[Federal Register Volume 66, Number 169 (Thursday, August 30, 2001)]
[Notices]
[Pages 45893-45901]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-21736]


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DEPARTMENT OF THE TREASURY

Bureau of Alcohol, Tobacco and Firearms


Privacy Act of 1974, as Amended

AGENCY: Bureau of Alcohol, Tobacco and Firearms, Treasury.

ACTION: Notice of systems of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, The Bureau of Alcohol, Tobacco and 
Firearms is publishing its inventory of Privacy Act systems of records.

SUPPLEMENTARY INFORMATION: 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 Bureau of Alcohol, Tobacco and Firearms (ATF) has completed 
a review of its Privacy Act systems of records notices to identify 
minor changes to those notices.
    A purpose(s) statement has been added to the following system 
notices: ATF .001-Administrative Record System; ATF .002-Correspondence 
Record System, and ATF .007-Personnel Record System. In addition, 
language has been added under ``storage'' to ATF .001 and ATF .002-
Correspondence Record System to reflect the use of electronic media.
    The data elements enumerated under ``categories of records'' in ATF 
.008-Regulatory Enforcement Record System, and ATF .009-Technical and 
Scientific Services Record System have been updated to include 
additional elements which fall within the scope of the existing 
categories.
    Under ``safeguards'' language has been added to each ATF system 
notices to reflect that records maintained in electronic format are 
password protected.
    Other changes throughout the document are editorial in nature and

[[Page 45894]]

consist principally of changes to system locations and system manager 
addresses.
    The following system of records has been removed from ATF's 
inventory of Privacy Act systems: ATF .005-Freedom of Information 
Requests (Published December 3, 1999, at 64 FR 67966), and ATF .006-
Internal Security Record System (Published December 14, 2000, at 65 FR 
78261).
    The systems notices are reprinted in their entirety following the 
Table of Contents.
    Systems Covered by This Notice: This notice covers all systems of 
records adopted by ATF up to June 29, 2001.

    Dated: August 20, 2001.
W. Earl Wright, Jr.,
Chief Management and Administrative Programs Officer.

Table of Contents

ATF .001--Administrative Record System
ATF .002--Correspondence Record System
ATF .003--Criminal Investigation Report System
ATF .007--Personnel Record System
ATF .008--Regulatory Enforcement Record System
ATF .009--Technical and Scientific Services Record System

Bureau of Alcohol, Tobacco and Firearms (ATF)

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 8400, 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.

Purpose:
    The purpose of this system is to resolve claims submitted to the 
Bureau of Alcohol, Tobacco and Firearms.

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. 
Records are also stored in electronic media.

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. The records stored in electronic media are password 
protected.

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:
    Assistant Director, Office of Management/Chief Financial Officer, 
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 
8400, 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.

[[Page 45895]]

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 8400, 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 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.

Purpose:
    The purpose of this system is to respond to inquiries from the 
public and Congress.

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. 
Records are also stored in electronic media.

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. The 
records stored in electronic media are password protected.

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, 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 
8400, 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 8400, Bureau of Alcohol, Tobacco and 
Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226. Appeals 
may be delivered personally to Room 8400, Bureau of Alcohol, Tobacco 
and Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226.

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 8400, 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

[[Page 45896]]

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 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. The records stored in electronic media 
are password protected.

[[Page 45897]]

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:
    Assistant Director, Firearms Explosive & Arson; Assistant Director, 
Alcohol and Tobacco; Assistant Director, Field Operations; and 
Assistant Director, 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).

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)(2). See 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 8400, 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. (42) Government passport 
records.

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; 31 C.F.R. 2.28; 5 C.F.R. 550.122, 550.183. (11) 5 
U.S.C. 4503. (12) 5 U.S.C. Section 5101-5115. (13) 5 U.S.C. Section 
7151-7154. (14) 5 U.S.C. Section 7901. (15) Public Law 92-261 (Equal 
Employment Act of 1972). (16) Public Law 93-579. (Federal Employees 
Compensation Act). (17) Occupational Safety and Health Act of 1970. 
(18) Executive Order 10561. (19) Executive Order 11222. (20) Executive 
Order 11478. (21) Executive Order 11491.

Purpose:
    The purpose of this system is to provide the basic source of 
factual data about a person's Federal employment while in the service 
of the Bureau of Alcohol, Tobacco and Firearms.

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.

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.

[[Page 45898]]

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. 
The records stored in electronic media are password protected.

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, Office of Science and Technology; Assistant 
Director, Liaison and Public Information; and Assistant Director, 
Management/Chief Financial Officer, Bureau of Alcohol, Tobacco and 
Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.

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)(5). See 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 8400, 650 Massachusetts Avenue, NW, Washington, DC 
20226.

Categories of individuals covered by the system:
    Individuals who have been issued permits or licenses, have filed 
applications with ATF, or have registered with ATF including:
    (a) Alcohol licensees; (b) Claimants for refund, abatement, credit, 
allowance or drawback of excise or special occupational taxes; (c) 
Federal Firearms Licenses (d) Collectors of firearms or ammunition; (e) 
Importers of firearms or ammunition, and (f) Users of explosive 
materials.

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. 5131(c). (41) 26 
U.S.C. 5064. (42) 26 U.S.C. 7122. (43) 27 U.S.C. 207. (44) 18 U.S.C. 
843(d). (45) 18 U.S.C. 923(f). (46) 27 U.S.C. 204(e). (47) 26 U.S.C. 
5312(a). (48) 26 U.S.C. 5042(a)(3). (49) Reorganization Act of 1949, 5 
U.S.C. Sections 901 et seq.; Revenue Act of 1951, Section 616; Treasury 
Department Order 221 (37 F.R. 11696, dated June 19,

[[Page 45899]]

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 in a compilation of information contained in this system of 
records, the information shall be transferred to the Treasury ATF--
Criminal Investigation Report System and shall become part of that 
system for all purposes of the Privacy Act of 1974.

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. The records stored in electronic media are 
password protected.

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 Director, Firearms Explosive & Arson; Assistant Director, 
Alcohol and Tobacco; Assistant Director, Field Operations; and 
Assistant Director, 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). See 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 8400, 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 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

[[Page 45900]]

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), 5179(a), 5712, 
7011; (5) 27 U.S.C. Sections 204(c); (6) 26 U.S.C. Chapter 35; (7) 
Executive Order 10973, as amended by Executive Order 11432.

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. The records 
stored in electronic media are password protected.

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 Director, Firearms Explosive & Arson; Assistant Director, 
Alcohol and Tobacco; Assistant Director, Field Operations; and 
Assistant Director, 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 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 45901]]

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). See 31 CFR 1.36.

[FR Doc. 01-21736 Filed 8-29-01; 8:45 am]
BILLING CODE 4810-31-P