceedings, correspondence,
and staff memoranda and records relating to requests for information
pursuant to 12 CFR part 4, subpart C.
Authority for maintenance of the system:
12 U.S.C. 1 and 481; 15 U.S.C. 78c(a)(34), 78(I), 78o-4.
Purpose(s):
The information maintained in this system is utilized within the
OCC to assist in the representation of the agency's interests in
administrative and judicial claims by or against the OCC.
[[Page 69760]]
Routine uses of records maintained in the system, including Categories
of users and the purposes of such uses:
These records may be used to: (1) provide the Department of Justice
with pleadings, memoranda, correspondence, litigation reports, and
other documents that will assist it in the preparation of litigation
involving the OCC; (2) disclose information to the news media in
accordance with guidelines contained in 28 CFR 50.2, which covers the
release of information relating to civil and criminal proceedings; (3)
disclose information to a court, magistrate, or administrative tribunal
in the course of presenting evidence, including disclosure to opposing
counsel or potential or actual witnesses in the course of discovery, in
litigation, or in settlement negotiations, or in response to a
subpoena, where relevant or potentially relevant to the proceeding; (4)
provide information or records to any other appropriate domestic or
foreign governmental agency or self-regulatory organization charged
with responsibility of administering law or investigating or
prosecuting violations of law or charged with enforcing or implementing
statutes, rules, regulations or orders pursuant thereto; (5) disclose
information to bank and consumer groups; and (6) disclose information
to any person with whom the OCC contracts to reproduce by typing,
photocopy, or other means, any record within the system of records for
use by the OCC and its staff in connection with their official duties
or to any person who is utilized by the OCC to perform clerical or
stenographic functions relating to the official business of the OCC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are maintained in file folders kept
in lockable file cabinets.
Retrievability:
Access to the records is by name of the individual litigant(s),
witness(es), or requester(s).
Safeguards:
Records are accessible only to authorized personnel.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies.
System manager(s) and address:
Director, Litigation Division, Office of the Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219. Telephone 202-874-4700. Individuals wishing to be notified if
they are named in the system must provide: (1) The name of the action
in which a claim has been asserted; (2) the date in which the action
was initiated or completed; and (3) attestation to their identity and
at least two items of secondary identification.
Record access procedure:
See ``Notification procedure'' above.
Contesting Record Procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals who file claims against or otherwise are involved in
legal proceedings to which the OCC or an official or employee in such
capacity is a party or in which the OCC otherwise participates;
communications and documents generated or received by the OCC or its
officials or employees in the course of legal proceedings; persons
submitting requests for testimony and/or production of documents.
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .221
System name:
Registration Records for Municipal and United States Government
Securities Dealers--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Treasury and
Market Risk Division, 250 E Street SW, Washington, DC 20219.
Categories of individuals covered by the system:
Persons who are or seek to be associated with a municipal
securities dealer or a government securities broker/dealer which is a
national or District of Columbia bank, or a department or division of
any such bank, in the capacity of municipal securities principals,
municipal securities representatives, or government security associated
persons.
Categories of records in the system:
These records contain identifying information, detailed educational
and occupational histories, certain professional qualifications,
examination information, disciplinary histories, and information
concerning the termination of employment of individuals covered by the
system. Identifying information includes name, address history, date
and place of birth, and may include Social Security number.
Authority for maintenance of the system:
12 U.S.C. 1 et seq and section 15B(c), 17 and 23 of the Securities
Exchange Act of 1934 (15 U.S.C. 78o-4(c)(5), 78o-5(a)(1)(B)(ii), 78o-
5(b)(2)(C)(ii), 78q(c) and 78w).
Purpose(s):
These records are maintained and used within the OCC to carry out
the agency's supervisory responsibilities with respect to national and
district banks, the securities activities of such institutions, and the
professional qualifications of bank officials engaged in these
activities.
Routine uses of records maintained in the system, including categories
of users and the purposes of such systems:
The information contained in these records may be subject to the
following uses: (1) Referral to the appropriate governmental authority,
whether Federal, State, local, or foreign, or to the appropriate self-
regulatory organization, of such information as may indicate a
violation or potential violation of law, regulation, or rule; (2)
referral to the appropriate court, magistrate, or administrative law
judge of such information as may be relevant to proceedings before any
such court or judicial officer; (3) disclosure of such information as
may aid in the resolution of any action or proceeding: (a) In which the
Federal securities or banking laws are at issue; (b) in which the
propriety of any disclosure of information contained in the system is
at issue; or (c) to which the OCC or a past or present member of its
staff is a party or otherwise involved in an official capacity; (4)
disclosure to a Federal, State, local, or foreign governmental
authority, or to a selfregulatory organization, of such information as
may be necessary to obtain from such authority or organization
additional information concerning the qualifications of an individual
covered by the system; (5) disclosure of such information as may be
necessary to respond to a request from a Federal, State, local, or
foreign governmental authority, or from a self-regulatory
[[Page 69761]]
organization, for information needed in connection with the issuance of
a license, granting of a benefit, or similar action by such authority
or organization affecting an individual covered by the system; and (6)
disclosure of such information as may be necessary to respond to any
Congressional inquiry undertaken at the request of an individual
covered by the system.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are stored electronically.
Supporting records or materials are maintained in file folders.
Retrievability:
Records are indexed by name of individual and by a numerical
identifier assigned by the OCC.
Safeguards:
Computerized data base is accessible to only authorized personnel.
File folders are stored in lockable metal cabinets.
Retention and disposal:
Electronic records are maintained indefinitely. Supporting records
and materials are retained in accordance with the OCC's records
management policies.
System manager(s) and address:
Director, Treasury and Market Risk Division, Office of the
Comptroller of the Currency, 250 E Street SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219. Telephone 202-874-4700. Individuals may be required to attest to
their identity and/or submit data substantiating such identity.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Those individuals and municipal and U.S. Government securities
dealers described in the section entitled ``Categories of individuals
covered by the system'' provide the bulk of information in the system.
Additional input is provided by Federal, State, local, and foreign
governmental authorities, and by self-regulatory organizations, which
regulate the securities industry.
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .300
System name:
Administrative Personnel System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Administrative
Services Division, 250 E Street, SW, Washington, DC 20219. Components
of this system are geographically dispersed throughout the following
six district offices:
(1) Northeastern District: New York District Office, 1114 Avenue of
the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial Place,
Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
Categories of records in the system:
Employment related administrative records. This system contains
internal control type information about employees and contractual users
of agency facilities and systems. The type of records found within this
system are: List of individuals who are issued building passes, credit
or identification cards, parking permits, accountable property and
travel documents; lists of individuals who perform specialized duties
(building wardens, relocation teams, safety officers, and civil defense
officers); reports about individuals who are involved in accidents
while employed, and authorization codes for use of internal computer
systems.
Authority for maintenance of the system:
General authority: 12 U.S.C. 1, 481, 482 and 5 U.S.C. 301. Specific
authority is derived from a number of laws, regulations and Executive
Orders.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
The Office of Personnel Management (OPM) for the purpose of complying
with regulations issued by the OPM; (2) the General Services
Administration (GSA) for the purpose of complying with regulations
issued by the GSA; (3) the Department of Labor for the purpose of
investigating claims for work related injuries.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, magnetic tape, lists and forms.
Retrievability:
Records are retrieved primarily by name (filed alphabetically by
category of records); secondary identifiers are used to assure accuracy
(date of birth, social security number or employee identification
number).
Safeguards:
Records are stored in lockable cabinets or secure rooms; access is
limited to officials who have a need for the information; employees are
trained to make only authorized disclosures.
Retention and disposal:
Personnel-type records are retained for thirty (30) days after
termination. All other records are retained and destroyed in accordance
with published disposition and retention schedules.
System manager(s) and address:
Director, Administrative Services Division, Office of the
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219, Telephone 202-874-4700. Individuals wishing to be notified if
they are named in the system must provide: (1) The category and type of
record sought; (2) the location of the OCC office where last employed;
and (3) attestation to their identity and at least two items of
secondary identification.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
[[Page 69762]]
Record source categories:
The information in these records was provided by or verified by the
subject of the record, employers and co-workers.
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .310
System name:
Financial System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Financial
Services, 250 E Street, SW, Washington, DC 20219. Components of this
system are geographically dispersed throughout the following six
district offices:
(1) Northeastern District: New York District Office, 1114 Avenue of
the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial Place,
Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
Categories of individuals covered by the system:
Present and past employees of the Office of the Comptroller of the
Currency.
Categories of records in the system:
This system contains payroll and disbursement type records
including: Travel records, debt information, and information about
employees. The types of records found within this system are: Award,
allowance, salary, fund advancement justification and disbursement
records; personnel information; leave information; payroll deductions
for taxes, life and health insurance, financial institutions,
retirement funds including the Federal Employees Retirement System and
the Civil Service Retirement System, Thrift Savings Plan, and
charitable groups.
Authority for maintenance of the system:
General authority: 12 U.S.C. 1, 481, 482; 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
furnish the Internal Revenue Service and other jurisdictions which are
authorized to tax the employee's 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;
(2) furnish the Office of Personnel Management (OPM) with data to
update the Central Personnel Data File and other statistical reports as
required for the purpose of complying with regulations issued by OPM;
(3) furnish another Federal agency information to effect interagency
salary offset; to furnish another Federal agency information to effect
interagency administrative offset, except that addresses obtained from
the Internal Revenue Service shall not be disclosed to other
governmental agencies; 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
debt collection agencies for collection services; (4) the General
Services Administration (GSA) for the purpose of complying with
regulations issued by GSA; (5) the General Accounting Office for the
purpose of conducting audits; (6) entities designated to receive
payroll deductions; (7) Department of Labor to determine eligibility
for unemployment benefits; (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 in
response to a subpoena, or in connection with criminal law proceedings.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552(b)(12) and section 3 of the
Debt Collection Act of 1982; 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
(Pub. L. 97-365), to consumer reporting agencies to encourage repayment
of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders, magnetic media including computer discs
and tapes, microfiche, and hard copy printout. Disbursement records are
stored at the Federal Records Center.
Retrievability:
Records are retrieved primarily by name (filed alphabetically), or
an assigned identification number (Social Security Number or an
assigned identification number). Secondary identifiers are used to
assure accuracy of data assessed, including date of birth, Social
Security number, or employee identification number.
Safeguards:
File folders are stored in lockable cabinets or secure rooms;
access is limited to officials who have a need for the information;
employees are trained to make only authorized disclosures. Computer
records are accessed only by authorized personnel.
RETENTION AND DISPOSAL:
Payroll and disbursement records are retained by the Office in
accordance with the Comptroller of the Currency's Comprehensive Records
Disposition Schedule.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Financial Officer, Financial Services, Office of the
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
NOTIFICATION PROCEDURE:
Individuals wishing to be notified if they are named in this system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219, Telephone 202-874-4700. Individuals wishing to be notified if
they are named in the system must provide: (1) The category and type of
record sought; (2) the location of the OCC office where last employed;
and (3) attestation to their identity and at least two items of
secondary identification.
RECORD ACCESS PROCEDURE:
See ``Notification procedure'' above.
CONTESTING RECORD PROCEDURES:
See ``Notification procedure'' above.
RECORD SOURCE CATEGORIES:
The information contained in these records is provided by or
verified by the subject of the record and OCC employees.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[[Page 69763]]
TREASURY/COMPTROLLER .320
SYSTEM NAME:
General Personnel System--Treasury/Comptroller.
SYSTEM LOCATION:
Office of the Comptroller of the Currency (OCC), Human Resources,
250 E Street, SW, Washington, DC 20219. Components of this system are
geographically dispersed throughout the following six district offices:
(1) Northeastern District: New York District Office, 1114 Avenue of
the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial Place,
Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Present and past employees and applicants for employment.
CATEGORIES OF RECORDS IN THE SYSTEM:
Employment related biographical and performance material. This
category of records is typically identified as personnel type records
and contains data about employees and applicants. The records found
within this category include: Performance evaluations; educational,
employment, medical and military histories; employee benefit
applications, forms and claims; travel and relocation claims; locator
and emergency contact information; dependent and beneficiary
information; physical and qualification descriptions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
General authority--12 U.S.C. 1, 481, 482, and 5 U.S.C. 301.
Specific authority is derived from a number of laws, regulations and
Executive Orders.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
A record in this system may be disclosed as a routine use to: (1)
The Office of Personnel Management (OPM) for the purpose of complying
with regulations issued by the OPM; (2) the Veterans Administration
(VA) for the purposes of determining veterans preference and pension
benefits; (3) the Equal Employment Opportunity Commission for the
purpose of providing minority information and case reports; (4) respond
to requests from labor organizations for names of employees and
identifying information; (5) the Department of Labor for the purpose of
reporting health and safety matters; (6) the General Services
Administration (GSA) for the purpose of complying with regulations
issued by GSA; (7) the Merit Systems Protection Board for the purpose
of providing necessary information relating to employee appeals; (8)
the Department of Labor to provide information relative to Unemployment
Compensation and OWCP claims.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders, magnetic media, microfiche, printouts, lists and
forms.
RETRIEVABILITY:
Records are retrieved primarily by name (filed alphabetically by
category of records). Secondary identifiers are used to assure accuracy
(date of birth, Social Security number or employee identification
number).
SAFEGUAREDS:
Records are stored in lockable cabinets, electronic data bases
requiring security access codes or secure rooms; access is limited to
officials who have a need for the information; employees are trained to
make only authorized disclosures. Records maintained with vendors are
under contractual obligation to maintain confidentiality.
RETENTION AND DISPOSAL:
Most personnel-type records are retained for thirty (30) days after
termination, at which time they are transferred to the Federal Records
Center or destroyed. Some records are retained for varying periods of
time in accordance with Federal Personnel Manual Regulations.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Human Resources, Office of the Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
NOTIFICATION PROCEDURE:
Individuals wishing to be notified if they are named in this system
should contact the OCC's Disclosure Officer, Communications, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219, Telephone 202-874-4700. Individuals wishing to be notified if
they are named in the system must provide: (1) The category and type of
record sought; (2) the location of the OCC office where last employed;
and (3) attestation to their identity and at least two items of
secondary identification.
RECORD ACCESS PROCEDURE:
See ``Notification procedure'' above.
CONTESTING RECORD PROCEDURES:
See ``Notification procedure'' above.
RECORD SOURCE CATEGORIES:
The information contained in these records was provided or verified
by the subject of the record, employers, co-workers, friends, neighbors
and associates listed as references, financial and educational
institutions.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/COMPTROLLER .500
SYSTEM NAME:
Chief Counsel's Management Information System--Treasury/
Comptroller.
SYSTEM LOCATION:
Office of the Comptroller of the Currency (OCC), Chief Counsel, 250
E Street, SW, Washington, DC 20219. Supporting records and materials
are maintained by components of the OCC's Law Department, including the
legal staffs located in the following six district offices.
(1) Northeastern District: New York District Office, 1114 Avenue of
the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial Place,
Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
Categories of individuals covered by the system:
Persons who: (1) Have requested information or action from OCC's
Law Department, (2) have initiated administrative or judicial actions
against the OCC and/or officials or
[[Page 69764]]
employees of the OCC in their capacity as such; (3) persons against
whom the OCC has filed, or may file, administrative or judicial
actions; and (4) persons referenced in documents received by the Law
Department in the course of the OCC's bank supervisory functions.
Categories of records in the system:
Records maintained electronically in this system relate to work
assignments received by the OCC's Law Department and may include, as
appropriate, the name and organization of the individual requesting
information or action, the name and organization of the individual who
is the subject of such a request, the staff attorney assigned to a
request, and a description of the assignment and its nature. Supporting
records include the written correspondence received from the requesters
and related materials.
Authority for maintenance of the system:
12 U.S.C. 1, 12 U.S.C. 481, 5 U.S.C. 301.
Purpose(s):
The records maintained in this system relate to work assignments
made to members of the OCC's legal staff. These matters relate to the
OCC's status as an agency responsible for the chartering and
supervision of national banks and the interpretation and enforcement of
those laws, regulations, and rules applicable to these institutions and
their directors, officers, and employees.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The information contained in these records may also be subject to
the following uses: (1) The disclosure of 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; (2) the
disclosure of 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; (3) the
disclosure of 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; and (4) the provision of
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are stored electronically.
Supporting records or materials are maintained in file folders and
cabinets.
Retrievability:
Records are indexed on a variety of data elements, including a
correspondent's name and organization, the assigned attorney, the
nature of an assignment, the dates of the correspondence and its
receipt by the OCC, and the date of the assignment's completion.
Safeguards:
The electronic data base is accessible to only authorized personnel
having assigned identification codes and passwords. With respect to
supporting records and materials, employees are trained to make
disclosures of such information to only those individuals who have a
need for the information.
Retention and disposal:
Electronic records are maintained indefinitely. Supporting records
and materials are retained in accordance with the OCC's records
management policies.
System manager(s) and address:
Chief Counsel, Office of the Comptroller of the Currency, 250 E
Street, SW, Washington, DC 20219.
Notification procedure:
The system contains records which are exempt under 5 U.S.C.
552a(j)(2) or 552a(k)(2). Requests relating to records not subject to
these exemptions should be sent to the Disclosure Officer,
Communications, Office of the Comptroller of the Currency, 250 E
Street, SW, Washington, DC 20219, telephone 202-874-4700. Individuals
wishing to be notified if they are named in the system may be required
to attest to their identity and/or submit data substantiating such
identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Materials received by the Law Department from various sources,
including, inter alia, correspondence or requests received from members
of the public, national banks and their affiliated organizations or
directors, officers, employees or agents, other Federal agencies, state
and local agencies, and OCC personnel.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3)(4), (d)(1)(2)(3)(4),
(e)(1)(2)(3)(4), (G), (H), and (I), (e)(5) and (8), (f), and (g) of the
Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
BILLING CODE: 4820-02-P
U.S. Customs Service
TREASURY/CS-001
System name:
Acceptable Level of Competence, Negative Determination--Treasury/
Customs.
System location:
Located in Customs Headquarters Offices and in each Customs
Management Center, Port, SAC, and appropriate post of duty.
Categories of individuals covered by the system:
Any employee of U.S. Customs Service, who receives a negative
determination regarding acceptable level of competence.
Categories of records in the system:
Employee's name, social security number, position description,
grade, and correspondence containing specific reasons for negative
determination.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (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; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or
[[Page 69765]]
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; (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; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform Act
of 1978, 5 U.S.C. 7111 and 7114; (6) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and stored in locked file
cabinets.
Retrievability:
The records are filed by the individual's name.
Safeguards:
Stored in locked cabinets.
Retention and disposal:
Records are retained until the employee leaves the Customs Service.
System manager(s) and address:
Director, Labor and Employee Relations Division, Office of Human
Resources, Customs Headquarters, or Labor and Employee Relations
Office, Customs Management Center Headquarters, or appropriate
managerial official in employee's, SAC, port or post of duty offices.
Notification procedure:
Correspondence with systems manager.
Record access procedures:
Correspondence with systems manager.
Contesting record procedures:
Correspondence with systems manager.
Record source categories:
Information is furnished by the employee, employee's supervisor and
the Merit Systems Protection Board.
Exemptions claimed for the system:
None.
TREASURY/CS .002
System name:
Accident Reports--Treasury/Customs.
System location:
Field Mission Support, U. S. Customs Service, 555 Battery Street,
Rm. 326, San Francisco, CA 94111.
Categories of individuals covered by the system:
Any employee who has had an accident on Government property or in
an official vehicle since 1973.
Categories of records in the system:
Standard Government forms dealing with accidents and personal
injuries.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended. Executive Order 11807 and section 19 of Occupational Health &
Safety Act of 1970; 5 U.S.C. 8101-8150, 8191-8193.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to employee's beneficiary in event of death following the
accident or injury or to employee's agent in case of disability; (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; (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; (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; (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; (6) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case folder is maintained in an unlocked drawer in
chronological order by date.
Retrievability:
Each case is identified by employee name and date of accident.
Safeguards:
The metal container described above is maintained within the area
assigned to the Logistics Management Division within the Southeast
Region Headquarters Building. During non-working hours the room in
which the metal container is located is locked.
Retention and disposal:
Accident Record files are retained in accordance with the Records
Disposal Manual.
System manager(s) and address:
Management Program Technician, Field Mission Support, U. S. Customs
Service, 555 Battery Street, San Francisco, CA 94111.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information originates with employees who have been injured and/or
have been involved in accidents during the exercise of their official
duties. Also included are witness reports and statements, the
employees' supervisors' statements and doctors' reports.
Exemptions claimed for the system:
None.
TREASURY/CS .005
System name:
Accounts Receivable--Treasury/Customs.
[[Page 69766]]
System location:
Financial Management Division, National Finance Center, U.S.
Customs Service, 6026 Lakeside Blvd., Indianapolis, IN 46278; U.S.
Customs Service, Financial Management Division, Increase and Refund
Section, 6 World Trade Center, New York, NY 10048; Financial Management
Division, U.S. Customs Service, 423 Canal Street, New Orleans, LA
70130.
Categories of individuals covered by the system:
Persons owing money for Customs duties and services and money owed
to persons for overpayment of excessive duties and services.
Categories of records in the system:
Correspondence and documentation of telephone calls with debtors
and creditors or their representatives.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Data is stored in file folders which are contained in an unlocked
metal file cabinet.
Retrievability:
The file is retrieved by the name of the individual which is kept
in alphabetical order within the work area of the Collection Section.
Safeguards:
The files are located within an office that is locked during non-
working hours. The building is guarded by uniformed security police and
only authorized persons are permitted entry to the building.
Retention and disposal:
The file is retained until collection or refund is effected and two
(2) years thereafter, then destroyed.
System manager(s) and address:
Director, Customs Management Center, U.S. Customs Service, 6 World
Trade Center, New York, NY 10048; Financial Management Division, U.S.
Customs Service, Gulf Customs Management Center, 423 Canal Street, New
Orleans, LA 70130.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in the system is obtained from data gathered from
the automated billing system and ports of entry.
Exemptions claimed for the system:
None.
TREASURY/CS .009
System name:
Acting Customs Inspector (Excepted)--Treasury/Customs.
System location:
Director, East Texas Customs Management Center, 2323 South Shepard
St., Suite 1200, Houston, TX 77019; Office of the Port Director, San
Diego, CA; Offices of the Port Directors, San Ysidro, CA; Calexico, CA;
Tecate, CA; Andrade, CA; San Diego Barge Office; U.S. Customhouse, PO
Box 111, Port Director's Office, St. Albans, VT 05478.
Categories of individuals covered by the system:
Employees or members of other Federal agencies who are designated
by the Port Directors as Customs Inspectors (Excepted).
Categories of records in the system:
System has name, social security number, rank or grade and duty
station of the individual.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
CF 55 forms kept in manila folders in file cabinet.
Retrievability:
Filed alphabetically.
Safeguards:
During non-working hours the offices and/or buildings in which
records are located are locked.
Retention and disposal:
Until individual transfers or designation is canceled. Form is then
destroyed.
System manager(s) and address:
Director, East Texas Customs Management Center, 2323 South Shepard
St., Suite 1200, Houston, TX 77019; Port Directors within the San Diego
Customs District (see appendix A.); Port Director, U.S. Customs
Service, St. Albans, VT 05478, Port Director, 1, LaPontilla St. PO Box
2112, San Juan, PR 00901.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is supplied by the individual and his or her agency.
Exemptions claimed for the system:
None.
TREASURY/CS .021
System name:
Arrest/Seizure/Search Report and Notice of Penalty File-Treasury/
Customs.
System location:
Port Director, United States Customs Service, PO Box 1641,
Honolulu, HI 96806.
Categories of individuals covered by the system:
Persons who are suspected of attempting to smuggle, or have
smuggled, merchandise or contraband into the United States; individuals
who have undervalued merchandise upon entry into the United States;
vessels and aircraft which have been found to be in violation of
Customs laws.
Categories of records in the system:
Names of individuals, vessels, aircraft; identifying factors;
nature of
[[Page 69767]]
violation or suspected violation; circumstances surrounding violation
or suspected violation; date and place of violation or suspected
violation; and on-site disposition actions.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each report is assigned a case number and filed accordingly in a
locked, metal file located in the Office of Investigations.
Retrievability:
Each report is identified in a manual alphabetical card file by the
name of the individual, vessel or aircraft.
Safeguards:
In addition to being stored in a locked metal cabinet, these
records are located in a locked room, the keys of which are controlled
and issued only to authorized personnel.
Retention and disposal:
These records are retained for one year (1) or until action has
been completed.
System manager(s) and address:
Office of Investigations, U.S. Customs Service, Post Office Box
1641, Honolulu, HI 96806.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I) and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .022
System name:
Attorney Case File--Treasury/Customs.
System location:
The Chief Counsel, U.S. Customs Service Headquarters, 1300
Pennsylvania Avenue, NW., Washington, DC 20229; Office of the Associate
Chief Counsel of each Region (for addresses see ``Customs Management
Center Directors'' section, appendix A). Assistant Chief Counsel,
Charleston, SC; Assistant Chief Counsel, San Diego, CA; Assistant Chief
Counsel, Seattle, WA; Assistant Chief Counsel, 9400 Viscount Drive,
Suite 102, El Paso, TX 79925; Resident Counsel, U.S. Customs Service
Academy, Building 67-FLETC, Glynco, GA 31524; Assistant Chief Counsel
(CIT), U.S. Customs Service, Room 258, 26 Federal Plaza, New York, NY
10007; Assistant Chief Counsel (NFC), National Logistics Finance
Center, U.S. Customs Service, PO Box 68914, Indianapolis, IN 46278.
Categories of individuals covered by the system:
Individuals who are subject of adverse actions, equal employment
opportunity complaints, unfair labor practice complaints, and
grievances; individuals who are the subject of Customs license or other
administrative revocation or suspension proceedings; individuals who
are the subject of or have requested legal advice from the various
offices; individuals requesting access to information pursuant to any
statute, regulation, directive, or policy to disclose such information,
including individuals who are the subject of a Federal or state
administrative or judicial subpoena; individuals who have filed or may
file claims under the various Federal claims acts; individuals who are
parties in litigation with the United States government or subunits or
employees or officers thereof, in matters which affect or involve the
United States Customs Service; individuals who are seeking relief from
fines and penalties and forfeitures assessed for violations of the law
and regulations administered by Customs; individuals who have
outstanding Customs bills submitted for collection; and individuals who
have challenged contracting decisions of the agency.
Categories of records in the system:
This system of records consists of a computer database containing
information designed to allow the system manager to track matters which
have come into his or her office. The categories of records maintained
in the file folders which are indexed by computer system are personnel
actions; administrative revocation or suspension proceedings; intra-
agency or inter-agency memoranda, reports of investigation, and other
documents relating to the request for legal advice; claims and cases in
administrative and judicial litigation; requests, information, records,
documents, internal Customs Service memoranda, or memoranda from other
agencies and related materials regarding the disclosure of information.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended; 28 U.S.C. 2672, et. seq.; 28 CFR 14.1, et. seq.; 31 CFR 3.1,
et. seq.; 31 U.S.C. 3701 et. seq.; 31 CFR part 4; 5 U.S.C. 552, 31 CFR
part 1, Reorganization Plan No. 1 of 1965; Government employee laws
found in Title 5 of the United States Code; government contracting laws
found in Titles 31, 40, and 41 of the United States Code; and the
Customs laws and regulations found in Title 19 of the United States
Code and Code of Federal Regulations, respectively.
[[Page 69768]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The computerized indices are maintained in computer data base. Each
file is maintained in a numbered file folder which is filed in an
unlocked drawer in the responsible attorney's office, a metal file
cabinet, or a storage room at the local system manager's location.
Retrievability:
Through the use of the computer located at the local system
manager's location, each file is retrievable by name, number and title.
Safeguards:
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. During non-working hours the rooms in which the files are
located are locked. During working hours, the rooms in which the files
are located are under control of the staff of the local systems
manager.
Retention and disposal:
The file folders are retained in accordance with the Federal
Records Retention Manual.
System manager(s) and address:
See systems location above.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates from the
subject individual, U.S. Customs employees, Reports of Investigation,
Customs penalty case files, other government agencies, parties involved
in administrative and judicial litigation, administrative proceedings
regarding disciplinary action taken against Customs Service employees,
Equal Opportunity complaints, unfair labor practice complaints, parties
involved in administrative revocation or suspension proceedings,
individuals or employees requesting legal advice, and from the parties
requesting disclosure of information.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .030
System name:
Bankrupt Parties-in-Interest--Treasury/Customs.
System location:
U.S. Customs Service, Director, National Finance Center, PO Box
68907, Indianapolis, Indiana 46268
Categories of individuals covered by the system:
Individuals indebted to U.S. Customs.
Categories of records in the system:
Listed by name, address, port of service, bill number, and dollar
amount of delinquent receivables.
Authority for maintenance of the system:
Pub. L. 89-508, the ``Federal Claims Collection Act of 1966;'' 5
U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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; (6) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Cases are maintained in file folders at work site.
Retrievability:
Alphabetical order by name.
Safeguards:
These cases are placed in locked cabinets during non-working hours.
The building is guarded by uniformed security police.
Retention and disposal:
As satisfaction is received, cases are closed. Records are
maintained per Records Control Manual FIS-4 No. 124.
[[Page 69769]]
System manager(s) and address:
Director, U.S. Customs, National Finance Center, 6026 Lakeside
Boulevard, Indianapolis, IN 46268.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The source of information is obtained from individuals, bankruptcy
courts, Customhouse brokers, and sureties.
Exemptions claimed for the system:
None.
TREASURY/CS .031
System name:
Bills Issued Files--Treasury/Customs.
System location:
Director, U.S. Customs, National Finance Center, P.O. Box 68907.
Categories of individuals covered by the system:
Individuals to whom bills have been issued.
Categories of records in the system:
Correspondence received from or sent to individuals in relation to
bills issued by the United States Customs Service.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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; (6) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Individual alphabetical file folders in file cabinet.
Retrievability:
Access by name of individual.
Safeguards:
The file cabinet is maintained in the offices of the Director,
National Finance Center. During non-working hours the room/building in
which the file is located is locked. Access is limited to authorized
personnel.
Retention and disposal:
Correspondence is maintained for a period of three (3) years then
destroyed.
System manager(s) and address:
Director, U.S. Customs, National Finance Center, PO. Box 68907,
Indianapolis, Indiana 46268.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information consists of copies of letters or memoranda issued
to or received from individuals. Records of phone calls and copies of
documents related to the individual's transaction.
Exemptions claimed for the system:
None.
TREASURY/CS .032
System name:
Biographical Files (Headquarters)--Treasury/Customs.
System location:
Public Information Division, U.S. Customs Service Headquarters,
1300 Pennsylvania Avenue, NW, Washington, DC 20229, and the Customs
Management Center Public Information offices located at the addresses
listed in Customs appendix A.
Categories of individuals covered by the system:
General biographical records are maintained on all Customs
employees for news release and public information purposes.
Categories of records in the system:
General biographical information including home address, date and
place of birth, educational background, work experience, honors and
awards, hobbies, and other information.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Information is maintained in file cabinets in the Public
Information Division at Customs Headquarters.
Retrievability:
File folders are identified by the name of the person and are filed
in alphabetical order.
Safeguards:
The office in which the records are located is locked during non-
working hours and the building is guarded by uniformed guards.
Retention and disposal:
Files are retained during the individual's tenure as an employee of
the Customs Service, after which the files are destroyed.
System manager(s) and address:
Director, Public Information Division, U.S. Customs Service
Headquarters, 1300 Pennsylvania Avenue, NW, Washington, DC 20229.
[[Page 69770]]
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The individual involved, Customs personnel officers and co-workers.
Exemptions claimed for the system:
None.
TREASURY/CS .040
System name:
Carrier File--Treasury/Customs.
System location:
Located in the Office of the Area Port Director, Terminal Island,
San Pedro, CA; Office of the Port Director, San Diego, CA; Office of
the Port Director, Los Angeles International Airport, Los Angeles, CA;
Office of the Port Director, Terrace and International Streets,
Nogales, AZ 85621; San Ysidro, CA; Tecate, CA; Calexico, CA; Andrade,
CA; San Diego Barge Office.
Categories of individuals covered by the system:
Officers or owners, employees, associates of Customs Bonded
Carriers.
Categories of records in the system:
Name, date of birth, social security number, place of birth and
other information relating to Officers, Associates, employees, etc., of
Bonded Carriers.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended, and the Customs Regulations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Manila folder in file cabinet.
Retrievability:
Filed by name of company or individual.
Safeguards:
Building locked during non-working hours.
Retention and disposal:
Records retained until obsolete, then destroyed by burning.
System manager(s) and address:
Customs Management Center Director and Service Port Directors,
within the San Diego Customs District; Area Port Director, Terminal
Island, San Pedro, CA; Area Port Director, Los Angeles International
Airport; and Port Director, U.S. Customhouse, Nogales, AZ 85621. (See
Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Customs Bonded Carriers' employees and correspondence.
Exemptions claimed for the system:
None.
TREASURY/CS .041
System name:
Cartmen or Lightermen--Treasury/Customs.
System location:
Customs ports and Customs Management Centers. (See Customs appendix
A.)
Categories of individuals covered by the system:
Individuals and firms who have applied for or hold a license as a
bonded cartman or lighterman and individuals employed by cartman or
lightermen.
Categories of records in the system:
Internal Customs Service memoranda and related materials regarding
applications for licenses and identification cards, reports of
investigations for approving these licenses and identification cards
and card files showing outstanding identification cards and their
location. Files also include fingerprint cards.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and the information in these records may be used to:
(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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
[[Page 69771]]
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The information in this system is contained in a metal file cabinet
in the office maintaining the system, or on magnetic disc.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name of the licensed cartman or lighterman and in the alphabetical
file folder by the name of the licensed cartman or lighterman. Each
employee's record is filed in a manual alphabetical card file cross-
referenced with company names.
Safeguards:
The file is placed in a metal file cabinet at the work site. At
locations where work is not performed on a 24-hour basis the work area
is locked and only authorized persons are permitted in the building.
Retention and disposal:
Files are reviewed at least once a year at which time canceled I.D.
cards may be removed. Closed CF 3078's may also be removed, but
normally are held for approximately three years in case a new
application is received from the same company or transferred to another
company after a new investigation.
System manager(s) and address:
Area Port Directors and Customs Management Center Directors. (See
Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .042
System name:
Case and Complaint File--Treasury/Customs.
System location:
Office of Associate Chief Counsel (Chicago), U.S. Customs Service,
610 S. Canal St., 7th floor, Chicago, IL 60607.
Categories of individuals covered by the system:
Any individual initiating a court case or against whom a court case
is brought; any individual involved in a personnel action, either
initiating a grievance, discrimination complaint, or unfair labor
practice complaint against the U.S. Customs Service or against whom a
disciplinary or other adverse action is initiated; claimants or
potential claimants under the Federal Tort Claim Act; individuals
involved in accidents with U.S. Customs Service employees; U.S. Customs
Service employees involved in accidents; persons seeking relief from
fines, penalties and forfeitures and restoration of proceeds from the
sale of seized and forfeited property; requesters under the Freedom of
Information Act.
Categories of records in the system:
The System contains the individual's name, the type of case, the
uniform filing guide number, the Associate Chief Counsel's office file
number, by whom the matter was referred, the district where the action
originated, if applicable.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
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; (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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each alphabetical card is inserted in a metal file drawer.
Retrievability:
Each card is identified alphabetically by the individual's name
described in Category of Individual and the filing is alphabetically
used by last name.
Safeguards:
The metal filing drawer containing the alphabetical cards described
above is maintained within the area assigned to the Office of Associate
Chief Counsel (Chicago), U.S. Customs Service, 610 S. Canal St., 7th
floor, Chicago, IL 60607. During non-working hours, the room in which
the metal filing drawer is located is locked and access to the building
is controlled at all times by uniformed guards with a check-in system
for employees. Only employees of the Associate Chief Counsel's Office
and authorized building personnel have keys to the building.
Retention and disposal:
These files are retained until there is no longer space available
for them within the metal filing drawer at which time the oldest cards
for closed files will be transferred to the storage area within the
confines of the office. The storage area is a large area containing
cardboard boxes and metal storage cabinets, unable to be locked.
System manager(s) and address:
Associate Chief Counsel (Chicago), U.S. Customs Service, 610 S.
Canal St., 7th floor, Chicago, IL 60607.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained on these cards originates with the
initiation of any action by an individual which is channeled through
the Assistant Chief Counsel's Office. Additional information is
identifying information for locating the particular case file relating
to the court case, personnel action, tort claim, relief petition, or
request under the Freedom of Information Act.
Exemptions claimed for the system:
None.
TREASURY/CS .043
System name:
Case Files (Associate Chief Counsel--Gulf Customs Management
Center)--Treasury/Customs.
System location:
The system is located at 423 Canal Street, New Orleans, LA 70130;
Associate Chief Counsel--Gulf Customs Management Center, United States
Customs Service.
[[Page 69772]]
Categories of individuals covered by the system:
(1) The first category of individuals on whom records are
maintained in the system includes employees who have filed adverse
actions, equal employment opportunity complaints, and grievances within
the Gulf Region; employees who have filed tort claims under the
Military Personnel and Civilian Employees Act; employees of the
Associate Chief Counsel's staff with regard to travel, training,
evaluations, and other related personnel records; and applications for
employment submitted to the Office of the Associate Chief Counsel by
prospective employees. (2) The second category of individuals on whom
records are maintained in the system includes those individuals not
employed by the agency who have filed equal employment opportunity
complaints; tort claims under the Federal Tort Claims Act; tort claims
filed under the Small Claims Act; individuals who have outstanding
Customs bills submitted for collection; individuals, corporations,
partnerships, and proprietorships who have filed supplemental petitions
on fines, penalties, and forfeitures within the Gulf Region; files
relating to individuals, corporations, partnerships, and
proprietorships upon whom criminal case reports are prepared pending
litigation and prosecution for violation of 19 U.S.C. 1305, 18 U.S.C.
542, 18 U.S.C. 545, 18 U.S.C. 549, 18 U.S.C. 1001, 18 U.S.C. 496, and
18 U.S.C. 371; on individuals, corporations, partnerships, and
proprietorships who have filed supplemental petitions submitted in
civil and technical violations for 19 U.S.C. 1592, 19 U.S.C. 1453, 19
U.S.C. 1448, 19 U.S.C. 1584, irregular deliveries, shortages and
overages; and miscellaneous civil and technical violations.
Categories of records in the system:
The categories of records maintained in the system are personnel
actions; tort claims; collection efforts; supplemental petitions for
fines, penalties, and forfeitures cases in the Gulf Region; criminal
case reports for pending litigation and prosecution of cases in the
Gulf Region; supplemental petitions for civil and technical violations
committed within the Gulf Region; and employment applications for
positions in the Office of the Associate Chief Counsel, Gulf Region.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The records are currently maintained in alphabetical file folders
which are filed in two steel filing cabinets in the Office of the
Assistant Chief Counsel (New Orleans), and they are maintained under
lock and key outside the ordinary business hours.
Retrievability:
Records maintained by the Office of the Assistant Chief Counsel
(New Orleans), are retrievable by identifying the character of the
record (i.e., adverse action, grievance, tort claim, criminal case),
then by comparable statute or regulation, and then alphabetically by
name and identifier. In addition, each case file is similarly
identified on the alphabetical file folder within the steel filing
cabinet.
Safeguards:
The steel filing cabinets described above are maintained within the
area assigned to the Office of the Assistant Chief Counsel (New
Orleans), 423 Canal Street, New Orleans, LA 70130. During non-working
hours the room in which the locked steel cabinets are located is
locked, and access to the building is controlled at all times by
uniformed guards. The policies and practices of the Office of the
Assistant Chief Counsel regarding access controls are that only members
of the staff of the Office of the Assistant Chief Counsel have access
to the records maintained by the office.
Retention and disposal:
Individual records are placed into a file of closed cases by
category as stated above, and within each category by name. The oldest
closed cases are forwarded to the Federal Records Center in accordance
with the Treasury Records Control Manual.
System manager(s) and address:
The agency official responsible for the system of records
maintained by the Office of the Assistant Chief Counsel is the
Assistant Chief Counsel (New Orleans), 423 Canal Street, New Orleans,
LA 70130.
Notification procedure:
See appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The categories of sources of records in this system are the
individual himself and files compiled by the United States Customs
Service by using employers, other government agency resources,
financial institutions, educational institutions attended, and previous
employers. Additional information in these files is also derived from
reports of investigation regarding the enforcement of civil or criminal
statutes, administrative proceedings regarding disciplinary action
taken against Customs Service employees, equal opportunity complaints,
investigations of tort claims, the processing of interoffice memoranda
information requested under the Freedom of Information Act, and the
investigation regarding the collection of debts due the Government.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the
[[Page 69773]]
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
TREASURY/CS .044
System name:
Certificates of Clearance--Treasury/Customs.
System location:
North Atlantic Customs Management Center, 10 Causeway Street,
Boston, MA 02222.
Categories of individuals covered by the system:
All employees of the North Atlantic Region, Boston, MA, who have
transferred, retired or resigned.
Categories of records in the system:
Documented detailed information on an ``in-house'' prepared form
indicating that the employee has returned all Government property in
his/her personal possession and that the employee has cleared all debts
owing to Customs such as unearned uniform allowances and travel
advances.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Data is stored in file folders by Port and name of employee in a
metal file cabinet in the work area of the Payment Section.
Retrievability:
The file is retrievable by Port and name of employee.
Safeguards:
The file is located within an office that is locked during non-
working hours. The building is guarded by uniformed security police and
only authorized persons are permitted entry to the building.
Retention and disposal:
The files are kept for 10 years and then destroyed.
System manager(s) and address:
Director, North Atlantic Customs Management Center, 10 Causeway
Street, Boston, MA 02222.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in the system originates at the District
where the individual is employed.
Exemptions claimed for the system:
None.
TREASURY/CS .045
System name:
Claims Act File-Treasury/Customs.
System location:
Office of the Associate Chief Counsel (Los Angeles), U.S. Customs
Service, One World Trade Center, Suite 741, P.O. Box 32709, Long Beach,
CA 90832.
Categories of individuals covered by the system:
Current or former Customs employees who have filed, or may file
claims under the Military Personnel and Civilian Employees' Claim Act
of 1964 for damage to or loss of personal property incident to their
service.
Categories of records in the system:
Documents relating to the administrative handling of the claim and
documents submitted by the claimant in support of the claim.
Authority for maintenance of the system:
31 U.S.C. 240-243; 31 CFR part 4; Treasury Department
Administrative Circular No. 131, August 19, 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted numerically in a file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified numerically in the file folder within
the metal container by the name of the person who has filed or may file
a claim.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Associate Chief Counsel within the New
Federal Building. During non-working hours the room in which the metal
container is located is locked, and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
These files are retained indefinitely or until there is no longer
any space available for them within the metal container, at which time
the oldest closed files are transferred to the Federal Records Center.
System manager(s) and address:
Associate Chief Counsel (Los Angeles), U.S. Customs Service, One
World Trade Center, Suite 741, P.O. Box 32709, Long Beach, CA 90832.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with a Treasury
Department Form No. 3079, Civilian Employee Claim For Loss or Damage to
Personal Property, which is completed and filed with the Customs
Service by the claimant. Additional information contained in these
files may be separately provided by the claimant or by the claimant's
supervisor. Where a claim is not filed, the information is limited to
the investigative reports of damage to or loss of personal property of
a Customs employee.
Exemptions claimed for the system:
None.
TREASURY/CS .046
System name:
Claims Case File-Treasury/Customs.
System location:
Assistant Chief Counsel (Boston), 10 Causeway Street, Boston, MA
02222;
[[Page 69774]]
Office of the Assistant Chief Counsel (San Francisco), 555 Battery
Street, San Francisco, CA 94111; Office of the Associate Chief Counsel
(Houston), U.S. Customs Service, 2323 South Shepard St., Suite 1246,
Houston, TX 77019.
Categories of individuals covered by the system:
Parties who have filed claims for damage or injury against the
Government, or against whom the Government has a claim for damage or
injury in matters which affect or involve the U.S. Customs Service;
private individuals or Government employees who are involved in the
incident which gave rise to the claim.
Categories of records in the system:
Reports relative to the circumstances of the claim (including
accident reports provided by Customs personnel, agents' investigative
reports, correspondence between Customs and the claimant or his
representative); reports relative to an individual's ability to pay a
claim for damages.
Authority for maintenance of the system:
28 U.S.C. 2672 et seq.; 28 CFR part 14; 31 CFR part 3; 5 U.S.C.
301; Reorganization Plan No. 1 of 1950; Treasury Department Order No.
165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records maintained in file folders.
Retrievability:
Records indexed by name of individual making a claim or against
whom a claim is made, cross-referenced file with name of Government
employee, if any, involved.
Safeguards:
Open case files maintained in file cabinets with access by
Assistant Chief Counsel and his staff only; closed case files
maintained in locked cabinet with keys retained by Assistant Chief
Counsel and staff only.
Retention and disposal:
Retained until there is no longer any space available within metal
cabinets, at which time the oldest files are transferred to the Federal
Records Center.
System manager(s) and address:
Assistant Chief Counsel (Boston), 10 Causeway Street, Boston, MA
02222; Office of the Assistant Chief Counsel (San Francisco), 555
Battery Street, San Francisco, CA 94111; Office of the Associate Chief
Counsel (Houston), U.S. Customs Service, 2323 South Shepard St., Suite
1246, Houston, TX 77019.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files is received from U.S.
Customs employees, reports of investigation, credit checks, private
individuals involved in the claims, other Government agencies and other
individuals with pertinent information.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .050
System name:
Community Leader Survey-Treasury/Customs.
System location:
Equal Employment Opportunity Officer, U.S. Customs Service, East
Texas Customs Management Center, 2323 South Shepard St., Suite 1200,
Houston, TX 77019.
Categories of individuals covered by the system:
The names, titles, and organization of persons who may be construed
to be occupying a community leadership role and who may be in a
position to furnish information or have some influence in regard to the
equal employment opportunity program area.
Categories of records in the system:
These records consist of a card index of the names, titles, and
organization of community leaders.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
An alphabetical card listing filed in a metal file cabinet.
Retrievability:
Listed and filed alphabetically.
Safeguards:
The metal file cabinet described above is maintained within the
area assigned to the Equal Employment Opportunity Officer. During non-
working hours this office area is locked and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
To be useful, this information file must be kept current. Non-
current files will be destroyed locally.
[[Page 69775]]
System manager(s) and address:
Equal Employment Opportunity Officer, U.S. Customs Service, East
Texas Customs Management Center, 2323 South Shepard St., Suite 1200,
Houston, TX 77019.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information included in these files is developed from local
agencies (city, county, state, and Federal) and from local civic
organizations.
Exemptions claimed for the system:
None.
TREASURY/CS .053
System name:
Confidential Source Identification File--Treasury/Customs.
System location:
Components of this system are located in the Office of
Investigations, U.S. Customs Service Headquarters, and the Office of
Internal Affairs, U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229.
Categories of individuals covered by the system:
Individuals (sources) supplying confidential information to the
U.S. Customs Service, Office of Investigations and Office of Internal
Affairs.
Categories of records in the system:
This system contains some or all of the following information: Name
(actual or assumed), source (identifying) number, date number assigned,
address, citizenship, occupational information, date and place of
birth, physical description, photograph, miscellaneous identifying
number such as social security number, driver's license number, FBI
number, passport number, Customs Form 4621 documenting information
received from confidential source, amount and date of monetary payment
made to source for information supplied, criminal record, copy of
driver's license, and copy of alien registration card.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended; 19 U.S.C. 1619; and 18 U.S.C. Chapter 27.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are kept in locked cabinets. Access during working hours is
limited to authorized personnel.
Retrievability:
Office of Investigations and Office of Internal Affairs--The name
of each source is filed in both alphabetical order and by location of
the submitting office.
Safeguards:
In addition to being stored in secure metal cabinets with
government approved locks, the files are located in closely watched
rooms of the Office of Investigations and the Office of Internal
Affairs. Personnel maintaining the files are selected for their
reliability, among other qualities, and afforded access only after
having been cleared by a full field investigation. During non-working
hours the rooms in which the records are located are locked and access
to the building is controlled by uniformed security guards.
Retention and disposal:
The Office of Investigations destroys a file when it no longer has
any utility by either shredding or burning; the Office of Internal
Affairs reviews files annually for relevance and necessity, and when a
file no longer has any utility, it is destroyed either by shredding or
burning.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC
20229, for those components of the system maintained by the Office of
Investigations; Director, Office of Internal Affairs, (Integrity
Management), U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229, and for those components of the
system maintained by the Office of Internal Affairs.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act
for the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of contesting
the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
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), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(2).
TREASURY/CS .054
System name:
Confidential Statements of Employment and Financial Interests-
Treasury/Customs.
System location:
Located in each Assistant Commissioner Office, Headquarters, and
Customs Management Centers.
Categories of individuals covered by the system:
Covered individuals to be determined by agency, in accordance with
5 CFR part 2634.
Categories of records in the system:
Form OGE-450 Executive Branch Confidential Financial Disclosure
Report.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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
[[Page 69776]]
regulation; (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; (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; (4) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked safe.
Retention and disposal:
Maintained for 6 years for any covered position. Records are
destroyed two (2) years after the employee leaves the position, or two
(2) years after leaving the agency, whichever is earlier.
System managers and address:
Assistant Commissioner (Internal Affairs) and Directors, Customs
Management Centers.
Notification procedure:
Write to systems manager.
Record access procedures:
Write to systems manager.
Contesting record procedures:
Write to systems manager.
Record source categories:
Individuals required to submit Form OGE-450.
Exemptions claimed for the system:
None.
TREASURY/CS .056
System name:
Congressional and Public Correspondence File--Treasury/Customs.
System location:
Office of Field Operations (Administrative Staff), U.S. Customs
Service, 1300 Pennsylvania Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
Those persons sending letters of inquiry or complaint concerning
Customs activities and procedures.
Categories of records in the system:
Incoming correspondence, the agency's reply, and related materials.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Correspondence records are maintained in file folders and on a
computer system.
Retrievability:
Correspondence records are identified by the name of the person
making inquiry or complaint. They are retrievable by name.
Safeguards:
Access to the records is granted only to authorized Customs
personnel. During non-working hours the room in which the records are
located is locked and access to the building is controlled by uniformed
security police.
Retention and disposal:
The records are maintained from two to five years and then
destroyed or retired to the Federal Records Center as appropriate.
System manager(s) and address:
Director, Workforce Effectiveness and Development Staff, U.S.
Customs Service, 1300 Pennsylvania Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Correspondence and related records and materials.
Exemptions claimed for the system:
None.
TREASURY/CS .057
System name:
Container Station Operator Files--Treasury/Customs.
System location:
Office of Process Owner, Passenger Operations Div., Office of Field
Operations., U.S. Customs, 1300 Pennsylvania Avenue, NW, Washington, DC
20229; Director, Mid-America Customs Management Center, Chicago, IL
(see Customs appendix A).
Categories of individuals covered by the system:
Present and past container station operators and employees that
require an investigation and related information.
Categories of records in the system:
Report of investigations, application and approval or denial of
bond to act as container station operator and other Customs Service
memoranda. Names, addresses, social security numbers, and dates and
places of birth of persons employed.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended; Customs Regulations, Part 19.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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
[[Page 69777]]
clearance, license, contract, grant, or other benefit; (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; (4) 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; (5) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders and stored in file cabinets
in each Port Director's office within the Mid-America Customs
Management Center, Chicago, IL.
Retrievability:
Each file is identified by the name of the container station
operator.
Safeguards:
The file cabinets are maintained within the area assigned to the
Port Director. During non-working hours, the room and/or building in
which the file cabinet is located is locked.
Retention and disposal:
These files are disposed of in accordance with the Treasury Records
Control Manual. Employee name data retained for period of employment
with container station operator.
System manager(s) and address:
Process Owner, Office of Field Operations, U.S. Customs, 1300
Pennsylvania Avenue, NW, Washington, DC 20229; Director, each Port
within the Mid-America Customs Management Center, Chicago, IL. (See
Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this file originates from the individual
applicant for container station operator bond, from reports of
investigation and other Customs memoranda.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .058
System name:
Cooperating Individual Files--Treasury/Customs.
System location:
These files are located in field and local Customs Office of
Investigations Offices within the United States. (See Customs' appendix
A.)
Categories of individuals covered by the system:
Persons providing confidential information to the U.S. Customs
Service Office of Investigations.
Categories of records in the system:
These records include: assumed names; actual names; code numbers;
addresses; telephone numbers; physical descriptions; miscellaneous
identifying numbers such as social security numbers, driver's license
number, etc., date individual's record was established; amount and date
of reward paid for information supplied.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
All files and indices relating to cooperating individuals are
stored in metal file cabinets secured with combination locks in a
government secured building.
Retrievability:
The name of each cooperating individual is filed in alphabetical
order by assumed name and by actual name. The indices are maintained in
the same alphabetical order and are also cross-referenced by the Office
of Investigations alphanumeric code number. All other identifying data
is used for verification of identity rather than method of retrieval.
Safeguards:
In addition to being stored in secure metal cabinets with
government approved locks, the metal files are kept locked when not in
use and located in a closely watched room of the Office of
Investigations. Personnel maintaining the files are selected for their
reliability among other qualities, and they are afforded access only
after having been cleared by a full field investigation. The files are
given the same treatment as material classified as Secret. During duty
hours, Office of Investigations personnel maintain visual control and
during off-duty hours the area containing the files is locked.
Retention and disposal:
Retention periods have been established for records contained in
the file in accordance with the Treasury Records Control Manual. When a
file no longer has any utility, it is destroyed either by shredding or
burning.
System manager(s) and address:
The Assistant Commissioner (Investigations); the Special Agent in
Charge in regional SAC Offices; and the Resident Agent in Charge in
sub-offices of the Special Agent in Charge. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .061
System name:
Court Case File--Treasury/Customs.
System location:
Office of the Associate Chief Counsel, One World Trade Center,
Suite 741, P.O. Box 32709, Los Angeles, CA 90832; Office of the
Assistant Chief Counsel, 555 Battery Street, San Francisco, CA 94111;
Office of the Associate Chief Counsel, Mid-America Customs Management
Center, 55 E. Monroe Street, Room 1417, Chicago, IL 60603;
[[Page 69778]]
Office of the Assistant Chief Counsel, 1000 Second Avenue, Suite 2200,
Seattle, Washington 98104.
Categories of individuals covered by the system:
Persons who are parties in litigation with the United States
Government or subunits or employees or officers thereof, in matters
which affect or involve the United States Customs Service.
Categories of records in the system:
Court documents with exhibits, reports of investigations, internal
Customs Service memoranda summarizing or relating to the matter in
controversy and other background information relating to the subject
matter or origin of the litigation.
Authority for maintenance of the system:
28 U.S.C. 2676, 19 U.S.C. 1603, 5 U.S.C. 301; E.O. 6166; Treasury
Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted in a numerical file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified by the name of the person against whom
the Government has initiated the litigation, or by the name of the
person who initiated the litigation against the Government.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Associate Chief Counsel. During non-
working hours the room in which the metal container is located is
locked, and access to the building is controlled at all times by
uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space
available for them within the metal container, at which time the oldest
closed files are transferred to the Federal Records Center.
System manager(s) and address:
Associate Chief Counsel, One World Trade Center, Suite 741, P.O.
Box 32709, Los Angeles, CA 90832; Assistant Chief Counsel, 555 Battery
Street, San Francisco, CA 94111; Associate Chief Counsel, Mid-America
Customs Management Center, 55 E. Monroe Street, Room 1417, Chicago, IL
60603; Office of the Assistant Chief Counsel, U.S. Customs Service,
1000 Second Avenue, Suite 2200, Seattle, Washington 98104.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with a request
by the Port Director to the appropriate United States Attorney that he
institutes suitable judicial action to enforce the forfeiture of
merchandise and vehicles, or the value thereof, which had been imported
or used in violation of the Customs laws, and upon which final
administrative action has taken place. Information in this file also
originates with the filing of a complaint by a private person against
the Government, and by the filing of a complaint by the Government
against private persons or former employees to enforce the collection
of debts due the Government. Information in the files is also derived
from reports of investigation regarding the enforcement of civil or
criminal statutes and denial of tort claims.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .064
System name:
Credit Card File--Treasury/Customs.
System location:
National Logistics Center, U.S. Customs Service, Fleet and Property
Management Section, 6026 Lakeside Blvd., Indianapolis, IN 46278.
Categories of individuals covered by the system:
Headquarters Customs Service employees to whom national gasoline
credit cards have been issued.
Categories of records in the system:
Credit card numbers, names, and signatures of employees to whom
credit cards have been issued, and the date of issuance.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Alphabetically by name or by credit card number.
Retrievability:
A portion of the index cards are identified by the name of the
person to whom the credit card was issued in the case of credit cards
which have been
[[Page 69779]]
permanently assigned to higher level Customs Service officers and such
index cards are filed alphabetically. The remainder of the index cards
relate to credit cards which are issued to Customs Service officers or
employees on a one-transaction basis, and these index cards are filed
by the applicable credit card number.
Safeguards:
Index cards are maintained and stored in a secured room with
limited accessibility. The building is guarded by uniformed security
police, and only authorized persons are permitted in the building.
Retention and disposal:
Index cards filed alphabetically by name are filed during the
period that the officials named thereon are in possession of the credit
cards, and then these index cards are retained (for audit purposes)
when the officials are no longer in possession of the credit cards.
Index cards are filed by office titles and contain receipt signatures.
System manager(s) and address:
Director, Headquarters Services Division, Office of Logistics
Management, U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system is obtained from Customs Service
records and is also furnished by the officers or employees to whom the
credit cards have been issued.
Exemptions claimed for the system:
None.
TREASURY/CS .069
System name:
Customs Brokers File-- Treasury/Customs.
System location:
Office of the Chief Counsel, Broker Compliance and Evaluation
Branch, Office of Trade Operations; U.S. Customs Service Headquarters,
1300 Pennsylvania Avenue, NW., Washington, DC 20229, and Customs
Management Centers and Service Ports.
Categories of individuals covered by the system:
Licensed customs brokers, employees of customs brokers, individuals
or firms who have applied for a broker's license.
Categories of records in the system:
Internal Customs Service memoranda and related material regarding
proposed administrative disciplinary action against customs brokers for
violation of the regulations governing the conduct of their business;
broker applications and related material; notification of change of
business address, organization, name, or location of business records;
status reports; requests for written approval to employ persons who
have been convicted of a felony.
Authority for maintenance of the system:
19 U.S.C. 1641; 19 CFR part 111; 5 U.S.C. 301; Treasury Department
Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted in an alphabetical file folder which is
filed in drawers that are capable of being locked and are locked at the
close of business. Some records are in a separate room which is locked
at other than official hours. File cards covering individual
customhouse brokers, corporations, partnerships and trade names are in
files not capable of being locked, but the entire area is locked at
night.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name and in the alphabetical file folder within the metal container
by the name of the customs broker or employees of customs brokers.
Safeguards:
The files described above are maintained in Customs Service
Buildings. During non-working hours the room in which the files are
located is locked, and access to the building is controlled after
business hours by electronic access and alarm systems and during
business hours access is controlled at all times by a U.S. Customs
Service employee.
Retention and disposal:
Broker files and records of broker's employees are kept
indefinitely. They are periodically updated and removed to an inactive
file, as necessary.
System manager(s) and address:
Chief Counsel; Director, Field Operations Division, Office of Trade
Operations, U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229, Directors, Customs Management
Centers, and Port Directors.
Notification procedure:
See Customs appendix A.
Record source categories:
The information contained in these files originates from audits of
or investigations into the conduct of customhouse brokers' businesses,
applications for licenses, references as to character, court records,
and local credit reporting services, as well as reports, notifications,
and other applications filed by brokers pursuant to statutory and
regulatory requirements.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the
[[Page 69780]]
Privacy Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .077
System name:
Disciplinary Action, Grievance and Appeal Case Files--Treasury/
Customs.
System location:
Located in the Office of Human Resources, Customs Headquarters, and
in each Customs Management Centers, SAC, Port, and appropriate post of
duty offices.
Categories of individuals covered by the system:
Customs employees on whom disciplinary action is pending or has
occurred, and employees who have filed grievances and appeals.
Categories of records in the system:
Records on such action as leave restriction letters, reprimands,
suspensions, adverse actions, etc., and grievance and appeals by
employees. Copies of correspondence, management requests for
assistance, evidentiary materials on which action is contemplated,
proposed or taken, regulatory material, examiners' reports, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are stored in manila folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in a locked file.
Retention and disposal:
Grievance records are maintained for 3 years; discipline and
adverse action records are maintained for four years; and appeals are
maintained for 5 years.
System manager(s) and address:
Director, Labor and Employee Relations Division, Office of Human
Resources, Customs Headquarters, or Customs Management Centers Labor
and Employee Relations Office, or appropriate managerial official in
employee's port or post of duty.
Notification procedure:
Write to system manager.
Record Access Procedure:
Request from system manager.
Contesting record procedures:
Write to the system manager.
Record source categories:
Supervisors and supervisory records and notes; evidentiary
materials supporting planned, proposed, or accomplished actions;
grievance letters submitted by employee, grievance examiner, etc.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .078
System name:
Disclosure of Information File--Treasury/Customs.
System location:
Assistant Chief Counsel, U.S. Customs Service, 10 Causeway Street,
Suite 879, Boston, MA 02222-1056; Office of the Associate Chief
Counsel, U.S. Customs Service, 610 South Canal Street, Chicago, IL
60607; and each port as appropriate.
Categories of individuals covered by the system:
Persons requesting access to information pursuant to the Freedom of
Information Act or any other statute, regulation, directive or policy
to disclose such information.
Categories of records in the system:
Requests, information, records, documents, internal Customs Service
memoranda, or memoranda from other agencies and related materials
regarding disclosure of the information.
Authority for maintenance of the system:
5 U.S.C. 552, 31 CFR part 1, 19 CFR part 103, 5 U.S.C. 301;
Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used 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 subpoena, or in connection
with criminal law proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted in a file folder which is filed in an
unlocked drawer within a metal container.
Retrievability:
Each case file is identified in the file folder within the metal
container by the name of the person requesting disclosure, and by FOI
number.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Associate Chief Counsel within the
Customs Management Center. During non-working hours the room in which
the metal container is located is locked, and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
Customhouse broker files are retained until there is no longer any
space
[[Page 69781]]
available for them within the metal container, at which time the oldest
files are transferred to the Federal Records Center.
System manager(s) and address:
Assistant Chief Counsel, Room 125 U.S. Customshouse, 40 South Gay
Street, Baltimore, MD 21202; Associate Chief Counsel, U.S. Customs
Service, 610 South Canal Street, Chicago, IL 60607; and each port
director as appropriate.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates from the
requests for information filed with the Customs Service which may
pertain to any information contained in the files of the U.S. Customs
Service.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .081
System name:
Dock Passes--Treasury/Customs.
System location:
Port Director, U.S. Customs Service, PO Box 1641, Honolulu, HI
96806.
Categories of individuals covered by the system:
Consulate staff members, brokers, private individuals, etc.
Categories of records in the system:
Form lists following information: pass number; port; date of issue;
name of individual; organizational affiliation; expiration date of
pass; and vessel name.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
3 x 5 card box, loose leaf binder.
Retrievability:
By name.
Safeguards:
Building locked during non-working hours.
Retention and disposal:
Retained until expiration.
System manager(s) and address:
Port Director, U.S. Customs Service, 228 Federal Building, 335
Merchant Street, Honolulu, HI 96806.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Individual applicants.
Exemptions claimed for the system:
None.
TREASURY/CS .083
System name:
Employee Relations Case Files--Treasury/Customs.
System location:
Office of Human Resources, U.S. Customs Service, Washington, DC
20229, and in each Headquarters, Customs Management Centers, Port, SAC,
and appropriate post of duty offices.
Categories of individuals covered by the system:
Records maintained on the benefit aspects of employment such as,
workers' and unemployment compensation, leave, health and life
insurance, retirement, suggestions, awards, etc. and employees who have
requested assistance with these programs.
Categories of records in the system:
Copies of initiating correspondence and Customs correspondence and
any forms submitted by or completed on behalf of the employee.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in a locked file.
Retention and disposal:
Maintained for period of time employee remains with Customs.
Records destroyed upon separation of employee.
System manager(s) and address:
Director, Labor and Employee Relations Division, Office of Human
Resources, U.S. Customs Service, Washington, DC 20229, Customs
Management Center, Labor and Employee Relations Office, and in SAC,
Port and appropriate post of duty offices.
Notification procedure:
Write to systems manager--providing your name and social security
account number.
Record access procedures:
Write to systems manager.
Contesting record procedures:
Write to systems manager.
Record source categories:
Individuals and offices depending on the problem.
Exemptions claimed for the system:
None.
TREASURY/CS .096
System name:
Fines, Penalties and Forfeiture Control and Information Retrieval
System-Treasury/Customs.
System location:
U.S. Customs Service, Office of Trade Operations, Fines, Penalties
and
[[Page 69782]]
Forfeiture Branch, 1300 Pennsylvania Avenue, NW., Washington, DC 20229,
and each Customs Service Port, Fines, Penalties and Forfeitures Office
in the United States and Puerto Rico.
Categories of individuals covered by the system:
Individuals and/or businesses who have been fined, penalized or
have forfeited merchandise because of violations of Customs and/or
related laws or breaches of bond conditions.
Categories of records in the system:
Individual and business names, address, personal identifying
numbers, date and type of violation, parties entitled to legal notice
or who are legally liable, case information, bond and petition
information, and actions (administrative) taken by U.S. Customs. Also
included are actions taken by violator prior to the disposition of the
penalty or liquidated damage case.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Hard copy Customs Form 5955a (Notice of Liquidated Damages Incurred
and Demand for payment) and Customs Form 151 Search/Arrest/Seizure
Report.
Retrievability:
Case number.
Safeguards:
All inquiries are made by officers with a full field background
investigation on a ``need-to-know'' basis only. Procedural and physical
safeguards are utilized such as accountability and receipt records,
guards patrolling the area, restricted access and alarm protection
systems, special communications security, etc.
Retention and disposal:
A maximum of 11 years. Erasure of disc/tapes and shredding and/or
burning of hard copy Customs Form 5955a.
System manager(s) and address:
Director, Office of Trade Operations, U.S. Customs Service, 1300
Pennsylvania Avenue, NW., Washington, DC 20229 and the Area Port
Directors of Customs for each Customs Port in the United States and
Puerto Rico.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See access, Customs appendix A.
Record source categories:
Customs Form 5955a (Notice of Penalty or Liquidated Damages
Incurred and Demand for Payment) and CF 151 (Search/Arrest/Seizure
Report) prepared by Customs employees at the time and place where the
violation has occurred.
Exemptions claimed for the system:
None.
TREASURY/CS .098
System name:
Fines, Penalties and Forfeitures Records--Treasury/Customs.
System location:
Customs Fines, Penalties and Forfeitures offices, Customs Ports.
(See Customs appendix A.)
Categories of individuals covered by the system:
Individuals and firms who have been administratively charged with
violations of Customs laws and regulations and other laws and
regulations enforced by the Customs Service.
Categories of records in the system:
Entry documentation, notices, investigative reports, memoranda,
petitions, recommendations, referrals and dispositions of fines,
penalties and forfeiture cases.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended. 19 U.S.C. 66, 1618, 1624; 19 CFR parts 171 and 172.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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, or
in response to a subpoena, in connection with criminal law proceedings;
(3) provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The records are maintained in folders in locked file cabinets and
safes and in the automated FP&F module in the Automated Commercial
System (ACS).
Retrievability:
The records are filed either by numerical sequence using year and
port code, name of individual and/or company, with a cross reference
available through ACS.
Safeguards:
During non-working hours, the records are maintained in locked file
cabinets, locked buildings and buildings guarded by uniform guards or
security detection devices.
Retention and disposal:
The records are retained for one to three years after which they
are either
[[Page 69783]]
destroyed or forwarded to the Federal Records Center. Automated records
are periodically updated to reflect changes and maintained as long as
needed.
System manager(s) and address:
Area Port Directors of Customs (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information and representations supplied by importers, brokers and
other agents pursuant to the entry and processing of merchandise or in
the clearing of individuals or baggage through Customs. Information
also includes information gathered pursuant to Customs investigations
of suspected or actual violations of Customs and related laws and
regulations and recommendations and information supplied by other
agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .099
System name:
Fines, Penalties, and Forfeiture Files (Supplemental Petitions)-
Treasury/Customs.
System location:
Office of the Assistant Chief Counsel, 555 Battery Street, San
Francisco, CA 94111; Office of Associate Chief Counsel, One World Trade
Center, Suite 741, P.O. Box 32709, Long Beach, CA 90832-2709; Office of
the Associate Chief Counsel, U.S. Customs Service, 55 E. Monroe Street,
Room 1417, Chicago, IL 60603; Office of the Assistant Chief Counsel,
1000 Second Avenue, Suite 2200, Seattle, WA 98104-1049; Fines,
Penalties and Forfeitures Office, Laredo, TX, and National Seizure and
Penalties Office (NSPO), U.S. Customs, Hemisphere Center, Newark NJ.
Categories of individuals covered by the system:
Individuals who have filed supplemental petitions for relief from
fines, penalties and forfeitures assessed for violations of the laws
and regulations administered by Customs.
Categories of records in the system:
Petitions and supplemental petitions and other documents filed by
the individual; reports of investigation concerning the fine, penalty
or forfeiture; and documents relating to the internal review and
consideration of the request for relief and decision thereon.
Authority for maintenance of the system:
5 U.S.C. 301; 19 U.S.C. 1618; 19 CFR parts 171 and 172; Treasury
Department Order No. 165, Revised, as amended; Reorganization Plan No.1
of 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Justice or an individual United States
Attorney to assist that Department or United States Attorney when suit
is filed by the Government in civil prosecution of the fine, penalty or
forfeiture; (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; (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; (4) disclose information to a court,
magistrate, or administrative tribunal in the course or 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) provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted in a numerical file folder which is
filed in an unlocked drawer within a metal file cabinet.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name of the petitioner and in the numerical file folder within the
metal file cabinet by the name of the petitioner.
Safeguards:
The metal file cabinet described above is maintained within the
area assigned to the Office of the Regional Counsel within the Federal
Building. During non-working hours the room in which the metal file
cabinet is located is locked, and access to the building is controlled
at all times by uniformed guards.
Retention and disposal:
Supplemental petition files are retained until there is no longer
any space available for them within the metal file cabinet, at which
time the oldest files may be transferred to the Federal Records Center.
System manager(s) and address:
Assistant Chief Counsel, 555 Battery Street, San Francisco, CA
94111; Associate Chief Counsel, One World Trade Center, Suite 741, P.O.
Box 32709, Long Beach, CA 90832-2709; Associate Chief Counsel, Room
1417, U.S. Customs Service, 55 E. Monroe Street, Chicago, IL 60603;
Assistant Chief Counsel, 1000 Second Avenue, Suite 2200, Seattle, WA
98104-1049; and NSPO, U.S. Customs, Hemisphere Center, Newark NJ.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information contained in these files is obtained from the
individual petitioning for relief and from the Port Director of Customs
within whose jurisdiction the fine, penalty or forfeiture action lies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .100
System name:
Fines, Penalties and Forfeiture Records (Headquarters)-Treasury/
Customs.
[[Page 69784]]
System location:
Penalties Branch, International Trade Compliance Division, U.S.
Customs Service Headquarters, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229 and Fines, Penalties, and Forfeiture Offices at
each Customs Port in the United States and Puerto Rico.
Categories of individuals covered by the system:
Records are maintained on persons who have been administratively
charged with violating Customs and related laws and regulations and on
persons who have applied for awards of compensation under 19 U.S.C.
1619 based on their having provided original information on violations
of Customs, navigation or other laws enforced by Customs.
Categories of records in the system:
Entry documentation, notices, investigative and other reports,
memoranda of information received, petitions, recommendations,
referrals and dispositions of fines, and penalties cases and
applications for awards of compensation.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended; 19 U.S.C. 66, 1618, 1624; 19 CFR parts 171 and 172.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The records are kept in file cabinets in the office and central
file room of the International Trade Compliance Division at U.S.
Customs Service Headquarters and in the storage facilities for the
Fines, Penalties and Forfeitures Office in each Customs Management
Center.
Retrievability:
The records are filed chronologically with a case number given to
each file.
Safeguards:
The records are maintained in the U.S. Customs Service Headquarters
building which is guarded by security police. During non-working hours,
the central file room is locked and the building is guarded by security
police. Records are maintained in each Customs Service District
buildings.
Retention and disposal:
The records are generally retained for five years after closing of
the case. The records are then forwarded to the Federal Records Center.
System manager(s) and address:
Chief, Penalties Branch, International Trade Compliance Division,
U.S. Customs Service Headquarters, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229, and each Fines, Penalties and Forfeitures Officer
for the United States Customs Service Ports.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information and representations supplied by importers, brokers and
other agents pursuant to the entry and processing of merchandise or in
the clearing of individuals or baggage through Customs. Records also
includes information gathered pursuant to Customs investigations of
suspected or actual violations of Customs and related laws and
regulations and recommendations and information supplied by other
agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .105
System name:
Former Employees-Treasury/Customs.
System location:
U. S. Customs Laboratory, Suite 1429, 630 Sansome Street, San
Francisco, CA 94111.
Categories of individuals covered by the system:
All past employees of the Customs Laboratory.
Categories of records in the system:
Contains copies of personnel action notices.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may by 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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders and stored in a metal file
cabinet.
Retrievability:
The record is filed alphabetically by name.
Safeguards:
The file is stored in a metal file cabinet in a private inner
office of a government building protected by 24-hour guard service with
limited access. The file is only used on a ``need-to-know'' basis and
only by the laboratory employees.
Retention and disposal:
Retained in accordance with the Treasury Records Control Manual.
System manager(s) and address:
Laboratory Director, U. S. Customs Laboratory, Suite 1429, 630
Sansome Street, San Francisco, CA 94111.
[[Page 69785]]
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information contained in personnel action files.
Exemptions claimed for the system:
None.
TREASURY/CS .109
System name:
Handicapped Employee File--Treasury/Customs.
System location:
Human Resources Division, Mid-America Customs Management Center, 55
East Monroe Street, Suite 1501, Chicago, IL 60603.
Categories of individuals covered by the system:
All employees identified as handicapped.
Categories of records in the system:
Indicates employee's home and organizational location and various
physical and mental handicaps, infirmities and conditions. Also shows
veteran's preference.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
List.
Retrievability:
Lists employees alphabetically by district.
Safeguards:
None at present and none required.
Retention and disposal:
Employee's name removed from list at time of termination.
System manager(s) and address:
Director, Human Resources Division. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Data furnished by employee and employee's physician.
Exemptions claimed for the system:
None.
TREASURY/CS .122
System name:
Information Received File--Treasury/Customs.
System location:
District Division, Room 200, United States Customhouse, La Marina,
Old San Juan, PR 00901; Office of the Special Agent In Charge, 423
Canal St, New Orleans, LA 70130; Office of the Port Director, 880 Front
Street, San Diego, CA 92318; Offices of the Port Directors, San Ysidro,
CA., Tecate, CA., Calexico, CA., Andrade, CA; San Diego Barge Office,
Offices of the Special Agent In Charge, San Diego, CA., San Ysidro,
CA., Calexico, CA., Tecate, CA; Los Angeles Region. Office of the Port
Director, 423 Canal St., New Orleans, LA 70130; Special Agent In
Charge, Room 213, International Trade Center, 250 N. Water Street,
Mobile, AL 36602; Intelligence Support Staff (Pacific Region), Room
7514, 300 N. Los Angeles Street, Los Angeles, CA 90053; Special Agent
In Charge, 300 Ferry Street, Terminal Island, San Pedro, CA 90731;
Resident Agent in Charge, Office of Investigations, P.O. Box 1385,
Nogales, AZ 85621; Special Agent In Charge, Room 7N-FB-05, 301 W.
Congress, Tucson, AZ 85701.
Categories of individuals covered by the system:
Persons in whom Customs and/or other government agencies are
interested from a law-enforcement and/or security point of view.
Categories of records in the system:
Name, alias, date of birth or age, personal data, addresses, home
and business telephone number, occupation, background information,
associations, license number and registration number of vehicle, vessel
and/or aircraft, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Files are kept in a locked metal cabinet.
Retrievability:
Records are filed within a metal file.
Safeguards:
The files are located within an office that is locked during non-
working hours. The building is guarded by a central alarm system which
is monitored by local law enforcement agencies, and only authorized
persons are permitted in the building.
Retention and disposal:
Files are retained for a period of three (3) years after which they
are destroyed.
[[Page 69786]]
System manager(s) and address:
Special Agent In Charge, United States Customs Service, Room 200,
La Marina, Old San Juan, PR 00901; Special Agent In Charge, 423 Canal
St., New Orleans, LA 70130; Chief, Air Branch, U.S. Customs Service,
Bldg. 240, Homestead Air Force Base, Homestead, FL 33039; Regional
Agent In Charge, 423 Canal St., New Orleans, LA 70130; Directors,
Customs Management Centers, Port Directors, and Directors within the
San Diego Customs District: Intelligence Support Staff (Pacific
Region), Room 7514, 300 N. Los Angeles Street, Los Angeles, CA 90053;
Special Agent In Charge, 300 Ferry Street, Terminal Island, San Pedro,
CA 90731; Resident Agent in Charge of Enforcement, P.O. Box 1385,
Nogales, AZ 85621; Special Agent in Charge, Room 7N-FB-05, 301 W.
Congress, Tucson, AZ 85701 (see Customs appendix A).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .123
System name:
Injury Notice--Treasury/Customs.
System location:
Director, Gulf Customs Management Center, 423 Canal Street, New
Orleans, LA 70130; Port Director, 423 Canal Street, New Orleans, LA
70130; Port Director, 150 N. Royal, Mobile, Alabama 36602; Special
Agent-in-Charge, 108 Decatur St., New Orleans, LA 70150; Special Agent-
in-Charge, 951 Government St., Mobile, AL 36604.
Categories of individuals covered by the system:
Individuals who sustain an injury in performance of duty as an
employee of U.S. Customs.
Categories of records in the system:
Name, date of birth, home address, organization, place of injury,
date and hour of injury, dependents, occupation, cause of injury,
nature of injury, statement of witness, supervisor's report of injury.
Authority for maintenance of the system:
Sections 19 and 24 of the Occupational Safety and Health Act of
1970; 84 Statute 1609, 1614, 29 U.S.C. 668, 673 and the provisions of
Executive Order 11807.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Labor for that agency's official use; (2)
provide information to a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The information in this system is contained on CA forms. The CA
forms are filed in folders, alphabetically, and placed in a metal file
cabinet.
Retrievability:
Each CA form is identified by the name of the injured employee and
filed alphabetically in a folder.
Safeguards:
The binder is placed within a metal file container located within
an office that is locked during non-working hours. The building is
guarded by uniformed security personnel and only authorized persons are
permitted in the building.
Retention and disposal:
Notice of injury reports are maintained in the employee's OPF and
disposed of in accordance with the Treasury Records Control Manual.
Copies maintained by the systems manager are maintained at location for
two years and then destroyed.
System manager(s) and address:
Regional Commissioner, 423 Canal Street, New Orleans, LA 70130;
Port Director, 423 Canal St., New Orleans, LA 70130; Port Director, 150
N. Royal St., Mobile, Alabama 36602; Special Agent-in-Charge, 108
Decatur St., New Orleans, LA 70130; Special Agent-in-Charge, 951
Government St., Mobile, Alabama 36604.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with and consists solely
of information supplied by the injured employee, his supervisor,
appropriate witness and attending physician on CA forms.
Exemptions claimed for the system:
None.
TREASURY/CS .125
System name:
Intelligence Log--Treasury/Customs.
System location:
U.S. Customs Air Branch, Bldg. 240 PM-TUM, Homestead Air Force
Base, Homestead, FL 33030.
Categories of individuals covered by the system:
Persons who are believed to be involved in activities which
constitute, or may develop into, possible violation of Customs and
related laws.
Categories of records in the system:
Internal Customs Service memoranda and related materials regarding
the activities of individuals, vessels, or aircraft believed to be
involved in acts which are contrary to Customs and related laws.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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
[[Page 69787]]
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (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;
(4) provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The intelligence log is maintained within a security area.
Retrievability:
A manual, master card index, is maintained for the entire system.
This index includes name and/or numerical identifier.
Safeguards:
The information files and master card index are located within an
office which is locked during non-working hours. The building is
guarded by U.S. Air Force Military Police and only authorized persons
are permitted in the building.
Retention and disposal:
These files are retained until such time that it has been
determined that there is no longer a need for their existence, at which
time the oldest files are destroyed under Customs supervision.
System manager(s) and address:
Chief, Air Branch, U.S. Customs, PM-TUM Bld 240, Homestead Air
Force Base, Homestead, FL 33039.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .127
System name:
Internal Affairs Records System--Treasury/Customs.
System location:
Security Programs Division, Office of Internal Affairs, 1300
Pennsylvania Avenue, NW., Room 8.4.D, Washington, DC 20229.
Categories of individuals covered by the system:
Present and past employees; contractor applicants/employees; and
applicants for positions that require an investigation; and others that
are principals or non-principals in an investigation or integrity
issue.
Categories of records in the system:
Background investigations, integrity investigations, and
photographic images.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order Number 165, revised, as
amended.
Purpose(s):
To maintain all records on applicants, employees, contractors, and
contractor applicants relating to investigations conducted by Internal
Affairs, and to support personnel and administrative programs of the
Customs Service.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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; (6) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, assessing, retaining,
and disposing of records in the system:
Storage:
Investigative records are maintained in computers, as well as in
file folders, in metal security cabinets secured by government approved
three-position combination locks, and in a mobile filing system within
a secured area that is alarmed with motion detectors.
Retrievability:
These records are indexed by name and/or numerical identifier in a
manual filing system and/or computerized system.
Safeguards:
In addition to being stored in secured metal containers with
government approved combination locks, mobile filing system, etc., the
containers are located in a locked, alarmed room, the keys of which are
controlled and issued to the custodians of the files. The security
specialists and administrative personnel who maintain the files are
selected for their experience and afforded access only after having
been cleared by a full-field background investigation and granted
appropriate security clearances for critical sensitive positions. Those
departmental officials who may occasionally be granted access
consistent with their positions to employ and concur in the granting of
security clearances have also been investigated prior to filling
critical-sensitive positions.
Retention and disposal:
The file records are maintained as long as the subject of the
investigation is employed by the U.S. Customs Service and then for 1
year after the subject terminates employment. The files are then
transferred to the Federal Records Center for retention. After
transfer, records are retained by the Federal Records Center for the
following
[[Page 69788]]
period of time and then destroyed: Background Investigations--15 years;
Conduct and Special Inquiry Investigations--25 years.
System manager(s) and address:
Director, Security Programs Division, Office of Internal Affairs,
1300 Pennsylvania Avenue, NW., Room 8.4.D, Washington, DC 20229.
Notification procedure:
See Customs appendix A (31 CFR part 1, subpart C).
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Sources of information are: Employers; educational institutions;
police; government agencies; credit bureaus; references; neighborhood
checks; confidential sources; medical sources; personal interviews;
photographic images, military, financial, citizenship, birth and tax
records; and the applicant's, employee's or contractor's personal
history and application forms.
Exemptions claimed for the system:
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), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2), (k)(2) and (k)(5).
TREASURY/CS .129
System name:
Investigations Record System--Treasury/Customs.
System location:
All Office of Investigations offices located in the United States
and within each Office of Investigations office located in a foreign
country. (See Customs appendix A.)
Categories of individuals covered by the system:
Records are maintained on individuals who may bear some necessary
relevance to investigations conducted within the scope of authority of
the Office of Investigations, United States Customs Service. The
categories include but are not limited to: (1) Known violators of U.S.
Customs laws; (2) Convicted violators of U.S. Customs and/or drug laws
in the U.S. and foreign countries; (3) Fugitives with outstanding
warrants, Federal or State; (4) Suspect violators of U.S. Customs or
other related laws; (5) Victims of violations of the U.S. Customs or
related laws.
Categories of records in the system:
The subject records may contain any identifying or other relevant
information on subject individuals which might relate to the following
categories of investigations: Smuggling, Diamonds & Jewelry; Smuggling,
Liquor; Smuggling, Narcotics; Smuggling, All Other; Prohibited
Importations; Navigation, Airplane and Vehicle Violations; Neutrality
Violations; Illegal Exports. Baggage Declaration Violations;
Customhouse Brokers and Customs Attorneys; Applications for Licenses;
Theft, Loss, Damage and Shortage; Irregular Deliveries; All Other
Criminal Cases; Currency Violations. Organized Crime; Personnel
Derelictions; Other Departments, Bureaus and Agencies; Federal Tort
Claims; Personnel Background Investigations. Undervaluation and False
Invoicing; Petitions for Relief; Drawback; Marking of Merchandise;
Customs Bonds; Customs Procedures; Collections of Duties and Penalties;
Trademarks and Copyrights; Foreign Repairs to Vessels and Aircraft.
Classification; Market Value; Dumping; Countervailing Duties.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended; 19 U.S.C. 2072; Title 19, United States Code; Title 18, United
States Code.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in both hard copy files and on microfiche
which are placed in locked metal containers.
Retrievability:
The record system is indexed on 3 x 5 file cards by the
individual's name and/or identification number and by the investigative
case numbers to which the information relates. The hard copy and
microfiche records are retrieved by means of the investigative case
numbers.
Safeguards:
All records are held in steel cabinets and are maintained according
to the requirements of the United States Customs Records Manual and the
United States Customs Security Manual. Access is limited by visual
controls and/or a lock system. During normal working hours, files are
either attended by responsible Office of Investigations employees or
the file area is restricted. The office in which the records are
located is locked during non-working hours and the building is
patrolled by uniformed security guards.
Retention and disposal:
The index cards, the hard copies and microfiche records are
retained in accordance with standard Customs Service record retention
and disposal procedures.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC
20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act
for the purpose of inspection.
[[Page 69789]]
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of contesting
the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
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), (H) and (I),
(5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2) and (k)(2).
TREASURY/CS .133
System name:
Justice Department Case File--Treasury/Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters,
1300 Pennsylvania Ave., NW., Washington, DC, 20229. Office of the
Assistant Chief Counsel, U.S. Customs Service, 10 Causeway Street,
Boston, MA 02222.
Categories of individuals covered by the system:
Persons who are parties in litigation with the United States
Government or subunits or employees or officers thereof, in matters
which affect or involve the United States Customs Service.
Categories of records in the system:
Litigation report requests and responses thereto, reports of
investigations, internal Customs Service memoranda summarizing or
relating to the matter in controversy and other background information
relating to the subject matter or origin of the litigation.
Authority for maintenance of the system:
28 U.S.C. 507; 19 U.S.C. 1603; 5 U.S.C. 301; E.O. 6166; Treasury
Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Justice or directly to United States
Attorneys upon request to assist in representing the interests of the
Government, the agency or officer or employee involved in the
litigation, or to other agencies involved in the same or similar
litigation; (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; (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; (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;
(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; (6) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted in file folder which is filed in an
unlocked drawer within a metal container.
Retrievability:
Each case file is identified in the file folder within the metal
container.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Counsel. During non-working hours the
room in which the metal container is located is locked.
Retention and disposal:
The files are retained until there is no longer any space available
for them within the metal container, at which time the oldest files are
transferred to the Federal Records Center.
System manager(s) and address:
Chief Counsel, U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC, 20229; Assistant Chief Counsel, 10
Causeway Street, Boston, MA 02222.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the
request from an appropriate customs official, the Department of Justice
or directly from a United States Attorney or other Government agency or
officer which results in a communication regarding the particular case.
Information in this file is also derived from reports of investigation
regarding the enforcement of civil or criminal statutes or regulations,
administrative proceedings or any matter affecting or involving the
United States Customs Service or its officers or employees.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .136
System name:
All Liquidated Damage, Penalty, and Seizure Cases; Prior
Violators--Treasury/Customs.
System location:
Office of the Director, Fines and Penalties Office, U.S. Customs
Service, 10 Causeway Street, Boston, MA 02109; Office of the Director,
Fines and Penalties Office, U.S. Customs Service, P.O. Box 1490, St.
Albans, VT 05478; and Fines, Penalties and Forfeitures Office, Laredo,
TX 78044.
Categories of individuals covered by the system:
Prior violators of Customs Laws: e.g. Customhouse brokers,
individual TIB violators, liquidated damage cases, penalty cases, and
seizure cases.
Categories of records in the system:
Name and case number.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
[[Page 69790]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Stored on 3 x 5 index cards and in file folders.
Retrievability:
Alphabetically; by name.
Safeguards:
In file cabinet in locked room when not in use.
Retention and disposal:
Boston District files are kept for two years and then destroyed on
site. St. Albans District files are kept for five (5) years and then
destroyed.
System manager(s) and address:
Fines and Penalties Officer, U.S. Customhouse, Boston, MA 02109.
Fines and Penalties Officer, Post Office and Customhouse Building, St.
Albans, VT 05478; and Fines and Penalties Officer, Laredo, TX 78044.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is received from the individual at the time the
violation occurs and from penalty notices which are issued in the
Penalties section. Also, the Office of Investigations provides any
information developed during its investigation.
Exemptions claimed for the system:
None.
TREASURY/CS .137
System name:
List of Vessel Agents Employees--Treasury/U.S. Customs.
System location:
Office of Director, Mid-America Customs Management Center, Chicago,
IL (see Customs appendix A).
Categories of individuals covered by the system:
Persons employed by Vessel agents.
Categories of records in the system:
Names, addresses, Social Security numbers, and dates and places of
birth of persons employed.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Open file.
Retrievability:
Alphabetical listing of employees by vessel agent name.
Safeguards:
The file described is maintained in the Office of the Director,
Mid-America Customs Management Center, Chicago, IL. During non-working
hours the room/building in which the file is located is locked. Access
limited to authorized Customs personnel.
Retention and disposal:
Employee name retained for period of employment with vessel agent
agency.
System manager(s) and address:
Director, as appropriate, Mid-America Customs Management Center,
Chicago, IL (see Location above).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Submission of data by importing carrier or his agent.
Exemptions claimed for the system:
None.
TREASURY/CS .138
System name:
Litigation Issue Files--Treasury/Customs.
System location:
Office of Assistant Chief Counsel, Customs Court Litigation, Second
Floor, 26 Federal Plaza, New York, NY 10007.
Categories of individuals covered by the system:
Parties in litigation before the United States Customs Court (or
subunits or employees or officers thereof), and other individuals with
knowledge of the issues in controversy, e.g., trade witnesses, foreign
or domestic manufacturers, etc.
Categories of records in the system:
Litigation report requests and responses thereto, reports of
investigations, internal Customs Service memoranda summarizing or
relating to the matter in controversy and other background information
relating to the subject matter or origin of the litigation.
Authority for maintenance of the system:
19 U.S.C. 1514-1516; 5 U.S.C. 301; Treasury Department Order No.
165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Justice upon request to assist that
Department in representing the interests of the Government, or agency
involved in the litigation; (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; (3)
disclose information to a
[[Page 69791]]
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; (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; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relates to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each issue file is inserted in a numerical file folder (according
to issue) which is filed in an unlocked drawer within a metal
container.
Retrievability:
Each issue filed is cross-indexed in the following card files: (a)
By name of party--plaintiff; (b) by issue; and, (c) by titles of
decided cases.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Assistant Chief Counsel within the
Federal Building. At all times the room in which the metal container is
located is locked, and access to the building is controlled at all
times by uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space
available for them within the metal container, at which time the oldest
files are transferred to the Federal Records Center.
System manager(s) and address:
Assistant Chief Counsel, Customs Court Litigation, Second Floor, 26
Federal Plaza, New York, NY 10007.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the
receipt of protest reports (based on information supplied by the
subject individuals or by their authorized agents or attorneys) from
the various Ports of Entry and/or litigation report requests from the
Department of Justice which results in a written report to that
Department regarding the facts of the particular case.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4), (G), (H), and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
TREASURY/CS .144
System name:
Mail Protest File--Treasury/Customs.
System location:
Foreign Mail Branch, 1751 NW., 79th Avenue, Miami, FL 33166; Port
Director of Customs, P.O. Box 17423, Washington, DC 20041; 300 2nd
Ave., South Great Falls, MT 59405; P.O. Box 1641, Honolulu, HI 96806;
1000 2nd Ave., suite 2100, Seattle, WA 98104-1049; U.S. Customs Mail
Facility, Room 416, 1675--7th Street, Oakland, California 94615.
Categories of individuals covered by the system:
Individuals who have filed formal protest of the amount of duty
assessed against mail parcels.
Categories of records in the system:
Letters, invoices, and other pertinent documents pertaining to
protests.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are kept in file folders within a metal file cabinet.
Retrievability:
Records are retrievable by name or protest number.
Safeguards:
Access is limited to appropriate personnel and the office is locked
during non-working hours.
Retention and disposal:
Records are maintained and disposed of in accordance with the
Treasury Records Control Manual.
System manager(s) and address:
Port Director of Customs, 1751 NW. 79th Avenue, Miami, FL 33166;
P.O. Box 17423, Washington, DC 20041; 405 W. Fourth Ave., Anchorage, AK
99501; 300 2nd Ave., South, Great Falls, MT 59405; 335 Merchant,
Honolulu, HI 96813; 511 NW. Broadway, Portland, OR 97209; 555 Battery
Street, San Francisco, CA 94126; 1000 2nd Ave., Suite 2100, Seattle, WA
98104-1049.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Source of information is from the sender, the addressee, the
Customs value records, and the manufacturer of the item.
Exemptions claimed for the system:
None.
TREASURY/CS .148.
System name:
Military Personnel and Civilian Employees' Claims Act File-
Treasury/Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters,
1300 Pennsylvania Avenue, NW., Washington, DC 20229; Office of the
Assistant Chief Counsel, Room 125, U.S. Customhouse, 40 S. Gay Street,
Baltimore, MD 21202; Associate Chief Counsel, U.S. Customs Service, 6
World Trade Center, New York, NY 10048.
Categories of individuals covered by the system:
Persons filing claims under the Military Personnel and Civilian
Employees' Claims Act of 1964.
Categories of records in the system:
Documents relating to the administrative handling of the claim
[[Page 69792]]
and documents submitted by the claimant in support of the claim.
Authority for maintenance of the system:
31 U.S.C. 240-243; 5 U.S.C. 301; 31 CFR part 4; Treasury Department
Administrative Circular No. 131, August 19, 1965; Treasury Department
Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted alphabetically in a file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name of the person who filed the claim and alphabetically in the
file folder within the metal container by the name of the person who
filed the claim.
Safeguards:
The metal container described above is maintained within the
Customs Service Building. During non-working hours the room in which
the metal container is located is locked, and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space
available for them within the metal container, at which time the oldest
files are transferred to the Federal Records Center.
System manager(s) and address:
Chief Counsel, U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229; Assistant Counsel, U.S. Customhouse,
40 S. Gay Street, Baltimore, MD 21202; Associate Counsel, U.S. Customs
Service, 6 World Trade Center, New York, NY 10048.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the
Treasury Department Form No. 3079, Civilian Employee Claim For Loss or
Damage to Personal Property, which is completed and filed with the
Customs Service by the claimant. Additional information contained in
these files may be separately provided by the claimant or by the
claimant's supervisor.
Exemptions claimed for the system:
None.
TREASURY/CS .151
System name:
Motor Vehicle Accident Reports--Treasury/Customs.
System location:
National Finance Center, U.S. Customs Service, 6026 Lakeside Blvd.
Indianapolis, IN 46278.
Categories of Individuals Covered By the System:
U.S. Customs employees involved in automobile accident while on
official duty.
Categories of records in the system:
Name, social security number, home address, telephone number, age,
title, date of accident, place of accident, make, year, license number
of vehicles, description of accident, information on driver of other
vehicle.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Administrative Circular No. 131, dated
August 19, 1965, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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 or in connection with
criminal law proceedings; (4) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (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; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted in an alphabetical file folder which is
filed in an unlocked drawer in a metal file cabinet.
Retrievability:
Each case file is in a file folder designated by the name of the
Customs employee involved in the automobile accident.
Safeguards:
The metal file cabinet described above is maintained within the
area assigned to the Regional Safety Coordinator within the office of
the Customs Management Center. Access to the building during non-
working hours is controlled.
Retention and disposal:
Files are maintained at location for two years and then transferred
to the Federal Records Center where they are retained for four years.
System manager(s) and address:
Director, National Finance Center, U.S. Customs Service, 6026
Lakeside Blvd., Indianapolis, IN 46278.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in these files originates from the employee
involved in the automobile accidents, police report and report of
investigation conducted by the Office of Internal Affairs.
[[Page 69793]]
Exemptions claimed for the system:
None.
TREASURY/CS .156
System name:
Narcotic Violator File-Treasury/Customs.
System location:
Fines, Penalties and Forfeitures Office, East Great Lakes Customs
Management Center, 4455 Genessee St., Buffalo, NY 14225.
Categories of individuals covered by the system:
Persons who have been found in possession of any controlled
substance within the Buffalo District.
Categories of records in the system:
Alphabetized cross reference of violators' names and the associated
case numbers assigned to these individuals.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Open card file (3 x 5) is kept in metal flip file.
Retrievability:
Narcotic violator files are cross-referenced by a 3 x 5
alphabetized card which contains both name and case number.
Safeguards:
Open card file kept in the Fines, Penalties and Forfeitures Office
which is locked after working hours. During working hours, a staff
person is always in the office. The building is under 24 hour guard.
Retention and disposal:
File system has a purge date of two years after which cross
reference cards are destroyed and case numbered file is no longer
accessible by name of the individual.
System manager(s) and address:
Director, East Great Lakes Customs Management Center, 4455 Genessee
St., Buffalo, NY 14225.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in these files is obtained from Search/Arrest and
Seizure Reports transmitted to the Fines, Penalties and Forfeitures
Office by ports and stations within the area.
Exemptions claimed for the system:
None.
TREASURY/CS .159
System name:
Notification of Personnel Management Division when an employee is
placed under investigation by the Office of Internal Affairs-Treasury/
Customs.
System location:
Human Resources Division, East Texas Customs Management Center,
2323 S. Shepard St., suite 1200, Houston, TX 77019.
Categories of individuals covered by the system:
Customs employees who are suspected of misconduct.
Categories of records in the system:
A written or telephonic notification made by the Office of Internal
Affairs that an investigation has been opened on an individual
employee.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Notifications provided by the Office of Internal Affairs are
maintained in a file folder and stored in a metal security cabinet
equipped with a lock.
Retrievability:
The file contains the name of the employee; therefore,
Retrievability is by the individual's name.
Safeguards:
A metal container, described above, is maintained within the area
assigned to
[[Page 69794]]
Personnel Management. During non-working hours the room in which the
metal container is kept is locked, and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
The name file is retained until notification has been received that
the investigation has been canceled or on receipt of a report of
investigation from the Office of Internal Affairs.
System manager(s) and address:
Director, Human Resources Division, East Texas Customs Management
Center, 2323 S. Shepard St., suite 1200, Houston, TX 77019.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The only source of notification that an employee has been placed
under investigation is the Regional Director, Internal Affairs.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4), (G), (H), and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
TREASURY/CS .162
System name:
Organization (Customs) and Automated Position Management System
(COAPMS)-Treasury/Customs.
System location:
Chief Financial Officer, U.S. Customs Service, Washington, DC
20229.
Categories of individuals covered by the system:
All Customs employees by organizational entity.
Categories of records in the system:
Position control number and other personnel data such as social
security number, date of birth, name, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are stored on magnetic tape.
Retrievability:
Records are indexed by organizational segment, code, position
control number, and name.
Safeguards:
Limited access.
Retention and disposal:
Records are maintained on magnetic tape until employee separation.
System manager(s) and address:
Director, Human Resources Division, U.S. Customs Service,
Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
COAPMS is composed of four basic inputs--CF-105--Position Change
Form-- presently prepared by the Headquarters Personnel Branch and
operating offices: Post of Duty Codes-established by the Accounting
Division; Ceilings-established by the Budget Division; and CF-112-a
Request for PPBS Code and Standard Abbreviation of Position. In
addition to these four sources, the IRS payroll tape has many inputs -
1150, 1125, 50, 52, union dues, etc., and Accounting tape K from IRS.
Exemptions claimed for the system:
None.
TREASURY/CS .163
System name:
Outside Employment Requests--Treasury/Customs.
System location:
Located in Headquarters and Customs Management Centers and/or
appropriate Port or post of duty office of employee making request.
Categories of individuals covered by the system:
All employees engaged in outside employment.
Categories of records in the system:
Outside employment request.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
CF-3031 kept in manila folder.
Retrievability:
By employee name.
Safeguards:
Locked file cabinet or limited access offices.
Retention and disposal:
Until disengagement from outside employment or employee separation.
System manager(s) and address:
Appropriate managerial official in each headquarters, Customs
Management Centers, SAC, port of employee.
Notification procedure:
Write to System Manager, provide your name and social security
number.
Record access procedures:
Write to System Manager.
Contesting record procedures:
Write to System Manager, specify changes you are requesting and
provide your name and social security number.
Record source categories:
Employee submission of Form CF-3031.
Exemptions claimed for the system:
None.
TREASURY/CS .165
System name:
Overtime Earnings--Treasury/Customs.
[[Page 69795]]
System location:
Passenger Processing Port of San Francisco, San Francisco
International Airport, P.O. Box 251867, San Francisco, CA 94125-1867;
Los Angeles International Airport, 1099 S. LaCienega Blvd., Los
Angeles, CA 90045; Port Director, 300 S. Ferry Street, Terminal Island,
San Pedro, CA 90731; Port Director, 9 North Grande Ave., Nogales, AZ
85620; Customs Management Center Director, 4740 N. Oracle Rd., Suite
310, Tucson, AZ 85705; San Diego Barge Office; Offices of the Port
Directors: San Ysidro, CA; Andrade, CA; Calexico, CA; Douglas, AZ; Las
Vegas, NV; Lochiel, AZ; Lukeville, AZ; Naco, AZ; Oxnard, CA; Phoenix,
AZ; San Luis Obispo, CA; San Luis, AZ; Sasabe, AZ; Tecate, CA; Tucson,
AZ; Pembina, ND; Detroit, MI; Minneapolis, MN; Cleveland, OH; St.
Louis, MO; Duluth, MN; Milwaukee, WI; Office of the Supervisory
Warehouse Officer, U.S. Customhouse, Room 103, 2nd and Chestnut
Streets, Philadelphia, PA 19106; Port Director, U.S. Customs Service,
40 S. Gay St., Baltimore, MD 21202-2004; Port Director, U.S. Customs
Service, 111 West Huron Street, Buffalo, NY 14202; Port Director, U.S.
Customs Service, 127 North Water Street, Ogdenburg, NY 13669; Port
Director, U.S. Customs Service, 312 Fore Street, Box 4688, Portland, ME
04112; Port Director, U.S. Customs Service, 49 Pavilion Avenue,
Providence, RI 02905; Port Director, U.S. Customs Service, PO Box 1490,
St. Albans, VT 05478; Port Director, U.S. Customs Service, 10 Causeway
Street, Boston, MA 02222; U.S. Customs Service, Honolulu International
Airport, Honolulu, HI 96816, and maintained at each individual port
within the south Texas Customs Management Center.
Categories of individuals covered by the system:
Inspection and Control employees participating in overtime
assignments.
Categories of records in the system:
Name and the total current monetary earnings computed to the
nearest dollar.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information is stored on government internal control personal
computer data disks and the information on earnings is updated on a
daily basis.
Retrievability:
The individual's name appears alphabetically.
Safeguards:
The room where the records are kept is locked at other than regular
working hours. Passwords are required for access to records.
Retention and disposal:
The information on each employee constantly changes and is
maintained as long as the employee is working in the overtime system.
System manager(s) and addresses:
Supervisory Customs Inspector, Station 1, U.S. Customs Service, 555
Battery Street, Room 111, San Francisco, CA 94125; Director, (Airport),
Los Angeles International Airport, 1109 S. LaCienega Blvd., Los
Angeles, CA 90045; Port Director, 300 S. Ferry Street, Terminal Island,
San Pedro, CA 90731; Port Director, 9 North Grande Ave., Nogales, AZ
85620; Customs Management Center Director, 4740 N. Oracle Rd., Suite
310, Tucson, AZ 85705; San Diego Barge Office; Port Directors: San
Ysidro, CA; Andrade, CA; Calexico, CA; Douglas, AZ; Las Vegas, NV;
Lochiel, AZ; Lukeville, AZ; Naco, AZ; Oxnard, CA; Phoenix, AZ; San Luis
Obispo, CA; San Luis, AZ; Sasabe, AZ; Tecate, CA; Tucson, AZ;
Directors: Chicago, IL; Pembina, ND; Detroit, MI; Minneapolis, MN;
Cleveland, OH; St. Louis, MO; Duluth, MN; Milwaukee, WI. Port Director
of Customs, 77 SE 5th Street, Miami, FL 33131; Port Director of
Customs, U.S. Customhouse, 2nd and Chestnut Streets, Philadelphia, PA
19106; Port Director of Customs, U.S. Customs Service, Honolulu, HI
96819.
Notification procedure:
See Customs appendix A.
Records access procedures:
See Customs appendix A.
Contesting records procedures:
See Access, Customs appendix A.
Record source categories:
Information is obtained from actual overtime earnings made by each
employee in the system.
Exemptions claimed for the system:
None.
TREASURY/CS .170
System name:
Overtime Reports--Treasury/Customs.
System location:
U.S. Customs Service, Office of Investigations, South Central
Region. RDI, 1440 Canal Street, New Orleans, LA 70112; SAC, 600 South
Street, Room 444, New Orleans, LA 70130; SAC, P.O. Box 1704, Mobile, AL
36601; RA, 1719 West End Building, Room 303, Nashville, TN 37203, and
each port within the South Texas Customs Management Centers.
Categories of individuals covered by the system:
All special agents in region certified to receive premium
compensation.
Categories of records in the system:
Numbers of hours worked by special agents over and above the normal
40-hour week.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These forms are maintained in file folders in a locked cabinet.
Retrievability:
Files are kept in alphabetical order.
Safeguards:
During non-working hours the rooms in which the above described
containers are located are locked.
Retention and disposal:
These files are destroyed three years after special agent leaves
agency or office.
[[Page 69796]]
System manager(s) and address:
Resident Agent, U.S. Customs Service, 6125 Interstate, Bay 11,
Shreveport, LA 71109; Resident Agent in Charge, c/o Drug Enforcement
Agency, Little Rock, AR 72211; Resident Agent, Hoover Building, Ste.
216B, 8312 Florida Boulevard, Baton Rouge, LA 70806; Resident Agent, 1
Government Plaza, Rm. 423, 2909 13th Street, Gulfport, MS 39501;
Resident Agent in Charge, U.S. Customs Service, U.S. Federal Building,
Ste. 230, Jackson, MS 39269; Resident Agent in Charge, Station 1, Box
10182, Houma, LA 70363-5990; Resident Agent in Charge, 101 E. Cypress
Street, Ste. 106, Lafayette, LA 70502; Resident Agent, 811 Bayou Pines
Blvd., Lake Charles, LA 70601; Resident Agent, 811 Bayou Pines Blvd.,
Lake Charles, LA 70601; New Orleans Aviation Branch, P.O. Box 980,
Belle Chasse, LA 70037.
Notification procedure:
See Customs appendix A.
Record access procedures:
Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with, and
consists solely of information supplied by employees.
Exemptions claimed for the system:
None.
TREASURY/CS .171
System name:
Pacific Basin Reporting Network.
System location:
Office of the Special Agent in Charge, U.S. Customs Service, 300
Ala Moana Boulevard, Room 6127, Honolulu, Hawaii 50104
Categories of individuals covered by the system:
Records are maintained on masters, operators, pilots, crew members
and passengers of vessels and aircraft traveling in or through the
Pacific Basin. The Pacific Basin area includes the countries of
northeast Asia, southeast Asia, the Pacific islands (both independent
and non-independent), Australia, New Zealand, United States, Canada and
Mexico.
Categories of records in the system:
This system of records included information pertaining to
individuals, aircraft and vessels reporting; vessel/aircraft name and
registration numbers; description of vessels and aircraft; departure
and arrival information; and destination locations. Information about
individuals includes name, date of birth, place of birth, physical
description, nationality, passport number, address and occupation.
Authority for maintenance of this system:
19 U.S.C. 1433, 1459, and 162; 49 U.S.C. App. 1590.
Purpose(s):
The purpose of the Pacific Basin Reporting Network is to implement
a law enforcement data base containing records with identifying and
other relevant information on vessels, aircraft and individuals
traveling in or through the Pacific basin area, and where appropriate
to disclose this information to other domestic and foreign agencies
which have an interest in this information.
Routine uses of records maintained in this system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal agencies and to
state, local/territorial or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation or 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; (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, or in response to a subpoena, where relevant
or potentially relevant to the proceedings, or in connections with
criminal law proceedings; (3) 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; and (4)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on tape, magnetic disc and hard copy.
Retrievability:
By name (individual, master or pilot); unique identifiers (date of
birth, passport number, aircraft/vessel registration number); date,
place of destination; port of registry; or vessel description.
Safeguards:
All officials accessing to the system of records have had a full
field background check as required and access data on a need-to-know
basis only. Procedural and physical safeguards are utilized such as
accountability, receipt records and specialized communications
security. The data system has an internal mechanism designed to
restrict access to authorized officials. Hard-copy records are held in
steel cabinets and are maintained according to the requirements of the
U.S. Customs Reports Manual and Customs Security Manual. Access is
limited by visual controls and/or lock system. During normal working
hours, files are attended by responsible officials; they are locked
during non-working hours and the building is patrolled by uniformed
security guards.
Retention and disposal:
The records are periodically updated to reflect changes and
maintained as long as needed, then shredded and destroyed.
System manager(s) and address:
Office of Special Agent in Charge, U.S. Customs Service, 300 Ala
Moana Boulevard, Room 6127, Honolulu, Hawaii 50104.
Notification procedure:
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.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Records source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources need not be reported.
Exemptions claimed for the system:
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), (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).
TREASURY/CS .172
System name:
Parking Permits File--Treasury/Customs.
[[Page 69797]]
System location:
Chief Financial Officer, U.S. Customs Service Headquarters, 1300
Pennsylvania Ave., NW., Washington, DC 20229.
Categories of individuals covered by the system:
Organizational units and persons holding parking permits.
Categories of records in the system:
Name of persons issued parking permits, and number of parking
spaces assigned.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files.
Retrievability:
By name.
Safeguards:
Office locked at night.
Retention and disposal:
Retained until changed.
System manager(s) and address:
Chief Financial Officer, U.S. Customs Service Headquarters, 1300
Pennsylvania Avenue, NW., Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is compiled when parking permit is assigned.
Exemptions claimed for the system:
None.
TREASURY/CS .186
System name:
Personnel Search--Treasury/Customs.
System location:
Office of Investigations, 423 Canal Street, New Orleans, LA 70130;
Special Agent in Charge, 951 Government Street, Suite 700, Mobile, AL
36604. U.S. Customs Service, Honolulu International Airport, Honolulu,
HI 96810; Ports of Entry, Nogales, AZ.
Categories of individuals covered by the system:
Individuals indicating unlawful or suspicious activity that might
result in a Customs violation.
Categories of records in the system:
Name, address, phone number, place of business, physical
description, associates, vessel, automobile, or aircraft identified
with make, year, license number and registration of vehicles, area of
activity, method of operation and other relevant and necessary
information on individuals suspected of activity contrary to law.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records maintained in standard Customs file folders in locked metal
cabinets.
Retrievability:
Records are indexed by identifying file number and manually
retrieved.
Safeguards:
File maintained in locked metal file cabinet, the keys of which are
controlled by the custodian of the files. Those departmental officials
who may occasionally be granted access, consistent with their
positions, have been cleared by a full background investigation and
granted appropriate security clearance for critical sensitive
positions. During non-working hours, the room housing the metal
cabinets is locked.
Retention and disposal:
Negative Search Reports are destroyed after a five year period.
Method of disposal is shredding.
System manager(s) and address:
Director, Office of Investigations, U.S. Customs Service, 423 Canal
Street, New Orleans, LA 70130; Port Directors, as applicable, in Mid-
America Customs Management Center, Chicago, IL; Special Agent in
Charge, 951 Government Street, Mobile, AL 36604; Port Director of
Customs, U.S. Customs Service, Honolulu, HI 96819; Port Directors at
the various ports of entry in the Nogales, AZ.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with, and consists solely
of, information supplied by the individual being searched and the
patrol officer doing the search.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a(k)(2).
[[Page 69798]]
TREASURY/CS .190
System name:
Personnel Case File--Treasury/Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters,
1300 Pennsylvania Avenue, NW., Washington, DC 20229; Office of the
Associate Chief Counsel, U.S. Customs Service, Mid-America, 610 S.
Canal St., Chicago, IL 60607; Associate Chief Counsel of Customs, 6
World Trade Center, New York, NY, 10048; Office of Assistant Chief
Counsel, 555 Battery St., San Francisco, CA 94111; Associate Chief
Counsel, 2323 S. Shepard St., Houston, TX 77019.
Categories of individuals covered by the system:
Current or former Customs Service employees against whom
disciplinary action has been proposed or taken, who have filed
grievances, and who have filed complaints under the Equal Opportunity
(EO) Program, in most cases where administrative proceedings have been
instituted.
Categories of records in the system:
Reports of investigation into alleged employee misconduct, internal
Customs Service memoranda recommending disciplinary action, documents
relating to the institution or conduct of disciplinary proceedings,
documents relating to the filing and administrative disposition of
formal and informal grievances and documents relating to the filing and
administrative disposition of EO complaints.
Authority for maintenance of the system:
Title 5, United States Code; 5 U.S.C. 301; Title 5 Code of Federal
Regulations; Treasury Departmental Order No. 165, revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to the Office of Personnel Management
(OPM) in connection with administrative hearings and to the Department
of Justice in connection with court proceedings resulting from appeals
from decisions rendered at the administrative level; (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; (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; (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; (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; (6) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted alphabetically in an unlocked drawer
within a metal container.
Retrievability:
Each case file id identified in a manual alphabetical card file by
name of the person, and each case file is similarly identified in
alphabetical order within the metal container.
Safeguards:
The metal container described above is maintained within the
Customs Service building. During non-working hours, the room in which
the metal container is located is locked. Access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space
available for them within the metal container, at which time the oldest
files are transferred to the Federal Records Center.
System manager(s) and address:
Chief Counsel, U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229; Associate Chief Counsel of Customs,
U.S. Customs Service, Mid-America, 610 S. Canal St., Chicago, IL 60607;
Associate Chief Counsel of Customs, New York, NY, 10048; Assistant
Chief Counsel, 555 Battery St., San Francisco, CA 94111.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Records source categories:
The information contained in these files results from investigation
into alleged misconduct on the part of Customs Service employees,
recommendations from appropriate Customs Service field personnel that
disciplinary proceedings be instituted against Customs Service
employees, the filing of EO complaints by Customs Service employees,
the statements of Customs Service employees including the employees who
are directly affected by the administrative proceedings, and statements
or other information provided by private non-governmental individuals.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .193
System name:
Operating Personnel Folder Files--Treasury/Customs.
System location:
Files are located in Headquarters, Customs Management Centers,
SACs, Area Ports and other post of duty offices throughout the Customs
Service depending upon post of duty of employee. (See Customs appendix
A.)
Categories of individuals covered by the system:
Customs employees, present.
Categories of records in the system:
In addition to the appropriate Personnel offices, records are also
maintained by district, port, or other post of duty management on
personnel matters such as, but not limited to name, Social Security
number, awards, letters of appreciation, promotions, step increases,
memoranda, forms and materials related to hiring, address, pay,
transfer and separation, service time, salary, phone, education,
society memberships, publications, skills,
[[Page 69799]]
chronological work history, position descriptions, reports of
discussions held with employee regarding performance, copies of letters
written to employee concerning performance, overtime hours, seniority
status, leave, overtime earnings, productivity, locator card
information, and related employment records.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used: (1) To
disclose to the public for employment and salary verification upon
request. (2) To 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. (3) To 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. (4) 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 subpoena, or in connection with criminal law proceedings.
(5) To provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114. (6) To provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders, and/or on index cards,
ledgers, and computer disc.
Retrievability:
Records are indexed by name, or Social Security number.
Safeguards:
Records are located in lockable metal file cabinets or in secured
rooms with limited access.
Retention and disposal:
When the employee leaves the Customs Service through transfer or
other separation, the file will immediately be forwarded to the office
maintaining the Official Personnel Folder. There it will be screened to
insure that it contains no documents that should be permanently filed
in the Official Personnel Folder other than exact duplicates of papers
already so filed. The file and its contents will then be destroyed.
System manager(s) and address:
Program Management Officers at Headquarters, local Management
Program Officers (MPOs) in Customs Management Centers and SAC offices,
or managerial official in appropriate posts of duty of employee. (See
Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information in this system of records comes from employee, from
personnel actions as noted in official personnel folders, and from
supervisor.
Exemptions claimed for the system:
None.
TREASURY/CS .196
System name:
Preclearance Costs--Treasury/Customs.
System location:
Customs Management Center, 10 Causeway Street, Boston, MA 02222.
Categories of individuals covered by the system:
All Customs Inspectors and Foreign Service employees of North
Central Region, who are stationed at Toronto and Montreal, Canada.
Categories of records in the system:
Salaries, living allowances and benefits paid to employees who are
stationed at Toronto and Montreal, Canada.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (6) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Data is stored in a file folder within two metal file cabinets in
the work area of the Budget Section.
Retrievability:
The file is identified as the ``Pre-clearance Record'' which
contains the names of all employees listed in alphabetical order with
corresponding costs associated with each employee.
Safeguards:
The file is located within an office that is locked during non-
working hours. The building is guarded by
[[Page 69800]]
uniformed security police and only authorized persons are permitted
entry to the building.
Retention and disposal:
The files are kept for three years and then destroyed.
System manager(s) and address:
Director, Customs Management Center, 10 Causeway Street, Boston, MA
02222.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in the system is obtained from the Bi-
weekly Comprehensive Payroll Listing, Treasury Form 2979, supplied by
the Payroll Data Center.
Exemptions claimed for the system:
None.
TREASURY/CS .197
System name:
Private Aircraft/Vessel Inspection Reporting System--Treasury/
Customs.
System location:
Office of Field Operations, U.S. Customs Service, 1300 Pennsylvania
Avenue, NW., Washington, DC 20229.
Categories of individuals covered by the system:
Names of pilots and vessel masters arriving in the United States.
Categories of records in the system:
Names and personal identifiers of pilots, vessel masters, and
owners of vessels with appropriate registration and/or documentation
numbers and characteristics, and arrival dates at port of entry.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Magnetic disc and tape storage; microfiche.
Retrievability:
By individual name, private aircraft/vessel registration number;
vessel name.
Safeguards:
All inquiries are made by officers with full field background
investigation on a ``need-to-know'' basis only. Procedural and physical
safeguards are utilized such as accountability and receipt records,
guards patrolling the area, restricted access and alarm protection
systems, special communications security, etc.
Retention and disposal:
Customs Form 178 (Private Aircraft Inspection Report) is destroyed
after entry into data system.
System manager(s) and address:
Process Owner, Passenger Operations Division, U.S. Customs Service,
1300 Pennsylvania Avenue, NW., Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Proposed Customs Form 178 (Private Aircraft Inspection Report)
which will be prepared by Customs officers, unnumbered forms prepared
by vessel masters or owners who report their arrival to a United States
port of entry, and other Federal agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .201
System name:
Property File-Non-Expendable--Treasury/Customs.
System location:
Offices of each Port within the Mid-America Customs Management
Center (see Customs appendix A.); Office of Logistics Management, U.S.
Customs Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC
20229; Office of the Director, Customs Management Center, San Diego,
CA; Offices of the Port Directors: San Ysidro, CA; Tecate, CA;
Calexico, CA; Andrade, CA; San Diego Barge Office, and the Offices of
the Customs Patrol Division, San Diego, CA; San Ysidro, CA; Calexico,
CA; Tecate, CA; Port Directors Office, Entry Control Section (see
Customs appendix A.); United States Customs Service, PO Box 1641,
Honolulu, HI 96806; Federal Building, Room 198, 511 NW., Broadway,
Portland, OR 97209; Management Program Specialist, U. S. Customs
Service, 555 Battery Street, Room 329, San Francisco, CA 94126.
Categories of individuals covered by the system:
Employees issued non-expendable property.
Categories of records in the system:
Receipts for badges, cap insignias, bonded warehouse keys,
identification cards, Government driver's licenses, firearms and other
non-expendable property.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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
[[Page 69801]]
Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Locked file cabinet.
Retrievability:
Folders identified by individual's name.
Safeguards:
During non-working hours the room/building in which the file is
located is locked. Access limited to authorized Customs personnel.
Retention and disposal:
Until employee separates/transfers. Transfer to National Personnel
Records Center (NPRC), (CPR), St. Louis, MO, thirty days after employee
is separated.
System manager(s) and address:
Port Directors in Mid-America Region; Director, Office of Logistics
Management, U.S. Customs Service, Headquarters, 1300 Pennsylvania
Avenue, NW., Washington, DC, 20229; Customs Management Center
Directors, Port Directors, and Division Directors within the San Diego
Customs District (see Customs appendix A.); Chief, Headquarters Support
Branch, Logistics Management Division, U.S. Customs Service
Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229;
Local Property Officer, Room 228, Federal Building, Entry Control
Section, 335 Merchant Street, Honolulu, HI 96813; Director, Federal
Building, Room 198, 511 NW., Broadway, Portland, OR 97209;
Administrative Officer, U.S. Customs Service, 555 Battery Street, Room
327, San Francisco, CA 94111.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system consists of receipts of employees
receiving non-expendable property.
Exemptions claimed for the system:
None.
TREASURY/CS .206
System name:
Regulatory Audits of Customhouse Brokers--Treasury/Customs.
System location:
Office of Regulatory Audit, United States Customs Service
Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229, and
at each of the field offices of Regulatory Audit (see Customs appendix
A for addresses).
Categories of individuals covered by the system:
Persons licensed to do business pursuant to 19 U.S.C. 1641.
Categories of records in the system:
Audit reports of customs broker accounts and records;
correspondence regarding such reports; Congressional inquiries
concerning customs brokers and disposition made of such inquiries;
names of officers of customs broker firms, license numbers and dates
issued and district covered.
Authority for maintenance of the system:
19 U.S.C. 1641; 19 CFR part 111. 5 U.S.C. 301; Treasury Department
Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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 hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit; (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; (4) 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; (5) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
Policies and practices for storing, retrieving, safeguarding,
retaining, and disposing of records in the system:
Storage:
Each custom broker permanent file is inserted in alphabetical order
by name of the firm in an unlocked drawer within a metal file cabinet
located in one or more regulatory audit offices. Each customs broker
work paper file is similarly stored, but maintained in numerical order
by audit report number.
Retrievability:
Each broker permanent file is readily retrievable when the name is
given, while the workpaper file is retrievable after obtaining the
audit report file number from within the permanent file.
Safeguards:
The files described above are maintained within the respective
regulatory audit offices. During non-working hours, the offices in
which the files are located are locked.
Retention and disposal:
Customhouse broker files are generally retained in each office at
least three years, after which they are placed in General Service
Administration long-term archival storage.
System manager(s) and address:
Director, Office of Regulatory Audit, United States Customs Service
Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229, and
the Regional Directors, Regulatory Audit at each of the regional
offices (see Customs appendix A for addresses).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates in connection
with customs broker audits conducted by the regional regulatory audit
staffs. The audits may be supplemented with information furnished by
the Office of the Regional Counsel, Office of Enforcement, and the
Office of Regulations and Rulings. These audits include examinations of
brokers business records, including data maintained in support of
client customs business.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4),
[[Page 69802]]
(e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy Act pursuant to
5 U.S.C. 552a (k)(2).
TREASURY/CS .207
System name:
Reimbursable Assignment/Workticket System--Treasury/Customs.
System location:
U.S. Customs Service Headquarters, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229.
Categories of individuals covered by the system:
Customs Service employees who perform reimbursable services and
parties in interest for whom reimbursable services are performed.
Categories of records in the system:
Name, address, Social Security number or importer of record number
assigned by the Customs Service, listings of reimbursable overtime
assignments of Customs employees, bills and refund checks issued to
parties in interest, travel expenses incurred by Customs employees in
connection with the reimbursable services.
Authority for maintenance of the system:
19 U.S.C. 261, 267, and 1451; 19 CFR 24.16 and 24.17; 5 U.S.C. 301;
Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The information in this system is contained in a computerized
system utilizing magnetic tape storage techniques.
Retrievability:
The information in this system is retrieved by the individual's
Social Security number or by the individual's importer of record
number.
Safeguards:
Procedural and physical safeguards are utilized such as
accountability and receipt access, guards patrolling the area,
restricted access and alarm systems.
Retention and disposal:
The records in this system are retained in accordance with the
requirements of the Treasury Records Control Manual.
System manager(s) and address:
Assistant Commissioner, Office of Field Operations, U.S. Customs
Service Headquarters, 1300 Pennsylvania Ave, NW., Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with the receipt of a
request for reimbursable services from the party in interest. In
addition, information in this system is derived from Customs Form 5106
(Notification of Importer's Number/Application for Importer's Number)
which is filed with the Customs Service by the importer, and from
Customs Form 6082 (Work Ticket) which is filed by the Customs Inspector
who performed the reimbursable services.
Exemptions claimed for the system:
None.
TREASURY/CS .208
System name:
Restoration of Forfeited Annual Leave Cases--Treasury/Customs.
System location:
Located in U.S. Customs Service, National Finance Center,
Indianapolis, Indiana, and Mission Support Office of each Customs
Management Center. (See Customs appendix A for addresses).
Categories of individuals covered by the system:
Employees of the U.S. Customs Service who have applied for
restoration of forfeited annual leave.
Categories of records in the system:
Employee applications for restoration of leave. Management
decisions on employee applications for restoration of leave. Applicable
regulations.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are stored in manila folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked files.
Retention and disposal:
Records are retained in accordance with the requirements of the
Treasury Records Control Manual.
System manager(s) and address:
Mission Support Officer in each Customs Management Center, and the
Director, National Finance Center, Indianapolis, Indiana
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
[[Page 69803]]
Record source categories:
Evidential materials supporting employee applications for
restoration of forfeited annual leave. Evidential materials supporting
management decisions.
Exemptions claimed for the system:
None.
TREASURY/CS .209
System name:
Resumes of Professional Artists--Treasury/Customs.
System location:
Area Director, New York Seaport Area, 6 World Trade Center, New
York, NY 10048.
Categories of individuals covered by the system:
Professional Artists.
Categories of records in the system:
Artist's name and professional art background.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Paper.
Retrievability:
Alphabetical listing.
Safeguards:
Filing cabinet, office locked at end of day.
Retention and disposal:
Records are disposed of in accordance with the requirements of the
Treasury Records Control Manual.
System manager(s) and address:
Area Director, New York Seaport Area, 6 World Trade Center, New
York, NY 10048.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Resume information provided by artist.
Exemptions claimed for the system:
None.
TREASURY/CS .211
System name:
Sanction List--Treasury/Customs.
System location:
Director, U.S. Customs, National Finance Center, PO Box 68907,
Indianapolis, Indiana 46228.
Categories of individuals covered by the system:
Persons who are indebted to the United States Government for bills
that are unpaid and past due.
Categories of records in the system:
Listing is issued weekly showing individual's name and address plus
number and amount of unpaid and past due bills.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each sanction list is stored in a file drawer in an unlocked file
cabinet.
Retrievability:
Each sanction list is identified by month and year of issuance.
Safeguards:
The file cabinet described above is maintained within the area
assigned in the Customs Office. During non-working hours the room and/
or building in which the file cabinet is located is locked.
Retention and disposal:
Retained in Customs Office for minimum of one year. Disposal in
accordance with Records Control Manual.
System manager(s) and address:
Director, U.S. Customs, National Finance Center, PO Box 68907,
Indianapolis, Indiana 46022.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this listing is secured from CF 6084 Bill Form
issued to each individual and correspondence files maintained for
individuals.
Exemptions claimed for the system:
None.
TREASURY/CS .212
System name:
Search/Arrest/Seizure Report--Treasury/Customs.
System location:
Office of Investigations, Offices of the U.S. Customs Service. (See
Customs appendix A.)
Categories of individuals covered by the system:
Persons who have or may have violated a law of the United States.
Categories of records in the system:
Name, alias, date of birth, age, personal data, addresses, home and
business telephone numbers, occupation, background information,
associations, license number and registration number of vehicle, vessel
and/or aircraft, mode of entry of individual or contraband,
fingerprints, pictures, declaration forms, cash receipts, receipt for
seized goods, all other forms pertinent to the case, such as Notice to
Master, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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 statue, 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; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
[[Page 69804]]
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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case is placed in a folder which is filed in numerical order
according to the assigned case file number. These files are kept in a
locked metal cabinet.
Retrievability:
The above-mentioned case file numbers are cross-indexed by name to
such numbers, and cards are filed alphabetically within a metal file
box.
Safeguards:
The metal file cabinet and the metal file box are located within an
office that is locked during non-working hours.
Retention and disposal:
These cases are retained for a period of three years after which
they are destroyed together with related index cards.
System manager(s) and address:
Special Agent in Charge. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .214
System name:
Seizure File--Treasury/Customs.
System location:
Special Agent in Charge, Room 508, U.S. Customs Service, 6 World
Trade Center, New York, NY 10048.
Categories of individuals covered by the system:
Ship masters, ship crew members, longshoremen, vessels, private
aircraft, private vessels, individuals from whom seizures have been
made, or upon whom Memoranda of Information Received and Reports of
Investigation have been written.
Categories of records in the system:
Memoranda of Information Received and reports of Investigation
which are reports from law enforcement agencies of suspects or arrests.
Reports of Seizures by Customs, other information indicating violators
or suspected violators.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Manila files within metal file cabinets.
Retrievability:
Alphabetical; for aircraft or car by number; by seizure number; by
name of individual.
Safeguards:
Room has a 24-hour guard and is locked.
Retention and disposal:
Seizure files are maintained for three years after final
disposition. Memoranda of Information Received are maintained as long
as needed.
System manager(s) and address:
Director, Patrol Division, U.S. Customs Service, 6 World Trade
Center, New York, NY 10048.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .215
System name:
Seizure Report File--Treasury/Customs.
System location:
U.S. Customs Mail Facility, Room 416, 1675-7th Street, Oakland, CA
94615.
Categories of individuals covered by the system:
Individuals to whom prohibited merchandise is addressed.
[[Page 69805]]
Categories of records in the system:
Name, address, property description, estimated foreign value, duty,
domestic value, circumstances of seizure, sender, section of law
violated, delivery to San Francisco seizure clerk.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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 statue, 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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The information in this system is contained on Customs Form 6051
Custody Receipt for Retained or Seized Property and Customs Form 151-
Search/Arrest/Seizure Report. These forms are placed within file
folders which are located in a metal file cabinet.
Retrievability:
Each Seizure Report and Custody Receipt (stapled together) are
identified by the name of the person to which the seized items are
addressed and the names are filed by seizure number by fiscal year.
Safeguards:
The file folders are placed within a metal cabinet which is located
within an office that is locked during non-working hours. The building
is guarded by uniformed security police and only authorized persons are
permitted in the building.
Retention and disposal:
Last three fiscal years records are kept in a file cabinet in the
office.
System manager(s) and address:
Chief, Mail Branch. See location above.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with and consists of
information obtained from mail shipments.
Exemptions claimed for the system:
None.
TREASURY/CS .224
System name:
Suspect Persons Index--Treasury/Customs.
System location:
U.S. Customs Officers located at the following addresses: 300 2nd
Avenue, So., Great Falls, MT 59405; 555 Battery Street, San Francisco,
CA 94111; 1000 2nd Ave., Suite 2100, Seattle, WA 98104.
Categories of individuals covered by the system:
Persons suspected of violation of Customs Laws.
Categories of records in the system:
Name and related file number.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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 statue, 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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in folders and stored in metal file cabinet.
Retrievability:
The office and building are locked during non-working hours.
Safeguards:
Alphabetical by use of cross index.
Retention and disposal:
Records are maintained and disposed of in accordance with Records
Disposal Manual.
System manager(s) and address:
Port Directors of Customs. See location above.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
[[Page 69806]]
TREASURY/CS .226
System name:
Television System--Treasury/Customs.
System location:
Office of Port Directors at ports of entry.
Categories of individuals covered by the system:
Persons involved in incidents related to a secondary search and
subsequent disturbance while entering the United States from Mexico.
Categories of records in the system:
An audio-video cassette recording of persons being escorted into,
as well as inside, the secondary offices of the Customs area of the
Port of Entry.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as
amended, and the Customs Regulations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Audio-video cassette.
Retrievability:
By subject's name, date, and time.
Safeguards:
Cassettes are under control of Port Director and released only to
the courts when subpoenaed or when requested to be reviewed by subject
and his attorney.
Retention and disposal:
All cassettes with incidents are retained for six months. Those on
which some action may be taken are retained for one year or close of
the case. Cassettes are reusable. Therefore, erasure occurs when new
recording takes place.
System manager(s) and address:
Port Directors offices.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
Audio-video recording of persons being escorted into the Customs
area.
Exemptions claimed for the system:
None.
TREASURY/CS .227
System name:
Temporary Importation Under Bond (TIB) Defaulter Control System--
Treasury/Customs.
System location:
U.S. Customs Service, Office of Investigations, 1300 Pennsylvania
Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
Individuals who have been denied T.I.B. privileges because of
failure to pay outstanding liquidated damages.
Categories of records in the system:
Individual's name, personal identifying numbers and
characteristics, address, company and case description, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
(1) Magnetic disc and tape storage; (2) Hard Copy; (3) Microfiche
files.
Retrievability:
Indexing is by violator name.
Safeguards:
All inquiries are made by officers with full field background
investigations on a ``need to know'' basis only. Procedural and
physical safeguards are utilized such as accountability and receipt
records, guards patrolling the area, restricted access and alarm
protection systems, special communications security, etc.
Retention and disposal:
Records are disposed of in accordance with the requirements of the
Treasury Records Control Manual.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service, 1300 Pennsylvania Avenue, NW, Washington, DC 20229.
[[Page 69807]]
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
Customs officers completing Customs Form 164 (TECS-TIB Defaulter
Control).
Exemptions claimed for the system:
None.
TREASURY/CS .232
System name:
Tort Claims Act File--Treasury/Customs.
System location:
Office of the Associate Chief Counsel, U.S. Customs Service, One
World Trade Center, Suite 741, Long Beach, CA 90832; Associate Chief
Counsel of Customs, 6 World Trade Center, New York, NY 10048; Office of
the Associate Chief Counsel, U.S. Customs Service (Chicago), 610 South
Canal St., Chicago, IL 60607; Office of Associate Chief Counsel
(Houston), 2323 South Shepard St., Houston, TX 77019; Office of the
Chief Counsel, U.S. Customs Service Headquarters, 1300 Pennsylvania
Avenue, NW, Washington, DC 20229; Office of Assistant Chief Counsel,
555 Battery Street, San Francisco, CA 94126; and Office of Assistant
Chief Counsel, 1000 Second Avenue, Suite 2200, Seattle, WA 98104.
Categories of individuals covered by the system:
Private persons who have filed or may file claims under the Federal
Tort Claims Act for property damage or personal injury allegedly caused
by a wrongful or negligent act or omission on the part of a Customs
Service employee while acting within the scope of his employment.
Categories of records in the system:
Reports of Investigation regarding accidents involving Customs
employees, documents relating to the administrative handling of the
claims filed thereon, and documents submitted by the claimant in
support of the claim.
Authority for maintenance of the system:
28 U.S.C. 2672, et seq; 28 CFR 14.1, et seq; 31 CFR 3.1, et seq;
Treasury Department Administrative Circular No. 131, dated August 19,
1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted in a numerical file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified in the numerical file folder within
the metal container by the name of the person who has filed or may file
a claim.
Safeguards:
During non-working hours the room in which the metal container is
located is locked, and access to the building is controlled at all
times by uniformed guards.
Retention and disposal:
Tort claim files are retained until there is no longer any space
available for them within the metal container, at which time the oldest
closed files are transferred to the Federal Records Centers.
System manager(s) and address:
Associate Chief Counsel, U. S. Customs Service, One World Trade
Center, Suite 741, Long Beach, CA 90832; Associate Chief Counsel, U.S.
Customs Service, 6 World Trade Center, New York, NY 10048; Associate
Chief Counsel of Customs, 610 south Canal St., Chicago, IL 60607;
Associate Chief Counsel, 2323 South Shepard St., Suite 1246, Houston,
TX 77019; Chief Counsel, U.S. Customs Service Headquarters, 1300
Pennsylvania Avenue, NW, Washington, DC 20229; Office of Assistant
Chief Counsel, 555 Battery Street, San Francisco, CA 94126; and Office
of Assistant Chief Counsel, 1000 Second Ave., Suite 2200, Seattle, WA
98104-1049.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with a Standard
Form 95 (Claim for Damage or Injury) which is completed and filed with
the Customs Service by the claimant. Using these forms as a basis,
investigations are conducted by authorized Customs Service
investigative personnel in order to determine the facts surrounding the
claims. During these investigations information may be elicited from
Customs Service employees, private persons, or any other parties who
may have information regarding the facts surrounding the claims. When a
claim is not filed, the information is limited to the investigative
reports of the property damage or personal injury.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .234
System name:
Tort Claims Act File--Treasury/Customs.
System location:
Offices of the Director, Customs Management Center, Mid-America,
Chicago, IL, Ports, and South Texas Customs Management Center. (See
Customs appendix A.)
[[Page 69808]]
Categories of individuals covered by the system:
All individuals presenting claims of damage to personal property
resulting from Customs activities.
Categories of records in the system:
Written damage claims supported by estimates, bills, claim forms
and internal Customs Service memoranda.
Authority for maintenance of the system:
31 CFR part 3; 5 U.S.C. 301; Treasury Department Order No. 165,
revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used: To
provide information to a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Filed in cabinets in the Port Directors offices.
Retrievability:
Folders filed in alphabetical sequence.
Safeguards:
File cabinets are located within the area assigned in the Customs
office. During non-working hours the room in which the cabinets are
located is locked.
Retention and disposal:
Retained in Port Directors offices for three years then transferred
to the Federal Records Centers for seven years and three months prior
to destruction.
System manager(s) and address:
Port Director as appropriate in the Mid-America Customs Management
Center, Chicago, IL. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
The information in this system originates with a written claim
submitted by the claimant, as well as information supplied on Standard
Form 95 and internal Customs memoranda.
Exemptions claimed for the system:
None.
TREASURY/CS .238
System name:
Training and Career Individual Development Plans--Treasury/Customs.
System location:
Located at the Mission Support Office at each Customs Management
Center.
Categories of individuals covered by the system:
All U.S. Customs employees.
Categories of records in the system:
Records are maintained on training or other development activities
completed and/or planned for individual employees, whether for programs
such as Executive Development or Upward Mobility, or other special
emphasis development programs. Records also include such things as, but
not limited to skills, abilities, education, experience, career plans
and goals, and other related information.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are located in file folders, and/or official personnel
folder, and in electronic media.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked file or office.
Retention and disposal:
Records are retained until separation or until employee is no
longer part of a special emphasis program.
System manager(s) and address:
Mission Support Officer at each Customs Management Center.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
Information is obtained from the employee and supervisors.
Exemptions claimed for the system:
None.
TREASURY/CS .239
System name:
Training Records--Treasury/Customs.
System location:
Scheduling Office, U.S. Customs Service Academy, FLETC.
Categories of individuals covered by the system:
Customs employees who have completed training.
Categories of records in the system:
Standard Form 182, Request, Authorization, Agreement and
Certification of training. Selected information also recorded in
individuals permit record, and a copy of the form is filed in the
individual's official personnel folder.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders, on file cards, on training
forms, or on discs.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in a locked file or room, or with limited
access.
Retention and disposal:
Records are maintained for up to three years after employee
separates from the Service.
[[Page 69809]]
System manager(s) and address:
National Director of Training, U. S. Customs SVC Academy, FLETC
Notification procedure:
U. S. Customs Service Academy, Building 70--FLETC, Glynco, GA 31524
Record access procedures:
U. S. Customs Service Academy, Building 70--FLETC, Glynco, GA 31524
Contesting record procedures:
U. S. Customs Service, Director, Office of Human Resources, 1300
Pennsylvania Avenue, NW, Washington, DC 20229
Record source categories:
Information for this file is obtained from supervisors, managers,
instructors, educational institutions, and/or training facilities such
as the Office of Personnel Management, Department of the Treasury, etc.
Exemptions claimed for the system:
None.
TREASURY/CS .244
System name:
Treasury Enforcement Communications System (TECS)--Treasury/
Customs.
System location:
Office of Investigations, U.S. Customs Service, 1300 Pennsylvania
Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
(1) Violators or suspected violators of U.S. Customs or related
laws (some of whom have been apprehended by Customs officers); (2)
Individuals who are suspected of, or who have been arrested for, thefts
from international commerce; (3) Convicted violators of U.S. Customs
and/or drug laws in the United States and foreign countries; (4)
Fugitives with outstanding warrants--Federal or state; (5) Victims of
U.S. Customs law violations; (6) Owners, operators and/or passengers of
vehicles, vessels or aircraft traveling across U.S. borders; (7)
Individuals participating in financial transactions reported under the
Bank Secrecy Act.
Categories of records in the system:
Every possible type of information from a variety of Federal, state
and local sources, which contributes to effective law enforcement may
be maintained in this system of records. Records include but are not
limited to records pertaining to known violators, wanted persons,
lookouts (temporary and permanent), reference information, regulatory
and compliance data. Information about individuals includes but is not
limited to name, alias, date of birth, address, physical description,
various identification numbers (i.e., seizure number), details and
circumstances of a search, arrest, or seizure, case information such as
merchandise and values, methods of theft, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Magnetic disc and tape, laser optical disks, microfiche, and hard
copy.
Retrievability:
By name; unique identifiers, address, or in association with an
enforcement report or other system document.
Safeguards:
(1) All officers making inquiries have had a full field background
investigation and are given information on a ``need-to-know'' basis
only. (2) Procedural and physical safeguards are utilized such as
accountability and receipt records, guards patrolling the area,
restricted access and alarm protection systems, special communications
security, etc.
Retention and disposal:
Review is accomplished by Customs officers each time a record is
retrieved and on periodic basis to see if it should be retained or
modified. Since both temporary and permanent records are maintained,
period of retention will vary with type of record entered. The records
are disposed of by erasure of magnetic tape or disc, and by shredding
and/or burning of hard copy documents.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service, 1300 Pennsylvania Avenue, NW, Washington, DC 20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act
for the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of contesting
the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
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), (H) and (I),
(5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2) and (k)(2).
TREASURY/CS .249
System name:
Uniform Allowances-Unit Record--Treasury/Customs.
[[Page 69810]]
System location:
Financial Management Office, 99 SE First Street, Miami, FL 33131;
Management Services Branch, Administration Division, Port Director, San
Juan, PR 00903; Financial Management Division, U.S. Customs Service, 10
Causeway St., Room 801, Boston, MA 02222.
Categories of individuals covered by the system:
U.S. Customs Employees.
Categories of records in the system:
Name-Record of Uniform Allowance Payments.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Files are maintained in an unlocked drawer within a metal file
cabinet.
Retrievability:
Alphabet by name. Appropriation Accounting Document Number.
Safeguards:
The metal container described above is maintained within the area
assigned to the Financial Management Division within the Customs
Service Building. During non-working hours the room in which the metal
container is located is locked and access to the building is controlled
by uniformed guards.
Retention and disposal:
These files are retained as prescribed by GAO Regulations or until
there is no longer any space available for them within the metal
container, at which time the oldest files are transferred to the
Federal Records Centers.
System manager(s) and address:
Director of Financial Management, 99 SE First Street, Miami, FL
33131; Port Director, U.S. Customs Service, PO Box 2112, Old San Juan,
PR 00903; Director, Financial Management Division, U.S. Customs
Service, 10 Causeway St., Room 801, Boston, MA 02222.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
From memoranda received from Ports. Data transcribed from Payment
Vouchers.
Exemptions claimed for the system:
None.
TREASURY/CS .251
System name:
Unscheduled Overtime Report (Customs Form 31)--Treasury/Customs.
System location:
Director, Office of Operations, 6 World Trade Center, Room 508, New
York, NY 10048.
Categories of individuals covered by the system:
Special Agents assigned to the office of Regional Director of
Investigations authorized to receive unscheduled overtime remuneration.
Categories of records in the system:
Customs Form 31 enumerates the nature of overtime performed, the
number of hours and the date on which the overtime was performed and
the case number of investigation.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The information in this system is contained on CF 31, the forms are
contained within a file folder and are placed in a metal file cabinet.
Retrievability:
By name.
Safeguards:
The file cabinet is maintained within the area assigned to the
Director of Investigations, New York, within the Customhouse. During
non-working hours the complex in which the file is located is locked
and access to the building is controlled at all times by uniform
guards.
Retention and disposal:
The forms are destroyed after three (3) years.
System manager(s) and address:
Regional Director of Investigations. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates from the Special Agent
who performs the unscheduled overtime.
Exemptions claimed for the system:
None.
TREASURY/CS .252
System name:
Valuables Shipped Under the Government Losses in Shipment Act--
Treasury/Customs.
System location:
Director, Customs Management Center, 610 S. Canal Street, Chicago,
IL 60607.
Categories of individuals covered by the system:
Customs employees collecting and transmitting funds to cashier for
deposit.
Categories of records in the system:
Name of employee, collection document serial numbers, amount of
collection.
Authority for maintenance of the system:
Section 300.30, Customs Accounting Manual; 5 U.S.C. 134f; 5 U.S.C.
301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to those officers and employees of the Customs Service and the
Department of
[[Page 69811]]
the Treasury who have a need for the records in the performance of
their duties; (2) disclose records as required in administration of the
Freedom of Information Act (5 U.S.C. 552).
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Filed in folders with the individual's name appearing at the top
thereof in a file cabinet.
Retrievability:
Each record folder is filed by name of individual.
Safeguards:
The cabinet described above is maintained within the area assigned
in the Customs office. During non-working hours the area in which the
cabinet is located is secured.
Retention and disposal:
Retained for three years and then forwarded to FRC for seven years
retention.
System manager(s) and address:
Port Director, as appropriate, in the Mid-America Customs
Management Center, Chicago, IL 60607.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Data submitted by individual Customs employee involved.
Exemptions claimed for the system:
None.
TREASURY/CS .258
System name:
Violator's Case Files--Treasury/Customs.
System location:
Port Director of Customs, U.S. Customs Service, Main and Stebbins
Streets, St. Albans, VT 05478.
Categories of individuals covered by the system:
Individuals involved in smuggling, filing false invoices, documents
or statements, violators of Customs bonds, or any violation of Customs
laws.
Categories of records in the system:
Individual's name and address, Social Security number and physical
description; alias, occupation, type of violation, previous record,
driver's license, passport number, notes from inspectors involved, and
any other supporting documents.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folders and 3 x 5 index cards.
Retrievability:
Filed by case number.
Safeguards:
Files are under the supervision of Fines, Penalties and Forfeitures
Officer from 8 a.m. to 5 p.m., Monday through Friday. All other hours,
office remains locked.
Retention and disposal:
Files are maintained in the office of the Fines, Penalties, and
Forfeitures Officer for a period of five years or six years. At the
conclusion of this period, they are destroyed by shredding.
System manager(s) and address:
Port Director, U.S. Customs Service, St. Albans, VT 05478.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .260
System name:
Warehouse Proprietor Files--Treasury/Customs.
System location:
Mid-America Customs Management Center, 610 S. Canal St., Suite 900,
Chicago, IL 60607. (See Customs appendix A.)
Categories of individuals covered by the system:
Present and past warehouse proprietors and employees that require
an investigation and related information.
Categories of records in the system:
Report of investigations, application and approval or denial of
bond to act as warehouse proprietor and other Customs Service
Memoranda. Names, addresses, Social Security numbers, and dates and
places of birth of persons employed.
Authority for maintenance of the system:
Customs Regulations, part 19, 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies
[[Page 69812]]
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; (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; (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; (4) 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; (5) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders and stored in file cabinets
in each Port Director's office within the Mid-America Customs
Management Center, Chicago, IL 60607.
Retrievability:
Each file is identified by the name of the warehouse proprietor.
Safeguards:
The file cabinets are maintained within the area assigned to the
District Director. During non-working hours the room and/or building in
which the file cabinet is located is locked.
Retention and disposal:
Employee name data retained for period of employment with warehouse
proprietor.
System manager(s) and address:
Port Director, as appropriate, in the Mid-America Customs
Management Center, Chicago, IL 60607. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this file originates from the individual
applicant for warehouse proprietor's bond, from reports of
investigation, and other Customs Memoranda.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .262
System name:
Warnings to Importers in lieu of Penalty--Treasury/Customs.
System location:
Located in the Office of the Director, Customs Management Center,
610 S. Canal St., Suite 900, San Diego, CA 92101; Offices of the Port
Directors, U.S. Border Station, San Ysidro, CA 92073; P.O. Box 189,
Tecate, CA 92080; P.O. Box 632, Calexico, CA 92231; 235 Andrade Road,
Winterhaven, CA 92283; Andrade, CA; San Diego Barge Office.
Categories of individuals covered by the system:
Individuals and firms in violation of Customs's laws.
Categories of records in the system:
Brief record of violation and warning.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained on 5 x 7 cards.
Retrievability:
Alphabetically indexed.
Safeguards:
Not accessible to other than Customs officers.
Retention and disposal:
The records are disposed of in accordance with the Treasury Records
Control Manual.
System manager(s) and address:
Port Directors, and Directors within the Customs Management Center/
Southern California Customs District. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Customs Officials.
Exemptions claimed for the system:
None.
TREASURY/CS .268
System name:
Military Personnel and Civilian Employees' Claims Act File--
Treasury/Customs.
System location:
Office of the Associate Chief Counsel, U. S. Customs Service, 2323
South Shepard St., Houston, TX 77019.
Categories of individuals covered by the system:
Current or former Customs employees filing claims under the
Military Personnel and Civilian Employees' Claims Act of 1964.
[[Page 69813]]
Categories of records in the system:
Documents relating to the administrative handling of the claim and
documents submitted by the claimant in support of the claim.
Authority for maintenance of the system:
31 U.S.C. 240-243; 31 CFR part 4; Treasury Department
Administrative Circular No. 131, August 19, 1965; 5 U.S.C. 301;
Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Each case file is inserted alphabetically in a file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified alphabetically in the file folder
within the metal container by the name of the person who filed the
claim.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Regional Counsel (12th floor), 500 Dallas
Street, Houston, TX 77002. During non-working hours the room in which
the metal container is located is locked, and access to the building is
controlled at all times by uniformed security guards provided by the
lessor.
Retention and disposal:
These files are retained until closed at which time the closed
files are transferred to the Director, Logistics Management Division,
Office of the Director, East Texas Customs Management Center, Houston,
TX, for ultimate transportation to the Federal Record Center.
System manager(s) and address:
Associate Chief Counsel, U. S. Customs Service, 2323 South Shepard
St., Houston, TX 77019.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the
Treasury Department Form No. 3079, Civilian Employee Claim For Loss or
Damage to Personal Property, which is completed and filed with the
Customs Service by the claimant. Additional information contained in
these files may be separately provided by the claimant or by the
claimant's supervisor.
Exemptions claimed for the system:
None.
TREASURY/CS .269
System name:
Accounts Payable Voucher File--Treasury/Customs.
System location:
Financial Management Division, U.S. Customs Service, Gulf Customs
Management Center, 423 Canal Street, New Orleans, LA 70130.
Categories of individuals covered by the system:
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.
Categories of records in the system:
Invoices and travel/other vouchers and supporting disbursements
schedules.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folders in unlocked file cabinets.
Retrievability:
By name.
Safeguards:
Usage limited to Regional personnel; cabinets are located in rooms
which are locked during non-working hours.
Retention and disposal:
In accordance with Records Control Manual; records are disposed of
when no longer needed.
System manager(s) and address:
Director, Financial Management Division, U.S. Customs Service, Gulf
Customs Management Center, 423 Canal Street, New Orleans, LA 70130.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Invoices and travel/other vouchers submitted by the individual.
Exemptions claimed for the system:
None.
TREASURY/CS .270
System name:
Background-Record File of Non-Customs Employees-Treasury/Customs.
System location:
Office of Internal Affairs, U.S. Customs Service, 1300 Pennsylvania
Ave. NW, Washington, DC.
Categories of individuals covered by the system:
Present and past non-Customs personnel requiring a background
investigation to be granted a permit to conduct Customs business.
Categories of records in the system:
Report of background investigations, names, addresses, Social
Security numbers and date and place of birth, etc. of non-Customs
employees.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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
[[Page 69814]]
an indication of a violation or potential violation of civil or
criminal law or regulation; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in file folders and stored in file cabinets
in the Director's office. Records are also maintained in computer
format in ports providing internal aircraft arrival/departure services.
Retrievability:
Each file is identified by the name of the non-Customs employee.
Safeguards:
The file cabinets are maintained within the area assigned to the
Director. During non-working hours the room and/or building in which
the file cabinet is located is locked. Computer format are maintained
in locked access areas within each respective district and/or port
office.
Retention and disposal:
Employee name data is retained during the period the non-Customs
employee requires admittance to restricted areas.
System manager(s) and address:
Personnel Security Division, Office of Internal Affairs, Customs
Headquarters. (For addresses see Customs Service appendix A).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this file originates from the individual non-
Customs employee granted a permit to conduct Custom's business and from
reports of background investigation which include interviews of Customs
personnel and private parties and from other Customs internal
documents.
Exemptions claimed for the system:
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), (H) and (I),
(5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2) and (k)(2).
TREASURY/CS .271
System name:
Cargo Security Record System--Treasury/Customs.
System location:
Director, Customs Management Center, 423 Canal Street, New Orleans,
LA 70130; Port Director, PO Box 2748, Mobile, AL 36601.
Categories of individuals covered by the system:
Drivers of motor vehicles or licensed cartmen and lightermen;
properties and operators of each class of Customs bonded warehouse and
their employees.
Categories of records in the system:
Records on drivers of motor vehicles contain information relating
to personal statistical data, physical characteristics, history of past
employment, previous five years residences, alias (if any),
citizenship, military records, criminal record other than traffic
violations, use of narcotic drugs, and photograph. Name of operator of
bonded warehouse and employees.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) 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; (5) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder with Customs Form 3078, Customs Form 73, Photographs,
and correspondence; For bonded warehouses, file folder contains Customs
Form 3581 and names, addresses, and Social Security number of all
employees; all stored in metal file cabinet. Alphabetical list of
current I.D. cards issued on drivers retained in file folder and stored
in desk drawer.
Retrievability:
By individual name or corporate name.
Safeguards:
Locked metal file cabinet and desk drawer of customs employee;
building secured after hours.
Retention and disposal:
Information on drivers is retained in an active file until revoked
or canceled. After revocation or cancellation, the information folder
is placed in an inactive file for a period of five years, after which
time the records are disposed of in accordance with the General
Services Administration Records Disposal Manual. Information on
proprietor bonded warehouse operators and employees is retained on file
until Customs bonded operations cease and are discontinued, then are
maintained in an inactive file for a period of three years. Final
disposition is in accordance with the GSA Records Disposal Manual.
[[Page 69815]]
System manager(s) and address:
Director, Customs Management Center, 423 Canal Street, New Orleans,
LA 70130; Port Director, PO Box 2748, Mobile, AL 36601.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is obtained from applicant (individual or corporation)
and from reports of investigation on drivers obtained from Regional
Director, Investigations, U.S. Customs Service.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
TREASURY/CS .272
System name:
Currency Declaration File (Customs Form 4790)--Treasury/Customs.
System location:
Law Enforcement Systems Division, U.S. Customs Service, PO Box
85145, San Diego, CA 92138 (for addresses of Port Directors, see
Customs appendix A).
Categories of individuals covered by the system:
Individuals departing from or entering the country who filed IRS
Form 4790.
Categories of records in the system:
Name, identifying number, birth date, address, citizenship, visa
date and place, immigration alien number, kinds and amounts of monetary
instruments, address in the United States or abroad, passport number
and country, and arrival or departure information.
Authority for maintenance of the system:
31 U.S.C. 1101; 5 U.S.C. 301; Treasury Department Order No. 165,
revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
The Form 4790 is maintained in a file folder or binder in an
initial file cabinet. Information is stored chronologically in TECS II.
Retrievability:
They are indexed and filed by name and date in the folder or
binder. They can be retrieved by computer and printed.
Safeguards:
The office and building are locked during non-working hours.
Electronic data is limited to persons cleared for access to the data.
Retention and disposal:
The records are retained from one to five years and then destroyed.
System manager(s) and address:
Port Directors of Customs.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information on the Customs Form 4790 originates from the
individual or Customs agent reporting the bringing in or taking out of
currency or monetary instruments exceeding 10,000 dollars.
Exemptions claimed for the system:
None.
TREASURY/CS .274
System name:
Importers, Brokers, Carriers, Individuals and Sureties Master
Files- Treasury/Customs.
System location:
Office of Financial Management, 909 S.E. First Avenue, Miami, FL
33131.
Categories of individuals covered by the system:
Brokers, Importers, Individuals, Carriers, and Sureties.
Categories of records in the system:
Copies of correspondence incoming and outgoing, copies of bonds,
entries, bills, data center listings.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
provide information to a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Files are maintained in an unlocked drawer within a metal file
cabinet.
Retrievability:
Alphabetical by name appearing on correspondence.
Safeguards:
The metal container described above is maintained within the area
assigned to the Financial Management Division within the Customs
Service Building. During non-working hours the room in which the metal
container is located is locked.
Retention and disposal:
These files are retained until there is no longer any space
available for them within the metal container, at which time the oldest
files are transferred to the Federal Records Center.
System manager(s) and address:
Director, Office of Financial Management, 909 SE First Avenue,
Miami, FL 33131.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Correspondence, Customs Service Data Center and Ports.
Exemptions claimed for the system:
None.
TREASURY/CS .278
System name:
Automated Commercial System (ACS)--Treasury/Customs.
System location:
The Computer is located in Newington, Virginia. Computer terminals
are located at Customhouses and ports throughout the United States and
at U.S. Customs Headquarters, Washington DC (For addresses of
Customhouses, see Customs appendix A.)
Categories of individuals covered by the system:
U.S. Customs Service employees and individuals involved in the
import trade.
[[Page 69816]]
Categories of records in the system:
The system data base is comprised of commodity and merchandise
processing information relating to Customs administration of trade
laws. The following system files may contain information about U.S.
Customs Services employees and/or individuals/ companies involved in
the import trade. (1) ACS Security Files: Contains randomly established
five-digit identification codes assigned to Customs Service employees
authorized to use the system. The file consists of the names and social
security number of all Customs Service employees using the remote
terminals to input information into the system. (2) Importer/Broker/
Consignee Bond Files and FP and F Violator-Protest files: Records
consist of importer of record number, importer name and address, type
of importation bond, expiration date, surety code, violation statistics
and protest information. The importer of record number is used as the
method of accessing the files. The number is assigned by any one of
three code formats according to availability and the following
hierarchy. The first choice is the IRS Employer Identification Number
(EIN). The vast majority of importers have the EIN because of the
business necessity of it. The second alternative is the Social Security
number (SSN). The third alternative is a Customs-assigned number. This
file is referenced during entry processing to verify that the
individual or company making entry is authorized to import and is
properly bonded. (3) Entry Files: A record consists of a three-digit
Customs--assigned Customhouse broker or importer number (non-SSN) and
the name and address. The file is referenced during entry processing to
validate the entry file code and is used to direct system output to the
broker or importer. (4) Corporate Surety Power of Attorney and Bond
Files: The data consists of names of agents who are authorized to write
a Customs bond and their SSN, a three-digit surety code (non-SSN)
assigned by the Customs Accounting Division, the surety name and
Customs bond information. (5) Liquidator File: A record consists of a
Customs-assigned three-digit liquidator identification (non-SSN) and a
Customs employee's name. The employee's liquidator code is input into
the system as a means of maintaining quality control and an audit trail
on entries liquidated. (6) Foreign Manufacturer/Shipper File: The file
contains an identification code constructed using a formula based on
name and address, manufacturer name and address reported by importers
and brokers on Customs entry forms or electronic formats. Carrier
Files: This file consists of carrier names and codes (non SSN) which
are 4 characters--Standard Carrier Agent Code (SCA) for vessel carriers
and 2 or 3 character--International Air Transport Association (IATA)
for air carriers. This code is used to validate data input to the
manifest and entry processing systems and to direct system output to
the carrier.
Authority for maintenance of the system:
19 U.S.C. 66, 1448, 1481, 1483, 1484, 1505, and 1624.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Bureau of the Census by providing magnetic tapes
containing foreign trade data; (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; (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; (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; (5) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By identification codes and/or name.
Safeguards:
Access to computer area is controlled by a security pass
arrangement and personnel not connected with the operation of the
computer are prohibited from entering. The building security is
protected by a uniformed guard. At the ports of processing, terminal
rooms are under close supervision during working hours and locked after
close of business. The system security officer issues a unique private
five digit identification code to each authorized user. Access to the
Customs computer from other than system terminals is controlled through
a security software package. Users must input a unique identification
code and password during the terminal log-in procedure to gain access
to the system. The password is not printed or displayed at the port of
processing. The system validates the user ID by transaction type,
thereby limiting a system user's access to information on a ``need-to-
know'' basis. A listing of identification codes of authorized users can
be printed only by request of the security officer. The passwords are
changed periodically to enhance security.
Retention and disposal:
Files are periodically updated to reflect changes, etc., and are
disposed of in accordance with the requirements of the Treasury Records
Control Manual.
System manager(s) and address:
Director, Office of Automated Systems, Customs Service
Headquarters, 1300 Pennsylvania Avenue, NW, Washington, DC 20229, is
responsible for all data maintained in the files.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The system data base contains data received on authorized Customs
forms or electronic formats from individuals and/or companies
incidental to the conduct of foreign trade and required by the Customs
Service in administering the tariff laws and regulations of the United
States.
Exemptions claimed for the system:
None.
TREASURY/CS .284
System name:
Personnel Verification System (PVS)--Treasury/Customs.
System location:
Office of Information and Technical Services, U.S. Customs Service,
1300
[[Page 69817]]
Pennsylvania Avenue, NW., Washington, DC 20229, and Regional Offices of
the U.S. Customs Service. (See Customs appendix A.)
Categories of individuals covered by the system:
Authorized Customs personnel and non-Customs personnel who have
received authorization to use the Regional Communications Centers.
Categories of records in the system:
Individual identifiers including but not limited to name, office
address, home address, office telephone number, home telephone number,
badge number, Social Security number, radio call sign, page number,
organization, and unit.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
(1) Alphabetic or numerical listings or card files; (2) microfiche;
(3) magnetic disc and tapes; (4) other electronic storage media.
Retrievability:
By name, call sign, paging number, Social Security number, badge
number, organizational code.
Safeguards:
Records are located in controlled access areas with alarm
protection systems. Offices are staffed twenty-four hours a day, seven
days a week.
Retention and disposal:
Records are maintained in the system until such time as the
individual is no longer authorized usage of the Regional Communications
Center. Disposal is by erasure of disc/tapes, shredding and/or burning
of listings or card files, and burning of microfiche.
System manager(s) and address:
Assistant Commissioner, Office of Information and Technical
Services, U.S. Customs Service, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The sources include but are not limited to (1) the individual to
whom the record relates; (2) internal Customs Service records; (3)
Personnel Verification Sheet.
Exemptions claimed for the system:
None.
TREASURY/CS .285
System name:
Automated Index to Central Investigative Files--Treasury/Customs.
System location:
Office of Investigations, U.S. Customs Service, 1300 Pennsylvania
Avenue NW., Washington, DC 20229.
Categories of individuals covered by the system:
(1) Known violators of U.S. Customs laws. (2) Convicted violators
of U.S. Customs and/or drug laws in the United States and foreign
countries. (3) Suspected violators of U.S. Customs or other related
laws. (4) Private yacht masters and pilots arriving in the United
States.
Categories of records in the system:
A listing of Memoranda of Information Received, Reports of
Investigations; Search/Arrest/Seizure Reports, Penalties, and
Forfeitures, reports required by Private Aircraft Reporting System,
reports required by the Private Yacht Reporting System, reports on
vessel violations. Reports relating to an individual, various other
correspondence (letter, memoranda, etc.), which related to an
individual in the Treasury Enforcement Communications System.
Authority for maintenance of the system:
5 U.S.C. 301 and Treasury Department Order No. 165, Revised, as
amended. Authority for the collection and maintenance of the report
included in the system is: 19 U.S.C. 1603; 19 U.S.C. 1431; 19 U.S.C.
66; 31 CFR part 103.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Magnetic disc and tape, microfiche.
Retrievability:
Name, personal identification numbers, Customs case number,
document's central file number.
[[Page 69818]]
Safeguards:
(1) All Central Files users must have a full field background
investigation. (2) The ``need to know'' principle applies. (3)
Procedural and physical safeguards are utilized such as accountability
and receipt records, guard patrolling restricted areas, alarm
protection systems, special communication security. (4) Access is
limited to all Office of Investigations terminals and all Law
Enforcement Systems Division Headquarters and Newington, VA terminals.
Retention and disposal:
Records will be maintained in the Automated Index to Central
Enforcement files for as long as the associated document or microfiche
is retained. Records will be destroyed by erasure of the magnetic disc
and by burning the microfiche.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act
for the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of contesting
the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
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), (H) and (I),
(5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C. 552a
(j)(2) and (k)(2).
Appendix A--U.S. Customs Service
I. Notification, Record Access and Amendment Procedures
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).
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.
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.
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.)
II. Location
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:
Headquarters U.S. Customs Service: 1300 Pennsylvania Avenue, NW,
Washington, DC 20229.
Customs Management Centers
Arizona--4740 North Oracle Road, Suite 310, Tucson, AZ 85705, (520)
670-5900.
Caribbean Area--#1 La Puntilla St., Room 203, San Juan PR 00901,
(787) 729-6950.
East Great Lakes--4455 Genesee St., Buffalo, NY 14225, (716) 626-
0400.
East Texas--2323 S. Shepard St., Suite 1200, Houston, TX 77019,
(713) 313-2843.
Gulf--423 Canal St., Room 337, New Orleans, LA 70130, (504) 670-
2404.
Mid-America--610 S. Canal St. Suite 900, Chicago, IL 60607, (312)
353-4733.
Mid Atlantic--103 S. Gay St., Suite 208, Baltimore, MD 21202, (410)
962-6200.
Mid Pacific--33 New Montgomery St., Suite 1601, San Francisco, CA
94105, (415) 744-1530.
New York--6 World Trade Center, Room 716, New York, NY 10048, (212)
466-4444.
North Atlantic--10 Causeway St., Room 801, Boston, MA 02222, (617)
565-6210.
North Florida--1624 E. Seventh Ave., Suite 301, Tampa, FL 33605,
(813) 228-2381.
North Pacific--511 N. W. Broadway, Rm. 592, Portland, OR 97209,
(503) 326-7625.
Northwest Great Plains--1000 Second Ave., Suite 2000, Seattle, WA
98104, (206) 553-6944.
South Atlantic--1691 Phoenix Blvd., Suite 270, College Park, GA
30349, (770) 994-2306.
South Florida--909 SE First Ave. Suite 980, Miami, FL 33131, (305)
536-6600.
South Pacific--One World Trade Center, PO Box 32639, Long Beach, CA
90815 (562) 980-3100.
South Texas--PO Box 3130, Bldg #2, Lincoln-Juarez Bridge, Laredo, TX
78044, (956) 718-4161.
Southern California--610 W. Ash St., Suite 1200, San Diego, CA
92101, (619) 557-5455.
West Great Lakes--613 Abbott St., 3rd Floor, Detroit, MI 48226,
(313) 226-2955.
West Texas/New Mexico--9400 Viscount Blvd., Suite 104, El Paso, TX
79925, (915) 540-5800.
Office of Internal Affairs Field Offices
Regional Director (Internal Affairs), 10 Causeway Street, Boston, MA
02110.
Resident Agent in Charge (Internal Affairs), 6 World Trade Center,
New York, N.Y. 10048.
Resident Agent in Charge (Internal Affairs),1000 Bricknell Avenue,
Miami, FL 33101.
Resident Agent in Charge (Internal Affairs), 423 Canal Street, New
Orleans, LA 70112.
Special Agent in Charge (Internal Affairs), 2323 S. Shepherd Street,
Houston, TX 77002.
Resident Agent in Charge (Internal Affairs), 610 S. Canal Street,
Chicago, IL. 60603.
Special Agent in Charge (Internal Affairs), One World Trade Center,
Long Beach, CA 90815.
Customs Service/Area Ports Offices
Anchorage: 605 West Fourth Avenue, Anchorage, AK 99501 (907) 271-
2675.
Atlanta: 700 Doug Davis Drive, Atlanta, GA 30354 (404) 763-7020.
Baltimore: 40 S. Gay St, Baltimore, MD 21202 (410) 962-2666.
Baton Rouge: 5353 Essen Lane, Baton Rouge, LA 70809 (504) 389-0261.
Blaine: 9901 Pacific Highway, Blaine, WA 98230 (360) 332-5771.
Boston: 10 Causeway Street, Boston, MA 02222-1059 (617) 565-6147.
Buffalo: 111 West Huron Street, Buffalo, NY 14202-2378 (716) 551-
4373.
[[Page 69819]]
Calais: 1 Main Street, Calais, ME 04619 (207) 454-3621.
Calexico: P.O. Box 632, Calexico, CA 92231 (619) 357-7310.
Champlain: 35 West Service Road, Champlain, NY 12919-8314 (518) 298-
8347.
Charleston: 200 East Bay Street, Charleston, SC 29401 (803) 727-
4296.
Charlotte: 1801-K Cross Beam Drive, Charlotte, NC 28217 (704) 329-
6101.
Charlotte/Amalie: Main Post Ofc-Sugar Estate, St. Thomas, VI 00801
(809) 774-2911.
Chicago: 610 South Canal Street, Chicago, IL 60607 (312) 353-6100.
Christiansted: Church Street P.O. Box 249, Christianstedt/ St.Croix,
VI 00820 (809) 773-1490.
Cleveland: 55 Erieview Plaza, 6th Floor, Cleveland, OH 44114. (216)
891-3804
Dallas/Ft. Worth: P.O. Box 619050, DFW Airport, TX 75261-4818 (972)
574-2170.
Denver: 4735 Oakland Street, Denver, CO 80239 (303) 361-0715.
Derby Line: Interstate 91, Derby Line, VT 05830 (802) 873-3489.
Detroit: 477 Michigan Avenue, Detroit, MI 48226 (313) 226-3178.
Douglas: 1st Street & Pan American Avenue, Douglas, AZ 85607 (602)
364-8486.
Duluth: 515 West 1 St Street, Duluth, MN 55802-1390 (218) 720-5201.
El Paso: 9400 Viscount Boulevard, El Paso, TX 79925 (915) 540-5800.
Grand Rapids: Kent County Airport, Grand Rapids, MI 49508 (616) 456-
2515.
Great Falls: 300 2nd Avenue South, Great Falls, MT 59403 (406) 453-
7631.
Greenville/Spartanburg: 150-A West Phillips Road, Greer, SC 29650
(864) 877-8006.
Harrisburg: Harrisburg International Airport, Bldg 135, Middletown,
PA 17057-5035 (717) 782-4510.
Hartford: 135 High Street, Hartford, CT 06103 (203) 240-4306.
Highgate Springs: RR2, Box 170, Swanton, VT 05488 (802) 868-2778.
Honolulu: 355 Merchant St., Honolulu, HI 968813 (808) 522-8060.
Houlton: RR 3, Box 5300, Houlton, ME 04730 (207) 532-2131.
Houston/Galveston: 1717 East Loop, Houston, TX 77029 (713) 985-6712.
Jacksonville: 2831 Talleyrand Avenue, Jacksonville, FL 32206 (904)
232-3476.
Kansas City: 2701 Rockcreek Parkway, N. Kansas City, MO 64116 (816)
374-6424.
Laredo/Columbia: PO Box 3130, Laredo, TX 78044 (210) 726-2267.
Los Angeles: 300 South Ferry Street, Terminal Island, CA 90731 (310)
514-6001.
Los Angeles Airport Area: 300 South Ferry Street, Terminal Island,
CA 90731 (310) 514-6029.
Los Angeles/Long Beach Seaport Area: 300 South Ferry Street,
Terminal Island, CA 90731 (310) 514-6002.
Louisville: 601 West Broadway, Louisville, KY 40202 (502) 582-5186.
Miami Airport: 6601 West 25th Street, Miami, FL 33102-5280 (305)
869-2800.
Miami Seaport: 1500 Port Blvd, Miami, FL 33132 (305) 536-5261.
Milwaukee: P.O. Box 37260, Milwaukee, WI 53237-0260 (414) 571-2860.
Minneapolis: 110 South 4th Street, Minneapolis, MN 55401 (612) 348-
1690.
Mobile: 150 North Royal Street, Mobile, AL 36602 (205) 441-51106.
Nashville: 939 Airport Service Road, PO Box 270008, Nashville, TN
31277-0008 (615) 736-5861.
New Orleans: 423 Canal Street, New Orleans, LA 70130 (504) 589-6353.
New York: 6 World Trade Center, New York, NY 10048 (212) 466-4444.
New York--JFK Area: Bldg #77, Jamaica, NY 11430 (718) 553-1542.
New York--NY/Newark Area: Hemisphere Center, Rm 200, Rts. 1 & 9
South, Newark, NJ 07114 (201) 645-3760.
Nogales: 9 North Grand Avenue, Nogales, AZ 85621 (520) 287-1410.
Norfolk: 200 Granby Street, Norfolk, VA 23510 (804) 441-3400.
Ogdensburg: 127 N. Water Street, Ogdensburg, NY 13669 (315) 393-
0660.
Orlando: 5390 Bear Road, Orlando, FL 32827 (407) 825-4301.
Oroville: Rt 1, Box 130, Oroville, WA 98844 (509) 476-2955.
Pembina: PO Box 610, Pembina, ND 58271 (701) 825-6201.
Philadelphia: 2nd & Chestnut Streets, Philadelphia, PA 19106 (215)
597-4605.
Phoenix: 1315 S. 27th Street, Phoenix , AZ 85034 (602) 379-3516.
Otay Mesa: 9777 via De La Amistad, San Diego, CA 92173 (619) 661-
3305.
Port Huron: 526 Water Street, Port Huron, MI 48060 (810) 985-7125.
Portland, ME: 312 Fore Street, Portland, ME 04112 (207)780-3326.
Portland, OR: 511 NW Broadway, Portland, OR 97209 (503) 326-2865.
Providence: 49 Pavilion Avenue, Providence, RI 02905 (401) 941-6326.
Raleigh/Durham: 120 Southcenter Court, Morrisville, NC 27560 (919)
467-3552.
Richmond: 400 North Eighth Street, Richmond, VA 23240 (804) 226-
9675.
San Antonio: 9800 Airport Boulevard, San Antonio, TX 78216 (210)
821-6965.
San Diego: 610 West Ash Street, San Diego, CA 92188 (619) 557-6758.
San Francisco: 555 Battery Street, San Francisco, CA 94111 (415)
744-7700.
San Juan: #1 La Puntilla, San Juan, PR 00901 (809) 729-6965.
San Luis: PO Box H, San Luis, AZ 85349 (602) 627-8854.
Sault Ste. Marie: International Bridge Plaza, Sault Ste Marie, MI
49783 (906) 632-7221.
Savannah: 1 East Bay Street, Savannah, GA 31401 (912) 652-4256.
Seattle: 1000 2nd Avenue, Seattle, WA 98104-1049 (206) 553-0770.
Seattle Airport: SEA--TAC International Airport, Seattle, WA 98158
(206) 553-7960.
Seattle Waterfront: 3236 16th Street, SW, Seattle, WA 98134 (206)
553-1581.
San Ysidro: 720 E. San Ysidro Blvd., San Ysidro, CA 92073 (619) 662-
7201.
St. Albans: PO Box 1490, St. Albans, VT 05478 (802) 524-7352.
St. Louis: 4477 Woodson Road, St. Louis, MO 63134-3716 (314) 428-
2662.
Syracuse: 4034 S. Service Road, Hancock International Airport
Syracuse, NY 13212 (315) 455-8446.
Tacoma: 2202 Tacoma Road, Tacoma, WA 98421 (206) 593-6336.
Tampa: 2203 N. Louis Avenue, Tampa, FL 33607 (813) 228-2381.
Tucson: 7150 South Tucson Boulevard, Tucson, AZ 85706 (520) 670-
6461.
Washington, DC: PO Box 17423, Washington, DC 20041 (703) 318-5900.
Wilmington: 1 Virginia Avenue, Wilmington, NC 28401 (919) 815-4601.
Customs Investigations Field Offices
Special Agent in Charge, Room 801, 10 Causeway Street, Boston, MA
02222.
Resident Agent in Charge, PO Box 368, Derby Line, Vermont, 05830.
Resident Agent in Charge, PO Box 400, Houlton, Maine 04730.
Resident Agent in Charge, PO Box 4688 (DTS), Portland, Maine 04112.
Resident Agent in Charge, Federal Building, Suite 318, 150 Court
Street, New Haven, CT 06510.
Resident Agent in Charge, PO Box 68, Rouses Point, New York 12979.
Special Agent in Charge, 40 South Gay Street, Room 424, Baltimore,
Maryland 21202.
Resident Agent in Charge, Second and Chestnut Street, Room 200,
Philadelphia, PA 19106.
Resident Agent in Charge, Room 826, Federal Building 1000 Liberty
Avenue, Pittsburgh, PA 15222.
Special Agent in Charge, 6 World Trade Center, Room 716, New York,
N.Y. 10048 Deputy Special Agent in Charge, JFK International
Airport, Building 75, 2nd Floor, Jamaica, N.Y. 11430.
Resident Agent in Charge, Airport International Plaza, Suite 400,
Routes 1 and 9 South, Newark, N.J. 07114.
Resident Agent in Charge, Leo O'Brien Federal Building, North Pearl
Street, Room 746, Albany, N.Y. 12207.
Resident Agent in Charge, 575 Johnson Avenue, 2nd floor, Bohemia,
New York 11716.
Special Agent in charge, 423 Canal Street, Room 337, New Orleans, LA
70130 .
Resident Agent in Charge 8312 Florida Boulevard, Suite 216B, Baton
Route, LA 70806.
Resident Agent in Charge, Air Investigations, PO Box 980, Belle
Chase, LA 70037.
Resident Agent in Charge, 600 Beacon Parkway West, Suite 725,
Birmingham, AL 35209.
Resident Agent in Charge, PO Box 700, Dauphin Island, AL 36528.
Resident Agent in Charge, Security Building, Room 600, 2301 14th
Street, Gulfport, MS 39501.
Resident Agent in Charge, Station 1, PO Box 10182, Houma, LA 70363.
Resident Agent in Charge, 100 West Capitol Street, Suite 1418,
Jackson, MS 39269.
Resident Agent in Charge, 825 Kaliste Saloom, Brandywine, II, Suite
200, Lafayette, LA 70508.
Resident Agent in Charge, 811 Bayou Pines Drive, Lake Charles, LA
70601.
Resident Agent in Charge, 10825 Financial Parkway, Suite 321, Little
Rock, AR 72211.
Resident Agent in Charge, 951 Government Street, Suite 700, Mobile,
AL 36604.
Resident Agent in Charge, 4721 Trousdale Drive, Suite 216,
Nashville, TN 37220.
[[Page 69820]]
Resident Agent in Charge, 610 Texas Street, Suite 610, Shreveport,
LA 71101.
Special Agent in Charge, 4141 N. Saur, Houston Parkway, East,
Houston, TX 77032.
Resident Agent in Charge, 421 Cold Avenue, SW, Albuquerque, NM
87103.
Resident Agent in Charge, PO Box 9640, Alpine, TX 79830.
Resident Agent in Charge, PO Box 99, Austin, TX 78767.
Resident Agent in Charge, PO Box 4500, Brownsville, TX 78521.
Resident Agent in Charge, PO Box 2159, Corpus Christi, TX 78403.
Resident Agent in Charge, 400 South Record Street, Suite 800, Dallas
TX 75242.
Resident Agent in Charge, PO Box 1169, Del Rio, TX 78841.
Resident Agent in Charge, PO Box 1818, Deming NM 88030.
Resident Agent in Charge, PO Box 1076, Douglas, AZ 86508.
Resident Agent in Charge, 160 Garrison Street, Eagle Pass, TX 78852.
Special Agent in Charge, 6501 Boeing Drive, Building G, El Paso, TX
79925.
Resident Agent in Charge, PO Box 12, Falcon Heights, TX 78545.
Resident Agent in Charge, PO Box HH, Flagstaff, AZ 86001.
Resident Agent in Charge, PO Box 570, Galveston, TX 77553.
Resident Agent in Charge, PO Box 2128, Laredo, TX 78044.
Resident Agent in Charge, PO Box 7150, Las Cruces, NM 88006.
Resident Agent in Charge, PO Drawer 189, Lukeville, AZ 85341.
Resident Agent in Charge, 1701 West Business 83, Suite 508, McAllen,
TX 78501.
Resident Agent in Charge, 3500 NW 56th Street, Suite 200, Oklahoma
City, OK 73112.
Resident Agent in Charge, 3010 North 2nd Street, Suite 201, Phoenix,
AZ 85012.
Resident Agent in Charge, 4550 75th Street, Port Arthur, TX 77642.
Resident Agent in Charge, PO Drawer H, Presidio, TX 79845.
Resident Agent in Charge, 1802 NE Loop 410, Suite 302, San Antonio,
TX 78217.
Resident Agent in Charge, PO Box 458, Sells, AZ 85634.
Special Agent in Charge, 555 East River Road, Tucson, AZ 85704.
Resident Agent in Charge, PO Box 5757, Yuma, AZ 85364.
Special Agent in Charge, PO Box 1309 MPO, Los Angeles, CA 90053.
Resident Agent in Charge, PO Box 100199, Anchorage, AK 99501.
Resident Agent in Charge, PO Box 535, Astoria, OR 97103.
Resident Agent in Charge, PO Box 1360, Blaine, WA 98230.
Resident Agent in Charge (Calexico) 1681 West Main Street, Suite
306, El Centro, CA 92243.
Resident Agent in Charge, PO Box 209, Coos Bay, OR 97420.
Resident Agent in Charge, PO Box 465, Eureka, CA 95502.
Resident Agent in Charge, PO Box 12465, Fresno, CA 93778.
Resident Agent in Charge (Guam), PO Box 2508, Agana, Guam 96910.
Resident Agent in Charge, (LAX), 222 North Sepulveda Boulevard,
Suite 200, El Secundo, CA 90245.
Resident Agent in Charge, PO Box 329, Oceanside, CA 92054.
Resident Agent in Charge (Orange County), 15941 Red Hill Avenue,
Suite 200, Tustin, CA 92680.
Resident Agent in Charge, PO Box 6155, Oxnard, CA 93031.
Resident Agent in Charge, Federal Office Building, 138 West First
Street, Room 216, Port Angeles, WA 98352.
Resident Agent in Charge, PO Box 2841, Portland, OR 97208
Resident Agent in Charge, 1755 E. Plumb Lane, Airport Plaza, Suite
229, Reno, NV 89502.
Resident Agent in Charge, PO Box 214666, Sacramento, CA 95821.
Special Agent in Charge, 401 West A Street, Suite 305, San Diego, CA
90101.
Special Agent in Charge, 1700 Montgomery Street, Suite 445, San
Francisco, CA 94111.
Resident Agent in Charge (SFO), San Francisco International Airport,
PO Box 251747, San Francisco, CA 94128.
Resident Agent in Charge, Courthouse and Federal Building, 280 South
First Street, Suite 190, San Jose, CA 95113.
Resident Agent in Charge, 406 Virginia Avenue, San Ysidro, CA 92073.
Special Agent in Charge, Federal Office Building, 909 First Avenue,
Room 4100, Seattle, WA 98174.
Resident Agent in Charge, West 904 Riverside, Room 332, Spokane, WA
92210.
Special Agent in Charge, 610 South Canal Street, Room 851, Chicago,
IL 60607.
Resident Agent in Charge (Cincinnati) Suite 200, 207 Grandview
Drive, Fort Mitchell, KY 41017.
Resident Agent in Charge (Cleveland) Commerce Place, 7123 Pearl
Road, Room 305, Middleburg Heights, OH 44130.
Resident Agent in Charge, 78 E. Chestnut Street, Room 411, Columbus,
OH 42315.
Special Agent in Charge, PO Drawer 3609, Denver, CO 80294.
Special Agent in Charge, McNamara Federal Building, 477 Michigan
Avenue, Room 350, Detroit, MI 48226.
Resident Agent in Charge, PO Box 791, Great Falls, MT 59403
Resident Agent in Charge, PO Box 51366, Indianapolis, IN 46251.
Resident Agent in Charge, 2701 Rockcreek Parkway, Suite 206, North
Kansas City, MO 64117.
Resident Agent in Charge, PO Box 92847, Milwaukee, WI 53202.
Resident Agent in Charge, Federal Office Building, 212 Third Avenue
South, Room 154, Minneapolis, MN 55401.
Resident Agent in Charge, PO Box 192, Pembina, ND 58271.
Resident Agent in Charge, 114 Market Street, Room 942, St. Louis, MO
63101.
Resident Agent in Charge, 1745 W. 1700 S, Room 1124, Salt Lake City,
UT 84104.
BILLING CODE: 4840-01-P
Bureau of Engraving and Printing:
TREASURY/BEP .002
System name:
Personal Property Claim File--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
Categories of individuals covered by the system:
Civilian officers and employees of the Bureau of Engraving and
Printing, former employees and their survivors having claim for damage
to or loss of personal property incident to their service.
Categories of records in the system:
Contains investigative and adjudication documents relative to
personal property damage claim.
Authority for maintenance of the system:
Military Personnel and Civilian Employees' Claims Act of 1964, as
amended, Pub. L. 88-558.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2
[[Page 69821]]
which relate to an agency's functions relating to civil and criminal
proceedings; (6) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114; (7) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder.
Retrievability:
By name.
Safeguards:
Access is limited to Office of Chief Counsel staff.
Retention and disposal:
Retained three years after case is closed, then destroyed.
System manager(s) and address:
Office of Chief Counsel, Bureau of Engraving and Printing; 14th and
C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals having claim for damage to or loss of personal
property.
Exemptions claimed for the system:
None.
TREASURY/BEP .004
System name:
Counseling Records--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228, and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
Employees whose actions or conduct warrants counseling.
Categories of records in the system:
Contains correspondence relative to counseling information and
follow-up reports.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (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; (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; (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 and 7114; (7) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
By name.
Safeguards:
Locked in file cabinets; access is limited to EEO and Employee
Counseling Services staff.
Retention and disposal:
Retained for one year after close of file, then destroyed.
System manager(s) and address:
EEO and Employee Counseling Services Staff Manager, Bureau of
Engraving and Printing; 14th and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employee.
Exemptions claimed for the system:
None.
TREASURY/BEP .005
System name:
Compensation Claims--Treasury/BEP.
System location:
Compensation Staff, Personnel Services Division, Office of Human
Resources, Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228. Human Resources Division, Bureau of Engraving and
Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth,
Texas 76131.
Categories of individuals covered by the system:
Bureau of Engraving and Printing employees incurring work-connected
injuries or illnesses, who make claims under Federal Employee
Compensation Act for medical expenses, continuation of pay or
disability.
Categories of records in the system:
All pertinent documentation, including investigative reports,
medical reports, forms, letters to BEP Office of Financial Management
authorizing continuation of pay, Labor Department reports, etc.
relative to work-connected injuries or illnesses of employees.
Authority for maintenance of the system:
Federal Employees Compensation Act, as amended, Pub. L. 93-416.
[[Page 69822]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) disclose
information to foreign governments in accordance with formal or
informal international agreements; (5) provide information to 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; (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; (8) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder, magnetic media and computer disks.
Retrievability:
Name and date of injury.
Safeguards:
Locked file cabinets, locked computers, passwords. Back-up discs
locked in file cabinets. Access is limited to Compensation Claims staff
and Safety managers.
Retention and disposal:
Records are retained for three years after last entry, then
destroyed.
System manager(s) and address:
(1) Manager, Personnel Services Division, Office of Human
Resources, Bureau of Engraving and Printing, 14th and C Street SW.,
Washington, DC 20228. (2) Manager, Human Resources Division, Bureau of
Engraving and Printing, Western Currency Facility, 9000 Blue Mound
Road, Fort Worth, Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Occupational Health Unit Daily Report, medical providers,
employee's supervisor's report, and information provided by the
employee.
Exemptions claimed for the system:
None.
TREASURY/BEP .006
System name:
Debt Files (Employees)--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
Categories of individuals covered by the system:
All Bureau of Engraving and Printing employees on whom debt
complaints are received.
Categories of records in the system:
Contains employee's name, complaint information, court judgements,
counseling efforts, receipts, and final disposition of complaint.
Authority for maintenance of the system:
Federal Personnel Manual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) disclose
information to foreign governments in accordance with formal or
informal international agreements; (5) provide information to 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; (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; (8) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
By name.
Safeguards:
Maintained in locked cabinets; access is limited to Employee and
Labor Relations Division, Human Resources Division and the Office of
the Chief Counsel.
Retention and disposal:
Retained for two years, then destroyed.
System manager(s) and address:
(1) Chief, Office of Human Resources and the Office of the Chief
Counsel,
[[Page 69823]]
Bureau of Engraving and Printing; 14th and C Streets, SW, Washington,
DC 20228. (2) Manager, Human Resources Division, Bureau of Engraving
and Printing, Western Currency Facility, 9000 Blue Mound Road, Fort
Worth, TX 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets; SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Employees, Complainants, and Court Judgements.
Exemptions claimed for the system:
None.
TREASURY/BEP .014
System name:
Employee's Production Record--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228, and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
Categories of individuals covered by the system:
All current Washington, DC and Fort Worth, TX Bureau of Engraving
and Printing employees.
Categories of records in the system:
Contains employee's name, dates, work hours, record of production,
history of work assignments, training, work performance, and progress
reports.
Authority for maintenance of the system:
5 U.S.C. 301, 4103 and 4302.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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; (6) provide information to unions recognized
as exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (7) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in data entry diskettes, file folders and production
books.
Retrievability:
Indexed by name, work code number and cross-referenced by project
number.
Safeguards:
Maintained in locked cabinets or desks; access is limited to
personnel having a ``need-to-know.''
Retention and disposal:
Retained three years, then destroyed.
System manager(s) and address:
Office of Chief Counsel; Chief, Office of Equal Employment
Opportunity and Employee Counseling Services; Chief, Office of Human
Resources; Chief, Office of Currency Production; Plant Manager (Stamps
and Special Products); Chief, Office of Engraving; Chief, Office of
Production Support; Chief, Office of Procurement; Chief, Office of
Production and Inventory Management; Chief, Office of External
Relations; Chief, Office of Currency Standards; Chief, Office of
Engineering; Chief, Office of Advanced Counterfeit Deterrence; Address:
Bureau of Engraving and Printing; 14th and C Streets, SW, Washington,
DC 20228. Plant Manager, Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Fort Worth, TX 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information furnished by employee, developed by supervisor or by
referral document.
Exemptions claimed for the system:
None.
TREASURY/BEP .016
System name:
Employee Suggestions--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228, and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
All Bureau of Engraving and Printing employees submitting
suggestions under the incentive award program.
Categories of records in the system:
Contains employee's suggestion, reviewer evaluation and final
disposition information.
Authority for maintenance of the system:
Title 5, U.S.C., 4502 (c).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or
[[Page 69824]]
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; (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; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (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; (6)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders, as well as on computer disks.
Retrievability:
Indexed by name.
Safeguards:
Maintained in locked file cabinets; access is limited to
Compensation Division Personnel, the Chief, Office of Currency
Manufacturing, and the employee's supervisor.
Retention and disposal:
Retained for three years following date of submission, then
destroyed.
System manager(s) and address:
Chief, Office of Personnel, Bureau of Engraving and Printing; 14th
and C Streets, SW, Washington, DC 20228, and the Chief, Office of
Currency Manufacturing, Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Notification procedure:
Individuals wishing to be notified if they are identified in this
system or gain access to records maintained in the system must submit a
request containing the following elements: (1) Identification of the
record system; (2) identification of the category and types of records
sought; (3) at least two items of identification (e.g., name and date
of birth, employee identification number, date of employment or similar
information). Address inquiries to Disclosure Officer, Bureau of
Engraving and Printing; 14th and C Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employee, employee's supervisor and review committee.
Exemptions claimed for the system:
None.
TREASURY/BEP .020
System name:
Industrial Truck Licensing Records--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228, and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
Bureau of Engraving and Printing employees designated to operate
self-propelled material and/or machinery handling equipment.
Categories of records in the system:
Record of employee physical examination, testing, license number
and issue date for purpose of operating one or more types of material
handling equipment used within the Bureau of Engraving and Printing,
and employees who drive official bureau motor vehicles.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder and Card file.
Retrievability:
By Name.
Safeguards:
Locked file cabinet, access is limited to Office of Production and
Inventory Management and the Warehouse and Supply Section personnel.
Retention and disposal:
Destroyed three years after license revocation.
System manager(s) and address:
Head, Office of Production and Inventory Management, Bureau of
Engraving and Printing; 14th and C Streets, SW, Washington, DC 20228,
and the Manager, Warehouse and Supply Section, Bureau of Engraving and
Printing, Western Currency Facility, 9000 Blue Mound Road, Ft. Worth,
Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Supervisor's request, results of physical examination, and data
obtained during training or practical tests.
Exemptions claimed for the system:
None.
TREASURY/BEP .021
System name:
Investigative Files--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW.,
Washington, DC 20228, and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Fort Worth, Texas 76131.
Categories of individuals covered by the system:
Employees, Separated Bureau Employees, Employee Applicants,
Visitors to the Bureau, News-Media Correspondents, Contractor and
Service Company Employees (Current and Separated).
Categories of records in the system:
Category: Security Files, Personnel Clearance Requests, Case Files,
Bank Shortage Letters, Contractor Files, Currency Discrepancy Reports,
Intelligence Files, Stamp Discrepancy Reports, Case Records,
Correspondence from the Public concerning Security Matters, Security
Files Reference
[[Page 69825]]
Record, Employee Indebtedness Record, Type of Information: Character
references, Police force reports, Previous employment verifications,
Newspaper articles, Social Security numbers, Laboratory reports to
include handwriting results and latent fingerprint examinations, Law
enforcement criminal and subversive record checks, Court records,
Security registers, Residency information, Reports of shortages or
thefts of Bureau products including subsequent investigations,
Personnel records of various types, Fingerprint card, Photograph, Names
of individuals including those at contractor plants who worked on a
shortage involving Bureau products, Credit checks, Background
investigation reports conducted by Office of Personnel Management,
Bureau of Engraving and Printing, the Internal Revenue Service and
other Federal Investigative Agencies, Disciplinary action recommended
and/or received, Military record forms and extracted information, List
of Bureau employees granted security clearances, Processes served, i.e.
summons, subpoenas, warrants, etc., Personnel security case numbers,
dates--case opened and closed, and recommendations, Certificate of
Security Clearance, Reports of violations of Bureau regulations and
procedures, Bureau visitor control documents, Correspondence relating
to individuals, Claims of indebtedness from firms and collection
agencies and other sources, and assorted documents, Tape-recorded
testimony, Type of Information: Bureau investigation reports,
Information supplied by Law Enforcement agencies, Applicant interview
record, Anonymous tips concerning Bureau employees, Official
investigative statements, Names of those requesting security assistance
and report of the assistance rendered, other pertinent Governmental
records, education records and information, Date of Birth and physical
description of individual in the files.
Authority for maintenance of the system:
Executive Order 10450 and implementing Treasury and Bureau
Regulations and 31 U.S.C. 427.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) disclose
information to foreign governments in accordance with formal or
informal international agreements; (5) provide information to 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; (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; (8) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File Folders, 3 x 5 Index Cards, 5 x 8 Index Cards, Loose-leaf
Binders, Ledgers, Recording Tape, Computer Database Programs, and
Microfiche.
Retrievability:
Numerically by case number and year, alphabetically by name and
Social Security number, and alphabetically by Company name.
Safeguards:
Access is limited to Office of Security and Western Currency
Facility staff. Records are maintained in locked file cabinets and
secured computers.
Retention and disposal:
Destroyed within 90 days following notification of an employee's
death, or, within five years after separation or transfer of incumbent
employee; or, five years after expiration of contractual relationship.
Product Discrepancy Investigative Reports and Bank Letter Investigative
Reports are retained indefinitely.
System manager(s) and address:
Chief, Office of Security, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228; Security and Police Division
personnel, Bureau of Engraving and Printing, Western Currency Facility,
9000 Blue Mound Road, Fort Worth, Texas 76131.
Notification procedure:
Individuals wishing to be notified if they are identified in this
system or gain access to records maintained in the system must submit a
request containing the following elements: (1) Identification of the
record system; (2) identification of the category and types of records
sought; (3) at least two items of identification (e.g., name and date
of birth, employee identification number, date of employment or similar
information). Address inquiries to Disclosure Officer, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
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.
Exemptions claimed for the system:
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).
TREASURY/BEP .027
System name:
Programmable Access Security System (PASS)--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228 and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Fort Worth, Texas 76131.
Categories of individuals covered by the system:
Bureau of Engraving and Printing Employees (Washington, DC and Fort
[[Page 69826]]
Worth, Texas); employees of the Bureau of the Public Debt (BPD) who are
assigned to work at the 12th and C streets SW., Washington, DC.
facility; employees of other U.S. Government agencies who have been
cleared for access to the Bureau of Engraving and Printing and issued
BEP Access Badges, and contractor and service company employees of the
Bureau of Engraving and Printing and the Bureau of Public Debt who have
been cleared for access to either bureau.
Categories of records in the system:
(A) The following information is maintained concerning all
individuals who are issued BEP and BPD 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;
time, date and location of each passage through a security control
point. (B) In the case of BEP and BPD employees and contractors issued
Temporary Access'' badges and contractors and other issued ``No
Escort'' badges, in lieu of his/her BEP access badge with photograph,
the same information as in paragraph A (above) is kept. (C) Official
visitors, contractors, and others issued ``Escort Visitor'' badges: No
information is maintained in the BEP PASS.
Authority for maintenance of the system:
31 U.S.C. 321, 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) disclose
information to foreign governments in accordance with formal or
informal international agreements; (5) provide information to 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; (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; (8) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Magnetic media and computer printouts.
Retrievability:
Numerical by PASS/badge number, alphabetically by last name, and
appropriate index by subject.
Safeguards:
Records are maintained in locked cabinets in a locked room; access
is limited to Physical Security Branch staff, Office of Security,
Senior management of the Office of Security, the staff of Internal
Review Division, Office of Management Control, and at the Fort Worth,
Texas, facility. On-line CRT terminals are installed in a locked
computer room in two (2) 24-hour manned police offices and selected
Office of Security staff offices which are locked. These latter
terminals are on lines that are manually activated and deactivated in
the PASS computer facility. Access to these terminals is limited to
Office of Security staff and contractors. Passwords further limit the
extent of access to computer stored information. BEP, BPD and other
U.S. Government agency managers and supervisors have access to
information pertaining to their subordinates for official purposes as
specified in the Record Source Categories.
Retention and disposal:
Retention period is for two (2) years.
System manager(s) and address:
Head, Physical Security Branch, Office of Security, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228
and Security and Police Division personnel, Bureau of Engraving and
Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth,
Texas 76131.
Notification procedure:
Individuals wishing to be notified if they are identified in this
system or gain access to records maintained in the system must submit a
request containing the following elements: (1) Identification of the
record system; (2) identification of the category and types of records
sought; (3) at least two items of identification (e.g., name and date
of birth, employee identification number, date of employment or similar
information). Address inquiries to Disclosure Officer, Bureau of
Engraving and Printing; 14th and C Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The individual concerned, his/her supervisor, or an official of the
individual's firm or agency.
Exemptions claimed for the system:
None.
TREASURY/BEP .035
System name:
Tort Claims (Against the United States)--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
Categories of individuals covered by the system:
Individuals and/or organizations making claim for money damage
against the United States 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.
Categories of records in the system:
Contains investigative and adjudication documents relative to
personal injury and/or property damage claims.
Authority for maintenance of the system:
Federal Tort Claims Act, Title 28 U.S.C. 2672, Pub. L. 89-506.
[[Page 69827]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (6) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder.
Retrievability:
By name.
Safeguards:
Access is limited to Office of Chief Counsel staff.
Retention and disposal:
Retained three years, then destroyed.
System manager(s) and address:
Office of Chief Counsel, Bureau of Engraving and Printing; 14th and
C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual or organization's claim and/or investigative reports.
Exemptions claimed for the system:
None.
TREASURY/BEP .038
System name:
Unscheduled Absence Record--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228, and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
All Bureau of Engraving and Printing employees who have had
unscheduled absences.
Categories of records in the system:
Record contains chronological documentation of unscheduled
absences.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (6) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
By name.
Safeguards:
Kept in locked file cabinets; access to these records is restricted
to Supervisor and authorized timekeeping personnel.
Retention and disposal:
Retained for one year following separation or transfer, then
destroyed.
System manager(s) and address:
Chief, Office of Human Resources, Bureau of Engraving and Printing,
14th and C Streets, SW, Washington, DC 20228, and Human Resources
Division, Bureau of Engraving and Printing, Western Currency Facility,
9000 Blue Mound Road, Ft. Worth, Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employee's time and attendance records, and his/her
supervisor.
Exemptions claimed for the system:
None.
TREASURY/BEP .040
System name:
Freedom of Information and Privacy Acts Requests--Treasury/BEP.
[[Page 69828]]
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
Categories of individuals covered by the system:
Individuals who are requesting information.
Categories of records in the system:
Correspondence pursuant to the Freedom of Information and Privacy
Acts; internal processing documents and memoranda, referrals and copies
of requested records.
Authority for maintenance of the system:
Freedom of Information Act, 5 U.S.C. 552, 31 CFR part 1, and
Privacy Act of 1974, 5 U.S.C. 552a.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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, or in connection with criminal law proceedings;
(3) provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (4) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folders locked in filing cabinet.
Retrievability:
By name of requester(s) and date of request.
Safeguards:
Filed in locked filing cabinet and released only to those parties
authorized pursuant to the Freedom of Information Act or the Privacy
Act.
Retention and disposal:
Disposition as prescribed by General Records Schedule 14 issued by
the National Archives and Records Administration.
System manager(s) and address:
Assistant to the Director's Staff, Bureau of Engraving and
Printing, 14th and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals who make Freedom of Information and/or Privacy Act
requests. Federal officials responding to Freedom of Information and/or
Privacy Act requests and documents from official records.
Exemptions claimed for the system:
None.
TREASURY/BEP .041
System name:
Record of Discrimination Complaints--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228, and Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
Employees who have initiated discrimination complaints.
Categories of records in the system:
Data developed as a result of inquiry by the person making the
allegation of discrimination.
Authority for maintenance of the system:
Executive Order 11478.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the records may be used
to:
(1) Disclose to EEOC to adjudicate discrimination complaints; (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; (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; (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; (5) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (6) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders. Locked in combination safe.
Retrievability:
By name and case number.
Safeguards:
Access is limited to Complainants and Equal Employment Opportunity
Staff; maintained in locked combination safe.
Retention and disposal:
Retained four years after resolution, then destroyed.
System manager(s) and address:
Chief, Office of EEO and Employee Counseling Services, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
[[Page 69829]]
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employees who have discrimination complaints.
Exemptions claimed for the system:
None.
TREASURY/BEP .043
System name:
Parking Program Records--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
Categories of individuals covered by the system:
Bureau and Non-bureau personnel who have applied for carpool
parking privileges.
Categories of records in the system:
Parking space applicant information--shows applicant's name and
address, vehicle make, model and year, vehicle license number, state
registration, work hours, work component, home/work phone numbers.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Letter-size file folders, and in electronic media.
Retrievability:
Alphabetically by applicant, or parking space number.
Safeguards:
Access is limited to Office of Security staff and maintained in a
locked office.
Retention and disposal:
Destroyed upon change in, or revocation of, parking assignment.
System manager(s) and address:
Chief, Office of Security, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Parking permit applicants.
Exemptions claimed for the system:
None.
TREASURY/BEP .044
System name:
Personnel Security Files and Indices--Treasury/BEP.
System location:
Employment Suitability Division, Office of Security, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228,
and Personnel Security Branch, Security and Police Division, Bureau of
Engraving and Printing, Western Currency Facility, 9000 Blue Mound
Road, Fort Worth, Texas 76131.
Categories of individuals covered by the system:
Employee applicants, current and former Bureau employees,
contractor and service company employees.
Categories of records in the system:
Investigative information related to personnel investigations
conducted by the Bureau of Engraving and Printing Security office and
other Federal, State, and local Agencies.
Authority for maintenance of the system:
Executive Order 10450.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) disclose
information to foreign governments in accordance with formal or
informal international agreements; (5) provide information to 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; (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; (8) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File Folders; 3'' x 5'' Index cards, Microfiche and computer
records maintained in an automated database.
Retrievability:
Alphabetically by name and social security number.
Safeguards:
Access is limited to Office of Security and Security and Police
Division staffs and records are maintained in locked file cabinets and
secured databases.
Retention and disposal:
Destroyed within 90 days following notification that an applicant
for employment was not hired; or upon notification of employee death;
or within five years after separation or transfer of incumbent
employee; or five years after expiration of contractual relationship.
System manager(s) and address:
Chief, Office of Security, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228. Manager, Security and Police
Division, Bureau of Engraving and Printing, Western Currency Facility,
9000 Blue Mound Road, Fort Worth, Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
[[Page 69830]]
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual employee and information supplied by other Federal
Investigative Agencies.
Exemptions claimed for the system:
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)(5).
TREASURY/BEP .045
System name:
Mail Order Sales Customer File--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW.,
Washington, DC 20228.
Categories of individuals covered by the system:
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.
Categories of records in the system:
Mail order customer's names, addresses, company names, credit card
numbers and expiration dates; history of customer sales; and inventory
data.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The purposes of the Mail Order Sales Customer Files are to: (1)
Maintain information regarding customers to inform them of BEP
products; (2) provide the capability to research in response to
customer inquiries; and (3) transmit credit card information to
financial institutions for approval or disapproval.
Routine uses of records maintained in the system including categories
of users and the purposes of such uses:
These records and information from these records may be used 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.
Disclosure to consumer reporting agencies:
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 (Pub. L. 97-365), to
consumer reporting agencies to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and in
electronic media.
Retrievability:
By customer name, order number or customer number.
Safeguards:
Access is limited to those authorized individuals who process
orders, research customer orders or maintain the computer system. In
addition, files and computer data are maintained in a secured area.
Access to electronic records is by password.
Retention and disposal:
Files on customers who have not purchased any products are kept for
two years, after which they are taken out of the active system and
placed in a separate storage file. This file generates two additional
annual mailings after which time they are purged from the system.
(Should a customer reorder after being placed on this file, they will
be assigned a new customer number and placed back in the main system).
System manager(s) and address:
Chief, Office of External Relations, Bureau of Engraving and
Printing, 14th and C Streets, SW., Room 515M, Washington, DC 20228.
Notification procedure:
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 inquire 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
and C Streets, SW., Washington, DC 20228.
Records access procedures:
See ``Notification procedure'' above.
Contesting records procedures:
See ``Notification procedure'' above.
Record source categories:
Customers, BEP employees, financial institutions.
Exemptions claimed for the system:
None.
TREASURY/BEP .046
System name:
Automated Mutilated Currency Tracking System--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SE,
Washington, DC 20228.
Categories of individuals covered by the system:
Individuals and financial institutions sending in mutilated paper
currency claims.
Categories of records in the system:
Mutilated currency claimants' names, addresses, company names,
amount of claims, amount paid, types of currency and condition of
currency.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The purpose of the Automated Mutilated Currency Tracking System is
to maintain historical information and to respond to claimants'
inquiries, e.g., non-receipt of reimbursement, status of case, etc.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the
[[Page 69831]]
record pertains; (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; (6)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and
records in electronic media.
Retrievability:
By claimant name, case number, address or registered mail number.
Safeguards:
Access is limited to those specific employees who process the
mutilated currency cases, prepare payment, research inquiries or
maintain the computer system. In addition, files and computer data are
maintained in a secured area. Access to electronic records is by
password.
Retention and disposal:
Active claimant files are maintained for two years. Inactive files
are maintained for seven years. After seven years, the files are purged
from the system and then destroyed. (Inactive files are those for which
final payments have been made.)
System manager(s) and address:
Chief, Office of Currency Standards, Bureau of Engraving and
Printing, 14th and C Streets, SW, Room 344A, Washington, DC 20228.
Notification procedure:
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 inquire 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
and C Streets, SW, Washington, DC 20228.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals, banking institutions and BEP employees.
Exemptions claimed for the system:
None.
BILLING CODE: 4810-32-P
Federal Law Enforcement Training Center
TREASURY/FLETC .001
System name:
FLETC Payroll/Personnel Records System-Treasury/FLETC.
System location:
FLETC, Office of Planning and Resources, Building 94, Glynco, GA
31524. Systems are also located at other FLETC facilities. (See FLETC
appendix A for addresses.)
Categories of individuals covered by the system:
Present and former employees.
Categories of records in the system:
All payroll records including Standard Forms 50 and 52, time and
attendance reports, leave status, health and life insurance requests,
payroll deduction requests, employee training, performance evaluations,
retirement records, medical/treatment/ injury records, and Equal
Employment Opportunity and personnel records consisting of records
other than those described and reported by the Office of Personnel
Management on behalf of all agencies.
Authority for maintenance of the system:
5 U.S.C. 301, 5 U.S.C. 4101 et seq; Executive Order No. 11348,
dated April 20, 1967, and Treasury Order 140-01, dated September 20,
1994.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure to the individual's parent agency and Federal regulatory
agencies on a ``need to know'' basis which include the Department of
Labor, Department of Health and Human Services, Merit Systems
Protection Board, Federal and Labor Relations Authority, Equal
Employment Opportunity Commission and the Office of Personnel
Management concerning pay, leave, benefits, retirement deductions, and
other information necessary for OPM to carry out its government-wide
personnel management functions. These records and information in the
records may be used to: (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 indication of a
violation or potential violation of civil or criminal law or
regulation; (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; (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 proceeding; (4) disclose information to foreign
governments in accordance with formal or informal international
agreements; (5) provide information to 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; (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; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Paper files, microfiche and various electronic mediums. FLETC
computers access the TIMIS payroll and personnel system.
Retrievability:
Social Security Number, name, position, and/or organizational
element.
Safeguards:
Physical security, personal access codes, and identification
confirmations are all used to prevent unauthorized disclosure of
records.
Retention and disposal:
Disposition as prescribed by General Records Schedules 1 and 2
issued by the National archives and Records
[[Page 69832]]
Administration. For more information contact: Records Management
Officer, FLETC, Building 94, Glynco, GA 31524.
System manager(s) and address:
Associate Director for Planning and Resources, Building 94, FLETC,
Glynco, GA 31524.
Notification procedure:
The individual must provide full name, Social Security Number, and
date of employment at the FLETC to the System Manager.
Record access procedures:
By written request to the System Manager.
Contesting record procedures:
See ``Record access'' above.
Record source categories:
The employee on whom the record is maintained, prior employers,
client agencies and the FLETC.
Exemptions claimed for the system:
None.
TREASURY/FLETC .002
System name:
FLETC Trainee Records-Treasury/FLETC.
System location:
FLETC, Office of Planning and Resources, Building 94, Glynco, GA
31524, and at the FLETC facility located in Artesia, NM. (See FLETC
appendix A for addresses.)
Categories of individuals covered by the system:
Any person who officially attends a FLETC-sponsored Training
Program, Symposium, or similar event.
Categories of records in the system:
Personal background information supplied by the trainee; grades and
performance or conduct evaluations, advisory letters to parent
agencies, class rosters/photographs and relevant health/physical
conditioning.
Authority for maintenance of the system:
Treasury Order 140-01, dated September 20, 1993, and Memorandum of
Understanding for the Sponsorship and Operation of the Consolidated
Federal Law Enforcement Training Center, dated September 30, 1970.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure upon request to the individual's parent agency, to a
prospective Federal employer, and to other government officials
involved in training or research. These records and information in the
records may be used to: (1) Disclose to the Office of Personnel
Management concerning pay, leave, benefits, retirement deductions, and
other information necessary for OPM to carry out its government-wide
personnel management functions; (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; (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; (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; (5) disclose information to foreign governments in
accordance with formal or informal international agreements; (6)
provide information to 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; (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; (9) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Magnetic media, and paper files.
Retrievability:
Name, class number, and Social Security Number.
Safeguards:
Access to these systems of records will be controlled by software,
hardware, and other physical security procedures. Software will be used
to ensure, in all technically feasible ways, that data cannot be made
available to unauthorized persons. User-identifiers and passwords will
be used where feasible to protect the data. Physical security will
protect all terminals, disks and tapes, and paper archives from access
by unauthorized persons. Offices will be locked except when authorized
persons are present. Warehoused paper records are secured, the building
alarmed, and access controlled by the Records Management Officer.
Retention and disposal:
All records are retained and disposed of in accordance with the
General Records Schedule issued by the National Archives and Records
Administration. For more information contact: Records Management
Officer, FLETC, Building 94, Glynco, GA 31524.
System manager(s) and address:
Associate Director for Planning and Resources, Building 94, FLETC,
Glynco, GA 31524.
Notification procedure:
The individual must provide full name, proof of identity, Social
Security Number, date of birth, parent agency, type of course and
approximate dates of attendance to the System Manager.
Record access procedures:
By formal letter to the System Manager.
Contesting records procedures:
See ``Record access procedures'' above.
Record source categories:
The trainee himself and members of the staff responsible for the
administrative processing and training of that individual.
Exemptions claimed for the system:
None.
TREASURY/FLETC .004
System name:
FLETC Administrative Records--Treasury/FLETC.
System location:
FLETC, Office of Planning and Resources, Building 94, Glynco, GA
31524, and at the FLETC facilities located in Artesia, NM. (See FLETC
appendix A for addresses.)
[[Page 69833]]
Categories of individuals covered by the system:
Students, current employees, past employees, employees of client
agencies, contractor employees, guests, and visiting personnel.
Categories of records in the system:
Access Control/Identification, Vehicle Registration and Driver
Violation, Equipment Control, Property Pass/Accountability, Lost and
Found, Key Assignment, Safety and Occupational Health Program, Security
Incident, Emergency Services, Administrative Inquiry, Instructor
Management records and Resource and Marketing Mailing Lists.
Authority for the maintenance of the system:
Treasury Order 140-01, dated September 20, 1994.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Disclosure to the contract employer, the individual's parent
agency, and Federal regulatory agencies on a ``need to know'' basis.
These records and information in the records may be used to: (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; (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; (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; (4) disclose
information to foreign governments in accordance with formal or
informal international agreements; (5) provide information to 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; (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; (8) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Various electronic Mediums and paper files.
Retrievability:
Name, Social Security Number, Employer, and/or Organizational
Element.
Safeguards:
Physical security, personnel screening and computer passwords are
all used to prevent unauthorized disclosure of records.
Retention and disposal:
Retained at the FLETC, destroyed after 40 years.
System manager(s) and address:
Associate Director for Planning and Resources, Building 94, FLETC,
Glynco, GA 31524.
Notification procedure:
The individual must provide full name, proof of identity, social
security number, and dates of duty at the Center to the System Manager.
Record access procedures:
By written request to the System Manager.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The individual on whom the record is maintained, client agencies,
employers, and the FLETC.
Exemptions claimed for the system:
None.
FLETC Appendix A
Federal Law Enforcement Training Center, Glynco, GA 31524
Federal Law Enforcement Training Center, Washington Office, 650
Massachusetts Avenue, NW, Washington, DC 20226
Federal Law Enforcement Training Center, Artesia Facility, 1300 W.
Richey Avenue, Artesia, NM 88210.
BILLING CODE: 4810-35-P
Financial Management Service
TREASURY/FMS .001
System name:
Administrative Records--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury,
Prince George Metro Center II, 3700 East-West Highway, Room 144,
Hyattsville, MD 20782. Also, please see Appendix I.
Categories of individuals covered by the system:
Financial Management Service personnel.
Categories of records in the system:
(1) Motor Vehicle Accident Reports. (2) Parking Permits. (3)
Distribution List of individuals requesting various Treasury
publications. (4) Treasury Credentials.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to GSA for drivers permits, parking permits, accident reports,
and credentials; (2) disclose to GPO for servicing public on Treasury
publications.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Hard copy and microcomputer.
Retrievability:
By name and by Treasury publication.
Safeguards:
Locked containers. Administrative Procedure--names are not given to
anyone except those who control the listing.
Retention and disposal:
(1) Distribution List--destroy one year after declared obsolete.
(2) Motor Vehicle Accident Reports--six years after closure of the
case. (3) Parking permits and Treasury Credentials--destroy 3 months
after return to issuing officer.
System manager(s) and address:
Director, Facilities Management Division, Financial Management
Service, U.S. Department of the Treasury, Prince George Metro Center
II, 3700 East-West Highway, Room 144, Hyattsville, MD 20782.
[[Page 69834]]
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be sent to the
Disclosure Officer, Financial Management Service, U.S. Department of
the Treasury, Liberty Center Building, 401 14th St., 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 Systems Manager will advise as to
whether the Service maintains the record requested by the individual.
Record access procedures:
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.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Financial Management Service personnel.
Exemptions claimed for the system:
None.
Appendix I to FMS .001
Motor Vehicle Accident Reports
Prince George Metro Center II, 3700 East-West Highway, Room 127,
Hyattsville, MD 20782.
Parking Permits
1. Prince George Metro Center II, 3700 East-West Highway, Room 127,
Hyattsville, MD 20782
2. Liberty Center Building, 401 14th Street, SW, Room 118,
Washington, DC 20227.
Distribution List
Prince George Metro Center II, 3700 East-West Highway, Hyattsville,
MD 20782.
Treasury Credentials
Prince George Metro Center II, 3700 East-West Highway, Room 158-B,
Hyattsville, MD 20782.
TREASURY/FMS .002
System name:
Payment issue records for regular recurring benefit payments--
Treasury/Financial Management Service.
System location:
The Financial Management Service, U.S. Department of the Treasury,
Washington, DC 20227. Records maintained at Financial Centers in six
regions Austin, TX; Birmingham, AL; Chicago, IL; Kansas City, MO;
Philadelphia, PA; and San Francisco, CA.
Categories of individuals covered by the system:
(1) Beneficiaries of Title II of the Social Security Act.
(2) Beneficiaries of Title XVI of the Social Security Act.
(3) Beneficiaries of the Civil Service Retirement System.
(4) Beneficiaries of the Railroad Retirement System.
(5) Beneficiaries of the Department of Veterans Affairs.
(6) Holders of Series H and HH Bonds (interest payment).
Categories of records in the system:
Payment issue records for regular recurring benefit payments
showing name, check number and symbol, or other identification,
address, account number, payment amount, and date of issuance for each
of the categories of individuals listed above.
Authority for maintenance of the system:
5 U.S.C. 301; Executive Order 6166, dated June 10, 1933.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to banking industry for payment verification; (2) disclose to
Federal investigative agencies, Departments and agencies for whom
payments are made, and payees; (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; (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 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; (5) 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; (6) disclose information to foreign governments in
accordance with formal or informal international agreements; (7)
provide information to 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; (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; (10) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (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; (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; and (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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Microfilm-magnetic tape for categories of individuals 1 through 6.
Retrievability:
By account number.
Safeguards:
Computer password system, card-key entry system, limited to
authorized personnel.
Retention and disposal:
Indefinitely.
[[Page 69835]]
System manager(s) and address:
Chief, Disbursing Officer, Financial Management Service, 401 14th
Street, SW, Washington, DC 20227.
Notification procedure:
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 Systems Manager will advise
as to whether the Service maintains the record requested by the
individual.
Record access procedures:
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.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Voucher certifications by Departments and agencies for whom
payments are made.
Exemptions claimed for the system:
None.
TREASURY/FMS .003
System name:
Claims and Inquiry Records on Treasury Checks, and International
Claimants--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury,
Prince George Metro Center II, 3700 East-West Highway, Room 727D,
Hyattsville, MD 20782.
Categories of individuals covered by the system:
(1) Payees and holders of Treasury checks, (2) Claimants awarded
benefits under the War Claims Act and the International Claims
Settlement Act of 1949.
Categories of records in the system:
(1) Treasury check claim file: Treasury check, claim of payee with
name and address, settlement action taken. (2) Awards for claims for
losses sustained by individuals.
Authority for maintenance of the system:
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses.
(1) Information is routinely disclosed to endorsers concerning
checks for which there is liability, Federal agencies, State and local
law enforcement agencies, General Accounting Office, Congressional
offices and media assistance offices on behalf of payee claimants. (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: (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; (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; (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; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to 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; (7) to provide information to unions
recognized as exclusive bargaining representatives under the Civil
Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, and (8) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
(1) Claim file folders, card/paper checks, microfilm, and magnetic
media. (2) Correspondence files. (3) Claim file folders.
Retrievability:
(1) Name of payee and check number and symbol. (2) Alpha cross-
reference to case number. (3) Name of claimant or alpha reference to
claim number.
Safeguards:
(1) Secured building. (2) Secured files in secured building.
Retention and disposal:
(1) Claim files and checks, six years seven months; Microfilm,
indefinitely. (2) Correspondence files--seven years. (3) Claim file
folders--indefinitely.
System manager(s) and address:
Category 1: Director, Financial Processing Division, Prince George
Metro Center II, 3700 East-West Highway, Room 727D, Hyattsville, MD
20782. Category 2: Director, Funds Management Division, Prince George
Metro Center II, 3700 East-West Highway, Room 620D, Hyattsville, MD
20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th St., 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 Systems Manager will advise
as to whether the Service maintains the record requested by the
individual.
Record access procedures:
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.
All individuals are urged to examine the rules of the
[[Page 69836]]
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.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Individual payees of Treasury checks, endorsers of Treasury
checks, investigative agencies, contesting claimants. (2) Awards
certified to Treasury for payment by Foreign Claims Settlement
Commission.
Exemptions claimed for the system:
None.
TREASURY/FMS .005
System name:
FMS Personnel Records--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury, 401
14th St., SW, Washington, DC 20227; Financial Management Service, U.S.
Department of the Treasury, Prince George Metro Center II, 3700 East-
West Highway, Hyattsville, MD 20782.
Categories of individuals covered by the system:
All Employees of Service (Separated employees--in certain cases)
and applicants.
Categories of records in the system:
(1) Locator Cards. (2) Incentive Awards Record. (3) Official
Personnel Folder. (4) Personnel Roster. (5) Logs of SF-52's, (6)
Correspondence File. (7) Position Listings. (8) Position Descriptions
with Evaluation Statements. (9) Personnel Management Evaluation Survey
Reports. (10) Request for Certification File. (11) Merit Promotion
File. (12) Exit Interview File. (13) Performance File. (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. (15)
Training Course Nominations. (16) Evaluation of Training Program. (17)
Tuition Assistance Files. (18) Senior Executive Service Development
File. (19) Management Development File.
Authority for maintenance of the system:
Executive Order 10561, dated September 13, 1954, Federal Personnel
Manual, and Title 5 of U.S.C. Code.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (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; (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; (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; (4) disclose
information to foreign governments in accordance with formal or
informal international agreements; (5) provide information to 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; (7) To provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform Act
of 1978, 5 U.S.C. 7111 and 7114, and (8) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Hard copy and magnetic storage.
Retrievability:
Alphabetically by name; also in some instances by organization,
then Social Security number.
Safeguards:
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.
Retention and disposal:
Records are maintained and disposed of in accordance with General
Records Schedules issued by the National Archives and Records
Administration.
System manager(s) and address:
Director, Personnel Management Division, Financial Management
Service, U.S. Department of the Treasury, Prince George Metro Center
II, 3700 East-West Highway, Room 115-F, Hyattsville, MD 20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th St., 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 Systems Manager will advise
as to whether the Service maintains the record requested by the
individual.
Record access procedures:
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.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Applicant Personnel Action Forms (SF-50), SF-171 (Completed by
applicant), Payroll Actions References, Educational Institutions, etc.
Exemptions claimed for the system:
None.
TREASURY/FMS .007
System name:
Payroll and Pay Administration--Treasury/Financial Management
Service.
System location:
Financial Management Service, U.S. Department of the Treasury,
Prince George Metro Center II, 3700 East-West Highway, Room 133 and
101A, Hyattsville, MD 20782; and Room 120,
[[Page 69837]]
Liberty Center Building, Washington, DC 20227.
Categories of individuals covered by the system:
All Employees of the Service and Separated Employees.
Categories of records in the system:
(1) Official Payroll Folder (a) Levy and Garnishment Records. (b)
SF-1192--Savings Bond Authorization. (c) SF-1199A--Allotment of Pay to
Saving 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.
Authority for maintenance of the system:
Title 5--Pay, Leave and Allowances.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure permitted to Federal Agencies and to State and Local
Agencies for tax purposes.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Hard copy, microfiche, and magnetic media.
Retrievability:
By Social Security number.
Safeguards:
Secured building, secured room and locked cabinets.
Retention and disposal:
Records are stored, maintained and disposed of in accordance with
General Records Schedules issued by the National Archives and Records
Administration.
System manager(s) and address:
Director, Personnel Management Division, Financial Management
Service, Prince George Metro Center II, 3700 East-West Highway, Room
115-F, Hyattsville, MD 20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, 401 14th St., 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 Systems Manager will advise as to whether the Service
maintains the record requested by the individual.
Record access procedures:
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.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
From individual Service employees.
Exemptions claimed for the system:
None.
TREASURY/FMS .008
System name:
Personnel Security Records--Treasury/Financial Management Service.
SYSTEM LOCATION:
Financial Management Service, U.S. Department of the Treasury,
Prince George Metro Center II, 3700 East-West Highway, Room 158-B,
Hyattsville, MD 20782.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Financial Management Service Employees, contractor employees, and
applicants for position in the Service.
CATEGORIES OF RECORDS IN THE SYSTEM:
Results of investigations, national agency checks and written
inquiries, and other limited investigations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Title 5, U.S.C., Chapter 73, Executive Order 10450, as amended, and
Treasury Order 102-3.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The records are reviewed for the purpose of determining the
suitability of Service employees, contractor employees, and applicants
and granting security clearances for employees in sensitive positions.
Users: Federal Agencies, Federal, State and Local Law Enforcement
Agencies; and credit bureaus. These records and information in the
records may be used to: (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; (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; (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; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to 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; (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, and (8) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders and computers.
RETRIEVABILITY:
Filed alphabetically by name and Social Security Number.
[[Page 69838]]
SAFEGUARDS:
Stored in a safe cabinet secured with a combination lock and/or
magnetic media. Access to the records is restricted to key personnel
who have been granted clearances to occupy critical-sensitive
positions.
RETENTION AND DISPOSAL:
The records on employees are retained by the Service during their
employment. The records on applicants not selected and separated
employees are destroyed, sent to the Federal Records Center, or
returned to the investigating agency.
SYSTEM MANAGER(s) AND ADDRESS:
Security Officer, Financial Management Service, Prince George Metro
Center II, 3700 East-West Highway, Room 158-B, Hyattsville, MD 20782.
NOTIFICATION PROCEDURE:
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 Systems Manager will advise as to whether the Service
maintains the record.
RECORD ACCESS PROCEDURES:
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.
CONTESTING RECORD PROCEDURES:
See ``Records access procedures'' above.
RECORD SOURCE CATEGORIES:
Sources are applicants, employers, former employers, contractor
employers, references, fellow workers, neighbors, educational
authorities, military records, police and criminal records, credit
records and others as required.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/FMS .010
SYSTEM NAME:
Records of Accountable Officers' authority with Treasury--Treasury/
Financial Management Service.
SYSTEM LOCATION:
Financial Management Service, U.S. Department of the Treasury,
Liberty Center Building, 401 14th Street, SW, Washington, DC 20227.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Regional Directors. (2) Certifying Officers. (3) Designated
Agents.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records are maintained on the above listed accountable officers
showing the designation or removal of the officer to act in the
specified capacity pursuant to a proper authorization.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; Executive Order 6166, dated June 10, 1933.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in the records may be used to: (1)
Disclose to Banking institutions, Federal Reserve Banks, and Government
agencies for verification of information on authority of accountable
officers to determine propriety of actions taken by such individuals;
(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; (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; (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; (5) disclose
information to foreign governments in accordance with formal or
informal international agreements; (6) provide information to 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; (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; and (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Card files; paper files.
RETRIEVABILITY:
By name.
SAFEGUARDS:
Regional Directors' files are locked.
RETENTION AND DISPOSAL:
Hard-copy records are maintained and disposed of in accordance with
General Records Schedules issued by the National Archives and Records
Administration.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Disbursing Officer, Financial Management Service, U.S.
Department of the Treasury, 401 14th Street, SW, Room 343, Washington,
DC 20227.
Director, Austin Regional Financial Center, Financial Management
Service, Department of the Treasury, 1619 E. Woodward Street, Austin,
TX 78741
Director, Birmingham Regional Financial Center, Financial Management
Service, Department of the Treasury, 190 Vulcan Road, Birmingham, AL
35109
Director, Chicago Regional Financial Center, Financial Management
Service, Federal Office Building, 536 S. Clark Street, Chicago, IL
60605
Director, Kansas City Regional Financial Center, Financial Management
Service, Department of the Treasury, 2100 W. 36th Avenue, Kansas City,
KS 66103
Director, Philadelphia Regional Financial Center, Financial Management
Service, 1300 Townsend Road, Philadelphia, PA 19154
Director, San Francisco Regional Financial Center, 390 Main Street, San
Francisco, CA 94104.
NOTIFICATION PROCEDURE:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th St., SW,
Washington, DC 20227. All individuals
[[Page 69839]]
making inquiries should provide with their request as much descriptive
matter as is possible to identify the particular record desired. The
Systems Manager will advise as to whether the Service maintains the
record requested by the individual.
RECORD ACCESS PROCEDURES:
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.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Government Departments and Agencies requiring services of Treasury
Department for issuance and payment of Treasury checks.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/FMS .012
SYSTEM NAME:
Pre-complaint Counseling and Complaint Activities--Treasury/
Financial Management Service.
SYSTEM LOCATION:
Financial Management Service, U.S. Treasury Department, Prince
George Metro Center II, 3700 East-West Highway, Room 132, Hyattsville,
MD 20782.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees seeking services of EEO Counselors.
CATEGORIES OF RECORDS IN THE SYSTEM:
Monthly pre-complaint activity reports from seven Financial Centers
and Headquarters.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 7154; 42 U.S.C. 200e-16; Executive Order 11478; and 5 CFR
part 713.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Used to keep records on EEO Counseling activities for annual
submission to Treasury.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File cabinet.
RETRIEVABILITY:
Filed by station and date of receipt.
SAFEGUARDS:
Staff supervision is maintained during the day. Records are kept
locked in the files.
RETENTION AND DISPOSAL:
Reports destroyed at the end of four years.
SYSTEM MANAGER(S) AND ADDRESS:
EEO Officer, Financial Management Service, Prince George Metro
Center II, 3700 East-West Highway, Room 132, Hyattsville, MD 20782.
NOTIFICATION PROCEDURE:
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 Systems Manager will advise as to whether the Service
maintains the record requested by the individual.
RECORD ACCESS PROCEDURES:
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.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Monthly submissions by Financial Centers and Headquarters.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/FMS .013
SYSTEM NAME:
Gifts to the United States--Treasury/Financial Management Service.
SYSTEM LOCATION:
Financial Management Service, U.S. Department of the Treasury,
Prince George Metro Center II, 3700 East-West Highway, Hyattsville, MD
20782.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Donors of intervivos and testamentary gifts to the United States.
CATEGORIES OF RECORDS IN THE SYSTEM:
Correspondence, copies of wills and court proceedings, and other
material related to gifts to the United States.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 3113.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosures are not made outside of the Department.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Filing cabinets.
RETRIEVABILITY:
Name of donor.
SAFEGUARDS:
Access is limited to persons on official business.
RETENTION AND DISPOSAL:
Records are maintained for 10 years.
SYSTEM MANAGER(S) AND ADDRESS:
Financial Information Management, Directorate, Financial Management
Service, Prince George Metro Center II, 3700 East-West Highway,
Hyattsville, MD 20782.
NOTIFICATION PROCEDURE:
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 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).
RECORD ACCESS PROCEDURES:
Disclosure Officer, Financial Management Service, U.S. Department
of the Treasury, Liberty Center Building, 401 14th Street, SW.,
Washington, DC 20227.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Individuals, executors, administrators and other involved persons.
[[Page 69840]]
Exemptions claimed for the system:
None.
TREASURY/FMS .014
SYSTEM NAME:
Debt Collection Operations System--Treasury/Financial Management
Service.
SYSTEM LOCATION:
The Debt Management Services Staff, Financial Management Service,
U.S. Department of the Treasury, 401 14th Street, SW., Washington, DC
20227.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Records are maintained on individuals and entities that are
financially indebted to the U.S. Government through one or more of its
departments and agencies and are the result of participation in a
Federal direct or guaranteed loan program, the assessment of a fine,
fee, or penalty, an overpayment or advance, or other extensions of
credit such as would result from sales of goods or services. Records
are also maintained on individuals who are indebted to States,
Territories and Commonwealths of the United States, and the District of
Columbia, including records on individuals who owe past due support
which is being enforced by a State, Territory, Commonwealth or the
District of Columbia.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information varies, depending on the individual debtor, the type of
indebtedness and the governmental entity to which monies are owed. The
system of records contains information pertaining to: (1) Individuals
and commercial organizations, such as name, Taxpayer Identification
Number (i.e., social security number, or employer identification
number), work and home address, and work and home phone numbers; (2)
the indebtedness, such as the original amount of the debt, the date the
debt originated, the amount of the delinquency/default, the date of
delinquency/default, basis of the debt, amounts accrued for interest,
penalties, and administrative costs, and payments on the account; (3)
actions taken to enforce recovery of the debt, such as copies of demand
letters/invoices, and documents required for the referral of accounts
to collection agencies, or for litigation; and (4) referring or
governmental entity, such as name, phone number, and address of the
agency contact.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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), and
the Deficit Reduction Act of 1984 (Pub. L. 98-369, as amended); the
Debt Collection Improvement Act of 1996 (Pub. L. 104-134, Section
31001); 31 U.S.C. 37, Subchapter I (General) and Subchapter II (Claims
of the U.S. Government).
PURPOSE(S):
The purpose of this system is to maintain records of individuals
and entities that are: (1) Indebted to the Financial Management Service
(FMS); (2) indebted to the various Federal Government departments and
agencies and whose accounts are being serviced or collected by FMS; and
(3) indebted to States, Territories and Commonwealths of the United
States, and the District of Columbia (including past due child support
debts being enforced by the States, Territories, Commonwealths or the
District of Columbia). The records ensure that: Appropriate collection
action on debtors' accounts is taken and properly tracked, monies
collected and credited, and accounts are returned to the appropriate
client at the time the account is collected or closed.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to
disclose information to: (1) Appropriate Federal, state, local or
foreign agencies responsible for investigating or implementing, a
statute, rule, regulation, order, or license; (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 subpoena, or in connection with criminal law proceedings; (3) a
congressional office in response to an inquiry made at the request of
the individual or entity to whom the record pertains; (4) the Internal
Revenue Service for the purpose of: Effecting and administrative offset
against the debtor's tax refund to recover a delinquent debt owed to
the U.S. Government by the debtor; or, obtaining the mailing address of
a taxpayer/debtor in order to locate the taxpayer/debtor in accordance
with 31 U.S.C. 3711, 3717, and 3718 and 26 U.S.C. 6103(m)(2); (5) the
Department of Justice for the purpose of litigation to enforce
collection of a delinquent debt or to obtain the Department of
Justice's concurrence in a decision to compromise, suspend, or
terminate collection action on a debt with a principle amount in excess
of $100,000 or such higher amount as the Attorney General may, from
time to time, prescribe in accordance with 31 U.S.C. 3711(a); (6) the
Department of Defense or 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, so as
to identify and locate individuals receiving Federal payments
(including, but not limited to, salaries, wages, and benefits) for the
purpose of requesting voluntary repayment or implementing Federal
employee salary offset or administrative offset procedures; (7) the
Department of Defense or U.S. Postal Service or other Federal agency
for the purpose of effecting an administrative offset against Federal
payments certified to be paid to the debtor to recover a delinquent
debt owed by the debtor; (8) any creditor Federal agency seeking
assistance for the purpose of seeking voluntary repayment of a debt or
implementing Federal employee salary offset or administrative offset in
the collection of unpaid financial obligations; (9) Any Federal, State,
or local agency, or to the public for the purpose of collecting on a
delinquent debt through the use of debt collection tools authorized
under the Debt Collection Improvement Act of 1996 such as referring the
debt to debt collection centers, administrative wage garnishment,
public dissemination of debtor information, or selling the debt; or any
other legitimate debt collection purpose; (10) Any Federal, State or
local agency for the purpose of accounting on or reporting the status
of debts for which the Federal, State or local agency has a financial
or other legitimate need for the information in the performance of
official duties; (11) Any Federal agency or its agents for the purpose
of denying Federal financial assistance in the form of a loan or loan
guaranty to an individual delinquent on a Federal claim, or delinquent
on a child support claim referred to FMS for administrative offset; and
(12) Any State, Territory or Commonwealth of the United States, or the
District of Columbia to collect a claim owed to the Federal Government
or to assist in the collection of a State, Commonwealth, Territory or
District of Columbia claim pursuant to a reciprocal agreement between
FMS and the State, Territory, Commonwealth or the District of Columbia.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
Debt information concerning a government claim against a debtor is
also furnished in accordance with 5 U.S.C. 552a(b)(12) and section 3 of
the
[[Page 69841]]
Debt Collection Act of 1982, as amended (Pub. L. 97-365), to consumer
reporting agencies, as defined by the Fair Credit Reporting Act, 5
U.S.C. 1681(f), to encourage repayment of an overdue debt.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained on magnetic disc, tape, and hard copy.
RETRIEVABILITY:
Records are retrieved by name or taxpayer identification number
(i.e., social security number or employer identification number).
SAFEGUARDS:
All officials access the system of records will do so 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. This data system has
an internal mechanism to restrict access to authorized officials. Hard-
copy records are held in steel cabinets, with access limited by visual
controls and/or lock system. 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.
RETENTION AND DISPOSAL:
Hard-copy records are returned to the agency which had contracted
for service or collection with FMS at the time an individual account is
resolved through collection, compromise, or write-off/close out or at
the agency's request. Summary information, such as results of
collection action undertaken, for the purpose of producing management
reports is retained for a period of five (5) years.
SYSTEM MANAGER(s) AND ADDRESS:
System Manager, Debt Collection Operations Staff, Financial
Management Service, 401 14th Street, SW, Washington, DC 20227.
NOTIFICATION PROCEDURE:
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 manager will advise
as to whether FMS maintains the records requested by the individual.
RECORD ACCESS PROCEDURES:
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, subpart C, appendix G, concerning requirements of this Department
with respect to the Privacy Act of 1974.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information from this system is obtained from the individual or
entity, creditor agencies, Federal employing agency, collection
agencies, credit bureaus, and Federal, state or local agencies
furnishing identifying information and/or address of debtor
information.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/FMS .016
SYSTEM NAME:
Payment Records for Other Than Regular Recurring Benefit Payments--
Treasury/Financial Management Service.
SYSTEM LOCATION:
The Financial Management Service, U.S. Department of the Treasury,
Washington, DC 20227. Records maintained at Financial Centers in six
regions: Austin, TX; Birmingham, AL; Chicago, IL; Kansas City, Mo;
Philadelphia, PA; and San Francisco, CA.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who are the intended recipients or recipients of payments
from the United States Government, and for whom vouchers have been
certified for payment by departments or agencies and sent to FMS for
disbursement.
CATEGORIES OF RECORDS IN THE SYSTEM:
Payment records showing name, social security or employer
identification number or other agency identification number, address,
payment amount, date of issuance, check number and symbol or other
payment identification number, routing number of the payee's financial
institution and the payee's account number at the financial
institution, vendor contract and/or purchase order, and the name and
location number of the certifying department or agency.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; Executive Order 6166, dated June 10, 1933.
PURPOSE(s):
To facilitate disbursement of Federal monies to individuals by
check or electronically, authorized under various programs of the
Federal Government.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to: (1)
Disclose to the banking industry for payment verification; (2) disclose
to Federal agencies, departments and agencies for whom payments are
made, and payees; (3) 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 violation or potential
violation of civil or criminal law or regulation; (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 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; (5) 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;
(6) disclose information to foreign governments in accordance with
formal or informal international agreements; (7) provide information to
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; (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; (10) provide information to third parties
during the
[[Page 69842]]
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (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; (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, Territory, Commonwealth or the District of Columbia; and
(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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Storage is on magnetic media and hard copy.
RETRIEVABILITY:
Records are retrieved by name, employer identification number (EIN)
and social security number.
SAFEGUARDS:
These records are available only to those persons whose official
duties require such access. Records are kept in limited access areas
during duty hours and in locked cabinets at all other times. Records
are password protected and are maintained in a building subject to 24-
hour security.
RETENTION AND DISPOSAL:
Records are retained for three years. Records are disposed of in
accordance with Treasury Directive 25-02, Records Disposition
Management Program.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Disbursing Officer, Financial Management Service, 401 14th
Street, SW, Washington, DC 20227.
NOTIFICATION PROCEDURE:
Inquiries under the Privacy Act of 1974 shall be sent to the
Disclosure Officer at 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.
RECORD ACCESS PROCEDURES:
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.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
RECORD SOURCE CATEGORIES:
Information is obtained from vouchers, payment tapes and electronic
data transmissions via the Electronic Certification System by
departments and agencies for whom payments are made.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
BILLING CODE: 4830-01-P
Internal Revenue Service
TREASURY/IRS 00.001
SYSTEM NAME:
Correspondence Files and Correspondence Control Files--Treasury/
IRS.
SYSTEM LOCATION:
Various offices of the Internal Revenue Service maintain files of
correspondence received, including the Eastern Distribution Center,
4300 Carolina Avenue, Richmond, VA 23222; the Central Area Distribution
Center, 2402 East Empire, Bloomington, IL 61799; the Western Area
Distribution Center, 3041 Sunrise Boulevard, Rancho Cordova, CA 95742;
and the Tennessee Computing Center, PO Box 30309, Airport Mail
Facility, Stop 76, Memphis, TN 38130. (See IRS appendix A for addresses
of other offices).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Initiators of the correspondence. (2) Persons upon whose behalf
the correspondence was initiated. (3) Subjects of the correspondence.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Correspondence received. (2) Responses to correspondence. (3)
Associated records. Special Categories of correspondence may be
included in other systems of records described by specific notices.
Files are maintained in connection with a variety of correspondence
received and the uses vary widely in accordance with the content of the
correspondence. Correspondence may include letters, telegrams,
memoranda of telephone calls, and other forms of communication.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
Often taxpayers choose to communicate with the IRS through
correspondence. The ability to access the information when the need
arises is paramount to our success as an agency. This system will allow
the IRS to quickly access correspondence received from the taxpayers
and their representatives and provide a chronological record of what
has transpired concerning tax matters.
ROUTINE USES OF RECORDS MAINTAINED BY THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice. Disclosure may be made during judicial processes; (2)
Appropriate Federal, State, local, or foreign agencies responsible for
enforcing or implementing a statute, rule, regulation, order or
license; (3) disclose information to a Federal, State, or local agency,
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; (4) disclose relevant, non-privileged information to a court,
magistrate, or administrative tribunal, including the presentation of
evidence, 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) provide
information to
[[Page 69843]]
foreign governments in accordance with formal or informal international
agreements; (6) provide information to 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, concerning this
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, microfiche, and magnetic media.
RETRIEVABILITY:
Controlled items are generally retrievable by name, but it depends
upon the controls established locally.
SAFEGUARDS:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1 (16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with the Records Disposition
Handbooks, IRM 1(15)59.12 through IRM 1(15)59.32. Generally,
disposition varies in accordance with the nature of the correspondence
file.
SYSTEM MANAGER(S) AND ADDRESS:
Head of the Office maintaining the file. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 office believed to
have received the correspondence. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information supplied by the initiators of the correspondence and
information secured internally from other systems of records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 00.002
SYSTEM NAME:
Correspondence Files/Inquiries About Enforcement Activities--
Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center, Martinsburg
Computing Center. (See IRS appendix A for addresses.) Other offices of
the Internal Revenue Service maintain files of correspondence received,
including the Eastern Distribution Center, 4300 Carolina Avenue,
Richmond, VA 23222; the Central Area Distribution Center, 2402 East
Empire, Bloomington, IL 61799; the Western Area Distribution Center,
3041 Sunrise Boulevard, Rancho Cordova, CA 95742; and the Tennessee
Computing Center, PO Box 30309, Airport Mail Facility, Stop 76,
Memphis, TN 38130.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Initiators of correspondence. (2) Persons upon whose behalf the
correspondence was initiated. (3) Persons who are subjects of the
correspondence. Includes individuals for whom tax liabilities exist,
individuals who have made a complaint or inquiry relative to an
Internal Revenue tax matter, or individuals for whom a third party is
interceding relative to an Internal Revenue tax matter.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number (if
applicable), information about tax matters (if applicable),
chronological investigative history. Other information relative to the
conduct of the case and/or the taxpayer's compliance history (if
applicable). Correspondence may include letters, telegrams, memoranda
of telephone calls, and other forms of communication.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
Often taxpayers choose to communicate with the IRS through
correspondence. The ability to access the information when the need
arises is paramount to our success as an agency. This system will allow
the IRS to quickly access correspondence received from the taxpayers
and their representatives and provide a chronological record of what
has transpired concerning tax matters.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) 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; (3) disclose information to a Federal,
state, or local agency, 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; (4) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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) provide information to
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
concerning this agency's functions relating to civil and criminal
proceedings; (7) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (8) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (9) provide information to other agencies to the extent
provided by law or regulation and as necessary to
[[Page 69844]]
report apparent violation of law to appropriate law enforcement
agencies; (10) provide information to states, the District of Columbia,
the Commonwealth of Puerto Rico, or possessions of the United States,
to assist in the administration of tax laws.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Controlled items are generally retrievable by name, but it depends
upon the controls established locally.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with the Records Disposition
Handbooks, IRM 1(15)59.12 through IRM 1(15)59.32. Generally,
disposition varies in accordance with the nature of the correspondence
file.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioners, Regional Commissioners, District
Directors, Internal Revenue Service Center Directors. (See IRS appendix
A for addresses.)
NOTIFICATION PROCEDURE:
This system is exempt from the notification provisions of the
Privacy Act.
RECORD ACCESS PROCEDURES:
This system is exempt from the Access and Contest provisions of the
Privacy Act.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 00.003
SYSTEM NAME:
Customer Feedback System--Treasury/IRS 00.003.
SYSTEM LOCATION:
Internal Revenue Service Centers, National Office, Regional and
District Offices, including National Office Chief Counsel Offices,
Regional Counsel Offices, and District Counsel Offices, the Martinsburg
Computing Center, the Detroit Computing Center, and the Tennessee
Computing Center, and Area Distribution Centers. Area Distribution
Center addresses are as follows: The Eastern Distribution Center, 4300
Carolina Avenue, Richmond, VA 23222, the Central Area Distribution
Center, 2402 East Empire, Bloomington, IL 61799, and the Western Area
Distribution Center, 3041 Sunrise Boulevard, Rancho Cordova, CA 95742.
(See IRS appendix A for other addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system consists of records relating to (1) individuals
(customers) who make complaints and compliments about Internal Revenue
Service employees; and, (2) Internal Revenue Service employees who have
had complaints and compliments made about them.
CATEGORIES OF RECORDS IN THE SYSTEM:
A variety of documents and/or reports reflecting customer feedback
on current and former IRS employees and the resolution of that
feedback.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Sec. 1211 of Pub. L. 104-168, TBOR 2, Reports on Misconduct of IRS
Employees.
PURPOSE(S):
This system will capture customer feedback, including complaints
and compliments. The capture of this data will provide a means to
analyze trends to identify and take corrective action on systemic
problems. The data will not be used to affect any rights or benefits of
individuals in the records system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in the records may be disclosed to
the tax writing Congressional committees. The purpose is to fulfill the
requirements of the Taxpayer Bill of Rights 2 (TBOR 2).
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper files and magnetic media.
RETRIEVABILITY:
Documents are stored and retrieved by control numbers and by
taxpayer name, taxpayer identification number or person to contact. The
control number can be determined by reference to the entries for the
individual to whom they relate.
SAFEGUARDS:
Access is limited to authorized personnel who have a direct need to
know. Access controls will not be less than those provided for by the
Manager's Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM (2)(10)00. This includes the use of
passwords and access codes.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
206 for Service Centers, IRM 1(15)59.26 and Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Deputy Commissioner.
Officials maintaining the system--Directors of Internal Revenue Service
Centers; National, Regional, District Office, Regional Counsels,
District Counsels, Associate Chief Counsels, and Area Distribution
Center Directors. (See System Location above for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for the purpose of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
See Records access procedures above.
RECORD SOURCE CATEGORIES:
Information originates from IRS employees and customer feedback.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has 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)(4).
TREASURY/IRS 10.001
SYSTEM NAME:
Biographical Files, Public Affairs--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers. (See IRS appendix A for addresses.)
[[Page 69845]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
IRS employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records are biographical data and photographs of key IRS employees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to
provide information to a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains.
Information contained in this system may be included in news releases
issued to the media and the public.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper files or magnetic media.
RETRIEVABILITY:
By name.
SAFEGUARDS:
Office doors locked at night. Access controls will not be less than
those provided for by the Manager's Security Handbook IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant to the Commissioner (Public Affairs), National Office;
Regional, District, Internal Revenue Service Centers Public Affairs
Officers. (see IRS appendix A for addresses).
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 Assistant to the
Commissioner (Public Affairs), IRS, Washington, DC 20224, for National
Office file. See appendix A for appropriate addresses for regional and
district office or service center files.
CONTESTING RECORD PROCEDURES:
See Record access procedures above.
RECORD SOURCE CATEGORIES:
Information is supplied by the IRS official on an IRS biographical
data form.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 10.004
SYSTEM NAME:
Subject Files, Public Affairs--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers. (see IRS appendix A for addresses).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
In general, records are maintained on individuals whose names have
been mentioned in the press in connection with their relationship with
IRS.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records include correspondence, newspaper clippings, inter-
office memoranda and similar documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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 provided in response to inquiries from the media and
the public.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper files or magnetic media.
RETRIEVABILITY:
Alphabetically by subject.
SAFEGUARDS:
Office doors locked at night. Access controls will not be less than
those provided for by the Automated Information System Security
Handbook, IRM 2(10)00, and the Manager's Security Handbook, IRM
1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant to the Commissioner (Public Affairs), National Office;
Regional, District, Internal Revenue Service Center, Public Affairs
Officers (see IRS appendix A for addresses).
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 system manager in the
office where the records are located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Records generally are clippings from newspapers, magazines, and
similar sources, internal documents and memoranda.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 21.001
SYSTEM NAME:
Tax Administration Resources File, Office of Tax Administration
Advisory Services--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW, Fourth Floor, Washington, DC 20024.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
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.
CATEGORIES OF RECORDS IN THE SYSTEM:
Applicant roster database, locator cards and lists with names,
addresses, telephone numbers, and organizational affiliations of
officials engaged in tax administration; work assignment or
[[Page 69846]]
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
The purpose is to identify IRS employees who have expressed an
interest in overseas assignments, and to further identify historical
and current activities in given countries.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Maintained for use by Office management officials as a reference in
obtaining and presenting information related to tax administration, and
for administrative selection and processing of overseas and domestic
assignments. The records and information in these 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) disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice. Disclosure may
be made during judicial processes.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By individual name.
SAFEGUARDS:
Access limited to authorized office personnel. File folders kept in
locked file or locked room. Access controls will not be less than those
provided for by the the Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
disposed of when they are no longer needed for official use.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner (International), Internal Revenue Service,
950 L'Enfant Plaza, SW, Fourth Floor, Washington, DC 20024.
NOTIFICATION PROCEDURE:
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 Office of the Assistant
Commissioner (International), Internal Revenue Service, 950 L'Enfant
Plaza, SW., Fourth Floor, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
From the individual, from the organization with which he or she is
associated, or from other knowledgeable experts in the field of Tax
Administration.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.003
SYSTEM NAME:
Annual Listing of Undelivered Refund Checks--Treasury/IRS.
SYSTEM LOCATION:
District Offices and Internal Revenue Service Centers. (see IRS
appendix A for addresses).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers whose refund checks have been returned as undeliverable
since the last Annual Listing of Undelivered Refund Checks was
produced.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer entity information (Name, Street Address, City, State, Zip
Code and social security number) and records containing tax module
information (Tax Period, Amount of Credit Balance and Control Document
Locator Number).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
The purpose of this system is to keep a record of refund checks
that have been returned undeliverable.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Individuals entitled to undeliverable
refund checks will be notified of such checks by publication of their
names in the news media.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents stored in files or on magnetic media.
RETRIEVABILITY:
By taxpayer name or taxpayer social security number (SSN).
SAFEGUARDS:
Access controls will not be less than those provide for by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services), Officials maintaining the system--District
Directors, Internal Revenue Service Centers Directors. (See IRS
appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the district office servicing the areas in which the
individual resided at the time he or she filed the return which created
the undeliverable refund. (see IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.011
SYSTEM NAME:
File of Erroneous Refunds--Treasury/IRS.
[[Page 69847]]
SYSTEM LOCATION:
Internal Revenue Service Centers. (See IRS appendix A for
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers issued erroneous refunds.
CATEGORIES OF RECORDS IN THE SYSTEM:
Case reference name, number, control number, date of erroneous
refunds, statute expiration date, status of case, location,
correspondence and research material.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains records necessary to resolve erroneous refund
issues.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper document files.
RETRIEVABILITY:
By Social Security Number (SSN) or Employer Identification Number
(EIN).
SAFEGUARDS:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks IRM 1(15)59.1 through IRM 1(15) 59.32. Generally, records are
retained for four years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services) Officials maintaining the system--Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the areas in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES: 26 U.S.C. 7852(e) prohibits Privacy Act
amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.026
SYSTEM NAME:
Form 1042S Index by Name of Recipient--Treasury/IRS.
SYSTEM LOCATION:
Philadelphia Internal Revenue Service Center, Mid-Atlantic Region,
11601 Roosevelt Boulevard, Philadelphia, PA 19154.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Non-resident aliens and U.S. citizens living abroad whose taxes are
covered by IR Chapter 3 Withholding.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records include taxpayer's name, address, tax data, country of
residence and employer identification number and name of withholding
agent.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains records necessary to effectively administer
the back-up withholding laws and regulations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Microfilm.
RETRIEVABILITY:
By taxpayer name.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00, and by the
Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15) 59.32. Generally, records
are retained at the Service Center for 5 years and then at a Federal
Records Center for 25 years.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Official maintaining the system--Philadelphia
Internal Revenue Service Center Director. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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:
Director, Philadelphia Internal Revenue Service Center, Mid-Atlantic
Region, 11601 Roosevelt Boulevard, Philadelphia, PA 19154.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.027
SYSTEM NAME:
Foreign Information System (FIS)--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Philadelphia
Internal Revenue Service Center, and its servicing Federal Records
Centers, and the Detroit Computing Center. (See IRS appendix A for
addresses.)
[[Page 69848]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who file Form 5471, Information Return with Respect to a
Foreign Corporation and Form 5472, Information Return of a Foreign
Owned Corporation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer entity records (name, address, identification number),
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains records necessary to effectively administer
laws and regulations relative to foreign owned corporations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM
STORAGE:
Magnetic media. (Various tables are published from this media.)
RETRIEVABILITY:
Documents are stored and retrieved by document locator numbers.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
206 for Service Centers, IRM 1(15)59.26.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Directors,
Internal Revenue Service Centers. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the areas in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.032
SYSTEM NAME:
Individual Microfilm Retention Register--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers and the Martinsburg Computing
Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals on whom records are maintained are: For
Individual Master File (IMF) registers--Individuals who file, or may be
required to file, individual tax returns such as Form 1040, 1040A, or
1040EZ.
CATEGORIES OF RECORDS IN THE SYSTEM:
Abstracts of tax and/or entity modules that have been removed from
the IMF. These abstract records indicate the taxpayer name,
identification number, specific tax returns filed, document locator
number, tax years, debit and credit amounts, balances, and other
transactions which have been recorded relative to the module(s).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains individual tax account information which is
retained in microfilm after a certain period of inactivity on the
master file in order not to overburden the computer system required for
active accounts.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Microfilm tape.
RETRIEVABILITY:
IMF Reference Register (for IMF Register only), taxpayer
identification number, tax Period, name, and type of tax. Methods of
retrievability are explained in the Research Operations Handbook, IRM
36(66)0.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system-Internal Revenue
Service Center Directors, and the Martinsburg Computing Center
Director. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the areas in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made
[[Page 69849]]
in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.034
SYSTEM NAME:
Individual Returns Files, Adjustments and Miscellaneous Documents
Files--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers, District Offices and Federal
Record Centers.(See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers or return preparers who have had changes made to their
accounts, or have had information posted to the Individual Master File
or other tax accounting files as a result of filing returns,
applications, or other documents, or as a result of actions initiated
by the Service. A record will be maintained for those taxpayers whose
individual income tax overpayments have been retained or transferred
from the IMF to apply against past due child and/or spousal support
payments as reported to IRS by the states under Pub. L. 97-35.
CATEGORIES OF RECORDS IN THE SYSTEM:
A variety of records reflecting tax matters which have served as
input documents or supporting documentation for entries on the
Individual Master File, or other tax accounting files, including tax
return forms, declarations, applications, case records, processing
documents, vouchers, computer notices, posting and correction forms,
Interest Equalization Tax Forms, withholding allowance certificates,
and similar records. Information will be maintained as to the name,
SSN, address of individuals owing past due child and/or spousal support
payments submitted by states under Pub. L. 97-35. Also maintained will
be the name of the submission state, the amount owed, and the amount of
any individual income tax overpayment retained and transferred to the
state to apply against the amount owed. IRS administrative files (i.e.,
examination, collection, underreporter, criminal investigation, etc.)
are not included in this system of records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
The purpose of this system is to provide background and supporting
documentation for inputs affecting taxpayer account information.
Additionally, overpayments retained and transferred against outstanding
liabilities from the state in which it occurred will be recorded. This
will aid taxpayers in reconciling their account balances with state
agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper document files or magnetic media.
RETRIEVABILITY:
Documents are stored and retrieved by document locator numbers and
by taxpayer name. The document locator numbers can be determined by
reference to the Individual Master File entries for the individual to
whom they relate.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
206 for Service Centers, IRM 1(15)59.26.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system-Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.043
SYSTEM NAME:
Potential Refund Litigation Case Files--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers, the Austin Compliance Center and
Federal Records Centers. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who have indicated to the Service that they may file suit
against the Service for a refund.
CATEGORIES OF RECORDS IN THE SYSTEM:
Forms filed by the taxpayer and case documents determined by the
Service to be related.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains records necessary to effectively administer
potential refund litigations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper document files.
Retrievability:
By taxpayer name.
Safeguards:
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.
[[Page 69850]]
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
206 for Service Centers, IRM 1(15)59.26.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.044
SYSTEM NAME:
P.O.W.-M.I.A. Reference File--Treasury/IRS.
SYSTEM LOCATION:
District Offices and the Austin Internal Revenue Service Center.
(See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
P.O.W./M.I.A.--originated from Department of Defense lists.
CATEGORIES OF RECORDS IN THE SYSTEM:
Lists of P.O.W./M.I.A., Regulations, Rulings, and Instructions as
to how to handle specific tax questions relating to their special tax
status, copies of individual tax returns, claims, and other documents
germane to specific cases.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains records necessary to effectively administer
the tax accounts with POW/MIA issues.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents in file folders.
RETRIEVABILITY:
Cases filed alphabetically by last name.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are periodically updated to reflect changes and maintained
as long as needed.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Austin Internal
Revenue Service Center Director and District Directors. (See IRS
appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Austin Internal Revenue Service Center or the Director
of the District Office servicing the area in which the individual
resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.054
SYSTEM NAME:
Subsidiary Accounting Files--Treasury/IRS.
SYSTEM LOCATION:
District Offices and Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
The categories of individuals on whom records are maintained are
taxpayers affected by one or more of the transactions reflected in the
categories of records listed below.
CATEGORIES OF RECORDS IN THE SYSTEM:
The types of records maintained in the system are documents
containing entity information (name, address, social security number or
employer identification number and other information necessary to
identify the taxpayer) and accounting information relevant to one of
the following categories: funds held pending, disposition and not
applied to the taxpayer's liability at present, properties, tangible or
intangible, now in the custody of the Internal Revenue Service,
counterfeit money, misappropriation or robbery of Internal Revenue
Service funds, credits which cannot be applied to a specific taxpayer
account at this time, accounts transferred to other Service Centers or
agencies, substantiation for the receipt of funds collected by the
Service for other agencies, abatements or assessments of tax on
individuals, deposits received from taxpayers, refunds to taxpayers,
taxpayer accounts written off by the Service as uncollectible, credits
allowed taxpayers requiring special consideration due to processing
constraints, litigation, seized and acquired property and Offers-in-
Compromise.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
PURPOSE(S):
This system maintains records necessary to effectively administer
the accounting files relevant to the unusual circumstances described in
``categories of records in the system,'' above.
[[Page 69851]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Accounting Files consist of paper documents, computer printouts,
magnetic media and disk storage.
RETRIEVABILITY:
By social security number, name, or document locator number.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
retired to Federal Records Centers and retrieved by request from
authorized individuals when account substantiation is necessary.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--District
Directors, Internal Revenue Service Center Directors. (See IRS appendix
A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Some Justice Department investigations are an additional source for the
information contained in litigation case files.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.059
SYSTEM NAME:
Unidentified Remittance File--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers. (See IRS appendix A for
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Remittances which have been received but cannot be positively
identified, either as to taxpayer who sent it or the tax period to
which it is to be applied.
CATEGORIES OF RECORDS IN THE SYSTEM:
Each record contains a fourteen digit unidentified remittance (UR)
control number, the amount, received date, and all known identifying
data. In addition, the URF contains a record of all doubtfully applied
Estimated Tax (ET) credits. The ES record contains the taxpayers' name,
address, type of payment, taxpayer identification number, tax period,
received date, money amount, and the transaction document locator
number (DLN).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains the records controlling remittances where
accounting is delayed for lack of the data required to properly post a
credit.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Disk storage.
RETRIEVABILITY:
By remittance amount, unidentified remittance control number,
taxpayer name.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
kept 180 days after the amount is reduced to zero balance.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Remittances received from taxpayers that cannot be positively
identified either as to the taxpayer who sent it or the type of tax to
which it is to be applied.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.060
SYSTEM NAME:
Automated Non-Master File (ANMF)--Treasury/IRS.
System location:
Internal Revenue Service Centers, and Federal Records Centers. (See
IRS appendix A for addresses.)
[[Page 69852]]
Categories of individuals covered by the system:
Records are maintained on taxpayers having accounts with the
Internal Revenue Service which are not compatible with the normal
master file processes; e.g., penalties, transferee assessments,
termination assessments, excise protest accounts, Master File overflow
accounts, culpable and non-petitioning spouses, Forms 1042, 1040-NR,
926, 5330, 4720, 990-AR (Penalty) and any pre-ADP returns. Also, a
record will be maintained for those taxpayers whose individual income
tax overpayment has been retained and transferred from the IMF to apply
against past due child and/or spousal support payments as reported to
IRS by the States under Pub. L. 97-35.
CATEGORIES OF RECORDS IN THE SYSTEM:
The categories of records maintained are taxpayer entity records
(name, address, taxpayer identification number or employer
identification number and other indicators relevant to entity
maintenance) and records containing tax module information (the tax
return, the tax period, the balance due or credit balance, and
transactions which have been recorded relative to the module).
Information will be maintained as to the name, SSN, address of
individuals owing past due child and/or spousal support payments
submitted by the States under Pub. L. 97-35. Also maintained will be
names of the submission state, the amount owed, and the amount on any
individual income tax overpayment retained and transferred to the state
to apply against the amount owed.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains records necessary for efficient accounting on
files which are not compatible with the master file system.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Card file or magnetic media.
RETRIEVABILITY:
By taxpayer name, taxpayer identification number (social security
number or employer identification number), or document locator card.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system-Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 22.061
SYSTEM NAME:
Wage and Information Returns Processing (IRP) File--Treasury/IRS.
SYSTEM LOCATION:
Martinsburg Computing Center, Martinsburg, West Virginia 25401, and
Detroit Computing Center, 985 Michigan Ave., Detroit, MI 48226.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Recipients of various types of income; wages; dividends; interest;
rents and royalties; medical payments; capital gains distributions;
non-taxable distributions; pensions, annuities, retired pay or IRA
payments; patronage dividends, distributions, and allocations; fishing
crew payments; sales or redemption of securities, future transactions,
commodities, bartering exchange transactions; original issue discount;
distributions and prizes; currency transactions; state tax refunds;
unemployment compensation, agricultural payments, taxable grants,
indebtedness forgiveness; non-employees compensation; gambling
winnings; and miscellaneous income.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records maintained are records representing certain wage and
information returns: Forms W-2, W-2P, the 1087 and 1099 series;
currency transaction reports; state tax refunds; statements of sales of
equity obligations; and records of agricultural subsidy payments.
Information included on each record identifies the recipient of the
income (name, address, taxpayer identifying number, and other
indicators relating to payee identification), identifies the income
payer (very similar information), and identifies the type(s) and
amount(s) of income.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Purpose(s):
This system maintains records necessary for the efficient
administration of tax accounts related to Wage and Information Returns.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media.
RETRIEVABILITY:
By taxpayer social security number and name control.
SAFEGUARDS:
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.
[[Page 69853]]
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, until tax
year 1974, records were maintained until processed. After tax year
1974, records are maintained for four years and then magnetically
erased.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 24.013
SYSTEM NAME:
Combined Account Number File, Taxpayer Services--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers. (See IRS appendix A for
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals and businesses having specific, current business with
IRS.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer entity records (name, address, taxpayer identification
number, and filing requirements related to entity liability); and tax
modules (specific tax returns, tax years, and transactions which have
been recorded relative to the module) when specifically requested by a
service center, or if a notice for balance of tax due has been issued;
a specific tax period is in taxpayer delinquent account status (TDA); a
specific tax period is either credit or debit balance; no return has
been posted and the return due date (RDD) has passed; or when a
specific tax period is in taxpayer delinquent return (TDI) status.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains tax account information necessary for the
efficient resolution of accounting issues.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Disk storage.
RETRIEVABILITY:
By social security number or employer identification number.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system-Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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'' above.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 24.029
SYSTEM NAME:
Individual Account Number File (IANF), Taxpayer Services--Treasury/
IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers. (See IRS appendix A for
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals having specific, current business with IRS.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer entity records (name, address, taxpayer identification
number, and filing requirements related to entity liability); and tax
modules (specific tax returns, tax years, and transactions which have
been recorded relative to the module) when specifically requested by a
service center, or if a notice for balance of tax due has been issued;
a specific tax period is in taxpayer delinquent account status (TDA); a
specific tax period is either credit or debit balance; no return has
been posted and the return due date (RDD) has passed; or when a
specific tax period is in taxpayer delinquent return (TDI) status.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system maintains records necessary to efficiently identify
individuals having specific current business with the IRS.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Disk storage.
[[Page 69854]]
RETRIEVABILITY:
By social security number.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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 I, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 24.030
SYSTEM NAME:
Individual Master File (IMF), Taxpayer Services--Treasury/IRS.
SYSTEM LOCATION:
Martinsburg Computing Center, Martinsburg, West Virginia 25401, and
IRS Service Centers.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who file and/or are included on Federal Individual
Income Tax Returns (i.e., Forms 1040, 1040A, and 1040EZ); individuals
who file other information filings; and power of attorney notifications
for individuals.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer entity records (name, address, identification number
(SSN), and other indicators pertaining to entity maintenance, including
zip code), and tax modular records which contain all records relative
to specific tax returns for each applicable tax period or year. Modular
records for authorization information (name, address, identification
number and type of authority granted, and the name of the
representative(s) for the taxpayer. Modular records for the
representative (name, address and unique identification number).
Recorded here are tax transactions such as tax amount, additions,
abatements of tax payments, interest and like type transactions
recorded relative to each tax module, power or attorney authorization
transactions, 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 under provisions of Pub
L. 97-35.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To increase the efficiency of tax administration, the IRS maintains
records of tax returns, payments, and assessments including Telefile
records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by (1) 26 U.S.C. 3406, and (2) 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media.
RETRIEVABILITY:
By taxpayer identification number (social security number or
employer identification number), document locator numbers and
alphabetically by name.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, the code
identifying taxpayers who threatened or assaulted IRS employees may be
removed five years after initial input.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system-Internal Revenue
Service Center Directors and the Director, Martinsburg Computing
Center. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
District Director or the Internal Revenue Service Center Director
servicing the area in which the individual resides. (See IRS appendix A
for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 24.046
SYSTEM NAME:
Business Master File (BMF), Taxpayer Services--Treasury/IRS.
SYSTEM LOCATION:
Martinsburg Computing Center, Martinsburg, West Virginia 25401,
Cincinnati Service Center, 201 West River Center Blvd., Covington, KY
41019; Memphis Service Center, 3131 Democrat Road, Memphis, TN 38118;
and Ogden Service Center, 1160 West 1200 South Street, Ogden, UT 84201,
[[Page 69855]]
and other IRS Service Centers. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons in a sole proprietary role who file business tax returns,
including Employer's Quarterly Federal Tax Returns (Form 941), Excise
Tax Returns (Form 720), Wagering Returns (Forms 11C and 730), Highway
Use Returns (Form 2290), and Form 1065 (U.S. Partnership Returns of
Income), and U.S. Fiduciary Returns (Form 1041) and Estate and Gift
Taxes (Forms 706, 706NA, and 709). The latter can be individuals not in
a sole proprietorship role.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer entity records (name, address, taxpayer identification
number (TIN) which may be either EIN or SSN, and other indicators
pertaining to entity maintenance, including zip code), and tax modules
which are all the records relative to specific tax returns for each
applicable tax period. Recorded are tax transactions such as tax
amount, statements/additions to tax, payments, interest and like type
transactions relative to each tax module. The Employer Identification
Number (EIN)/Name Control file which contains EINs and the associated
IRS name controls.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To increase the efficiency of tax administration, the Service
maintains magnetic media records of tax returns filed by business
taxpayers, and payments and assessments made to the accounts.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made as
provided by 26 U.S.C. 6103, and for meeting the requirements of 26
U.S.C. 3406. 26 U.S.C. 3406 provides, in part, that the Secretary of
the Treasury notify a payor that the TIN (Taxpayer Identification
Number) furnished by the payee is incorrect.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media.
RETRIEVABILITY:
By name, type of tax, and identifying number (including document
locator number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Chief Taxpayer
Service. Officials maintaining the system--Internal Revenue Service
Center Directors, and the Director, Martinsburg Computing Center. (See
IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Director of the Internal Revenue Service Center servicing the area in
which the individual resides. (See IRS appendix A for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 24.047
SYSTEM NAME:
Audit Underreporter Case File--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers and Martinsburg Computing Center.
(See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Recipients of income who appear not to have declared on their
income tax returns (Forms 1040, 1040A, and 1040EZ) all income paid to
them in the tax year under study.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records maintained are taxpayer (i.e., payee) entity records
containing payee name, address, taxpayer identification number, and
other indicators relating to entity maintenance; and income records
containing the types and amounts of income received/reported, and
information identifying the income payer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
These records provide a way to identify recipients of income who
appear not to have declared all taxable income paid to them in the tax
year under study.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media.
RETRIEVABILITY:
By matching social security number and name control.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
retained for one year and then magnetically erased.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Executive Officer for
Customer Service, National Office. Officials maintaining the system--
Internal Revenue Service Centers Directors. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
[[Page 69856]]
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purpose of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Information returns filed by payers and Forms 1040, 1040A, and
1040EZ.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 24.070
SYSTEM NAME:
Debtor Master File (DMF)--Treasury/IRS.
SYSTEM LOCATION:
Martinsburg Computing Center, Martinsburg, West Virginia 25401.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have delinquent obligations to a Federal or State
agency.
CATEGORIES OF RECORDS IN THE SYSTEM:
Entity records (names and social security numbers), the amount owed
by the individual, the name of the Federal or State agency to whom the
debt is owed and a cross-reference number (SSN) of the spouse in the
case of a jointly filed return.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 6305, 6402(c) and 6402(d); 31 U.S.C. 3720A.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic tape and disk file.
RETRIEVABILITY:
By name, address, and social security number.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
The information is kept for one year and then destroyed. A new
Debtor Master File is established each year.
SYSTEM MANAGER(S) AND ADDRESS:
Officials prescribing policies and practices--Assistant
Commissioner (Taxpayer Services) and Assistant Commissioner
(Information Systems Management). Officials maintaining the system--
Director, Returns Processing and Accounting Division. (See IRS appendix
A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
District Director or the Internal Revenue Service Center Director
servicing the area in which the individual resides. (See IRS appendix A
for addresses.)
CONTESTING RECORD PROCEDURES:
Individuals seeking to contest any record contained in this system
of records must contact the agency to whom the debt is owed.
RECORD SOURCE CATEGORIES:
Names, SSNs, and obligation amounts are supplied by the Federal or
state agency to whom the delinquent obligation is owed.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 26.001
SYSTEM NAME:
Acquired Property Records--Treasury/IRS.
SYSTEM LOCATION:
District Offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Delinquent taxpayers whose property has been acquired by purchase
by government or right of redemption.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, revenue
officer reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
The system tracks property acquired under Internal Revenue Code
section 6334 to provide fiscal accountability.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name, taxpayer identification number (social security
number or employer identification number), seizure number.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors.
(See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
[[Page 69857]]
TREASURY/IRS 26.006
SYSTEM NAME:
Form 2209, Courtesy Investigations--Treasury/IRS.
SYSTEM LOCATION:
District Offices, Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers on whom a delinquent account or delinquency or other
investigation is or was located in one IRS district offices, but the
individual is now living or has assets located in the jurisdiction of
another IRS District office. Taxpayers on whom an investigation has
been initiated for purposes of securing information necessary for
federal tax administration purposes.
Categories of records in the system:
Contains taxpayer name, current and former addresses, taxpayer
identifying number, if known. Contains the information, including class
of tax, if applicable, or information concerning the action desired to
be taken. The name and address of party that was contacted,
chronological investigative history and/or information secured. The
following types of investigations are included in this system: Form
SSA-1273 cases--Notice of determination of FICA wages--issued when SSA
obtains evidence that wages paid to claimant have not been recorded on
his earnings record; requests for data needed in proof of claim cases;
applications for discharge of property from tax lien; service of tax
court subpoenas; complaints of employers failing to provide withholding
statements; recovery of unassessable erroneous refunds; Form SSA-7010
cases--Request for preferential investigation. This is a request for
preferential treatment (over other SSA cases) on an earning discrepancy
case. Secure application for exemption from self-employment tax. Offers
in compromise and related activities; i.e., follow-up on defaulted
installments, secure payments on collateral agreements, etc. Maximize
compliance with withholding requirements on alien's earnings; other
miscellaneous uses.
AUTHORITY FOR MAINTANANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
The Form 2209 system provides a record of the nature of the
investigation and to whom the investigation is assigned. It also
provides a method of follow-up to ensure investigations are
accomplished in a timely manner.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Retrievable by taxpayer name and taxpayer identification number
(social security number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors, and
Internal Revenue Service Center Directors. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.008
SYSTEM NAME:
IRS and Treasury Employee Delinquency--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices and Internal
Revenue Service Centers. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
IRS and Treasury employees who are shown on the Master File as
delinquent in meeting Federal tax requirements.
Categories of records in the system:
Taxpayer name, social security number, address, fact of IRS or
Treasury employment code, District location code.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
This system enables the IRS to secure documentation concerning the
resolution of balance due and return delinquency cases concerning IRS
employees. This documentation may be used to support conduct
investigations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name and taxpayer identification number (social
security number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant
Commissioner (Collection). Officials maintaining the
[[Page 69858]]
system--Assistant Commissioner (Collection), Regional Commissioners,
District Directors, Internal Revenue Service Center Directors. (See IRS
appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled
for law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.009
SYSTEM NAME:
Lien Files (Open and Closed)--Treasury/IRS.
SYSTEM LOCATION:
District Offices and the Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers on whom Federal tax liens have been filed.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment including class of tax, period, dollar
amount. 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; Releases of Government's Right
of Redemption. Federal tax lien information entered in Treasury
Enforcement Communications System.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 6323, 7801 and 7802.
PURPOSE(S):
To identify those taxpayers on whom a Federal tax lien, discharge,
or subordination on lien attachment has been filed. The file also
provides notice to the public that the Federal Government has an
interest in property or rights to the property of the identified
taxpayer. Further, the file also provides evidence that the lien has
been released, a specific piece of property has been discharged and the
government has obtained its interest in the property, or a
subordination has been granted and the government has taken a junior
lien position, or a certification of nonattachment has been issued.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Notices of lien and the index thereto are
available to the public.
POLICIES AND PROCEDURES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name and taxpayer identification number (social
security number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--Assistant Commissioner
(Collection), Regional Commissioners, District Directors and Internal
Revenue Service Center Directors. (See IRS appendix A for addresses.)
Notification procedure:
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 2, subpart C, appendix B.
Inquires should be addressed as in ``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
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
District Director of each District where records are to be searched.
(See IRS appendix A for addresses.) This system contains copies of
public records, the originals of which are filed in accordance with the
laws of each state, the District of Columbia, the Commonwealth of
Puerto Rico, or possessions of the United States.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 26.010
SYSTEM NAME:
Lists of Prospective Bidders at Internal Revenue Sales of Seized
Property--Treasury/IRS.
SYSTEM LOCATION:
District Offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have requested that they be notified of Internal
Revenue sales of seized property.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name and address and phone number (if provided).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
This system provides an up-to-date list of prospective bidders that
may be notified when the IRS has seized property that is going to sale.
Notification of prospective bidders is done to enhance the possibility
of obtaining a higher price for the property.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies
[[Page 69859]]
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; (2) disclose relevant, non-privileged information to a
court, magistrate, or administrative tribunal including the
presentation of 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By name of prospective bidder.
SAFEGUARDS:
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.
RETENTION AND DISPOSAl:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices-Assistant Commissioner
(Collection). Officials maintaining the system-District Directors. (See
IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 Director of the
District Office servicing the area in which the individual resides.
(See IRS Appendix A for addresses.)
Contesting record procedures:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Supplied voluntarily by the subject prospective bidder.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 26.011
SYSTEM NAME:
Litigation Case Files--Treasury/IRS.
SYSTEM LOCATION:
District Offices and Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers on whom Federal tax assessments have been made but
against whom litigation has been initiated or is being considered by
the government or who have instituted suits against the government.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, and dollar
amount. This file includes: Suit to Reduce Tax Claim to Judgement; Suit
for Failure to Honor a Levy; Suit to Enforce Federal Tax Lien; Suit
Against Transferee; Suit to Set Aside Fraudulent Transfer; Suit to
Recover Erroneous Refund; other suits include those which the United
States may intervene to assert a Federal tax lien; a proceeding to
require opening of a safe deposit box, etc. The following suits against
the United States are also included in this file: Quiet Title Suit;
Foreclosure of Mortgage or other Lien; Partition; Condemnation;
Interpleader; Refund Suits Involving Trust Fund Recovery Penalty
Assessments; Injunction Suits under Freedom of Information Act. Also
included in Litigation Files are: Individuals against whom bankruptcy
proceedings are pending; decedent estates in probate with outstanding
Federal tax liabilities; individuals executing Assignments for the
Benefit of Creditors; individuals in Receivership Proceedings;
individuals conducting a bulk sale; summons referrals; subpoena files;
advisory opinions; collateral security agreements; revenue officer
reports; and various other legal instruments and correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
The purpose of the system is to maintain a record of all categories
of suits filed either by the taxpayer against the government or the
government against the taxpayer.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection), Officials maintaining the system--District Directors.
(See IRS Appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.012
SYSTEM NAME:
Offer in Compromise (OIC) File--Treasury/IRS.
[[Page 69860]]
SYSTEM LOCATION:
Regional Offices, District Offices, Internal Revenue Service and
computing Centers. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who have submitted an offer to compromise a liability
imposed by the Internal Revenue Code.
CATEGORIES OF RECORDS IN THE SYSTEM:
Form 2515, used to control offer cases, contains space for entering
taxpayer name, address, taxpayer identification number, and all other
pertinent information for identifying and assigning the OIC
investigation. The file contains all records, documents, reports and
work papers relating to the assignment, investigation, review and
adjudication of the offer. This includes such items as the original
offer, results of property records checks, interviews with third
parties and the taxpayer, collateral income agreements, financial
statements, tax return copies, and other information submitted by the
taxpayer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
These records are used to control offer in compromise cases.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. This includes disclosure to the extent
necessary to permit public inspection of any accepted offer-in-
compromise as required by 26 U.S.C. 6103(k)(1).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name and identification number.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors and
Internal Revenue Service Center Directors. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported. If an
offer is accepted, an Abstract and Statement which identifies the
taxpayer, the liability, the amount compromised and the basic
circumstances of the case is made available for public inspection in
accordance with Executive Order 10386 and Executive Order 10906.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.013
SYSTEM NAME:
Trust Fund Recovery Cases/One Hundred Percent Penalty Cases--
Treasury/IRS.
SYSTEM LOCATION:
District Offices, Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
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.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
figures, waiver extending the period for asserting the 100-percent
penalty/Trust Fund Recovery penalty (if any) and correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
This system provides a record of all Trust Fund Recovery Penalty
cases made under 26 U.S.C. 6672.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By individual, or corporation name, taxpayer identification number
(social security number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices: Assistant Commissioner
(Collection). Officials maintaining the system: District Directors,
Internal Revenue Service Center Directors. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
[[Page 69861]]
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.014
SYSTEM NAME:
Record 21, Record of Seizure and Sale of Real Property,--Treasury/
IRS.
SYSTEM LOCATION:
District Offices (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals against whom tax assessments have been made and whose
real property was seized and sold to satisfy their tax liability. Also
name and address of purchaser.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
amounts, property description.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(s):
This system provides a record of all sales under 26 U.S.C.6335 of
real property as required by 26 U.S.C. 6390. The contents of this
system of records evidences chain of title to real property and is a
matter of public record.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name, taxpayer identification number (social security
number or employer identification number) and seizure number.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection); Officials maintaining the system--District Directors.
(See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 or
individuals may appear in person at the Office of the District Director
for each District whose records are to be searched. (See IRS appendix A
for addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records evidences chain of title to real property
and is a matter of public record. (See ``Categories of records in the
system'' above).
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 26.016
SYSTEM NAME:
Returns Compliance Programs--Treasury/IRS.
SYSTEM LOCATION:
District Offices and Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who may be delinquent in filing or paying Federal taxes.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records consist of name, address, taxpayer identification number
(if known) and information concerning the potential tax liability.
Returns Compliance Programs involve any type of Federal tax
administered by the Collection Division and are conducted in accordance
with Section 7601 of the Internal Revenue Code. RCP programs can be
initiated by the National Office, Regional Offices, or by individual
districts.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
This program identifies individuals who may be delinquent in filing
or paying Federal tax.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices-Assistant Commissioner
(Collection), Officials maintaining the system-District Directors and
Internal Revenue Service Center Directors. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
[[Page 69862]]
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.019
SYSTEM NAME:
Taxpayer Delinquent Account (TDA) Files, including subsystems: (a)
Adjustments and Payment Tracers Files, (b) Collateral Files, (c) Seized
Property Records, (d) Tax Collection Waiver, Forms 900, Files, and (e)
Accounts on Child Support Obligations, (f) Dyed Diesel fuel Program
records, and (g) Integrated Collection System (ICS) records--Treasury/
IRS.
SYSTEM LOCATION:
District Offices and Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers on whom Federal tax assessments have been made, and
persons who owe child support obligations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
amounts, chronological investigative history, canceled checks, amended
returns, claims, collateral submitted to stay collection, copies of
notices of Federal tax liens, revenue officer reports, waivers to
extend statutory period for collection, etc., and similar information
about persons who owe child support obligations. This system includes
Installment Agreement Files; Delinquent Account Inventory Profile
(DAIP); Currently Not Collectible Register; Currently Not Collectible
Register (over $25,000); Advance Dated Remittance Check Files;
Currently Not Collectible Accounts Files; File of taxpayer names
entered in the Treasury Enforcement Communications System and a code
identifying taxpayers that threatened or assaulted IRS employees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
The Taxpayer Delinquent Account (TDA) records provide a
comprehensive inventory control of delinquent accounts. This system
includes records for Adjustments and Payment Tracers files, collateral
files, seized property records, Tax Collection Waiver Form 900 files,
Accounts on Child Support Obligations, Dyed Diesel Fuel Program, and
Integrated Collection System (ICS).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name, or name of person who owes child support
obligations, and taxpayer identification number (social security number
or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--Assistant Regional
Commissioners (Collection), District Directors, Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.020
SYSTEM NAME:
Taxpayer Delinquency Investigation (TDI) Files--Treasury/IRS.
SYSTEM LOCATION:
District Offices and Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers believed to be delinquent in filing Federal tax returns.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, information
from previously filed returns, information about the potential
delinquent return(s), including class of tax, chronological
investigative history; Delinquency Investigation Inventory Profile
(DIIP) and a code identifying taxpayers that threatened or assaulted
IRS employees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
The purpose of this system is to establish a control on taxpayers
on whom tax assessments have been made.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the
[[Page 69863]]
system--District Directors and Service Center Directors. (See IRS
Appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.021
SYSTEM NAME:
Transferee Files--Treasury/IRS.
SYSTEM LOCATION:
District Offices and Internal Revenue Service Centers. (See IRS
Appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Includes taxpayers on whom tax assessments have been made but who
have allegedly transferred their assets in order to place them beyond
the reach of the government.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
amounts. Also, the name, address, taxpayer identification number and
related information about transferee.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
To establish controls on records relating to taxpayers believed to
be delinquent in filing Federal Tax returns.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors,
Internal Revenue Service Center Directors, the Director of the Detroit
Computing Center. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 26.022
SYSTEM NAME:
Delinquency Prevention Programs--Treasury/IRS.
SYSTEM LOCATION:
District Offices, Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers having a history of Federal tax delinquency.
CATEGORIES OF RECORDS IN THE SYSTEM:
Taxpayer name, taxpayer identification number, address, filing
requirements, chronological investigative history.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name.
Safeguards:
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.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices-Assistant Commissioner
(Collection). Officials maintaining the system-District Directors,
Internal Revenue Service Center Directors, the Detroit Computing Center
Director. (See IRS Appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
[[Page 69864]]
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 30.003
System name:
Requests for Printed Tax Materials Including Lists--Treasury/IRS.
System location:
National Office, 1111 Constitution Avenue, NW, Washington, DC
20224.
Categories of individuals covered by the system:
Files include those individuals that request various IRS printed
materials such as publication 1045, reproduction proofs, etc.
Categories of records in the system:
Name and address of individual or company wanting to receive
District Director's newsletters, and/or ordering tax forms materials on
certain distribution programs, (i.e. tax Practitioner Program; Bank,
Post Office and Library Program; Reproducible Forms Program, etc.). A
cross reference index may be developed to identify and control
requests.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be used to: (1) Disclose information to mailing or
distribution services contractors for the purpose of executing
mailouts, order fulfillment, or subscription fulfillment; (2) disclose
information to mailing or distribution services contractors for the
purpose of maintaining mailing lists.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosure 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) or the Federal Claims Collection
Act of 1966 (31 U.S.C. 3701(a)(e)).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, paper records or mailing plates.
RETRIEVABILITY:
Alphabetically or numerically, by zip code.
SAFEGUARDS:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Record Schedule 13, Printing, Binding, Duplication, and
Distribution Records, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Publishing Services Branch, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 Chief, Publishing
Services Branch, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Contesting record procedures:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
The information is supplied by the individual and/or company making
the request. The Service adds data pertaining to the fulfillment of the
request.
Exemptions claimed for the system:
None
TREASURY/IRS 30.004
SYSTEM NAME:
Security Violations-Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices and Internal
Revenue Service Centers. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Violators of IRS Security Regulations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name of violator, circumstances of violation (date, time, actions
of violator, etc), supervisory action taken.
Authority for maintenance of the system:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records may be used to: (1) The Department of Justice for the
purpose of litigating an action or seeking legal advice. Disclosure may
be made during judicial processes. (2) Provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folder (notices of violation), 3 x 5 inch card file, and
electronic storage.
RETRIEVABILITY:
3 x 5 inch card file--by name.
SAFEGUARDS:
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. Access to lateral file
cabinets by security officer and staff only.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Property, Security, and Records Unit, National Office,
Regional Office, District Offices, Internal Revenue Service Center.
(See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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 procedure'' below.
RECORD ACCESS PROCEDURES:
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 system manager in the office where
the records are located.
[[Page 69865]]
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Contract Guard Force and Security Inspections.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.003
SYSTEM NAME:
Assignment and Accountability of Personal Property Files--Treasury/
IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center, and the Martinsburg
Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All individuals receiving Government property for temporary use and
repair.
CATEGORIES OF RECORDS IN THE SYSTEM:
Descriptions of property, receipts, reasons for removal, and
property passes.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information contained in these records may be used to:
(1) Disclose information to the Department of Justice for the purpose
of litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (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; (3)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Information is stored on various forms and ledgers maintained in
locked filing cabinets.
RETRIEVABILITY:
Indexed alphabetically by name.
SAFEGUARDS:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 18, Security and Protective Services
Records, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Space and Property Branch and Chief, National Office
Facilities Management Branch, National Office; Regional Commissioners,
District Directors, Internal Revenue Service Center Directors, and
Computing Center Directors. (See IRS Appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 system manager in the
office where the records are located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Individuals who receive property or request property passes.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.005
SYSTEM NAME:
Parking Space Application and Assignment--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center, and Martinsburg
Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Internal Revenue Service employees who apply for assignment of
carpool or reserved parking spaces.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the name, position title, organization, vehicle
identification, arrival and departure time, and service computation
date of 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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records may be used to:
(1) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice. Disclosure may
be made during judicial processes; (2) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Maintained on an 8\1/2\ x 10 inch or other local form.
RETRIEVABILITY:
Indexed by name of individual or principal carpool applicant.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 11, Space
[[Page 69866]]
and Maintenance Records, IRM 1(15)59.31.
SYSTEM MANAGER(s) and address:
Chief, National Office Protective Programs Staff, National Office;
Regional Commissioners, District Directors, Internal Revenue Service
Center Directors, and Computing Center Directors. (See IRS appendix A
for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 system manager in the
office where the records are located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Individuals applying for parking spaces.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.007
SYSTEM NAME:
Record of Government Books of Transportation Requests--Treasury/
IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center, and Martinsburg
Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
IRS employees issued Transportation Requests.
CATEGORIES OF RECORDS IN THE SYSTEM:
Form 496, alphabetical card record by name or the serial numbers
of Transportation Requests issued to the employee; and Form 4678,
numerical list by serial number listing the name of the employee to
whom issued.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) disclose information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (3) disclose information to another
Federal agency to effect inter-agency salary offset; to furnish a
consumer reporting agency information to obtain commercial credit
reports; to furnish a debt collection agency information for debt
collection services; to furnish a consumer reporting agency with
delinquency and default data available to private sector credit
grantors.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
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)).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents.
RETRIEVABILITY:
By name or serial number.
SAFEGUARDS:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 9, Travel and Transportation Records, IRM
1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Administrative Officers, National Office; Regional Commissioners,
District Directors, Internal Revenue Service Center Directors, and
Computing Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 system manager in the
office where the records are located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Government Books of Transportation Requests and employees to whom
books were issued.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.009
SYSTEM NAME:
Safety Program Files--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center, and the Martinsburg
Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
IRS employees and others involved in an IRS motor vehicle accident,
an accident or injury on IRS property, or a tort or personal property
claim against the Service. All individuals issued an IRS driver's
license are covered by this system.
CATEGORIES OF RECORDS IN THE SYSTEM:
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; Executive Order 12196.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or
[[Page 69867]]
seeking legal advice. Disclosure may be made during judicial processes;
(2) provide information to the Department of Labor in connection with
investigations of accidents occurring in the work place; (3) provide
information to other federal agencies for the purpose of effecting
interagency salary offset or interagency administrative offset; (4)
provide information to consumer reporting agencies in accordance with
31 U.S.C. 3711(f); (5) provide information to a debt collection agency
for debt collection services; (6) 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, when the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (7) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (8) provide
information to Officials of labor organizations recognized under 5
U.S.C. Chapter 71 when relevant and necessary to their duties of
exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
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. 1681(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents.
RETRIEVABILITY:
Indexed alphabetically by name.
SAFEGUARDS:
Access controls will not be less than those required by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12. Generally, access is
restricted to official use by IRS employees.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 1, 10, and 18; Records Control Schedule
114 for Facilities Management Division--National Office, IRM
1(15)59.1(14); and Records Control Schedule 212 for Regional
Commissioner, Assistant Regional Commissioner (Resource Management) and
District Director, IRM 1(15)59.2(12).
SYSTEM MANAGER(S) AND ADDRESS:
Safety Management Officer, Office of Research, Planning and
Development, Director, Facilities and Information Management Systems,
National Office; Director, Human Resources, Headquarters, appropriate
Regional or District Office; Computing Center Directors; and the Austin
Service Center Director. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 in 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office where
the records are located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information originates from IRS employees, private individuals and
private parties.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.012
SYSTEM NAME:
Emergency Preparedness Cadre Assignments and Alerting Rosters
Files--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, and Internal
Revenue Service Centers. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Key IRS and Treasury personnel.
CATEGORIES OF RECORDS IN THE SYSTEM:
Cadre assignments--personal information on employees; i.e., name,
address, phone number, family data, security clearance, relocation
assignment, etc. Alerting rosters--current listing of individuals by
name and title stating their work and home address and phone numbers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
The records are collected and maintained to identify emergency
preparedness team members and their responsibilities; and to provide a
means of contacting cadre members in the event of a national emergency.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Individual forms, correspondence kept in file folders, and
electronic storage.
RETRIEVABILITY:
Cadre assignments are filed by relocation site and alerting rosters
by title of list.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 18, Security and Protective Services
Records, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Physical Security Section, Facilities Standards Branch,
Facilities and Information Management Support Division, National
Office. Regional Office, District Office, Internal Revenue Service
Center Security Officers. (See IRS appendix A for addresses.)
[[Page 69868]]
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 system manager in the
office where the records are located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Provided by individuals themselves.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.013
SYSTEM NAME:
Identification Media Files System for Employees and Others Issued
IRS ID--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center, and Martinsburg
Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
IRS employees having one or more items of identification and
federal and non-federal personnel working in or visiting IRS
facilities.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records contain individual's name, home address, and other personal
information and reports on loss, theft, or destruction of pocket
commissions, enforcement badges and other forms of identification.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
The records are collected and maintained to provide required
information on the issuance of identification media by the IRS.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Correspondence file folders, 3 x 7 inch card files, and magnetic
media.
RETRIEVABILITY:
Indexed separately by name and Identification Media serial number.
SAFEGUARDS:
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. Access to the records is
restricted to official use of Internal Revenue.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 11, Space and Maintenance Records, IRM
1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Physical Security Section, Facilities Standards Branch,
Facilities and Information Management Support Division, and Chief,
Property, Security and Records unit, National Office; Regional Offices,
District Offices, Internal Revenue Service Center Security Officers.
NOTIFICATION PROCEDURE:
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.
Individual's name, SSN, address and type of ID media, plus the
approximate date that he/she was issued and/or returned the particular
item of identification, would have to be furnished to the Service
office that issued the item for the Service to be able to ascertain
whether or not the system contains a record about the individual.
RECORD ACCESS PROCEDURES:
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 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the system manager in the
offices where the record is located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information is generated by specific personnel action and is
initially gathered on an application for employment. The information is
confirmed by the newly hired employee.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.014
SYSTEM NAME:
Motor Vehicle Registration and Entry Pass Files--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers. (See IRS appendix A for
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals requiring continued access to the facility and parking
area violators.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name of employee, registered owner of vehicle, branch, telephone
number, description of car, license number, employee's signature, name
and expiration date of insurance, parking violations, decal number.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE(S):
The records are collected and maintained to provide information on
the issuance of parking permits.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders, card files.
RETRIEVABILITY:
Indexed by name.
[[Page 69869]]
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
periodically updated to reflect changes and maintained as long as
needed.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Security Function at Internal Revenue Service Centers. (See
IRS appendix A for addresses.)
NOTIFICATION PROCEDURES:
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.
RECORD ACCESS PROCEDURES:
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 system manager in the
office where the record is located.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information is supplied by individual, except for parking
violations information which is supplied by Security guard personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.016
SYSTEM NAME:
Security Clearance Files--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees of the Internal Revenue Service requiring a security
clearance, having their security clearance canceled or transferred and
individuals who have violated IRS security regulations regarding
classified national security information.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records contain individual's 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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (3) provide information to agencies and on
a need-to-know basis to determine the current status of an individual's
security clearance.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Correspondence file folders.
RETRIEVABILITY:
Indexed by name and cross filed by functional area.
SAFEGUARDS:
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. Stored in locked security
container in offices which are locked or guarded during non-work hours.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Physical Security Section, Facilities Standards Branch,
Facilities and Information Management Support Division, National
Office, for security violations; and Chief, Employment Branch,
Personnel Division, National Office for security clearances.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 appropriate system manager.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information is provided by the employee, his/her supervisor or
employee's personnel record. Security violation information is obtained
from a variety of sources, such as guard reports, security inspections,
supervisor's reports, Internal Audit Reports, etc.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 34.018
SYSTEM NAME:
Integrated Data Retrieval System (IDRS) Security Files--Treasury/
IRS.
SYSTEM LOCATION:
National Office, District Offices, Internal Revenue Service
Centers, Regional Offices, Customer Service Sites, Submission
Processing Centers, Development Centers, Computing Centers, and Field
Information Systems Offices (FISO). (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Employees who input or who are authorized to input IDRS
transactions and (2) taxpayers whose accounts are accessed.
CATEGORIES OF RECORDS IN THE SYSTEM:
Record logs of the employees who are authorized access to IDRS and
of employee inputs and inquiries processed through IDRS terminals,
including record logs of employees who have accessed IDRS in a manner
that appears to be inconsistent with standard IRS practice(s).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 6103, 7602, 7801 and 7802.
[[Page 69870]]
PURPOSE(S):
To aid the ongoing efforts of the IRS to enhance the protection of
confidential tax returns and return information from unauthorized
access, by assuring the public that their tax information is being
protected in an ethical and legal manner, thereby promoting voluntary
taxpayer compliance.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, hard copy, and optical storage media.
RETRIEVABILITY:
Indexed by employee's Social Security Number and employee
identification number. Also may be retrieved by the Taxpayer
Identification Number (TIN) of the taxpayer whose account is being
accessed, date and time, command code, and terminal identification.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information Systems Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbook, IRM 1(15)59.1 through 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Program Management and Evaluation Section, Information
Systems Security Program Branch, Operations Management Division,
Network and Systems Management, Information Systems, National Office.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains (1) tax returns and return
information, (2) account transactions and inputs to tax accounts, (3)
employee user identification and profile information, (4) access record
logs to accounts, and (5) data may also be retrieved from other IRS
published systems of records used in the operation of this system.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(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.
TREASURY/IRS 34.018
SYSTEM NAME:
Integrated Data Retrieval System (IDRS) Security Files--Treasury/
IRS.
SYSTEM LOCATION:
National Office, District Offices, Internal Revenue Service
Centers, Regional Offices, Customer Service Sites, Submission
Processing Centers, Development Centers, Computing Centers, and Field
Information Systems Offices (FISO). (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Employees who input or who are authorized to input IDRS
transactions and (2) taxpayers whose accounts are accessed.
CATEGORIES OF RECORDS IN THE SYSTEM:
Record logs of the employees who are authorized access to IDRS and
of employee inputs and inquiries processed through IDRS terminals,
including record logs of employees who have accessed IDRS in a manner
that appears to be inconsistent with standard IRS practice(s).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To aid the ongoing efforts of the IRS to enhance the protection of
confidential tax returns and return information from unauthorized
access, by assuring the public that their tax information is being
protected in an ethical and legal manner, thereby promoting voluntary
taxpayer compliance.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, hard copy, and optical storage media.
RETRIEVABILITY:
Indexed by employee's Social Security Number and employee
identification number. Also may be retrieved by the Taxpayer
Identification Number (TIN) of the taxpayer whose account is being
accessed, date and time, command code, and terminal identification.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information Systems Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbook, IRM 1(15)59.1 through 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Program Management and Evaluation Section, Information
Systems Security Program Branch, Operations Management Division,
Network and Systems Management, Information Systems, National Office.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains (1) tax returns and return
information, (2) account transactions and inputs to tax accounts, (3)
employee user identification and profile information, (4) access record
logs to accounts, and (5) data may also be retrieved from other IRS
published systems of records used in the operation of this system.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system is exempt from 5 U.S.C. 552a(c)(3),(d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a(k)(2).
[[Page 69871]]
TREASURY/IRS 36.001
SYSTEM NAME:
Appeals, Grievances and Complaints Records--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, and the Martinsburg
Computing Center. (see IRS appendix A for addresses).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Applicants for Federal employment, current and former Federal
employees (including annuitants) who submit appeals, grievances, or
complaints for resolution.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system of records contains information or documents relating
to a decision or determination made by an agency or other appropriate
action organization (e.g., Office of Personnel Management, Equal
Employment Opportunity Commission, Merit Systems Protection Board)
affecting 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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1302, 3301, 3302, 4308, 5115, 5338, 5351, 5388, 7105,
7151, 7154, 7301, 7512, 7701 and 8347, Executive Order 9830, 10577,
10987, 11222, 11478 and 11491; and Pub. L. 92-261 (EEO Act of 1972),
and Pub. L. 93-259.
PURPOSE(S):
This system consists of records compiled for administrative
purposes, for appeals, grievances and complaints. Automated Labor and
Employee Relations Tracking System (ALERTS) records are included to
provide administrative tracking for personnel administration.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be only made as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Provide information to a Member of
Congress regarding the status of an appeal, complaint or grievance; (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 regulations; (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; (4) provide information to the Department of Justice for the
purpose of litigating an action or seeking legal advice. Disclosure may
be made during judicial processes; (5) provide 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; (6) provide records and 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; (7) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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; (8) provide information to
officials of labor organizations recognized under 5 U.S.C. Chapter 71
when relevant and necessary to their duties of exclusive
representation; (9) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (10) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Card files, flat paper, lists, forms, folders, binder, microfilm
and microfiche, punch card, and magnetic media.
RETRIEVABILITY:
Indexed by the names and case number of the individuals on whom
they are maintained.
SAFEGUARDS:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12. This is also in conformance
with existing EEOC regulations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
(a) EEO Discrimination Complaint Records--Regional Complaints
Center Directors; (b) all other records--Director, Human Resources
Division, or Chief, Personnel Branch, appropriate office. (See IRS
appendix A for addresses.)
NOTIFICATION PROCEDURE:
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: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for computing center employees only); Director,
Detroit Computing Center (for computing center employees only);
Regional Commissioner for each Regional Office whose records are to be
searched; Director, Personnel Division, National Office; Assistant
Commissioner Human Resources, National Office; Regional Counsel for
each region whose records are to be searched; Assistant Chief Counsel
(Disclosure Litigation) for records in the National Office of Chief
Counsel. (See IRS appendix A for addresses.) Individuals should provide
their name, date of birth, agency in which employed, and the
approximate date, and the kind of action taken by the agency when
making inquiries about records.
RECORD ACCESS PROCEDURES:
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,
[[Page 69872]]
subpart C, appendix B. Inquiries should be addressed to the appropriate
official listed above. Individuals should provide their name, date of
birth, POD, approximate date, and the kind of action taken by the
agency when requesting access to, or contest of, records.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
(1) Individual to whom the record pertains; (2) Agency and/or other
authorized Federal officials; (3) Affidavits or statements from
employee; (4) Testimony of witnesses; (5) Official documents relating
to the appeal, grievance, or complaints; (6) Correspondence from
specific organization or persons.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 36.002
SYSTEM NAME:
Employee Activity Records--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, and Martinsburg
Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current and former employees of the Internal Revenue Service.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains records and information relating to voluntary
employee activities and functions which are not directly related to the
mission of the IRS or any of its functional components. These records
will contain the names of participants and such other information only
to the extent that it is necessary for the operation of the activity.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigation an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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; (3) provide information to officials of
labor organization recognized under 5 U.S.C. Chapter 71 when relevant
and necessary to their duties of exclusive representation; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (5) provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Indexed by the name of the individuals on whom they are maintained.
SAFEGUARDS:
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. This is in conformance with
existing OPM regulations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Supervisor of the organizational segment participating in the
activity. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
Inquiring individuals need only provide their name.
RECORD ACCESS PROCEDURES:
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 system manager or the
individual designated to maintain the record. Inquiring individuals
need only provide their name.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information is derived only from the individual to whom the record
pertains.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 36.003
SYSTEM NAME:
General Personnel and Payroll Records--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, Martinsburg
Computing Center, and the Tennessee Computing Center. Payroll records
are maintained at the Detroit Computing Center. (See IRS appendix A for
addresses.) Transaction Processing Center, U.S. Department of
Agriculture, National Finance Center.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Prospective, current and former employees of the IRS.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system consists of a variety of records relating to personnel
actions and determinations made about an individual while employed in
the Federal service. These records contain data on individuals required
by the Office of Personnel Management (OPM) and maintained in the
Official Personnel Folder (OPF). The OPF may also contain letters of
commendation; awards from non-Federal organizations; recommendations
for Federal awards; awards; reprimands; adverse or disciplinary
charges; records relating to life insurance, health insurance,
designation of beneficiary; training; and other records which OPM and
IRS require or permit to be maintained in the OPF. This system also
includes records which are maintained in support of a personnel action
such as a position management or position classification action, a
reduction-in-force action (including such documents as retention
registers and notices), and priority placement actions. Other records
maintained about an individual in this system are evaluation records,
including appraisal, expectation and payout records; employee
performance file (EPF) records (includes performance ratings);
suggestion files; award files;
[[Page 69873]]
financial and tax matters; back pay files; jury duty records; special
emphasis programs records, such as Upward Mobility and Handicapped;
outside employment statements; clearance upon separation; Unemployment
Compensation Records; adverse and disciplinary action files;
supervisory drop files; records relating to personnel actions
correcting a pay problem; employment of relatives; furlough/recall
records; work measurement records; emergency notification, employee
locator and current address records; other records relating to the
status of an individual; Executive Resources records and Senior
Executive Service records; Management Careers Program records; and
correspondence files pertaining to any personnel information contained
in this notice. Payroll records included in this system are data
storage and file records system for processing payroll and personnel
actions, consisting of records of time and attendance, leave, tax
withholding, bond purchases and issuances, emergency salaries, overtime
and holiday pay, optional payroll deductions, and minority group
designator codes.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, 1302, 2951, 4118, 4308 and 4506; and Executive Order
10561.
PURPOSE(S):
This system consists of records compiled for personnel
administrative purposes. Automated Labor and Employee Relations
tracking system (ALERTS) records are collected and maintained in the
system to provide a management information database. This system also
includes automated records such as the Totally Automated Personnel
System (TAPS). Information that supports evaluations of IRS personnel
may also be in this system. Listing of employee pseudonyms may be
included in this system of records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to: (1)
Provide information to a prospective employer of an IRS employee or
former IRS employee; (2) provide data to update Federal Automated
Career Systems (FACS), Executive Inventory File, and security
investigations index on new hires, adverse actions, and terminations;
(3) provide information to a Federal, state, or local agency, other
organizations or individuals in order to obtain relevant and pertinent
information about an individual which is necessary for the hiring or
retention of an individual; letting of a contract; or the issuance of a
license, grant or other benefit; (4) request information from a
Federal, state, or local agency maintaining civil, criminal, or other
relevant enforcement or other pertinent agencies; (5) provide
information to the Department of Justice for the purpose of litigating
an action or seeking legal advice. Disclosure may be made during
judicial process; (6) provide information to other agencies to the
extent provided by law or regulation and as necessary to report
apparent violation of law to appropriate law enforcement agencies; (7)
provide information or records, where there is an indication of a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, to any other appropriate agency, whether Federal,
State, or local, 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 or upon
request of such agency when the agency is investigating the possible
violation of their rules or regulations; (8) 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 applicable regulations; (9) provide information to
hospitals and similar institutions or organizations involved in
voluntary blood donation activities; (10) provide information to
educational institutions for recruitment and cooperative education
purposes; (11) 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 unemployment compensation board, housing
administration agency and Social Security Administration; (12) provide
information to financial institutions for payroll purposes; (13)
provide 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; (14) provide
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; (15) provide
information to officials of labor organizations recognized under 5
U.S.C. Chapter 71 when relevant and necessary to their duties of
exclusive representation; (16) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (17) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (18) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosure 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; (19) 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; (20) disclosure of information about particular
Treasury employees may be made 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; (21)
respond to state and local authorities for support garnishment
interrogatories; and (22) provide information to private creditors for
the purpose of garnishment of wages of an employee if a debt has been
reduced to a judgement.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
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)).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, discs, forms, punched cards, flat paper, lists,
card files, forms, folders, binders, microfilm and microfiche.
[[Page 69874]]
RETRIEVABILITY:
Records are indexed by any combination of name, birth date, social
security number, or employee identification number.
SAFEGUARDS:
Access controls will be not 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. This is also in conformance
with existing OPM and GAO regulations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Human Resources Branch, and Chief, Personnel Branch,
appropriate office; Executive Secretary, Executive Resources Board (for
executive resource records); Director of Labor Relations; Chiefs,
Transactional Processing Centers; Director, Tennessee Computing Center;
Director of Support Services, Midstates Region, 4050 alpha Road, 12th
Floor, Mail code 1100 MSRO, Dallas, TX 75244-4203; Director of Support
Services, Northeast Region, PO Box 2815, Church Street Station New
York, NY 10008; Director of Support Services, Southeast Region, PO Box
926, Stop 160-R, Atlanta, GA 30370; Director of Support Services,
Western Region, 1650 Mission Street, Room 511 San Francisco, CA 94103.
NOTIFICATION PROCEDURE:
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: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for computing center employees only); Director,
Detroit Computing Center (for computing center employees only);
Regional Commissioner for each Regional Office whose records are to be
searched; Director, Human Resources Division, National Office; for each
appropriate Division in the National Office; Regional Counsel for each
region whose records are to be searched; Assistant Chief Counsel
(Disclosure Litigation) for records in the National Office of Chief
Counsel; (See IRS appendix A for addresses.) Inquiries should include
name, date of birth, social security number and post-of-duty.
RECORD ACCESS PROCEDURES:
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 appropriate official
listed above. Former IRS employees who wish to gain access to their
records should direct such a request in writing, including their name,
date of birth, and social security number, to: National Personnel
Records Center, National Archives and Records Administration, 9700 Page
Boulevard, St. Louis, Missouri 63132.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information in this system of records either comes from the
individual to whom it applies or is derived from information supplied
by that individual, except information provided by agency officials.
Payroll information is compiled from existing master records, i.e.,
employees' official personnel folders, or the employee. Information is
also obtained directly from an employee, payroll coordinator, or
administrative officer.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 36.005
SYSTEM NAME:
Medical Records--Treasury/IRS.
SYSTEM LOCATION:
(1) Applicants and current IRS employees: National Office, Regional
Offices, District Offices, PODs, Internal Revenue Service Centers,
Detroit Computing Center, and the Martinsburg Computing Center (see IRS
appendix A for addresses); (2) Former IRS employees: National Personnel
Records Center, 9700 Page Blvd., St. Louis, Missouri 63132. Records may
also be maintained in the offices listed under (1) above.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Applicants for IRS employment; (2) Applicants rejected on
medical grounds; (3) Applicants for disability retirement under the
Civil Service Retirement Law; (4) IRS employees; (5) Former IRS
employees; (6) Visitors of IRS offices who require medical attention
while on the premises.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Applications for IRS employment containing information relating
to an individual's medical qualifications to hold a position in the
IRS; (2) Applications rejected on medical grounds. Information relating
to an applicant's rejection for a position because of medical reasons;
(3) Disability retirement records. Information relating to an
individual's capability (physical or mental) to satisfactorily perform
the duties of the position he or she holds or held; (4) Health unit
medical records (Federal civilian employees); (5) Information relating
to an employee's participation in an occupational health services
program; (6) Qualification examinations (Federal employees).
Information relates to pre-employment, or periodic re-qualification
medical examinations to assure that the incumbents are qualified
(physically and mentally) to satisfactorily perform the duties of the
position; (7) Fitness-for-duty examinations. Information relating to a
medical examination to determine an individual's physical or mental
condition with respect to ability to satisfactorily perform the duties
of the position held; (8) Alcohol/drug employee assistance records.
Information relating to employee participation in the Federal Civilian
Alcoholism and Drug Abuse Program; (9) Injury Compensation Records.
Information relating to on-the-job injuries of employees and former
employees; (10) Records relating to the Blood Donor Program; (11)
Records relating to drug testing program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Medical Information relating to the Retirement, Life Insurance and
Health Benefits Programs--5 U.S.C. Chapters 81, 87, and 89. Information
for Federal employment--5 U.S.C. 3301. Information relating to the
Alcoholism, Drug Abuse and Employee Assistance Programs--Pub. L. 91-616
and 92-255 as amended by Pub. L. 93-282 in regard to confidentiality of
patient records. Information relating to the Occupational Health
Program--5 U.S.C. 7901. Information relating to workman's
compensation--5 U.S.C. 8101. Information relating to drug testing--5
U.S.C. 7301.
PURPOSE(S):
Injury compensation records and records relating to drug testing
are collected and maintained to effectively administer the Worker's
Compensation Program and the Drug-Free Workplace Program.
[[Page 69875]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information contained in these records may be used to:
(1) Provide information to other Federal agencies responsible for other
Federal benefits programs administered by the Office of Workers'
Compensation Programs; Retired Military Pay Centers; Veterans
Administration; Social Security Administration; Office of Personnel
Management; Private contractors engaged in providing benefits under
Federal contracts; (2) disclose information to the Department of
Justice for the purpose of litigating an action or seeking advice.
Disclosure may be made during judicial processes; (3) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains. (4) disclose
information to other agencies to the extent provided by law or
regulation; (5) disclosure may be made to the appropriate Federal,
state or local agency where there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature; (6) Federal, state, or local agencies in order to obtain or
release relevant and pertinent information to an agency decision
concerning the hiring or retention of an individual, the issuance of a
security clearance, the letting of a contract or the issuance of a
license, grant or other benefit; (7) disclose information to the Public
Health Service; (8) disclose information to an individual's private
physician where medical considerations or the content of medical
records indicate that such release is appropriate; (9) disclose
information to an agency designated employee representative where such
representative is required by the Office of Personnel Management; (10)
disclose information to hospitals and similar institutions or
organizations participating in blood donor activities; (11) disclosure
of Alcoholism, Drug Abuse, and Employee Assistance records are limited
under Pub. L. 91-616, 92-255, and 93-282; (12) disclose information to
the Equal Employment Opportunity Commission when needed to resolve a
complaint; (13) disclose relevant, non-privileged 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; (14) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (15) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, discs, flat paper, lists, forms, folders, card
files, microfilm and microfiche.
RETRIEVABILITY:
Records are indexed by name, social security number, date of birth
and/or claim number.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Human Resources Branch, or Chief, Personnel Branch,
appropriate office; Associate Chief Counsel (Finance and Management),
Regional and District Counsels. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for Computing Center employees only); Director,
Detroit Computing Center (for Computing Center employees only);
Regional Commissioner for each Regional Office whose records are to be
searched; Director, Human Resources Branch, National Office; Chief,
Management and Administration, National Office; Regional Counsel for
each region whose records are to be searched; Assistant Chief Counsel
(Enforcement Litigation-Disclosure Litigation) for records in the
National Office of Chief Counsel. (See IRS appendix A for addresses.)
Former employees should direct inquiries to: The National Personnel
Records Center, 9700 Page Blvd., St. Louis, Missouri 63132. Individuals
requesting information about this system of records should provide
their full name, date of birth, social security number, name and
address of office in which currently or formerly employed in the
Federal service, and annuity account number, if any has been assigned.
RECORD ACCESS PROCEDURES:
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 appropriate official
listed above.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
(1) The individual to whom the record pertains; (2) private
physicians; (3) Medical institutions; (4) Office of Workers'
Compensation Programs; (5) Military Retired Pay Systems Records; (6)
Federal civilian retirement systems other than Civil Service Retirement
System; (7) General Accounting office pay, leave allowance cards; (8)
OPM Retirement, Life Insurance and Health Benefits Records System; (9)
OPM Personnel Management Records System.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 36.008
SYSTEM NAME:
Recruiting, Examining and Placement Records--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, and Martinsburg
Computing Center, (see IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Applicants for IRS employment, current and former employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
These records contain information relating to education, training,
employment history and earnings, tests, results of written tests, test
scores, qualification determinations, evaluations, appraisals of
potential, interview records, responses to test items and
questionnaires, honors, and awards or fellowships. Other
[[Page 69876]]
information maintained in the records includes military service, date
of birth, birthplace, SSN, home address. Records may also be maintained
on suitability determinations, employee participation in special
emphasis, placement and recruiting programs, and employee turnover
records. This system also includes correspondence files relating to the
above mentioned records. Personnel research and test validation records
are included in this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 1302, 3109, 3301, 3302, 3304, 3306, 3307, 3309, 3313,
3317, 3318, 3319, 3326, 3349, 4103, 5532, 5533 and 5723; Executive
Order 10577 and 11103.
PURPOSE(S):
This system is to determine eligibility for employment.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) 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; (3)
disclose information and records to the Office of Personnel Management,
Merit Systems Protection Board, or the Equal Employment Opportunity
Commission, for the purpose of properly administering Federal Personnel
Systems in accordance with applicable laws, Executive Orders and
regulations; (4) refer applicants to officials of Federal government
agencies for purposes of consideration for placement in positions for
which an applicant has applied and is qualified; to state and local
governments with permission of an applicant for the purpose of
employment consideration; and to refer current IRS employees to Federal
agencies for consideration for transfer, reassignment, and promotion;
(5) disclose information to educational institutions in connection with
recruiting efforts; (6) disclose information or records where there is
an indication of a violation or potential violation of law, whether
civil, criminal or regulatory in nature, to any other appropriate
agency, whether Federal, state or local charged with the responsibility
of investigating or prosecuting such violation or charged with
enforcing or implementing the statute, or rule; (7) request information
from a Federal, state or local agency maintaining civil, criminal, or
other relevant enforcement or other pertinent information, such as
licenses, if necessary to obtain relevant information 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; (8) provide information
to a Federal agency, in response to its request, in connection with the
hiring or retention of an employee, the letting of a contract, or
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 that matter; (9) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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; (10) provide information
to officials of labor organizations recognized under 5 U.S.C. chapter
71 when relevant and necessary to their duties of exclusive
representation; (11) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (12) provide information to
a Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic tapes, punched cards, discs, card files, lists, flat
paper, microfilm, microfiche, forms and folders.
RETRIEVABILITY:
Records are indexed by name, combination of birth date, social
security account number, and an identification number that is
applicable.
SAFEGUARDS:
Access Controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12. This is in conformance with
existing OPM regulations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Human Resources Branch (or equivalent), or Chief,
Personnel Branch (or equivalent), appropriate office. (See IRS appendix
A for addresses.)
NOTIFICATION PROCEDURE:
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: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for Computing Center employees only); Director,
Detroit Computing Center (for Computing Center employees only);
Regional Commissioner for each Regional Office whose records are to be
searched; Director, Personnel Branch, National Office; Chief,
Management and Administration, National Office; or other appropriate
official. (See appendix A.) Individuals should provide name, date of
birth, social security number, identification number (if known),
approximate date of record, and title of examination or announcement
with which concerned.
RECORD ACCESS PROCEDURES:
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 appropriate official
as listed above. This system of records may not be accessed for
purposes of inspection or for contest of content of Treasury Forms 4825
(Evaluation of Candidates for Initial Executive Placement) and Treasury
Form 4245 (Report of Managerial Potential) prepared prior to September
27, 1975.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information in this system of records either comes from the
individual to whom it applies or is derived from information he or she
supplied, except reports from medical personnel on physical
qualification; results of examination which are made known to
applicants and vouchers supplied by references the applicant lists.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
[[Page 69877]]
TREASURY/IRS 36.009
SYSTEM NAME:
Retirement, Life Insurance and Health Benefits Records System--
Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Pods, Internal
Revenue Service Centers, the Detroit Computing Center, and the
Martinsburg Computing Center, (see IRS appendix A for addresses.) for
former employees: Records Division, Bureau of Retirement, Insurance and
Occupational Health, Office of Personnel Management, Boyers,
Pennsylvania.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) IRS employees who are covered by the Civil Service Retirement
System (CSRS) or the Federal Employees Retirement System (FERS); (2)
IRS employees who have either declined or are covered by the Federal
Employees' Group Life Insurance Program or the Federal Employees'
Health Benefits Program.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Documentation of Federal service creditable under CSRS/FERS;
(2) Documentation of coverage or declination of coverage under the
Federal Employees' Group Life Insurance Program, and the Federal
Employees' Health Benefits Program; (3) Documentation of claim for
refund or for annuity benefits under CSRS/FERS; (4) Documentation of
claim for survivor annuity or death benefits under CSRS/FERS; (5)
Medical records supporting claims for disability retirement under CSRS/
FERS; (6) Designations of beneficiary for benefits payable under CSRS/
FERS or the Federal Employees' Group Life Insurance Program; (7) All
other information necessary to enable offices to recruit annuitants for
short term assignments and to send them requested publications.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. Chapters 83, 87, and 89.
PURPOSE(S):
Retirement, life insurance, and health insurance benefit records
are collected and maintained to effectively 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.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used to: (1)
Provide information to the Office of Workers' Compensation Programs,
Veterans Administration Pension Benefits Program, Social Security Old
Age, Survivor and Disability Insurance and Medicare Programs, and
Federal civilian employee retirement systems other than the Civil
Service Retirement System, when requested by that program or system or
by the individual covered by this system of records, for use in
determining an individual's claim for benefits under such system; (2)
provide information necessary to support a claim for life insurance
benefits under the Federal Employees' Group Life Insurance Program to
the Office of Federal Employees' Group Life Insurance, 4 East 24th
Street, New York, N.Y. 10010; (3) 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; (4) disclose information to the
Department of Justice for the purpose of litigating an action or
seeking legal advice. Disclosure may be made during judicial processes;
(5) provide 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; (6) 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; (7) provide information and records to the Office of Personnel
Management for the purpose of properly administering Federal Personnel
Systems in accordance with applicable laws, Executive Orders and
regulations; (8) provide information to an agency designated employee
representative when such representative is required under Office of
Personnel Management regulations; (9) provide information to hospitals
and similar institutions to verify an employee's coverage in the
Federal Employees' Health Benefits Program; (10) provide information to
the Equal Employment Opportunity Commission when needed to resolve a
complaint; (11) disclose relevant, non-privileged information to a
court, magistrate, or administrative tribunal including the
presentation of evidence, 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; (12) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (13) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (14) provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, punched cards, discs, forms, flat paper, card
files, lists, folders, microfilm and microfiche.
RETRIEVABILITY:
Records are indexed by name, social security number, birth date,
and by annuity or death claim number.
SAFEGUARDS:
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. This is also in conformance
with existing OPM regulations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Human Resources Branch, and Chief, Personnel Branch,
appropriate office. Associate Chief Counsel (Finance and Management),
Regional and District Counsels. (See IRS Appendix A for addresses.)
NOTIFICATION PROCEDURE:
(1) 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: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for Computing Center employees only); Director,
Detroit Computing Center (for
[[Page 69878]]
Computing Center employees only); Regional Commissioner for each
Regional Office whose records are to be searched; Director, Human
Resources Branch, National Office; Chief, Management and
Administration, National Office; Regional Counsel for each region whose
records are to be searched; Assistant Chief Counsel (Enforcement
Litigation-Disclosure Litigation) for records in the National Office of
the Chief Counsel. (See IRS appendix A for addresses); (2) If the
individual is retired from Federal service he should direct inquiries
to: Associate Director for Compensation, Office of Personnel
Management, 1900 E Street, NW, Washington, DC 20415; (3) if the
individual is not retired, but has been separated from Federal service,
he should direct inquiries to: National Personnel Records Center, 9700
Page Blvd., St. Louis, Missouri 63132.
RECORD ACCESS PROCEDURES:
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 appropriate official
listed above. Individuals requesting information in this system of
records should provide their full name, date of birth, social security
number, claim number, if assigned, and the POD in which currently or
formerly employed.
CONTESTING RECORDS PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
The information in this system is obtained from the following
sources: (1) The individual whom the information is about; (2) GAO Pay,
Leave and Allowance Records System; (3) OPM Personnel Management
Records System; (4) NARA National Personnel Records Center; (5) OPM
Medical Records System; (6) Federal civilian retirement systems other
than Civil Service Retirement System and Federal Employees' Retirement
System; (7) Military retired pay system records; (8) Office of Workers'
Compensation Programs; (9) Veterans Administration Pension Benefits
Programs; (10) Social Security, Old Age, Survivor and Disability
Insurance and Medicare Programs.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 37.001
SYSTEM NAME:
Abandoned Enrollment Applications--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
901 D Street, SW, Washington, DC, and the Detroit Computing Center, 985
Michigan Ave., Detroit, MI 48226.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who applied for enrollment to practice before the
Internal Revenue Service but subsequently abandoned their applications.
CATEGORIES OF RECORDS IN THE SYSTEM:
Applications for enrollment to practice before the Internal Revenue
Service and, in some cases, information regarding individuals' fitness
for enrollment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purpose of this system is to retain enrollment applications,
for the benefit of applicants, until the time limits for pursuing such
applications have expired.
ROUTINE USES OF RECORD MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal
including the presentation of evidence, 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; (4) provide information to a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders.
RETRIEVABILITY:
Indexed by name of applicant.
SAFEGUARDS:
Those safeguards in effect at Federal Records Center.
RETENTION AND DISPOSAL:
Records are periodically updated to reflect changes and maintained
as long as needed.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, 1111
Constitution Ave., NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
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: Internal Revenue Service
Office of the Director of Practice, C:AP:P, 1111 Constitution Ave, NW,
Washington, DC 20224.
[[Page 69879]]
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by (1)
the applicant; (2) individuals; (3) the Internal Revenue Service; (4)
other government agencies, and (5) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 37.002
SYSTEM NAME:
Files Containing Derogatory Information about Individuals Whose
Applications for Enrollment to Practice Before the IRS Have Been Denied
and Applicant Appeal Files--Treasury/IRS.
SYSTEM LOCATION:
(1) Internal Revenue Service, Office of Director of Practice, 901 D
Street, SW, Washington, DC; and (2) Detroit Computing Center, 985
Michigan Avenue, Detroit, MI 48226.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals whose applications for enrollment to practice before
the Internal Revenue Service have been denied, including those who have
appealed such denial.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to individuals' applications and eligibility
for enrollment to practice before the Internal Revenue Service.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purposes of this system of records are to inform the Director
of Practice personnel that certain individuals have been denied
enrollment based on derogatory information and that certain individuals
have appealed denial of enrollment.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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; (4) provide information to a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders.
RETRIEVABILITY:
Indexed by name of individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5 year intervals for
retention.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue, NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue, NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by: (1)
Individuals; (2) the Internal Revenue Service; (3) other Government
agencies, and (4) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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).
TREASURY/IRS 37.003
SYSTEM NAME:
Closed Files Containing Derogatory Information About Individuals'
Practice Before the Internal Revenue Service and Files of Attorneys and
Certified Public Accountants Formerly Enrolled to Practice--Treasury/
IRS.
SYSTEM LOCATION:
(1) Internal Revenue Service, Office of Director of Practice, 901 D
Street SW, Washington, DC; and (2) Detroit Computing Center, 985
Michigan Avenue, Detroit, MI 48226.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals eligible to practice before the Internal Revenue
Service (attorneys, certified public accountants and enrolled agents).
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to individuals' enrollments to practice before
the Internal Revenue Service and derogatory and other information
regarding such practice.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
[[Page 69880]]
PURPOSE(S):
The purposes of this system of records are to permit Director of
Practice personnel to evaluate new derogatory information about an
individual's practice before the Internal Revenue Service in light of
past evidence of misconduct, and to retain information on formerly
enrolled attorneys and certified public accountants whom the Director
of Practice might need to contact with regard to their eligibility to
practice before the Internal Revenue Service.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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; (4) provide information to a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by name of individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by: (1)
Individuals, (2) Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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).
TREASURY/IRS 37.004
SYSTEM NAME:
Derogatory Information (No Action)--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
901 D Street SW, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Attorneys, certified public accountants, enrolled agents and
others.
CATEGORIES OF RECORDS IN THE SYSTEM:
Such files contain derogatory information concerning attorneys,
certified public accountants, and enrolled agents and others over whom
there is no current jurisdiction, where such information is subject to
future development, or where such information is not sufficiently
serious to be currently considered a case file.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purpose of this system of records is to permit Director of
Practice personnel to evaluate new derogatory information about an
individual's practice before the Internal Revenue Service in light of
past evidence of misconduct.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence,
[[Page 69881]]
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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by name of individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Dispose after 5 years by burning.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by (1)
individuals, (2) the Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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).
TREASURY/IRS 37.005
SYSTEM NAME:
Present Suspensions and Disbarments Resulting from Administrative
Proceeding--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
901 D Street, SW, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals formerly eligible to practice before the Internal
Revenue Service but now either suspended or disbarred from such
practice after being accorded due notice and opportunity for hearing.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to individuals' enrollment to practice before
the Internal Revenue Service, derogatory and other information
regarding such practice, and record of proceedings.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purposes of this system of records are to retain derogatory
information about an individual's practice before the Internal Revenue
Service, to retain a record of how such information was evaluated by
Director of Practice personnel, to retain a record of how an individual
responded to allegations of misconduct, to retain a record of
proceeding before an administrative law judge, to inform Director of
Practice personnel that certain individuals have been suspended or
disbarred, and to permit Director of Practice personnel to assemble and
consider new information bearing on an individual's eligibility for
reinstatement to practice.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Transfer information regarding
suspension or disbarment of attorneys, certified public accountants and
enrolled agents to professional organizations; (2) disclose pertinent
information to appropriate Federal, State, or foreign agencies
responsible for investigating or prosecuting the violations of, or for
implementing, a state, 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; (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; (4) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (6) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by name of individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
[[Page 69882]]
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by: (1)
Individuals, (2) Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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).
TREASURY/IRS 37.006
SYSTEM NAME:
General Correspondence File--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, 901 D
Street SW, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
General public.
CATEGORIES OF RECORDS IN THE SYSTEM:
General inquiries and comments from the general public.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purpose of this system is to permit Director of Practice
personnel to retrieve selected correspondence from the general public
by the correspondent's last name.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
state, 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; (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; (3) disclose relevant, non-privileged information to a court,
magistrate, or administrative tribunal, including the presentation of
evidence, 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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (6) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to any agency's
functions relating to civil and criminal proceedings.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders.
RETRIEVABILITY:
Correspondence is indexed alphabetically by writer.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Destroyed after 3 years.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system has been provided by the
general public.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 37.007
SYSTEM NAME:
Inventory--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
901 D Street, SW, Washington, DC; Internal Revenue Service, Long Island
Appeals, 50 Clinton Street, Hempstead, NY 11550; and Internal Revenue
Service, Appeals Office, 701 Market Street, Suite 2200, Philadelphia,
PA 19106.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Attorneys, certified public accountants and enrolled agents
about which alleged misconduct in their practice before the Internal
Revenue Service is being reviewed and evaluated; (2) Appraisers who
have been
[[Page 69883]]
referred to the Director of Practice for review and evaluation of
conduct which resulted in assessment of a penalty under 26 U.S.C.
6701(s); and (3) Applicants for enrollment to practice before the
Internal Revenue Service whose applications are being reviewed and
evaluated.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to individuals' enrollment or eligibility to
practice before the Internal Revenue Service, and information relating
to their conduct in such practice; and information relating to
appraisers and applicants for enrollment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purposes of this system of records are to inform Director of
Practice personnel of current derogatory information about an
individual's practice before the Internal Revenue Service, to permit
Director of Practice personnel to evaluate such information and an
individual's response to allegations of misconduct, and to permit
Director of Practice personnel to make recommendations as to the
disposition of cases.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by name of individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case is closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by: (1)
Individuals, (2) Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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).
TREASURY/IRS 37.008
SYSTEM NAME:
Register of Docketed Cases and Applicant Appeals--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
901 D Street SW, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals against whom complaints have been filed with the Office
of Director of Practice pursuant to Title 31, CFR, subpart C,
Sec. 10.54, for alleged violation of the regulations governing practice
before the Internal Revenue Service and individuals who have appealed
to the Secretary of the Treasury, the denials of their application for
enrollment to practice before the Internal Revenue Service.
CATEGORIES OF RECORDS IN THE SYSTEM:
Record of actions taken in cases docketed for hearings and record
of actions taken on appeals from denials of applications for
enrollment.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purposes of this system of records are to permit Director of
Practice personnel to assign sequential numbers to cases in which
complaints will be issued and to inform Director of Practice personnel
of which cases are on appeal with the Secretary of the Treasury.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or
[[Page 69884]]
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; (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; (3) disclose relevant, non-privileged information to a court,
magistrate, or administrative tribunal, including the presentation of
evidence, 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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by complaint number and by name of the individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Records are periodically updated to reflect changes and maintained
as long as needed.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by: (1)
This office, (2) administrative law judges and (3) the Internal Revenue
Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 37.009
SYSTEM NAME:
Enrolled Agents and Resigned Enrolled Agents (Action pursuant to 31
CFR, Sec. 10.55(b))--Treasury/IRS.
SYSTEM LOCATION:
Detroit Computing Center, 985 Michigan Avenue, Detroit, MI 48226.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Those individuals who are currently enrolled to practice before the
Internal Revenue Service and those who were formerly enrolled to
practice before the Internal Revenue Service and who resigned from such
enrollment.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to individuals' applications for enrollment to
practice before the Internal Revenue Service and derogatory and other
information regarding such practice.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purposes of this system of records are to retain derogatory
information about an individual's practice before the Internal Revenue
Service, to retain a record of how such information was evaluated, to
retain a record of how an individual responded to allegations of
misconduct, to inform Director of Practice personnel that certain
individuals, pursuant to 31 CFR, Sec. 10.55(b), have offered their
consent to suspension or offered to resign as enrolled agents and that
such offers have been accepted by the Director of Practice, and to
permit Director of Practice personnel to assemble and consider new
information bearing on an individual's eligibility for reinstatement to
practice.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
[[Page 69885]]
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by name of individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Destroyed 60 years after enrollment.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by (1)
Individuals, (2) Internal Revenue Service; (3) other government
agencies, and (4) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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).
TREASURY/IRS 37.010
SYSTEM NAME:
Roster of Former Enrollees--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
901 D Street SW, Washington, DC; and Detroit Computing Center, 985
Michigan Avenue, Detroit, MI 48226.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Attorneys and certified public accountants who were enrolled to
practice before the Internal Revenue Service prior to enactment of the
Agency Practice Act, Title 5 U.S. Code, Section 500 and former enrolled
agents who do not renew their enrollment.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains individuals' names, addresses, professions,
the dates of their enrollments and the expiration dates of such
enrollments.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purposes of this system of records are to inform Director of
Practice personnel that certain individuals were enrolled to practice
before the Internal Revenue Service prior to enactment of the Agency
Practice Act, 5 U.S.C., section 500, and to inform Director of Practice
personnel that certain individuals have not renewed their enrollment.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by profession (i.e., attorney or certified public
accountant) and by the individual's name.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Records are periodically updated to reflect changes and maintained
as long as needed.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of
[[Page 69886]]
Practice, C:AP:P, 1111 Constitution Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in records in this system has been provided
by: (1) Individuals and (2) the Internal Revenue Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 37.011
SYSTEM NAME:
Present Suspensions from Practice before the Internal Revenue
Service--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
901 D Street, SW, Washington, DC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Attorneys, certified public accountants and enrolled agents who
have offered their consent to voluntary suspension from practice before
the Internal Revenue Service.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to individuals' enrollment or eligibility to
practice before the Internal Revenue Service, derogatory and other
information relating to their conduct in such practice.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 330.
PURPOSE(S):
The purposes of this system of records are to retain derogatory
information about an individual's practice before the Internal Revenue
Service, to retain a record of how such information was evaluated by
Director of Practice personnel, to retain a record of how an individual
responded to allegations of misconduct, to inform Director of Practice
personnel that certain individuals, pursuant to 31 CFR 10.55(b), have
offered their consent to suspension and that such offers have been
accepted by the Director of Practice, and to permit Director of
Practice personnel to assemble and consider new information bearing on
an individual's eligibility for reinstatement to practice.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in these records may be used:
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: (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; (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; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
File folders; electronic media.
RETRIEVABILITY:
Indexed by name of individual.
SAFEGUARDS:
Locked doors. Access is limited to authorized personnel.
RETENTION AND DISPOSAL:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
SYSTEM MANAGER(S) AND ADDRESS:
Internal Revenue Service, Office of Director of Practice, C:AP:P,
1111 Constitution Avenue NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
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; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Inquiries should be addressed as in
``Record access procedures'' below.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its contents, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the Internal Revenue
Service, Office of Director of Practice, C:AP:P, 1111 Constitution
Avenue NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information contained in this system may have been provided by: (1)
Individuals, (2) the Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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).
TREASURY/IRS 38.001
SYSTEM NAME:
General Training Records--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center and the Martinsburg
Computing Center. (See IRS appendix A for addresses.)
[[Page 69887]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
IRS employees who have participated in or who may be scheduled for
training activities (students, instructors, program managers, etc.).
Other Federal or non-Government individuals who have participated in or
assisted with training programs (students, instructors, course
developers, interpreters, etc.).
CATEGORIES OF RECORDS IN THE SYSTEM:
Variety of records containing information about an individual
related to training, such as: course rosters, student registrations,
nomination forms, course evaluations, instructor lists, individual
development plans, counseling records, examination materials, payment
records, and other recordations of training necessary for reporting and
evaluative purposes. Some records within this system may also be
contained in TR/IRS 36.003, General Personnel Records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. Chapter 41; Executive Order 11348.
PURPOSE(S):
These records are collected and maintained to provide documentation
of individual training development plans, training requirements,
nominations, student training registration, instructor lists, course
rosters, course evaluations, counseling records, examination materials,
and accounting and financial information, with regard to training
reporting and evaluation purposes.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information from these records may be used to: (1)
Disclosure of information to the Department of Justice for the purpose
of litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (3) provide input data for the automated
Training CPDF at the Office of Personnel Management.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, index cards, forms, or flat paper.
RETRIEVABILITY:
Computer records are indexed by social security account numbers,
course titles, dates of training, location of training and by specific
employee information (i.e., name, title, grade, etc.); other records
are indexed by name and course title.
SAFEGUARDS:
Access Controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00. Individual
computer records are available to those persons at OPM, Treasury or IRS
who are directly involved with the training function.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
SYSTEM MANAGER(S) AND ADDRESS:
All Education Branch Chiefs, Support Services Division, at the
National Office; Office of the Assistant Commissioner (International);
National Director of Education; Managers in Corporate Education; Chief,
Headquarters Operations and Training; Managers at the Detroit and
Martinsburg Computing Centers; Regional Directors, and Host Site
Support Chiefs. (see appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
Record access procedures:
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 system manager(s) in
the office(s) where records to be searched are located. (See appendix A
for addresses.)
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Information is extracted from participant registration forms,
individual development plans, skill surveys, personnel records, and
other forms as may be developed and prescribed by OPM, Treasury, and
IRS Training Personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 42.001
SYSTEM NAME:
Examination Administrative File--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Commissioner (Examination) and Office of
the Assistant Commissioner (International), National Office; Regional
Offices, District Offices, and Internal Revenue Service Centers. (See
IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any taxpayer who is being considered for examination or is being or
has been examined for tax determination purposes, i.e., income, estate
and gift, excise, or employment tax liability.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records containing investigatory materials required in making a tax
determination or other verification in the administration of tax laws
and all other related sub-files directly related to the processing of
the tax case. This system also includes other management material
related to a case and used for tax administrative purposes, including
the appeals process and systems formerly published as 42.018, 42.023,
and 42.025.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
PURPOSE(S):
Numerous tax returns are examined each year. The system provides a
complete record of the examinations of tax returns. It also allows IRS
access to investigatory materials and management materials relating to
examinations for purposes of tax adminstration and analysis of taxpayer
compliance.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USES AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents, machine-sensible data media, microfilm.
RETRIEVABILITY:
By taxpayer's name, taxpayer identification number (social security
number or employer identification number) and document locator number.
[[Page 69888]]
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
202 for Examination--Regional and District Offices, IRM 1(15)59.22.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Examination) and Assistant Commissioner (International); Officials
maintaining the system--Assistant Commissioner (Examination), Assistant
Commissioner (International) District Directors, and Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system is exempt from the notification provisions of the
Privacy Act.
RECORD ACCESS PROCEDURES:
This system is exempt from the access and contest provisions of the
Privacy Act.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
(1) Taxpayers' returns; (2) taxpayer's books and records; (3)
informants and third party information; (4) city and state governments;
(5) other Federal agencies; (6) examinations of related taxpayers; (7)
examinations of other taxpayers, and (8) taxpayer's representative.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 42.008
SYSTEM NAME:
Audit Information Management System (AIMS)--Treasury/IRS.
SYSTEM LOCATION:
This system is composed of (1) computer files located at each
jurisdictional IRS Service Center (where tax return is under
examination control); (2) video terminals located at each
jurisdictional district (served by an IRS Service Center), National
Office; and (3) group control card forms 5345 and 5354 (including
temporary and interim processing files for management and control
purposes), located at each jurisdictional district office. Items
described under (3) above are subfiles of the AIMS System. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers whose tax returns are under the jurisdiction of the
Examination Division. Examiners assigned to taxpayer cases.
CATEGORIES OF RECORDS IN THE SYSTEM:
Tax return information from the Master File, Tax return status and
location changes, Examination Closing information on examined and non-
examined tax returns, examiner's name, including related internal
management information and a code identifying taxpayers that threatened
or assaulted IRS employees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
AIMS is a computer system designed to give Examination Division
information about returns in inventory and closed returns. This allows
IRS to identify the status and location of tax returns in Examination
and prepare analyses of the examination process. It includes Exam
Returns Control System (ERCS) records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Computer, microfiche, paper.
RETRIEVABILITY:
By taxpayer identification number (social security number or
employer identification number).
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Computer Record: Examined closings, surveyed claims and some types
of non-examined closings are dropped from the data base 60 days after
closing or when assessment verification is completed, whichever is
later. The balance of non-examined closings are dropped at the end of
the month following the month of closing. Paper Records: Generally,
AIMS forms are destroyed within 90 days of the closing. Exceptions
include: (1) The charge-out which becomes part of the case file and is
sent to the Federal Records Center with the case; (2) Examination
request forms which become the Examination group's control card; and
(3) The Examination group's control card which is retained in a closed
file for 3 years (in the case of field examinations) and 90 days (in
the case of office examinations). Authority: Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Examination). Officials maintaining the system--Assistant Regional
Commissioners (Examination), District Directors, and Internal Revenue
Service Center Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system is exempt from the notification provisions of the
Privacy Act.
RECORD ACCESS PROCEDURES:
This system is exempt from the access and contest provisions of the
Privacy Act.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax Returns and Examination files.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 42.013
SYSTEM NAME:
Project Files for the Uniform Application of Laws as a Result of
Technical Determinations and Court Decisions--Treasury/IRS.
SYSTEM LOCATION:
District offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals grouped as to project, i.e., individual shareholders of
a corporation where a determination having a tax effect has been made.
CATEGORIES OF RECORDS IN THE SYSTEM:
Listing of individuals and their income tax information.
[[Page 69889]]
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
In some instances, a technical determination either from an
examination or from a Chief Counsel ruling or court decision will
result in tax effect to shareholders of a corporation. This system
allows the IRS to monitor and control the shareholder returns that are
included in the project.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents and magnetic media.
RETRIEVABILITY:
By taxpayer's name and social security number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
102 for Examination Division--National Office, IRM 1(15)59.12.
SYSTEM MANAGER(S) AND ADDRESS:
Officials prescribing policies and practices--Assistant
Commissioner (Examination) and Assistant Commissioner (International).
Officials maintaining the system--Director of District where the
taxpayer resides. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 District Director in
the District where the records are located. (See IRS appendix A for
addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
(1) Shareholder records, (2) individual's tax return, and (3)
examination of related taxpayer.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 42.014
SYSTEM NAME:
Internal Revenue Service Employees' Returns Control Files--
Treasury/IRS.
SYSTEM LOCATION:
District Offices (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any individual who is employed by the Internal Revenue Service.
CATEGORIES OF RECORDS IN THE SYSTEM:
Alphabetical listing of employee, income tax return information
including prior examination results and other tax related information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system provides administrative controls for tax returns of
Internal Revenue Service employees considered for examination, being
examined, or previously examined.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents, machine-sensible data media, microfilm.
RETRIEVABILITY:
By employee's name and social security number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
periodically updated to reflect changes and retained as long as the
individual is employed.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant
Commissioner (Examination). Officials maintaining the system--Director
of District where individual resides. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 District Director in
the District where the records are located. (See IRS Appendix A for
addresses.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Employee's tax return.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 42.016
SYSTEM NAME:
Classification/Centralized Files and Scheduling Files--Treasury/
IRS.
SYSTEM LOCATION:
District Offices, Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals whose returns or claims are classified for examination.
CATEGORIES OF RECORDS IN THE SYSTEM:
Individuals' tax returns/claims and other information, including
information reports considered in screening/classifying of an
individual's return or claim for refund.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
[[Page 69890]]
PURPOSE(S):
This is a system for storage and control of returns identified for
potential examination. It provides for the centralized storage of
returns prior to scheduling for examination and a means to control and
access these returns as needed.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents, computer printouts, magnetic media.
RETRIEVABILITY:
By taxpayer's name and social security number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Returns/claims accepted as filed are returned to System of Records
22.034. Returns/claims selected for examination become part of System
of Records 42.001. Other information is retained until associated with
returns/claims or two years, whichever occurs first. Authority: Records
Disposition Handbook IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Examination). Officials maintaining the system--District Directors,
Internal Revenue Service Center Directors. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system is exempt from the notification provisions of the
Privacy Act.
RECORD ACCESS PROCEDURES:
This system is exempt from the access and contest provisions of the
Privacy Act.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
(1) Tax returns, (2) requests from taxpayer, and (3) requests from
Collection Division for prompt examination.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 42.017
SYSTEM NAME:
International Enforcement Program Files--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Commissioner (International), National
Office; District Offices, and Internal Revenue Service Centers. (See
IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any individual having foreign business/financial activities.
CATEGORIES OF RECORDS IN THE SYSTEM:
Listing of individuals, identification numbers (if known), 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, etc.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
The purpose is to monitor the International Enforcement Program. It
provides data for the preparation of periodic reports, the analysis of
which is the basis to determine the effectiveness of the program.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents, microfilm, machine sensible magnetic media.
RETRIEVABILITY:
By individual's name and social security number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
periodically updated to reflect changes and retained as long as the
individual has substantial foreign business/financial activities.
SYSTEM MANAGER(S) AND ADDRESS:
Officials prescribing policies and practices--Assistant
Commissioner (Examination) and Assistant Commissioner (International).
Officials maintaining the system--Assistant Commissioner
(International), District Directors, Internal Revenue Service Center
Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system is exempt from the notification provisions of the
Privacy Act.
RECORD ACCESS PROCEDURES:
This system is exempt from the access and contest provisions of the
Privacy Act.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
(1) European treaty countries, (2) individual's tax returns, (3)
examination of related taxpayers, and (4) public sources of
information.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 42.021
SYSTEM NAME:
Compliance Programs and Projects Files--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, and Internal
Revenue Service Centers. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers who may be involved in tax evasion schemes, including
withholding noncompliance or other areas of noncompliance grouped by
industry, occupation, or financial transactions, and other; e.g.,
return preparers, political contributions, corporate kickbacks,
questionable Forms W-4.
[[Page 69891]]
CATEGORIES OF RECORDS IN THE SYSTEM:
Records pertaining to individuals in projects and programs, and
records used to consider individuals for selection in projects and
programs.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
This system provides a means to monitor and control information
related to special programs and projects to identify areas of non-
compliance. Using this information, available efforts can be focused on
the more significant non-compliance issues. This system includes
Midwest Automated Compliance System (MACS) records and records
concerning tax preparers. Certain records in this system (for example,
MACS) may be used to select individuals for compliance actions.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, machine-sensible data media, microfilm, and magnetic
media.
RETRIEVABILITY:
By taxpayer's name and social security number, document locator
number or other unique identifier.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
W-4 paper case files and National Computer Center (NCC) magnetic
tape records are destroyed two years after the cases have been
inactive. Records associated with the examination of returns are
disposed of in accordance with the established Retention Schedule
1(15)59.22, Records Control Schedule. Records not associated with the
examination of returns will be destroyed at the completion of the
program or project, or in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Examination). Officials maintaining the system--District Directors,
and Internal Revenue Service Center Directors. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
(1) Taxpayer's return, (2) taxpayer's books and records, (3)
informants and third party information, (4) city, state government, (5)
other Federal agencies, (6) examinations of related taxpayers, and (7)
taxpayer's employer.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 42.027
SYSTEM NAME:
Data on Taxpayers Filing on Foreign Holdings--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Commissioner (International), National
Office, Regional Offices, District Offices, Philadelphia Internal
Revenue Service Center, and the Detroit Computing Center. (see IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals required to file Form 5471, Information Return with
respect to a Foreign Corporation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Names of individuals filing on foreign holdings.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
The purpose is to monitor the International Enforcement Program. It
provides data for the preparation of periodic reports, the analysis of
which is the basis to determine the effectiveness of the program.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic tape in Detroit Computing Center and Philadelphia Service
Center; Paper at other listed locations, machine-sensible data media
and microfilm.
RETRIEVABILITY:
By taxpayer's name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
disposed of within three years.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(International), National Office. Officials maintaining the system--
District Directors; Regional Commissioners; Assistant Commissioner
(Examination) and Assistant Commissioner (International), National
Office; Director, Detroit Computing Center; Assistant Commissioner
(Taxpayer Services), National Office. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
District Director for each district whose records are to be accessed or
contested, or to the directors, or Assistant Commissioner
(International) in the case of records in the National Office. (See IRS
appendix A for addresses.)
[[Page 69892]]
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Form 5471 only.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 42.030
SYSTEM NAME:
Discriminant Function File (DIF)--Treasury/IRS.
SYSTEM LOCATION:
Internal Revenue Service Centers. (See IRS appendix A for
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals whose income tax returns have a DIF Score higher than a
cutoff score determined by Examination and International, indicating
high audit potential, based on formulae prescribed by Examination.
CATEGORIES OF RECORDS IN THE SYSTEM:
Document Locator Number of the return, the Regional and District
Offices of the taxpayer, the taxpayer's DIF Score and data from the
individual's Income Tax Return needed to conduct an audit of his/her
return.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
These records provide the means to identify returns with the
highest potential for examination.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic tape and computer printout.
RETRIEVABILITY:
By individual's social security number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Record Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
disposed of after three years.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Examination) and Assistant Commissioner (International). Officials
maintaining the system--Internal Revenue Service Center Directors. (See
IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purpose of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for the purpose of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Individual's tax return information.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 44.001
SYSTEM NAME:
Appeals Case Files--Treasury/IRS.
SYSTEM LOCATION:
Office of the National Director of Appeals, National Office;
Regional Directors of Appeals (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who disagree with examiner's findings and proposed
adjustments and seek administrative review.
CATEGORIES OF RECORDS IN THE SYSTEM:
Tax returns, Revenue Agents' Reports, Appeals Supporting
Statements, case correspondence, legal opinions, work papers, and
Appeals closing actions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 7801 and 7802.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By name of taxpayer.
SAFEGUARDS:
Locked file cabinets, locked doors, IRS employees access data only
on a need to know basis.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Record Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Records are disposed
of by shredding.
SYSTEM MANAGER(S) AND ADDRESS:
National Director of Appeals, Internal Revenue Service, 901 D
Street, SW., Box 68, Washington, DC 20024; Regional Directors of
Appeals (see IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 44.003
SYSTEM NAME:
Unified System for Time and Appeals Records (Unistar)--Treasury/
IRS.
SYSTEM LOCATION:
Office of the National Director of Appeals, National Office;
Regional Directors of Appeals (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who disagree with examiner's findings and proposed
adjustments and seek administrative review.
[[Page 69893]]
CATEGORIES OF RECORDS IN THE SYSTEM:
Databases which produce management information on case inventory by
taxpayer name, tax year, amount of tax in dispute, settlement amount,
and professional time required to arrive at settlement.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 7801 and 7802.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Magnetic media, diskette, hard disk.
RETRIEVABILITY:
By taxpayer's name and/or taxpayer identification number (social
security number or employer identification number) and by work unit
number.
SAFEGUARDS:
IRS personnel access data only on a need-to-know basis and use
passwords to access system information.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Record Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
National Director of Appeals, Internal Revenue Service, 901 D
Street, SW., Box 68, Washington, DC 20024; Regional Directors of
Appeals (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 system manager(s) in
the office where records to be searched are located.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Also, time reports prepared by Appeals Officers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 44.004
SYSTEM NAME:
Art Case File--Treasury/IRS.
SYSTEM LOCATION:
Office of the National Director of Appeals, National Office;
Regional Directors of Appeal (see IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Famous or noted artists whose works have been evaluated by the Art
Panel or its staff for use in a taxpayer case.
CATEGORIES OF RECORDS IN THE SYSTEM:
Commissioner's Art Panel or its staff decisions on values of works
of art by named artists and appraisal documentation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, 7802, and 7805(a).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigation an action or seeking legal
advice; (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; (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; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to 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; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Indexed by taxpayer, artist, and appraiser name.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. The system has been
retained since 1968.
SYSTEM MANAGER(S) AND ADDRESS:
National Director of Appeals, Internal Revenue Service, 901 D
Street, SW., Box 68, Washington, DC 20024; Regional Directors of
Appeals (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
Individuals seeking access to any record contained in this system
of records, or seeking to contest its
[[Page 69894]]
content, may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to the
National Director of Appeals, Internal Revenue Service, 901 D Street,
SW., Box 68, Washington, DC 20024
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Art panel and staff decisions and appraisal documentation.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 44.005
SYSTEM NAME:
Expert Witness and Fee Appraiser Files--Treasury/IRS.
SYSTEM LOCATION:
Office of the National Director of Appeals, National Office;
Regional Directors of Appeals (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Actual and potential expert witnesses for litigation and fee
appraisers.
CATEGORIES OF RECORDS IN THE SYSTEM:
Biographical sketches, application letters, or list of expert/
appraiser names by specialty.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, 7802, and 7805(a).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating and action and seeking legal
advice; (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; (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; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to 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; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
Indexed by taxpayer and expert witness/appraiser name.
SAFEGUARDS:
Access Controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Records are
periodically updated to reflect changes and maintained as needed.
SYSTEM MANAGER(S) AND ADDRESS:
National Director of Appeals, Internal Revenue Service, 901 D
Street, SW., Box 68, Washington, DC 20024; Regional Directors of
Appeals. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 National Director of Appeals,
Internal Revenue Service, 901 D Street, SW., Box 68, Washington, DC
20024.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Varied, generally from the named individual, often unsolicited.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 46.002
SYSTEM NAME:
Criminal Investigation Management Information System--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, and Detroit Computing Center. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Subjects and potential subjects of Criminal Investigation Division
investigations, Special Agents, U.S. District Court Judges and U.S.
Attorneys.
CATEGORIES OF RECORDS IN THE SYSTEM:
Personal and financial information developed in criminal tax
investigations, potential tax investigations and in projects including
information from other Federal, state and local agencies.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To maintain and process sensitive investigative data that
identifies patterns of criminal and/or civil noncompliance with federal
income tax laws and to maintain and process sensitive information on
agent personnel.
[[Page 69895]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided in 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in binders, magnetic media, computer discs, computer
printouts.
RETRIEVABILITY:
By taxpayer's name, case number and social security number, or
other unique identifier.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--Assistant Commissioner (Criminal Investigation); Regional
Commissioners, District Directors, Internal Revenue Service Center
Directors, and the Detroit Computing Center Director. (See IRS appendix
A for addresses).
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 46.003
SYSTEM NAME:
Confidential Informants, Criminal Investigation Division--Treasury/
IRS.
SYSTEM LOCATION:
District Offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Confidential Informants; Subjects of Confidential Informant's
Reports.
CATEGORIES OF RECORDS IN THE SYSTEM:
Memorandums, Index Cards, Related Data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To maintain a file of the true identities of confidential
informants.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By confidential informant's name and number or name in informant's
report.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--District Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 46.004
SYSTEM NAME:
Controlled Accounts (Open and Closed)--Treasury/IRS.
SYSTEM LOCATION:
District Offices, Internal Revenue Service Centers, and the
Martinsburg Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Subjects and potential subjects of criminal tax investigation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Criminal Investigation Information and Control Notices; Lists of
names and related data; Lists of action taken: Transcripts of account.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To maintain and process any activity pertaining to the taxpayer
account that identifies patterns of criminal and/or civil noncompliance
with federal tax and moneylaundering laws.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By name or social security number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security
[[Page 69896]]
Handbook, IRM 1(16)12 and the Automated Information System Security
Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Paper records are
destroyed one year after the close of the investigation. Magnetic tape
is erased three months after the close of the investigation.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--District Directors, Internal Revenue Service Center Directors,
and the Martinsburg Computing Center Director. (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
Individuals seeking to 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 District Director for
each District where records are to be searched (See IRS appendix A for
addresses).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
District Office Personnel; Service Center Personnel, Form 4135,
Criminal Investigation Control Notice.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 46.005
SYSTEM NAME:
Electronic Surveillance File, Criminal Investigation Division--
Treasury/IRS.
SYSTEM LOCATION:
National Office, 1111 Constitution Avenue, NW., Washington, DC
20224
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Subjects of electronic surveillance. Individuals who have been
subjects of queries by other agencies.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information relating to conduct of electronic surveillance.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To monitor and track all electronic surveillances that are
conducted by district field offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By names, addresses, and telephone numbers.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
periodically updated to reflect changes and maintained as long as
needed.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation) National Office. Officials maintaining the
system--Director, Office of Investigations (See IRS appendix A for
addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 46.009
SYSTEM NAME:
Centralized Evaluation and Processing of Information Items
(CEPIIs), Evaluation and Processing of Information (EOI), Criminal
Investigation Division--Treasury/IRS.
SYSTEM LOCATION:
District Offices, Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers about whom the Internal Revenue Service has received
information alleging a violation of laws within IRS jurisdiction,
potential subjects of investigation.
CATEGORIES OF RECORDS IN THE SYSTEM:
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, affidavits,
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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
PURPOSE(S):
To maintain and process sensitive investigative data that possibly
identifies potential criminal and/or civil noncompliance with federal
law and money laundering laws.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper and magnetic media.
RETRIEVABILITY:
By name.
[[Page 69897]]
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Paper records are
disposed of after use.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation) National Office. Officials maintaining the
system--District Directors, Internal Revenue Service Center Directors.
(See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 46.011
SYSTEM NAME:
Illinois Land Trust Files, Criminal Investigation Division--
Treasury/IRS.
SYSTEM LOCATION:
Chicago District Office, Springfield District Office, and the
Kansas City Internal Revenue Service Center. (See IRS appendix A for
addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Beneficiaries of Land Trusts, Related individuals.
CATEGORIES OF RECORDS IN THE SYSTEM:
Notices of Fiduciary Relationships. Related correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper and magnetic tape.
RETRIEVABILITY:
By taxpayer and beneficiary name; trust and social security number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Chicago District Director, Springfield District Director, and the
Kansas City Internal Revenue Service Center Director. (See IRS appendix
A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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: District Director,
Chicago District, Internal Revenue Service, 230 South Dearborn Street,
Room 2890, Chicago, Illinois 60604.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Financial institutions, Fiduciary reports and Notices of Fiduciary
Relationships.
Exemptions claimed for the system:
None.
TREASURY/IRS 46.015
SYSTEM NAME:
Relocated Witnesses, Criminal Investigation Division--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Commissioner (Criminal Investigation),
National Office, 1111 Constitution Avenue, NW., Washington, DC. 20224.
Categories of individuals covered by the system:
Relocated Witnesses.
Categories of records in the system:
Documentation and Relocation Information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper.
Retrievability:
By name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
periodically updated to reflect changes and maintained as long as
needed.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner (Criminal Investigation), Internal Revenue
Service, 1111 Constitution Avenue, NW., Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
[[Page 69898]]
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 46.016
SYSTEM NAME:
Secret Service Details, Criminal Investigation Division--Treasury/
IRS.
SYSTEM LOCATION:
National Office, Regional Offices and District Offices. (See IRS
appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Special Agents.
CATEGORIES OF RECORDS IN THE SYSTEM:
List of Criminal Investigation participants and correspondence
between Criminal Investigation and Secret Service.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records and information contained in these records may be disclosed
to the Department of Justice for the purpose of litigating an action or
seeking legal advice. Disclosure may be made during judicial processes.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper.
Retrievability:
By name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--Assistant Commissioner (Criminal Investigation), Regional
Commissioners, District Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act Amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 46.022
SYSTEM NAME:
Treasury Enforcement Communications System (TECS), Criminal
Investigation Division--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, and Internal
Revenue Service Centers. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Fugitives, subjects of open and closed criminal investigations,
subjects of potential criminal investigations, subjects with Taxpayer
Delinquent Accounts against whom Federal Tax Liens have been filed and
other subjects of potential interest to criminal investigation such as
witnesses and associates of subjects of criminal investigations or
related to a matter under Criminal Investigation jurisdiction.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, date of birth, social security number, address, identifying
details, aliases, associates, physical descriptions, various
identification numbers, details and circumstances surrounding the
actual or suspected violator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Disc.
RETRIEVABILITY:
By name, social security number or other unique identifier.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Fugitives until
apprehended. Other records are deleted when no longer of potential use
for criminal investigation case or informational purposes. Cancellation
after 10 years.
SYSTEM MANAGER(S) AND ADDRESS:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--Assistant Commissioner (Criminal Investigation), Regional
Commissioners, District Directors, and Internal Revenue Service Center
Directors. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
law
[[Page 69899]]
enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 46.050
SYSTEM NAME:
Automated Information Analysis System--Treasury/IRS.
SYSTEM LOCATION:
Detroit Computing Center, 1300 John C. Lodge Drive, Detroit,
Michigan 48226, and Automated Criminal Investigation Office, 7940
Kentucky Drive, Boone County, Kentucky 41042.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers and other individuals involved in financial transactions
which require the filing of information reflected in the Categories of
Records below.
CATEGORIES OF RECORDS IN THE SYSTEM:
The information included in the Automated Information Analysis
System is from reported income and tax information on the Individual
Master File (IMF)--Treasury/IRS 24.030; Individual Returns Files,
Adjustments and Miscellaneous Documents File--Treasury/IRS 22.034. The
Automated Information Analysis System also includes information from
such sources as: Currency Transaction Reports (CTRs), Currency and
Monetary Instrument Reports (CMIR's), Bank Secrecy Reports File,
Foreign Bank Account Reports (FBARs), Forms 8300 (Currency Received in
Trade or Business),--Treasury/CS .067; the Taxpayer Delinquent Account
Files (TDA)--Treasury/IRS 26.019, which includes adjustments and
payment tracer files and collateral files; Taxpayer Delinquency
Investigation Files (TDI)--Treasury/IRS 26.020, which includes taxpayer
information on delinquent returns; the Examination Administrative
File--Treasury/IRS 42.001, and Casino Transaction Reports from the
Detroit Computing Center.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
PURPOSE(S):
The purpose is to maintain records which identify transaction
patterns that are indicative of criminal and/or civil noncompliance
with Federal income tax and money laundering laws and to simultaneously
evaluate diverse data sources.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Electronic and Magnetic Media.
RETRIEVABILITY:
Records are retrievable by name, address, and social security
number.
SAFEGUARDS:
All Criminal Investigation personnel accessing the system will have
successfully passed a background investigation. Criminal Investigation
will furnish information from the system of records to approved
personnel only on a ``need to know'' basis using passwords and access
controls. Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Procedural and physical
safeguards to be utilized include the logging of all queries and
periodic review of the query logs; compartmentalization of information
to restrict access to authorized personnel; encryption of electronic
communications; intruder alarms; and 24-hour building guards.
RETENTION AND DISPOSAL:
All records are disposed of after 4 years. Records will be disposed
of by erasure of magnetic media.
SYSTEM MANAGER(S) AND ADDRESSES:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--Detroit Computing Center, CI Representative, and the Automated
Criminal Investigation Office Manager, 7940 Kentucky Drive, Boone
County, Kentucky 41042.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORDS PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records may not be accessed for purposes of
determining the source of the records. Records to be included all come
from existing Treasury and Internal Revenue Service databases. The
databases are comprised of records submitted by taxpayers, financial
institutions, casinos and businesses pursuant to federal law.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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), (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).
TREASURY/IRS 48.001
SYSTEM NAME:
Disclosure Records--Treasury/IRS.
SYSTEM LOCATION:
National Office, Regional Offices, District Offices, Internal
Revenue Service Centers, Detroit Computing Center, and the Martinsburg
Computing Center. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Subjects of requests for disclosure initiated by the Department
of Justice, including suspects or persons related to the violation of
Federal laws; persons who have initiated legal actions against the
Federal Government, persons identified as strike force targets or
related to organized crime activities, persons under investigation for
national security reasons, persons believed by the Internal Revenue
Service to be related to violations of Federal laws other than the
Internal Revenue Code. (2) Persons under investigation by other
executive departments or congressional committees for whom tax
information has been requested pursuant to 26 U.S.C. 6103. (3) Persons
who are parties to criminal or civil non-tax litigation in which the
testimony of IRS employees has been requested. (4) Persons who have
applied for Federal employment or presidential appointments for which
preemployment tax checks have been requested and applicants for
Department of Commerce ``E'' Awards. (5) Requesters for access to
records pursuant to 26 U.S.C. 6103, the Freedom of Information Act, 5
U.S.C. 552, and initiators of requests for access, amendment or other
action pursuant to the Privacy Act of 1974, 5 U.S.C. 552a. (6)
Individuals identified by or initiating correspondence or inquiries
processed or controlled by the Disclosure function or relating to the
foregoing subjects.
[[Page 69900]]
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests for records, information or testimony, responses to such
requests, supporting documentation, processing records, copies of items
provided or withheld, control records and related files. Department of
Justice, and IRS replies to such requests. (1) Copies of related
authorizations to IRS officials permitting such disclosures and, in
some instances, their responses. (2) Copies of individuals' tax
information, memoranda for file, notations of telephone calls, file
search requests, etc.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, 552 and 552a; 26 U.S.C. 6103, 7801 and 7802.
PURPOSE(S):
This is a system for maintaining records to administer applicable
laws and regulations concerning disclosure. It includes Disclosure
Information Management System (DIMS) records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) report apparent violations of law to appropriate law
enforcement agencies; (3) disclose debtor information to a Federal
payor 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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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.
DISCLOSURES TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(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.
1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper and electronic records in alphabetical or chronological
order within subject categories and/or such automated or electronic
record-keeping equipment as may be locally available. No centralized
index exists. Accountings of disclosure of tax related records pursuant
to 5 U.S.C. 552a(c) or 26 U.S.C. 6103(p)(3) are posted to the
Individual Master File and retrievable by Social Security Number, or to
the Business Master File and retrievable by Employer Identification
Number.
Retrievability:
Records are generally retrievable by name of individual, although
category of record and chronological period may be necessary to
retrieve some records. The social security number is necessary to
access accountings of disclosure posted to the Individual Master File.
The employer identification number is necessary for access to the
Business Master File.
Safeguards:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Director, Office of
Disclosure, National Office. Officials maintaining the system--
Director, Office of Disclosure, National Office; Regional
Commissioners, District Directors, and Internal Revenue Service Center
Directors, or other official receiving or servicing requests for
records. (See IRS appendix A for addresses.)
Notification procedure:
Requesters seeking to determine if accountable disclosures about
them have been made should request an accounting of disclosure pursuant
to 5 U.S.C. 552a(c) and 26 U.S.C. 6103(p)(3) of the District Director
for the area in which they reside. 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 District
Director for the area of residence or to the official believed to be
maintaining the record of interest (See IRS appendix A for addresses.)
This system contains some records of law enforcement activities which
may not be accessed for purposes of determining if the system contains
a record pertaining to a particular individual.
Record access procedures:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Requests for disclosure, records being evaluated and processed for
disclosure and related information from other systems of records. This
system may contain investigatory material compiled for law enforcement
purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions
of the Privacy Act.
Treasury/IRS 48.008
System name:
Defunct Special Service Staff File Being Retained Because of
Congressional Directive--Treasury/IRS.
System location:
National Office, 1111 Constitution Avenue, NW., Washington, DC
20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals suspected of violating the Internal Revenue laws by the
Special Service Staff before its discontinuation on August 23, 1973.
CATEGORIES OF RECORDS IN THE SYSTEM:
Internal Revenue Service Master File printouts; returns and field
reports; information from other law enforcement government
investigative agencies; Congressional Reports, and news media articles.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
PURPOSE(S):
This system of records was gathered and maintained by Congressional
Directive to document violations of the Internal Revenue Laws by the
Special Services Staff before its discontinuation.
[[Page 69901]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. This file is no longer being used by the
Internal Revenue Service. The Special Service Staff was abolished
August 13, 1973. Records may be used to: (1) Disclose information to
the Department of Justice for the purpose of litigating an action or
seeking legal advice; (2) disclose information to Congressional
Committees and individuals making Freedom of Information requests
pertaining to themselves.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records maintained alphabetically by individual and
organization contained in vault at IRS National Office.
RETRIEVABILITY:
Alphabetically by name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. No IRS official has access to
these records except for retrieval purposes in connection with
Congressional or Freedom of Information inquiries and litigation cases.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbook, IRM 1(15)59.1 through IRM 1(15)59.32. Initially retained
solely for congressional committees' inquiries, these records are
currently being retained because of their possible historical
significance under Archival statutes. Consideration of their historical
significance is in abeyance pending resolution of the Archivist right
to access tax information under the Internal Revenue Code.
SYSTEM MANAGER(S) AND ADDRESS:
National Director, Office of Governmental Liaison and Disclosure,
Internal Revenue Service, 1111 Constitution Avenue, NW., Washington, DC
20224.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 National Director,
Office of Governmental Liaison and Disclosure, Internal Revenue
Service, 1111 Constitution Avenue, NW., Washington, DC 20224. In
addition, this System may contain some records provided by other
agencies which are exempt from the access and contest provisions of the
Privacy Act as published in the Notices of the Systems of Records for
those agencies.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
News media articles, taxpayers' returns and records, informant and
third party information, other Federal agencies and examinations of
related or other taxpayers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Information from another agency's exempt system of records
duplicated in this system of records retains the exempt status.
TREASURY/IRS 49.001
SYSTEM NAME:
Collateral and Information Requests System--Treasury/IRS.
SYSTEM LOCATION:
The central files for this system are maintained at the Office of
the Assistant Commissioner (International), 950 L'Enfant Plaza, SW.,
Fourth Floor, Washington, DC 20024. A corresponding system of records
is separately maintained by the foreign posts located in: (1) Bonn,
Germany; (2) Sydney, Australia; (3) London, England; (4) Mexico City,
Mexico; (5) Ottawa, Canada; (6) Paris, France; (7) Rome, Italy; (8)
Singapore and (9) Tokyo, Japan. Inquiries concerning this system of
records maintained by the foreign posts should be addressed to the
Assistant Commissioner (International).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
United States Citizens, Resident Aliens, Nonresident Aliens.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records of interviewing 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. These
records relate to tax investigations conducted by the Internal Revenue
Service where some aspects on an investigation must be pursued in
foreign countries pursuant to the various tax treaties 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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
PURPOSE(S):
The purpose is to maintain a historical record of correspondence
and background work regarding the subjects for future references within
the stated retention time frames.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
By taxpayer name.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
disposed of after three years.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW.,
Fourth Floor, Washington, DC 20024.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if
[[Page 69902]]
the system contains a record pertaining to a particular individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Records of examinations of taxpayers, interviews of witnesses, etc.
where some aspects of an investigation must be pursued in foreign
countries pursuant to various tax treaties between the United States
and foreign governments.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 49.002
SYSTEM NAME:
Tax Treaty Information Management System--Competent Authority and
Index Card--Microfilm Retrieval System--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW., Fourth Floor, Washington, DC 20024.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
U.S. citizens, resident aliens, 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.
CATEGORIES OF RECORDS IN THE SYSTEM:
Individual case files of taxpayers who request relief from double
taxation or any other assistance that is pertinent to carrying out the
provisions of income tax treaties.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, 26 U.S.C. 7602, 7801, and 7802; applicable treaties.
PURPOSE(S):
To maintain records to monitor an inventory of individual case
files of taxpayers who request competent authority assistance pursuant
to the provisions of income tax treaties.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper, microfilm and electronic records.
RETRIEVABILITY:
By taxpayer name.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records may
be disposed of after six years.
SYSTEM MANAGER(S) AND ADDRESS:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW., Fourth Floor, Washington, DC 20024.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of the records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Requests for relief from double taxation.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
Treasury/IRS 49.003
SYSTEM NAME:
Financial Statements File--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW., Fourth Floor, Washington, DC 20024.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who submitted financial statements when interviewed
overseas by Examination Branch employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Financial Statements.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
PURPOSE(S):
To verify income reported on individual tax returns during the
course of an examination of that return.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
By taxpayer's name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
disposed of after two years.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW.,
Fourth Floor, Washington, DC 20024.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Assistant Commissioner (International), 950 L'Enfant Plaza, SW., Fourth
Floor, Washington, DC 20024.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Overseas Examination branch employees.
[[Page 69903]]
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 49.007
SYSTEM NAME:
Overseas Compliance Projects System--Treasury/IRS.
SYSTEM LOCATION:
The central files for this system are maintained at the Office of
the Assistant Commissioner (International), 950 L'Enfant Plaza, SW.,
Fourth Floor, Washington, DC 20024. A corresponding system of records
is separately maintained by the foreign posts located in: (1) Bonn,
Germany; (2) Sydney, Australia; (3) London, England; (4) Mexico City,
Mexico; (5) Santiago, Chile; (6) Paris, France; (7) Rome, Italy; (8)
Singapore and (9) Tokyo, Japan. Inquiries concerning this system of
records maintained by the foreign posts should be addressed to the
Assistant Commissioner (International).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
United States Citizens, Resident Aliens, Nonresident Aliens.
CATEGORIES OF RECORDS IN THE SYSTEM:
Documents and factual data relating to: (1) Personal expenditures
or investments not commensurate with known income and assets; (2)
receipt of significant unreported income; (3) improper deduction of
significant capital or personal living expenses; (4) failure to file
required returns or pay tax due; (5) omission of assets or improper
deduction or exclusion of items from state and gift tax returns.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
PURPOSE(S):
The purpose is to maintain documents and records of individuals
residing abroad that contain information pertaining to the individual
to determine proper tax liability.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
By taxpayer name, social security number, or other identification
number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
disposed of after 3 years.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW.,
Fourth Floor, Washington, DC 20024.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Documents and data relating to income and expense items concerning
income, Estate and Gift tax returns.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 49.008
SYSTEM NAME:
Taxpayer Service Correspondence System--Treasury/IRS.
SYSTEM LOCATION:
This system is separately maintained by each one of the 13 overseas
posts of the Office of the Assistant Commissioner (International)
located in: (1) Bonn, Germany; (2) Sydney, Australia; (3) London,
England; (4) Mexico City, Mexico;(5) Santiago, Chile; (6) Paris,
France; (7) Rome, Italy;(8) Singapore and (9) Tokyo, Japan. Inquiries
concerning this system of records maintained by the foreign posts
should be addressed to the Office of the Assistant Commissioner
(International), 950 L'Enfant Plaza, SW., Fourth Floor, Washington, DC
20024.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
United States Citizens, Resident Aliens, Nonresident Aliens.
CATEGORIES OF RECORDS IN THE SYSTEM:
Correspondence from taxpayers, foreign post personnel and the
Office of the Assistant Commissioner (International) headquarters
offices in Washington, DC.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
PURPOSE(S):
The purpose of this of records is to control correspondence
received from taxpayers concerning tax law and account related
inquiries.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
By taxpayer name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
disposed of after three years.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW.,
Fourth Floor, Washington, DC 20024.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Assistant Commissioner (International), 950 L'Enfant Plaza, SW., Fourth
Floor, Washington, DC 20024.
[[Page 69904]]
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Taxpayers and the Office of the Assistant Commissioner
(International) foreign posts and headquarter's offices.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 50.001
SYSTEM NAME:
Employee Plans/Exempt Organizations Correspondence Control Record
(Form 5961)--Treasury/IRS.
SYSTEM LOCATION:
National Office, 1111 Constitution Avenue, NW., Washington, DC
20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Requesters of letter rulings, and subjects of field office requests
for technical advice and assistance and other correspondence.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the name, date, nature and subject of an assignment, and
work history. Sub-systems include case files that contain the
correspondence, internal memoranda, and related material. They also
include digests of issues involved in proposed revenue rulings.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 7801, 7802, and 7805.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103 and 26 U.S.C. 6104 where applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, microfiche and magnetic media.
RETRIEVABILITY:
Indexed by name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Control Schedule
104 for Employee Plans/Exempt Organizations--National Office, IRM
1(15)59.14.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner (Employee Plans/Exempt Organizations), 1111
Constitution Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Assistant Commissioner (Employee Plans/Exempt Organizations), 1111
Constitution Avenue, NW., Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Individuals requesting rulings or information and field offices
requesting technical advice or assistance.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 50.003
SYSTEM NAME:
Employee Plans/Exempt Organizations, Report of Significant Matters
in Technical (M-5945)--Treasury/IRS.
SYSTEM LOCATION:
National Office, 1111 Constitution Avenue, NW., Washington, DC
20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individual subjects of letter ruling requests, technical advice
requests etc., where a ``Report of Significant Matter in Technical,''
has been prepared because of the presence of a matter significant to
tax administration.
CATEGORIES OF RECORDS IN THE SYSTEM:
Copies of ``Reports of Significant Matter in Technical.''
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 7801, 7802, and 7805.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103 and 26 U.S.C. 6104 where applicable.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
Indexed by name.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
104 for Employee Plans/Exempt Organizations--National Office, IRM
1(15)59.14.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Commissioner, (Employee Plans/Exempt Organizations), 1111
Constitution Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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
Assistant Commissioner, (Employee Plans/Exempt Organizations), Internal
Revenue Service, 1111 Constitution Avenue, NW., Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Individual subjects of letter ruling requests, technical advice
requests, etc., where a ``Report of Significant Matter in EP/EO'' has
been prepared.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
[[Page 69905]]
TREASURY/IRS 60.001
SYSTEM NAME:
Assault and Threat Investigation Files, Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office; Regional
Inspectors' Offices; as well as offices of the District Directors. (See
IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals attempting to interfere with the administration of
internal revenue laws through assaults, threats, or forcible
interference of any officer or employee while discharging the official
duties of his/her position, including individuals designated as
potentially dangerous taxpayers (PDTs), based on verifiable evidence or
information that fit any of the following five criteria: (1)
Individuals who assault employees or members of their immediate
families; (2) Individuals who attempt to intimidate or threaten
employees or members of their 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 Internal Revenue Service employees specifically, or against
Federal employees generally where advocating such violence could
reasonably be understood to threaten the safety of Service 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 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
designation as potentially dangerous.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Document citing the complaint; (2) Documentary evidence (i.e.,
threatening letter); (3) Report of investigation, with possible
statements, or affidavits as exhibits, and related tax information; (4)
Report of legal action, if case is prosecuted; (5) Local police record
of individual named in case; (6) FBI record of individual named in the
case.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7608, 7801, and 7802.
PURPOSE(S):
This system of records documents the investigation into any attempt
to obstruct or impede (or endeavor to obstruct or impede) Internal
Revenue Service employees in the performance of their official duties.
It includes records relevant to the use of force or threats of force
against IRS employees or their immediate family (including any
threatening letter or communication).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal including the presentation of evidence, 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; (4) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (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; (6) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided by the
Manager's Security Handbook, IRM 1(16)12. The records are accessible to
Inspection personnel on a need-to-know basis, all of whom have been the
subject of a background investigation. 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.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
criminal law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.002
SYSTEM NAME:
Bribery Investigation Files, Inspection--Treasury/IRS.
[[Page 69906]]
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS Appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees and/or former employees of the Treasury Department;
taxpayers and non-IRS persons whose alleged criminal actions may affect
the integrity of the Internal Revenue Service.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Report of investigation including exhibits, affidavits,
transcripts, and documentation concerning requests and approval for
consensual telephone and consensual non-telephone monitoring; (2)
Report of legal action concerning the results of prosecution; (3) Prior
criminal record of subject.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801, and 7802; Executive Order
11222.
PURPOSE(S):
This system of records contains information relevant to Internal
Security's specific and exclusive jurisdiction within the Service to
investigate violation of 18 U.S.C. 201, Bribery. This is described as
an offer to give something of value with the intent that the recipients
will do something improper or will fail to do something they should do
within the authority of their position.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
enforcing or 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
regulations; (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; (3)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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; (6) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
STORAGE:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
personnel on a need-to-know basis, all of whom have been the subject of
background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
criminal law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.003
SYSTEM NAME:
Conduct Investigation Files, Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees and former employees of Internal Revenue Service, and
other Bureaus and Services within the Department of the Treasury.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Document citing complaint of alleged misconduct or violation of
statute; (2) Report of investigation to resolve allegation of
misconduct or violation of statute, with related exhibits of
statements, affidavits or records obtained during investigation; (3)
Report of action taken by management personnel adjudicating any
misconduct substantiated by the investigation; (4) Report of legal
action resulting from violations of statutes referred for prosecution.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801, and 7802; Executive Order
11222.
PURPOSE(S):
Records in this system include information gathered by Inspection
in order to identify and report all pertinent facts to management
relative to the investigation of complaints and allegations against
employees of the Internal Revenue Service
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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
[[Page 69907]]
regulations; (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; (3)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
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; (4) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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; (6) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (7) disclose information to
the Department of Justice for the purpose of litigating an action or
seeking legal advice. Disclosure may be made during judicial processes.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets, and on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
personnel on a need-to-know basis, all of whom have been the subject of
background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Department of Treasury personnel and records, taxpayers
(complainants, witnesses, confidential informants), other Federal
agencies, State and local agencies, tax returns and related documents,
personal observations of the investigator and subjects of the
investigation.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.004
SYSTEM NAME:
Disclosure Investigation Files, Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS Appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Internal Revenue Service employees and/or Government contract
employees at IRS Facilities, who have allegedly disclosed confidential
tax information; (2) Federal, state and local Government employees who
have allegedly disclosed confidential Federal tax information. (3) Tax
return preparers who have allegedly disclosed confidential Federal tax
information.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Document citing the complaint of the alleged criminal or
administrative violation; (2) Investigative report, including
statements, affidavits and any other pertinent documents supporting the
investigative report, which will be attached as an exhibit; (3) Report
of legal action if case is accepted by U.S. Attorney for prosecution;
(4) Report of action by management personnel if case is referred for
administrative adjudication.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801, and 7802; Executive Order
11222.
PURPOSE(S):
This system of records documents investigations into allegations of
unauthorized disclosures of Internal Revenue Service Records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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 regulations; (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; (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; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (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; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
[[Page 69908]]
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
personnel on a need-to-know basis, all of whom have been the subject of
background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records is exempt and may not be accessed for
purposes of inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
This system of records contains investigatory material compiled for
criminal law enforcement purposes whose sources need not be reported.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.005
SYSTEM NAME:
Enrollee Applicant Investigation Files, Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS Appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Former employees and non-IRS persons who apply for enrollment to
practice before IRS under the provisions of Circular 230.
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigative reports on non-IRS employees covering derogatory
results of checks of: FBI files; Inspection files; local police;
Examination, Criminal Investigation and Collection Division files; and
verification of Federal tax filing status. Also, appropriate documents
attached as exhibits showing results of above file checks.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 7801 and 7802.
PURPOSE(S):
This system of records documents investigations of enrollee
applicants conducted at the request of the Director of Practice, to
determine their eligibility to practice before the Service.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
or 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 regulations; (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; (3) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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; (4) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (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; (6) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets and on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
personnel on a need-to-know basis, all of whom have been the subject of
background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
Individuals seeking to determine if this system 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.
RECORD ACCESS PROCEDURES:
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 Chief Inspector,
Internal Revenue Service, 1111 Constitution Avenue, NW., Washington, DC
20224.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
The Internal Revenue Service, the Federal Bureau of Investigation,
and local police departments.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 60.006
SYSTEM NAME:
Enrollee Charge Investigation Files, Inspection--Treasury/IRS.
[[Page 69909]]
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS Appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
IRS employees or former employees, tax practitioners, attorneys,
certified public accountants or enrolled persons.
CATEGORIES OF RECORDS IN THE SYSTEM:
A documented complaint or request for investigation alleging
criminal or administrative misconduct affecting IRS integrity. A report
of investigation, including exhibits such as affidavits, statements or
documents which have been reviewed. A report of legal action resulting
from violations of statutes referred for prosecution.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 7608, 7801, and 7802.
PURPOSE(S):
This system documents investigations of complaints of unethical
practices by unenrolled tax practitioners and persons enrolled to
practice before the Internal Revenue Service.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-
privileged 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; (4) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (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; (6) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets or on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00.
Accessible to Inspection personnel on a need-to-know basis, all of
whom have been the subject of background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20024.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Department of Treasury, personnel and records, other Federal
agencies, taxpayers/complainants, state and local agencies, tax
returns, newspapers, person acquainted with the individual under
investigation, subjects of the investigation, and personal observations
of the investigator.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.007
SYSTEM NAME:
Miscellaneous Information File, Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees and former employees of the Internal Revenue Service; Tax
Practitioners (Attorneys, Certified Public Accountants, Enrolled
Persons, Return Preparers); alleged tax violators; persons whose
actions or alleged actions indicated a threat to IRS employees,
facilities, or the integrity of the tax system; confidential
informants; and reputed members of the organized criminal element.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Complaint type information regarding IRS employees which is
not, in itself, specific or significant enough to initiate an
investigation when received. (2) Allegations of bribery and gratuities
by taxpayers and/or their representatives which are not by themselves
specific or significant enough to initiate an investigation when
received. (3) Allegations of misconduct by tax practitioners, enrolled
persons, or tax preparers which are not by themselves specific or
significant enough to initiate an investigation when received. (4) Any
information received or developed by Inspection that has a bearing on
IRS, but is not of itself specific or significant enough to initiate an
investigation when received. (5) Information received by Inspection
pertaining to alleged violations enforced by other agencies or
divisions of IRS, copies of which are referred to those respective
agencies or divisions. (6) Photographs and descriptive data of some IRS
employees and of persons arrested by Inspection. (7) Information
concerning lost or stolen Government documents, property, credentials,
or IRS employee personal property lost or stolen on Government
premises. (8) List of persons in state or local government agencies
working under state agreements and having access to federal tax
information. (9) Newspaper or periodical items about IRS. (10)
Newspaper items regarding attorneys, CPA's, Tax Practitioners, or
Return Preparers arrested, indicted, convicted
[[Page 69910]]
or under investigation by other agencies. (11) Allegations of threats,
assaults, forcible interference, or other violence type activity aimed
at employees or facilities of IRS which are not by themselves specific
or significant enough to initiate an investigation when received.
Information regarding Inspection's mission which does not fall into any
of the above categories.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
PURPOSE(S):
The purpose of this system of records is to document information
related to Inspection's mission and/or allegations which are not
specific or significant enough to warrant initiation of an
investigation.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records and other than returns and return
information may be used to: (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; (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; (3) disclose information to
a court, magistrate, or administrative tribunal, including the
presentation of evidence, 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; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (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; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
RETRIEVABILITY:
By name of individual, subject, or incident involved, by name of
cross-referenced third parties, and/or information item number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
personnel on a need-to-know basis, all of whom have been the subject of
background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Department of Treasury personnel and records, newspapers and
periodicals, taxpayers (complainants, witnesses, and informants), state
and local government agency personnel and records, and anonymous
complainants.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.008
SYSTEM NAME:
Security, Background and Character Investigations Files,
Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current, former and prospective employees of: Internal Revenue
Service, Office of the Secretary of the Treasury, Office of the General
Counsel, Office of the Treasurer of the United States, Office of the
Comptroller of the Currency, Office of International Finance, Financial
Management Service, Bureau of Engraving and Printing, Bureau of the
Mint, Bureau of the Public Debt, Federal Law Enforcement Training
Center, and Private Contractors at IRS Facilities.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Federal Employment Application Forms; (2) Results of National
Agency Checks (prior reports and records from FBI Investigative Files,
Fingerprint Files, Office of Personnel Management, Defense Central
Index of Investigations, House Committee on Internal Security, and
Coast Guard Intelligence); (3) Employees' Tax Account Histories; (4)
Results of Employees' Tax Examinations; (5) Employees' Financial
Statements; (6) A summary report, a narrative report, notes and/or
written replies resulting from the investigator's inquiries into the
subject's scholastic record, prior employment, military service,
references, neighbors, acquaintances or other knowledgeable sources,
police records and past credit record; (7) Report of action taken by
management personnel adjudicating any derogatory information developed
by the investigation; (8) Report of legal action resulting from
violations of statutes referred for prosecution.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
10450; Executive Order 11222.
PURPOSE(S):
This system documents personnel security investigations conducted
for the purpose of furnishing to proper authorities sufficient
information concerning a person's character, reputation and loyalty to
the United States. They also serve as a basis for determining a
person's suitability for employment or retention in employment and the
issuance of security clearances.
[[Page 69911]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (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; (3) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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; (4) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (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; (6) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
Personnel on a need-to-know basis, all of whom have been the subject of
background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
Individuals seeking access to 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 Chief Inspector, Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Employment Application Forms submitted by subjects of
investigation. Financial information from subjects. Federal, State and
Local Government Agencies (Police, Court and Vital Statistics records).
Credit Reporting Agencies. Neighbors (former and present). References.
Former and present employers and co-workers. Other third party sources.
Schools. Tax Returns and Examination Results. Information provided by
the individual under investigation.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.009
SYSTEM NAME:
Special Inquiry Investigation Files, Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees or former employees of the Treasury Department and the
Internal Revenue Service. Non-employees whose alleged criminal actions
may affect the integrity of the Internal Revenue Service.
CATEGORIES OF RECORDS IN THE SYSTEM:
A documented complaint from some source alleging criminal or
administrative misconduct affecting Internal Revenue Service integrity.
Reports of integrity reviews and tests for deterrence and detection of
fraud or corrupt practices and serious control weaknesses. A report of
investigation to resolve the complaint, or the suspected problem
detected by integrity reviews and tests including exhibits of IRS or
public documents reviewed during the investigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
PURPOSE(S):
This system documents the preliminary investigations of complaints
conducted by Inspection involving allegations against Internal Revenue
Service employees, and in certain instances, non-Service employees when
their actions may affect the integrity of the Service. Primarily, this
type of investigation is conducted to ascertain whether a Conduct case
is warranted or when a more specific case category is not applicable.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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 regulations; (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; (3) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or
[[Page 69912]]
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with criminal
law proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (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; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets, and on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, subject, or other identifier and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
personnel on a need-to-know basis, all of whom have been the subject of
background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Taxpayers (complainants, witnesses, confidential informants),
Federal, State and local government agencies' personnel and records
(police, court, property, etc.), newspapers or periodicals, Department
of the Treasury personnel and records, financial institutions and other
private business records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 60.010
SYSTEM NAME:
Tort Investigation Files, Inspection--Treasury/IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Employees of the Department of the Treasury and non-Federal persons
involved in accidents on property under Department of the Treasury
jurisdiction or with Department of the Treasury employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Report of investigation including exhibits such as SF-91,
Operator's Report of Motor Vehicle Accident; SF-91A, Investigation
Report of Motor Vehicle Accident; SF-92A, Report of Accident Other Than
Motor Vehicle; SF-94, Statement of Witness; Optional Form 26, Data
Bearing Upon Scope of Employment of Motor Vehicle Operator. In
addition, attached as exhibits might be a Police Report of the
accident; copies of insurance policies of the involved drivers;
photographs of the scene or vehicles after the accident; Treasury
Department vehicle maintenance record, medical records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
PURPOSE(S):
This system of records documents formal Federal Tort Claims
investigations conducted to obtain factual data required to defend the
Government against claims for property loss or damages, personal injury
or death caused by the negligence of wrongful act or omission of a
government employee acting within the scope of his/her employment, or
aid in the prosecution of Government claims arising from accidents
involving Service employees or activities.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose pertinent information to
appropriate Federal, State, 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; (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; (3) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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; (4) provide information to
a congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (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; (6) provide information to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
SAFEGUARDS:
Access controls will not be less than those provided for by
Managers Security Handbook, IRM 1(16)12 and the Automated Information
System Security Handbook, IRM 2(10)00. Accessible to Inspection
personnel on a need-to-know
[[Page 69913]]
basis, all of whom have been the subject of background investigations.
RETENTION AND DISPOSAL:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Inspector, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 Chief Inspector,
Internal Revenue Service, 1111 Constitution Avenue, NW., Washington, DC
20224.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Department of Treasury personnel and records, Federal, State and
local police agencies, witnesses, subjects involved in the
investigation, hospitals (medical records), doctors (medical records
and personal observations), personal observations of the investigator,
automobile repair facilities, insurance companies, attorneys, Federal,
State and local driver license records, and Federal and State vehicle
registration records.
Exemptions claimed for the system:
None.
TREASURY/IRS 60.011
SYSTEM NAME:
Internal Security Management Information System (ISMIS)--Treasury/
IRS.
SYSTEM LOCATION:
Office of the Chief Inspector, National Office, and Regional
Inspection Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
(1) Current and former employees of the Internal Revenue Service,
other Bureaus and Services within the Department of the Treasury, and
private contractors at IRS Facilities; (2) taxpayers and non-IRS
persons whose alleged criminal actions may affect the integrity of the
Internal Revenue Service; (3) former employees and non-IRS persons who
apply for enrollment to practice before the IRS under the provisions of
Circular 230; (4) tax practitioners, attorneys, certified public
accountants or enrolled persons.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) ISMIS personnel system records contain Internal Security
employee name, office, start of employment, series/grade, title,
separation date; (2) ISMIS tracking records contain status information
on investigations from point of initiation through conclusion; (3)
ISMIS timekeeping records contain assigned cases and distribution of
time; (4) ISMIS case tracking records contain background investigations
and criminal/administrative cases.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
Purpose(s):
This system includes records necessary to: (1) Effectively manage
Internal Security resources and assess the effectiveness of current
Internal Security programs and to assist in determining budget and
staff requirements; (2) Provide the technical ability for other
components of the Service to analyze trends in integrity matters on an
organizational, geographic and violation basis.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (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; (2) Disclose information to the Department of
Justice for the purpose of litigating an action or seeking legal
advice. Disclosure may be made during judicial processes; (3) Disclose
information to a Federal, State, or 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; (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; (5) Provide information to 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; (7)
Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation; (8) Disclose information 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
By name of individual to whom it applies, cross-referenced third
parties, social security numbers, or case number or employee pseudonym.
SAFEGUARDS:
Access is limited to authorized Inspection personnel who have a
direct need to know. Hard copy of data is stored in rooms of limited
accessibility except to employees. These rooms are locked after
business hours. Access to magnetic media is controlled by
[[Page 69914]]
computer passwords. Access to specific ISMIS records is further limited
by computer security programs limiting access to select personnel.
RETENTION AND DISPOSAL:
Records are periodically updated to reflect changes and are
retained and archived as long as deemed necessary.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Chief Inspector (Internal Security), Internal Revenue
Service, 1111 Constitution Avenue, NW, Washington, DC 20224.
NOTIFICATION PROCEDURE:
Individuals seeking to determine if this system of records contains
a record pertaining to them 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.
RECORD ACCESS PROCEDURES:
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,
Officer of the Chief Inspector, Internal Revenue Service, Room 6116,
I:IS:I, 1111 Constitution Avenue, NW, Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Department of the Treasury personnel and records, other Federal
agencies, current and former employees of the Internal Revenue Service,
taxpayers and non-IRS persons who alleged criminal actions may effect
the integrity of the Internal Revenue Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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), (H) and (I),
(e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2).
TREASURY/IRS 70.001
SYSTEM NAME:
Individual Income Tax Returns, Statistics of Income--Treasury/IRS.
SYSTEM LOCATION:
Primary--Detroit Computing Center; Secondary--(a) Internal Revenue
Service, Statistics of Income Branch, National Office; (b) Treasury
Department, Office of Tax Analysis; (c) Treasury Department, Office of
Economic Modeling and Computer Applications; (d) Federal Records
Centers; (e) Congress of the United States, Joint Committee on
Taxation. (See IRS appendix A for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers selected for an annual statistical sample.
CATEGORIES OF RECORDS IN THE SYSTEM:
Sources of income, exemptions, deductions, income tax, and tax
credits, as reported on Forms 1040, 1040A and 1040EZ U.S. Individual
income tax return. The records are used to prepare and publish annual
statistics, with respect to the operations of the tax laws and for
special statistical studies and compilations. The statistics, studies,
and compilations are designed so as to prevent disclosure of any
particular taxpayer's identity.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 6108.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Each magnetic tape record is identified by social security number
and a unique document locator number assigned by the Internal Revenue
Service. Those with sole proprietorship income, in addition, contain
employer identification number, if reported by the taxpayer.
SAFEGUARDS:
Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbook, IRM 1(15)59.1 through IRM 1(15)59.32. Input records are
disposed of after publication of the statistics, except for input
records for high income taxpayers for tax years prior to 1967 which are
disposed of after 40 years. Output records are retained as long as they
are needed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Statistics of Income, Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Primary: Forms 1040, 1040A, and 1040EZ, U.S. Individual Income Tax
Returns. Secondary: Form SS-5, Application for a social security
number.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.001
SYSTEM NAME:
Chief Counsel Criminal Tax Case Files. Each Regional Counsel Office
and District Counsel Office maintains one of these systems. The Office
of the Assistant Chief Counsel (Criminal Tax) maintains one of these
systems. The information in this notice applies to all 62 offices--
Treasury/IRS.
SYSTEM LOCATION:
The addresses of the National Office, each Regional Counsel Office
and each District Counsel Office are listed in the appendix. (See IRS
appendix A.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Taxpayers and related parties against whom tax-related criminal
recommendations have been made. (2) Taxpayers and related parties on
whom advice has been requested concerning investigation for tax-related
offenses. (3) Persons who have filed petitions for the remission or
mitigation of forfeitures or who are otherwise directly involved as
parties in forfeiture matters, judicial or administrative.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Internal Control Records. (2) Legal and administrative files
including investigative reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
[[Page 69915]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than return and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (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; (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; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to 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; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Records are retrievable by the name of the person to whom they
apply.
SAFEGUARDS:
Records are locked up during nonworking hours and during periods
when the work area is vacant. Access is strictly controlled and 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 or
individuals in the company of authorized personnel. Access controls
will not be less than those provided by the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Legal files are generally retired to the Federal Records Center
(FRC) one year after they are closed. The FRC will retain ``significant
case'' files an additional 19 years and dispose of them 20 years after
they are closed. Other legal files are retained in the FRC 4 years
after they are transferred to the FRC and disposed of 5 years after
they are closed. Duplicate National Office monitoring files are
destroyed immediately upon notification that the field has closed its
file. National Office unjacketed case files (e.g., appeals for which no
monitoring files exist: FOIA requests, search warrants, formal
technical advice and miscellaneous legal opinions) are retained for ten
years after closing. National Office original centralized grand jury
files and administrative case files are maintained indefinitely. Files
transferred from other functions are returned to the source when no
longer needed.
SYSTEM MANAGER(S) AND ADDRESS:
Each Regional Counsel is the system manager of the systems in his
or her Region. The Assistant Chief Counsel (Criminal Tax) is the system
manager of the National Office system. The addresses are in the
appendix. (See IRS appendix A.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the records pertain to a particular individual as the
records are exempt under 5 U.S.C. 552a(d)(5) and/or 552a(j)(2).
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for the purposes of
inspection or for contest of content of records as the records are
exempt under 5 U.S.C. 552a(d)(5) and/or 552a(j)(2).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of fact
or law; other persons who communicate with the Internal Revenue
Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.002
SYSTEM NAME:
Chief Counsel Disclosure Litigation Case Files--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Chief Counsel (Disclosure Litigation),
Internal Revenue Service, Office of Chief Counsel, 1111 Constitution
Avenue, NW., Washington, DC 20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who communicate with the Service regarding disclosure
matters or who are involved with a disclosure issue involving the
Service, or who are the subjects of investigations made by the Internal
Security Division if their cases are referred to Disclosure Litigation
for criminal violations of disclosure laws.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Legal Case and Administrative Case Files; (2) Internal Control
Records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (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
[[Page 69916]]
regulation; (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; (4)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
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) disclose
information to foreign governments in accordance with formal or
informal international agreements; (6) provide information to 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; (8) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (9) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Legal case and administrative case files: Paper records. Internal
control records: Paper records and magnetic media.
RETRIEVABILITY:
Records are retrievable by the name of the person to whom they
apply, cross-referenced third parties, issues, attorneys assigned, and
by case number.
SAFEGUARDS:
A background investigation is made on personnel. Offices are
located in a security area. Access to keys to these offices is
restricted. All facilities where records are stored have access limited
to authorized personnel or individuals in the company of authorized
personnel. Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Legal files are generally retired to the Federal Records Center
(FRC) 1 year after they are closed. ``Significant case'' files are
retained an additional 29 years and disposed of 30 years after they are
closed. Other legal files are retained in the FRC 5 years after they
are transferred to the FRC and disposed of 6 years after they are
closed. Other records are retained in the Division for the same time
periods as described above.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Chief Counsel (Disclosure Litigation), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW.,
Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a (d)(5) and/or (k)(2).
RECORD ACCESS PROCEDURES:
This system may not be accessed for purpose of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a (d)(5) and/or (k)(2).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Persons who communicate with the agency regarding disclosure
matters; Department of Treasury employees; State, local, and foreign
governments; other Federal agencies; witnesses; informants; parties to
disputed matters of fact or law.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.003
SYSTEM NAME:
Chief Counsel General Administrative Systems. Each of the 7
Regional Counsel Offices and 54 District Counsel Offices, each of the
10 functions in the National Office, the Office of the Chief Counsel,
and the Office of the Deputy Chief Counsel, the Offices of the
Associate Chief Counsels (Enforcement Litigation), (International),
(Domestic), (Finance and Management), and (Employee Benefits and Exempt
Organizations) maintain a General Administrative System. This notice
applies to all 78 of these offices.--Treasury/IRS.
SYSTEM LOCATION:
The location of these systems are listed in the appendix. (See IRS
appendix A.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Past, present and prospective employees of the Office of Chief
Counsel. (2) Tax Court Witnesses.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Employee Performance Folders and employee records other than
Official Personnel Files of the Office of Personnel Management and the
Merit Systems Protection Board. (2) Time cards and attendance rosters.
(3) Financial records such as travel expenses, Notary Public expenses,
moving expenses, expenses of Tax Court witnesses and miscellaneous
expenses. (4) Employee recruiting records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose information to the Office of Personnel Management
and the Merit Systems Protection Board for appropriate Personnel
actions; (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 regulations; (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 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; (5) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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
[[Page 69917]]
proceedings; (6) disclose information to foreign governments in
accordance with formal or informal international agreements; (7)
provide information to 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; (9) provide information to officials
of labor organizations recognized under 5 U.S.C. Chapter 71 when
relevant and necessary to their duties of exclusive representation;
(10) provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Records are generally retrievable by the name of the person to whom
they apply.
SAFEGUARDS:
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 or individuals in the company of authorized personnel. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Records are updated
periodically to reflect changes and maintained as long as needed.
SYSTEM MANAGER(S) AND ADDRESS:
Each Regional Counsel is the system manager of the systems in his
or her Region. Each Assistant Chief Counsel is the system manager of
the system in his or her function. The Chief Counsel, the Deputy Chief
Counsel and the Associate Chief Counsels (Enforcement Litigation),
(Domestic), (International), (Finance and Management), and (Employee
Benefits and Exempt Organizations) are the system managers of the
system in each of their Offices. (See IRS appendix A for addresses.)
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 Regional Counsel of
the Region in which the records are located or the Assistant Chief
Counsel (Disclosure Litigation) in the case of records in the National
Office. The addresses are listed in the appendix. Information leading
to the identity of a confidential source is exempt pursuant to 5 U.S.C.
552a(k)(5).
CONTESTING RECORD PROCEDURES:
See ``RECORD ACCESS PROCEDURES'' above.
RECORD SOURCE CATEGORIES:
Employees, Department of Treasury personnel; Tax Court witnesses;
Office of Personnel Management and Merit Systems Protection Board;
other Federal agencies; State, local, and foreign governments;
references; former employers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.004
SYSTEM NAME:
Chief Counsel General Legal Services Case Files. Each of the seven
Regional Counsel Offices and the National Office maintain a General
Legal Services Case File System. The information in this notice applies
to all eight of the offices--Treasury/IRS.
SYSTEM LOCATION:
The addresses of the National Office and each Regional Counsel
Office are listed in the appendix. (See IRS appendix A.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons involved in litigation, actions, investigations or cases
falling within the jurisdiction of the General Legal Services function
including persons (1) who are parties in personnel matters, as well as
discrimination and labor management relations matters, of the Internal
Revenue Service, Chief Counsel's Office or, in some instances, other
agencies in the Treasury Department; (2) who are parties in
practitioner actions under the jurisdiction of the Director of Practice
or the Joint Board of Actuaries; (3) who are parties in procurement
matters and under the Federal Claims Collection Act (as amended by the
Debt Collection Act); (4) who are parties in litigation or
administrative claims involving alleged violations of the United States
Constitution, the Federal Tort Claims Act, the Military Personnel and
Civilian Employee Compensation Act, relief of accountable officers for
loss of Government funds, claims or suits for rewards, acts of officers
or employees acting within the scope of their employment, or official
acts of officers or employees not directly relating to Federal tax
issues but relating to the Internal Revenue Service; (5) who are
parties in miscellaneous matters referred to the General Legal Service;
(6) who are the subjects of investigations made by the Internal
Security Division if the case is referred to General Legal Services (7)
who are officials of the Internal Revenue Service and Chief Counsel's
Office required to file a Financial Disclosure Statement under the
Ethics in Government Act of 1978; (8) who have corresponded regarding a
matter under consideration within General Legal Services.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Legal case and administrative case files. (2) Internal control
cards. (3) Correspondence files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purposes of litigating an action or seeking legal
advice; (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 regulations; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other
[[Page 69918]]
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; (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; (5) disclose
information to foreign governments in accordance with formal or
informal international agreements; (6) provide information to 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; (8) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (9) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (10) provide information to the Director of Practice and
Joint Board of Actuaries in practitioner disciplinary matters; (11)
provide information to the Office of Personnel Management in personnel,
discrimination and labor management matters; (12) provide 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; (13) provide information to the Merit Systems
Protection Board, including its Special Counsel, in Personnel,
Discrimination, and Labor Management matters; (14) provide information
to the Equal Employment Opportunity Commission in Personnel,
Discrimination, and Labor Management matters; (15) provide information
to the General Services Administration in property management matters;
(16) provide information to the Administrative Assistant of the
Executive Resources Board as to Financial Disclosure Statements, who
makes the statements available to the public as required by law; (17)
provide information to other federal agencies for the purpose of
effectuating inter-agency salary offset or inter-agency administrative
offset; (18) provide information to the Office of Government Ethics in
conflict of interest, conduct, financial statement reporting, and other
ethical matters.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
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).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Records are retrievable by the name of the person to whom they
apply. If more than one person is involved in a given case then it is
generally retrievable only by the first named person.
SAFEGUARDS:
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 or individuals in the company of authorized personnel. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Legal files are generally retired to the Federal Records Center
(FRC) 1 year after the cases are closed. The FRC will retain
``significant case'' files an additional 19 years and dispose of them
20 years after they are closed. Other legal files are retained in the
FRC 4 years after they are transferred to the center and disposed of 5
years after they are closed. Other records are retained for the same
time periods described above.
SYSTEM MANAGER(S) AND ADDRESS:
Each Regional Counsel is the system manager of the system in his or
her Region. The Assistant Chief Counsel (General Legal Services) is the
system manager of the National Office system. The addresses are in the
appendix. (See IRS appendix A.)
NOTIFICATION PROCEDURE:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual as the records are exempt under 5 U.S.C. 552a(d)(5) and/or
(k)(2).
RECORD ACCESS PROCEDURES:
This system of records may not be accessed for purposes of
inspection or for contest of content of records as the records are
exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of fact
or law; other persons who communicate with the Internal Revenue
Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.005
SYSTEM NAME:
Chief Counsel General Litigation Case Files. Each Regional Counsel
Office and each District Counsel Office maintains one of these systems.
The National Office maintains one of these systems. The information in
this notice applies to all 62 offices--Treasury/IRS.
SYSTEM LOCATION:
The addresses of the National Office, each Regional Counsel Office
and each District Counsel Office are listed in the appendix. (See IRS
appendix A.)
Categories of individuals covered by the system:
(1) Taxpayers or other individuals involved in matters referred to
the General Litigation function including: (a) Taxpayers with
outstanding tax liabilities or with potential outstanding tax
liabilities; (b) persons from whom information is being sought
(summons); (c) persons requesting information (disclosure); (d) present
or former Internal Revenue Service employees who are being or may be
sued in connection with their duties or who have been called upon to
testify in private litigation; (e) persons who are or may be liable to
the United States on non-tax claims; (f) persons who have submitted
offers in compromise of
[[Page 69919]]
federal taxes. (2) Persons who have corresponded regarding a matter
under consideration within the General Litigation function.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Legal and Administrative Files. (2) Internal Control Records.
(3) Offer in Compromise Files. (4) Correspondence Files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Provide information to other Federal
agencies holding funds of taxpayer for the purpose of collecting a
liability owed by the taxpayer; (2) disclose information to the
Department of Justice for the purpose of litigating an action or
seeking legal advice; (3) provide information to State and local taxing
authorities for the purpose of enforcing Federal tax laws; (4) provide
information to Federal, state and local regulatory authorities for
purposes of collection of Federal taxes; (5) 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; (6) 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; (7)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
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; (8) disclose
information to foreign governments in accordance with formal or
informal international agreements; (9) provide information to 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; (11) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (12) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
All records are retrievable by the name of the persons to whom they
apply. Some internal control records are retrievable by names of
taxpayers and related taxpayers, attorneys assigned, subject matter,
and certain key administrative dates.
SAFEGUARDS:
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 or individuals in the company of authorized personnel. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
National Office, Regional, and District counsel legal files are
generally retired to the Federal Records Center (FRC) one year after
they are closed. The FRC will retain ``significant case'' files an
additional 24 years and dispose of them 25 years after the cases are
closed. Other legal files are retained in the FRC 9 years after they
are transferred to the Center and disposed of 10 years after they are
closed. Other records are retained in the Division for the same time
periods described above. Files transferred from other functions are
returned to the source when no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:
Each Regional Counsel is the system manager of the systems in his
or her Region. The Assistant Chief Counsel (General Litigation) is the
system manager of the National Office system. The addresses are in the
appendix. (See IRS appendix A.)
NOTIFICATION PROCEDURE:
Most of the records in this system may not be accessed for purposes
of determining if the records pertain to a particular individual as the
records are exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2).
RECORD ACCESS PROCEDURES:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a (d)(5) and/or (k)(2).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of fact
or law; other persons who communicate with the Internal Revenue
Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.007
SYSTEM NAME:
Chief Counsel Legislation and Regulations Division, Employee Plans
and Exempt Organizations Division, and Associate Chief Counsel
(Technical and International) Correspondence and Private Bill Files--
Treasury/IRS.
SYSTEM LOCATION:
Legislation and Regulations Division, Internal Revenue Service,
Office of Chief Counsel, 1111 Constitution Avenue, Washington, DC
20224; Employee Plans and Exempt Organizations Division and Associate
Chief Counsel (Technical and International), same address.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Persons who have corresponded to the Service, the Department of
the Treasury, the White House or Members of Congress regarding a matter
in which the Legislation and Regulations Division or the Employee Plans
and Exempt Organizations Division was asked to draft a reply; (2)
Persons on whose behalf private relief bills were introduced in
Congress involving tax related matters.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Correspondence Files; (2) Private Relief Bill Legal Files; (3)
Internal Control Records.
[[Page 69920]]
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301 and 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. These records and information in these
records may be used to: (1) Disclose information to the Department of
Justice for the purpose of litigating an action or seeking legal
advice; (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; (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; (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;
(5) disclose information to foreign governments in accordance with
formal or informal international agreements; (6) provide information to
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; (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; (9) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (10) provide information to
the agency or individual who directed correspondence to the Legislation
and Regulations Division for the Division to draft a response.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Correspondence files are retrievable by the name of the individual
who initiated the correspondence. Private Relief Bill files are
retrievable by the H.R. or S. number for each Congress.
SAFEGUARDS:
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 or individuals in the company of authorized personnel. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Correspondence files are generally disposed of after 3 years.
Private Relief Bill files are periodically updated to reflect changes
and are maintained as long as needed. Internal control records are
generally disposed of after 2 years or when no longer useful. Auth: IRM
1(15)59.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Legislation and Regulations Division, Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, Washington,
DC 20224; Director, Employee Plans and Exempt Organization Division,
same address. With respect to international issues, the Associate Chief
Counsel (Technical and International) is the system manager.
NOTIFICATION PROCEDURE:
Individuals seeking to determine if the 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 Director of the Disclosure
Litigation Division. The address is listed in the appendix. (See IRS
appendix A.)
RECORD ACCESS PROCEDURES:
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 B.
Inquiries should be addressed to the Director of the Disclosure
Litigation Division. The address is listed in the appendix. (See IRS
appendix A.)
CONTESTING RECORD PROCEDURES:
See Access above.
RECORD SOURCE CATEGORIES:
Persons who initiate correspondence referred to the Legislation and
Regulations Division; Congressional documents; taxpayers and their
representatives; Department of Treasury personnel; other Federal
agencies; state, local, and foreign governments; witnesses; informants.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY IRS 90.009
SYSTEM NAME:
Chief Counsel Field Services Case Files. Each Regional Counsel
Office and each District Counsel Office maintains one of these systems.
The National Office maintains one of these systems. The information in
this notice applies to all 62 offices--Treasury/IRS.
SYSTEM LOCATION:
The addresses of the National Office, each Regional Counsel Office,
and each District Counsel Office is listed in the appendix. (See IRS
appendix A.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Taxpayers who have filed petitions with the Tax Court or suits
for refunds of Federal taxes. (2) Taxpayers upon whom the issuance of a
statutory notice is or was contemplated whose case has been referred to
the Tax Litigation function. (3) Taxpayers who are the subject of
formal or informal advisory opinions during the investigative stage of
the case or while under administrative processing. (4) Persons who have
corresponded regarding a matter under consideration within the Tax
Litigation function.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Legal Case and Administrative Case Files. (2) Internal Control
Records. (3) Correspondence Files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies
[[Page 69921]]
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
regulations; (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; (4)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
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) disclose
information to foreign governments in accordance with formal or
informal international agreements; (6) provide information to 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; (8) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (9) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Records are retrievable by the name of the person to whom they
apply.
SAFEGUARDS:
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 or individuals in the company of authorized personnel. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Legal files are generally retired to the Federal Records Center
(FRC) one year after they are closed. The FRC will retain ``significant
case'' files an additional 29 years and dispose of them 30 years after
they are closed. Other legal files are retained in the FRC 9 years
after they are transferred to the Center and disposed of 10 years after
they are closed. Other records are periodically updated to reflect
changes and maintained as long as needed. Files transferred from other
functions are returned to the source when no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:
Each Regional Counsel is the system manager of the systems in his
or her Region. The Assistant Chief Counsel (Field Services) is the
system manager of the National Office system. The addresses are in the
appendix. (See IRS appendix A.)
NOTIFICATION PROCEDURE:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a(d)(5) and/or (k)(2).
RECORD ACCESS PROCEDURES:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a(d)(5) and/or (k)(2).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of fact
or law; other persons who communicate with the Internal Revenue
Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.010
SYSTEM NAME:
Digest Room Files Containing Briefs, Legal Opinions, and Digests of
Documents Generated Internally or by the Department of Justice Relating
to the Administration of the Revenue Laws--Treasury/IRS.
SYSTEM LOCATION:
Office of the Associate Chief Counsel (Finance and Management),
Internal Revenue Service, Office of Chief Counsel, 1111 Constitution
Avenue, NW., Washington, DC 20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Taxpayers who have sought Internal Revenue Service rulings and/or
legal opinions on tax problems and those whose cases are being or have
been adjudicated.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Internal Control Records; (2) Briefs; (3) Legal Opinions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to Justice
Department personnel for research purposes; (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
regulations; (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; (4)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
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) disclose
information to foreign governments in accordance with formal or
informal international agreements; (6) provide information to 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
[[Page 69922]]
contained in 28 CFR 50.2 which relate to an agency's functions relating
to civil and criminal proceedings; (8) provide information to officials
of labor organizations recognized under 5 U.S.C. Chapter 71 when
relevant and necessary to their duties of exclusive representation; (9)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Records are retrievable by the name of the person to whom they
apply.
SAFEGUARDS:
Records are kept in a secured area. Access is limited to authorized
personnel. Users of the system must show IRS identification and sign a
register each time the room is used. Background checks are made on
employees. Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Briefs, legal opinions, and digests are retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Chief Counsel, (Finance and Management), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW.,
Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a(d)(5) and/or (k)(2).
RECORD ACCESS PROCEDURES:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a(d)(5) and/or (k)(2).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Department of Treasury personnel; Department of Justice personnel;
taxpayers and their representatives; other Federal agencies; witnesses;
informants; State, local, and foreign governments; parties to disputed
matters of fact and law; other persons who communicate with the
Internal Revenue Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.011
SYSTEM NAME:
Attorney Recruiting Files--Treasury/IRS.
SYSTEM LOCATION:
Office of the Associate Chief Counsel (Finance and Management),
Internal Revenue Service, Office of Chief Counsel, 1111 Constitution
Avenue, NW., Washington, DC 20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons who have applied for attorney positions with the Office of
Chief Counsel, both National Office and field.
CATEGORIES OF RECORDS IN THE SYSTEM:
Attorney Files and lists of eligible applicants; Internal Control
Records.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (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 regulations; (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; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to 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; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (10) provide information to
the Office of Personnel Management and Merit System Protection Board
for appropriate personnel actions.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Applicant files and internal control records: paper records and
magnetic media.
RETRIEVABILITY:
Records are retrievable by the name of the person to whom they
apply.
SAFEGUARDS:
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 or individuals in the company of authorized personnel. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
The attorney applicant files and other records are periodically
updated to reflect changes and maintained as long as needed.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Chief Counsel (Finance and Management), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW.,
Washington, DC 20224.
NOTIFICATION PROCEDURE:
Individuals seeking to determine if this system of records contains
a record
[[Page 69923]]
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.
RECORD ACCESS PROCEDURES:
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 Assistant Chief
Counsel (Disclosure Litigation), Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224. Information leading to
the identity of a confidential source is exempt pursuant to 5 U.S.C.
552a(k)(5).
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Applicants, Department of Treasury Personnel; Office of Personnel
Management; other Federal agencies; State, local, and foreign
governments; references, former employers.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.013
SYSTEM NAME:
Legal Case Files of the Chief Counsel, Deputy Chief Counsel and
Associate Chief Counsels (Litigation), (Domestic), (International), and
(Employee Benefits and Exempt Organizations)--Treasury/IRS.
SYSTEM LOCATION:
Office of Chief Counsel, Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Persons whose cases at one time involved important issues or
unusual circumstances which were brought to the attention of the above
persons (or their predecessors).
CATEGORIES OF RECORDS IN THE SYSTEM:
Legal case files which include internal control records of such
case files of both the persons currently holding the above positions
and those who previously held such positions.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (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 regulations; (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; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, 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) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to 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; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Records pertaining to individuals are retrievable by the name of
the person to whom they apply.
SAFEGUARDS:
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 or individuals in the company of authorized personnel. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are periodically updated to reflect changes and maintained
as long as needed.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Counsel, Deputy Chief Counsel, or the Associate Chief
Counsels, respectively, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a(d)(5) and/or (k)(2).
RECORD ACCESS PROCEDURES:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a(d)(5) and/or (k)(2).
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; other persons who communicate with the Internal Revenue
Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.015
SYSTEM NAME:
Reference Records of the Library in the Office of Chief Counsel--
Treasury/IRS.
SYSTEM LOCATION:
Office of the Associate Chief Counsel (Finance and Management),
Internal
[[Page 69924]]
Revenue Service, Office of Chief Counsel, 1111 Constitution Avenue,
NW., Washington, DC 20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Taxpayers who have sought Congressional tax relief by means of
a Private Bill. (2) IRS employees who charge out books.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Numerical and alphabetical listing of Private Relief Bill and
files related to the Bill. (2) Charge cards and inter-library loan
forms.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records may be used to: (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; (2)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
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; (3) provide
information to a congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (4) 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; (5) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (6) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Records are retrievable by the name of the individual to whom they
pertain and Private Bill material can also be retrieved by H.R. or S.
number.
SAFEGUARDS:
Although access is limited to authorized individuals, this material
would be available to any person through a Freedom of Information Act
request. Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Records are regularly
updated. If the library materials to which the references pertain are
no longer in the library collection, the reference cards are destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Chief Counsel (Finance and Management), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW.,
Washington, DC 20224.
NOTIFICATION PROCEDURE:
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.
RECORD ACCESS PROCEDURES:
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 Assistant Chief Counsel
(Disclosure Litigation), Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Material to which reference information pertains.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 90.016
SYSTEM NAME:
Counsel Automated Tracking System (CATS) Records--Treasury/IRS.
SYSTEM LOCATION:
Computer Records: Detroit Computing Center, 1300 John C. Lodge
Drive, Detroit, Michigan 48226.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(1) Taxpayers who initiated suits for refund in district courts or
the Claims Court. (2) Taxpayers who have filed petitions with the
United States Tax Court. (3) Taxpayers who have requested rulings from
the Service in those cases in which the request has been referred to
the Office of Chief Counsel for a legal opinion. (4) Taxpayers who have
been involved in litigation concerning the collection of taxes. (5)
Taxpayers whose cases were the subject of technical advice.
CATEGORIES OF RECORDS IN THE SYSTEM:
Skeletal legal files and Indexes (including taxpayer name; uniform
issue list number; key dates; subject matter; name of attorney and
office handling the case; and miscellaneous remarks.)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7801.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Ddisclose information to the Department
of Justice for the purpose of litigating an action, seeking legal
advice, or for research purposes; (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; (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; (4) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal including the presentation of evidence, 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) disclose information
to foreign governments in accordance with formal or informal
international
[[Page 69925]]
agreements; (6) provide information to 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; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Skeletal legal files and indexes are stored on magnetic media.
Input documents are on paper. The CATS system also allows access by
interactive terminal.
RETRIEVABILITY:
Records are retrievable by legal jacket number, the name of the
person to whom they apply, and by name of the attorney to whom the
cases are assigned.
SAFEGUARDS:
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 or individuals in the company of authorized personnel.
Passwords are required in the Counsel Automated Tracking System to
access system information. Access controls will not be less than those
provided by the Automated Information System Security Handbook, IRM
2(10)00.
RETENTION AND DISPOSAL:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Magnetic media will be
periodically updated to reflect changes and maintained as long as
needed.
SYSTEM MANAGER(S) AND ADDRESS:
Associate Chief Counsel (Finance and Management), Internal Revenue
Service, 1111 Constitution Avenue, NW., Washington, DC 20224.
NOTIFICATION PROCEDURE:
Most of the records in this system may not be accessed for purposes
of determining if the records pertain to a particular individual as the
records are exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2). An
individual who wishes to determine whether the system contains any
records pertaining to himself which are not exempt may address
inquiries to the Assistant Chief Counsel (Disclosure Litigation), 1111
Constitution Avenue, NW., Washington, DC 20224.
RECORD ACCESS PROCEDURES:
Most of the records in this system may not be accessed for purposes
of inspection or for contest of content of records as the records are
exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2). Individuals seeking
access to any record which is not exempt, 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
Assistant Chief Counsel (Disclosure Litigation) whose address is listed
above. Taxpayers seeking to adjust records which affect the
determination of a tax assessment or the balance due, should utilize
existing procedures for doing so, as substantive tax matters are not
subject to the amendment provisions of the Privacy Act.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies, State, local, and foreign
governments; witnesses; informants; parties to disputed matters of fact
or law; other persons who communicate with the Internal Revenue
Service.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system has been designated as exempt from certain provisions
of the Privacy Act.
TREASURY/IRS 90.017
SYSTEM NAME:
Correspondence Control and Records, Associate Chief Counsel
(Technical and International)--Treasury/IRS.
SYSTEM LOCATION:
National Office (See IRS appendix A.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individual subjects of letter rulings, technical advice, memorandum
and other correspondence from the Office of the Associate Chief Counsel
(Technical and International).
CATEGORIES OF RECORDS IN THE SYSTEM:
Cards, disks and tapes containing taxpayer names, date of
correspondence, issue, and related information, including in some cases
the conclusions reached, and related letter ruling, technical advice,
memorandum and other correspondence files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, 26 U.S.C. 7801, 7802, 7602, 7805(a).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. These records and information in these
records may be used to: (1) Disclose information to the Department of
Justice in connection with actual or potential criminal prosecution or
civil litigation, and in connection with requests for legal advice; (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; (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; (4) 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, in response to a
subpoena, or in connection with criminal law proceedings; (5) disclose
information to foreign governments in accordance with formal or
informal international agreements; (6) provide information to 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; (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; (9) provide information to third parties during
the course of an investigation to the extent
[[Page 69926]]
necessary to obtain information pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records, magnetic media, and tapes.
RETRIEVABILITY:
Indexed by name and control number.
SAFEGUARDS:
Safeguards will not be less than those provided by the Physical and
Document Security Handbook, IRM 1(16)41, and the Automated Information
System Security Handbook, IRM 2(10)00.
RETENTION AND DISPOSAL:
Cards, disks and tapes are periodically updated and maintained as
long as needed. Related files are destroyed or retired over varying
numbers of years as specified in the Records Control Schedule, IRM
1(15)59.1(10).
SYSTEM MANAGER(S) AND ADDRESS:
Associate Chief Counsel (Technical and International), National
Office. (See IRS appendix A.)
NOTIFICATION PROCEDURE:
Individuals seeking to determine if the 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 Associate Chief Counsel (Technical
and International), National Office. (See IRS appendix A.)
RECORD ACCESS PROCEDURES:
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 B.
Inquiries should be addressed to the Associate Chief Counsel (Technical
and International), National Office. (See IRS appendix A.)
CONTESTING RECORD PROCEDURES:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
RECORD SOURCE CATEGORIES:
Individual subjects of letter rulings, technical advice
memorandums, and other correspondence, field office personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/IRS 90.018
SYSTEM NAME:
Expert Witness Library--Treasury/IRS.
SYSTEM LOCATION:
Office of the Assistant Chief Counsel (Field Services), Office of
the Chief Counsel, Internal Revenue Service, 1111 Constitution Avenue,
NW., Washington, DC 20224.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Potential expert witnesses for tax litigation in a variety of
areas of expertise.
CATEGORIES OF RECORDS IN THE SYSTEM:
Names, addresses, and phone numbers of expert witnesses who have
been used either by IRS or taxpayers in litigation. The library also
contains evaluations of the performance of each expert, copies of
transcripts where experts have testified and copies of the experts'
reports.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, 7802, and 7805(a).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
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: (1) Disclose information to the Department
of Justice in connection with requests for legal advice; (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 or retention of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, 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 the proceeding; (4) provide
information to a Congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and magnetic media.
RETRIEVABILITY:
Indexed by name and subject matter expertise.
SAFEGUARDS:
Access is limited to employees who have a need for such records in
the course of their work. Furthermore, access to the paper files is
controlled by a designated attorney in the Tax Shelter Branch. Access
to the expert witness library indices on magnetic media are controlled
by the Tax Shelter Branch. The Tax Shelter Branch is locked during
nonworking hours. All facilities where records are stored have access
limited to authorized personnel or individuals in the company of
authorized personnel. Background checks are made on employees. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
The records will be periodically updated to reflect changes and
maintained as long as needed.
System manager(s) and address:
Assistant Chief Counsel (Field Services), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Notification procedure:
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.
Record access procedures:
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 Assistant Chief
Counsel (Disclosure Litigation), Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Attorneys working for the IRS and expert witnesses themselves.
[[Page 69927]]
Exemptions claimed for the system:
None.
IRS APPENDIX A
This appendix contains the addresses of Treasury/IRS system
locations along with the title of the principal system manager(s) at
each location. Other system managers at these locations are
individually noted in the text of the system notices. Generally,
inquiries under Treasury/IRS systems should be addressed to the
office where the records in question are located. For Regional and
District Office records, this would be the office with jurisdiction
over the area where the individual resides. For Internal Revenue
Service Center records, this would be the service center where the
individual files Federal income tax returns.
NATIONAL OFFICE INTERNAL REVENUE SERVICE
National Director, Equal Employment Opportunity and Diversity
National Director, Communications
Assistant Commissioner (Collection)
Chief Information Officer
Assistant Commissioner (Employee Plans and Exempt Organizations)
National Director, Strategic Planning and Research
National Director, Compliance and Research
Chief Financial Officer
Chief, National Management and Administration
Chief Taxpayer Service
Assistant Commissioner (Criminal Investigation)
Assistant Commissioner (Examination)
Assistant Commissioner (International)
Assistant Commissioner (Procurement)
Chief Inspector
Director, Office of Disclosure
The address for all of the above systems managers with the
exception of the Assistant Commissioner (International), noted
below, is as follows:
1111 Constitution Avenue, NW., Washington, DC 20224
Assistant Commissioner (International), 950 L`Enfant Plaza, SW.,
Fourth Floor, Washington, DC 20024
ADDRESSES OF THE DETROIT COMPUTING CENTER, MARTINSBURG COMPUTING
CENTER, AND THE AUSTIN SERVICE CENTER
Director, Detroit Computing Center, 1300 John C. Lodge Drive,
Detroit, Michigan 48226.
Director, Martinsburg Computing Center, P.O. Box 1208, Martinsburg,
West Virginia 25401.
Director, Austin Service Center, Stop 7000 AUSC, 3651 Interregional
Hwy 35, Austin, Texas 78741.
ADDRESSES OF REGIONAL OFFICES, DISTRICT OFFICES, AND INTERNAL REVENUE
SERVICE CENTERS
Regional Offices
Midstates Region (Dallas): Regional Commissioner, Internal Revenue
Service 4050 Alpha Road, Dallas, Texas 75244-4203
Northeast Region (Manhattan): Regional Commissioner, Internal
Revenue Service, 90 Church, Street, New York, New York, 10007
Southeast Region (Atlanta): Regional Commissioner, Internal Revenue
Service, P.O. Box 926, Stop 100-R, Atlanta, Georgia 30370
Western Region (San Francisco); Regional Commissioner, Internal
Revenue Service, Room 511, 1650 Mission Street, San Francisco,
California 95113
District Director, Internal Revenue Service, P.O. Box 1818,
Cincinnati, Ohio 45201
District Director, Internal Revenue Service, P.O. Box 99181,
Cleveland, Ohio 44199
District Director, Internal Revenue Service, P.O. Box 330500,
Stop #1, Detroit, Michigan 48232-6500
District Director, Internal Revenue Service, P.O. Box 44687,
Stop 10, Indianapolis, Indiana 46244
District Director, Internal Revenue Service, P.O. Box 1735, Stop
100, Louisville, Kentucky 40201
District Director, Internal Revenue Service, 425 Juliana Street,
Parkersburg, West Virginia 26101
Director, Internal Revenue Service Center, 201 W. Second
Street., Covington, Kentucky 41019
District Director, Internal Revenue Service, George Fallon
Building, 31 Hopkins Plaza, Baltimore, Maryland 21201
District Director, Internal Revenue Service, P.O. Box 939,
Newark, New Jersey 07101
District Director, Internal Revenue Service, W.J. Green Federal
Building, 600 Arch Street, Philadelphia, Pennsylvania 19106
District Director, Internal Revenue Service, 1000 Liberty
Avenue, Room 1139, Pittsburgh, Pennsylvania 15222
District Director, Internal Revenue Service, 400 North Eighth
Street, Richmond, Virginia 23240
District Director, Internal Revenue Service, 409 Silverside
Road, Wilmington, Delaware 19809
Director, Internal Revenue Service Center, 11601 Roosevelt
Boulevard, Philadelphia, Pennsylvania 19154
District Director, Internal Revenue Service, Federal Building,
115 Fourth Avenue, SE., Aberdeen, South Dakota 57401
District Director, Internal Revenue Service, 230 South Dearborn
Street, Room 2890, Chicago, Illinois 60604
District Director, Internal Revenue Service, Federal Building,
210 Walnut Street, Des Moines, Iowa 50309
District Director, Internal Revenue Service, Federal Building
and Post Office, 657 Second Avenue, North Fargo, North Dakota 58102
District Director, Internal Revenue Service, Federal Building,
Second Floor, 301 South Park Avenue, Helena, Montana 59626-0016
District Director, Internal Revenue Service, Federal Building
and Court House, 310 West Wisconsin Avenue, Milwaukee, Wisconsin
53203
District Director, Internal Revenue Service, Federal Office
Building, 106 South Fifteenth Street, Omaha, Nebraska 68102
District Director, Internal Revenue Service, 1222 Spruce Street,
St. Louis, Missouri 63101
District Director, Internal Revenue Service, Federal Building
and Court House, 316 North Robert Street, St. Paul, Minnesota 55101
District Director, Internal Revenue Service, 320 West Washington
Street, Springfield, Illinois 62701
Director, Internal Revenue Service Center, P.O. Box 24551,
Kansas City, Missouri 64131
District Director, Internal Revenue Service, John F. Kennedy
Federal Building, Government Center, Boston, Massachusetts 02203
District Director, Internal Revenue Service, 68 Sewall Street,
Augusta, Maine 04330
District Director, Internal Revenue Service, Leo W. O'Brien
Federal Building, Clinton Avenue and North Pearl Street, Albany, New
York 12207
District Director, Internal Revenue Service, 120 Church Street,
New York, New York 10007
District Director, Internal Revenue Service, 35 Tillary Street,
Brooklyn, New York 11201
District Director, Internal Revenue Service, 111 West Huron
Street, Buffalo, New York 14202
District Director, Internal Revenue Service, Courthouse Plaza,
119 Main Street, Burlington, Vermont 05401
District Director, Internal Revenue Service, William R. Cotter
Federal Building, Stop 204, 135 High Street, Hartford, Connecticut
06103
District Director, Internal Revenue Service, Federal Building,
80 Daniel Street, Portsmouth, New Hampshire 03801
District Director, Internal Revenue Service, 380 Westminster
Mall, Providence, Rhode Island 02903
Director, Internal Revenue Service, Stop 100, 310 Lowell Street,
Andover, Massachusetts 05501
Director, Internal Revenue Service Center, Stop 100, 1040
Waverly Avenue, Holtsville, New York 11799
District Director, Internal Revenue Service, 401 West Peachtree
Street, NW. Atlanta, Georgia 30365
District Director, Internal Revenue Service, 500 Twenty-second
Street South, Birmingham, Alabama, 35233
District Director, Internal Revenue Service, 1835 Assembly
Street, Columbia, South Carolina 29201
District Director, Internal Revenue Service, 320 Federal Place,
Greensboro, North Carolina 27401
District Director, Internal Revenue Service, Suite 504, 100 W.
Capitol Street, Suite 504, Jackson, Mississippi 39269
District Director, Internal Revenue Service, Federal Office
Building, 400 West Bay Street, Jacksonville, Florida 32202
District Director, Internal Revenue Service, 801 Broadway,
Nashville, Tennessee 37203
District Director, Internal Revenue Service, (Stop 6) 700 West
Capitol, Little Rock, Arkansas 72201
District Director, Internal Revenue Service, (Stop 6) 501
Magazine Street, New Orleans, Louisiana 70130
[[Page 69928]]
District Director, Internal Revenue Service, One University
Drive, Building B, Ft. Lauderdale, Florida 33324
Director, Internal Revenue Service Center, 4800 Buford Highway,
Chamblee, Georgia 30341
Director, Internal Revenue Service Center, P.O. Box 30309,
Airport Mail Facility, Memphis, Tennessee 38130
District Director, Internal Revenue Service, 5338 Montgomery NE,
3rd Floor, Albuquerque, New Mexico 87109
District Director, Internal Revenue Service, Stop 100D AUS, 300
East Eighth Street, Austin, Texas 78701
District Director, Internal Revenue Service, 1919 Smith Street,
Houston, Texas 77002
District Director, Internal Revenue Service, 308 West Twenty-
first Street, Cheyenne, Wyoming 82001
District Director, Internal Revenue Service, Stop 1000 DAL, 1100
Commerce Street, Dallas, Texas 75242
District Director, Internal Revenue Service, 600 Seventeenth
Street, Stop 1000 DEN, Denver, Colorado 80202-2490
District Director, Internal Revenue Service, 210 East Earll
Drive, Sixth Floor, Room 600 Phoenix, Arizona 85012
District Director, Internal Revenue Service, 465 South 400 East,
Salt Lake City, Utah 84111
District Director, Internal Revenue Service, 200 NW. Fourth
Street, Oklahoma City, Oklahoma 73102
District Director, Internal Revenue Service, 412 South Main
Street, Wichita, Kansas 76202
Director, Internal Revenue Service Center, 3651 South
Interregional Highway, Austin, Texas 73301
Director, Internal Revenue Service Center, 1160 West 1200 South
Street, Ogden, Utah 84201
District Director, Internal Revenue Service, 949 East Thirty-
sixth Avenue, Anchorage, Alaska 99508
District Director, Internal Revenue Service, Box 041, 550 West
Fort Street, Boise, Idaho 83724
District Director, Internal Revenue Service, PJKK Federal
Building, 300 Ala Moana, Honolulu, Hawaii 96850
District Director, Internal Revenue Service, 24000 Avila Road,
Laguna Niguel, California 92677
District Director, Internal Revenue Service, 300 North Los
Angeles Street, Los Angeles, California 90012
District Director, Internal Revenue Service, 1220 SW. Third
Avenue, Portland, Oregon 97204
District Director, Internal Revenue Service, 4750 West Oakey
Boulevard, Las Vegas, Nevada 89102
District Director, Internal Revenue Service, 4330 Watt Avenue,
North Highland, California 95660
District Director, Internal Revenue Service, 1301 Clay Street,
South Tower, San Francisco, California 94612
District Director, Internal Revenue Service, 55 South Market
Street, San Jose, California 95113
District Director, Internal Revenue Service, 915 Second Avenue,
Seattle, Washington, 98174
Director, Internal Revenue Service Center, 5045 East Butler
Avenue, Fresno, California 93888
ADDRESSES OF CHIEF COUNSEL, REGIONAL COUNSEL, DISTRICT COUNSEL, AND
REGIONAL DIRECTOR OF APPEALS OFFICES
National Office
Office of the National Director of Appeals, Internal Revenue
Service, 901 D Street, SW., Box 68, Washington, DC 20024
Office of the Assistant Chief Counsel (Criminal Tax), Office of
Chief Counsel, Internal Revenue Service, 1111 Constitution Avenue,
NW., Washington, DC 20224
Office of the Assistant Chief Counsel (Disclosure Litigation),
Office of Chief Counsel, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224
Office of the Assistant Chief Counsel (General Legal Services),
Office of Chief Counsel, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224
Office of the Assistant Chief Counsel (General Litigation), Office
of Chief Counsel, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224
Office of the Assistant Chief Counsel (Corporate), Office of Chief
Counsel, Internal Revenue Service, 1111 Constitution Avenue, NW.,
Washington, DC 20224
Office of the Assistant Chief Counsel (Income Tax and Accounting),
Office of Chief Counsel, Internal Revenue Service, 1111 Constitution
Avenue, NW., Washington, DC 20224
Office of the Assistant Chief Counsel (Employee Benefits and Exempt
Organizations), Office of Chief Counsel, Internal Revenue Service,
1111 Constitution Avenue, NW., Washington, DC 20224
Office of the Assistant Counsel (Field Services), Office of Chief
Counsel, Internal Revenue Service, 1111 Constitution Avenue, NW.,
Washington, DC 20224
Office of the Assistant Chief Counsel (Financial Institutions and
Products), Office of Chief Counsel, Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224
Office of the Assistant Chief Counsel (Passthroughs and Special
Industries), Office of Chief Counsel, Internal Revenue Service, 1111
Constitution Avenue, NW., Washington, DC 20224
Chief Counsel, Deputy Chief Counsel, Associate Chief Counsels
(Litigation), (Domestic), (International), Finance and Management)
and (Employee Benefits and Exempt Organizations), Office of Chief
Counsel, Internal Revenue Service, 1111 Constitution Avenue, NW.,
Washington, DC 20224
Regional Counsel Offices
Northeast Region: Regional Counsel's Office, IRS, North-Atlantic
Region, 7 World Trade Center, Twenty-fifth floor, New York, New York
10048
Southeast Region: Regional Counsel's Office, IRS, 401 West Peachtree
Street, Suite 2110-Stop 180-R, Atlanta, Georgia 30365
Midstates Region: Regional Counsel's Office, IRS, 4050 Alpha Road,
14th Floor, Dallas, Texas 75244-4203
Western Region: Regional Counsel's Office, IRS, Room 514, 1650
Mission Street, San Francisco, California 94103
Regional Director of Appeals
Northeast Region: Regional Director of Appeals, IRS, 90 Church
Street, Room 1003 New York NY 10007
Southeast Region: Regional Director of Appeals, IRS, 625 Federal
Office Building, Suite 2118, 401 West Peachtree Street, NW.,
Atlanta, Georgia 30365
Midstates Region: Regional Director of Appeals, IRS, 4050 Alpha
Road, Fourteenth Floor, Dallas, Texas 75244-4203
Western Region: Regional Director of Appeals, IRS, Room 515, 1650
Mission Street, San Francisco, California 94103
District Counsel Offices
District Counsel's Office, IRS, 7 World Trade Center, Twenty-fourth
Floor, New York, New York 10048
District Counsel's Office, IRS, Leo W. O'Brien Federal Building,
Clinton Avenue and N. Pearl Street, Albany, New York 12207
District Counsel's Office, IRS, 10 Causeway Street, Room 401,
Boston, Massachusetts 02222-1061
District Counsel's Office, IRS Brooklyn Office, 1600 Stewart Avenue,
Suite 601, Uniondale, New York 11590
District Counsel's Office, IRS, 28 Church Street, Guaranty Building,
Suite 500, Buffalo, New York 14202
District Counsel's Office, IRS, 333 East River Drive, Suite 200,
Commerce Center One, Hartford, Connecticut 06108
District Counsel's Office, IRS, Room 10424, 600 Arch Street,
Philadelphia, Pennsylvania 19106
District Counsel's Office, IRS, Room 4100, 101 West Lombard Street,
Baltimore, Maryland 21201
District Counsel's Office, IRS, Room 904, 970 Broad Street, Newark,
New Jersey 07102
District Counsel's Office, IRS, 1001 Liberty Center, Room 601 C,
Pittsburgh, Pennsylvania 15222
District Counsel's Office, IRS, 2727 Enterprise Parkway, First
Floor, Richmond, Virginia 23240
District Counsel's Office, IRS, 4620 Wisconsin Avenue, NW., Fourth
Floor, Washington, DC 20016
District Counsel's Office, IRS, Suite 1400, 401 West Peachtree
Street, NW., Atlanta, Georgia 30365
District Counsel's Office, IRS, Room 340, 500 Twenty-second Street,
South, Birmingham, Alabama 35233
District Counsel's Office, IRS, Room 509, 320 Federal Place,
Greensboro, North Carolina 27401
District Counsel's Office, IRS, Box 35027, Federal Office Building,
400 West Bay Street, Room 564, Jacksonville, Florida 32202
District Counsel's Office, IRS, Room 1114, Federal Office Building,
51 SW First Avenue, Miami, Florida 33130
[[Page 69929]]
District Counsel's Office, IRS, Room 703, U.S. Courthouse, 801
Broadway, Nashville, Tennessee 37203-3814
District Counsel's Office, IRS, 917 Hale Boggs Building, 501
Magazine Street, New Orleans, Louisiana 70130
District Counsel's Office, IRS, Room 7525, John Weld Peck Federal
Building 550 Main Street, Cincinnati, Ohio 45202
District Counsel's Office, IRS, Suite 810, One Cleveland Center,
1375 East, Ninth Street, Cleveland, Ohio 44114
District Counsel's Office, IRS, 1870 McNamara Building, 477 Michigan
Avenue, Detroit, Michigan 48226
District Counsel's Office, IRS, 513 Minton-Capehart Federal
Building, 575 N. Pennsylvania Street, Indianapolis, Indiana 46204
District Counsel's Office, IRS, Suite 1100 Heyburn Building, 332
West Broadway, Louisville, Kentucky 40202
District Counsel's Office, IRS, 219 South Dearborn Street, Room
1342, Chicago, Illinois 60604
District Counsel's Office, IRS, 439 Federal Building, 210 Walnut
Street, Des Moines, Iowa 50309
District Counsel's Office, IRS, Room 242, Federal Building, 301
South Park Avenue, Helena, Montana 59626
District Counsel's Office, IRS, 2700 Federal Office Building, 911
Walnut Street, Kansas City, Missouri 64106
District Counsel's Office, IRS, 760 Henry Reuss Federal Plaza, Suite
760, 310 West Wisconsin Avenue, Milwaukee, Wisconsin 53203
District Counsel's Office, IRS, 3101 Federal Building, 215 North
Seventeenth Street, Omaha, Nebraska 68101
District Counsel's Office, IRS, Room 720, 320 West Washington
Street, Springfield, Illinois 62701
District Counsel's Office, IRS, Third Floor, Chouteau Center, 133 S.
Eleventh Street, St. Louis, Missouri 63102
District Counsel's Office, IRS, Galtier Plaza, Suite 650, 175 East
Fifth Street, St. Paul, Minnesota 55101
District Counsel's Office, IRS, 5338 Montgomery NE Suite 400,
Albuquerque, New Mexico 87109
District Counsel's Office, IRS, Room 601, 300 East Eighth Street,
Austin, Texas 78701
District Counsel's Office, IRS, Room 12A24, Stop 2000 DAL, 1100
Commerce Street, Dallas, Texas 75242
District Counsel's Office, IRS, Suite 500, 1244 Speer Boulevard,
Denver, Colorado 80204
District Counsel's Office, IRS, Suite 350, 10850 Richmond Avenue,
Houston, Texas 77042-4775
District Counsel's Office, IRS, Suite 320, 500 West Main, Oklahoma
City, Oklahoma 73102
District Counsel's Office, IRS, Suite 1500, 3225 N. Central Avenue,
Phoenix, Arizona 85012
District Counsel, IRS, Room 131, Wallace F. Bennett Federal
Building, 125 South State Street, Salt Lake City, Utah 84138
District Counsel's Office, IRS, Room 607, 949 East Thirty-sixth
Avenue, Anchorage, Alaska 99508
District Counsel's Office, IRS, Box 024, 550 West Fort Street,
Boise, Idaho 83724
District Counsel's Office, IRS, 7119 PJKK Federal Building, 300 Ala
Moana Boulevard, Honolulu, Hawaii 96850
District Counsel's Office, IRS, Fourth Floor, Chet Holifield
Building, 24000 Avila Road, Laguna Niguel, California 92656
District Counsel's Office, IRS, 4750 Oakey, Suite 403, Las Vegas,
Nevada 89102
District Counsel's Office, IRS, 3018 Federal Building, 300 N. Los
Angeles Street, Los Angeles, California 90012
District Counsel's Office, IRS, 222 SW. Columbia, Suite 450,
Portland, Oregon 97201
District Counsel's Office, IRS, 4330 Watt Avenue, Suite 470, North
Highlands, California 95660
District Counsel's Office, IRS, Suite 901, 701 B Street, San Diego,
California 92101
District Counsel's Office, IRS, Room 504, 160 Spear Street, San
Francisco, California 94105
District Counsel's Office, IRS, Suite 505, 55 South Market Street,
San Jose, California 95113
District Counsel's Office, IRS, 2710 Federal Building, 915 Second
Avenue, Seattle, Washington 98174
District Counsel's Office, IRS, 950 Hampshire Road, East Pavilion,
Thousand Oaks, California 91361
BILLING CODE: 4810-37-P
United States Mint
TREASURY/U.S. MINT .001
SYSTEM NAME:
Cash Receivable Accounting Information System--Treasury/United
States Mint.
SYSTEM LOCATION:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees and former employees of the United States Mint and the
general public who have: (a) Served on jury duty when employed by the
United States Mint; (b) Paid for lost Government property belonging to
the Mint; (c) Purchased numismatic items from Mint sales outlets; and
(d) Have obtained travel advances.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) Receivables due from Mint employees, former employees and
general public for lost Government property, salary overpayments, and
cash sales of over-the-counter numismatic items; and (2) Receivables
due from Mint employees and former employees who have outstanding
travel advances.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 5537 and 31 U.S.C. 5111 (a)(3).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in the records may be used to
disclose information to: (1) Accounting offices, managers, supervisors
and government officials pertaining to cash receivables and debts owed
the Government; (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; (3) 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 employee, or 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
court-ordered subpoena, or in connection with criminal law proceedings;
(5) foreign governments in accordance with formal or informal
international agreements; (6) a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (7) 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; (8) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (9) third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents.
RETRIEVABILITY:
Name or number substitute.
[[Page 69930]]
SAFEGUARDS:
Storage in filing cabinets with access by authorized accounting
personnel.
RETENTION AND DISPOSAL:
General records control schedule, GAO rules and regulations, United
States Mint Records Control Schedule. Records are destroyed in
accordance with National Archives and Records Administration
regulations.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Financial Officer, United States Mint, Judiciary Square
Building, 633 3rd Street, NW, Washington, DC 20220; Financial Manager,
United States Mint, 151 North Independence Mall East, Philadelphia, PA
19106; Financial Manager, United States Mint, 320 West Colfax Avenue,
Denver, CO 80204; Financial Manager, United States Mint, 155 Hermann
Street, San Francisco, CA 94102; Chief, Accounting Division, United
States Mint, West Point, NY 10996; Administrative Officer, United
States Bullion Depository, Fort Knox, KY 40121.
NOTIFICATION PROCEDURE:
Refer to System manager(s) and address. An employee or former
employee is required to show an identification such as:
(a) Employee identification; (b) Driver's license; (c) Other means
of identification, including social security number and date of birth.
RECORD ACCESS PROCEDURE:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
CONTESTING RECORD PROCEDURES:
Refer to ``Record access procedures.''
RECORD SOURCE CATEGORIES:
U.S. Mint employees and appropriate agency officials.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/U.S. MINT .002
SYSTEM NAME:
Current Employee Security Identification Record--Treasury/United
States Mint.
SYSTEM LOCATION:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current United States Mint employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Security information system is used to verify proper admittance to
restricted areas within the Mint facilities. The card record (Mint Form
8925) provides the name of the employee, date and place of birth,
descriptive data on height, weight, hair and eyes; office and division
in which employed; along with photograph and signature of the employee.
The record also indicates approval by facility management for the
issuance of personal identification to the employee, which is
subsequently carried by the employee.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
40 U.S.C. 318-318c.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in the records may be used to
disclose information to: (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; (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 employee, or issuance of a security
clearance, license, contract, grant, or other benefit; (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; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) 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; (7) third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are 5'' x 8'' cards filed in Kardex Binder or circular-
type index system; or computerized database management system.
RETRIEVABILITY:
Alphabetical by name.
SAFEGUARDS:
Maintained in secure area by security officers.
RETENTION AND DISPOSAL:
Records are retained until separation of the employee and are
destroyed upon termination in accordance with National Archives and
Records Administration rules and regulations.
SYSTEM MANAGER(S) AND ADDRESS:
Security Officer (Coordinator), Treasury Department, United States
Mint, Judiciary Square Building, 633 3rd Street, NW, Washington, DC
20220; Security Officer (Facility Manager), United States Mint, 151
North Independence Mall East, Philadelphia, PA 19106; Security Officer
(Facility Manager), United States Mint, 320 West Colfax Avenue, Denver,
CO 80204; Security Officer (Facility Manager), United States Mint, 155
Hermann Street, San Francisco, CA 94102; Security Officer (Facility
Manager), United States Mint, West Point, NY 10996; Security Officer
(Facility Manager), United States Bullion Depository, Fort Knox, KY
40121.
NOTIFICATION PROCEDURE:
Refer to System manager(s) and address. An employee is free to
examine his card record upon request, after properly identifying
himself as the subject of record. The following are used as proof of
identity: (a) Employee identification; (b) Driver's license; and (c)
Other acceptable identifying documents.
RECORD ACCESS PROCEDURES:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
CONTESTING RECORD PROCEDURES:
Refer to ``Record access procedures.''
[[Page 69931]]
RECORD SOURCE CATEGORIES:
Personal information provided by the employee and identification
approval by management staff.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/U.S. MINT .003
SYSTEM NAME:
Employee and Former Employee Travel and Training Accounting
Information System--Treasury/United States Mint.
SYSTEM LOCATION:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Employees and former employees of the United States Mint who have
engaged in travel and training.
CATEGORIES OF RECORDS IN THE SYSTEM:
(1) SF 1166 Voucher and Schedule of Payments with supporting
documents such as: (a) SF 1012 Travel Voucher; (b) SF 1028 Application
and Account for Advance of Funds; (2) Travel Authorities; (3)
Government Travel Request SF 1169; (4) SF-182, Request, Authorization,
Agreement and Certification of Training.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. Chapters 41 and 57.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in the records may be used to
disclose information to: (1) Accounting offices, managers, supervisors
and government officials pertaining to cash receivables and debts owed
the Government; (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; (3) 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 employee, or 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
court-ordered subpoena, or in connection with criminal law proceedings;
(5) foreign governments in accordance with formal or informal
international agreements; (6) a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (7) 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; (8) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (9) third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents.
RETRIEVABILITY:
Name or number substitute (social security number, authority
number).
SAFEGUARDS:
Stored in filing cabinets with access by authorized accounting
personnel.
RETENTION AND DISPOSAL:
General Records Control Schedule, GAO rules and regulations, United
States Mint Records Control Schedule are destroyed in accordance with
National Archives and Records Administration regulations.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Financial Officer, United States Mint, Judiciary Square
Building, 633 3rd Street, NW, Washington, DC 20220; Financial Manager,
United States Mint, 151 North Independence Mall East, Philadelphia, PA
19106; Financial Manager, United States Mint, 320 West Colfax Avenue,
Denver, CO 80204; Financial Manager, United States Mint, 155 Hermann
Street, San Francisco, CA 94102; Chief, Accounting Division, United
States Mint, West Point, NY 10996; Administrative Officer, United
States Bullion Depository, Fort Knox, KY 40121.
NOTIFICATION PROCEDURE:
Refer to System manager(s) and address. An employee or former
employee is required to show an identification such as: (a) Employee
identification; (b) Driver's license; and (c) Other means of
identification including social security number and date of birth.
RECORD ACCESS PROCEDURES:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
CONTESTING RECORD PROCEDURES:
Refer to ``Record access procedures.''
RECORD SOURCE CATEGORIES:
United States Mint employees and appropriate agency officials.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/U.S. MINT .004
SYSTEM NAME:
Occupational Safety and Health, Accident and Injury Records, and
Claims for Injuries or Damage Compensation Records--Treasury/United
States Mint.
SYSTEM LOCATION:
Location and Category of Records Maintained: United States Mint,
Judiciary Square Building, 633 3rd Street, NW, Washington, DC 20220--
Accident/Injury/Illness Records, Vehicle Accident, and Claims against
the Government; United States Mint, 151 North Independence Mall East,
Philadelphia, PA 19106--Accident/Injury/Illness Records, Motor Vehicle
Accident Data, Claims against the Government, Safety Equipment Logs,
and Operators Training/Licensing; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; Accident/Injury/Illness Records, Motor
Vehicle Accident Data, Claims against the Government, Safety Equipment
Logs, and Operators Licensing; United States Mint, 155 Hermann Street,
San Francisco, CA 94102; Accident/Injury/Illness Records, Motor Vehicle
Accident Data, Claims against the Government, Safety Equipment Logs,
and Operators Training/Licensing; United States Mint, West Point, NY
10996; Accident/Injury/Illness Records, Motor Vehicle Accident Data,
Claims against the Government, and Safety Equipment Logs; United States
Bullion Depository, Fort Knox, KY 40121; Accident/Injury/Illness
[[Page 69932]]
Records, Motor Vehicle Accident Data, and Claims against the
Government.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
United States Mint employees, former employees and members of the
public.
CATEGORIES OF RECORDS IN THE SYSTEM:
Refer to System location.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. Ch. 81; 29 U.S.C. 668; 29 CFR 1910; E.O. 12196, 28 U.S.C.
2680 et seq.; 31 U.S.C. 3701 and 3721; and 31 CFR parts 3 and 4.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records and information in the records may be used to
disclose information to: (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; (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 employee, or issuance of a security
clearance, license, contract, grant, or other benefit; (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; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) 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; (7) third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation; (8) physicians providing medical
services or advice to Mint management and/or employees, or to private
physicians of Mint employees, for the purpose of assisting in making
medical diagnoses or treatment.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper documents.
RETRIEVABILITY:
By name.
SAFEGUARDS:
Locked file cabinets available to authorized personnel only.
RETENTION AND DISPOSAL:
Records are retained in accordance with General Records Control
Schedules; DOL, OSHA; EPA; and United States Mint Records Control
Schedules; are destroyed in accordance with National Archives and
Records Administration rules and regulations.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Director for Human Resources, Treasury Department, United
States Mint, Judiciary Square Building, 633 3rd Street, NW, Washington,
DC 20220; Personnel Officer and Safety Officer, United States Mint, 151
North Independence Mall East, Philadelphia, PA 19106; Personnel
Officer, United States Mint, 320 West Colfax Avenue, Denver, CO 80204;
Personnel Officer, United States Mint, 155 Hermann Street, San
Francisco, CA 94102; Administrative Officer, United States Mint, West
Point, NY 10996; Administrative Officer, United States Bullion
Depository, Fort Knox, KY 40121.
NOTIFICATION PROCEDURE:
Refer to System manager(s) and address. An employee or former
employee is required to show an identification such as: (a) Employee
identification; (b) Driver's license; and (c) Other means of
identification, including social security number and date of birth.
RECORD ACCESS PROCEDURES:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
CONTESTING RECORD PROCEDURES:
Refer to ``Record access procedures.''
RECORD SOURCE CATEGORIES:
Employees, supervisors, medical staff, general public, and visitors
to the facilities of the United States Mint.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/U.S. MINT .005
SYSTEM NAME:
Employee--Supervisor Performance Evaluation, Counseling and Time
and Attendance Records--Treasury/United States Mint.
SYSTEM LOCATION:
United States Mint, 155 Hermann Street, San Francisco, CA 94102;
United States Mint, 320 West Colfax Avenue, Denver, CO 80204; United
States Mint, Judiciary Square Building, 633 3rd Street, NW, Washington,
DC 20220; United States Mint, 151 North Independence Mall East,
Philadelphia, PA 19106; United States Mint, West Point, NY; United
States Bullion Depository, Fort Knox, KY 40121; and United States Mint,
Customer Service Center, 10003 Derekwood Lane, Lanham, MD 20706.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
United States Mint employees and former employees.
Categories of records in the system:
Information necessary for managers and supervisors to effectively
carry out supervisory responsibilities. Included are such records as:
Copies of personnel actions, performance appraisal including production
and control, disciplinary actions, overtime reports, tardiness reports,
work assignments, training reports, applications for employment, home
addresses, leave reports, 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.)
Authority for maintenance of the system:
5 U.S.C. 301 and FPM Supplement 990-1, Section 3.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to
disclose information to: (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; (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
[[Page 69933]]
employee, or issuance of a security clearance, license, contract,
grant, or other benefit; (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; (4) foreign
governments in accordance with formal or informal international
agreements; (5) a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (6) 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; (7) third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents maintained in folders.
Retrievability:
By name.
Safeguards:
Stored in file cabinets and desks of supervisors.
Retention and disposal:
Retained as long as employee is under their supervision.
System manager(s) and address:
Associate and Assistant Directors and Director's Staff, United
States Mint, Judiciary Square Building, 633 3rd Street, NW, Washington,
DC 20220, and Customer Service Center, 10003 Derekwood Lane, Lanham, MD
20706; Superintendent, United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; Superintendent, United States Mint, 320
West Colfax Avenue, Denver, CO 80204; Superintendent, United States
Mint, 155 Hermann Street, San Francisco, CA 94102; Superintendent,
United States Mint, West Point, NY 10996; Officer-in-Charge, United
States Bullion Depository, Fort Knox, KY 40121.
Notification procedure:
Refer to System manager(s) and address. Employee or former employee
is required to show identification such as: identification card,
driver's license.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
Employees, previous employers, and appropriate agency officials.
Exemptions claimed for the system:
None.
TREASURY/U.S. MINT .007
System name:
General Correspondence--Treasury/United States Mint.
System location:
United States Mint, Judiciary Square, 633 3rd Street, NW,
Washington, DC 20220.
Categories of individuals covered by the system:
Members of the public, Members of Congress, Mint officials and
officials from other Federal agencies.
Categories of records in the system:
Incoming correspondence and replies pertaining to the mission,
function and operation of the United States Mint.
Authority for maintenance of the system:
31 U.S.C. 5131 and 5132.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to
disclose information to:
(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; (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
employee, or issuance of a security clearance, license, contract,
grant, or other benefit; (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; (4) foreign
governments in accordance with formal or informal international
agreements; (5) a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (6) 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; (7) third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
By name (limited retrievability by subject and/or control number)
Safeguards:
Maintained in limited access area available only to appropriate
agency officials.
Retention and disposal:
In accordance with the National Archives and Records
Administration's General Records Control Schedule and the United States
Mint Records Control Schedule. Destroyed in accordance with National
Archives and Records Administration regulation.
System manager(s) and address:
Chief, Executive Secretariat, United States Mint, Judiciary Square
Building, 633 3rd Street, NW, Washington, DC 20220.
Notification procedure:
Refer to System Manager for addresses to which inquiries may be
addressed and addresses at which the individual may present a request
as to whether a system contains records pertaining to himself/herself.
The individual must supply his/her name.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
The general public, Members of Congress and Federal officials.
Exemptions claimed for the system:
None.
[[Page 69934]]
TREASURY/U.S. MINT .008
System name:
Criminal Investigations Files--Treasury/United States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220.
Categories of individuals covered by the system:
Mint employees and members of the public suspected of criminal
misconduct against the United States Mint.
Categories of records in the system:
Name of individual, location of Mint facility, and reports by
security personnel of the U.S. Mint.
Authority for maintenance of the system:
Title 18 U.S.C.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to
disclose information to: (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; (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 employee, or issuance of a security
clearance, license, contract, grant, or other benefit; (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; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) 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; (7) third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
By name.
Safeguards:
Files are kept in a locked metal file cabinet in an area accessible
to authorized agency officials.
Retention and disposal:
Retained in accordance with United States Mint Records Control
Schedule; are destroyed in accordance with National Archives and
Records Administration rules and regulations.
System manager(s) and address:
Mint Security Office, United States Mint, Judiciary Square
Building, 633 3rd Street, NW, Washington, DC 20220.
Notification procedures:
Refer to System manager(s) and address.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
United States Mint and other law enforcement officials.
Exemptions claimed for the system:
As authorized by 5 U.S.C. 552a (j) and (k); this system is exempt
from the following provisions, subsections (c)(3), (d), (e)(1); (e)(4)
(G), (H), and (I) and (f) of 5 U.S.C. 552a.
TREASURY/U.S. MINT .009
System name:
Mail-Order and Catalogue Sales System (MACS), Customer Mailing
List, Order Processing Record for Coin Sets, Medals and Numismatic
Items, and Records of Undelivered Orders, Product Descriptions,
Availability and Inventory--Treasury/United States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220 and Customer Service Center, 10003 Derekwood Lane,
Lanham, MD 20706.
Categories of individuals covered by the system:
Members of the public.
Categories of records in the system:
Names, addresses, order history of customers purchasing numismatic
items and of individuals who wish to receive notification of numismatic
offerings by the Mint.
Authority for maintenance of the system:
31 U.S.C. 5111, 5112, 5132 and 31 CFR part 92.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to
disclose information to: (1) Accounting offices, managers, supervisors
and government officials pertaining to cash receivables and debts owed
the Government; (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; (3) 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 employee, or 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
court-ordered subpoena, or in connection with criminal law proceedings;
(5) foreign governments in accordance with formal or informal
international agreements; (6) a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (7) 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; (8) third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape, discs, paper and cards.
[[Page 69935]]
Retrievability:
Name, customer number or order number.
Safeguards:
CRT, password protection; only designated persons may request
computer generated reports. Access to any information pertaining to any
individual is limited to only those individuals requiring the
information to accommodate handling of transactions with the customers.
Separation of functions; source documents maintained in one division
and programming systems in another.
Retention and disposal:
In accordance with the National Archives and Records Administration
General Records Control Schedule and the United States Mint Records
Control Schedule; are destroyed in accordance with National Archives
and Records Administration regulations. Customer names and addresses
are maintained as long as they are active.
System manager(s) and address:
Associate Director for Numismatics, Judiciary Square Building, 633
3rd Street, NW., Washington, DC 20220.
Notification procedure:
Refer to System manager(s) and address. Individuals should supply
order number as provided on order card or copy of both sides of
canceled check; customer number which appears on pre-printed order
cards or on face of check.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
Members of the public and appropriate government officials.
Exemptions claimed for the system:
None.
TREASURY/U.S. MINT .012
System name:
Grievances. Union/Agency Negotiated Grievances; Adverse Performance
Based Personnel Actions; Discrimination Complaints; Third Party
Actions--Treasury/United States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
Categories of individuals covered by the system:
Employees and former employees of the United States Mint.
Categories of records in the system:
This system of records contains information or documents relating
to employee grievances filed under provisions of negotiated grievance
procedures, administrative grievance procedures, adverse action
procedures, performance based action procedures, and discrimination
complaint procedures, including decision of appropriate third parties
where applicable.
Authority for maintenance of the system:
5 U.S.C. 7701 and 7702; 5 U.S.C. Ch. 75; and 5 U.S.C. Ch. 71.
Executive Orders 11491, 11616, 11636, 11838, 11901, 12027, 12107; 29
CFR 1613; negotiated agreements between the United States Mint and
exclusively recognized labor unions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to
disclose information to: (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; (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 employee, or issuance of a security
clearance, license, contract, grant, or other benefit; (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; (4) a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (5)
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; (6) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders or binders.
Retrievability:
These records are filed by the names of the individuals on whom
they are maintained or by the subject of the action.
Safeguards:
Access to and use of these records are limited to those agency
officials whose official duties require such access.
Retention and disposal:
Retained in accordance with the United States Mint Records Control
Schedules; are destroyed in accordance with National Archives and
Records Administration rules and regulations.
System manager(s) and address:
For current and former employees: Assistant Director for Human
Resources, United States Mint, Department of the Treasury, Judiciary
Square Building, 633 3rd Street, NW, Washington, DC 20220. Personnel
Officer, United States
[[Page 69936]]
Mint, 151 North Independence Mall East, Philadelphia, PA 19106.
Personnel Officer, United States Mint, 320 West Colfax Avenue, Denver,
CO 80204. Personnel Officer, United States Mint, 155 Hermann Street,
San Francisco, CA 94102. Administrative Officer, United States Mint,
West Point, NY 10996. Administrative Officer, United States Bullion
Depository, Fort Knox, KY 40121.
Notification procedure:
Individuals who have filed an action are provided a copy of the
record. They may, however, contact the System Manager indicated above
regarding the existence of such records pertaining to them. It is
necessary to furnish 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.
Record access procedures:
Individuals who have filed a grievance, appeal, or complaint about
a decision or determination made by an agency or about conditions
existing in an agency 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. However,
after a case has been closed, an individual may gain access to, or
contest the official copy of the grievance record by writing the
appropriate System Manager indicated above. Individuals should provide
name, date of birth, a brief description of the action and the
approximate date of submission.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
The sources of these records are as follows: (a) Individual to whom
the record pertains; (b) Agency officials; (c) Affidavits or statements
from employee(s); (d) Testimonies of witnesses; (e) Official documents
and correspondence relating to the grievance.
Exemptions claimed for the system:
None.
BILLING CODE: 4810-40-P
Bureau of the Public Debt
TREASURY/BPD .001
System name:
Human Resources and Administrative Records--Treasury/BPD.
System location:
Records are maintained at the following Bureau of the Public Debt
locations: 200 Third Street, Parkersburg, WV 26106; Park Center, 90
Park Center, Parkersburg, WV 26101; H. J. Hintgen Building, 2nd and
Avery Streets, Parkersburg, WV 26102; 999 E Street, NW, Washington, DC
20239, and 300-13th Street, SW, Washington, DC 20239. 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.
Categories of individuals covered by the system:
Records cover present and former employees, applicants for
employment, contractors, vendors, and visitors.
Categories of records in the system:
This system contains the following categories of records. This
system of records is limited to those records Public Debt needs to
function in an efficient manner and does not cover those records
reported under another system of records notice.
(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 Summer Employment, Veterans Readjustment, Career Development
for Lower Level Employees (CADE), 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.
(B) Equal Employment Opportunity Records. These are records of
informal EEO complaints and discussions which 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 Public Debt's
EEO Office.
(C) Administrative Records: (1) Administrative Services Records.
These records relate to administrative support functions including
motor vehicle operation, safety, access to exterior and interior areas,
contract guard records, offense/incident reports, accident reports, and
security determinations.
(2) 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.
(3) Financial Management Records. These records relate to travel by
employees and account information for vendors and contractors who are
individuals.
(4) Retiree Mailing Records. These records contain the name and
address furnished by Public Debt retirees requesting mailings of
newsletters and other special mailings.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321.
Purpose(s):
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.
Routine uses of records maintained in the System, including categories
of users and purposes of such uses:
These records and information in these records may be disclosed as
a routine use to:
(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; (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; (3) creditors, potential creditors,
landlords, and potential landlords when they request employment data or
salary
[[Page 69937]]
information for purposes of processing the employee's loan, mortgage,
or apartment rental application (when information is requested by
telephone, only verification of information supplied by the caller will
be provided); (4) next-of-kin, voluntary guardians, and other
representative or successor in interest of a deceased or incapacitated
employee or former employee; (5) 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; (6) private creditors for the purpose of garnishing wages of an
employee if a debt has been reduced to a judgment; (7) 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; (8) contractors of the
Bureau for the purpose of processing personnel and administrative
records; (9) 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; (10) Congressional offices in response to an inquiry made at
the request of the individual to whom the record pertains; (11) 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; (12)
consumer reporting agencies, including mailing addresses obtained from
the Internal Revenue Service to obtain credit reports; (13) debt
collection agencies, including mailing addresses obtained from the
Internal Revenue Service, for debt collection services; (14)
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; (15) 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; (16) third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Disclosure to consumer reporting agencies:
Debtor information 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders, on lists and forms,
microform, and electronic media.
Retrievability:
By name or social security number.
Safeguards:
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.
Retention and disposal:
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 burning. Records in
electronic media are electronically erased using accepted techniques.
System manager(s) and address:
Human Resources Records:
Director, Human Resources Division, 200 Third Street, Parkersburg,
WV 26106-1328.
Equal Employment Opportunity Records:
Equal Employment Opportunity Manager, 200 Third Street,
Parkersburg, WV 26106-1328.
Administrative Services Records:
Director, Administrative Services Division, 200 Third Street,
Parkersburg, WV 26106-1328.
Procurement Records:
Director, Division of Procurement, 200 Third Street, Parkersburg,
WV 26106-1328.
Financial Management Records:
Director, Division of Financial Management, 200 Third Street,
Parkersburg, WV 26106-1328.
Retiree Mailing Records:
Director, Division of Data Services, 200 Third Street, Parkersburg,
WV 26106-1328.
Notification procedure:
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 which do not comply fully with these procedures may result in
noncompliance with the request, but will be answered to the extent
possible.
Record access procedures:
(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 the 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.
(2) The request should be submitted to the appropriate office as
shown under ``System Managers and Addresses'' above. 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).
Contesting record procedures:
(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
[[Page 69938]]
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 the 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.
(2) The initial request should be submitted to the appropriate
office as shown under ``System Managers and Addresses'' above.
(3) The request should specify: (a) The dates of records in
question, (b) the specific records alleged to be incorrect, (c) the
correction requested, and (d) the reasons.
(4) The request must include available evidence in support of the
request.
Appeals from an Initial Denial of a Request for Correction of Records:
(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 the 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.
(2) Appellate determinations will be made by the Commissioner of
the Public Debt or the delegate of such officer. Appeals should be
addressed to, or delivered personally to: Chief Counsel, Bureau of the
Public Debt, 999 E Street, NW, Room 503, 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.
(3) An appeal must be marked ``Privacy Act Amendment Appeal'' and
specify: (a) The records to which the appeal relates, (b) the date of
the initial request made for correction of the records, and (c) the
date the initial denial of the request for correction was received.
(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.
Record source categories:
Information in this system of records is provided by the subject of
the record, authorized representatives, supervisors, employers, medical
personnel, other employees, other Federal, State, or local agencies,
and commercial entities.
Exemptions claimed for the system:
None.
TREASURY/BPD .002
System name:
United States Savings Type Securities.
System location:
Bureau of the Public Debt: Washington, DC; Parkersburg, WV. Federal
Reserve Banks and Branches located at: Buffalo, NY; Kansas City, MO;
Minneapolis, MN; Pittsburgh, PA, and Richmond, VA.
Categories of individuals covered by the system:
Present and former owners of, claimants to, persons entitled to,
and inquirers concerning United States savings-type securities and
interest thereon-including, but not limited to, United States Savings
Bonds, Savings Notes, Retirement Plan Bonds, and Individual Retirement
Bonds.
Categories of records in the system:
(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 which will permit access by
selected Federal Reserve Banks and Branches. (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 which will permit
access by selected Federal Reserve Banks and Branches. (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 which will permit access by selected Federal Reserve
Banks and Branches. (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. (5) Inquiries: Records of
correspondence with individuals who have requested information
concerning savings-type securities and/or interest thereon.
Authority for maintenance of the system:
31 U.S.C. 3101, et seq. and 5 U.S.C. 301.
Purpose(s):
Information in this system of records is collected and maintained
to enable Public Debt and its agents to issue savings bonds, to process
transactions, to make payments, and to identify owners and their
accounts.
Routine uses of records maintained in the System, including categories
of users and the purposes of such uses:
A record or information from a record maintained in this system of
records may be disclosed as a routine use to: (1) Agents or contractors
of the Department for the purpose of administering the public debt of
the United States; (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; (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; (4)
the Internal Revenue Service for the purpose of facilitating collection
of the tax revenues of the United States; (5) the Department of Justice
in connection with lawsuits to which the Department
[[Page 69939]]
of the Treasury is a party or to trustees in bankruptcy for the purpose
of carrying out their duties; (6) the Veterans Administration and
selected veterans publications for the purpose of locating owners or
other persons entitled to undeliverable bonds held in safekeeping by
the Department; (7) other federal agencies to effect salary or
administrative offset for the purpose of collecting debts; (8) a
consumer reporting agency, including mailing addresses obtained from
the Internal Revenue Service, to obtain credit reports; (9) a debt
collection agency, including mailing addresses obtained from the
Internal Revenue Service, for debt collection services; (10)
contractors conducting Treasury-sponsored surveys, polls, or
statistical analyses relating to the marketing or administration of the
public debt of the United States; (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; (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; (13) a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (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 which may be used to collect the debt through
administrative or salary offset; (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; and
(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.
Disclosures to consumer reporting agencies:
Debtor information 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.
Policies and practices for storing, retrieving, safeguarding,
retaining, and disposing of records in the system:
Storage:
Records in this system are stored in their original form in file
cabinets, or as information in electronic media, or on microform.
Retrievability:
Information can be retrieved alphabetically by name, address, and
period of time security was issued, by bond serial numbers, 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 thereto 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.
Safeguards:
Information is contained in secure buildings or in areas which are
occupied either by officers and responsible employees of Public Debt
who are subject to personnel screening procedures and to the Treasury
Department Code of Conduct or by agents of 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 on-line terminal access,
the information cannot be accessed without proper passwords and
preauthorized functional capability.
Retention and disposal:
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). All records are destroyed by shredding,
incineration, or maceration. Records in electronic media are
electronically erased using accepted techniques.
System manager(s) and address:
Assistant Commissioner, Savings Bond Operations Office,
Parkersburg, WV 26106-1328.
Notification procedure:
Individuals may submit their requests for determination if the
system contains records pertaining to them or for access to records as
provided under ``Record Access Procedures.'' Contesting records
procedures or requests for correction of records and appeals from an
initial denial of a request for correction of records may be submitted
as provided under the applicable heading below.
Record access procedures:
Individuals who wish to request access to records relating to them
or who wish to request correction of records they believe to be in
error should submit such requests pursuant to the procedures set out
below in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests which do not comply fully with these procedures
may result in noncompliance with the request, but will be answered to
the extent possible.
(1) Requests by individuals about securities they own: (a) For
current income savings bonds: Individuals may make inquiries at a
Federal Reserve Bank or Branch or directly to the Bureau of the Public
Debt, Savings Bond Operations Office, Division of Transactions and
Rulings, Parkersburg, WV 26106-1328, (304) 480-6112. If the particular
Federal Reserve Bank or Branch cannot access the particular record, the
individual will be advised to contact the Savings Bond Operations
Office. Individuals should 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 of issue, form of
registration, and except for Series G Savings bonds registered in co-
[[Page 69940]]
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. (b) For all other types of
securities covered by this system of records: Individuals should
contact the following: Bureau of the Public Debt, Savings Bond
Operations Office, Division of Transactions and Rulings, Parkersburg,
WV 26106-1328, (304) 480-6112. Individuals should provide sufficient
information, including their address and social security number, to
identify themselves as owner or co-owner of the securities. Individuals
should 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.
(2) Requests by anyone other than individuals about securities they
own 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. Requests should be sent to the
following: Bureau of the Public Debt, Savings Bond Operations Office,
Division of Transactions and Rulings, Parkersburg, WV 26106-1328, (304)
480-6112. (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. (b) Requests for records of holdings or other
information concerning a deceased or incapacitated individual should 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.
Contesting record procedures:
(1) A request by an individual contesting the content of records or
for correction of records should be in writing, be signed, and clearly
state that the request is made pursuant to the Privacy Act of 1974. (2)
The request for correction should specify: (a) The dates of the prior
correspondence concerning the records in question; (b) the specific
records alleged to be incorrect; (c) the correction requested; and (d)
the reasons therefor. (3) The request must include any available
evidence in support of the request. (4) The request for correction
should be sent to: Director, Division of Transactions and Rulings,
Savings Bond Operations Office, Bureau of the Public Debt, Parkersburg,
WV 26106-1328, (304) 480-6112.
Appeals from an Initial Denial of a Request for Correction of Records:
(1) An appeal from an initial denial of a request for correction of
records must be in writing, be signed by the individual involved and
clearly state that it is made pursuant to the Privacy Act of 1974. (2)
All appeals must, to be processed under the Privacy Act procedures, be
delivered to the address set forth for submission of appeals within 35
days of the individual's receipt of the initial denial of the requested
correction. (3) All appeals must specify: (a) The records to which the
appeal relates, (b) the date of the initial request made for correction
of the records, and (c) the date that initial denial of the request for
correction was received. (4) All appeals must also specify the reasons
for the requester's disagreement with the initial denial of correction
and must include any applicable supporting evidence. (5) Appellate
determinations will be made by the Commissioner of the Public Debt or
the delegate of such officer. Appeals should be addressed to, or
delivered personally to the following: Privacy Act Amendment Appeal,
Chief Counsel, Bureau of the Public Debt, Department of the Treasury,
999 E Street, Room 503, Washington, DC 20239-0001, or as otherwise
provided in the applicable appendix to 31 CFR part 1, subpart C.
Record source categories:
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.
Exemptions claimed for the system:
None.
TREASURY/BPD .003
System name:
United States Securities (Other than Savings Type Securities)--
Treasury/BPD.
System location:
Bureau of the Public Debt: Washington, DC; Parkersburg, WV; Federal
Reserve Banks and Branches located at: Atlanta, GA; Baltimore, MD;
Birmingham, AL; Boston, MA; Buffalo, NY; Charlotte, NC; Chicago, IL;
Cincinnati, OH; Cleveland, OH; Dallas, TX; Denver, CO; Detroit, MI; El
Paso, TX; Houston, TX; Jacksonville, FL; Kansas City, MO; Little Rock,
AR; Los Angeles, CA; Louisville, KY; Memphis, TN; Miami, FL;
Minneapolis, MN; Nashville, TN; New Orleans, LA; New York, NY; Oklahoma
City, OK; Omaha, NE; Philadelphia, PA; Pittsburgh, PA; Portland, OR;
Richmond, VA; Salt Lake City, UT; San Antonio, TX; San Francisco, CA;
Seattle, WA; and St. Louis, MO.
Categories of individuals covered by the system:
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 thereon and such
securities for which the Treasury acts as agent including, but not
limited to, Treasury Bonds, Notes, and Bills; Adjusted Service Bonds;
Armed Forces Leave Bonds; and Federal Housing Administration
Debentures.
Categories of records in the system:
(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.
(2) Holdings: Records of ownership and interest activity on registered
or recorded United States securities (other than savings-type
securities); records about fees for TREASURY DIRECT 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. (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. (4) Claims: Records including
correspondence concerning lost, stolen,
[[Page 69941]]
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. (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. (6) All of the above categories of records
except ``(4) Claims'' include records of Treasury bills, notes, and
bonds in the TREASURY DIRECT Book-entry Securities System. (7) Records
in connection with the commercial book-entry system relate to
information on tenders and in accounts maintained in the system.
Authority for maintenance of the system:
31 U.S.C. 3101 et seq. and 5 U.S.C. 301. Routine uses of records
maintained in the system, including categories of users and the purpose
of such uses: A record or information from a record maintained in this
system of records may be disclosed as a routine use to: (1) Agents or
contractors of the Department for the purpose of administering the
public debt of the United States; (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; (3) any of
the owners if the related securities are registered or recorded in the
names of two or more owners; (4) the Internal Revenue Service for the
purpose of facilitating the collection of the tax revenues of the
United States; (5) the Department of Justice in connection with
lawsuits to which the Department of the Treasury is a party or to
trustees in bankruptcy for the purpose of carrying out their duties;
(6) the Veterans Administration when it relates to the holdings of
Armed Forces Leave Bonds to facilitate the redemption or disposition of
these securities; (7) other federal agencies to effect salary or
administrative offset for the purpose of collecting debts; (8) a
consumer reporting agency, including mailing addresses obtained from
the Internal Revenue Service, to obtain credit reports; (9) a debt
collection agency, including mailing addresses obtained from the
Internal Revenue Service, for debt collection services; (10)
contractors conducting Treasury-sponsored surveys, polls, or
statistical analyses relating to marketing or administration of the
public debt of the United States; (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; (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; (13) a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (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 which may be used to collect the debt through
administrative or salary offset; (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; and (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.
Disclosures to consumer reporting agencies:
Debtor information 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored in their original form in file
cabinets, as information in electronic media, or on microform.
Retrievability:
Information can be retrieved by social security or account number,
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 thereto can generally only be retrieved by
social security number or by the name of the first-named owner.
Information about individuals submitting electronic bids can also be
retrieved by bidder identification number, where such number has been
assigned.
Safeguards:
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.
Retention and disposal:
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). All records are destroyed by shredding,
incineration, or maceration. Records in electronic media are
electronically erased using accepted techniques.
System manager(s) and address:
Records relating to information contained in the Treasury Auction
Automation Processing System: Assistant Commissioner, Office of
Financing, Bureau of the Public Debt, Washington, DC 20239-0001. All
other records: Assistant Commissioner, Office of Securities and
Accounting Services,
[[Page 69942]]
Bureau of the Public Debt, Parkersburg, WV 26106-1328.
Notification procedure:
Individuals may submit their requests for determination if the
system contains records pertaining to them or for access to records as
provided under ``Records access procedures'' and ``Requests for access
to records.'' Contesting records procedures or requests for correction
of records and appeals from an initial denial of a request for
correction of records may be submitted as provided under the applicable
heading below.
Record access procedures:
Individuals who wish to request access to records relating to them
or who wish to request correction of records they believe to be in
error should submit such requests pursuant to the procedures set out
below in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests which do not comply fully with these procedures
may result in noncompliance with the request, but will be answered to
the extent possible.
Requests for access to records:
(1) Requests by individuals for information relating to records
contained in the commercial book-entry system should be directed to the
Assistant Commissioner, Office of Financing, Bureau of the Public Debt,
Washington, DC 20239-0001. (2) Requests by individuals about securities
they own: (a) For Treasury bills, notes, or bonds held in the TREASURY
DIRECT Book-entry Securities System: Individuals may contact the
nearest Federal Reserve Bank or Branch or the Bureau of the Public Debt
as listed in the appendix 1 to this system of records. 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 TREASURY
DIRECT account. (b) For all other categories of records in this system
of records: Individual owners should contact: Assistant Commissioner,
Office of Securities and Accounting Services, Bureau of the Public
Debt, Parkersburg, WV 26106-1328. Requests should 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. (3) Requests by individuals
who are representatives of owners or their estates require appropriate
authority papers. Write to: Assistant Commissioner, Office of
Securities and Accounting Services, Bureau of the Public Debt,
Parkersburg, WV 26106-1328, to obtain information on these
requirements. (4) 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.
Contesting records procedures:
(1) A request by an individual contesting records procedures or for
correction of records should be in writing, be signed, and, in order
for the Privacy Act procedures to apply, state that the request is made
pursuant to the Privacy Act of 1974. (2) The request should specify:
(a) the dates of the prior correspondence with the Bureau or a Federal
Reserve Bank or Branch concerning the records in question, (b) the
specific records involved, (c) the change or correction requested, and
(d) the reasons therefor. (3) The request must include any available
evidence in support of the request and should be sent to: Assistant
Commissioner, Office of Financing, Bureau of the Public Debt,
Washington, DC 20239-0001, for requests concerning information relating
to records contained in the commercial book-entry system; for all other
records Assistant Commissioner, Office of Securities and Accounting
Services, Bureau of the Public Debt, Parkersburg, WV 26106-1328, for
all other requests.
Appeals from an Initial Denial of a Request for Correction of Records:
(1) An appeal from an initial denial of a request for correction of
records must be in writing, be signed by the individual involved, and,
in order for the Privacy Act procedures to apply, state that it is made
pursuant to the Privacy Act of 1974. (2) All appeals must, to be
handled under the Privacy Act procedures, be delivered to the address
set forth for submission of appeals within 35 days of the individual's
receipt of the initial denial of the requested correction. (3) All
appeals must specify: (a) The records to which the appeal relates, (b)
the date the initial request for correction of the records was made,
and (c) the date that initial denial of the request for correction was
received. (4) All appeals must also specify the reasons for the
requester's disagreement with the initial denial of correction and must
include any applicable supporting evidence. (5) Appeals should be
addressed to the Commissioner, Bureau of the Public Debt, Washington,
DC 20239-0001, or as otherwise provided in the applicable appendix to
31 CFR part 1, subpart C.
Record source categories:
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.
Exemptions claimed for the system:
None.
Appendix of TREASURY DIRECT Contacts
This appendix lists the mailing addresses and telephone numbers
of the places that may be contacted by individuals when inquiring
about their securities accounts maintained in TREASURY DIRECT. The
initials ``FRB'' stand for Federal Reserve Bank or Branch.
FRB Atlanta: PO Box 662, Atlanta, GA 30301-0662; Telephone:
(recording) 404-521-8657; (other) 404-521-8653.
FRB Baltimore: PO Box 1378, Baltimore, MD 21203; Telephone:
(recording) 410-576-3500; (other) 410-576-3553.
FRB Birmingham: PO Box 830447, Birmingham, AL 35283-0447;
Telephone: (recording) 205-731-8702; (other) 205-731-8708.
FRB Boston: PO Box 2076, Boston, MA 02106-2076; Telephone:
(recording) 617-973-3800; (other) 617-973-3810.
FRB Buffalo: PO Box 961, Buffalo, NY 14240-0961; Telephone:
(recording) 716-849-5158; (other) 716-849-5000.
FRB Charlotte: PO Box 30248, Charlotte, NC 28230; Telephone:
(recording) 704-358-2424; (other) 704-358-2410.
FRB Chicago: PO Box 834, Chicago, IL 60690; Telephone: 312-322-
5369.
FRB Cincinnati: PO Box 999, Cincinnati, OH 45201-0999;
Telephone: 513-721-4794, ext. 334.
FRB Cleveland: PO Box 6387, Cleveland, OH 44101-1687; Telephone:
216-579-2490.
FRB Dallas: PO Box 655906, Dallas, TX 75265-5906; Telephone:
(recording); 214-922-6100 (other) 214-922-6770.
FRB Denver: PO Box 5228, Denver, CO 80217-5228; Telephone:
(recording) 303-572-2475; (other) 303-572-2473.
FRB Detroit: PO Box 1059, Detroit, MI 48231-1059; Telephone:
(recording) 313-963-6140; (other) 313-964-6157.
FRB El Paso: PO Box 100, El Paso, TX 79999; Telephone:
(recording) 915-544-4730; (other) 915-521-8272
FRB Houston: PO Box 2578, Houston, TX 77252-2578; Telephone:
713-659-1629 or 1621.
FRB Jacksonville: PO Box 2499, Jacksonville, FL 32231-2499;
Telephone: (recording) 904-632-1178; (other) 904-632-1179 or 1190.
FRB Kansas City: PO Box 419033, Kansas City, MO 64141-6033;
Telephone: (recording) 816-881-2499; (other) 816-881-2883.
FRB Little Rock: PO Box 1261, Little Rock, AR 72203; Telephone:
(recording) 501-324-8275; (other) 501-324-8272.
[[Page 69943]]
FRB Los Angeles: PO Box 512077, Los Angeles, CA 90051-0077;
Telephone: 213-624-7398.
FRB Louisville: PO Box 32710, Louisville, KY 40232-2710;
Telephone: (recording) 502-568-9240; (other) 502-568-9238.
FRB Memphis: PO Box 407, Memphis, TN 38101; Telephone:
(recording) 901-523-9380; (other) 901-579-2423.
FRB Miami: PO Box 520847, Miami, FL 33152-0847; Telephone:
(recording) 305-471-6257; (other) 305-471-6497.
FRB Minneapolis: PO Box 291, Minneapolis, MN 55480-0291;
Telephone: 612-204-6650
FRB Nashville: PO Box 24382, Nashville, TN 37202-4382;
Telephone: (recording) 615-251-7236; (other) 615-251-7100.
FRB New Orleans: PO Box 52948, New Orleans, LA 70152-2948;
Telephone: (recording) 504-593-5839; (other) 504-593-3200.
FRB New York: Federal Reserve, PO Station, New York, NY 10045;
Telephone: (recording) 212-720-5823; (other) 212-720-6619.
FRB Oklahoma City: PO Box 25129, Oklahoma City, OK 73125-0129;
Telephone: (recording) 405-270-8660; (other) 405-270-8652.
FRB Omaha: Securities Department, PO Box 3958, Omaha, NE 68103-
0958; Telephone: (recording) 402-221-5638; (other) 402-221-5636.
FRB Philadelphia: PO Box 90, Philadelphia, PA 19105-0090;
Telephone: (recording) 215-574-6580 or 6188; (other) 215-574-6680.
FRB Pittsburgh: PO Box 867, Pittsburgh, PA 15230-0867;
Telephone: (recording) 412-261-7988; (other) 412-261-7802.
FRB Portland: PO Box 3436, Portland, OR 97208-3436; Telephone:
(recording) 503-221-5931; (other) 503-221-5932.
FRB Richmond: PO Box 27622, Richmond, VA 23261; Telephone:
(recording) 804-697-8355; (other) 804-697-8372.
FRB Salt Lake City: PO Box 30780, Salt Lake City, UT 84130-0780;
Telephone: (recording) 801-322-7844; (other) 801-322-7882.
FRB San Antonio: PO Box 1471, San Antonio, TX 78295; Telephone:
(recording) 210-978-1330; (other) 210-978-1305.
FRB San Francisco: PO Box 7702, San Francisco, CA 94120-7702;
Telephone: (recording) 415-974-3491; (other) 415-974-2330.
FRB Seattle: PO Box 3567, Seattle, WA 98124; Telephone:
(recording) 206-343-3615; (other) 206-343-3605.
FRB St. Louis: PO Box 14915, St. Louis, MO 63178; Telephone:
314-444-8703.
United States Treasury, Washington, DC.: Bureau of the Public
Debt, Capital Area Servicing Center, Washington, DC 20239-0001;
Telephone: 202-874-4000; Device for hearing impaired, 202-874-4026.
TREASURY/BPD .004
System name:
Controlled Access Security System--Treasury/BPD.
System location:
Bureau of the Public Debt, Parkersburg, WV.
Categories of individuals covered by the system:
Bureau of the Public Debt employees, employees of contractors and
service companies, and official visitors.
Categories of records in the system:
A record is created for each access to designated areas and
contains the individual's name; card number; work shift; access level;
time, date, and location of each use of the access card at a card
reader.
Authority for maintenance of the system:
31 U.S.C. Sec. 321; 41 CFR 101-20.103.
Routine uses of records maintained in the System, including categories
of users and the purposes of such uses:
A record or information from a record maintained in this system may
be disclosed as a routine use to: (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; (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; (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; (4) a Congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic media and paper records.
Retrievability:
Information on individuals can be retrieved by name or card number.
Safeguards:
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, as for paper records.
Retention and disposal:
The retention period is for three years; then the records are
destroyed.
System manager(s) and address:
Director, Division of Administrative Services, 200 Third Street,
Parkersburg, WV 26106-1328.
Notification procedure:
Address inquiries and initial requests for correction of records
to: Director, Division of Administrative Services, Parkersburg, WV
26106-1328.
Record access procedures:
Individuals who wish to request access to records relating to them
or who wish to request correction of records they believe to be in
error should submit such requests pursuant to the procedures set out
below in compliance with the applicable regulations (31 CFR part 1,
subpart C). Requests which do not comply fully with these procedures
may result in noncompliance with the request, but will be answered to
the extent possible.
Requests for Access to Records:
(1) A request for access to records should 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.
The Bureau reserves the right to require additional verification of an
individual's identity. (2) The request should be submitted to the
following: Director, Division of Administrative Services, Parkersburg,
WV 26106-1328. (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 part 1, subpart C. (4) Requests for records concerning a
deceased or incapacitated individual should be accompanied either by
[[Page 69944]]
evidence of the requester's appointment as legal representative of the
estate 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.
Requests for Correction of Records:
(1) A request by an individual for correction of records should 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. The Bureau reserves the right to require
additional verification of an individual's identity. (2) The initial
request should be submitted to the following: Director, Division of
Administrative Services, Parkersburg, WV 26106-1328. (3) The request
for correction should specify: (a) The dates of records in question;
(b) the specific records alleged to be incorrect; (c) the correction
requested; and (d) the reasons therefor. (4) The request must include
any available evidence in support of the request.
Appeals from an Initial Denial of a Request for Correction of Records:
(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. The Bureau reserves the right to require
additional verification of an individual's identity. (2) An appeal
must, to be handled under the Privacy Act procedures, be addressed to
the following: Commissioner, Bureau of the Public Debt, 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. (3) An appeal must
also specify: (a) The records to which the appeal relates; (b) the date
of the initial request made for correction of the records, and (c) the
date that the initial denial of the request for correction was
received. (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.
Contesting record procedures:
See ``Notification Procedure'' and ``Record Access Procedures.''
Record source categories:
The individual concerned, his/her supervisor, or an official of the
individual's firm or agency.
Exemptions claimed for the system:
None.
TREASURY/BPD .005
System name:
Employee Assistance Records--Treasury/BPD.
System location:
Bureau of the Public Debt, 200 Third Street, Parkersburg, West
Virginia 26106. This system covers Public Debt employee assistance
records that are maintained by another Federal, State, or local
government, or contractor under an agreement with Public Debt to
provide the Employee Assistance Program (EAP) functions. The system
location of entities under an agreement with Public Debt is available
from the system manager.
Note: Records covering individuals described in ``Categories of
individuals covered by the system'' who are or were counseled
through a Public Debt negotiated agreement with the U.S. Public
Health Service, Department of Health and Human Resources, are not
covered by this notice. Those records are maintained by the Public
Health Service and its Privacy Act system notice (09-15-0001,
Division of Federal Occupational Health Medical and Counseling
Records, or 09-90-0010, Employee Assistance Program Records)
applies.
Categories of individuals covered by the system:
Public Debt employees and former employees who will be or have been
counseled, either by self-referral or supervisory-referral regarding
drug abuse, alcohol, 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.
Categories of records in the system:
This system contains records of each employee and, in some cases,
family members of the employee who have utilized the Employee
Assistance Program for a drug, alcohol, 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.
Authority for maintenance of the system:
5 U.S.C. 301, 7361, 7362, 7904; 44 U.S.C. 3101.
Routine uses of records maintained in the System, including categories
of users and the purpose of such uses:
These records and information in these records may be disclosed to:
(1) An entity under contract with Public Debt for the purpose of
providing the EAP function; (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
(42 CFR part 2); (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); (4) a third party
upon authorization by an appropriate order of a court of competent
jurisdiction granted after application showing good cause therefor, in
accordance with the Confidentiality of Alcohol and Drug Abuse Patient
Records regulations (42 CFR part 2); (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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and electronic media.
Retrievability:
These records are retrieved by the name and social security number
of the individual on whom they are maintained.
Safeguards:
Records are stored in locked safes with combination locks. Only
individuals with a need-to-know have access. 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. These records are always maintained apart from
any other system of records.
When 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. The
contractor will surrender to Public Debt all of these records as well
as any new records at the time of contract termination. Also, when the
disclosure of records is requested, the contractor will not make the
determination about whether the records may be disclosed.
[[Page 69945]]
Retention and disposal:
The retention period is 3 years after termination of counseling or
until any litigation is resolved. If an employee is no longer employed
by Public Debt, records are retained for 3 years after the official
date of termination. Then the records are destroyed.
System manager and address:
Director, Human Resources Division, Bureau of the Public Debt, 200
Third Street, Parkersburg, WV 26106-1328.
Notification procedure:
Address inquiries and initial requests for correction of records
to: Director, Human Resources Division, Bureau of the Public Debt, 200
Third Street, Parkersburg, WV 26106-1328.
Record access procedures:
Individuals who wish to request access to records relating to them
or who wish to request correction of records they believe to be in
error should submit such requests pursuant to the procedures set out
below in compliance with the applicable regulations (31 CFR part 1
subpart C). Requests which do not comply fully with these procedures
may result in noncompliance with the request, but will be answered to
the extent possible.
Requests for Access to Records:
(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.
At least two items of identification must be furnished; e.g., date of
birth; social security number; dates of employment, if request is by
employee; relationship to employee, if request is by family member; or
similar information. Public Debt reserves the right to require
additional verification of an individual's identity; (2) The request is
to be submitted to the Director, Human Resources Division, Bureau of
the Public Debt, 200 Third Street, Parkersburg, WV 26106-1328; (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 part 1 subpart
C; (4) Requests for records concerning a deceased or incapacitated
individual must be accompanied either by evidence of the requester's
appointment as legal representative of the estate or by a notarized
statement attesting that no such representative has been appointed and
giving the nature of the relationship between the requester and the
individual.
Requests for Correction of Records:
(1) A request by an individual 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. At least two items of identification must be
furnished; e.g., date of birth; social security number; dates of
employment, if request is by employee; relationship to employee, if
request is by family member; or similar information. Public Debt
reserves the right to require additional verification of an
individual's identity; (2) The initial request is to be submitted to
the Director, Human Resources Division, 200 Third Street, Parkersburg,
WV 26106-1328; (3) The request for correction should specify: (a) The
dates of records in question, (b) the specific records alleged to be
incorrect, (c) the correction requested, and (d) the reasons therefor;
(4) The request must include any available evidence in support of the
request.
Appeals from an Initial Denial of a Request for Correction of Records:
(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. At least two items of identification must be
furnished; e.g., date of birth; social security number; dates of
employment, if request is by employee; relationship to employee, if
request is by family member; or similar information. Public Debt
reserves the right to require additional verification of an
individual's identity; (2) Appellate determinations will be made by the
Commissioner of the Public Debt or the delegate of such officer.
Appeals should be addressed as follows: Privacy Act Amendment, Chief
Counsel, Bureau of the Public Debt, Department of the Treasury, 999 E
Street, NW, Room 503, 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; (3) An appeal must also specify: (a) The records
to which the appeal relates, (b) the date of the initial request made
for correction of the records, and (c) the date that the initial denial
of the request for correction was received; (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.
Contesting record procedures:
See ``Notification Procedure'' and ``Record Access Procedures.''
Record source categories:
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 Employee Assistance Program staff
member who records the counseling session.
Exemptions claimed for the system:
None.
TREASURY/BPD .006
System name:
Health Service Program Records--Treasury/BPD.
System location:
Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-
1328.
Categories of individuals covered by the system:
(1) Bureau of the Public Debt employees who receive services under
the Federal Employee Health Services Program from the Public Debt
Health Unit in Parkersburg, West Virginia. (2) Federal employees of
other organizations in the Parkersburg, West Virginia, vicinity who
receive services under the Federal Employee Health Services Program
from the Public Debt Health Unit in Parkersburg, West Virginia. (3)
Non-Federal individuals working in or visiting the buildings, who may
receive emergency treatment from the Public Debt Health Unit in
Parkersburg, West Virginia.
Categories of records in the system:
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 Public Debt employee
[[Page 69946]]
(other than Health Unit personnel) who has an official need for the
information.
Note: 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.
Authority for maintenance of the system:
Title 5 U.S.C. 7901.
Purpose(s):
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.
Routine uses of records maintained in the System, including categories
of users and the purposes of such uses:
A record or information from a record maintained in this system of
records may be disclosed as a routine use to: (1) Medical personnel
under a contract agreement with Public Debt; (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; (3) appropriate Federal, State,
or local agencies responsible for investigation of an accident,
disease, medical condition, or injury as required by pertinent legal
authority; (4) the Department of Justice in connection with lawsuits in
which the Department of the Treasury is a party or has an interest; (5)
a Federal agency responsible for administering benefits programs in
connection with a claim for benefits filed by an employee; (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; (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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and electronic media.
Retrievability:
These records are retrieved by the name of the individual to whom
they pertain.
Safeguards:
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.
Retention and disposal:
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 burning. Records in
electronic media are electronically erased using accepted techniques.
System managers and address:
Director, Division of Administrative Services, Bureau of the Public
Debt, Parkersburg, West Virginia 26106-1328.
Notification procedure:
Individuals may submit their requests for determination if the
system contains records pertaining to them or for access to records as
provided under ``Record Access Procedures.'' Requests must be made in
compliance with the applicable regulations (31 CFR part 1, subpart C).
Requests which do not comply fully with these procedures may result in
noncompliance with the request, but will be answered to the extent
possible.
Record access procedures:
(1) A request for access to records should 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 the photograph but instead showing a name and
signature. If the individual is seeking access 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 reserves the right to require
additional verification of an individual's identity. (2) The request
should be submitted to the following: Director, Division of
Administrative Services, Bureau of the Public Debt, Parkersburg, West
Virginia 26106-1328. (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.
Contesting record procedures:
(1) A request by an individual contesting the content of records or
for correction of records should 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 the photograph but instead showing a name and signature. If the
request is 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
reserves the right to require additional verification of an
individual's identity. (2) The initial request should be submitted to
the following: Director, Division of Administrative Services, Bureau of
the Public Debt, Parkersburg, West Virginia 26106-1328. (3) The request
should specify: (a) The dates of records in question, (b) the specific
records alleged to be incorrect, (c) the correction requested, and (d)
the reasons therefor. (4) The request must include
[[Page 69947]]
any available evidence in support of the request.
Appeals from an Initial Denial of a Request for Correction of Records:
(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 record, 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 the photograph but instead 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 reserves the
right to require additional verification of an individual's identity.
(2) Appellate determinations will be made by the Commissioner 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, 999 E
Street, NW., Room 503, 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. (3) An appeal must also specify: (a) The records
to which the appeal relates, (b) the date of the initial request made
for correction of the records, and (c) the date that the initial denial
of the request for correction was received. (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.
Record source categories:
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.
Exemptions claimed for the system:
None.
TREASURY BPD .007
System name:
Gifts to Reduce the Public Debt--Treasury/BPD.
System location:
Bureau of the Public Debt, Office of Securities and Accounting
Services, Capital Area Servicing Center, C Street Building, Washington,
DC 20239-0001.
Categories of individuals covered by the system:
Donors of gifts to reduce the public debt.
Categories of records in the system:
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
or through the donor's Congressional or other representative.
This system does not cover gifts to reduce the public debt received
prior to October 1, 1984, when this function was handled by the
Financial Management Service. 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.
Authority for maintenance of the system:
Title 31 U.S.C. 3113.
Purpose(s):
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.
Routine uses of records maintained in the System, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (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; (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, or
in response to a subpoena, or in connection with criminal law
proceedings; (3) Provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (4) Disclose information to agents or contractors
of the Department for the purpose of administering the public debt of
the United States; (5) Disclose information to a legal representative
of a deceased donor for the purpose of properly administering the
estate of the deceased; (6) Disclose information to the Internal
Revenue Service for the purpose of confirming whether a tax-deductible
event has occurred; (7) Disclose information to the Department of
Justice in connection with lawsuits in which the Department of the
Treasury is a party or has an interest.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, microform, and electronic media.
Retrievability:
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.
Safeguards:
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.
Retention and disposal:
Records of gifts to reduce the public debt are maintained in
accordance with National Archives and Records Administration retention
schedules. All records are destroyed by incineration or shredding.
Records in electronic media are electronically erased using accepted
techniques.
System manager(s) and address:
Fiscal Officer, Capital Area Servicing Center, Office of Securities
and Accounting Services, Bureau of the Public Debt, C Street Building,
Washington, DC 20239-0001.
Notification procedure:
Address inquiries and initial requests for correction of records to
the System Manager.
Record access procedures:
Individuals who wish to request access to records relating to them
or who wish to request correction of
[[Page 69948]]
records they believe to be in error should submit such requests
pursuant to the procedures set out below in compliance with the
applicable regulations (31 CFR part 1, subpart C). Requests which do
not comply fully with these procedures may result in noncompliance with
the request, but will be answered to the extent possible.
Requests for Access to Records:
(1) A request for access to records should 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 the photograph but instead showing a name and
signature. If the individual is seeking access 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 reserves the right to require
additional verification of an individual's identity; (2) The request
should be submitted to the following: Fiscal Officer, Capital Area
Servicing Center, Office of Securities and Accounting Services, Bureau
of the Public Debt, C Street Building, Washington, DC 20239-0001; (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).
Requests for Correction of Records:
(1) A request by an individual for correction of records should 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 individual is seeking correction 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 the photograph but instead showing
a name and signature. If the individual is seeking correction 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 reserves the
right to require additional verification of an individual's identity;
(2) The initial request should be submitted to the following: Fiscal
Officer, Capital Area Servicing Center, Office of Securities and
Accounting Services, Bureau of the Public Debt, C Street Building,
Washington, DC 20239-0001; (3) The request for correction should
specify: (a) The dates of records in question, (b) the specific records
alleged to be incorrect, (c) the correction requested, and (d) the
reasons therefor; (4) The request must include any available evidence
in support of the request.
Appeals from an Initial Denial of a Request for Correction of Records:
(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 the photograph but instead 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 reserves the
right to require additional verification of an individual's identity;
(2) Appellate determinations will be made by the Commissioner 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, 999 E
Street, NW., Room 503, 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; (3) An appeal must also specify: (a) The records
to which the appeal relates, (b) the date of the initial request made
for correction of the records, and (c) the date that the initial denial
of the request for correction was received; (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.
CONTESTING RECORD PROCEDURES:
See ``Notification Procedure'' and ``Record Access Procedures.''
RECORD SOURCE CATEGORIES:
Information in this system of records comes from the individual to
whom it applies, executors, administrators, and other involved persons.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
BILLING CODE: 4810-42-P
United States Secret Service
TREASURY/USSS .001
SYSTEM NAME:
Administrative Information System--Treasury/USSS.
SYSTEM LOCATION:
(a) U.S. Secret Service (Headquarters), 1800 G 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, 1310 L St., NW,
Washington, DC 20005; (c) Presidential Protective Division, U.S. Secret
Service, Room 10, Old Executive Office Building, 17th and Pennsylvania
Ave., NW, Washington, DC 20500; (d) Vice Presidential Protective
Division, U.S. Secret Service, Old Executive Office Building, Room 295,
Washington, DC 20500; (e) Dignitary Protective Division U.S. Secret
Service, 1310 L St., NW, Washington, DC 20005; (f) Anacostia Naval
Station, Bldg. 411, 2701 South Capital Street, SE, Washington, DC
20373; (g) Johnson Protective Division, U.S. Secret Service, PO Box
921, 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 20500; (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 Section, U.S. Secret
Service, Old Executive Office Bldg., Rm. 23, Washington, DC 20500.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(a) Individuals who are now or were Secret Service employees; (b)
Individuals, contractors, and vendors,
[[Page 69949]]
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.
CATEGORIES OF RECORDS IN THE SYSTEM:
(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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
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.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
(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.
POLICIES AND PRACTICES FOR STORING RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are contained in file jackets and portions of the
information are stored electronically at Headquarters.
RETRIEVABILITY:
Records may be retrieved by name and/or number.
SAFEGUARDS:
(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.
RETENTION AND DISPOSAL:
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, & 23. Disposal is by burning,
shredding, and/or electronic deletion.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Director, Office of Administration, U.S. Secret Service,
1800 G St., NW, Rm. 850 Washington, DC 20223.
Notification procedure:
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,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in this system should be
addressed to: Freedom of Information and Privacy Acts Officer, U.S.
Secret Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(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.
Exemptions claimed for the system:
None.
TREASURY/USSS .002
System name:
Chief Counsel Record System--Treasury/USSS.
System location:
Office of Chief Counsel, United States Secret Service, 1800 G St.,
NW, Washington, DC 20223.
Categories of individuals covered by the system:
(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.
Categories of records in the system:
(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, 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.
Authority for maintenance of the system:
18 U.S.C. 3056; 28 U.S.C. 2672 (Federal Tort Claims Act); 18 U.S.C.
471-509.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(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 involving the U.S. Secret Service; (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
[[Page 69950]]
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are contained in file jackets.
Retrievability:
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.
Safeguards:
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.
Retention and disposal:
(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.
System manager(s) and address:
Chief Counsel, U.S. Secret Service, 1800 G St., NW, Room 842,
Washington, DC 20223.
Notification procedure:
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,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in this System should be
addressed to: Freedom of Information and Privacy Acts Officer, U.S.
Secret Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(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; (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.
Exemptions claimed for the system:
None.
TREASURY/USSS .003
System name:
Criminal Investigation Information System--Treasury/USSS.
System location:
(a) United States Secret Service, (Headquarters) 1800 G St., NW,
Washington, DC 20223; (b) Components of this System are geographically
dispersed throughout Secret Service field offices. (See United States
Secret Service appendix A listing the addresses of Secret Service field
offices.)
Categories of individuals covered by the system:
(a) Individuals who have been or are currently the subject of a
criminal investigation by the U.S. Secret Service in connection with
the performance by that agency of its authorized criminal investigative
functions; (b) Individuals who are payees, registered owners or
endorsers of stolen or lost obligations and other securities of the
United States; (c) Individuals who are witnesses, complainants,
informants, suspects, defendants, fugitives, released prisoners,
correspondents, organized crime figures, and victims of crimes who have
been identified by the Secret Service in the conduct of criminal
investigations or by information supplied by other law enforcement
agencies, government units, and the general public.
Categories of records in the system:
(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 or 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 with an
individual compiled at various stages of the process of enforcement of
criminal laws from arrest or indictment through release from
supervision; (d) Records containing investigatory material compiled for
law enforcement purposes, including but not limited to, handwriting
exemplars; laboratory analyses of inks and papers; handwriting
analyses; petitions for the remission of forfeitures; notice of non-
receipt of Treasury drafts; affidavits of forged endorsements; opinions
of the examiner of questioned documents; reports or opinions from the
examination of computer evidence; reports or opinions from the
examination of altered cellular telephones; certificates by owners of
U.S. registered securities concerning forged requests for payments or
assignments; applications for relief on account of loss, theft, or
destruction of U.S. Savings Bonds or checks; photographic reproductions
of obligations and other securities of the United States; contraband
items; claims against the United States for the proceeds of government
checks and bonds; and reports necessary for the settlement of check and
bond claims; names and telephone numbers of persons intercepted by
electronic, mechanical, or other device under the provisions of Title
18 U.S.C., Section 2510 et.seq. compiled during the lawful course of a
criminal or civil investigation.
[[Page 69951]]
Authority for maintenance of the system:
18 U.S.C. 3056.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Disclosure to Federal, state, and local government agencies
foreign or domestic, having prosecutive and civil law enforcement
functions for use by attorneys, magistrates, and judges, parole or
probation authorities and other law enforcement authorities for the
purpose of developing a criminal or civil investigation, prosecuting,
sentencing, or determining the parole and probation status of criminal
offenders or suspected criminal offenders; (2) Disclosure to personnel
of other Federal, state and local law enforcement agencies, foreign or
domestic, for the purpose of developing information on subjects
involved in Secret Service criminal investigations and assisting other
law enforcement agencies in the investigation and prosecution of
violations of the criminal laws which those agencies are responsible
for enforcing; (3) Disclosure to personnel of Federal, state, and local
governmental agencies, where such disclosure is considered reasonably
necessary for the purpose of furthering Secret Service efforts to
investigate the activities of and apprehend criminal offenders and
suspected criminal offenders; (4) Disclosure to personnel of Federal,
state, and local governmental agencies, foreign and domestic, where
there is a showing of reasonable necessity to obtain such information
to accomplish a valid law enforcement purpose; (5) Disclosure to
employees and officials of financial and commercial business firms and
to private individuals of identifying information pertaining to actual
or suspected criminal offenders where such disclosure is considered
reasonably necessary for the purpose of furthering Secret Service
efforts to investigate the activities of and apprehend criminal
offenders and suspected criminal offenders; (6) Records maintained in
this System 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 disclosed to the appropriate
agency, whether Federal, state, local or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule, regulation
or order issued pursuant thereto; (7) Disclosures in the course of
presenting evidence to a court, magistrate or administrative tribunal
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; (8)
Disclosures to Federal, state or local agencies maintaining civil,
criminal or other pertinent information or enforcement information
relevant to an agency decision concerning the hiring or retention of an
employee, or the issuance of a license, grant or other benefit; (9)
Disclosures to a Federal, state or local 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; (10) Disclosures of information relating to
criminal and civil proceedings to the news media in accordance with the
guidelines contained in 28 CFR 50.2; (11) Disclosure in connection with
the utilization by the Secret Service of the Northern Virginia Regional
Identification System for the storage and retrieval of fingerprint
information maintained by the Secret Service; (12) 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All records comprising this system are contained in file jackets,
computerized data systems, microfilm and microfiche. Portions of the
indices and information contained in the records are maintained in
electronic storage media located at Headquarters.
Retrievability:
This system is indexed by name, address, vehicle license number,
and/or telephone number, and is retrieved through computer search of
magnetic media indices both at Headquarters and in the field offices.
Additionally, subjects are retrievable from the computerized files by
physical description. Access to the physical files containing records
is by case number.
Safeguards:
(1) At Headquarters, the field jackets containing the records are
secured by alarms, and other internal security devices, in locked rooms
with guards on duty on an around-the-clock basis. Access to the records
is available only to employees responsible for records management and
operational employees with a ``need to know,'' each of whom has a top
secret security clearance; (2) In field offices the file jackets are
located in locked filing cabinets and when Secret Service employees are
not on duty, in locked rooms. Access to the system is controlled and
limited to employees of the Secret Service holding top secret security
clearances.
Retention and disposal:
(1) All Judicial cases, 20 years; (2) Non-judicial criminal
investigative cases (except non-judicial check and bond cases), 10
years; (3) Non-judicial check claim and bond forgery cases, 5 years;
(4) Administrative files of an investigatory nature, 5 years; (5) All
other files and records the disposition of which is not otherwise
specified, 5 years; (6) Investigations for other districts, 2 years;
(7) Receipts vary with the case file to which they pertain; (8)
Investigation Control Forms, varies; (9) Arrest History Forms,
Indefinite; (10) Headquarters Criminal Investigative case files, 30
years; indices and microfilm copies are retained for an indefinite
period; (11) Consensual and non-consensual interception indices, 10
years or when investigative use no longer exists, whichever is longer;
(12) Fingerprint and photograph files, at varying intervals in
accordance with record retention schedules approved by the National
Archives and Records Administration. Disposal is by burning, shredding,
maceration, and pulping, and/or electronic deletion.
System manager(s) and address:
Assistant Director, Office of Investigations, U.S. Secret Service,
1800 G St., NW, Washington, DC 20223.
Notification procedure:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k), the
Director of the U.S. Secret Service has exempted this System from
compliance with the provisions of 5 U.S.C. 552a(e)(4)(G).
Record access procedures:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k), the
Director of the U.S. Secret Service has exempted this System from
compliance with the provisions of 5 U.S.C. 552a (e)(4)(H).
[[Page 69952]]
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from
compliance with the provisions of 5 U.S.C. 552a (e)(4)(I).
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d),
(e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I), of the Privacy Act
pursuant to 5 U.S.C. 552a (j) and (k).
TREASURY/USSS .004
System name:
Financial Management Information System--Treasury/USSS.
System location:
(a) U.S. Secret Service, (Headquarters), 1800 G St., NW,
Washington, DC 20223; (See below United States Secret Service, appendix
A listing the addresses of Secret Service field offices.); (b) U.S.
Secret Service Uniformed Division, 1310 L Street, NW, Room 320,
Washington, DC 20005; (c) Special Services Division, U.S. Secret
Service, Building 216, Washington Navy Yard, Washington, DC 20374; (d)
Presidential Protective Division, U.S. Secret Service, Room 10, Old
Executive Office Building, Washington, DC 20500; (e) Vice-Presidential
Protective Division, U.S. Secret Service, Old Executive Office
Building, Room 295, Washington, DC 20500; (f) Dignitary Protective
Division, U.S. Secret Service, 1310 L St., NW, Suite 500, Washington,
DC 20005; (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) Carter Protective
Division, U.S. Secret Service, PO Box 308, Plains, GA 31780-0308; (j)
Technical Security Division, U.S. Secret Service, 1709 New York Ave.
NW., Washington, DC 20223. (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 Section, U.S. Secret Service Old Executive
Office Bldg., Rm. 23, Washington, DC 20500.
Categories of individuals covered by the system:
(a) Individuals who are now, or were previously, Secret Service
employees; (b) Individuals, contractors, vendors, etc., who are
presently doing business with or previously did business with the
Secret Service; (c) Individuals who are involved in or were previously
involved in tort claims with the Secret Service; (d) Individuals who
are now or previously were involved in payments (accounts receivable)
with the Secret Service; (e) Individuals who have been recipients of
awards.
CATEGORIES OF RECORDS IN THE SYSTEM:
(a) Records containing information compiled for the purpose of pay,
travel, property damage, expenses incurred other than travel, and
retirement annuities and taxes; (b) Records containing information of
accounts receivable and payable, involving Secret Service employees and
other persons; (c) Records containing information of tort claims
dealing with Secret Service property, concerning payment and accounts
receivable; (d) Records containing information on the expenditures,
anticipated expenditures, and budget studies of the Secret Service; (e)
Time and attendance records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 68, 484, 952, and 1801 through 1806, and 5 U.S.C. 5514,
and 21 U.S.C. 2415.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The routine uses of the records contained in this System are as
follows: (1) Disclosure to the Internal Revenue Service, U.S. Treasury,
GAO, OPM and other Federal agencies dealing with the payment and
collection of monies concerning Secret Service employees; (2)
disclosure to the Internal Revenue Service, U.S. Treasury Department,
OPM, GAO, and other Federal agencies dealing with the payment,
collection and audit of monies concerning persons who have financial
dealings with the Secret Service; (3) To establish and maintain a means
of gaining statistical information needed to answer inquiries from
other Federal, state, and local governments and Congress; (4) To
establish a reporting system to Treasury, OMB, GAO, and Congress
concerning Secret Service expenditures; (5) To establish a means of
payments to contractors and vendors for purchases made by Secret
Service; (6) Disclosure to other Federal agencies to effect inter-
agency salary offset and to affect inter-agency administrative offset;
(7) Disclosures to debt collection agencies for debt collection
services; (8) Disclosures of current mailing addresses obtained from
the Internal Revenue Service, which have become a part of this system,
to consumer reporting agencies to obtain credit reports and to debt
collection agencies for collection services; (9) Disclosures to
appropriate Federal, State, or foreign agencies responsible for
investigating or prosecution of the violation of, or for enforcing or
implementing, a statute, rule, regulation, order or license; (10)
Disclosures 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
employee, or issuance of a security clearance, license, contract,
grant, or other benefit; (11) Disclosures 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, settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (12)
Disclosures to foreign governments in accordance with formal or
informal international agreements; (13) Disclosures to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (14) Disclosures 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; (15)
Disclosure to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (16) 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.
DISCLOSURES TO CONSUMER REPORTING AGENCIES:
Disclosures pursuant to 5 U.S.C. 552a(b)(12) may be made from this
system to consumer reporting agencies as defined in the Debt Collection
of 1982 (31 U.S.C. 3701 (a)(3) or the Fair Credit Reporting Act (15
U.S.C. 1681a(f)).
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
All records are contained in files, and/or microfiche. The
information contained in this System is stored in computers maintained
at Headquarters.
RETRIEVABILITY:
This System is indexed by name and/or number at Headquarters and by
name only in field offices, resident offices and
[[Page 69953]]
protective divisions. Access is by name and/or number.
SAFEGUARDS:
(1) The file jackets, and computers are secured by alarms and other
internal security devices in locked rooms with guards on duty on a 24-
hour basis; (2) Access to the records 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; (3) The file jackets are located in locked rooms when Secret
Service employees are not on duty. Access is limited to employees
holding top secret security clearances.
RETENTION AND DISPOSAL:
(1) Financial Management Division's automated accounting systems,
foreign disbursement file, and paid files are retained for six years
and three months; (2) Accounts receivable systems are maintained for
six years and three months unless they are not liquidated; (3) Systems
for holiday, overtime, and other pay adjustments, enter on duty
information, resignations, retirements, reassignments, etc., are
disposed of at varying intervals in accordance with records retention
schedules approved by the National Archives Record Administration
(NARA); (4) Records on personnel are retained in accordance with
mandatory National Archives and Records Administration General Records
Schedules 2, 5, 6, and 7. Disposal of records is by burning, mulching,
shredding, or electronic deletion.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Director, Office of Administration, 1800 G St., NW, Rm
850, Washington, DC 20223.
NOTIFICATION PROCEDURE:
Individuals who wish to present a request as to whether this system
contains a record pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
RECORD ACCESS PROCEDURES:
Request for information contained in this System should be
addressed to: Freedom of Information and Privacy Acts Officer, U.S.
Secret Service, 1800 G St., NW, Room 720, Washington, DC 20223.
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
(a) Individuals who are presently or were previously Secret Service
employees; (b) Individuals who are presently or were service
contractors or suppliers with the Secret Service; (c) Individuals who
are presently or were previously involved in tort claims with the
Secret Service; (d) Individuals who are presently or were previously
involved in collections and disbursements with the Secret Service; (e)
Internal Revenue Service; (f) Surviving spouse of deceased personnel.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
TREASURY/USSS .005
SYSTEM NAME:
Freedom of Information Request System--Treasury/USSS.
SYSTEM LOCATION:
United States Secret Service, 1800 G St., NW, Washington, DC 20223.
Categories of individuals covered by the system:
Individuals or organizations who have requested information under
the Freedom of Information Act or the Privacy Act.
Categories of records in the system:
(a) Correspondence and documents relating to requests for
information; (b) Documents relevant to appeals and lawsuits under the
Freedom of Information Act.
Authority for maintenance of the system:
5 U.S.C. 552.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Records may be disseminated to a Federal agency which furnished
the record for the purpose of permitting a decision as to access or
correction to be made by that Agency, or for the purpose of consulting
with that Agency as to the propriety of access or correction; (2)
Records may be disseminated to any appropriate Federal, state, local,
or foreign Agency for the purpose of verifying the accuracy of
information submitted by an individual who has requested amendment or
correction of records; (3) 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this System are maintained in file jackets and
computerized data bases.
Retrievability:
The files and indices are indexed numerically and alphabetically
and/or through computer search of magnetic media.
Safeguards:
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 operational employees who have a need for
such information, each of whom have a top secret security clearance.
Retention and disposal:
All files are destroyed six years after the date of last entry.
Magnetic media indices are retained for an indefinite period of time.
Disposal is by burning, shredding, or electronic deletion.
System manager(s) and address:
Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Notification procedure:
Individuals who wish to present a request as to whether this system
contains records pertaining to them should address their inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Any individual wishing to obtain information on the procedures for
gaining access to and contesting records should contact: Freedom of
Information and Privacy Acts Officer, U.S. Secret Service, 1800 G St.,
NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Individuals or organizations requesting information pursuant to the
Freedom of Information Act or the Privacy Act.
Exemptions claimed for the system:
None.
[[Page 69954]]
TREASURY/USSS .006
SYSTEM NAME:
Non-Criminal Investigation Information System--Treasury/USSS.
SYSTEM LOCATION:
(a) United States Secret Service, 1800 G St., NW, Washington, DC
20223; (b) Components of this System are geographically dispersed
throughout Secret Service field offices. (See below, United States
Secret Service appendix A, listing the addresses of Secret Service
field offices.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(a) Individuals who are applicants for employment with the U.S.
Secret Service and other bureaus of the Department of the Treasury; (b)
Individuals who are employees of the U.S. Secret Service and other
bureaus of the Department of the Treasury holding security clearances
granting access to classified documents and records; (c) Individuals
who have filed administrative claims with the Secret Service and other
bureaus of the Department of the Treasury under the Federal Tort Claims
Act or who have been involved in automobile accidents or other
incidents involving employees of the Secret Service and other bureaus
of the Department of the Treasury resulting in tort claims against such
individuals; (d) Individuals involved in investigations required in the
administration of the Government Losses in Shipment Act, the Gold
Reserve Act, and the Silver Purchase Act; (e) Individuals who are
employees of the Secret Service and other bureaus of the Department of
the Treasury who have been accused of misconduct in the performance of
their duties, or who have been the subject of a complaint involving the
performance of their official functions; (f) Individuals who are the
subject of investigations or supply information to investigative agents
conducting special investigations relating to the performance by the
Secret Service of its statutory and regulatory functions.
CATEGORIES OF RECORDS IN THE SYSTEM:
(a) Record containing investigatory material compiled solely for
the purpose of determining suitability, eligibility, or qualifications
for Federal civilian employment or access to classified information;
(b) Records containing investigatory material compiled for law
enforcement purposes, including but not limited to, reports of
investigators relating to claims under the Federal Tort Claims Act,
Government Losses in Shipment Act, the Gold Reserve Act and the Silver
Purchase Act, and employee misconduct or malfeasance; (c) Records
containing reports or statement of investigators, witnesses,
complainants, claimants and correspondents associated with identifiable
individuals.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
18 U.S.C. 3056, Executive Order 10450 and Treasury Order 102-18
(revised March, 1985); and Treasury Order 173-1.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The routine uses of the records contained in this System are as
follows: (1) Disclosure to the Department of Justice and other Federal
agencies for administrative, civil, or other legal proceedings to be
used by personnel officials, attorneys, administrative law officers,
and judges; (2) Disclosure to personnel of other Federal, state and
local governmental agencies, foreign and domestic, for the purpose of
developing or confirming information on individuals involved in non-
criminal investigations conducted by the Secret Service; (3) Disclosure
to personnel of private institutions and to private individuals for the
purpose of confirming and/or determining suitability, eligibility, or
qualifications for Federal civilian employment or access to classified
information; and for the purposes of furthering the efforts of the
Secret Service to investigate the activities of individuals related to
or involved in non-criminal civil and administrative investigations;
(4) Disclosure to another agency or to an instrumentality of any
governmental jurisdiction within or under the control of the United
States for the purpose of determining suitability, eligibility, or
qualifications for employment with or access to classified information
in such other agency or instrumentality; (5) Records maintained
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 agency,
whether Federal, state, local or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule, regulation
or order issued pursuant thereto; (6) Disclosures in the course of
presenting evidence to a court, magistrate or administrative tribunal
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; (7)
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, to the extent that the information is relevant and necessary
to the requesting agencies' decision on the matter; (8) Disclosures of
information relating to civil proceedings to the news media in
accordance with the guidelines contained in 28 CFR 50.2. (9) Disclosure
to Federal, state, or local government agencies for the purpose of
developing a relevant ongoing civil, criminal, or background
investigation; (10) 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records comprising this system are contained in file jackets,
computerized data systems, microfilm, and microfiche. Portions of the
information are maintained in on-line computer data files located at
Headquarters.
RETRIEVABILITY:
This System is indexed alphabetically by name in Headquarters,
Office of Inspection, and in field offices and retrieved through manual
search of index cards and/or through computer search of magnetic media.
Access to the physical files is by case number obtained from the name
indices.
SAFEGUARDS:
(1) The file jackets, indices and magnetic media are secured by
alarms and other internal security devices in locked rooms 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; (2) The file jackets field
offices are located in locked filing cabinets and when employees are
not on duty, in locked
[[Page 69955]]
rooms. Access to the system is limited to employees holding top secret
security clearances.
RETENTION AND DISPOSAL:
The retention schedule is as follows: (1) All judicial case records
are retained for a period of 30 years; (2) Applicant security and
background investigation records of Secret Service employees are
retained for 20 years after retirement or separation of the employee
from Secret Service employment; (3) Applicant investigation records
relating to employees of Bureaus of the Treasury Department other than
the Secret Service, are retained for 20 years; (4) All other records,
the disposition of which are not otherwise specified, are retained. No
destruction authorized. Magnetic media indices are retained for an
indefinite period of time. Disposal: Disposal of records is by burning,
shredding, maceration, pulping, and electronic deletion.
SYSTEM MANAGER(S) AND ADDRESS:
Assistant Directors, Office of Investigation and Office of
Inspection, 1800 G St., NW, Washington, DC 20223.
NOTIFICATION PROCEDURE:
The Director of the U.S. Secret Service has exempted this system
from the provisions of 5 U.S.C. 552a(e)(4)(G).
RECORD ACCESS PROCEDURES:
The Director of the U.S. Secret Service has exempted this System
from the provisions of 5 U.S.C. 552a(e)(4)(H).
CONTESTING RECORD PROCEDURES:
See ``Record access procedures'' above.
RECORD SOURCE CATEGORIES:
The Director of the U.S. Secret Service has exempted this system
from the provisions of 5 U.S.C. 552a(e)(4)(I).
EXEMPTIONS CLAIMED FOR THE SYSTEM:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (e)(4)(G),
(e)(4)(H), (e)(4)(I) and (f) of the Privacy Act pursuant to 5 U.S.C.
552a (j) and (k).
TREASURY/USSS .007
SYSTEM NAME:
Protection Information System--Treasury/USSS.
SYSTEM LOCATION:
(a) United States Secret Service, 1800 G St., NW, Washington, DC
20223; (b) Presidential Protective Division, U.S. Secret Service, Room
1, Old Executive Office Building, Washington, DC 20500; (c) Vice-
Presidential Protection Division, U.S. Secret Service, Room 295,
Executive Office Building, Washington, DC 20500. (d) Dignitary
Protective Division, U.S. Secret Service, 1310 L St., NW, Suite 500,
Washington, DC 20005; (e) Special Services Division, U.S. Secret
Service, Washington Navy Yard, 2nd and M St., SE, Bldg. 216,
Washington, DC 20374;(f) Johnson Protective Division, U.S. Secret
Service, PO Box 927, Stonewall, TX 78671; (g) Ford Protective Division,
U.S. Secret Service, PO Box 955, Rancho Mirage, CA 92270-955; (h) U.S.
Secret Service Uniformed Division, Room 320, 1310 L St., NW,
Washington, DC 20005; (i) Technical Security Division, 1709 New York
Avenue, NW., Washington, DC 20500. (j) Carter Protective Division, U.S.
Secret Service, PO Box 308, Plains, GA 31780; (k) Reagan Protective
Division, 2121 Avenue of the Stars, Fox Plaza, 34th Floor, Century
City, CA 90067; (l) WAVES Center, Old Executive Office Bldg., Room 065.
(m) Bush Protective Division, U. S. Secret Service PO Box 79797,
Houston, Texas 77279-9797, (n) White House Section, U.S. Secret Service
Old Executive Office Bldg., Rm. 23, Washington, DC 20500. Components of
this System are geographically dispersed throughout Secret Service
field offices. (See below, United States Secret Service Appendix A,
listing the addresses of Secret Service field offices.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(a) Individuals who have been or are currently the subject of a
criminal investigation by the U.S. Secret Service or another law
enforcement agency for the violation of certain criminal statutes
relating to the protection of persons or the security of properties;
(b) Individuals who are the subjects of investigative records and
reports supplied to the Secret Service by Federal, state, and local law
enforcement agencies, foreign or domestic, other non-law enforcement
governmental agencies, or private institutions and individuals; (c)
Individuals who are the subjects of non-criminal protective and
background investigations by the Secret Service and other law
enforcement agencies where the evaluation of such individuals, in
accordance with criteria established by the Secret Service, indicates a
need for such investigations; (d) Individuals who are granted ingress
and egress to areas secured by the Secret Service, or to areas in close
proximity to persons protected by the Secret Service, including but not
limited to invitees, passholders, tradesmen, and law enforcement,
maintenance or service personnel; (e) Individuals who have attempted or
solicited unauthorized entry into areas secured by the Secret Service;
individuals who have sought an audience or contact with persons
protected by the Secret Service or who have been involved in incidents
or events which relate to the protective functions of the Secret
Service; (f) Individuals who are witnesses, protectees, suspects,
complainants, informants, defendants, fugitives, released prisoners,
and correspondents who have been identified by the Secret Service or
from information supplied by other law enforcement agencies,
governmental units, private institutions, and members of the general
public in connection with the performance by the Secret Service of its
authorized protective functions.
CATEGORIES OF RECORDS IN THE SYSTEM:
(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 or probation status; (b) Records containing information
compiled for the purpose of a criminal investigation, including reports
of informants and investigators, which are associated with an
identifiable individual; (c) Records containing reports relative to an
individual compiled at various stages of the process of enforcement of
certain criminal laws from arrest or indictment through release from
supervision; (d) Records containing information supplied by other
Federal, state, and local law enforcement agencies, foreign or
domestic, other non-law enforcement governmental agencies, private
institutions and persons concerning individuals who, because of their
activities, personality traits, criminal or mental history, or history
of social deviancy, may be of interest to the Secret Service in
connection with the performance by that agency of its protective
functions; (e) Records containing information compiled for the purpose
of identifying and evaluating individuals who may constitute a threat
to the safety of persons or security of areas protected by the Secret
Service; (f) Records containing information compiled for the purpose of
background investigations of individuals, including but not limited to,
passholders, tradesmen, maintenance or service personnel who have
access to areas secured by or who may be in close proximity to persons
protected by the Secret Service.
[[Page 69956]]
Authority for maintenance of the system:
The protective authority is contained in 18 U.S.C. 3056 and section
1 of Pub. L. 90-331, (18 U.S.C. 871; 18 U.S.C. 1751). The protective
and security authority of the U.S. Secret Service Uniformed Division is
contained in 3 U.S.C. 202.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses are as follows: (1) Disclosure to the Department
of Justice and other Federal, state, and local governmental agencies
having a prosecutive function for the use of attorneys, magistrates,
and judges; and parole and probation authorities for the purpose of
prosecuting, sentencing, and determining the parole and probation
status of criminal offenders or suspected criminal offenders; and for
civil and other proceedings involving Secret Service Protective
functions; (2) Disclosure to personnel of other Federal, state and
local law enforcement agencies, foreign or domestic, for the purpose of
developing information on subjects involved in Secret Service
protective investigations and evaluations and for the purpose of
protective intelligence briefings of personnel of other law enforcement
and governmental agencies assisting the U.S. Secret Service in the
performance of its protective functions; (3) Disclosure to personnel of
Federal, state, and local governmental agencies, foreign or domestic,
where such disclosures are considered reasonably necessary for the
purpose of furthering Secret Service efforts to investigate the
activities of those persons considered to be of protective interest;
(4) Disclosure to personnel of Federal, state, and local law
enforcement agencies and other governmental agencies, foreign or
domestic, where there is a showing of a reasonable need to accomplish a
valid enforcement purpose; (5) Disclosure to personnel of private
institutions and to private individuals of identifying information
pertaining to actual or suspected criminal offenders or other
individuals considered to be of protective interest for the purpose of
furthering Secret Service efforts to evaluate the danger such
individuals pose to persons protected by that agency; (6) 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 disclosed to the appropriate agency,
whether Federal, state, local or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation, or order issued pursuant thereto; (7) Disclosures in the
course of presenting evidence to a court, magistrate or administrative
tribunal 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; (8)
Disclosures and/or responses to Federal, state or local agencies
maintaining civil, criminal or other relevant law 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 issuance of a contract, grant or other benefit,
to the extent that the information is relevant and necessary to the
requesting agency's decision on the matter; (9) Disclosures of
information relating to criminal and civil proceedings to the news
media in accordance with the guidelines contained in 28 CFR 50.2. (10)
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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All records are contained in file jackets, microfilm, or
microfiche. Portions of the information contained in the records are
maintained in on-line computer data files located at Headquarters and
in the Old Executive Office Building.
Retrievability:
This System is indexed by case number and other case related data
in master and magnetic media indices. Access to the physical files is
by case number, both at Headquarters and the field offices.
Safeguards:
(1) The file jackets and magnetic media are secured in locked rooms
secured by alarms and other internal security devices with guards on
duty on a twenty four hour 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; (2) The file jackets in field offices
are located in locked filing cabinets and in locked and alarmed rooms
when employees are not on duty. Access to the system is limited to
employees of the Secret Service holding top secret security clearances.
Retention and disposal:
The retention schedule for records is as follows: (1) All judicial
case records are retained for a period of 30 years. In cases where
periodic checkups are conducted in protective intelligence cases, the
retention period is computed from the date of the final check-up. (2)
All other protective intelligence case records including protective
surveys and non-judicial protective intelligence cases are routinely
retained for a period of five years; (3) Disposal of records contained
in this System is by burning or shredding.
System manager(s) and address:
Assistant Director, Office of Protective Research, Assistant
Director Protective Operations, U.S. Secret Service, 1800 G St., NW,
Washington, DC 20223.
Notification procedure:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from the
provisions of 5 U.S.C. 552a(e)(4)(G).
Record access procedures:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from the
provisions of 5 U.S.C. 552a(e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from the
provisions of 5 U.S.C. 552a(e)(4)(I).
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(2), (c)(3), (c)(4),
(d), (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) and (k).
TREASURY/USSS .008
System name:
Public Affairs Record System--Treasury/USSS.
[[Page 69957]]
System location:
U.S. Secret Service, 1800 G St., NW, Washington, DC 20223.
Categories of individuals covered by the system:
(a) Persons who are private citizens who correspond requesting
information relating to the Secret Service; (b) Persons who are members
of the news media, authors and publishers requesting information about
the Secret Service; (c) Members of Congress who make inquiries with the
Secret Service; (d) Persons who are recipients of the Secret Service
Honor Award, who have received recognition from or assisted the Secret
Service.
Categories of records in the system:
(a) Records of inquiries received from the general public, the
communication media and the press relative to Secret Service
activities; (b) Records of awards presented by the Secret Service; (c)
Records of Congressional inquiries and correspondence.
Authority for maintenance of the system:
18 U.S.C. 3056 and Treasury Department Order Number 173-3, dated
October 29, 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses are as follows: (1) Disclosures and/or responses
to members of Congress and/or the general public. (2) 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this System are maintained in file jackets.
Retrievability:
Records are filed alphabetically and chronologically.
Safeguards:
The records are secured in locked filing cabinets and/or in locked
rooms, with guards on duty on a twenty four hour basis. Access is
available only to employees responsible for management of the system
and operational employees who have a need for such information, each of
whom holds a top secret security clearance.
Retention and disposal:
Records in this system are maintained in accordance with mandatory
General Services Administration, Records Schedule 14, Items 1-7.
Disposal of records is by burning, shredding, and electronic deletion.
System manager(s) and address:
Assistant Director, Office of Government Liaison and Public
Affairs, U.S. Secret Service, 1800 G St., NW, Room 805, Washington, DC
20223.
Notification procedure:
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,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in the System should be
addressed to: Freedom of Information and Privacy Acts Officer, U.S.
Secret Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(a) The general public, the news media and members of Congress who
correspond with the Secret Service; (b) Persons who have received
awards or honors from the Secret Service.
Exemptions claimed for the system:
None.
TREASURY/USSS .009
System name:
Training Information System--Treasury/USSS.
System location:
James J. Rowley Training Center, Laurel, MD 20707, and 1310 L St.,
NW, Room 904, Washington, DC 20005.
Categories of individuals covered by the system:
Individuals who are now or were Secret Service employees and
officers of the U.S. Secret Service Uniformed Division.
Categories of records in the system:
Records containing the type and dates of training programs of the
U.S. Secret Service employees, officers of the U.S. Secret Service
Uniformed Division including course control documents and lesson plans
for classes conducted by the Office of Training.
Authority for maintenance of the system:
18 U.S.C. 3056.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
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, otherwise, disclosures are not made
outside of the Agency.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on cards and in a computer database.
Retrievability:
Records are filed alphabetically.
Safeguards:
Records are secured in locked rooms with alarms when employees are
not on duty. Access is available only to employees responsible for
management of the records and operational employees who have a need for
such information, each of whom holds a top secret security clearance.
Retention and disposal:
Records are currently disposed of at varying intervals in
accordance with record retention schedules approved by the National
Archives and Records Administration (NARA).
System manager(s) and address:
Assistant Director, Office of Training, U.S. Secret Service, Room
900, 1310 L St., NW, Washington, DC 20005.
Notification procedure:
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,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in the system should be
addressed to: Freedom of Information and Privacy Acts Officer, U.S.
Secret Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(a) Individuals who are now or were Secret Service employees,
officers of the U.S. Secret Service Uniformed Division; (b) Individuals
from other Federal, state and local law enforcement agencies.
Exemptions claimed for the system:
None.
[[Page 69958]]
USSS Appendix A
U.S. Secret Service field offices and resident offices:
Western Bank Building, 505 Marquette Street, NW, Suite 1700,
Albuquerque, NM 87102.
6100 Rockside Woods Blvd., Room 440, Cleveland, OH 44131-2334.
Equitable Building, PO Box 54407, Atlanta, GA 30308.
Strom Thurmond Federal Bldg., 1835 Assembly Street, Suite 1425,
Columbia, SC 29201.
Federal Office Building, 300 East 8th Street, Suite 972, Austin,
TX 78701.
500 South Front Street, Suite 800, Columbus, OH 43215.
100 S. Charles Street, 11th Floor, Baltimore, MD 21201.
125 East John W. Carpenter Fwy, Suite #300, Irving, TX 75062.
Daniel Bldg., 15 South 20th St., Suite 1125, Birmingham, AL
35233.
1660 Lincoln Street, Suite 1430, Denver, CO 80264.
Thomas P. O'Neill, Jr. Federal Bldg., 10 Causeway Street, Suite
791, Boston, MA 02222-1080.
Patrick V. McNamara Building, Suite 1000, 477 Michigan Avenue,
Detroit, MI 48226.
610 Main St., Suite 300, Buffalo, NY 14202.
Mesa One Building, 4849 North Mesa, Suite 210, El Paso, TX
79912.
1 Valley Square, Suite 910, Charleston, WV 25301.
330 Ionia Ave., NW, Suite 302, Grand Rapids, MI 49503-2350.
One Fairview Center, 6302 Fairview Rd., Suite 400, Charlotte, NC
28210.
300 Ala Moana Boulevard; Room 6-210, PO Box 50046, Honolulu, HI
96850.
Gateway IV Building, 300 Riverside Plaza, Suite 1200 North,
Chicago, IL 60606.
602 Sawyer St., Suite 500, Houston, TX 77007.
John Weld Peck Federal Building, 550 Main Street, Room 6118,
Cincinnati, OH 45202.
575 N. Pennsylvania Street, Suite 211, Federal Bldg.,
Indianapolis, IN 46204.
Federal Bldg., 100 West Capitol Street, Suite 840, Jackson, MS
39269.
7820 Arlington Expressway, Suite 500, Jacksonville, FL 32211.
Hale Boggs Federal Building, 501 Magazine St., Room 807, New
Orleans, LA 70130.
1150 Grand Avenue, Suite 510, Kansas City, MO 64106.
PO Box 16027, Federal Station, Las Vegas, NV 89101.
7 World Trade Center, 9th Fl., New York, NY 10048-1901.
111 Center Street, Suite 1700, Little Rock, AR 72201.
35 Pinelawn Road, Suite 216E, Melville, NY 11747.
Federal Building, Suite 640, 200 Granby Street, Norfolk, VA
23510.
RoyBal Federal Bldg., 17th Fl., 255 E. Temple Street, Los
Angeles, CA 90012.
Lakepointe Towers, Suite 650, 4013 NW Expressway, Oklahoma City,
OK 73116.
135 W. Central Blvd., Suite 670, Orlando, FL 32801.
377 Federal Building, 600 Dr. Martin Luther King, Jr., Place,
Louisville, KY 40202.
Old Federal Bldg; 106 S. 15th Street, Room 905, Omaha, NE 68102.
5350 Poplar Ave., Suite 204, Memphis, TN 38119.
8375 Northwest 53rd Street, Suite 100, Miami, FL 33166.
600 Arch Street, 7236 Federal Bldg; Philadelphia, PA 19106-1676.
572 Federal Courthouse, 517 E. Wisconsin Ave., Milwaukee, WI
53202.
3200 North Central Ave., Suite 2180, Phoenix, AZ 85012.
218 U.S. Courthouse, 110 South 4th Street, Minneapolis, MN
55401.
William S. Moorehead Federal Bldg., 1000 Liberty Avenue, Room
835, Pittsburgh, PA 15222.
182 Saint Francis Street, Suite 200, Mobile, AL 36602.
121 Southwest Salmon Street, Suite 1330, Portland, OR 97204,
(503) 326-2162.
801 Broadway Street, U.S. Courthouse 658, Nashville, TN 37203,
(615) 736-5841.
The Federal Center, 380 Westminster St., Suite 343, Providence,
RI 02903, (401) 331-6456.
Headquarters Plaza--West Tower, Suite 700, One Speedwell Ave.,
Morristown, NJ 07960, (973) 984-5760.
Main St Centre, 600 East Main Street, Suite 1910, Richmond, VA
23240, (804) 771-2274.
265 Church Street, Suite 1201, New Haven, CT 06510, (203) 865-
2449.
4407 Bland Road, Suite 210, Raleigh, NC 27609.
PO Box 1525, Riverside, CA 92502.
501 J Street, Suite 530, Sacramento, CA 95814, (916) 498-5141.
301 E Genese, Suite 200, Saginaw, MI 48607.
U.S. Courts and Customshouse, 280 South 1st St., Suite 2050, San
Jose, CA 95113.
200 W. Santa Ana Blvd., Suite 500, Santa Ana, CA 92701.
1114 Market Street, Room 924, St. Louis, MO 63101.
57 West 200 South, Suite 450, Salt Lake City, UT 84101.
1050 Connecticut Ave., NW, Suite 1000, Washington, DC 20036.
727 E. Durango, Room B410, Federal Building, San Antonio, TX
78206.
550 West C St., Suite 660, San Diego, CA 92101.
345 Spear St., Suite 530, San Francisco, CA 94105.
1510 F D Roosevelt Ave., Suite 3B, Guaynabo, PR 00968.
890 Federal Building, 915 Second Avenue, Seattle, WA 98174.
601 W. Riverside Avenue, Suite 1340, Spokane, WA 99201.
400 West Monroe, Suite 301, Springfield, IL 62704.
501 East Polk St., Room 1101, Tampa, FL 33602.
Suite 800, 505 South Flagler Drive, West Palm Beach, FL 33401.
140 Grand St., Suite 300, White Plains, NY 10601.
1 Rodney Square, Room 414, 920 King St., Wilmington, DE 19801.
Ventnor Professional Campus, 6601 Ventnor Ave., Suite 501,
Ventnor City, NJ 08406.
JFK International Airport, Bldg. #75, Room 246, Jamaica, NY
11430.
Suite 508, 7 Laurens St., NCNB Plaza, Greenville, SC 29601.
American Embassy/USSS--London, England PSC 801, Box 64, FPO AE
09498-4064.
American Embassy/USSS--Manila, Philippines FPO AP 96515.
American Embassy/USSS--Paris, PSC 116, Box D306, APO AE 09777-
5000.
American Embassy/USSS--Rome, Italy PSC 59, Box 62, USSS, APO AE
09624.
American Embassy, Box 64, APO AP 96546.
U.S. Embassy--Bogota, Unit 5116, APO AA 34038.
American Embassy, Bonn, PSC 117, Box 300, APO AE 09080.
U.S. Consulate General, PSC 464, Box 30, FPO AP 96522-0002.
United States Consulate General, PSC 59, Milan, 100 Milan, APO
AE 09624.
U.S. Consulate, Montreal, PO Box 847, Champlain, NY 12919-0847.
American Embassy, Nicosia, PSC 815, FPO AE 09836.
U.S. Embassy, PO Box 5000, Ogdensburg, NY 13669.
BILLING CODE: 6720-01-P
Office of Thrift Supervision
TREASURY/OTS .001
SYSTEM NAME:
Confidential Individual Information System--Treasury/OTS.
SYSTEM LOCATION:
Enforcement Division, Office of Thrift Supervision, 1700 G Street,
NW, Washington, DC 20552. Computerized records of Suspicious Activity
Reports (SAR), with status updates, are managed by FinCEN pursuant to a
contractual agreement, and are stored at the Internal Revenue Service's
Computing Center in Detroit, Michigan. Authorized personnel at the
Federal financial regulatory agencies have on-line access to the
computerized database managed by FinCEN through individual work
stations that are linked to the database central computer.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Directors, officers, employees, agents, borrowers, and persons
participating in the conduct of the affairs of entities regulated by
the OTS who have been involved in suspected criminal activity or
suspicious financial transactions and referred to law enforcement
officials; and other individuals who have been involved in
irregularities, violations of law, or unsafe or unsound practices
referenced in documents received by OTS in the exercising of its
supervisory functions.
These records also contain information concerning individuals who
have filed notices of intention to acquire control of a savings
association;
[[Page 69959]]
controlling persons of companies that have applications to acquire
control of a savings association; and organizers of savings
associations who have sought Federal Savings and Loan Insurance
Corporation (FSLIC) or Saving Association Insurance Fund (SAIF)
insurance of accounts or federal charters.
CATEGORIES OF RECORDS IN THE SYSTEM:
Application information and inter-agency and intra-agency
correspondence, memoranda and reports. The SAR contains information
identifying the financial institution involved, the suspected person,
the type of suspicious activity involved, the amount of loss known, and
any witnesses.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
12 U.S.C. 1464; 44 U.S.C. 3101.
PURPOSE(S):
The overall system serves as a central OTS repository for
investigatory or enforcement information related to the responsibility
of OTS to examine and supervise savings associations. It also serves to
store information on applicants to acquire, control, or insure a
savings association in connection with OTS's regulatory
responsibilities.
The system maintained by FinCEN serves as the database for the
cooperative storage, retrieval, analysis, and use of information
relating to Suspicious Activity Reports made to or by the Federal
financial regulatory agencies and FinCEN to various law enforcement
agencies for possible criminal, civil or administrative proceedings
based on known or suspected violations affecting or involving persons,
financial institutions, or other entities under the supervision or
jurisdiction of such Federal financial regulatory agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in these records may be used to: (1) Provide the
Department of Justice with periodic reports on the number, amount,
individual identity and other details concerning outstanding potential
criminal violations of the law that have been referred to the
Department; (2) Provide the Federal financial regulatory agencies and
FinCEN with information relevant to their operations; (3) Provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (4) Provide information or records to any appropriate
governmental agency or self-regulatory organization 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, policy, or license; (5) Disclose, when
considered appropriate, information to a bar association, or other
professional organizations performing similar functions, for possible
disciplinary action; (6) Disclose information when appropriate to
international and foreign governmental authorities in accordance with
law and formal or informal international agreements; and (7) Provide
information to any person with whom the OTS contracts to reproduce, by
typing, photocopying or other means, any record within this system for
use by the OTS and its staff in connection with their official duties
or to any person who is utilized by the OTS to perform clerical or
stenographic functions relating to the official business of the OTS.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic media and in paper files.
Retrievability:
Computer output and file folders are retrievable by indexes of data
fields, including name of financial institution and individual's name.
Safeguards:
Paper files are stored in lockable metal file cabinets with access
limited to authorized individuals. Computer disks maintained at OTS are
accessed only by authorized personnel. The database maintained by
FinCEN complies with applicable security requirements of the Department
of the Treasury. On-line access to the information in the database is
limited to authorized individuals, and each individual has been issued
a non-transferable identifier or password.
Retention and disposal:
Records are periodically updated to reflect changes and maintained
as long as needed.
System manager(s) and address:
Deputy Chief Counsel for Enforcement, Office of Thrift Supervision,
1700 G Street, NW, Washington, DC 20552.
Notification procedure:
The system is exempt from notification and record-access
requirements and requirements that an individual be permitted to
contest its contents under 5 U.S.C. 552a (j)(2) and (k)(2) as relating
to investigatory material compiled for law enforcement purposes.
Record access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Suspicious activity reports and related historical information and
updating forms compiled by financial institutions, the OTS, and other
Federal financial regulatory agencies for law enforcement purposes. The
OTS will also include information from applicants, inter-agency and
intra-agency correspondence, memoranda, and reports.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552 a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (j)(2) and (k)(2).
TREASURY/OTS .002
System name:
Correspondence/Correspondence Tracking.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
Categories of individuals covered by the system:
White House and Executive Office of the President officials,
Members of Congress, Treasury Department officials, the general public,
and businesses.
Categories of records in the system:
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 response to the correspondence.
Purpose(s):
To maintain written records of correspondence addressed to the
Director of OTS and Congressional correspondence; to track the progress
of the response; to document the completion of the response to the
incoming correspondence.
[[Page 69960]]
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
(1) Disclosures may be made 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; (2) Information may be
disclosed 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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in magnetic media and in paper files.
Retrievability:
Records are maintained by name of individual; assignment control
number.
Safeguards:
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.
Retention and disposal:
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.
System manager(s) and address:
Director, Congressional Affairs. See ``Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Records access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Congressional letters and responses from a Member of Congress and/
or a constituent.
Exemptions claimed for the system:
None.
TREASURY/OTS .003
System name:
Consumer Complaint System.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552. See appendix A for appropriate local
address of OTS Regional Offices.
Categories of individuals covered by the system:
Persons who submit inquiries or complaints concerning federally
insured depository institutions, service corporations, and
subsidiaries.
Categories of records in the system:
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.
Authority for maintenance of the system:
15 U.S.C. 57a(f), 5 U.S.C. 301.
Purpose(s):
OTS uses this system to track individual complaints and to provide
additional information about each institution's compliance with
regulatory requirements.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
(1) Information may be disclosed to officials of regulated savings
associations in connection with investigation and resolution of
complaints and inquiries; (2) relevant information may be made
available to appropriate law enforcement agencies or authorities in
connection with investigation and/or prosecution of alleged civil,
criminal and administrative violations; (3) disclosures may be made to
a Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (4) disclosures may be made
to other Federal and nonfederal governmental supervisory or regulatory
authorities when the subject matter is within such other agency's
jurisdiction.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
By name of individual, complaint case number, savings association
name, docket number, district complaint code, instrument code, source
code or by some combination thereof.
Safeguards:
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.
Retention and disposal:
Active paper files are maintained until the case is closed. Closed
files are retained six (6) years then destroyed.
System manager(s) and address:
Manager, Consumer Programs. See ``Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, D.C.
20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Inquirer or complainant (or his or her representative which may
include a
[[Page 69961]]
member of Congress or an attorney); savings association officials and
employees; compliance/safety and soundness examiner(s); and other
supervisory records.
Exemptions claimed for the system:
None.
TREASURY/OTS .004
System name:
Criminal Referral Database.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552. See appendix A for appropriate local
address of OTS Regional Offices.
Categories of individuals covered by the system:
Individuals suspected of having committed crime(s) and individuals
indicted or convicted of crime(s) against or involving savings
associations.
Categories of records in the system:
Criminal referrals.
Authority for maintenance of the system:
12 U.S.C. 1464; 44 U.S.C. 3101.
Purpose(s):
This system lists all matters referred to the Department of Justice
for possible criminal proceedings.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Information may be disclosed 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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
Records are filed by name of individual, savings institution or
referral control number.
Safeguards:
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.
Retention and disposal:
Records are periodically updated to reflect changes, and 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.
System manager(s) and address:
Chief Counsel, Office of Enforcement. See ``System location'' for
address.
Notification procedure:
This system is exempt from notification and record-access
requirements and requirements that an individual be permitted to
contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating
to investigatory material compiled for law enforcement purposes.
Records access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Criminal Referral forms compiled for law enforcement purposes.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d),
(e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy Act pursuant to
5 U.S.C. 552a(j)(2) and (k)(2).
TREASURY/OTS .005
System name:
Employee Counseling Services.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552. See appendix A for appropriate local
address of OTS Regional Offices.
Categories of individuals covered by the system:
Employees who seek counseling services.
Categories of records in the system:
Counseling records.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
To provide a history and record of the employee counseling
session(s) and to assist the counselor in identifying and resolving
employee problem(s).
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
This system will have minimal effect on individual privacy because
access is limited to the employee counseling program counselor. Under
special and emergency circumstances records may be released to medical
personnel, research personnel, and as a result of a court order.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in paper files.
Retrievability:
Records are retrieved by a number assigned to employee.
Safeguards:
Records are maintained in locked file cabinet. Access is limited to
the employee counselor.
Retention and disposal:
Records are retained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedules.
System manager(s) and address:
Manager, Human Resources Branch. See ``System location'' for
address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, D.C.
20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Employees and counselors.
Exemptions claimed for the system:
None.
TREASURY/OTS .006
System name:
Employee Locator File.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552. See
[[Page 69962]]
appendix A for appropriate local address of OTS Regional Offices.
Categories of individuals covered by the system:
All present employees of the OTS and persons whose employment has
been terminated within the last six months.
Categories of records in the system:
Employee's name, present address, telephone number, and the name,
address, and telephone number of another person to notify in case of
emergency.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
This system provides current information on employee's address and
emergency contact person.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
(1) 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; (2) medical personnel in case of an emergency.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
Records are filed by name of individual.
Safeguards:
Paper records are maintained in locked file cabinets. 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.
Retention and disposal:
Records are maintained until termination of employee's employment
with OTS. After termination, records are retained for six months then
destroyed.
System manager(s) and address:
Manager, Human Resources Branch. See ``System location'' for
address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, D.C.
20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The individual whose record is being maintained.
Exemptions claimed for the system:
None.
TREASURY/OTS .007
System name:
Employee Parking.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
Categories of individuals covered by the system:
All OTS employees (and their corresponding car pool members) who
apply for agency controlled parking.
Categories of records in the system:
Information is contained in parking applications and computerized
reports and consists of (for each rider): Name, home address, office
phone number, and place of employment (of non-OTS riders). For OTS
employees only: work hours, supervisor's name, office code, social
security number and years of service.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
To control and maintain parking applications and spaces.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
No disclosures are made outside of OTS.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
Records are filed by parking pass number, name of OTS employee and
social security number.
Safeguards:
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.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration General Records Schedules.
System manager(s) and address:
Executive Director, Administration. See ``System location'' for
address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, D.C.
20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Applications submitted by OTS employees and non-OTS riders.
Exemptions claimed for the system:
None.
TREASURY/OTS .008
System name:
Employee Training Database.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
Categories of individuals covered by the system:
All employees of the Office of Thrift Supervision.
[[Page 69963]]
Categories of records in the system:
Individual employee records are maintained by name, course taken,
social security number, position, division, and manager name.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
To maintain necessary information on training taken by employees
through outside sources and vendors.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Records are not disclosed outside of OTS.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained on magnetic media.
Retrievability:
Records are filed by individual name, social security number and
course taken.
Safeguards:
Access to computerized records is limited, through use of a
password, to those persons whose official duties require access.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration General Records Schedules.
System manager(s) and address:
Manager, Training and Professional Development Branch. See ``System
location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, D.C.
20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Personnel records and training request forms completed by employee.
Exemptions claimed for the system:
None.
TREASURY/OTS .010
System name:
Inquiry/Request Control.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
Categories of individuals covered by the system:
Persons who make inquiries, request for records, or information
concerning activities of the OTS, regulated financial institutions and
related individuals and organizations; e.g., holding companies, service
corporations, directors of thrift, advisors or representatives of
thrift industry and also requests for records under the Freedom of
Information Act/Privacy Act(FOIA/PA).
Categories of records in the system:
Selected items of information extracted from incoming inquiry, and
records concerning internal office case assignments, processing and
resolution of the inquiry/request.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To internally control work flow and assignments; to track progress
of the inquiry/request; and to provide statistical information for
budgetary, resource allocation, and statutory reporting purposes.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
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 records pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in paper files and magnetic media.
Retrievability:
Records are maintained by individual name, case control number,
subject of inquiry, savings and loan association and/or financial
institution, docket number, receipt date, inquiry code, disposition
code, or any combination thereof.
Safeguards:
Paper records are maintained in secured offices with access limited
to those personnel whose official duties require access. Access to
computerized records is limited, through use of a password, to those
whose official duties require access.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration General Records Schedules.
System manager(s) and address:
Manager, Dissemination Branch. See ``System location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, D.C.
20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Incoming inquiry or request (by mail, fax, or telephone), internal
case assignment notations, case control, and close-out forms.
Exemptions claimed for the system:
None.
TREASURY/OTS .011
System name:
Positions/Budget.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552. See appendix A for appropriate local
address of OTS Regional Offices.
Categories of individuals covered by the system:
All current employees of the Office of Thrift Supervision.
Categories of records in the system:
Individual employee records are kept by office and agency as
follows: Name,
[[Page 69964]]
title, entered on duty date, service computation date, occupation
series, social security number, grade, current salary, location of
employee, date of last promotion, and eligibility for promotion.
Records are kept for each office (and, where appropriate, for the
agency) on number of vacancies, authorized position ceilings, and
number of employees.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
The system allows the OTS Budget Division the ability to track
positions by Office to assure that assigned Full-Time Equivalent
ceilings are not exceeded and remain within the limits set by the
Director of the OTS. The system also provides information to each
office which can be used in developing their calendar year compensation
budget.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Information may be disclosed 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.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
Records are filed by name of individual.
Safeguards:
Paper records are maintained in file folders in secured areas.
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 use of a password, to those whose official duties
require access.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration General Records Schedules.
System manager(s) and address:
Director, Planning, Budget and Finance Division. See ``System
location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Personnel records.
Exemptions claimed for the system:
None.
TREASURY/OTS .012
System name:
Payroll/Personnel System and Payroll Records.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552. See appendix A for appropriate local
address of OTS Regional Offices.
Categories of individuals covered by the system:
All current Office of Thrift Supervision (OTS) employees and all
former employees of the OTS, within the past three years.
Categories of records in the system:
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' Financial Institutions Thrift Plan (FITP-107 and K 1-2).
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
Provides all the key personnel and payroll data for each employee
which is required for a variety of payroll and personnel functions.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
(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; (2) a record from this system may be disclosed as a
routine use 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; (3) a record from this system may be
necessary to support the assessment, computation, and collection of
federal, state, and local taxes, in accordance with established
procedures; (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; (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, and
identifying sources of income, and for other child support enforcement
actions as required by the Personal Responsibility and Work Opportunity
Reconciliation Act (Welfare Reform Law, Pub. L. 104-193).
[[Page 69965]]
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained on magnetic media, microfiche, and in paper
files.
Retrievability:
Records are filed by individual name, social security number and by
office.
Safeguards:
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.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration General Records Schedules.
System manager(s) and address:
Manager, Human Resources Branch. See ``System location'' for
address.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
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 Manager, Dissemination Branch,
Office of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Personnel and payroll records of current and former employees.
Exemptions claimed for the system:
None.
TREASURY/OTS .013
System name:
Personnel Security and Suitability Program.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
Categories of individuals covered by the system:
Current and former government employees and applicants applying for
employment with the Office of Thrift Supervision.
Categories of records in the system:
Background investigations, limited background investigations,
minimal background investigations, national agency check
investigations, periodic re-investigations, and FBI and other agency
name checks: investigative information relating to personnel
investigations conducted by the Department of the Treasury, the Office
of Personnel Management, and other Federal agencies and departments on
pre-placement and post-placement basis to make suitability for
employment determinations and for granting security clearances. Card
records, automated data systems, or logs comprised of notices of
personnel security and suitability investigations reflecting
identification data on incumbents and former employees, and record type
of E.O. 10450 investigations and degree and date of security clearance,
if any.
Authority for maintenance of the system:
Executive Order 10450, sections 2 and 3; Executive Order 12356,
part 4; Executive Order 10577; 5 U.S.C. 3301; and 5 CFR parts 731, 732
and 736.
Purpose(s):
The purpose of the records in the Personnel Security and
Suitability System is to enable the OTS to determine and document each
employee's suitability or security risk for selection, employment and
continued employment according to appropriate Federal regulations.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records and information in these records may be used to
disclose information to departmental and agency officials or other
Federal agencies as relevant to or necessary for making suitability or
employability retention or security clearance determinations.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folders, logs and index cards.
Retrievability:
Records are retrieved by name.
Safeguards:
Records are stored in locked metal containers and in locked rooms.
They are limited to officials who have a need to know in the
performance of their official duties. Officials are required to sign an
access form.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration General Records Schedules.
System manager(s) and address:
Manager, Human Resources Branch. See ``System location'' for
address.
Notification procedure:
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 Manager, Dissemination
Branch, Office of Thrift Supervision, 1700 G Street, NW, Washington, DC
20552.
Records access procedure:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Record Access Procedures'' above.
Record source categories:
The information is obtained from current and former employees, co-
workers, neighbors, acquaintances, educational records and instructors,
and police and credit record checks.
Exemptions claimed for the system:
None.
APPENDIX A
Addresses of Office of Thrift Supervision Regional Offices:
Northeast Region: 10 Exchange Place, 18th Floor, Jersey City, NJ
07302.
Southeast Region: 1475 Peachtree Street, NE, Atlanta, GA 30309.
Central Region: 200 Madison Street, Suite 1300, Chicago, IL
60606.
Midwest Region: 122 W. John Carpenter Freeway, Suite 600,
Irving, TX 75039.
West Region: One Montgomery Street, Suite 400, San Francisco, CA
94104.
[FR Doc. 98-31632 Filed 12-16-98; 8:45 am]
BILLING CODE 4810-25-P