[Federal Register Volume 79, Number 187 (Friday, September 26, 2014)]
[Notices]
[Pages 58042-58045]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-23009]


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DEPARTMENT OF THE TREASURY


Departmental Offices; Privacy Act of 1974, as Amended; System of 
Records Notice

AGENCY: Departmental Offices, Treasury.

ACTION: Notice of system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5 
U.S.C. 552a, the Department of the Treasury gives notice that it 
proposes to add a new system of records to its inventory, ``Treasury/
DO. 411--Intelligence Enterprise Files,'' to be maintained by the 
Office of Intelligence and Analysis.

DATES: Comments must be received no later than October 27, 2014. This 
new system of records will be effective October 31, 2014 unless the 
Department receives comments that would result in a contrary 
determination.

ADDRESSES: Written comments should be sent to the Director of 
Intelligence Information Systems, Office of Intelligence and Analysis, 
Department of the Treasury, 1500 Pennsylvania Ave. NW., Washington, DC 
20220. The Department will make such comments available for public 
inspection and copying in the Department's Library, Room 1020, Annex 
Building, 1500 Pennsylvania Ave. NW., Washington, DC 20220, on official 
business days between the hours of 10:00 a.m. and 5:00 p.m. Eastern 
Standard Time. You must make an appointment to inspect comments by 
telephoning (202) 622-0990. All comments received, including 
attachments and other supporting materials, 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: Director of Intelligence Information 
Systems, Office of Intelligence and Analysis, Department of the 
Treasury, at (202) 622-1826, facsimile (202) 622-1829, or email 
[email protected].

SUPPLEMENTARY INFORMATION: The Treasury Department's mission is to 
maintain a strong economy and create economic and job opportunities by 
promoting the conditions that enable economic growth and stability at 
home and abroad; strengthen national security by combating threats and 
protecting the integrity of the financial system; and manage the United 
States Government's finances and resources effectively. Through 
Executive Order 12333, the Department is specifically tasked with the 
collection (overtly or through publicly available sources) of foreign 
financial information and, in consultation with the Department of 
State, foreign economic information.
    In 2004 and 2005, Congress ratified a realignment of the Treasury 
Department's intelligence function with the statutory creation of the 
Office of Intelligence and Analysis (OIA) within the Office of 
Terrorism and Financial Intelligence. In ratifying this realignment, 
Congress recognized the need for intelligence support and expertise in 
the Department's national security roles. OIA, headed by the Assistant 
Secretary for Intelligence and Analysis, became the successor to the 
Special Assistant to the Secretary (National Security) and the Office 
of Intelligence Support (OIS) within the Department. Pursuant to the 
National Security Act of 1947, as amended and Executive Order 12333, as 
amended, OIA is an element of the national Intelligence Community. OIA 
has statutory responsibility for the receipt, analysis, collation, and 
dissemination of intelligence and counterintelligence information 
related to the operations and responsibilities of the entire 
Department, including all components and bureaus. OIA's functions under 
31 U.S.C. 311 and 312 include: carrying out its responsibilities while 
building a robust analytical capability on terrorist financing; 
coordinating and overseeing the work of intelligence analysts in all 
Treasury Department components; focusing intelligence efforts on the 
highest priorities of the Department; ensuring that the intelligence 
needs of the Office of Foreign Assets Control (OFAC) and the Financial 
Crimes Enforcement Network (FinCEN) are met; providing intelligence 
support to senior Department officials on a wide range of international 
economic and other relevant issues; carrying out the intelligence 
support functions previously assigned to OIS; serving in a liaison 
capacity with the intelligence community; and representing the 
Department in a variety of intelligence-related activities.
    This system of records supports OIA in performing its roles of 
collecting (overtly and through publicly-available sources), collating, 
analyzing, producing, and disseminating national security information. 
It encompasses diverse national security information related to OIA's 
mission, including that presently located throughout the Departmental 
Offices Local Area Network, Treasury Secure Data Network, and the 
Treasury Financial Intelligence Network. The system may include records 
from other systems of records, such as those of FinCEN and OFAC, 
obtained in the course of OIA's duties. In maintaining its records, OIA 
is obligated to comply with generally-applicable laws such as the 
Privacy Act of 1974, 5 U.S.C. 552a, and the Internal Revenue Code, as 
well as with those obligations required of an Intelligence Community 
element pursuant to Executive Order 12333, as amended. Any information 
from a system of records for which an exemption is claimed under 5 
U.S.C. 552a(j) or (k), and which may also be included in this system of 
records, retains the same exempt status such information has in the 
system for which such exemption is claimed.
    Notwithstanding provisions of the Privacy Act, as a member of the 
Intelligence Community OIA also conducts its mission in conformance 
with the requirements of Executive Order 12333, as amended, including 
its requirements governing the collection, retention, and dissemination 
of information concerning U.S. persons in a manner that protects the 
privacy and constitutional rights of such persons. Accordingly, OIA may 
acquire information that identifies a particular U.S. person, retain it 
within or disseminate it from the system of records, as appropriate, 
only when it is determined that the U.S. person information is 
necessary for the conduct of OIA's mission, responsibilities, and 
functions and otherwise falls into one of a limited number of 
authorized categories.
    In a notice of proposed rulemaking, which is published separately 
in the Federal Register, the Department is proposing to exempt records 
maintained in this system from certain Privacy Act requirements 
pursuant to 5 U.S.C. 552a(k).
    As required by 5 U.S.C. 552a(r) of the Privacy Act, a report on 
this new system of records has been provided to the United States House 
of Representatives Committee on Oversight and Government Reform, the 
United States House of Representatives Permanent Select Committee on 
Intelligence, the United States Senate Committee on Homeland Security 
and Governmental Affairs, the United States Senate Select Committee on 
Intelligence, and the Office of Management and Budget.

[[Page 58043]]

    The proposed new system of records, entitled ``Treasury/DO. 411--
Intelligence Enterprise Files,'' is published in its entirety below.

    Dated: September 11, 2014.
Helen Goff Foster,
Deputy Assistant Secretary for Privacy, Transparency, and Records.
Treasury/DO. 411

System name:
    Intelligence Enterprise Files.

System location:
    The Office of Intelligence and Analysis (OIA), Department of the 
Treasury, Washington, DC. The system may be accessed by Departmental 
personnel in other components of the Treasury Department with the 
permission of OIA, provided that such personnel are determined by OIA 
to have the requisite security clearance and the need to know 
information maintained in the system.

Categories of individuals covered by the system:
    (1) Individuals related to:
    A. The capabilities, intentions, or activities of foreign 
governments or elements thereof, foreign organizations, foreign 
persons, international terrorists, international narcotics traffickers, 
members of transnational criminal organizations, proliferators of 
weapons of mass destruction, and their associates, supporters, and 
facilitators;
    B. Foreign financial and economic activities pertaining to national 
security;
    C. Activities constituting a threat to the national security, 
foreign policy, or the economy of the United States, or that are 
preparatory to, facilitate, or support such activities, including:
    i. Financial crimes, including money laundering, unlicensed money 
transmission, evading reporting requirements, access device fraud, 
financial institution fraud, and activities affecting the safety or 
soundness of financial institutions, in accordance with Title 18 and 
Title 31 of the United States Code;
    ii. Suspicious financial transactions and other data required to be 
reported by the Bank Secrecy Act, 31 U.S.C. 5311 et seq., because they 
have a high degree of usefulness in the conduct of intelligence or 
counterintelligence activities or for other national security purposes;
    iii. Transactions related to individuals subject to or under 
consideration for the imposition of economic sanctions;
    iv. Activities that could reasonably be expected to assist in the 
development of a weapon of mass destruction, including attempts to 
import, procure, possess, store, develop, or transport nuclear or 
radiological material;
    v. Activities against or threats to the United States or U.S. 
persons and interests by foreign or international terrorist groups or 
individuals involved in terrorism;
    vi. Activities to identify, create, exploit, or undermine 
vulnerabilities of the Treasury Department's information systems and 
national security systems infrastructure;
    vii. Activities, not wholly conducted within the United States, 
which violate or may violate the laws that prohibit the production, 
transfer, or sale of narcotics or substances controlled in accordance 
with Title 21 of the United States Code, or those associated activities 
otherwise prohibited by Titles 21 and 46 of the United States Code;
    viii. Activities, not wholly conducted within the United States, 
which otherwise violate or may violate United States or foreign 
criminal laws;
    ix. Activities, not wholly conducted within the United States, that 
constitute genocide, mass atrocities, or other grave breaches of human 
rights;
    x. Activities that impact or concern the security, safety, and 
integrity of our international borders, such as those that may 
constitute violations of the immigration or customs laws of the United 
States;
    D. Espionage, the improper release of sensitive or classified 
information, sabotage, assassination, or other intelligence activities 
conducted by or on behalf of foreign powers, organizations, persons, or 
their agents, or international terrorist organizations, international 
narcotics traffickers, members of transnational criminal organizations, 
proliferators of weapons of mass destruction, and their associates, 
supporters, and facilitators;
    E. Activities where the health or safety of an individual may be 
threatened;
    F. Information necessary for the provision of intelligence support 
to the Treasury Department.
    (2) Individuals who voluntarily request assistance or information, 
through any means, from OIA, and individuals who consent to providing 
information, which may relate to a threat or otherwise affect the 
national security of the United States.
    (3) Individuals who are or have been associated with Treasury 
Department or OIA activities or with the administration of the 
Department of the Treasury, including information about individuals 
that is otherwise required to be maintained by law.

Categories of records in the system:
    (1) Records containing classified and unclassified intelligence 
information, counterintelligence information, counterterrorism 
information, and information, including records pertaining to law 
enforcement that are related to national security. This includes source 
records and other forms of ``raw'' intelligence as well as the analysis 
of this information, obtained from all entities of the Federal 
government, including the Intelligence Community; foreign governments, 
persons, or other entities including international organizations; and 
state, local, tribal, and territorial government agencies.
    (2) Records containing information pertaining to OIA's 
responsibilities overtly collected from record subjects, individual 
members of the public, and private sector entities.
    (3) Records containing information reported pursuant to and 
maintained consistent with the Bank Secrecy Act.
    (4) Records containing information pertaining to the imposition and 
enforcement of economic sanctions, including reports pursuant to 
chapter V of Title 31, Code of Federal Regulations, and information 
provided through license applications, requests to have funds 
unblocked, and requests for reconsideration of a designation.
    (5) Records containing information obtained from Intelligence 
Community elements or other entities about individuals who are or may 
be engaged in activities related to terrorism, transnational narcotics 
trafficking, transnational criminal organizations, the proliferation of 
weapons of mass destruction, or other threats to the national security, 
economy, or foreign policy of the United States.
    (6) Records containing law enforcement or other information 
received from other government agencies pertaining to potential threats 
to the national security, the economy, or foreign policy of the United 
States.
    (7) Records containing operational and administrative records, 
including correspondence records.
    (8) Records containing information related to or obtained to ensure 
the security of the Treasury Department, including through authorized 
physical, personnel, information systems security, and insider threat 
investigations, inquiries, analysis, and reporting.
    (9) Records contain publicly available information, related to 
lawful OIA activities, about individuals as derived from media, 
including periodicals, newspapers, broadcast transcripts, and other 
public reports and computer

[[Page 58044]]

databases, including those available by subscription to the public.
    (10) Records about individuals who voluntarily provide any 
information contained within the system.

Authority for maintenance of the system:
    5 U.S.C. 301; 31 U.S.C. 311-312; Executive Orders 12333, 12968, 
13388, and 13526, as amended.

Purpose(s):
    The records in this system will be used to fulfill OIA's statutory 
and Executive Order mandates to collect (overtly or through publicly-
available sources), receive, analyze, collate, produce, and disseminate 
information, intelligence, and counterintelligence related to the 
operations and responsibilities of the entire Department, including all 
components and bureaus. The system will allow OIA to carry out its 
functions of discharging its responsibilities while building a robust 
analytical capability on terrorist financing; coordinating and 
overseeing the work of intelligence analysts in Treasury Department 
components; focusing intelligence efforts on the highest priorities of 
the Department; ensuring that the intelligence needs of OFAC and FinCEN 
are met; and providing intelligence support to senior Department 
officials on a wide range of international economic and other relevant 
issues.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records may be used to disclose pertinent information to:
    (1) Any United States, foreign, or multinational government or 
agency, or private sector individual or organization, with 
responsibilities relating to the national security, economy, or foreign 
policy of the United States, including responsibilities related to the 
implementation of or compliance with applicable authorities, to 
analyze, counter, deter, or prevent threats related to foreign 
intelligence or counterintelligence activities, terrorism, 
international narcotics traffickers, transnational criminal 
organizations, or proliferators of weapons of mass destruction;
    (2) Any United States, foreign, or multinational government or 
agency with the responsibility and authority for investigating, 
prosecuting, or otherwise enforcing a civil or criminal law, 
regulation, rule, order, or contract, where the information on its face 
or when combined with other information indicates a potential violation 
of any such law, regulation, rule, order, or contract enforced by that 
government or agency;
    (3) Any Federal banking agency when OIA believes that the 
information raises significant concerns regarding the safety or 
soundness of any depository institution doing business in the United 
States;
    (4) Any United States agency, including Federal banking agencies, 
where the information is relevant to such agency's supervisory 
responsibilities;
    (5) Any United States, foreign, or multinational government or 
agency, or other entity, including private sector individuals and 
organizations, where disclosure is in furtherance of the Treasury 
Department's or OIA's information-sharing responsibilities under the 
National Security Act of 1947, as amended, the Intelligence Reform and 
Terrorism Prevention Act of 2004, as amended, Executive Order 12333, as 
amended, or any successor order, statute, national security directive, 
intelligence community directive, or other directive, or any classified 
or unclassified implementing procedures promulgated pursuant to such 
orders and directives;
    (6) Any U.S. agency lawfully engaged in the collection of 
intelligence (including national intelligence, foreign intelligence, 
and counterintelligence), counterterrorism, national security, law 
enforcement or law enforcement intelligence, or other information, 
where disclosure is undertaken for intelligence, counterterrorism, 
national security, insider threat, or related law enforcement purposes, 
as authorized by United States law or Executive orders;
    (7) Any other element of the Intelligence Community, as defined by 
Executive Order 12333, as amended, or any successor order, for the 
purpose of allowing that agency to determine whether the information is 
relevant to its responsibilities and can be retained by it;
    (8) Any United States, foreign, or multinational government or 
agency, or private sector individual or organization, with 
responsibility for imposing and enforcing economic sanctions or for 
complying with or implementing economic sanctions, for the purpose of 
carrying out such responsibility;
    (9) Any United States agency with responsibility for activities 
related to counterintelligence or the detection of insider threats, for 
the purpose of conducting such activities;
    (10) Any United States, foreign, or multinational government or 
agency, if the information is relevant to the requesting entity's 
decision or to a Treasury Department decision concerning the hiring or 
retention of an individual, or issuance of a security clearance, 
license, contract, grant, or other benefit;
    (11) Any foreign persons or foreign government agencies, 
international organizations, and multinational agencies or entities, 
including private entities, under circumstances or for purposes 
mandated by, imposed by, or conferred in, Federal statute, treaty, or 
other international agreement or arrangement in accordance with OIA's 
authorities;
    (12) Any individual, organization, or entity, as appropriate, for 
the purpose of guarding it against or responding to an actual or 
potential serious threat, to the extent the information is relevant to 
the protection of life, health, or property;
    (13) Representatives of the Department of Justice or other United 
States entities, to the extent necessary to obtain their advice on any 
matter that is within their official responsibilities to provide;
    (14) Any Federal agency, 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 pursuant to 
a subpoena by a court, agency, or other entity of competent 
jurisdiction where arguably relevant to a proceeding or in connection 
with a criminal proceeding;
    (15) The Department of Justice (DOJ) for the purpose of receiving 
legal advice and representation;
    (16) Contractors, grantees, experts, consultants, interns, 
volunteers and others (including agents of the foregoing) performing or 
working on a contract, service, grant, cooperative agreement, or other 
assignment for the Treasury Department, when necessary to accomplish 
such function;
    (17) Individual members or staff of the United States Senate Select 
Committee on Intelligence, the United States Senate Committee on 
Banking, Housing, and Urban Affairs, the United States House Permanent 
Select Committee on Intelligence, and the United States House Committee 
on Financial Services in connection with the exercise of their 
oversight and legislative functions;
    (18) The National Archives and Records Administration (NARA), for 
the purpose of records management;
    (19) Any agency, organization, or individual for the purposes of 
performing audit or oversight of the Treasury Department or OIA, as

[[Page 58045]]

authorized by law and as necessary and relevant to such audit or 
oversight function;
    (20) The President's Foreign Intelligence Advisory Board, the 
Intelligence Oversight Board, any successor organizations, and any 
intelligence or national security oversight entities established by the 
President, when the Assistant Secretary for Intelligence and Analysis 
determines that disclosure will assist these entities in the 
performance of their oversight functions;
    (21) Agencies, entities, and persons when: (1) The Treasury 
Department suspects or has confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (2) 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 (3) 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.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records in this system are stored electronically or on paper in 
secure facilities. The records are stored in file folders or on 
magnetic discs, tapes, or electronic media.

Retrievability:
    Data may be retrieved by an individual's name or other identifier, 
such as Social Security number, phone number, or case number.

Safeguards:
    Records in electronic and physical form in this system are 
maintained in secure facilities protected by appropriate physical and 
technological safeguards with access limited by password or access code 
only to authorized personnel. Records in this system are safeguarded in 
accordance with applicable laws, rules, and policies, including 
Intelligence Community standards, Treasury Department information 
technology security policies, and the Federal Information Security 
Management Act. Classified information is stored appropriately in a 
secured, certified, and accredited facility, in secured databases and 
containers, and in accordance with other applicable requirements, 
including those pertaining to classified information. The system 
incorporates logging functions that facilitate the auditing of 
individual use and access.

Retention and disposal:
    Records will be retained and disposed of in accordance with a 
records retention and disposal schedule to be submitted to and approved 
by NARA.

System manager(s) and address:
    Director of Intelligence Information Systems, Office of 
Intelligence and Analysis, Department of the Treasury, 1500 
Pennsylvania Ave. NW., Washington, DC 20220.

Notification procedure:
    This system of records contains classified and controlled 
unclassified information related to intelligence, counterintelligence, 
national security, and law enforcement programs. As a result, records 
in this system have been exempted from notification, access, and 
amendment to the extent permitted by the Privacy Act, 5 U.S.C. 552a(k).
    In accordance with 31 CFR Part 1, subpart C, Appendix A, 
individuals wishing to be notified if they are named in non-exempt 
records in this system of records, to gain access to such records 
maintained in this system, or seek to contest the content of such 
records, must submit a written request containing the following 
elements: (1) Identify the record system; (2) identify the category and 
type of records sought; and (3) provide at least two items of secondary 
identification. Address inquiries to: Privacy Act Request, DO, 
Director, Disclosure Services, Department of the Treasury, 1500 
Pennsylvania Ave. NW., Washington, DC 20220.

Record access procedures:
    See ``NOTIFICATION PROCEDURES'' above.

Contesting record procedures:
    See ``NOTIFICATION PROCEDURES'' above.

Record source categories:
    Information contained in this system is obtained from individuals; 
other government, non-government, commercial, public, and private 
agencies and organizations, both domestic and foreign; media, including 
periodicals, newspapers, broadcast transcripts, and publicly-available 
databases; intelligence source documents; investigative reports; and 
correspondence.

Exemptions claimed for the system:
    Records in this system related to classified and controlled 
unclassified information related to intelligence, counterintelligence, 
national security, and law enforcement programs are exempt from 5 
U.S.C. 552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G), 
(e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 5 U.S.C. 
552a(k)(1). See 31 CFR 1.36.
[FR Doc. 2014-23009 Filed 9-25-14; 8:45 am]
BILLING CODE 4810-25-P