[Federal Register Volume 75, Number 3 (Wednesday, January 6, 2010)]
[Rules and Regulations]
[Pages 743-745]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-31150]


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DEPARTMENT OF THE TREASURY

Office of the Secretary

31 CFR Part 1


Freedom of Information Act, Privacy Act of 1974; Implementation

AGENCY: Department of the Treasury.

ACTION: Final rule.

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SUMMARY: This document amends the Department of the Treasury's 
regulations on the disclosure of records under the Freedom of 
Information Act (FOIA) and its regulations concerning the Privacy Act 
of 1974 (Privacy Act). It also amends the appendices to these subparts 
setting forth the administrative procedures by which the Special 
Inspector General for the Troubled Asset Relief Program (``SIGTARP'') 
will process requests for records made under the FOIA, and setting 
forth the administrative procedures by which SIGTARP will implement the 
Privacy Act. In addition, the document revises the list of Treasury 
offices and bureaus found in this part.

DATES: Effective Date: January 6, 2010.

FOR FURTHER INFORMATION CONTACT: Dale Underwood, Privacy Act Officer, 
Department of the Treasury, phone number 202-622-0874 or 
[email protected].

SUPPLEMENTARY INFORMATION: These regulations update the list of 
Treasury bureaus and offices enumerated in 31 CFR 1.1 and 1.20, and 
more closely reflect the organization of the Department as set out in 
Treasury Order 101-05, ``Reporting Relationships and Supervision of 
Officials, Offices and Bureaus, Delegation of Certain Authority, and 
Order of Succession in the Department of the Treasury'' dated February 
19, 2008.
    Language is being added to the first paragraph of Section 1.1 to 
permit offices and bureaus to issue supplementary regulations 
applicable only to the component in question, which are consistent with 
the regulations. This will conform 31 CFR Section 1.1 with the language 
found in 31 CFR Section 1.20. Another change is to consistently use the 
term ``component'' in Section 1.1 and 1.20 rather than using the term 
``offices and bureaus'' in one and ``components'' in the other.
    The document also amends 31 CFR part 1 and the FOIA and Privacy Act 
procedures of Treasury's Departmental Offices found in the appendices 
to subparts A and C of this Part. It reflects the creation of the 
Special Inspector General for the Troubled Asset Relief Program 
(SIGTARP) authorized under Section 121 of The Emergency Economic 
Stabilization Act of 2008 (``Act''), Public Law 110-343. As an 
independent office of the Department of Treasury, SIGTARP is 
responsible for coordinating and conducting audits and investigations 
of the Troubled Asset Relief Program established by the Secretary under 
the Act.
    The passage of the Homeland Security Act of 2002 established the 
Alcohol and Tobacco Tax and Trade Bureau (TTB) as a bureau of the 
Department of the Treasury and transferred certain functions of the 
Bureau of Alcohol, Tobacco, and Firearms to the Department of Justice. 
Three other bureaus, the United States Customs Service, Federal Law 
Enforcement Training Center, and the United States Secret Service, were 
transferred to the Department of Homeland Security. This final rule 
makes the necessary housekeeping changes to reflect the transfer of 
these bureaus and functions to other Federal Departments and the 
establishment of SIGTARP by revising the list of Treasury bureaus and 
offices and re-designating the respective paragraphs of Sections 1.1 
and 1.20.
    As part of the review undertaken to identify minor changes to the 
regulations in Subpart C it was found that a system of records that had 
been deleted from the Department's inventory of systems of records on 
April 17, 1992, at 57 FR 13900 had not been removed from the list of 
Privacy Act systems of records for which an exemption has been claimed 
pursuant to 5 USC 552a (k)(2). The final regulation makes this 
correction to Section 1.36 of subpart C, Paragraph (g)(1)(v)(iii) by 
removing the system of records entitled ``IRS 42.012-Combined Case 
Control File'' from the table.
    Appendix A to subpart A of Part 1 (FOIA) is being amended to update 
the titles of those officials who have been identified for receipt of 
FOIA requests, administrative appeals, and appellate determinations for 
requests for expedited processing.
    Appendix A to subpart C of Part 1 (Privacy Act) is being amended to 
update the offices or titles of those who receive Privacy Act requests, 
requests for amendment of records or administrative appeal of an 
initial determination not to amend a record. In addition, the 
instructions found in this appendix for delivering requests personally 
to the Main Treasury Building are being deleted because of the 
increased security requirements caused by Treasury's proximity to the 
White House.
    These regulations are being published as a final rule because the 
amendments do not impose any requirements on any member of the public 
and do not alter the procedures relating to the way in which the 
Departmental Offices currently handle FOIA and PA obligations. These 
amendments are the most efficient means for the Treasury Department to 
implement its internal requirements for complying with the FOIA and the 
Privacy Act. Accordingly, pursuant to 5 U.S.C. 553(b)(B) and (d)(3), 
the Department of the Treasury finds good cause that prior notice and 
other public procedure with respect to this rule are impracticable and 
unnecessary and finds good cause for making this rule effective on the 
date of publication in the Federal Register.
    In accordance with Executive Order 12866, it has been determined 
that this final rule is not a ``significant regulatory action'' and, 
therefore, does not require a Regulatory Impact Analysis.
    The regulation will not have a substantial direct effect on the 
States, on the relationship between the national Government and the 
States, or on the distribution of power and responsibilities among the 
various levels of government. Therefore, it is determined that this 
final rule does not have federalism implications under Executive Order 
13132.
    Because no notice of proposed rulemaking is required, the 
provisions of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) do 
not apply.

List of Subjects in 31 CFR Part 1

    Freedom of Information; Privacy.

0
Part 1 of Title 31 of the Code of Federal Regulations is amended as 
follows:

PART 1--[AMENDED]

0
1. The authority citation for part 1 continues to read as follows:

    Authority: 5 U.S.C. 301 and 31 U.S.C. 321. Subpart A also is 
issued under 5 U.S.C. 552, as amended. Subpart C also is issued 
under 5 U.S.C. 552a.

Subpart A--Freedom of Information Act

0
2. In Sec.  1.1 revise paragraph (a) to read as follows:

[[Page 744]]

Sec.  1.1  General.

    (a) Purpose and scope. (1) This subpart contains the regulations of 
the Department of the Treasury implementing the Freedom of Information 
Act (FOIA), 5 U.S.C. 552, as amended by the Electronic Freedom of 
Information Act Amendments of 1996. The regulations set forth 
procedures for requesting access to records maintained by the 
Department of the Treasury. These regulations apply to all components 
of the Department of the Treasury. Any reference in this subpart to the 
Department or its officials, employees, or records shall be deemed to 
refer also to the components or their officials, employees, or records. 
Persons interested in the records of a particular component should also 
consult the appendix to this subpart that pertains to that component. 
In connection with such republication, and at other appropriate times, 
components may issue supplementary regulations applicable only to the 
component in question, which are consistent with these regulations. In 
the event of any actual or apparent inconsistency, these Departmental 
regulations shall govern. Persons interested in the records of a 
particular component should, therefore, also consult the Code of 
Federal Regulations for any rules or regulations promulgated 
specifically with respect to that component (see Appendices to this 
subpart for cross references). The head of each component is hereby 
authorized to substitute the officials designated and change the 
addresses specified in the appendix to this subpart applicable to the 
components. The components of the Department of the Treasury for the 
purposes of this subpart are the following offices and bureaus:
    (i) The Departmental Offices, which include the offices of:
    (A) The Secretary of the Treasury, including immediate staff;
    (B) The Deputy Secretary of the Treasury, including immediate 
staff;
    (C) The Chief of Staff, including immediate staff;
    (D) The Executive Secretary of the Treasury and all offices 
reporting to such official, including immediate staff;
    (E) Under Secretary (International Affairs) and all offices 
reporting to such official, including immediate staff;
    (F) Assistant Secretary (International Economics and Development) 
and all offices reporting to such official, including immediate staff;
    (G) Assistant Secretary (Financial Markets and Investment Policy) 
and all offices reporting to such official, including immediate staff;
    (H) Under Secretary (Domestic Finance) and all offices reporting to 
such official, including immediate staff;
    (I) Fiscal Assistant Secretary and all offices reporting to such 
official, including immediate staff;
    (J) Assistant Secretary (Financial Institutions) and all offices 
reporting to such official, including immediate staff;
    (K) Assistant Secretary (Financial Markets) and all offices 
reporting to such official, including immediate staff;
    (L) Assistant Secretary (Financial Stability) and all offices 
reporting to such official, including immediate staff;
    (M) Under Secretary (Terrorism & Financial Intelligence) and all 
offices reporting to such official, including immediate staff;
    (N) Assistant Secretary (Terrorist Financing) and all offices 
reporting to such official, including immediate staff;
    (O) Assistant Secretary (Intelligence and Analysis) and all offices 
reporting to such official, including immediate staff;
    (P) General Counsel and all offices reporting to such official, 
including immediate staff; except legal counsel to the components 
listed in paragraphs (a)(1)(i)(W), (a)(1)(i)(X), (a)(1)(i)(Y), and 
(a)(1)(ii) through (x) of this section;
    (Q) Treasurer of the United States including immediate staff;
    (R) Assistant Secretary (Legislative Affairs) and all offices 
reporting to such official, including immediate staff;
    (S) Assistant Secretary (Public Affairs) and all offices reporting 
to such official, including immediate staff;
    (T) Assistant Secretary (Economic Policy) and all offices reporting 
to such official, including immediate staff;
    (U) Assistant Secretary (Tax Policy) and all offices reporting to 
such official, including immediate staff;
    (V) Assistant Secretary (Management) and Chief Financial Officer, 
and all offices reporting to such official, including immediate staff;
    (W) The Inspector General, and all offices reporting to such 
official, including immediate staff;
    (X) The Treasury Inspector General for Tax Administration, and all 
offices reporting to such official, including immediate staff;
    (Y) The Special Inspector General for the Troubled Asset Relief 
Program, and all offices reporting to such official, including 
immediate staff;
    (ii) Alcohol and Tobacco Tax and Trade Bureau.
    (iii) Bureau of Public Debt.
    (iv) Financial Management Service.
    (v) Internal Revenue Service.
    (vi) Comptroller of the Currency.
    (vii) Office of Thrift Supervision.
    (viii) Bureau of Engraving and Printing.
    (ix) United States Mint.
    (x) Financial Crimes Enforcement Network.
    (2) For purposes of this subpart, the office of the legal counsel 
for the components listed in paragraphs (a)(1)(i)(W), (a)(1)(i)(X), 
(1)(i)(Y) and (a)(1)(ii) through (x) of this section, are to be 
considered a part of their respective component. Any office which is 
now in existence or may hereafter be established, which is not 
specifically listed or known to be a component of any of those listed 
above, shall be deemed a part of the Departmental Offices for the 
purpose of these regulations.
* * * * *

0
3. Appendix A to Subpart A of Part 1 is amended as follows:
0
a. In the third paragraph, remove the word ``Assistant'' from the 
second sentence.
0
b. In paragraph 4.(i), add the phrase ``Special Inspector General for 
Troubled Assets Relief Program,'' after the words ``Treasury Inspector 
General for Tax Administration,'' and before the words ``Treasurer of 
the United States,''
0
c. In paragraph 4.(ii), by removing ``Deputy Assistant Secretary 
(Administration),'' and add in its place ``Deputy Assistant Secretary 
for Privacy and Treasury Records.''
0
d. In paragraph 4. (iii) remove the word ``Assistant''.

Subpart C--Privacy Act

0
4. In Sec.  1.20, revise the section heading, introductory text, and 
paragraphs (a) through (j) to read as follows:


Sec.  1.20  Purpose and scope of regulation.

    The regulations in this subpart are issued to implement the 
provisions of the Privacy Act of 1974 (5 U.S.C. 552a). The regulations 
apply to all records which are contained in systems of records 
maintained by the Department of the Treasury and which are retrieved by 
an individual's name or personal identifier. They do not relate to 
those personnel records of Government employees, which are under the 
jurisdiction of the Office of Personnel Management to the extent such 
records are subject to regulations issued by such OPM. The regulations 
apply to all components of the Department of the Treasury. Any 
reference in this subpart to the Department or its officials, 
employees, or records shall be deemed to refer also to the components 
or their officials, employees, or records. The regulations set forth 
the requirements applicable to Department of the Treasury employees 
maintaining, collecting, using or disseminating

[[Page 745]]

records pertaining to individuals. They also set forth the procedures 
by which individuals may request notification of whether the Department 
of the Treasury maintains or has disclosed a record pertaining to them 
or may seek access to such records maintained in any nonexempt system 
of records, request correction of such records, appeal any initial 
adverse determination of any request for amendment, or may seek an 
accounting of disclosures of such records. For the convenience of 
interested persons, the components of the Department of the Treasury 
may reprint these regulations in their entirety (less any appendices 
not applicable to the component in question) in those titles of the 
Code of Federal Regulations which normally contain regulations 
applicable to such components. In connection with such republication, 
and at other appropriate times, components may issue supplementary 
regulations applicable only to the component in question, which are 
consistent with these regulations. In the event of any actual or 
apparent inconsistency, these Departmental regulations shall govern. 
Persons interested in the records of a particular component should, 
therefore, also consult the Code of Federal Regulations for any rules 
or regulations promulgated specifically with respect to that component 
(see Appendices to this subpart for cross references). The head of each 
component is hereby also authorized to substitute other appropriate 
officials for those designated and correct addresses specified in the 
appendix to this subpart applicable to the component. The components of 
the Department of the Treasury for the purposes of this subpart are the 
following offices and bureaus:
    (a) The Departmental Offices, which include the offices of:
    (1) The Secretary of the Treasury, including immediate staff;
    (2) The Deputy Secretary of the Treasury, including immediate 
staff;
    (3) The Chief of Staff, including immediate staff;
    (4) The Executive Secretary of the Treasury and all offices 
reporting to such official, including immediate staff;
    (5) Under Secretary (International Affairs) and all offices 
reporting to such official, including immediate staff;
    (6) Assistant Secretary (International Economics and Development) 
and all offices reporting to such official, including immediate staff;
    (7) Assistant Secretary (Financial Markets and Investment Policy) 
and all offices reporting to such official, including immediate staff;
    (8) Under Secretary (Domestic Finance) and all offices reporting to 
such official, including immediate staff;
    (9) Fiscal Assistant Secretary and all offices reporting to such 
official, including immediate staff;
    (10) Assistant Secretary (Financial Institutions) and all offices 
reporting to such official, including immediate staff;
    (11) Assistant Secretary (Financial Markets) and all offices 
reporting to such official, including immediate staff;
    (12) Assistant Secretary (Financial Stability) and all offices 
reporting to such official, including immediate staff;
    (13) Under Secretary (Terrorism & Financial Intelligence) and all 
offices reporting to such official, including immediate staff;
    (14) Assistant Secretary (Terrorist Financing) and all offices 
reporting to such official, including immediate staff;
    (15) Assistant Secretary (Intelligence and Analysis) and all 
offices reporting to such official, including immediate staff;
    (16) General Counsel and all offices reporting to such official, 
including immediate staff; except legal counsel to the components 
listed in paragraphs (a)(23), (a)(24), and (a)(25) and (b) through (j) 
of this section;
    (17) Treasurer of the United States including immediate staff;
    (18) Assistant Secretary (Legislative Affairs) and all offices 
reporting to such official, including immediate staff;
    (19) Assistant Secretary (Public Affairs) and all offices reporting 
to such official, including immediate staff;
    (20) Assistant Secretary (Economic Policy) and all offices 
reporting to such official, including immediate staff;
    (21) Assistant Secretary (Tax Policy) and all offices reporting to 
such official, including immediate staff;
    (22) Assistant Secretary (Management) and Chief Financial Officer, 
and all offices reporting to such official, including immediate staff;
    (23) The Inspector General, and all offices reporting to such 
official, including immediate staff;
    (24) The Treasury Inspector General for Tax Administration, and all 
offices reporting to such official, including immediate staff;
    (25) The Special Inspector General for the Troubled Asset Relief 
Program, and all offices reporting to such official, including 
immediate staff;
    (b) Alcohol and Tobacco Tax and Trade Bureau.
    (c) Bureau of Public Debt.
    (d) Financial Management Service.
    (e) Internal Revenue Service.
    (f) Comptroller of the Currency.
    (g) Office of Thrift Supervision.
    (h) Bureau of Engraving and Printing.
    (i) United States Mint.
    (j) Financial Crimes Enforcement Network. For purposes of this 
subpart, the office of the legal counsel for the components listed in 
paragraphs (a)(23), (a)(24), (a)(25), (b) through (j) of this section 
are to be considered a part of such components. Any office, which is 
now in existence or may hereafter be established, which is not 
specifically listed or known to be a component of any of those listed 
above, shall be deemed a part of the Departmental Offices for the 
purpose of these regulations.
* * * * *


Sec.  1.36  [Amended]

0
5. In Sec.  1.36, paragraph (g)(1)(viii) is amended by removing ``IRS 
42.012-Combined Case Control File'' from the table.

0
6. Appendix A to Subpart C of Part 1 is amended by: Departmental 
Offices:
0
a. In the second paragraph, by adding ``Director, Disclosure Services'' 
after the words ``Privacy Act Request, DO'' and before the words 
``Department of the Treasury,'' and by removing the last sentence.
0
b. In the third paragraph, by adding ``Director, Disclosure Services'' 
after ``DO,'' and before the words ``Department of the Treasury'' in 
the last sentence of the paragraph.
0
c. In the fourth paragraph, by adding ``Special Inspector General for 
Troubled Assets Relief Program,'' after ``General Counsel,'' and before 
the words ``or Assistant Secretary,'' and by adding ``Director, 
Disclosure Services'' after the words ``Privacy Act Amendment 
Request,'' and before the words ``Department of the Treasury,'' and by 
removing the last sentence.

    Dated: December 24, 2009.
Melissa Hartman,
Acting Deputy Assistant Secretary for Privacy and Treasury Records.
[FR Doc. E9-31150 Filed 1-5-10; 8:45 am]
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