[Federal Register Volume 76, Number 195 (Friday, October 7, 2011)]
[Rules and Regulations]
[Pages 62297-62298]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-25922]



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 Rules and Regulations
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  Federal Register / Vol. 76, No. 195 / Friday, October 7, 2011 / Rules 
and Regulations  

[[Page 62297]]



DEPARTMENT OF THE TREASURY

Office of the Secretary

31 CFR Part 1

RIN 3505-AC35


Privacy Act: Implementation

AGENCY: Office of the Secretary, Treasury.

ACTION: Final rule.

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SUMMARY: In this final rule, the Department of the Treasury makes 
technical corrections to an appendix to its regulations regarding 
disclosure of records. These amendments update the name of the former 
Bureau of Alcohol, Tobacco and Firearms to the Alcohol and Tobacco Tax 
and Trade Bureau, and also update the contact information for the 
Alcohol and Tobacco Tax and Trade Bureau and the procedures by which 
individuals may request disclosure of information under the Privacy 
Act. These amendments do not change the Department's interpretation of 
any regulation or the requirements of any recordkeeping provision.

DATES: Effective Date: October 7, 2011.

FOR FURTHER INFORMATION CONTACT: Karen Welch, Regulations and Rulings 
Division, Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street, NW., 
Box 12, Washington, DC 20005; telephone 202-453-1039, ext. 046 or e-
mail [email protected].

SUPPLEMENTARY INFORMATION: The Privacy Act of 1974, 5 U.S.C. 552a, 
pertains to the disclosure of information about individuals that is 
maintained by Federal government agencies. It requires Federal 
government agencies to make available records pertaining to an 
individual upon the request of that individual, and forbids Federal 
government agencies from disclosing records containing information 
about an individual without the individual's consent, subject to 
certain exceptions.
    The regulations pertaining to the disclosure of records by the 
Department of the Treasury and its components are contained in 31 CFR 
part 1. The regulations implementing the Privacy Act are contained in 
31 CFR part 1, subpart C, and 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. Subpart C is accompanied by appendix E, which describes the 
procedures applicable to each component of the Department of the 
Treasury. Individuals requesting records from a Treasury Department 
component under the Privacy Act must comply with the procedures 
detailed in the appropriate appendix.
    Prior to January 24, 2003, the Bureau of Alcohol, Tobacco and 
Firearms was a component of the Department of the Treasury. Effective 
January 24, 2003, the Homeland Security Act of 2002 divided that Bureau 
into two new entities--the Alcohol and Tobacco Tax and Trade Bureau 
(TTB) in the Department of the Treasury, and the Bureau of Alcohol, 
Tobacco, Firearms and Explosives (ATF) in the Department of Justice. 
TTB, the Bureau that remained within the Department of the Treasury, is 
responsible for administering chapters 51 (relating to distilled 
spirits, wine, and beer) and 52 (relating to tobacco products and 
cigarette papers and tubes) of title 26 U.S.C., the Internal Revenue 
Code of 1986, as amended (IRC). TTB also administers sections 4181 and 
4182 (relating to the excise tax on firearms and ammunition) of the IRC 
and title 27 of the U.S.C. (relating to alcohol).
    As a result of the organizational change, information in appendix E 
to 31 CFR part 1, subpart C needs to be updated to reflect TTB's 
information and procedures. TTB's procedures regarding requests for 
disclosures under the Privacy Act should be set forth in appendix E to 
subpart C of 31 CFR part 1.
    Therefore, the Department of the Treasury issues this document to 
amend the information contained in this appendix by: (1) Changing the 
name of the relevant agency from the ``Bureau of Alcohol, Tobacco and 
Firearms'' to the ``Alcohol and Tobacco Tax and Trade Bureau;'' (2) 
changing the listed mailing address to that of TTB; and (3) updating 
the Privacy Act-related procedures to allow individuals to make certain 
requests to TTB by fax as well as by postal mail.
    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. In addition, 
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 has been 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.
    These regulations are being published as a direct final rule 
because the amendments do not impose any new requirements on any member 
of the public and do not substantively alter the procedures relating to 
the way in which the Department of the Treasury or TTB currently 
handles Privacy Act obligations. These amendments are the most 
efficient means for the Department of the Treasury to correct outdated 
information concerning the means by which an individual may request 
disclosures of information from TTB. Accordingly, pursuant to 5 U.S.C. 
553(b)(3)(B) and (d)(3), the Department of the Treasury finds good 
cause that prior notice and other public comment procedures with 
respect to this rule are impracticable and unnecessary and finds good 
cause for making this rule effective upon the date of its publication 
in the Federal Register.

List of Subjects in 31 CFR Part 1

    Privacy.

    Part 1, subpart C 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 issued 
under 5 U.S.C. 552, as

[[Page 62298]]

amended. Subpart C also issued under 5 U.S.C. 552a, as amended.


0
2. Appendix E to Subpart C of part 1 is revised to read as follows:

Appendix E to Subpart C of Part 1--Alcohol and Tobacco Tax and Trade 
Bureau

    1. In general. This appendix applies to the Alcohol and Tobacco 
Tax and Trade Bureau. It sets forth specific notification and access 
procedures with respect to particular systems of records, identifies 
the officers designated to make the initial determinations with 
respect to notification and access to records and accountings of 
disclosures of records. This appendix also sets forth the specific 
procedures for requesting amendment of records and identifies the 
officers designated to make the initial and appellate determinations 
with respect to requests for amendment of records. It identifies the 
officers designated to grant extensions of time on appeal, the 
officers with whom ``Statements of Disagreement'' may be filed, the 
officer designated to receive service of process and the addresses 
for delivery of requests, appeals, and service of process. In 
addition, it references the notice of systems of records and notices 
of the routine uses of the information in the system required by 5 
U.S.C. 552a(3), (4) and (11) and published annually by the Office of 
the Federal Register in ``Privacy Act Issuances''.
    2. Requests for notification and access to records and 
accountings of disclosures. Initial determination under 31 CFR 1.26, 
whether to grant requests for notification and access to records and 
accountings of disclosures for the Alcohol and Tobacco Tax and Trade 
Bureau, will be made by the Director, Regulations and Rulings 
Division, or the delegate of such officer. Requests may be mailed or 
delivered in person to:
    Privacy Act Request, Director, Regulations and Rulings Division, 
Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street, NW., Box 
12, Washington, DC 20005. Requests may also be faxed to 202-453-
2331.
    3. Requests for amendment of record. Initial determinations 
under 31 CFR 1.27 (a) through (d) with respect to requests to amend 
records maintained by the Alcohol and Tobacco Tax and Trade Bureau 
will be made by the Director, Regulations and Rulings Division. 
Requests for amendment of records may be mailed or delivered in 
person to:
    Privacy Act Request, Director, Regulations and Rulings Division, 
Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street NW., Box 12, 
Washington, DC 20005. Requests may also be faxed to 202-453-2331. 
The Bureau will process a faxed request when the request meets the 
identity verification requirements outlined in paragraph 4(a) of 
this Appendix.
    4. Verification of identity. (a) In addition to the requirements 
specified in 31 CFR 1.26(d) of this appendix, each request for 
notification, access or amendment of records made by mail or fax 
shall contain the requesting individual's date and place of birth 
and a statement signed by the requester asserting his or her 
identity and stipulating that the requester understands that 
knowingly or willfully seeking or obtaining access to records about 
another person under false pretenses is a misdemeanor and punishable 
by a fine of up to $5,000 provided, that the Alcohol and Tobacco Tax 
and Trade Bureau may require a signed notarized statement verifying 
the identity of the requester.
    (b) Individuals making requests in person will be required to 
exhibit at least two acceptable identifying documents such as 
employee identification cards, driver's license, medical cards, or 
other documents sufficient to verify the identity of the requester.
    (c) The parent or guardian of a minor or a person judicially 
determined to be incompetent, shall in addition to establishing the 
identity of the minor or other person he represents as required in 
(a) and (b), establish his own parentage or guardianship by 
furnishing a copy of a birth certificate showing parentage (or other 
satisfactory documentation) or a court order establishing the 
guardianship.
    5. Request for physical inspection of records. Upon determining 
that a request for the physical inspection of records is to be 
granted, the requester shall be notified in writing of the 
determination, and when and where the records may be inspected. The 
inspection of records will be made at the Alcohol and Tobacco Tax 
and Trade Bureau Field Office or other facility located nearest to 
the residence of the individual making the request. Such inspection 
shall be conducted during the regular business hours of the field 
office or other facility where the disclosure is made. A person of 
the requester's own choosing may accompany the requester provided 
the requester furnishes a written statement authorizing the 
disclosure of the requester's record in the accompanying person's 
presence. The record inspection will be made in the presence of a 
representative of the Bureau. Following the inspection of the 
record, the individual will acknowledge in writing the fact that he 
or she had an opportunity to inspect the requested record.
    6. Requests for copies of records without prior physical 
inspection. Upon determining that an individual's request for copies 
of his or her records without prior physical inspection is to be 
granted, the requester shall be notified in writing of the 
determination, and the location and time for his or her receipt of 
the requested copies. The copies will be made available at the 
Alcohol and Tobacco Tax and Trade Bureau field office or other 
facility located nearest to the residence of the individual making 
the request, unless the individual requests that the documents be 
sent by mail. Copies shall be received by the requester during the 
regular business hours of the field office or other facility where 
the disclosure is made. Transfer of the copies to the individual 
shall be conditioned upon payment of copying costs and his 
presentation of at least two acceptable identifying documents such 
as employee identification cards, driver's license, medical cards, 
or other documents sufficient to verify the identity of the 
requester. Following the receipt of the copies in person, the 
individual will acknowledge receipt in writing.
    7. Administrative appeal of initial determination refusing to 
amend record. Appellate determinations under 31 CFR 1.27(e) with 
respect to records of the Alcohol and Tobacco Tax and Trade Bureau, 
including extensions of time on appeal, will be made by the 
Administrator or the delegate of such officer. Appeals should be 
addressed to, or delivered in person to:
    Privacy Act Amendment Appeal, Administrator, Alcohol and Tobacco 
Tax and Trade Bureau, 1310 G Street, NW., Box 12, Washington, DC 
20005.
    8. Statements of disagreement. ``Statements of Disagreement'' as 
described in 31 CFR 1.27(e)(4) shall be filed with the official 
signing the notification within 35 days of the date of such 
notification and should be limited to one page.
    9. Service of process. Service of process will be received by 
the Administrator of the Alcohol and Tobacco Tax and Trade Bureau or 
the delegate of such official and shall be delivered to the 
following location:
    Administrator, Alcohol and Tobacco Tax and Trade Bureau, 1310 G 
Street, NW., Box 12, Washington, DC 20005, Attention: Chief Counsel.
    10. Annual notice of systems of records. The annual notice of 
systems of records is published by the Office of the Federal 
Register, as specified in 5 U.S.C. 552a(f). The publication is 
entitled ``Privacy Act Issuances''. Any specific requirements for 
access, including identification requirements, in addition to the 
requirements set forth in 31 CFR 1.26 and 1.27 are indicated in the 
notice for each pertinent system.

    Signed: September 12, 2011.
Veronica Marco,
Acting Deputy Assistant Secretary for Privacy, Transparency, and 
Records.
[FR Doc. 2011-25922 Filed 10-6-11; 8:45 am]
BILLING CODE 4830-01-P