[Federal Register Volume 74, Number 118 (Monday, June 22, 2009)]
[Notices]
[Pages 29532-29536]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-14579]


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DEPARTMENT OF THE TREASURY


Departmental Offices; Privacy Act of 1974, as Amended

AGENCY: Departmental Offices, Treasury.

ACTION: Notice of Proposed Alterations of a Privacy Act System of 
Records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, and the Office of Management and Budget (OMB) Circular A-130 and 
Memorandum M-07-16, the Department of the Treasury (Department), Office 
of D.C. Pensions gives notice of a proposed altered system of records 
entitled, ``D.C. Pensions Retirement Records--Treasury/DO .214.''

DATES: Comments must be received no later than July 22, 2009. The 
proposed alteration to the system of records will be effective August 
3, 2009 unless the Office of D.C. Pensions receives comments which 
would result in a contrary determination.

ADDRESSES: Comments should be sent to Nancy Ostrowski, Director, Office 
of D.C. Pensions, Department of the Treasury, 1500 Pennsylvania Avenue, 
NW., Washington, DC 20220. The Department will make such comments 
available for public inspection and copying in the Department's 
Library, Room 1428, Main Treasury Building, 1500 Pennsylvania Avenue, 
NW., Washington, DC 20220, on official business days between the hours 
of 10 a.m. and 5 p.m. Eastern Time. You can make an appointment to 
inspect comments by telephoning (202) 622-0990. All comments, including 
attachments and other supporting materials, received are part of the 
public record and subject to public disclosure. You should submit only 
information that you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: Nancy Ostrowski, Director, Office of 
D.C. Pensions, Department of the Treasury, 1500 Pennsylvania Avenue, 
NW., Washington, DC 20220, at 202-622-2214 or via electronic mail at 
[email protected].

SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974, and the 
Office of Management and Budget (OMB) Circular A-130 and Memorandum M-
07-16, the Office of D.C. Pensions conducted a complete review of its 
August 9, 2005, published Privacy Act system of records notice and 
identified changes that more accurately describe its records. The 
changes throughout the document update the list of records utilized in 
the Office of D.C. Pensions as of September 2009.
    Under provisions in Title XI of the Balanced Budget Act of 1997, as 
amended (the Act), the Secretary of the Treasury (Secretary) assumed 
certain responsibilities for a specific population of annuitants under 
the following District of Columbia (District) retirement plans: The 
Police Officers' and Firefighters' Retirement Plan; the Teachers' 
Retirement Plan; and the Judges' Retirement Plan. Specifically, the 
Secretary is responsible for administering the retirement benefits 
earned by District police officers, firefighters, and teachers based 
upon service accrued prior to July 1, 1997; and, retirement benefits 
earned by District judges, regardless of when service accrued. These 
benefits are described as Federal benefits. The retirement benefits of 
District police officers, firefighters, and teachers based upon service 
accrued starting July 1, 1997 and going forward, are described as 
District benefits.
    With regard to the administration of Federal and District benefits, 
the

[[Page 29533]]

Department of the Treasury (Department) and the District operate under 
a Memorandum of Understanding (MOU). Under the MOU, the District is 
responsible for Federal benefits administration duties for current and 
former District police officers, firefighters, and teachers, including 
their survivors and beneficiaries. The same MOU stipulates that the 
Department will provide pension payroll system services to the District 
for Federal and District benefit payments. The benefits administration 
responsibilities for current and former D.C. Judges, including 
survivors and beneficiaries, covered under the District's Judges' 
Retirement Plan are performed by the Department's Office of D.C. 
Pensions.
    For purposes of this Notice--
    a. The term ``current police officers, firefighters, teachers and/
or judges'' refers to individuals who are (1) presently working for 
(not separated or retired from) the District, and performing service 
subject to the Police Officers' and Firefighters', and Teachers' 
Retirement Plans; or (2) presently working for (not separated or 
retired from) the D.C. Courts, and performing service subject to the 
Judges' Retirement Plan entitling them to benefit payments.
    b. The term ``former police officers, firefighters, teachers and/or 
judges'' refers to individuals who are separated or retired (1) from 
the District, and who performed service subject to the Police Officers' 
and Firefighters', or Teachers' Retirement Plans; or (2) from the D.C. 
Courts, and who performed service subject to the Judges' Retirement 
Plan entitling them to benefit payments.
    c. The term ``benefit payment(s)'' refers to a/an (1) annuity that 
is paid monthly; (2) lump-sum payment of retirement contributions; and/
or (3) lump-sum payment due to a death, made to an eligible recipient.
    On May 22, 2007, the Office of Management and Budget (OMB) issued 
Memorandum M-07-16 entitled, ``Safeguarding Against and Responding to 
the Breach of Personally Identifiable Information.'' It required 
agencies to publish the routine use recommended by the President's 
Identity Theft Task Force. As part of that effort, the Department 
published the notice of the proposed routine use on October 3, 2007, at 
72 FR 56434, and it was effective on November 13, 2007. The new routine 
use is added as routine use (27).
    In addition, two new routine uses are proposed as follows:
    (29) To disclose to a surviving spouse, surviving child, dependent 
parent, and/or legal guardian information necessary to explain how his/
her survivor benefit was computed; and,
    (30) To disclose to a spouse or dependent child (or court-appointed 
guardian thereof) of an individual covered by the system, upon request, 
whether the individual (a) changed his/her election from a self-and-
family to a self-only health and/or life insurance benefit enrollment; 
(b) changed his/her additional survivor benefit election; and/or, (c) 
received a lump-sum refund of his/her retirement contributions.
    Routine use (7) was changed to include auditors and actuaries; and, 
(9) was changed to reference coordination with contract carriers that 
provide benefits.
    Two routine uses from the August 2005 publication were deleted 
(specifically, [11] and [27]) because they were redundant and/or the 
practice is no longer applicable.
    The report of an altered system of records, as required by 5 U.S.C. 
552a(r) of the Privacy Act, has been submitted to the Committee on 
Oversight and Government Reform of the House of Representatives; the 
Committee on Homeland Security and Governmental Affairs of the Senate; 
and the Office of Management and Budget, pursuant to Appendix I to OMB 
Circular A-130, ``Federal Agency Responsibilities for Maintaining 
Records About Individuals,'' dated November 30, 2000.
    The proposed altered system of records entitled, ``D.C. Pensions 
Retirement Records--Treasury/DO .214'' is published in its entirety 
below.

    Dated: June 12, 2009.
Elizabeth Cuffe,
Deputy Assistant Secretary for Privacy and Treasury Records.
Treasury/DO .214

System name:
    D.C. Pensions Retirement Records.

System Location:
    Office of D.C. Pensions, Department of the Treasury, 1500 
Pennsylvania Avenue, NW., Washington, DC 20220. Electronic and paper 
records are also located at the District and bureaus of the Department, 
including the Bureau of the Public Debt in Parkersburg, WV. In 
addition, certain records are located with contractors engaged by the 
Department.

Categories of individuals covered by the system:
    a. Current and former police officers, firefighters, teachers, and 
judges.
    b. Surviving spouses, children, and/or dependent parents of current 
and former police officers, firefighters, teachers, or judges.
    c. Former spouses of current and former police officers, 
firefighters, teachers, or judges.

Categories of records in the system:
    The categories of records include, but is not limited to, 
identifying information such as: Name(s); contact information; Social 
Security number; employee identification number; service beginning and 
end dates; annuity beginning and end dates; date of birth; sex; 
retirement plan; base pay; average base pay; final salary; type(s) of 
service and dates used to compute length of service; military base pay 
amount; purchase of service calculation and amount; and/or benefit 
payment amount(s).
    The types of records in the system may be:
    a. Documentation comprised of service history/credit, personnel 
data, retirement contributions, and/or a refund claim upon which a 
benefit payment(s) may be based.
    b. Medical records and supporting evidence for disability 
retirement applications and continued eligibility, and documentation 
regarding the acceptance or rejection.
    c. Records submitted by a surviving spouse and/or a child(ren) in 
support of claims to a benefit payment(s).
    d. Consent forms and other records related to the withholding of 
income tax from a benefit payment(s).
    e. Retirement applications, including supporting documentation, and 
acceptance or denial of such applications.
    f. Death claim, including supporting documentation, submitted by a 
surviving spouse, child(ren), former spouse, and/or beneficiary, that 
is required to determine eligibility for and receipt of a benefit 
payment(s), or denial of such claims.
    g. Documentation of enrollment and/or change in enrollment for 
health and life insurance benefits/eligibility.
    h. Designation(s) of a beneficiary(ies) for a life insurance 
benefit and/or an unpaid benefit payment.
    i. Court orders submitted by former spouses in support of claims to 
a benefit payment(s).
    j. Records relating to under- and/or over-payments of benefit 
payments and other debts arising from the responsibility to administer 
the retirement plans for District police officers, firefighters, 
teachers, and judges; and, records relating to other Federal debts owed 
by recipients of Federal benefit payments.
    k. Records relating to bankruptcies, tax levies, and garnishments.
    l. Records used to determine a total benefit payment and/or if the 
benefit payment is a District or Federal liability.

[[Page 29534]]

    m. Correspondence received from current and former police officers, 
firefighters, teachers, and judges; including their surviving spouses, 
children, former spouses, dependent parents, and/or beneficiaries.
    n. Records relating to time served on behalf of a recognized labor 
organization.
    o. Records relating to benefit payment enrollment and/or change to 
enrollment for direct deposit to an individual's financial institution.

Authority for maintenance of the system:
    Title XI, Subtitle A, Chapters 1 through 9, and Subtitle C, Chapter 
4, Subchapter B of the Balanced Budget Act of 1997 (as amended), Public 
Law 105-33.

Purpose(s):
    These records may provide information on which to base 
determinations of (1) eligibility for, and computation of, benefit 
payments; (2) direct deposit elections into a financial institution; 
(3) eligibility and premiums for health insurance and group life 
insurance; (4) withholding of income taxes; (5) under- or over-payments 
to recipients of a benefit payment, and for overpayments, the 
recipient's ability to repay the overpayment; (6) Federal payment made 
from the General Fund to the District of Columbia Pension Fund and the 
District of Columbia Judicial Retirement and Survivors Annuity Fund; 
(7) impact to the Funds due to proposed Federal and/or District 
legislative changes; and (8) District or Federal liability for benefit 
payments to former District police officers, firefighters, and 
teachers, including survivors and dependents, who are receiving a 
Federal and/or District benefit.

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:
    1. To disclose pertinent information to the appropriate Federal, 
State, or local agency responsible for investigating, prosecuting, 
enforcing, or implementing a statute, rule, regulation, or order, where 
the Department becomes aware of an indication of a violation or 
potential violation of civil or criminal law or regulation.
    2. To disclose information to a Federal agency, in response to its 
request in connection with the hiring or retention of an employee, the 
issuance of a security clearance, the conducting of a suitability or 
security investigation of an individual, the classifying of jobs, the 
letting of a contract, or the issuance of a license, grant, or other 
benefit by the requesting agency, to the extent that the information is 
relevant and necessary to the requesting agency's decision on the 
matter.
    3. To provide information to a congressional office from the record 
of an individual in response to an inquiry from that congressional 
office made at the request of that individual.
    4. To disclose information to another Federal agency, to a court, 
or a party in litigation before a court or in an administrative 
proceeding being conducted by a Federal agency, when the Federal 
Government is a party to the judicial or administrative proceeding. In 
those cases where the Federal Government is not a party to the 
proceeding, records may be disclosed if a subpoena has been signed by a 
judge.
    5. To disclose information to the National Archives and Records 
Administration for use in records management inspections and its role 
as an Archivist.
    6. To disclose information to the Department of Justice, or in a 
proceeding before a court, adjudicative body, or other administrative 
body before which the Department is authorized to appear, when:
    (A) The Department or any component thereof;
    (B) Any employee of the Department in his or her official capacity;
    (C) Any employee of the Department in his or her individual 
capacity where the Department of Justice or the Department has agreed 
to represent the employee;
    (D) The United States, when the Department determines that 
litigation is likely to affect the Department or any of its components; 
or
    (E) The Federal funds established by the Act to pay benefit 
payments is a party to litigation or has an interest in such 
litigation, and the use of such records by the Department of Justice or 
the Department is deemed by the Department of Justice or the Department 
to be relevant and necessary to the litigation provided that the 
disclosure is compatible with the purpose for which records were 
collected.
    7. To disclose information to contractors, subcontractors, 
financial agents, grantees, auditors, actuaries, or volunteers 
performing or working on a contract, service, grant, cooperative 
agreement, or job for the Department, including the District.
    8. To disclose information needed to adjudicate a claim for benefit 
payments or information needed to conduct an analytical study of 
benefits being paid under such programs as: Social Security 
Administration's Old Age, Survivor, and Disability Insurance and 
Medical Programs; military retired pay programs; and Federal civilian 
employee retirement programs (Civil Service Retirement System, Federal 
Employees Retirement System, and other Federal retirement systems).
    9. To disclose to the U.S. Office of Personnel Management (OPM) and 
to the District, information necessary to verify the election, 
declination, or waiver of regular and/or optional life insurance 
coverage, or coordinate with contract carriers the benefit provisions 
of such coverage.
    10. To disclose to health insurance carriers contracting with OPM 
to provide a health benefits plan under the Federal Employees Health 
Benefits Program or health insurance carriers contracting with the 
District to provide a health benefits plan under the health benefits 
program for District employees, Social Security numbers and other 
information necessary to identify enrollment in a plan, to verify 
eligibility for payment of a claim for health benefits, or to carry out 
the coordination for benefits provisions of such contracts.
    11. To disclose to any person possibly entitled to a benefit 
payment in accordance with the applicable order of precedence or to an 
executor of a deceased person's estate, information that is contained 
in the record of a deceased current or former police officer, 
firefighter, teacher, or judge to assist in properly determining the 
eligibility and amount of a benefit payment to a surviving recipient, 
or information that results from such determination.
    12. To disclose to any person who is legally responsible for the 
care of an individual to whom a record pertains, or who otherwise has 
an existing, facially-valid Power of Attorney, including care of an 
individual who is mentally incompetent or under other legal disability, 
information necessary to assure application or payment of benefits to 
which the individual may be entitled.
    13. To disclose to the Parent Locator Service of the Department of 
Health and Human Services, upon its request, the present address of an 
individual covered by the system needed for enforcing child support 
obligations of such individual.
    14. In connection with an examination ordered by the District or 
the Department under:
    (A) Medical examination procedures; or
    (B) Involuntary disability retirement procedures to disclose to the 
representative of an employee, notices,

[[Page 29535]]

decisions, other written communications, or any other pertinent medical 
evidence other than medical evidence about which a prudent physician 
would hesitate to inform the individual; such medical evidence will be 
disclosed only to a licensed physician, designated in writing for that 
purpose by the individual or his or her representative. The physician 
must be capable of explaining the contents of the medical record(s) to 
the individual and be willing to provide the entire record(s) to the 
individual.
    15. To disclose information to any source from which the Department 
seeks additional information that is relevant to a determination of an 
individual's eligibility for, or entitlement to, coverage under the 
applicable retirement, life insurance, and health benefits program, to 
the extent necessary to obtain the information requested.
    16. To disclose information to the Office of Management and Budget 
at any stage of the legislative coordination and clearance process in 
connection with private relief legislation as set forth in OMB Circular 
No. A-19.
    17. To disclose to an agency responsible for the collection of 
income taxes the information required by an agreement authorized by law 
to implement voluntary income tax withholdings from benefit payments.
    18. To disclose to the Social Security Administration the names and 
Social Security numbers of individuals covered by the system when 
necessary to determine: (1) Their vital status as shown in the Social 
Security Master Records; and (2) whether retirees receiving benefit 
payments under the District's retirement plan for police officers and 
firefighters with post-1956 military service credit are eligible for or 
are receiving old age or survivors benefits under section 202 of the 
Social Security Act based upon their wages and self-employment income.
    19. To disclose to Federal, State, and local government agencies 
information to help eliminate fraud and abuse in a benefits program 
administered by a requesting Federal, State, or local government 
agency; to ensure compliance with Federal, State, and local government 
tax obligations by persons receiving benefits payments; and/or to 
collect debts and overpayments owed to the requesting Federal, State, 
or local government agency.
    20. To disclose to a Federal agency, or a person or an organization 
under contract with a Federal agency to render collection services for 
a Federal agency as permitted by law, in response to a written request 
from the head of the agency or his designee, or from the debt 
collection contractor, data concerning an individual owing a debt to 
the Federal Government.
    21. To disclose, as permitted by law, information to a State court 
or administrative agency in connection with a garnishment, attachment, 
or similar proceeding to enforce alimony or a child support obligation.
    22. To disclose information necessary to locate individuals who are 
owed money or property by a Federal, State or local government agency, 
or by a financial institution or similar institution, to the government 
agency owing or otherwise responsible for the money or property (or its 
agent).
    23. To disclose information necessary in connection with the review 
of a disputed claim for health benefits to a health plan provider 
participating in the Federal Employees Health Benefits Program or the 
health benefits program for employees of the District, and to a program 
enrollee or covered family member or an enrollee or covered family 
member's authorized representative.
    24. To disclose information to another Federal agency for the 
purpose of effecting administrative or salary offset against a person 
employed by that agency, or who is receiving or eligible to receive 
benefit payments from the agency when the Department as a creditor has 
a claim against that person relating to benefit payments.
    25. To disclose information concerning delinquent debts relating to 
benefit payments to other Federal agencies for the purpose of barring 
delinquent debtors from obtaining Federal loans or loan insurance 
guarantees pursuant to 31 U.S.C. 3720B.
    26. To disclose to State and local governments information used for 
collecting delinquent debts relating to benefit payments.
    27. To appropriate agencies, entities, and persons when (a) the 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (b) the Department has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the Department or another agency or entity) that rely 
upon the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.
    28. To disclose to a former spouse information necessary to explain 
how his/her former spouse's benefit was computed.
    29. To disclose to a surviving spouse, surviving child, dependent 
parent, and/or legal guardian information necessary to explain how his/
her survivor benefit was computed.
    30. To disclose to a spouse or dependent child (or court-appointed 
guardian thereof) of an individual covered by the system, upon request, 
whether the individual a) changed his/her election from a self-and-
family to a self-only health and/or life insurance benefit enrollment, 
b) changed his/her additional survivor benefit election, and/or c) 
received a lump-sum refund of his/her retirement contributions.

Disclosures to consumer reporting agencies:
    Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this 
system to consumer reporting agencies in accordance with 31 U.S.C. 
3711(e).

Policies and practices for storing, retrieving, safeguarding, retaining 
and disposing of records in the system: Storage:
    These records are maintained in hard copy and in an electronic 
format, including (but not limited to) on magnetic tapes, disks, 
microfiche.

Retrievability:
    These records are retrieved by various combinations of name; date-
of-birth; Social Security number; and/or an automatically assigned, 
system generated number of the individual to whom they pertain.

Safeguards:
    Paper records are kept in lockable metal file cabinets or in a 
secured facility with access limited to those persons whose official 
duties require access. Data in electronic format is encrypted or 
password protected. Personnel screening and training are employed to 
prevent unauthorized disclosure.

Retention and disposal:
    Records on a claim for retirement, including salary and service 
history, survivor annuity elections, and tax and other withholdings are 
destroyed after 115 years from the date of the former police officer's, 
firefighter's, teacher's or judge's birth; or 30 years after the date 
of his/her death, if no application for benefits is received. If a 
survivor or former spouse receives a benefit payment, such record is 
destroyed after

[[Page 29536]]

his/her death. All other records covered by this system may be 
destroyed in accordance with approved District and Department 
guidelines. Paper records are destroyed by shredding or burning. 
Records in electronic media are electronically erased using accepted 
techniques.

System manager(s) and address:
    Director, Office of D.C. Pensions, U.S. Department of the Treasury, 
Washington, DC 20220.

Notification procedure:
    Individuals seeking notification and access to any record contained 
in the system of records, or seeking to contest its contents, should 
contact the system manager. Individuals must furnish the following 
information for their records to be located and identified:
    a. Name, including all former names.
    b. Date of birth.
    c. Social Security number.
    d. Signature.
    e. Contact information.
    Individuals requesting amendment of their records must also follow 
the Department's Privacy Act regulations regarding verification of 
identity and amendment of records (31 CFR part 1 subpart C, appendix 
A).

Record access procedure:
    See ``Notification procedure,'' above.

Contesting record procedure:
    See ``Notification procedure,'' above.

Record source categories:
    The information in this system is obtained from:
    a. The individual to whom the information pertains.
    b. District pay, leave, and allowance records.
    c. Health benefits and life insurance plan systems records 
maintained by the Office of Personnel Management, the District, and 
health and life insurance carriers.
    d. Federal civilian retirement systems.
    e. Military retired pay system records.
    f. Social Security Old Age, Survivor, and Disability Insurance and 
Medicare Programs.
    g. Official personnel folders.
    h. The individual's co-workers and supervisors.
    i. Physicians who have examined or treated the individual.
    j. Surviving spouse, child(ren), former spouse(s), and/or dependent 
parent of the individual to whom the information pertains.
    k. State courts or support enforcement agencies.
    l. Credit bureaus and financial institutions.
    m. Government Offices of the District of Columbia, including the 
D.C. Retirement Board.
    n. The General Services Administration National Payroll Center.
    o. Educational institutions.

 Exemptions claimed for the system:
    None.

[FR Doc. E9-14579 Filed 6-19-09; 8:45 am]
BILLING CODE 4810-94-P