[Federal Register Volume 88, Number 38 (Monday, February 27, 2023)]
[Notices]
[Pages 12439-12441]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-03990]


-----------------------------------------------------------------------

DEPARTMENT OF THE TREASURY


Privacy Act of 1974; System of Records

AGENCY: Department of the Treasury.

ACTION: Notice of modified systems of records.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
the Treasury (``Treasury'' or the ``Department'') proposes to modify a 
system of records notice relating to the Treasury system of records 
titled, ``Department of the Treasury Civil Rights Complaints, 
Compliance Reviews, and Fairness in Federal Programs Files.''

DATES: Submit comments on or before March 29, 2023. The modification 
will be applicable on February 27, 2023, unless Treasury receives 
comments and determines that changes to the system of records notice 
are necessary.

ADDRESSES: Comments may be submitted to the Federal eRulemaking Portal 
electronically at http://www.regulations.gov. Comments can also be sent 
to the Deputy Assistant Secretary for Privacy, Transparency, and 
Records, Department of the Treasury, 1500 Pennsylvania Avenue NW, 
Washington, DC 20220, Attention: Revisions to Privacy Act Systems of 
Records. All comments received, including attachments and other 
supporting documents, are part of the public record and subject to 
public disclosure. All comments received will be posted without change 
to www.regulations.gov, including any personal information provided. 
You should submit only information that you wish to make publicly 
available.

FOR FURTHER INFORMATION CONTACT: For general questions and questions 
regarding privacy issues, please contact: the Deputy Assistant 
Secretary for Privacy, Transparency, and Records (202-622-5710), 
Department of the Treasury, 1500 Pennsylvania Avenue NW, Washington, DC 
20220.

SUPPLEMENTARY INFORMATION: In accordance with the Privacy Act of 1974, 
as amended (5 U.S.C. 552a), the Department of the Treasury (Treasury), 
proposes to modify a system of records notice, 81 FR 78266, relating to 
the Treasury system of records titled, ``Department of the Treasury, 
Civil Rights Complaints, Compliance Reviews, and Fairness in Federal 
Programs Files.''
    Treasury is making changes to this system of records notice to 
delete one system location and system manager (to reflect Treasury 
realignment and consolidation of bureaus); to expand the scope of the 
``Compliance Review Files'' referenced in the original notice (81 FR 
78266) to cover information used to analyze the distribution of program 
resources under various Treasury programs and authorities such as the 
State Small Business Credit Initiative (SSBCI), including for fairness, 
equity, and opportunity; changing the name of the system and other 
changes to describe more specifically that records regarding compliance 
reviews to ensure fairness in Federal programs may include information 
collected or used by various Treasury bureaus or offices to analyze the 
distribution of federal resources, including to promote the allocation 
of Federal resources to advance fairness, equity, and opportunity; and 
to reflect the change in the name of the ``Treasury Office of Civil 
Rights and Diversity'' (OCRD) to the ``Office of Civil Rights and Equal 
Economic Opportunity'' (OCRE).
    The expansion of the scope of Compliance Review Files covered by 
this system could have an impact on privacy. To reduce the impact on 
privacy, Treasury conducted a Privacy and Civil Liberties Impact 
Assessment with respect to its collection of certain sensitive data 
through the SSBCI program, which carefully considered the risks, 
benefits, and controls for collecting this information. Data collected 
through SSBCI reports is described in published SSBCI Capital Program 
Reporting Guidance, which underwent review by the Office of Management 
and Budget, including through the Paperwork Reduction Act process (OMB 
control number 1505-0227). Treasury has also published an Interim Final 
Rule describing the purpose and relevant authorities for the collection 
of certain demographic data. See 87 FR 13633 (Mar. 10, 2022). Treasury 
has provided a report of this system of records 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 OMB, pursuant to 5 U.S.C. 552a(r) and OMB Circular A-108, ``Federal 
Agency Responsibilities for Review, Reporting, and Publication under 
the Privacy Act,'' dated December 23, 2016.

    Dated: 22 February 2023.
Ryan Law,
Deputy Assistant Secretary for Privacy, Transparency, and Records.

SYSTEM NAME AND NUMBER:
    Department of the Treasury, .013, Civil Rights Complaints, 
Compliance Reviews, and Fairness in Federal Programs Files.

SECURITY CLASSIFICATION:
    Unclassified

SYSTEM LOCATION:
    These records are located in the Department of the Treasury's 
(Treasury) Office of Civil Rights and Equal Employment Opportunity 
(OCRE), the Office of the General Counsel, and any other office within 
a Treasury bureau or office where a complaint is filed, an action 
arises, data is collected, or a compliance review or analysis is 
conducted to advance fairness, equity and opportunity in Federal 
programs or to analyze the distribution of Federal resources, including 
to underserved communities.
    The locations at which the system is maintained are:
    (1) a. Departmental Offices (DO): 1500 Pennsylvania Ave. NW, 
Washington, DC 20220.
    b. The Office of Inspector General (OIG): 740 15th Street NW, 
Washington, DC 20220.
    c. Treasury Inspector General for Tax Administration (TIGTA): 1125 
15th Street NW, Suite 700A, Washington, DC 20005.
    d. Special Inspector General for the Troubled Asset Relief Program 
(SIGTARP), 1801 L Street NW, Washington, DC 20220.
    (2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 1310 G St. NW, 
Washington, DC 20220.
    (3) Office of the Comptroller of the Currency (OCC): 400 7th Street 
SW, Washington, DC 20024.
    (4) Bureau of Engraving and Printing (BEP): 14th & C Streets SW, 
Washington, DC 20228.
    (5) Bureau of the Fiscal Service (FS): 401 14th Street SW, 
Washington, DC 20227.
    (6) Internal Revenue Service (IRS): 1111 Constitution Avenue NW, 
Washington, DC 20224.
    (7) United States Mint (MINT): 801 9th Street NW, Washington, DC 
20220.
    (8) Financial Crimes Enforcement Network (FinCEN), Vienna, VA 
22182-0039.

[[Page 12440]]

SYSTEM MANAGER(S):
    Department of the Treasury: Official prescribing policies and 
practices: Director, Office of Civil Rights and Equal Employment 
Opportunity.
    The system managers for the Treasury components are:
    (1) Treasury: OCRE, External Civil Rights Program Manager, 1500 
Pennsylvania Avenue NW, Washington, DC 20220.
    (2) a. DO: Office of EEO, EEO Director, 1500 Pennsylvania Avenue 
NW, Washington, DC 20220; the manager of any DO Office where a 
complaint, compliance review, or a data collection or review to advance 
fairness, equity and opportunity in Federal programs or the analysis 
regarding the distribution of Federal resources originated.
    b. OIG: EEO and Diversity Manager, 740 15th Street NW, Suite 500, 
Washington, DC 20220.
    c. TIGTA: EEO Program Manager, 1125 15th Street NW, Suite 700A, 
Washington, DC 20005.
    d. SIGTARP: EEO Program Manager, 1801 L Street NW, 3rd Floor, 
Washington, DC 20220.
    (3) TTB: EEO Officer, 1310 G Street NW, Suite 300W, Washington, DC 
20220.
    (4) OCC: Director, Workplace Fairness and Equal Opportunity, 400 
7th Street SW, Washington, DC 20024.
    (5) BEP: Chief, Office of Equal Opportunity and Diversity 
Management, 14th and C Street SW, Room 639-17, Washington, DC 20228.
    (6) FS: EEO Officer, PG Center, Building 2, Room 137, 3700 East-
West Highway, Hyattsville, MD 20782.
    (7) IRS: Chief, External Civil Rights Unit, 1111 Constitution 
Avenue NW, Suite 2219, Washington, DC 20224.
    (8) U.S. Mint: Chief, Chief, Diversity Management and Civil Rights, 
801 9th Street NW, 3rd Floor, Washington, DC 20220.
    (9) FinCEN: Chief, Outreach and Workplace Solutions, 2070 Chain 
Bridge Road, Suite 200, Vienna, VA 22182.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title VI of the 1964 Civil Rights Act of 1964; sections 504 and 508 
of the Rehabilitation Act of 1973; the Age Discrimination Act of 1975; 
and Title IX of the Education Amendments Act of 1972; Executive Order 
13985, Advancing Racial Equity and Support for Underserved Communities 
Through the Federal Government; (Jan. 20, 2021) as well as Federal 
program statutes that may exist from time to time, as applicable.

PURPOSE(S) OF THE SYSTEM:
    The complaint files and other records will be used to enforce and 
ensure compliance with and implementation of the legal authorities 
listed above. Treasury uses the information in this system to 
investigate complaints and to obtain compliance with civil rights laws 
and related regulations and executive orders.
    Treasury uses the system to investigate complaints and in reviewing 
Treasury programs and activities to ensure compliance with the Federal 
laws which prohibit discrimination on the basis of race, color, 
national origin, sex, age, and disability. Treasury also uses the 
system to review Treasury programs and their participants to determine 
if these programs comply with relevant federal laws, regulations, and 
executive orders, including those related to discrimination. Treasury 
also uses demographic-related records for reporting purposes and for 
the purpose of understanding program outcomes. Treasury bureaus and 
offices also use the system to conduct analysis of the distribution of 
Federal resources, including to advance equity and opportunity, 
including to underserved communities. The system also contains annual 
or other periodically recorded statistical data submitted to and used 
by the OCRE and the bureaus or offices, as applicable, in monitoring 
the compliance status of recipients of Treasury financial assistance.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Covered individuals include persons who file complaints alleging 
discrimination or violation of their rights under the statutes 
identified above (Authority for Maintenance of the system) or 
individuals whose information was received from covered entities (e.g., 
recipients of financial assistance or other funding from Treasury such 
as grantees and sub-grantees), whether individuals, governments, 
organizations, or institutions, or those investigated by OCRE as a 
result of allegations of discrimination or through compliance reviews 
conducted by OCRE. Covered individuals also include individuals whose 
information was received by a Treasury bureau or office, either 
directly or through covered entities, in the course of Federal program 
application, administration, or reporting, or otherwise collected by or 
reported to a Treasury bureau or office (subject to OCRE review, where 
applicable) when conducting a compliance review or analysis of the 
distribution of Federal resources to advance fairness, equity and 
opportunity. Covered individuals also include persons who submit 
correspondence to OCRE related to other compliance activities (e.g., 
outreach and public education), and other correspondence unrelated to a 
complaint or review and requiring response by OCRE.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system encompasses a variety of records associated with 
complaints, compliance reviews, and correspondence. The complaint files 
and logs include complaint allegations, information gathered during 
complaint investigations, findings and results of investigations, and 
correspondence relating to investigations, as well as status 
information for all complaints.
    Records may include demographic or other information the collection 
of which is required by law, regulation, or executive order which 
prohibits or protects against discrimination on the basis of race, 
color, national origin, sex, age, or disability.
    Records may also include information, including demographic, 
financial, or financial transaction information used to analyze 
distributions of resources in current or past Federal programs.
    Equivalent types of information are maintained for reviews and 
correspondence activities (namely information gathered, findings, 
results, correspondence, and status).

RECORD SOURCE CATEGORIES:
    Information is provided by Treasury employees, complainants and 
covered individuals or entities.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    These records may be used to disclose pertinent information to:
    (1) To the United States Department of Justice (``DOJ''), for the 
purpose of representing or providing legal advice to the Department in 
a proceeding before a court, adjudicative body, or other administrative 
body before which the Department is authorized to appear, when such 
proceeding involves:
    (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 DOJ or the Department has agreed to represent the 
employee; or
    (d) The United States, when the Department determines that 
litigation is likely to affect the Department or any of its components; 
and the use of such records by the DOJ is deemed by the DOJ or the 
Department to be relevant and necessary to the litigation provided

[[Page 12441]]

that the disclosure is compatible with the purpose for which records 
were collected.
    (2) To an appropriate federal, state, tribal, local, international, 
or foreign law enforcement agency or other appropriate authority 
charged with investigating or prosecuting a violation or enforcing or 
implementing a law, rule, regulation, or order, where a record, either 
on its face or in conjunction with other information, indicates a 
violation or potential violation of law, which includes criminal, 
civil, or regulatory violations;
    (3) Provide information to a Congressional office in response to an 
inquiry made at the request of the individual to whom the record 
pertains;
    (4) 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 when relevant and necessary.
    (5) The National Archives and Records Administration (``NARA'') for 
use in its records management inspections and its role as an Archivist 
under the authority of 44 U.S.C. 2904 and 2906.
    (6) Contractors and their agents, grantees, experts, consultants, 
and others performing or working on a contract, service, grant, 
cooperative agreement, or other assignment for Treasury, when necessary 
to accomplish an agency function related to this system of records. 
Individuals provided information under this routine use are subject to 
the same Privacy Act requirements and limitations on disclosure as are 
applicable to Treasury officers and employees.
    (7) To appropriate agencies, entities, and person when (1) the 
Department of the Treasury suspects or has confirmed that there has 
been a breach of the system of records; (2) the Department of the 
Treasury has determined that as a result of the suspected or confirmed 
breach there is a risk of harm to individuals, the Department of the 
Treasury (including its information systems, programs, and operations), 
the Federal Government, or national security; and (3) the disclosure 
made to such agencies, entities, and persons is reasonably necessary to 
assist in connection with the Department of the Treasury's efforts to 
respond to the suspected or confirmed breach or to prevent, minimize, 
or remedy such harm;
    (8) To another Federal agency or Federal entity, when the 
Department of the Treasury determines that information from this system 
of records is reasonably necessary to assist the recipient agency or 
entity in (1) responding to a suspected or confirmed breach or (2) 
preventing, minimizing, or remedying the risk of harm to individuals, 
the recipient agency or entity (including its information systems, 
programs, and operations), the Federal Government, or national 
security, resulting from a suspected or confirmed breach;

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Paper records, file folders and/or electronic media.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    In the case of administrative complaints, records are indexed by 
the complainant's name. In the case of compliance reviews, records are 
indexed by the name of the recipient of financial assistance. Records 
pertaining to Federal programs and analyses of the distribution of 
Federal resources to advance fairness, equity and opportunity are 
indexed by program and/or by program participants.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Documents related to complaints and reviews are retained at OCRE or 
the relevant Treasury bureau or office for three years from the date 
the complaint is closed and then are archived at the National Archives 
and Records Administration for 15 years. Data and information collected 
to advance fairness, equity and opportunity in Federal programs or 
analyze the distribution of Federal resources are retained at the 
relevant Treasury bureau or office for 10 years, in accordance with N1-
056-030-010 Item 1.b.2. Correspondence is retained for one year 
following the end of the fiscal year in which processed.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Treasury will ensure that the safeguards for this system conform 
with applicable law and policy governing the privacy and security of 
Federal records. These include but are not limited to the Privacy Act 
of 1974, and the Paperwork Reduction Act of 1995. Only authorized users 
have access to the records in the system. Specific access is structured 
around need and is determined by the person's role in the organization.
    Printed materials are filed in secure cabinets in secure Federal 
buildings with access based on need.

RECORD ACCESS PROCEDURES:
    See ``Notification Procedure'' below.

CONTESTING RECORD PROCEDURES:
    See ``Notification Procedure'' below.

NOTIFICATION PROCEDURES:
    Individuals seeking notification and access to any record contained 
in this system of records, or seeking to contest its content, may 
inquire in writing in accordance with instructions appearing at 31 CFR 
part 1, subpart C, appendices A-M. Requests for information and 
specific guidance on where to send requests for records may be 
addressed to: Privacy Act Request, DO, Director, Disclosure Services 
Department of the Treasury, 1500 Pennsylvania Avenue NW, Washington, DC 
20220.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    Certain records in this system are exempt from 5 U.S.C. 552a(c)(3), 
(d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H),and (I), and (f) of 
the Privacy Act pursuant to 5 U.S.C. 552a(k)(2). See 31 CFR 1.36.

HISTORY:
    Notice of this system of records was last published in full in the 
Federal Register on November 7, 2016 (81 FR 78266) as the Department of 
the Treasury .013--Civil Rights Complaints and Compliance Review Files.

[FR Doc. 2023-03990 Filed 2-24-23; 8:45 am]
BILLING CODE 4810-AK-P