[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF TREASURY
Bureau of Alcohol, Tobacco, and Firearms
Treasury/ATF .001
System name:
Administrative Record System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW, Washington, DC 20226. Components of this record system are
geographically dispersed throughout the Bureau's field offices. A list
of field offices is available by writing to the Chief, Disclosure
Branch, Room 8290, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Categories of individuals covered by the system:
(1) Present employees of the Bureau of ATF. (2) Former employees of
the Bureau of ATF. (3) Claimants against the Bureau of ATF.
Categories of records in the system:
(1) Accident Report --non-vehicle; (2) Accident Report-vehicle; (3)
Fatality reports. (4) Injury reports; (5) Motor vehicle operator's
records; (6) Chief Counsel and District Counsel memoranda and
opinions.
Authority for maintenance of the system:
(1) Federal Claims Collection Act. (2) Federal Property and
Administration Services Act of 1949, as amended. (3) Federal Tort
Claims Act. (4) Military Personnel and Civilian Claim Act. (5)
Occupational Safety and Health Act of 1970. (6) Small Claims Act. (8)
5 U.S.C. 1302, 3301, 3302.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
Employees of government agencies when required or authorized to be
released by statute, regulations or Executive Order; (2) any third
party, to the extent necessary, to collect relevant information from
the third party, provided that the information is needed by the Bureau
to render a decision in regard to an administrative matter; (3)
appropriate Federal, state, local or foreign agencies responsible for
enforcing administrative, civil or criminal laws; hiring or retention
of an employee; issuance of a security clearance, license, contract,
grant or other benefit; (4) a court, magistrate or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of or in preparation
for civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (5) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (6) a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (7)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets.
Inactive records stored in file folders at Federal Records Centers.
Retrievability:
Records are retrievable by name of individual.
Safeguards:
Direct access restricted to personnel in Department of the Treasury
in the performance of their duty. Transmitted to routine users on a
``need to know'' basis or where ``a right to access'' is established,
and to others upon verification of the substance and propriety of the
request. Stored in lockable metal file cabinets in rooms locked during
non-duty hours.
Retention and disposal:
Records are retained in accordance with General Records Schedules
Numbers 1 through 23 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms records
control schedules numbers 101 and 201 and disposed of by shredding or
burning.
System manager(s) and address:
Chief, Administrative Program Division, Bureau of Alcohol, Tobacco,
and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Notification procedure:
Inquiries should be addressed to: Privacy Act Request, Bureau of
Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226. Requests may be delivered personally to Room
8290, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts
Avenue, NW, Washington, DC 20226.
Record access procedures:
Requests for access to records made by mail should be addressed to:
Privacy Act Request, Bureau of Alcohol, Tobacco and Firearms, 650
Massachusetts Avenue, NW, Washington, DC 20226.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Administrative records. (2) Claimants. (3) Doctors. (4) Employee
records. (5) Fiscal records. (6) Former employees of the Bureau of
ATF. (7) Former employers. (8) General Services Administration. (9)
Individuals who have information relevant to claims. (10) Inspections
records. (11) Internal Investigation reports. (12) Police reports.
(13) Present employees of the Bureau of ATF. (14) Supervisors. (15)
Witnesses. (16) Insurance companies.
Exemptions claimed for the system:
None.
Treasury/ATF .002
System name:
Correspondence Record System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue
NW, Washington, DC 20226. Components of this record system are
geographically dispersed throughout the Bureau's field offices. A list
of field offices is available by writing to the Chief, Disclosure
Branch, Room 8290, 650 Massachusetts Avenue, NW Washington, DC 20226.
Categories of individuals covered by the system:
(1) Persons who correspond with the Bureau requesting information
relating to Bureau personnel. (2) Persons who correspond with the
Bureau requesting information relating to Bureau activities. (3)
Persons who correspond with the Bureau requesting rulings,
interpretations, or technical and scientific matters of a general
nature. (4) Persons who correspond with others and whose
correspondence is referred to ATF for response. (5) Persons referred
to in correspondence with the Bureau. (6) Authors and publishers of
technical and scientific matters relating to Bureau activities.
Categories of records in the system:
Correspondence with individuals who contact the Bureau requesting
information relating to Bureau personnel and/or activities, Chief
Counsel and Regional Counsel memoranda and opinions.
Authority for maintenance of the system:
5 U.S.C. 301, Executive Order 11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
Employees of government agencies when required or authorized to be
released by statute, regulations or Executive Order; (2) any third
party, to the extent necessary, to collect relevant information from
the third party, provided that the information is needed by the Bureau
to render a decision in regard to an administrative, fiscal or
personnel matter; (3) appropriate Federal, state, local or foreign
agencies responsible for enforcing administrative, civil or criminal
laws; hiring or retention of an employee; issuance of a security
clearance, license, contract, grant or other benefit; (4) a court,
magistrate or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of or in preparation for civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) a congressional office in response
to an inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets.
Inactive records stored in file folders at Federal Records Centers.
Retrievability:
Records are retrieved by name, subject matter and date of
correspondence.
Safeguards:
Transmitted to routine users on a ``need to know'' basis. Stored in
lockable file cabinets in rooms locked during non-duty hours.
Retention and disposal:
Records are retained in accordance with General Records Schedules
numbers 1 through 20 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records
Control Schedules numbers 101 and 201 and disposed of by shredding or
burning.
System manager(s) and address:
Executive Assistant- Liaison and Public Information, Bureau of
Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226.
Notification procedure:
Inquiries should be addressed to: Privacy Act Request, Bureau of
Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226. Requests may be delivered personally to Room
8290, Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts
Avenue, NW, Washington, DC 20226.
Record access procedures:
Requests for access to records made by mail should be addressed to:
Privacy Act Request, Bureau of Alcohol, Tobacco and Firearms, 650
Massachusetts Avenue, NW, Washington, DC 20226. Requests may be
delivered personally to room 8290, Bureau of Alcohol, Tobacco and
Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226. Appeals
may be delivered personally to room 8290, Bureau of Alcohol, Tobacco
and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Persons who correspond with the Bureau on general, technical or
scientific matters.
Exemptions claimed for the system:
None.
Treasury/ATF .003
System name:
Criminal Investigation Report System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226. Components of this record system are
geographically dispersed throughout Bureau of Alcohol, Tobacco and
Firearms' field offices. A list of field offices is available by
writing to the Chief, Disclosure Branch, Room 8290, 650 Massachusetts
Avenue, NW, Washington, DC 20226.
Categories of individuals covered by the system:
(1) Criminal offenders or alleged criminal offenders acting alone or
in concert with other individuals and suspects who have been or are
under investigation for a violation or suspected violation of laws
enforced by the Bureau. (2) Criminal offenders or alleged criminal
offenders acting alone or in concert with individuals who have been
referred to the Bureau of Alcohol, Tobacco and Firearms by other law
enforcement agencies, governmental units and the general public. (3)
Informants. (4) Persons who come to the attention of the Bureau in the
conduct of criminal investigations. (5) Persons who have been
convicted of a crime punishable by imprisonment for a term exceeding
one year and who have applied for relief from disabilities under
Federal law with respect to the acquisition, receipt, transfer,
shipment, or possession of firearms and explosives and whose
disability was incurred by reason of such conviction. (6) Victims of
crimes. (7) Witnesses.
Categories of records in the system:
(a) Records containing information compiled for the purpose of
identifying individual criminal offenders and alleged offenders and
consisting only of identifying data and notations of arrest, the
nature and disposition of criminal charges, sentencing, confinement,
release, and parole and probation status; (b) Records containing
information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; (c) Records containing reports
identifiable to an individual compiled at various stages of the
process of enforcement of criminal laws from arrest or indictment
through release from supervision; (d) Records compiled and maintained
by the Bureau as generally described in (a), (b), and (c) above
including the following: (1) Abandoned property reports. (2) ATF
Criminal Investigation Reports. (3) ATF referrals to foreign, Federal,
state, and local law enforcement agencies. (4) Chief and Regional
Counsel opinions. (5) Contemporaneous investigative notes. (6)
Criminal investigatory correspondence from and to foreign, Federal,
state and local law enforcement agencies. (7) Criminal intelligence
information on individuals suspected to be violating ATF laws and
regulations. (8) Documentary proof of defendant's criminal record,
identity, or lack of registration of N.F.A. (as amended) firearm(s).
(9) FBI Criminal Record Reports. (10) Fingerprints and palmprints.
(11) Fugitive arrest warrants. (12) Handwriting exemplars. (13) Index
cards, violation and reputation. (14) Illicit liquor and raw material
surveys. (15) Laboratory reports of evidence analysis. (16) Memoranda
of expected testimony of witnesses. (17) Organized crime members
violating or suspected of violating ATF laws. (18) Parole and pardon
reports. (19) Personal histories (address, employment, social security
number, financial background, physical description, etc.). (20)
Photographs. (21) Purchase of evidence records. (22) Records of
electronic surveillance by ATF. (23) Records received in response to
summons and subpoenas. (24) Reliefs from disability. (25) Reports of
interview with witnesses. (26) Search warrants and affidavits for
search warrants. (27) Seized property reports. (28) Significant
criminals, armed and dangerous, firearms, explosives and liquor. (29)
Special agent's daily activity diary (accessible by date only). (30)
State and local law enforcement criminal investigative reports. (31)
Statements of defendants. (32) Statements of witnesses. (33) Summons
and subpoenas issued pursuant to criminal investigations. (34) Voice
prints. (35) Wagering tax suspected violators. (36) Warning and demand
letters. (37) Criminal violation reports (a formal report compiling
all or portions of the foregoing for prosecutive purposes).
Authority for maintenance of the system:
(1) 26 U.S.C. Chapters 35 and 40; (2) 26 U.S.C. Chapters 51 and 52;
(3) 26 U.S.C. Chapter 53, as amended; (4) 26 U.S.C. Chapters 61
through 80, as amended; (5) 27 U.S.C. Chapter 8, as amended (Federal
Alcohol Administration Act); (6) 18 U.S.C. Chapter 40; (7) 18 U.S.C.
Chapter 44; (8) 18 U.S.C. Chapter 59; (9) 18 U.S.C. App. 1201-1203
(Title VII of the Omnibus Crime Control and Safe Streets Act of 1968,
as amended by Title III of the Gun Control Act of 1968); (10) 22
U.S.C. section 414, (Mutual Security Act of 1954, as amended); (11) 5
U.S.C. sections 901 and 903, 5 U.S.C. App. (Reorganization Plan of
1950), Treasury Order 221, 5 U.S.C. section 301.
Purpose(s):
The purpose of this system is to suppress traffic in illicit
untaxpaid distilled spirits; to enforce the Federal laws relating to
the illegal possession and use of firearms, destructive devices,
explosives, explosive materials; and to assist Federal, state, local
and foreign law enforcement agencies in reducing crime and violence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
Employees of other government agencies when required or authorized to
be released by statute, regulations or Executive Order; (2) third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation; (3) appropriate
Federal, state, local and foreign agencies for the purpose of
enforcing and investigating administrative, civil or criminal laws
relating to the hiring or retention of an employee; issuance of
security clearance, license, contract, grant or other benefit; (4) a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of or in preparation for civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (5) INTERPOL and similar
criminal intelligence gathering organizations for the purpose of
identifying and suppressing the activities of international and
national criminals and terrorists; (6) appropriate Federal, state,
local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (7) insurance companies making
determinations regarding claims in cases that the Bureau has conducted
or is conducting an arson investigation; (8) a congressional office in
response to an inquiry of the individual to whom the record pertains;
(9) unions recognized as exclusive bargaining representatives under
the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114; (10)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets.
Inactive records stored in file folders at Federal Records Centers.
Records also stored on magnetic tape and disk at the National Tracing
Center and at the Science and Technology Branch at Bureau
Headquarters. Records are stored in on-line mass computer storage at
Newington, Virginia (Treasury Enforcement Communications System
(TECS)).
Retrievability:
Records are retrievable by name, date of birth, social security
number, unique identifier, investigation number, serial number of
firearm, or a combination of any of these; plus date and geographical
location of incident giving rise to investigation.
Safeguards:
Direct access restricted to personnel in Department of Treasury in
the performance of their duty. Transmitted to routine users on a
``need to know'' basis and to others upon verification of the
substance and propriety of the request. Stored in lockable file
cabinets in rooms locked during non-duty hours.
Retention and disposal:
Records are retained in accordance with General Records Schedules
numbers 1 through 23 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records
Control Schedules numbers 101 and 201 and disposed of by shredding or
burning. Records on tape or on-line mass storage are disposed of by
degaussing.
System manager(s) and address:
Associate Director (Enforcement), Bureau of Alcohol, Tobacco and
Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Notification procedure:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
exempted this system of records from compliance with the provisions of
5 U.S.C. 552a (e)(4)(G).
Record access procedures:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
Contesting record procedures:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
Record source categories:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(I).
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a (j) and 31 CFR 1.36.
Treasury/ATF .005
System name:
Freedom of Information Requests--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW, Washington, DC 20226.
Categories of individuals covered by the system:
Individuals who are requesting information.
Categories of records in the system:
Correspondence pursuant to the Freedom of Information Act, internal
processing documents and memoranda, referrals and copies of requested
records, and Chief Counsel and Regional Counsel memoranda and
opinions.
Authority for maintenance of the system:
Freedom of Information Act, 5 U.S.C. 552.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to other agencies when required for coordination
of response or referral; (2) disclose information to the Department of
Justice for defending law suits; (3) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folders.
Retrievability:
By name of requester(s) and date of request.
Safeguards:
Filed in filing cabinet and released only to individuals with
legitimate right to review.
Retention and disposal:
In accordance with the provisions of the Act and Departmental records
management procedures.
System manager(s) and address:
Chief, Disclosure Branch, Bureau of Alcohol, Tobacco and Firearms,
650 Massachusetts Avenue, NW, Washington, DC 20226.
Notification procedure:
See System manager.
Record access procedures:
See System manager.
Contesting record procedures:
See System manager.
Record source categories:
Individuals who make Freedom of Information Act requests. Federal
officials responding to Freedom of Information Act requests and
documents from official records.
Exemptions claimed for the system:
None.
Treasury/ATF .006
System name:
Internal Security Record System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW, Washington, DC 20226.
Categories of individuals covered by the system:
(1) Present employees of the Bureau of ATF. (2) Former employees of
the Bureau of ATF. (3) Applicants for employment. (4) Non-Bureau
employees involved in criminal acts toward Bureau employees and Bureau
property. (5) Individuals who were interviewed by Internal Affairs
Special Agents. (6) Contract employees involved in integrity matters.
Categories of records in the system:
(1) Records containing investigative material compiled for law
enforcement purposes including reports relating to: (a) Conduct of
employees and contract employees. (b) Integrity of employees. (2)
Records containing investigative material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
Federal civilian employment or access to classified information
including reports relating to security clearances of employees.
Authority for maintenance of the system:
18 U.S.C. 201, Executive Order 10450, Executive Order 11222.
Purpose(s):
This system is used to assure the Bureau Director, the Department of
the Treasury, and the public that the Bureau is taking strong and
vigorous steps to maintain the highest standards of integrity,
loyalty, conduct, and security among Bureau personnel and contract
employees. When a criminal investigation results in a compilation of
information contained in this system, the information so compiled
shall be transferred to the ATF Criminal Investigation Report System
and shall become a part of that system for all purposes of the Privacy
Act of 1974.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
Employees of other government agencies when required or authorized to
be released by statute, regulations or Executive Order; (2) third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation; (3) appropriate
Federal, state, local and foreign agencies for the purpose of
enforcing and investigating administrative, civil or criminal law
relating to the hiring or retention of an employee; issuance of a
security clearance, license, contract, grant or other benefit; (4) a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of or in preparation for civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (5) appropriate Federal,
State, local or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (6) a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (7) unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114; (8) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets and
computer system (hard disk). Inactive records stored in file folders
at Federal Records Center.
Retrievability:
Records are retrievable by name.
Safeguards:
Direct access restricted to personnel in Department of the Treasury
in the performance of their duty. Transmitted to routine users on a
``need to know'' basis and to others upon verification of the
substance and propriety of the request. Stored in lockable metal file
cabinets in rooms locked during non-duty hours.
Retention and disposal:
Records are retained in accordance with General Records Schedules
Numbers 1 through 20 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records
Control Schedules numbers 101 and 201 and disposed of by shredding or
burning.
System manager(s) and address:
Assistant Director (Office of Inspection), Bureau of Alcohol, Tobacco
and Firearms, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Notification procedure:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(G).
Record access procedures:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Employees of this Bureau; (2) Internal Investigative report
forms; (3) Witnesses; (4) Informants; (5) Federal, state and local
enforcement agencies; (6) Employers; (7) Educational institutions; (8)
Credit agencies; (9) Neighbors; (10) References; (11) Professional
Organizations; (12) Other government agencies; (13) Claimants; (14)
Victims.
Exemptions claimed for the system:
Portions exempt under 5 U.S.C. 552a (k) (relating to security
clearances) and 5 U.S.C. 552a (k)(2) (relating to conduct and
integrity) and 31 CFR 1.36.
Treasury/ATF .007
System name:
Personnel Record System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW, Washington, DC 20226. Components of this record system are
geographically dispersed throughout the Bureau's field offices. A list
of field offices is available by writing to the Chief, Disclosure
Branch, Room 8290, 650 Massachusetts Avenue, NW, Washington, DC 20226.
Categories of individuals covered by the system:
(1) Present Employees of the Bureau of ATF. (2) Former Employees of
the Bureau of ATF. (3) Applicants for employment with ATF.
Categories of records in the system:
(1) Allotment and Dues. (2) Annual Tax Reports. (3) Applicants for
employment. (4) Applications for reassignment. (5) Awards, honors, and
fellowship records. (6) Classification appeal records. (7) Death claim
records. (8) Educational history. (9) Employee indebtedness records.
(10) Employees qualified as Grievance Examiners. (11) Employee
Suggestions. (12) Employee history. (13) Employee relations case file.
(14) Equal employment opportunity case file. (15) Health maintenance
records. (16) Insurance records. (17) Military history. (18)
Occupational injuries, disabilities, and Worker's Compensation
Records. (19) Official personnel folder. (20) Outside employment and
identification numbers, business or professional records. (21) Outside
employment. (22) Outside financial interests. (23) Overtime and/or
Premium Pay records. (24) Performance evaluation records. (25)
Personal history. (26) Position description records. (27) Promotion/
Selection Certificates Records. (28) Property custody records. (29)
Retirement records. (30) Records of security clearance. (31) Statement
of career goals. (32) Supervisory or managerial potential records.
(33) Temporary assignments and details. (34) Time application reports
and records. (35) Training record. (36) U.S. Savings Bond
participation records. (37) Upward mobility applications. (38) Vehicle
accidents. (39) Withholding tax records. (40) Work schedule records.
(41) Chief Counsel and Regional Counsel memoranda and opinions.
Authority for maintenance of the system:
(1) 5 U.S.C. Chapter 29, Subchapter II. (2) 5 U.S.C. Chapters 31 and
33. (3) 5 U.S.C. Chapter 43. (4) 5 U.S.C. Chapter 45. (5) 5 U.S.C.
Chapter 51. (6) 5 U.S.C. Chapter 55, subchapter III. (7) 5 U.S.C.
Chapter 61. (8) 5 U.S.C. Chapter 75. (9) 5 U.S.C. Chapter 83. (10) 5
U.S.C. Section 301. (11) 5 U.S.C. 4503. (12) 5 U.S.C. Section 5101 -
5115. (13) 5 U.S.C. Section 7151 - 7154. (14) 5 U.S.C. Section 7901.
(15) Pub. L. 92 - 261 (Equal Employment Act of 1972). (16) Pub. L. 93
- 579. (Federal Employees Compensation Act). (17) Occupational Safety
and Health Act of 1970. (18) Executive Order 10561. (19) Executive
Order 11222. (20) Executive Order 11478. (21) Executive Order 11491.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
Employees of government agencies when required or authorized to be
released by statute, regulations or Executive Order; (2) any third
party, to the extent necessary, to collect relevant information from
the third party, provided that the information is needed by the Bureau
to render a decision in regard to a personal matter; (3) appropriate
Federal, state, local or foreign agencies responsible for enforcing
administrative, civil, or criminal laws; hiring or retention of an
employee; issuance of a security clearance, license, contract, grant
or other benefit; (4) a court, magistrate, or administrative tribunal
in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of or in preparation for
civil discovery, litigation, or settlement negotiations, in response
to a subpoena, or in connection with criminal law proceedings; (5)
unions recognized as exclusive bargaining representatives under the
Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114; (6) a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (8) provide information to
the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in security filing cabinets.
Inactive records stored in file folders at Federal Records Centers.
Records also stored on magnetic tape at the IRS Data Center, Detroit,
MI. Records are stored in on-line mass computer storage at San Diego,
CA (Treasury Enforcement Communications System).
Retrievability:
Records are retrievable by name, date of birth, social security
number, employee identification number, or a combination of any of
these four.
Safeguards:
Direct access restricted to personnel in Department of Treasury in
the performance of their duty. Transmitted to routine users on a
``need to know'' basis or where ``a right to access'' is established,
and to others upon verification of the substance and propriety of the
request. Stored in lockable file cabinets in rooms locked during non-
duty hours.
Retention and disposal:
Records are retained in accordance with General Records Schedules
numbers 1 through 23 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records
Control Schedules numbers 101 and 201 and disposed of by shredding,
burning or by degaussing.
System manager(s) and address:
Assistant Director (Management)/Chief Financial Officer, Bureau of
Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226.
Notification procedure:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
exempted this system of records from compliance with the provisions of
5 U.S.C. 552a (e)(4)(G).
Record access procedures:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
exempted this system of records from compliance with the provisions of
5 U.S.C. 552a (e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Administrative Records. (2) Applicants for employment with the
Bureau. (3) Acquaintances. (4) Business and professional associates.
(5) Creditors. (6) Criminal records. (7) Educational Institutions
attended. (8) Employee records. (9) Equal Employment Opportunity
Commission. (10) Financial institutions. (11) Fiscal records. (12)
Former employees. (13) Former employers. (14) Inspection records. (15)
Internal investigation reports. (16) Internal Revenue Service. (17)
Military records. (18) Outside employers. (19) Physicians. (20) Police
reports. (21) Position classification specialists. (22) Psychiatrists.
(23) References. (24) Supervisors. (25) Training officers. (26)
Unions, accredited. (27) Office of Personnel Management. (28)
Witnesses.
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a (k) and 31 CFR 1.36.
Treasury/ATF .008
System name:
Regulatory Enforcement Record System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW, Washington, DC 20226. Components of this system of records are
also geographically dispersed throughout ATF's district and field
offices. A list of field offices is available by writing to the Chief,
Disclosure Branch, Room 8290, 650 Massachusetts Avenue, NW,
Washington, DC 20226.
Categories of individuals covered by the system:
(1) Individuals who have been issued permits or licenses, have filed
applications with ATF, or have registered with ATF as: (a) Brewers;
(b) Claimants for refund, abatement, credit, allowance or drawback of
excise or special occupational taxes; (c) Collectors of firearms or
ammunition; (d) Importers of firearms or ammunition, and (e) Users of
explosive materials.
Categories of records in the system:
Records containing investigative material compiled for law
enforcement purposes which may consist of the following: (1) Abstracts
of offers in compromise. (2) Administrative law judge decisions. (3)
Assessment records: (a) Notices of proposed assessments. (b) Notices
of shortages or losses. (c) Notices to IRS to assess taxes. (d)
Recommendation for assessments. (4) Claim records: (a) Claims. (b)
Letters of claim rejection. (c) Sample reports. (d) Supporting data.
(e) Vouchers and schedules of payment. (5) Comments on proposed
rulemakings. (6) Complaints from third parties. (7) Correspondence
concerning records in this system and related matters. (8) Financial
statements. (9) Inspection and investigation reports. (10) Joint
demands on principals and sureties for payment of excise tax
liabilities. (11) Letters of reprimand. (12) Lists of permittees and
licensees. (13) Lists of officers, directors and principal
stockholders. (14) Mailing lists and addressograph plates. (15)
Notices of delinquent reports. (16) Offers in compromise. (17)
Operation records: (a) Operating reports. (b) Reports of required
inventories. (c) Reports of thefts or losses of firearms - who
maintains records. (d) Reports of thefts of explosive materials - who
maintains records. (e) transaction records. (f) Transaction reports.
(18) Orders of revocation, suspension or annulment of permits or
licenses. (19) District and Chief Counsel opinions and memoranda. (20)
Reports of violations. (21) Permit status records. (22) Qualifying
records: (a) Access authorizations. (b) Advertisement records. (c)
Applications. (d) Bonds. (e) Business histories. (f) Criminal records.
(g) Diagrams of Premises. (h) Educational histories. (I) Employment
histories. (j) Environmental records. (k) Financial data. (l) Formula
approvals. (m) Label approvals. (n) Licenses. (o) Notices. (p)
Permits. (q) Personal references. (r) Plant profiles. (s) Plant
capacities. (t) Plats and plans. (u) Registrations. (v) Sample
reports. (w) Signature authorities. (x) Special permissions and
authorizations. (y) Statements of process. (23) Show cause orders.
(24) Tax records: (a) Control cards relating to periodic payment and
prepayment of taxes. (b) Excise and special tax returns. (c) Notices
of tax discrepancy or adjustment.
Authority for maintenance of the system:
(1) 26 U.S.C. 5172. (2) 26 U.S.C. 5271 (b)(1). (3) 26 U.S.C. 5356.
(4) 26 U.S.C. 5401. (5) 26 U.S.C. 5417. (6) 26 U.S.C. 5502 (b). (7) 26
U.S.C. 5511 (3). (8) 26 U.S.C. 5521 (a). (9) 26 U.S.C. 5179 (a). (10)
22 U.S.C. 204 (c). (11) 26 U.S.C. 5105. (12) 26 U.S.C. 5275. (13) 26
U.S.C. 5301 (b). (14) 26 U.S.C. 5132. (15) 26 U.S.C. 5042 (a)(2). (16)
26 U.S.C. 7011. (17) 26 U.S.C. 5712. (18) 18 U.S.C. 923 (a). (19) 18
U.S.C. 923 (b). (20) 18 U.S.C. 843 (a). (21) 22 U.S.C. 414. (22) 26
U.S.C. 4401 (a). (23) 26 U.S.C. 6001. (24) 26 U.S.C. 6011 (a). (25) 26
U.S.C. 5001. (26) 26 U.S.C. 5021 - 5023. (27) 26 U.S.C. 5041. (28) 26
U.S.C. 5051. (29) 26 U.S.C. 6201. (30) 26 U.S.C. 5008. (31) 26 U.S.C.
5044. (32) 26 U.S.C. 5056. (33) 26 U.S.C. 5705. (34) 26 U.S.C. 6423
(b). (35) 26 U.S.C. 5009 (a). (36) 26 U.S.C. 5006 (a). (37) 26 U.S.C.
5055. (38) 26 U.S.C. 5062 (c). (39) 26 U.S.C. 5106. (40) 26 U.S.C.
5131 (c). (41) 26 U.S.C. 5064. (42) 26 U.S.C. 7122. (43) 27 U.S.C.
207. (44) 18 U.S.C. 843 (d). (45) 18 U.S.C. 923 (f). (46) 27 U.S.C.
204 (e). (47) 26 U.S.C. 5312 (a). (48) 26 U.S.C. 5042 (a)(3). (49)
Reorganization Act of 1949, 5 U.S.C. Sections 901 et seq.; Revenue Act
of 1951, Section 616; Treasury Department Order 221 (37 FR 11696,
dated June 19, 1972). (50) 5 U.S.C. 301. (51) 26 U.S.C. 5181.
Purpose(s):
The purpose of this system is to determine suitability, eligibility
or qualifications of individuals who are engaged or propose to engage
in activities regulated by ATF; achieve compliance with laws under
ATF's jurisdiction; assure full collection of revenue due from legal
industries; eliminate commercial bribery, consumer deception and other
improper trade practices in the distilled spirits, beer and wine
industries; interact with Federal, state and local governmental
agencies in the resolution of problems relating to industrial
development, revenue protection, public health, ecology, and other
areas of joint jurisdictional concern. When a criminal investigation
results a compilation of information contained in this system of
records, the information shall be transferred to the Treasury ATF -
Criminal Investigation Report System and shall become part of that
system for all purposes of the Privacy Act of 1974.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
Employees of other governmental agencies when required or authorized
to be released by statute, regulations or Executive Order; (2) any
third party to the extent necessary to collect or verify information
pertinent to the Bureau's decision to grant, deny or revoke a license
or permit; to initiate or complete an investigation of violations or
alleged violations of laws and regulations administered by the Bureau;
(3) appropriate Federal, state, local or foreign agencies for the
purpose of enforcing administrative, civil or criminal laws; hiring or
retention of an employee; issuance of a security clearance, license,
contract, grant or other benefit; (4) a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of or in preparation for civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (5) INTERPOL and similar national and
international intelligence gathering organizations for the purpose of
identifying international and national criminals involved in consumer
fraud, revenue evasion or crimes; (6) foreign governments in
accordance with formal or informal international agreements; (7)
appropriate Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (8) a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (10) provide information
to the news media in accordance with guidelines contained in 28 CFR
50.2 which relate to an agency's functions relating to civil and
criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Active records stored in file folders in filing cabinets; card forms
in card filing cabinets; and on magnetic tapes or microfiche at ATF
Headquarters, or Department of the Treasury.
Retrievability:
Records are retrievable by name, permit or license number, by
document locator number, or by employer Identification Number (EIN).
Safeguards:
Direct access restricted to personnel in the Department of Treasury
in the performance of their duty. Transmitted to routine users on a
``need to know'' basis and others upon verification of the substance
and propriety of the request. Stored in file cabinets in rooms locked
during non-duty hours.
Retention and disposal:
Records are retained in accordance with General Records Schedules
numbers 1 through 20 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records
Control Schedules numbers 101 and 201 and disposed of by shredding,
burning or by degaussing.
System manager(s) and address:
Deputy Associate Director (Regulatory Enforcement), Bureau of
Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226.
Notification procedure:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(G).
Record access procedures:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Acquaintances. (2) Bureau Personnel. (3) Business and
Professional Associates. (4) Creditors. (5) Criminal Records. (6)
Financial Institutions. (7) Former Employers. (8) Internal Revenue
Service. (9) Military Records. (10) Physicians. (11) Psychiatrists.
(12) References. (13) Police Reports. (14) Witnesses. (15) Federal Law
Enforcement Agencies. (16) State Law Enforcement Agencies. (17) Local
Law Enforcement Agencies. (18) State Regulatory Agencies. (19) Federal
Regulatory Agencies. (20) Local Regulatory Agencies. (21) Chief
Counsel's Opinions. (22) Regional Counsel's Opinions. (23) Chief
Counsel's Memoranda. (24) Regional Counsel's Memoranda. (25) Field
Investigation Reports. (26) Third Parties.
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a (k)(2) and 31 CFR 1.36.
Treasury/ATF .009
System name:
Technical and Scientific Services Record System--Treasury/ATF.
System location:
Bureau of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue,
NW, Washington, DC 20226. Components of this record system are
geographically dispersed throughout Bureau of Alcohol, Tobacco and
Firearms' field offices. A list of field offices is available by
writing to the Chief, Disclosure Branch, Room 8290, 650 Pennsylvania
Avenue, NW, Washington, DC 20226.
Categories of individuals covered by the system:
(1) Applicants to register firearms under the National Firearms Act.
(2) Applicants for Surplus Military Firearms under the Director of
Civilian Marksmanship Program. (3) Importers of implements of war as
defined under the Mutual Security Act of 1954 and the Arms Export
Control Act of 1976. (4) Licensed importers registered under the
Mutual Security Act of 1954 and the Arms Export Control Act of 1976.
(5) Manufacturers of National Firearms Act who are exempt from payment
of Special (Occupational) tax provisions. (6) Non-Bureau chemists
certified to make analysis of alcoholic beverages. (7) Persons
involved in explosives tagging and detection program. (8) Registered
owners of National Firearms Act firearms. (9) Special (Occupational)
taxpayers as defined under Title II of the Gun Control Act of 1968.
(10) Victims of explosives. (11) Individuals involved in Government
funded research projects.
Categories of records in the system:
(1) Alterations of registered National Firearms Act firearms. (2)
Applications for surplus military firearms. (3) Applications to
register firearms and destructive devices under the National Firearms
Act. (4) Applications to import articles on the United States
Munitions list. (5) Blueprints. (6) Certifications of payment of
Special (occupational) tax payments. (7) Changes of address for owner
of firearms registered under the National Firearms Act. (8) Claims for
erroneous Special (Occupational) taxes payments. (9) Descriptions of
Inventions. (10) Delinquency notices regarding proof of importation of
National Firearms Act Firearms. (11) Explosive reports. (12) Non-
Bureau chemists' statements of qualification. (13) Patent information.
(14) Registrations of firearms and destructive devices under the
National Firearms Act. (15) Registration of war trophy firearms. (16)
Requests and authorizations for temporary movement and/or temporary
storage of National Firearms Act firearms. (17) Technical and
scientific data. (18) Transaction records concerning National Firearms
Act firearms. (19) Trade secrets. (20) United States Government
contracts to manufacturers of National Firearms Act firearms. (21)
Chief Counsel and Regional Counsel memoranda and opinions.
Authority for maintenance of the system:
(1) 18 U.S.C. Chapter 40; (2) 18 U.S.C. Chapter 44; (3) 18 U.S.C.
Section 3056; (4) 26 U.S.C. Sections 6001 (a), 5001, 5008, 5009 (a),
5006 (a), 5021 - 5023, 5041, 5042 (a)(2), 5051, 5053, 5056, 5062 (c),
5705, 6201, 6423 (b), 5105, 5106, 5131(c), 5132, 5172, 5172 (b)(1),
5275, 5301 (b), 5356, 5401, 5417, 5502 (b), 5511 (3), 5521 (a), 5179
(a), 5712, 7011; (5) 27 U.S.C. Sections 204 (c); (6) 26 U.S.C. Chapter
35; (7) Executive Order 10973, as amended by Executive Order 11432.
Purpose(s):
The purpose of this system is to provide technical and scientific
support and expertise to Criminal and Regulatory Enforcement
activities of the Bureau; to other Federal, state, local and foreign
law enforcement agencies; and to industries involved in activities
regulated by the Bureau. When a criminal investigation results in a
compilation of information contained in this system, the information
so compiled shall be transferred to the ATF Criminal Investigation
Report System and shall become a part of that system for all purposes
of the Privacy Act of 1974.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1)
Employees of other governmental agencies when required or authorized
to be released by statute, regulations or Executive Order; (2) any
third party to the extent necessary to collect or verify information
pertinent to the Bureau's decision to grant, deny or revoke a license
or permit; to initiate or complete an investigation of violations or
alleged violations of laws and regulations administered by the Bureau;
(3) appropriate Federal, state, local or foreign agencies, for the
purpose of enforcing administrative, civil, criminal laws; hiring or
retention of an employee; issuance of a security clearance, license,
contract, grant or other benefit; (4) a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (5) INTERPOL and similar national and international
intelligence gathering organizations for the purpose of identifying
international and national criminals involved in consumer fraud,
revenue evasion or crimes; (6) foreign governments in accordance with
formal or informal international agreements; (7) appropriate Federal,
state, local or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (8) insurance
companies making determinations regarding claims in cases that the
Bureau has conducted or is conducting in an arson investigation; (9) a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (10) provide information
to the news media in accordance with guidelines contained in 28 CFR
50.2 which relate to an agency's functions relating to civil and
criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Active records stored in file folders in filing cabinets; on 3 x 5
and 5 x 8 cards stored in card file cabinets; on microfilm reels;
magnetic tape reels and discs.
Retrievability:
Records are retrievable by name, by unique identifier, control
number, serial number of National Firearms Act firearms.
Safeguards:
Stored in file cabinets locked during non-duty hours.
Retention and disposal:
Records are retained in accordance with General Records Schedules
numbers 1 through 20 issued by the National Archives and Records
Administration, and Bureau of Alcohol, Tobacco and Firearms Records
Control Schedules numbers 101 and 201 and disposed of by shredding or
burning. Records stored on tape discs or on-line mass storage are
disposed of by degaussing.
System manager(s) and address:
Deputy Associate Director (Regulatory Enforcement Programs), Bureau
of Alcohol, Tobacco and Firearms, 650 Massachusetts Avenue, NW,
Washington, DC 20226.
Notification procedure:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(G).
Record access procedures:
The Director of the Bureau of Alcohol, Tobacco and Firearms has
determined this system of records to be exempt from compliance with
the provisions of 5 U.S.C. 552a (e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Individuals. (2) Companies. (3) Corporations. (4) Firearms
Licensees. (5) Explosive Licensees. (6) Explosive Permittees. (7)
Bureau personnel. (8) Federal law enforcement agencies. (9) State law
enforcement agencies. (10) Local law enforcement agencies. (11)
Foreign law enforcement agencies. (12) Federal Regulatory agencies.
(13) State Regulatory agencies. (14) Local Regulatory agencies. (15)
Non-Bureau Chemists.
Exemptions claimed for the system:
Exempt under 5 U.S.C. 552a (k)(2) and 31 CFR 1.36.
DEPARTMENT OF TREASURY
Comptroller of the Currency
Treasury/Comptroller .004
System name:
Consumer Complaint and Inquiry Information System (CCIS)--Treasury/
Comptroller.
System location:
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Components of the CCIS are geographically
dispersed through- out six (6) district offices. (See addresses listed
in Appendix of OCC District Offices.)
Categories of individuals covered by the system:
Persons who file complaints against banks either directly or through
second parties, e.g. attorneys, Congressional representatives or
others who make inquiries about banks or banking issues.
Categories of records in the system:
The records are maintained in three general categories:
Correspondence; computer tapes; and hard copies of computer generated
reports. Data contained in these records are: The name and address of
the writer or their representative; the name and charter number of
bank; the date of incoming letter; the date letter received by the
OCC; numerical codes identifying the nature of the complaint, the
source of the complaint, and the type of resolution; identification of
the district and the person assigned to examine the complaint; the
resolution date; and, if appropriate, the amount of reimbursement.
Authority for maintenance of the system:
12 U.S.C. 1, et.seq., 5 U.S.C. 301, 15 U.S.C. 41 et.seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Hard copy computerized reports are used to monitor the system,
provide data for the Annual Report to Congress and inquiries from
other agencies, public and private. Redacted copies of the files may
be used in response to Congressional inquiries on specific subjects.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in active use are stored in file cabinets in the processing
offices. Resolved complaints and inquiries are stored in the office
having primary responsibility for the bank, generally the field
office. Complaints regarding banks with over one billion dollars in
assets are stored in the appropriate district office. Complaints which
appeal the district office's resolution and complaints and inquiries
received from Congressional sources are stored in Central Files in the
Washington Office or in the Congressional Liaison office. Active
computer tapes are secured in the Information Systems and Technology
Division and the computerized reports are stored in file cabinets.
Retrievability:
Correspondence records are retrieved from the appropriate office
using the bank and complainant's or Congressman's or Senator's name.
Other records are retrieved using the complainant's or inquirer's name
or the identification number assigned to the correspondence.
Safeguards:
Access to locations where active complaint and inquiry files are
located is controlled. Computer tapes are also located in a controlled
access location. Inactive files are located in locked file rooms.
Retention and disposal:
(a) Consumer complaint correspondence generating administrative
action is part of the permanent bank record set that is retained at
OCC for three calendar years, then transferred to Washington National
Records Center (WNRC) and offered to National Archives and Records
Administration when 30 years old. (b) Consumer complaints and
inquiries of a routine nature are held for two years, then may be
transferred to WNRC, and destroyed when five years old. (c) Computer
tapes and one record copy of reports are retained in OCC for three
years, then transferred to WNRC, and offered to NARA when 20 years
old.
System manager(s) and address:
Compliance Management, Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219.
Notification procedure:
Individuals who wish to be notified if they are named in the system
or to gain access to records maintained in the system may write or
call the Director of Compliance Management to obtain this information.
They must provide their name, address, name of subject bank, complaint
identification number, if available, and the approximate date. The
requesting individual will only be provided an affirmative or negative
answer. If additional information is requested, procedures under
access must be followed.
Record access procedures:
Access to a record can be requested by writing to the Disclosure
Officer, Communications Division, Office of the Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Contesting record procedures:
Decisions by the district offices can be appealed to the Director of
Compliance Management. Such an appeal is the final level of
administrative action available to persons filing complaints.
Record source categories:
The initial source is from the person filing a complaint against a
national bank or the person making an inquiry about a bank or banking
issue. Subsequent sources are from bank correspondence, bank files, or
from reports based on on-site investigations.
Exemptions claimed for the system:
None.
Treasury/Comptroller .012
System name:
Freedom of Information Index and Log--Treasury/Comptroller.
System location:
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
Categories of individuals covered by the system:
Persons making requests under the Freedom of Information Act (FOIA).
Categories of records in the system:
List of names of persons making requests under the Freedom of
Information Act.
Authority for maintenance of the system:
12 U.S.C. 1 and 12 U.S.C. 9, 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Any party within or outside of the office of the Comptroller of the
Currency or the Department of Treasury who wishes to review the
Freedom of Information Act request log may do so by contacting or
writing to the Director of Communications.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
Log is arranged sequentially by case number of a Freedom of
Information Act request. Log entries can be sorted by name of
requester.
Safeguards:
Unlocked file cabinet.
Retention and disposal:
Records are updated periodically to reflect changes and are
maintained as long as needed.
System manager(s) and address:
Disclosure Officer, Communications, 250 E Street, SW, Washington, DC
20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
request containing the following elements: (1) Identify the record
system; (2) Identify the category and type of records sought; (3)
Indicate the location of the Comptroller of the Currency Office where
the record might be stored; and (4) Provide at least two items of
secondary identification (date of birth, employee identification
number, date(s) of employment or similar information).
Record access procedures:
Persons wishing to review the FOIA log/index should contact the
Disclosure Officer, Communications, 250 E Street, SW, Washington, DC
20219.
Contesting record procedures:
Submit requests to the Disclosure Officer, Communications at the
above address.
Record source categories:
Persons making requests under Freedom of Information Act.
Exemptions claimed for the system:
None.
Treasury/Comptroller .013
System name:
Enforcement and Compliance Information System.
System location:
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
Computerized records of Suspicious Activity Reports (SAR),
administrative actions with status updates, are managed by FinCEN,
Department of the Treasury, pursuant to a contractual agreement, and
are stored at the IRS Computing Center in Detroit, Michigan.
Authorized personnel at the Federal financial regulatory agencies have
on-line access to the computerized database managed by FinCEN through
individual work stations that are linked to the database central
computer.
Categories of individuals covered by the system:
Directors, officers, employees, shareholders, agents, and persons
participating in the conduct of the affairs of entities regulated by
the OCC who have been involved in suspected criminal activity or
suspicious financial transactions and referred to law enforcement
officials; and/or who have been involved in irregularities, violations
of law, unsafe or unsound practices and/or breaches of fiduciary duty
and have been the subject of an administrative action taken by the
OCC.
Categories of records in the system:
SAR filed by national banks and/or by national bank examiners or
attorneys for the OCC. The SAR contains information identifying the
financial institution involved, the suspected person, the type of
suspicious activity involved, the amount of loss known, and any
witnesses. Also, administrative actions taken by the OCC against
directors, officers, employees, shareholders, agents, and persons
participating in the conduct of the affairs of entities regulated by
the OCC.
Authority for maintenance of the system:
12 U.S.C. 481, 1817(j), 1818 and 1820; 15 U.S.C. 78c(a)(34), 78l(i),
78u, 78o-4.
Purpose(s):
The overall system serves as a central OCC repository for
investigatory or enforcement information related to the responsibility
of the OCC to examine and supervise entities regulated by the OCC.
The system maintained by FinCEN serves as the database for the
cooperative storage, retrieval, analysis, and use of information
relating to Suspicious Activity Reports made to or by the Federal
financial regulatory agencies and FinCEN to various law enforcement
agencies for possible criminal, civil, or administrative proceedings
based on known or suspected violations affecting or involving persons,
financial institutions, or other entities under the supervision or
jurisdiction of such Federal financial regulatory agencies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used to: (1) Provide the
Department of Justice with periodic reports that indicate the number,
amount, individual identity, and other details concerning outstanding
potential criminal violations of the law that have been referred to
the Department; (2) Provide the Federal financial regulatory agencies
and FinCEN with information relevant to their operations; (3) Disclose
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (4) Provide information or records to any appropriate
domestic or foreign governmental agency or self-regulatory
organization charged with the responsibility of administering law or
investigating or prosecuting violations of law or charged with
enforcing or implementing a statute, rule, regulation, order, policy,
or license; (5) Disclose, when considered appropriate, information to
a bar association, or other trade or professional organization
performing similar functions, for possible disciplinary action; (6)
Disclose information, when appropriate, to international and foreign
governmental authorities in accordance with law and formal or informal
international agreements; (7) Disclose the existence, but not
necessarily the content, of information or records in cases where the
OCC is a party or has direct interest and where the OCC, in its sole
discretion, has concluded that such disclosure is necessary; (8)
Disclose information to any person with whom the OCC contracts to
reproduce, by typing, photocopying or other means, any record within
this system for use by the OCC and its staff in connection with their
official duties or to any person who is utilized by the OCC to perform
clerical or stenographic functions relating to the official business
of the OCC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage::
Records are maintained on magnetic media and in paper and card files.
Retrievability:
Computer output, file folders, and card files are retrievable by
indexes of data fields, including name of financial institution and
individuals' names.
Safeguards:
Paper and card files are stored in lockable metal file cabinets.
Computer disks maintained at the OCC are accessed only by authorized
personnel. The database maintained by FinCEN complies with applicable
security requirements of the Department of the Treasury. On-line
access to the information in the database is limited to authorized
individuals who have been specified by each Federal financial
regulatory agency and FinCEN, and each such individual has been issued
a non--transferable identifier or password.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Director, Enforcement and Compliance Division, and Director,
Securities and Corporate Practices Division, Law Department, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219.
Notification procedure:
Certain records in this system are exempt from notification and
record--access requirements and requirements that an individual be
permitted to contest its contents under 5 U.S.C. 552a(j)(2) and (k)(2)
as relating to investigatory material compiled for law enforcement
purposes. Requests relating to records not subject to the exemption
should be sent to: Director, Public Affairs, 250 E Street, SW,
Washington, DC 20219.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Suspicious activity reports and related historical information and
updating forms compiled by the OCC and the other Federal financial
regulatory agencies for law enforcement purposes. The OCC will also
include information from its Enforcement and Compliance Information
System.
Exemption claimed for the system:
Components of this system have been designated as exempt from 5 U.S.C.
552(a)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2) and (k)(2).
Effective date:January 23, 1996.
Treasury/Comptroller .014
System name:
Personnel Security/Investigation Files/Employee/Applicant Reference
File--Treasury/Comptroller.
System location:
Comptroller of the Currency, Human Resources Division, 250 E Street,
SW, Washington, DC 20219. Components of this system are geographically
dispersed throughout six (6) district offices. Contact District
Offices for addresses of field offices within their jurisdiction. (See
addresses listed in Appendix of OCC District Offices.)
Categories of individuals covered by the system:
Applicants for employment with and employees of the Comptroller of
the Currency.
Categories of records in the system:
Compilation of material for a determination regarding employability
and/or Security Clearance.
Authority for maintenance of the system:
12 U.S.C. 1 and 9; 5 U.S.C. 301; and EO 10450 and 12356.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Locked steel file cabinets located in a room secured with a key lock.
Retrievability:
Filed in alphabetical order.
Safeguards:
Locked Steel file cabinets located in a room secured with a key lock.
Only the security officer within the Human Resources area have access.
Retention and disposal:
Materials are retained for three months after employee leaves and the
records are disposed by shredding.
System manager(s) and address:
Deputy Comptroller for Resource Management, Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system must submit a
request containing the following elements: (1) Identify the record
system; (2) Identify the category and type of records sought; (3)
Provide at least two items of secondary identification (date of birth,
employee identification number, dates of employment or similar
information).
Record access procedures:
Contact the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219.
Contesting record procedures:
Submit requests to the Disclosure Officer, Communications Division,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219.
Record source categories:
The information contained in these records is provided by subject of
the record--employers, co-workers, friends, neighbors and associates,
and finances.
Exemptions claimed for the system:
Portions of this system have been designated as exempt from certain
provisions of the Privacy Act pursuant to 5 U.S.C. 552a (k)(5).
Treasury/Comptroller .015
System name:
Chain Banking Organizations System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219; 1114 Avenue of the Americas, Suite 3900, New
York, NY 10036; Marquis One Tower, Suite 600, 245 Peachtree Center
Avenue NE, Atlanta, GA 30303; One Financial Place, Suite 2700, 440
South LaSalle Street, Chicago, IL 60605; 2345 Grand Avenue, Suite 700,
Kansas City, MO 64108; 1600 Lincoln Plaza, 500 North Akard, Dallas, TX
75201; 50 Fremont Street, Suite 3900, San Francisco, CA 94105.
Categories of individuals covered by the system:
Individuals who directly, indirectly, or in concert with others, own
and/or control a chain banking organization.
Categories of records in the system:
The Chain Banking Organizations System consists of word processing
and microprocessing programs which perform editing, updating and
reporting functions on two types of data: (1) Name of an individual
(or group of individuals acting in concert) that owns or controls a
chain banking organization and (2) information concerning individual
chain banks, such as; name, location, charter number, charter type,
date of last examination, percentage of outstanding stock owned by
controlling individual or group and, if applicable, name of
intermediate holding entity and percentage of it held by controlling
individual or group.
Authority for maintenance of the system:
12 U.S.C. 1, 12 U.S.C. 481, 12 U.S.C. 1817(j).
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The system may be used to: (1) Disclose information about specific
chain banking organizations to other financial institution supervisory
authorities for: (a) Coordination of examining resources when the
chain banking organization is composed of banks or financial
institutions subject to multiple supervisory jurisdiction; (b)
coordination of evaluations and analysis of the condition of the
consolidated chain group; (c) coordination of supervisory, corrective
or enforcement actions. (2) Disclose information to the extent
provided by law or regulation and as necessary to report any apparent
violations of law to appropriate law enforcement agencies. (3)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation. (4) Disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit. (5) Disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings. (6) Provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
These records are maintained in a computer data base and on computer
floppy disks or hard copy printouts stored in file cabinets.
Retrievability:
All retrievable records are indexed by district location, state,
alphabetically by surname of the individual(s) and/or entity
controlling the chain banking organization.
Safeguards:
Access to records in electronic storage systems is restricted by user
identification procedures and passwords which limit access to
authorized employees of the Office. Computer disks and hard copy
printouts will be stored in locked file cabinets when the Office is
vacant.
Retention and disposal:
Records are generally maintained in electronic storage disks in an
off-line capacity until needed. Certain records are archived in off-
line storage. All records, including those in printout form, are
periodically updated to reflect changes and maintained as long as
needed.
System manager(s) and address:
Senior Deputy Comptroller for Bank Supervision Operations, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20019. District Offices - The Deputy Comptroller for each District is
responsible for assuring the accuracy and routine maintenance of that
portion of the System applicable to the district.
Notification procedure:
Individuals who wish to be notified if they are named in the system
shall submit a signed, written request to the appropriate District
Office (or to the System Manager at the address listed). The request
must contain: (1) The requestor's name and address; (2) the name of
the system of records; and (3) the name and location of the bank(s)
which they control individually or in concert with others. In order to
avoid excessive delay and unneeded correspondence, individuals
requesting notification should simultaneously request access to
records pertaining to them.
Record access procedures:
Portions of this system of records may be accessed under the Privacy
Act for purposes of inspection by identified controlling individuals
for the express purpose of verifying that their relationships are
accurately recorded.
Contesting record procedures:
Individuals who wish to contest a record in the system must submit a
signed written request to the Senior Deputy Comptroller for Bank
Supervision Operations, Office of the Comptroller of the Currency, 250
E Street, SW, Washington, DC 20219.
The requests should contain: (1) The name and address of the
individual contesting the record; (2) the name of the system of
records; (3) the name and location of the chain bank(s) which they
reportedly control individually or in concert with others; and (4) the
specific information being contested and the reason for contesting (it
is believed to be inaccurate, irrelevant, incomplete, etc.).
Record source categories:
Information that identifies chain banking groups primarily is
gathered from: (1) Examination reports and related materials; (2)
regulatory filings; and (3) Change in Bank Control Notices filed
pursuant to 12 U.S.C. 1817 (j).
Exemptions claimed for the system:
None.
Treasury/Comptroller .016
System name:
Litigation Information System (LIS)--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219.
Categories of individuals covered by the system:
LIS covers: (a) Individuals who file administrative or judicial
claims against the OCC and/or officials or employees of the OCC in
their capacity as such, against whom the OCC files claims, or who are
parties to claims in which the OCC participates, but is not a party;
(b) All other individuals, including actual or potential witnesses,
involved in litigation brought by or against the OCC or in which the
OCC participates as a nonparty; (c) persons submitting requests for
testimony and/or production of documents pursuant to 12 CFR 4.19.
Categories of records in the system:
All records generated in connection with the litigation including
evidentiary material, transcripts of testimony, documents prepared for
administrative or judicial proceedings, correspondence, requests for
information pursuant to 12 CFR 4.19, and staff memoranda.
Authority for maintenance of the system:
12 U.S.C. 1 and 481; 15 U.S.C. SS78c(a)(34), 78l(I), 78o-4.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information contained in these records may be used to: (1)
Provide the Department of Justice with pleadings, memoranda,
correspondence, litigation reports, and other documents that will
assist it in the preparation of litigation involving the OCC; (2)
disclose information to the news media in accordance with guidelines
contained in 28 CFR 50.2, which covers the release of information
relating to civil and criminal proceedings; (3) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosure to opposing counsel or
potential or actual witnesses in the course of discovery, in
litigation or settlement negotiations, or in response to a subpoena,
where relevant or potentially relevant to the proceeding; (4) provide
information or records to any other appropriate domestic or foreign
governmental agency or self-regulatory organization charged with the
responsibility of administering law or investigating or prosecuting
violations of law or charged with enforcing or implementing statutes,
rules, regulations or orders pursuant thereto; (5) disclose
information to bank and consumer groups; (6) disclose information to
any person with whom the OCC contracts to reproduce, by typing,
photocopy or other means, any record within the system of records for
use by the OCC and its staff in connection with their official duties
or to any person who is utilized by the OCC to perform clerical or
stenographic functions relating to the official business of the OCC.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are maintained in file folders kept in
lockable file cabinets.
Retrievability:
Access to the records is by name of the individual litigant(s).
Safeguards:
Records are accessible only to authorized personnel.
Retention and disposal:
Records are updated periodically to reflect changes and are
maintained as long as needed.
System manager(s) and address:
Director, Litigation Division, Law Department, Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in the system or
to gain access to records maintained in the system must submit a
request containing the following elements: (1) Identity of the record
system; (2) identity of the category and type of records sought; (3)
the location of the Comptroller of the Currency office where the
record might be stored; and (4) at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information).
Record access procedures:
Contact the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219.
Contesting record procedures:
Submit comments to the Disclosure Officer, Communications Division,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219.
Record source categories:
Individuals who file claims against or otherwise are involved in
legal proceedings with the OCC and/or an official or employee thereof
in his or her capacity as such; communications and documents generated
or received by the OCC, its officials or employees in the course of
the legal proceedings; applications and other filings made with the
OCC pursuant to law.
Exemptions claimed for the system:
None.
Treasury/Comptroller .221
System name:
Professional Qualifications Records for Municipal Securities
Principals, Municipal Securities Representatives, and U.S. Government
Securities Associated Persons--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency, 250 E Street SW,
Washington, DC 20219. Records stored in computerized files are
maintained off premises at the National Association of Securities
Dealers, 9513 Key West Avenue, Rockville, Maryland 20850.
Categories of individuals covered by the system:
Persons who are or seek to be associated with a municipal securities
dealer or a government securities broker/dealer which is a national or
District of Columbia bank, or a department, division, or subsidiary of
any such bank, in the capacity of municipal securities principals,
municipal securities representatives, or government security
associated person.
Categories of records in the system:
These records contain identifying information, detailed educational
and occupational histories, certain professional qualifications,
examination information, disciplinary histories, and information
concerning the termination of employment of individuals covered by the
system. Identifying information includes name, address history, date
and place of birth, and may include Social Security number.
Authority for maintenance of the system:
Section 15B(c), 17 and 23 of the Securities Exchange Act of 1934 (15
U.S.C. 78o-4(c)(5), 78o-5(a)(1)(B)(ii), 78q and 78w); and the general
authority of the National Banking Laws, 12 U.S.C. 1 et seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information contained in these records may be subject to the
following uses: (1) Referral to the appropriate governmental
authority, whether Federal, State, local, or foreign, or to the
appropriate self-regulatory organization, of such information as may
indicate a violation or potential violation of law, regulation or
rule. (2) Referral to the appropriate court, magistrate, or
administrative law judge of such information as may be relevant to
proceedings before any such court or judicial officer. (3) Disclosure
of such information as may aid in the resolution of any action or
proceeding: (a) In which the Federal securities or banking laws are at
issue; (b) In which the propriety of any disclosure of information
contained in the system is at issue; or (c) To which the Comptroller
of the Currency or a past or present member of its staff is a party or
otherwise involved in an official capacity. (4) Disclosure to a
Federal, State, local, or foreign governmental authority, or to a
self-regulatory organization, of such information as may be necessary
to obtain from such authority or organization additional information
concerning the qualifications of an individual covered by the system.
(5) Disclosure of such information as may be necessary to respond to a
request from a Federal, State, local, or foreign governmental
authority, or from a self-regulatory organization, for information
needed in connection with the issuance of a license, granting of a
benefit, or similar action by such authority or organization affecting
an individual covered by the system. (6) Disclosure of such
information as may be necessary to respond to any Congressional
inquiry undertaken at the request of an individual covered by the
system.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and on magnetic media.
Retrievability:
Records are indexed by name of individual, and by a numerical
identifier assigned by the National Association of Securities Dealers.
Safeguards:
File folders are stored in lockable metal cabinets and computer
memory discs are accessed only by Authorized Personnel.
Retention and disposal:
Records are updated periodically to reflect changes and maintained
thirty (30) years.
System manager(s) and address:
Capital Markets Division, Office of the Chief National Bank Examiner,
Office of the Comptroller of the Currency, 250 E Street SW,
Washington, DC 20219.
Notification procedure:
Inquiries, including name, date and place of birth, should be
addressed to the System Manager. Inquirers may be required to include
a notarized statement attesting to identity.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Those individuals, and municipal and U.S. Government securities
dealers described in the section entitled ``Categories of Individuals
Covered by the System'' provide the bulk of the information in the
system. Additional input is provided by Federal, State, local, and
foreign governmental authorities, and by self-regulatory
organizations, which regulate the securities industry.
Exemptions claimed for the system:
None.
Treasury/Comptroller .300
System name:
Administrative Personnel System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Components of this system are geographically
dispersed throughout six (6) district offices. Contact District
Offices for addresses of field offices within their jurisdiction. (See
addresses listed in Appendix of OCC District Offices.)
Categories of records in the system:
Employment related administrative records. This system contains
internal control type information about employees and contractual
users of agency facilities and systems. The type of records found
within this system are: List of individuals who are issued building
passes, credit or identification cards, parking permits, accountable
property and travel documents; lists of individuals who perform
specialized duties (building wardens, relocation teams, safety
officers, and civil defense officers); reports about individuals who
are involved in accidents while employed, and authorization codes for
use of internal computer systems.
Authority for maintenance of the system:
General authority -- 12 U.S.C. 1 and 9, 5 U.S.C. 301. Specific
authority is derived from a number of laws, regulations and Executive
Orders. Individuals wishing to obtain more detailed information should
write to the Disclosure Officer, Communications, 250 E Street, SW,
Washington, DC 20219.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1) The
Office of Personnel Management (OPM) for the purpose of complying with
regulations issued by the OPM; (2) the General Services Administration
(GSA) for the purpose of complying with regulations issued by the GSA;
(3) the Department of Labor for the purpose of investigating claims
for work related injuries.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, magnetic tape, lists and forms.
Retrievability:
Records are retrieved primarily by name (filed alphabetically by
category of records); secondary identifiers are used to assure
accuracy (date of birth, social security number or employee
identification number).
Safeguards:
Records are stored in lockable cabinets or secure rooms; access is
limited to officials who have a need for the information; employees
are trained to make only authorized disclosures.
Retention and disposal:
Personnel-type records are retained for thirty (30) days after
termination. All other records are retained and destroyed in
accordance with published disposition and retention schedules.
Individuals wishing more detailed information should write to the
Disclosure Officer, Communications, 250 E Street, SW, Washington, DC
20219.
System manager(s) and address:
Senior Deputy Comptroller for Administration, 250 E Street, SW,
Washington, DC 20219; Director, Multinational and Regional Bank
Supervision, 250 E Street, SW, Washington, DC 20219 (multinational
records only).
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Indicate the location of the Comptroller of the
Currency office where last employed; (4) Provide at least two items of
secondary identification (date of birth, employee identification
number, dates of employment or similar information).
Record access procedures:
Access to a record can be requested by writing to the Disclosure
Officer, Communications, 250 E Street, SW, Washington, DC 20219.
Contesting record procedures:
Submit requests to the Disclosure Officer at the above address.
Record source categories:
The information in these records was provided by or verified by the
subject of the record, employers and co-workers.
Exemptions claimed for the system:
None.
Treasury/Comptroller .310
System name:
Financial System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency and Financial Management
Division, 250 E Street, SW, Washington, DC 20219. Components of this
system are geographically dispersed throughout six (6) district
offices as well as Washington, DC. (See addresses listed in appendix
of OCC District Offices.)
Categories of individuals covered by the system:
Present and past employees of the Office of the Comptroller of the
Currency.
Categories of records in the system:
This system contains payroll and disbursement type records including:
Travel records, debt information, and information about employees. The
types of records found within this system are: Award, allowance,
salary, fund advancement justification and disbursement records;
personnel information; leave information; payroll deductions for
taxes, life and health insurance, financial institutions, retirement
funds including the Federal Employees Retirement System and the Civil
Service Retirement System, Thrift Savings Plan, and charitable groups.
Authority for maintenance of the system:
General authority -- 12 U.S.C. 1, 5 U.S.C. 301. Individuals wishing
to obtain more detailed information should write to the Deputy
Comptroller, Communications, Office of the Comptroller of the
Currency, Communications, 250 E Street, SW, Washington, DC 20219.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Furnish the Internal Revenue Service and other jurisdictions which are
authorized to tax the employee's compensation, with wage and tax
information in accordance with a withholding agreement with the
Department of the Treasury pursuant to 5 U.S.C. 5516, 5517, and 5520;
(2) furnish the Office of Personnel Management (OPM) with data to
update the Central Personnel Data File and other statistical reports
as required for the purpose of complying with regulations issued by
OPM; (3) furnish another Federal agency information to effect
interagency salary offset; to furnish another Federal agency
information to effect interagency administrative offset, except that
addresses obtained from the Internal Revenue Service shall not be
disclosed to other governmental agencies; and to furnish a debt
collection agency information for debt collection services. Current
mailing addresses acquired from the Internal Revenue Service are
routinely released to debt collection agencies for collection
services; (4) the General Services Administration (GSA) for the
purpose of complying with regulations issued by GSA; (5) the General
Accounting Office for the purpose of conducting audits; (6) entities
designated to receive payroll deductions; (7) Department of Labor to
determine eligibility for unemployment benefits; (8) disclose
information to a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to opposing
Counsel or witnesses in the course of civil discovery, litigation or
settlement negotiations in response to a subpoena, or in connection
with criminal law proceedings.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552(b)(12) and section 3 of the Debt
Collection Act of 1982; Debt information concerning a government claim
against an individual is also furnished in accordance with 5 U.S.C.
552a(b)(12) and section 3 of the Debt Collection Act of 1982 (Pub. L.
97-365), to consumer reporting agencies to encourage repayment of an
overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders, magnetic media including computer discs
and tapes, microfiche, and hard copy printout. Disbursement records
are stored at the Federal Records Center.
Retrievability:
Records are retrieved primarily by name (filed alphabetically), or an
assigned identification number (Social Security Number or an assigned
identification number). Secondary identifiers are used to assure
accuracy of data assessed, including date of birth, Social Security
number, or employee identification number.
Safeguards:
File folders are stored in lockable cabinets or secure rooms; access
is limited to officials who have a need for the information; employees
are trained to make only authorized disclosures. Computer records are
accessed only by authorized personnel.
Retention and disposal:
Payroll and disbursement records are retained by the Office in
accordance with the Comptroller of the Currency's Comprehensive
Records Disposition Schedule. Individuals wishing further information
should write to the Disclosure Officer, Communications, 250 E Street,
SW, Washington, DC 20219.
System manager(s) and address:
Deputy Comptroller for Systems and Financial Management, 250 E
Street, SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
or gain access to records maintained in this system or contest any
records contained in the system must submit a request containing the
following elements: (1) Identify the record system; (2) Identify the
category and type of records sought; (3) Indicate the location of the
Comptroller of the Currency office where last employed; and (4)
Provide at least two items of secondary identification (date of birth,
employee identification number, dates of employment or similar
information).
Record access procedures:
Submit request to the Disclosure Officer, Communications, 250 E
Street, SW, Washington, DC 20219.
Contesting record procedures:
See Record access procedures above.
Record source categories:
The information contained in these records is provided by or verified
by the subject of the record and OCC employees.
Exemptions claimed for the system:
None.
Treasury/Comptroller .320
System name:
General Personnel System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Components of this system are geographically
dispersed throughout six (6) District Offices. (See addresses listed
in Appendix of OCC District Offices.)
Categories of individuals covered by the system:
Present and past employees and applicants for employment.
Categories of records in the system:
Employment related biographical and performance material. This
category of records is typically identified as personnel type records
and contains data about employees and applicants. The records found
within this category include: Performance evaluations; educational,
employment, medical and military histories; employee benefit
applications, forms and claims; travel and relocation claims; locator
and emergency contact information; dependent and beneficiary
information; physical and qualification descriptions; financial
interest statements; personal and family assets, liabilities and other
interests in business enterprises.
Authority for maintenance of the system:
General authority -- 12 U.S.C. 1 and 9, 5 U.S.C. 301. Specific
authority is derived from a number of laws, regulations and Executive
Orders. Individuals wishing to obtain more detailed information should
write to the Deputy Controller, Communications, 250 E Street, SW,
Washington, DC 20219.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record in this system may be disclosed as a routine use to: (1) The
Office of Personnel Management (OPM) for the purpose of complying with
regulations issued by the OPM; (2) the Veterans Administration (VA)
for the purposes of determining veterans preference and pension
benefits; (3) the Equal Employment Opportunity Commission for the
purpose of providing minority information and case reports; (4)
respond to requests from labor organizations for names of employees
and identifying information; (5) the Department of Labor for the
purpose of reporting health and safety matters; (6) the General
Services Administration (GSA) for the purpose of complying with
regulations issued by GSA; (7) the Merit Systems Protection Board for
the purpose of providing necessary information relating to employee
appeals; (8) the Department of Labor to provide information relative
to Unemployment Compensation and OWCP claims.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, magnetic media, microfiche, printouts, lists and forms.
Retrievability:
Records are retrieved primarily by name (filed alphabetically by
category of records). Secondary identifiers are used to assure
accuracy (date of birth, Social Security number or employee
identification number).
Safeguards:
Records are stored in lockable cabinets, electronic data bases
requiring security access codes or secure rooms; access is limited to
officials who have a need for the information; employees are trained
to make only authorized disclosures. Records maintained with vendors
are under contractual obligation to maintain confidentiality.
Retention and disposal:
Most personnel-type records are retained for thirty (30) days after
termination, at which time they are transferred to the Federal Records
Center or destroyed. Some records are retained for varying periods of
time in accordance with Federal Personnel Manual Regulations.
Individuals wishing more detailed information should write to the
Disclosure Officer, Communications, 250 E Street, SW, Washington, DC
20219.
System manager(s) and address:
Deputy Comptroller for Resource Management, 250 E Street, SW,
Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Indicate the location of the Comptroller of the
Currency office where last employed or where application for
employment was made; (4) Provide at least two secondary
identifications (date of birth, employee identification number, dates
of employment or similar information).
Record access procedures:
Disclosure Officer, Communications, 250 E Street, SW, Washington, DC
20219.
Contesting record procedures:
Submit requests to the Disclosure Officer, Communications, 250 E
Street, SW, Washington, DC 20219.
Record source categories:
The information contained in these records was provided or verified
by the subject of the record, employers, co-workers, friends,
neighbors and associates listed as references, financial and
educational institutions.
Exemptions claimed for the system:
None.
Treasury/Comptroller .500
System name:
Chief Counsel's Management Information System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Physical components of this system are also
located in district offices.
Categories of individuals covered by the system:
Individuals who have requested information or action from the Law
Department of the Comptroller of the Currency and individuals
referenced in documents received by the Law Department in the course
of the Agency's bank supervisory functions.
Categories of records in the system:
The Chief Counsel's Management Information System consists of one
database: The Work Assignment and Control System; Information
contained in the system includes, inter alia, name of the author and/
or correspondent and the organization to which the author/
correspondent belongs, the date of the correspondence, the city, state
and region in which correspondent organization is located, the work
type, the bank involved, and the subject.
Authority for maintenance of the system:
12 U.S.C. 1, 12 U.S.C. 9, 12 U.S.C. 481, 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in computer data banks, computer tapes
and printouts, and in file cabinets.
Retrievability:
All records are indexed on a variety of data fields including
correspondent name and location, bank name and location, subject,
statutory provisions, and date.
Safeguards:
All records are indexed through computer indices. Only employees
within the Law Department with proper user identification and
passwords have access to the computer banks. Employees are trained to
make authorized disclosures only to those individuals who have a need
for the information. Passwords and user IDs are changed frequently.
Retention and disposal:
Records are generally maintained in the on-line data bank until it is
determined that on-line access is not required. Thereafter the records
are archived in an off-line storage system. Records in file cabinets
are maintained indefinitely.
System manager(s) and address:
Executive Assistant to the Chief Counsel, Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219.
Notification procedure:
Individuals wishing to be notified if they are named in the system or
to gain access to records maintained in the system must submit a
request containing the following elements: (1) Identity of the record
system; (2) identity of the category type of records sought; (3) the
location of the Comptroller of the Currency Office where the record
might be stored; and (4) at least two items of secondary
identification (date of birth, employee identification number, dates
of employment, or similar information). Submit request to the
Disclosure Officer, Communications, 250 E Street, SW., Washington, DC
20219. The system contains records which are exempt under 5 U.S.C.
552a (j)(2) or 552a (k)(2).
Record access procedures:
Same as Notification.
Contesting record procedures:
Same as Notification. Requests should be submitted to the Disclosure
Officer, Communications, Comptroller of the Currency, 250 E Street,
SW, Washington, DC 20219.
Record source categories:
Materials received by the Law Department from various sources
including, inter alia, persons involved in sending inquiries to the
Law Department and documents received by the Law Department in the
course of the Agency's bank supervisory function. The Chief Counsel's
Management Information System contains certain records which have been
designated as exempt from certain provisions of the Privacy Act.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3)(4), (d)(1)(2)(3)(4),
(e)(1)(2)(3)(4), (G), (H), and (I), (e)(5) and (8), (f) and (g) of the
Privacy Act pursuant to 5 U.S.C. 552a (j)(2) and (k)(2).
Appendix A - Addresses of OCC District Offices:
Northeastern District: New York District Office,
1114 Avenue of the Americas, Suite 3900, New
York, NY 10036. (212) 819-9860.
Southeastern District: Atlanta District Office,
Marquis One Tower, Suite 600, 245 Peachtree
Center Ave., NE, Atlanta, GA 30303. (404) 659-
8855.
Central District: Chicago District Office, One
Financial Place, Suite 2700, 44 South LaSalle
Street, Chicago, IL 60605. (312) 663-8000.
Midwestern District: Kansas City District Office,
2345 Grand Avenue, Suite 700, Kansas City, MO
64108-2683. (816) 556-1800.
Southwestern District: Dallas District Office, 1600
Lincoln Plaza, 500 North Akard, Dallas, TX. (214)
720-0656.
Western District: San Francisco District Office, 50
Fremont Street, Suite 3900, San Francisco, CA
94105. (415) 545-5900.
DEPARTMENT OF TREASURY
U.S. Customs Service
Treasury/Customs .001
System name:
Acceptable Level of Competence, Negative Determination--Treasury/
Customs.
System location:
Located in Customs Headquarters Offices and in each Regional,
District, SAC, and appropriate post of duty.
Categories of individuals covered by the system:
Any employee of U.S. Customs Service, who receives a negative
determination regarding acceptable level of competence.
Categories of records in the system:
Employee's name, social security number, position description, grade,
and correspondence containing specific reasons for negative
determination.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (6) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and stored in locked file
cabinets.
Retrievability:
The records are filed by the individual's name.
Safeguards:
Stored in locked cabinets.
Retention and disposal:
Records are retained until the employee leaves the Customs Service.
System manager(s) and address:
Director, Labor and Employee Relations Division, Office of Human
Resources, Customs Headquarters, or Regional Labor and Employee
Relations Division, Regional Headquarters, or appropriate managerial
official in employee's district, SAC, port or post of duty offices.
Notification procedure:
Correspondence with systems manager.
Record access procedures:
Correspondence with systems manager.
Contesting record procedures:
Correspondence with systems manager.
Record source categories:
Information is furnished by the employee, employee's supervisor and
the Merit Systems Protection Board.
Exemptions claimed for the system:
None.
Treasury/Customs .002
System name:
Accident Reports--Treasury/Customs.
System location:
Logistics Management Division, Southeast Region, 99 SE 5th Street,
Miami, FL 33131; Logistics Management Division, U.S. Customs Service,
211 Main Street, San Francisco, CA 94105.
Categories of individuals covered by the system:
Any employee of Southeast Region who has had an accident on
Government property or in an official vehicle since 1973.
Categories of records in the system:
Standard Government forms dealing with accidents and personal
injuries.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Executive Order 11807 and section 19 of Occupational Health & Safety
Act of 1970; 5 U.S.C. 8101-8150, 8191-8193.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to employee's beneficiary in event of death following the
accident or injury or to employee's agent in case of disability; (2)
disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (3) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (4) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (5) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (6) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case folder is maintained in an unlocked drawer in chronological
order by date.
Retrievability:
Each case is identified by employee name and date of accident.
Safeguards:
The metal container described above is maintained within the area
assigned to the Logistics Management Division within the Southeast
Region Headquarters Building. During non-working hours the room in
which the metal container is located is locked.
Retention and disposal:
Accident Record files are retained in accordance with the Records
Disposal Manual.
System manager(s) and address:
Director, Logistics Management Division, Southeast Region,
Headquarters, 99 SE 5th Street; Logistics Management Specialist,
Logistics Management Division, U.S. Customs Service, 211 Main Street,
San Francisco, CA 94105.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information originates with employees who have been injured and/or
have been involved in accidents during the exercise of their official
duties. Also included are witness reports and statements, the
employees' supervisors' statements and doctors' reports.
Exemptions claimed for the system:
None.
Treasury/Customs .005
System name:
Accounts Receivable--Treasury/Customs.
System location:
Financial Management Division, National Finance Center, U.S. Customs
Service, 6026 Lakeside Blvd., Indianapolis, IN 46278; Financial
Management Division, District and Ports, 99 SE 5th Street, Miami, FL
33131; U.S. Customs Service, Financial Management Division, Increase
and Refund Section, 6 World Trade Center, New York, NY 10048;
Financial Management Division, U.S. Customs Service, South Central
Region, 1440 Canal Street, New Orleans, LA 70112.
Categories of individuals covered by the system:
Persons owing money for Customs duties and services and money owed to
persons for overpayment of excessive duties and services.
Categories of records in the system:
Correspondence and documentation of telephone calls with debtors and
creditors or their representatives.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data is stored in file folders which are contained in an unlocked
metal file cabinet.
Retrievability:
The file is retrieved by the name of the individual which is kept in
alphabetical order within the work area of the Collection Section.
Safeguards:
The files are located within an office that is locked during non-
working hours. The building is guarded by uniformed security police
and only authorized persons are permitted entry to the building.
Retention and disposal:
The file is retained until collection or refund is effected and two
(2) years thereafter, then destroyed.
System manager(s) and address:
Director of Financial Management, 99 SE 5th Street, Miami, FL 33131;
Regional Commissioner, U.S. Customs Service, 6 World Trade Center, New
York, NY 10048; Financial Management Division, U.S. Customs Service,
South Central Region, 1448 Canal Street, New Orleans, LA 70112.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in the system is obtained from data gathered from the
automated billing system and ports of entry.
Exemptions claimed for the system:
None.
Treasury/Customs .009
System name:
Acting Customs Inspector (Excepted)--Treasury/Customs.
System location:
Inspection and Control Division, U.S. Customs Service, Southwest
Region, 5850 San Felipe, Suite 500, Houston, TX 77057; Office of the
District Director, San Diego, CA; Offices of the Port Directors, San
Ysidro, CA; Calexico, CA; Tecate, CA; Andrade, CA; San Diego Barge
Office; U.S. Customhouse, PO Box 111, District Director's Office, St.
Albans, VT 05478.
Categories of individuals covered by the system:
Employees or members of other Federal agencies who are designated by
the District Directors as Customs Inspectors (Excepted).
Categories of records in the system:
System has name, social security number, rank or grade and duty
station of the individual.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
CF 55 forms kept in manila folders in file cabinet.
Retrievability:
Filed alphabetically.
Safeguards:
During non-working hours the offices and/or buildings in which
records are located are locked.
Retention and disposal:
Until individual transfers or designation is canceled. Form is then
destroyed.
System manager(s) and address:
Director, Inspection and Control Division, U.S. Customs Service,
Southwest Region, 5850 San Felipe, Suite 500, Houston, TX 77002;
District Director, Port Directors, and Division Directors, within the
San Diego Customs District (see appendix A.); District Director, U.S.
Customs Service, St. Albans, VT 05478, District Director, 1 LaPontilla
Street, Old PO Box 2112, San Juan, PR 00901.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is supplied by the individual and his or her agency.
Exemptions claimed for the system:
None.
Treasury/Customs .014
System name:
Advice Requests (Legal) (Pacific Region)-Treasury/Customs.
System location:
Office of the Regional Counsel, 211 Main Street, San Francisco, CA
94105.
Categories of individuals covered by the system:
Individuals who are the subject of any request for legal advice by
another office within Customs, another Government agency, or the
private individual himself. An example would be a request by a
District Director for advice as to whether or not a violation of a
Customs law for which a penalty may be assessed has occurred.
Categories of records in the system:
Intra-agency or inter-agency memoranda and reports of investigation
and other documents submitted by the requesting office for use in
handling the request. Correspondence from the private individual
submitting the request.
Authority for maintenance of the system:
5 U.S.C. 301; Reorganization Plan No. 1 of 1950; Treasury Department
Order No. 165, Revised, as amended; Reorganization Plan No. 1 of 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in an alphabetical file folder which is
filed in an unlocked drawer within a metal file cabinet.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name of the individual who is the subject of the request and in
the alphabetical file folder within the metal file cabinet by the name
of the individual who is the subject of the request.
Safeguards:
The metal file cabinet described above is maintained within the area
assigned to the Office of the Regional Counsel within the Federal
Building. During non-working hours the room in which the metal file
cabinet is located is locked, and access to the building is controlled
at all times by uniformed guards.
Retention and disposal:
Request for legal advice files are retained until there is no longer
any space available for them within the metal file cabinet, at which
time files are transferred to the Federal Record Center or destroyed.
System manager(s) and address:
Regional Counsel, 211 Main Street, San Francisco, CA 94105.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information comes from the memoranda or correspondence from the
office or individual requesting the advice and from any supporting
documents that office or individual may transmit.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .021
System name:
Arrest/Seizure/Search Report and Notice of Penalty File--Treasury/
Customs.
System location:
Office of Investigations, Room 228, United States Customs Service,
335 Merchant Street, Honolulu, HI 96813.
Categories of individuals covered by the system:
Persons who are suspected of attempting to smuggle, or have smuggled,
merchandise or contraband into the United States; individuals who have
undervalued merchandise upon entry into the United States; vessels and
aircraft which have been found to be in violation of Customs laws.
Categories of records in the system:
Names of individuals, vessels, aircraft; identifying factors; nature
of violation or suspected violation; circumstances surrounding
violation or suspected violation; date and place of violation or
suspected violation; and on-site disposition actions.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each report is assigned a case number and filed accordingly in a
locked, metal file located in the Office of Investigations.
Retrievability:
Each report is identified in a manual alphabetical card file by the
name of the individual, vessel or aircraft.
Safeguards:
In addition to being stored in a locked metal cabinet, these records
are located in a locked room, the keys of which are controlled and
issued only to authorized personnel.
Retention and disposal:
These records are retained for one year (1) or until action has been
completed.
System manager(s) and address:
Office of Investigations, U.S. Customs Service, Post Office Box 1641,
Honolulu, HI 96806.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I) and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .022
System name:
Attorney Case File-Treasury/Customs.
System location:
The Chief Counsel, U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW., Washington, DC 20229; Office of the Regional
Counsel of each Region (for addresses see ``Regional Commissioner of
Customs'' section, appendix A). District Counsel of Customs, 200 E.
Bay Street, Charleston, SC 29401; District Counsel of Customs, 880
Front Street, Room 5-S-9, San Diego, CA 92188; District Counsel of
Customs, PO Box 2450, San Francisco, CA 94216; District Counsel of
Customs, c/o Special Agent in Charge, 909 1st Avenue, Room 4100,
Seattle, WA 98174; District Counsel of Customs, 6585 Montana Street,
Suite 100, El Paso, TX 79925; Resident Counsel, U.S. Customs Service
Academy, Building 67-FLETC, Glynco, GA 31524; Assistant Chief Counsel
(CIT), U.S. Customs Service, Room 258, 26 Federal Plaza, New York, NY
10007; Assistant Chief Counsel (NFC), National Logistics Finance
Center, U.S. Customs Service, PO Box 68914, Indianapolis, IN 46278.
Categories of individuals covered by the system:
Individuals who are subject of adverse actions, equal employment
opportunity complaints, unfair labor practice complaints, and
grievances; individuals who are the subject of Customs license or
other administrative revocation or suspension proceedings; individuals
who are the subject of or have requested legal advice from the various
offices; individuals requesting access to information pursuant to any
statute, regulation, directive, or policy to disclose such
information, including individuals who are the subject of a Federal or
state administrative or judicial subpoena; individuals who have filed
or may file claims under the various Federal claims acts; individuals
who are parties in litigation with the United States government or
subunits or employees or officers thereof, in matters which affect or
involve the United States Customs Service; individuals who are seeking
relief from fines and penalties and forfeitures assessed for
violations of the law and regulations administered by Customs;
individuals who have outstanding Customs bills submitted for
collection; and individuals who have challenged contracting decisions
of the agency.
Categories of records in the system:
This system of records consists of a computer database containing
information designed to allow the system manager to track matters
which have come into his or her office. The categories of records
maintained in the file folders which are indexed by computer system
are personnel actions; administrative revocation or suspension
proceedings; intra-agency or inter-agency memoranda, reports of
investigation, and other documents relating to the request for legal
advice; claims and cases in administrative and judicial litigation;
requests, information, records, documents, internal Customs Service
memoranda, or memoranda from other agencies and related materials
regarding the disclosure of information.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended;
28 U.S.C. 2672, et. seq.; 28 CFR 14.1, et. seq.; 31 CFR 3.1, et. seq.;
31 U.S.C. 3701 et. seq.; 31 CFR part 4; 5 U.S.C. 552, 31 CFR part 1,
Reorganization Plan No. 1 of 1965; Government employee laws found in
Title 5 of the United States Code; government contracting laws found
in Titles 31, 40, and 41 of the United States Code; and the Customs
laws and regulations found in Title 19 of the United States Code and
Code of Federal Regulations, respectively.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The computerized indices are maintained in computer data base. Each
file is maintained in a numbered file folder which is filed in an
unlocked drawer in the responsible attorney's office, a metal file
cabinet, or a storage room at the local system manager's location.
Retrievability:
Through the use of the computer located at the local system manager's
location, each file is retrievable by name, number and title.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel. During non-working hours the rooms in which the files are
located are locked. During working hours, the rooms in which the files
are located are under control of the staff of the local systems
manager.
Retention and disposal:
The file folders are retained in accordance with the Federal Records
Retention Manual.
System manager(s) and address:
See systems location above.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates from the subject
individual, U.S. Customs employees, Reports of Investigation, Customs
penalty case files, other government agencies, parties involved in
administrative and judicial litigation, administrative proceedings
regarding disciplinary action taken against Customs Service employees,
Equal Opportunity complaints, unfair labor practice complaints,
parties involved in administrative revocation or suspension
proceedings, individuals or employees requesting legal advice, and
from the parties requesting disclosure of information.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .028
System name:
Baggage Declaration--Treasury/Customs.
System location:
Located at the St. Albans District, Northeast Region.
Categories of individuals covered by the system:
Persons required to make a written baggage declaration.
Categories of records in the system:
Name, address, items declared and value.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In file folders in file cabinet.
Retrievability:
By name, date and flight number.
Safeguards:
Available to authorized Customs personnel only.
Retention and disposal:
Free entry declarations are retained for three (3) years, then
destroyed. Dutiable declarations are retained for three years at the
port, seven years at the Federal Record Center, and then destroyed.
System manager(s) and address:
District and Port Directors.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The individual who files the baggage declaration.
Exemptions claimed for the system:
None.
Treasury/Customs .030
System name:
Bankrupt Parties-in-Interest--Treasury/Customs.
System location:
U.S. Customs Service, Director, National Finance Center, PO Box
68907, Indianapolis, Indiana 46268
Categories of individuals covered by the system:
Individuals indebted to U.S. Customs.
Categories of records in the system:
Listed by name, address, port of service, bill number, and dollar
amount of delinquent receivables.
Authority for maintenance of the system:
Pub. L. 89-508, the ``Federal Claims Collection Act of 1966''; 5
U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Cases are maintained in file folders at work site.
Retrievability:
Alphabetical order by name.
Safeguards:
These cases are placed in locked cabinets during non-working hours.
The building is guarded by uniformed security police.
Retention and disposal:
As satisfaction is received, cases are closed. Records are maintained
per Records Control Manual FIS-4 No. 124.
System manager(s) and address:
Director, U.S. Customs, National Finance Center, 6026 Lakeside
Boulevard, Indianapolis, IN 46268.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The source of information is obtained from individuals, bankruptcy
courts, Customhouse brokers, and sureties.
Exemptions claimed for the system:
None.
Treasury/Customs .031
System name:
Bills Issued Files--Treasury/Customs.
System location:
Director, U.S. Customs, National Finance Center, PO Box 68907.
Categories of individuals covered by the system:
Individuals to whom bills have been issued.
Categories of records in the system:
Correspondence received from or sent to individuals in relation to
bills issued by the United States Customs Service.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Individual alphabetical file folders in file cabinet.
Retrievability:
Access by name of individual.
Safeguards:
The file cabinet is maintained in the offices of the Director,
National Finance Center. During non-working hours the room/building in
which the file is located is locked. Access is limited to authorized
personnel.
Retention and disposal:
Correspondence is maintained for a period of three (3) years then
destroyed.
System manager(s) and address:
Director, U.S. Customs, National Finance Center, PO Box 68907,
Indianapolis, Indiana 46268.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information consists of copies of letters or memoranda issued to
or received from individuals. Records of phone calls and copies of
documents related to the individual's transaction.
Exemptions claimed for the system:
None.
Treasury/Customs .032
System name:
Biographical Files (Headquarters)--Treasury/Customs.
System location:
Public Information Division, U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229, and the Regional Public
Information offices located at the addresses listed in Customs
appendix A.
Categories of individuals covered by the system:
General biographical records are maintained on all Customs employees
for news release and public information purposes.
Categories of records in the system:
General biographical information including home address, date and
place of birth, educational background, work experience, honors and
awards, hobbies, and other information.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information is maintained in file cabinets in the Public Information
Division at Customs Headquarters.
Retrievability:
File folders are identified by the name of the person and are filed
in alphabetical order.
Safeguards:
The office in which the records are located is locked during non-
working hours and the building is guarded by uniformed guards.
Retention and disposal:
Files are retained during the individual's tenure as an employee of
the Customs Service, after which the files are destroyed.
System manager(s) and address:
Director, Public Information Division, U.S. Customs Service
Headquarters, 1301 Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The individual involved, Customs personnel officers and co-workers.
Exemptions claimed for the system:
None.
Treasury/Customs .040
System name:
Carrier File--Treasury/Customs.
System location:
Located in the Office of the District Director, Terminal Island, San
Pedro, CA; Office of the District Director, San Diego, CA; Offices of
the Port Directors, Los Angeles International Airport, Los Angeles,
CA; Office of the District Director, Terrace and International
Streets, Nogales, AZ 85621; San Ysidro, CA; Tecate, CA; Calexico, CA;
Andrade, CA; San Diego Barge Office.
Categories of individuals covered by the system:
Officers or owners, employees, associates of Customs Bonded Carriers.
Categories of records in the system:
Name, date of birth, social security number, place of birth and other
information relating to Officers, Associates, employees, etc., of
Bonded Carriers.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended,
and the Customs Regulations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manila folder in file cabinet.
Retrievability:
Filed by name of company or individual.
Safeguards:
Building locked during non-working hours.
Retention and disposal:
Records retained until obsolete, then destroyed by burning.
System manager(s) and address:
District Director, Port Directors, and Division Directors within the
San Diego Customs District; District Director, Terminal Island, San
Pedro, CA, and Port Director, Los Angeles International Airport, Los
Angeles District; District Director, U.S. Customhouse, Nogales, AZ
85621. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Customs Bonded Carriers' employees and correspondence.
Exemptions claimed for the system:
None.
Treasury/Customs .041
System name:
Cartmen or Lightermen--Treasury/Customs.
System location:
Customs ports, districts, and regional offices. (See Customs appendix
A.)
Categories of individuals covered by the system:
Individuals and firms who have applied for or hold a license as a
bonded cartman or lighterman and individuals employed by cartman or
lightermen.
Categories of records in the system:
Internal Customs Service memoranda and related materials regarding
applications for licenses and identification cards, reports of
investigations for approving these licenses and identification cards
and card files showing outstanding identification cards and their
location. Files also include fingerprint cards.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
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 to:
(1) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information in this system is contained in a metal file cabinet
in the office maintaining the system, or on magnetic disc.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name of the licensed cartman or lighterman and in the alphabetical
file folder by the name of the licensed cartman or lighterman. Each
employee's record is filed in a manual alphabetical card file cross-
referenced with company names.
Safeguards:
The file is placed in a metal file cabinet at the work site. At
locations where work is not performed on a 24-hour basis the work area
is locked and only authorized persons are permitted in the building.
Retention and disposal:
Files are reviewed at least once a year at which time canceled I.D.
cards may be removed. Closed CF 3078's may also be removed, but
normally are held for approximately three years in case a new
application is received from the same company or transferred to
another company after a new investigation.
System manager(s) and address:
Port Directors, District Directors, and Regional Commissioners of the
U.S. Customs Service. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .042
System name:
Case and Complaint File--Treasury/Customs.
System location:
Office of the Regional Counsel, U.S. Customs Service, North Central
Region, 55 E. Monroe Street, Room 1417, Chicago, IL 60603.
Categories of individuals covered by the system:
Any individual initiating a court case or against whom a court case
is brought; any individual involved in a personnel action, either
initiating a grievance, discrimination complaint, or unfair labor
practice complaint against the U.S. Customs Service or against whom a
disciplinary or other adverse action is initiated; claimants or
potential claimants under the Federal Tort Claim Act; individuals
involved in accidents with U.S. Customs Service employees; U.S.
Customs Service employees involved in accidents; persons seeking
relief from fines, penalties and forfeitures and restoration of
proceeds from the sale of seized and forfeited property; requesters
under the Freedom of Information Act.
Categories of records in the system:
The System contains the individual's name, the type of case, the
uniform filing guide number, the Regional Counsel's office file
number, by whom the matter was referred, the district where the action
originated, if applicable.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (2) provide information to
unions recognized as exclusive bargaining representatives under the
Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each alphabetical card is inserted in a metal file drawer.
Retrievability:
Each card is identified alphabetically by the individual's name
described in Category of Individual and the filing is alphabetically
used by last name.
Safeguards:
The metal filing drawer containing the alphabetical cards described
above is maintained within the area assigned to the Office of the
Regional Counsel, North Central Region at 55 E. Monroe Street,
Chicago, IL 60603. During non-working hours, the room in which the
metal filing drawer is located is locked and access to the building is
controlled at all times by uniformed guards with a check-in system for
employees. Only employees of the Regional Counsel's office and
authorized building personnel have keys to the building.
Retention and disposal:
These files are retained until there is no longer space available for
them within the metal filing drawer at which time the oldest cards for
closed files will be transferred to the storage area within the
confines of the office. The storage area is a large area containing
cardboard boxes and metal storage cabinets, unable to be locked.
System manager(s) and address:
Regional Counsel of Customs, Room 1417, United States Customs
Service, 55 E. Monroe Street, Chicago, IL 60603.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained on these cards originates with the
initiation of any action by an individual which is channeled through
the Regional Counsel's office. Additional information is identifying
information for locating the particular case file relating to the
court case, personnel action, tort claim, relief petition, or request
under the Freedom of Information Act.
Exemptions claimed for the system:
None.
Treasury/Customs .043
System name:
Case Files (Regional Counsel-South Central Region)--Treasury/Customs.
System location:
The system is located at 1440 Canal Street, New Orleans, LA 70112,
Office of the Regional Counsel, South Central Region, United States
Customs Service.
Categories of individuals covered by the system:
(1) The first category of individuals on whom records are maintained
in the system includes employees who have filed adverse actions, equal
employment opportunity complaints, and grievances within the South
Central Region; employees who have filed tort claims under the
Military Personnel and Civilian Employees Act; employees of the
Regional Counsel's staff with regard to travel, training, evaluations,
and other related personnel records; and applications for employment
submitted to the Office of the Regional Counsel by prospective
employees. (2) The second category of individuals on whom records are
maintained in the system includes those individuals not employed by
the agency who have filed equal employment opportunity complaints;
tort claims under the Federal Tort Claims Act; tort claims filed under
the Small Claims Act; individuals who have outstanding Customs bills
submitted for collection; individuals, corporations, partnerships, and
proprietorships who have filed supplemental petitions on fines,
penalties, and forfeitures within the South Central Region; files
relating to individuals, corporations, partnerships, and
proprietorships upon whom criminal case reports are prepared pending
litigation and prosecution for violation of 19 U.S.C. 1305, 18 U.S.C.
542, 18 U.S.C. 545, 18 U.S.C. 549, 18 U.S.C. 1001, 18 U.S.C. 496, and
18 U.S.C. 371; on individuals, corporations, partnerships, and
proprietorships who have filed supplemental petitions submitted in
civil and technical violations for 19 U.S.C. 1592, 19 U.S.C. 1453, 19
U.S.C. 1448, 19 U.S.C. 1584, irregular deliveries, shortages and
overages; and miscellaneous civil and technical violations.
Categories of records in the system:
The categories of records maintained in the system are personnel
actions; tort claims; collection efforts; supplemental petitions for
fines, penalties, and forfeitures cases in the South Central Region;
criminal case reports for pending litigation and prosecution of cases
in the South Central Region; supplemental petitions for civil and
technical violations committed within the South Central Region; and
employment applications for positions in the Office of the Regional
Counsel, South Central Region.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are currently maintained in alphabetical file folders
which are filed in two steel filing cabinets in the Office of the
Regional Counsel, South Central Region, and they are maintained under
lock and key outside the ordinary business hours.
Retrievability:
Records maintained by the Office of the Regional Counsel, South
Central Region, are retrievable by identifying the character of the
record (i.e., adverse action, grievance, tort claim, criminal case),
then by comparable statute or regulation, and then alphabetically by
name and identifier. In addition, each case file is similarly
identified on the alphabetical file folder within the steel filing
cabinet.
Safeguards:
The steel filing cabinets described above are maintained within the
area assigned to the Office of the Regional Counsel, 1440 Canal
Street, New Orleans, LA 70112. During non-working hours the room in
which the locked steel cabinets are located is locked, and access to
the building is controlled at all times by uniformed guards. The
policies and practices of the Office of the Regional Counsel regarding
access controls are that only members of the staff of the Office of
the Regional Counsel have access to the records maintained by the
office.
Retention and disposal:
Individual records are placed into a file of closed cases by category
as stated above, and within each category by name. The oldest closed
cases are forwarded to the Federal Records Center in accordance with
the Treasury Records Control Manual.
System manager(s) and address:
The agency official responsible for the system of records maintained
by the Office of the Regional Counsel is the Regional Counsel, South
Central Region, United States Customs Service, 1440 Canal Street, New
Orleans, LA 70112.
Notification procedure:
See appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The categories of sources of records in this system are the
individual himself and files compiled by the United States Customs
Services by using employers, other government agency resources,
financial institutions, educational institutions attended, and
previous employers. Additional information in these files is also
derived from reports of investigation regarding the enforcement of
civil or criminal statutes, administrative proceedings regarding
disciplinary action taken against Customs Service employees, equal
opportunity complaints, investigations of tort claims, the processing
of interoffice memoranda information requested under the Freedom of
Information Act, and the investigation regarding the collection of
debts due the Government.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .044
System name:
Certificates of Clearance--Treasury/Customs.
System location:
Regional Commissioner, U S. Customs Service, 10 Causeway Street,
Boston, MA 022222.
Categories of individuals covered by the system:
All employees of the Northeast Region, Boston, MA, who have
transferred, retired or resigned.
Categories of records in the system:
Documented detailed information on an ``in-house'' prepared form
indicating that the employee has returned all Government property in
his/her personal possession and that the employee has cleared all
debts owing to Customs such as unearned uniform allowances and travel
advances.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data is stored in file folders by District and name of employee in a
metal file cabinet in the work area of the Payment Section.
Retrievability:
The file is retrievable by District and name of employee.
Safeguards:
The file is located within an office that is locked during non-
working hours. The building is guarded by uniformed security police
and only authorized persons are permitted entry to the building.
Retention and disposal:
The files are kept for 10 years and then destroyed.
System manager(s) and address:
Regional Commissioner, U.S. Customs Service, 10 Causeway Street,
Boston, MA 02222.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in the system originates at the District
where the individual is employed.
Exemptions claimed for the system:
None.
Treasury/Customs .045
System name:
Claims Act File--Treasury/Customs.
System location:
Office of the Regional Counsel, Room 7422, New Federal Building, 300
N. Los Angeles Street, Los Angeles, CA 90053.
Categories of individuals covered by the system:
Current or former Customs employees who have filed, or may file
claims under the Military Personnel and Civilian Employees' Claim Act
of 1964 for damage to or loss of personal property incident to their
service.
Categories of records in the system:
Documents relating to the administrative handling of the claim and
documents submitted by the claimant in support of the claim.
Authority for maintenance of the system:
31 U.S.C. 240-243; 31 CFR part 4; Treasury Department Administrative
Circular No. 131, August 19, 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted numerically in a file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified numerically in the file folder within
the metal container by the name of the person who has filed or may
file a claim.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Regional Counsel within the New Federal
Building. During non-working hours the room in which the metal
container is located is locked, and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
These files are retained indefinitely or until there is no longer any
space available for them within the metal container, at which time the
oldest closed files are transferred to the Federal Records Center.
System manager(s) and address:
Regional Counsel, Room 7422, New Federal Building, 300 N. Los Angeles
Street, Los Angeles, CA 90053.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with a Treasury
Department Form No. 3079, Civilian Employee Claim For Loss or Damage
to Personal Property, which is completed and filed with the Customs
Service by the claimant. Additional information contained in these
files may be separately provided by the claimant or by the claimant's
supervisor. Where a claim is not filed, the information is limited to
the investigative reports of damage to or loss of personal property of
a Customs employee.
Exemptions claimed for the system:
None.
Treasury/Customs .046
System name:
Claims Case File--Treasury/Customs.
System location:
Office of Regional Counsel of Customs, 10 Causeway Street, Boston, MA
02222; Office of the District Counsel of Customs, 55 Battery Street,
San Francisco, CA 94120; Office of the Regional Counsel of Customs,
Suite 550, 5850 San Felipe Street, Houston, TX 77057.
Categories of individuals covered by the system:
Parties who have filed claims for damage or injury against the
Government, or against whom the Government has a claim for damage or
injury in matters which affect or involve the U.S. Customs Service;
private individuals or Government employees who are involved in the
incident which gave rise to the claim.
Categories of records in the system:
Reports relative to the circumstances of the claim (including
accident reports provided by Customs personnel, agents' investigative
reports, correspondence between Customs and the claimant or his
representative); reports relative to an individual's ability to pay a
claim for damages.
Authority for maintenance of the system:
28 U.S.C. 2672 et seq.; 28 CFR part 14; 31 CFR part 3; 5 U.S.C. 301;
Reorganization Plan No. 1 of 1950; Treasury Department Order No. 165,
Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records maintained in file folders.
Retrievability:
Records indexed by name of individual making a claim or against whom
a claim is made, cross-referenced file with name of Government
employee, if any, involved.
Safeguards:
Open case files maintained in file cabinets with access by Regional
Counsel and his staff only; closed case files maintained in locked
cabinet with keys retained by Regional Counsel and staff only.
Retention and disposal:
Retained until there is no longer any space available within metal
cabinets, at which time the oldest files are transferred to the
Federal Records Center.
System manager(s) and address:
Regional Counsel of Customs, 10 Causeway Street, Boston, MA 02222;
District Counsel of Customs, 55 Battery Street, San Francisco, CA
94120; Regional Counsel of Customs, Suite 550, 5850 San Felipe Street,
Houston, TX 77057.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files is received from U.S.
Customs employees, reports of investigation, credit checks, private
individuals involved in the claims, other Government agencies and
other individuals with pertinent information.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .050
System name:
Community Leader Survey--Treasury/Customs.
System location:
Equal Employment Opportunity Officer, U.S. Customs Service, Southwest
Region, 500 Dallas Street, Suite 1240, Houston, TX 77002.
Categories of individuals covered by the system:
The names, titles, and organization of persons who may be construed
to be occupying a community leadership role and who may be in a
position to furnish information or have some influence in regard to
the equal employment opportunity program area.
Categories of records in the system:
These records consist of a card index of the names, titles, and
organization of community leaders.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
An alphabetical card listing filed in a metal file cabinet.
Retrievability:
Listed and filed alphabetically.
Safeguards:
The metal file cabinet described above is maintained within the area
assigned to the Equal Employment Opportunity Officer. During non-
working hours this office area is locked and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
To be useful, this information file must be kept current. Non-current
files will be destroyed locally.
System manager(s) and address:
Equal Employment Opportunity Officer, U.S. Customs Service, Southwest
Region, 500 Dallas Street, Suite 1240, Houston, TX 77002.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information included in these files is developed from local
agencies (city, county, state, and Federal) and from local civic
organizations.
Exemptions claimed for the system:
None.
Treasury/Customs .053
System name:
Confidential Source Identification File - Treasury/Customs.
System location:
Components of this system are located in the Office of
Investigations, U.S. Customs Service Headquarters, and the Office of
Internal Affairs, U.S. Customs Service Headquarters, 1301 Constitution
Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
Individuals (sources) supplying confidential information to the U.S.
Customs Service, Office of Enforcement and Office of Internal Affairs.
Categories of records in the system:
This system contains some or all of the following information: Name
(actual or assumed), source (identifying) number, date number
assigned, address, citizenship, occupational information, date and
place of birth, physical description, photograph, miscellaneous
identifying number such as social security number, driver's license
number, FBI number, passport number, Customs Form 4621 documenting
information received from confidential source, amount and date of
monetary payment made to source for information supplied, criminal
record, copy of driver's license, and copy of alien registration card.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended;
19 U.S.C. 1619; and 18 U.S.C. Chapter 27.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and and disposing of records in the system:
Storage:
Records are kept in locked cabinets. Access during working hours is
limited to authorized personnel.
Retrievability:
Office of Investigations and Office of Internal Affairs - The name of
each source is filed in both alphabetical order and by location of the
submitting office.
Safeguards:
In addition to being stored in secure metal cabinets with government
approved locks, the files are located in closely watched rooms of the
Office of Investigations and the Office of Internal Affairs. Personnel
maintaining the files are selected for their reliability, among other
qualities, and afforded access only after having been cleared by a
full field investigation. During non-working hours the rooms in which
the records are located are locked and access to the building is
controlled by uniformed security guards.
Retention and disposal:
The Office of Investigations destroys a file when it no longer has
any utility by either shredding or burning; the Office of Internal
Affairs reviews files annually for relevance and necessity, and when a
file no longer has any utility, it is destroyed either by shredding or
burning.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service Headquarters, 1301 Constitution Avenue, NW, Washington, DC
20229, for those components of the system maintained by the Office of
Investigations; Director, Office of Internal Affairs, (Integrity
Management), U.S. Customs Service Headquarters, 1301 Constitution
Avenue, NW, Washington, DC 20229, and for those components of the
system maintained by the Office of Internal Affairs.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act for
the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of
contesting the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(2).
Treasury/Customs .054
System name:
Confidential Statements of Employment and Financial Interests--
Treasury/Customs.
System location:
Located in each Headquarters and Regional Office.
Categories of individuals covered by the system:
Those employees as listed in Treasury Personnel Manual Chapter 735
Subpart C, Section 0.735-320, and the currently effective edition of
Customs Circular PER-2-PER (Subject: Personnel; Departmental Rules of
Conduct and Requirements Concerning Financial Statement).
Categories of records in the system:
Form SF-450 Executive Branch Confidential Financial Disclosure
Report.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked safe.
Retention and disposal:
Records are destroyed two (2) years after employee leaves a position
in which a statement is required, or two (2) years after the employee
leaves the agency, whichever is earlier.
System manager(s) and address:
Assistant Commissioners, Headquarters, and Regional Commissioners.
Notification procedure:
Write to systems manager.
Record access procedures:
Write to systems manager.
Contesting record procedures:
Write to systems manager.
Record source categories:
Individuals required to submit Form SF-450.
Exemptions claimed for the system:
None.
Treasury/Customs .056
System name:
Congressional and Public Correspondence File--Treasury/Customs.
System location:
Office of Field Operations (Administrative Staff), U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
Those persons sending letters of inquiry or complaint concerning
Customs activities and procedures.
Categories of records in the system:
Incoming correspondence, the agency's reply, and related materials.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Correspondence records are maintained in file folders and on a
computer system.
Retrievability:
Correspondence records are identified by the name of the person
making inquiry or complaint. They are retrievable by name.
Safeguards:
Access to the records is granted only to authorized Customs
personnel. During non-working hours the room in which the records are
located is locked and access to the building is controlled by
uniformed security police.
Retention and disposal:
The records are maintained from two to five years and then destroyed
or retired to the Federal Records Center as appropriate.
System manager(s) and address:
Director, Workforce Effectiveness and Development Staff, U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Correspondence and related records and materials.
Exemptions claimed for the system:
None.
Treasury/Customs .057
System name:
Container Station Operator Files--Treasury/Customs.
System location:
Offices of District Directors, North Central Region, Chicago, IL (see
Customs appendix A).
Categories of individuals covered by the system:
Present and past container station operators and employees that
require an investigation and related information.
Categories of records in the system:
Report of investigations, application and approval or denial of bond
to act as container station operator and other Customs Service
memoranda. Names, addresses, social security numbers, and dates and
places of birth of persons employed.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended;
Customs Regulations, part 19.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and stored in file cabinets in
each District Director's office within the North Central Region,
Chicago, IL.
Retrievability:
Each file is identified by the name of the container station
operator.
Safeguards:
The file cabinets are maintained within the area assigned to the
District Director. During non-working hours, the room and/or building
in which the file cabinet is located is locked.
Retention and disposal:
These files are disposed of in accordance with the Treasury Records
Control Manual. Employee name data retained for period of employment
with container station operator.
System manager(s) and address:
District Director, each district within the North Central Region,
Chicago, IL. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this file originates from the individual applicant
for container station operator bond, from reports of investigation and
other Customs memoranda.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .058
System name:
Cooperating Individual Files--Treasury/Customs.
System location:
These files are located in regional and local Customs Office of
Investigations Offices within the United States. (See Customs'
appendix A.)
Categories of individuals covered by the system:
Persons providing confidential information to the U.S. Customs
Service Office of Investigations.
Categories of records in the system:
These records include: Assumed names; actual names; code numbers;
addresses; telephone numbers; physical descriptions; miscellaneous
identifying numbers such as social security numbers, driver's license
number, etc., date individual's record was established; amount and
date of reward paid for information supplied.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All files and indices relating to cooperating individuals are stored
in metal file cabinets secured with combination locks in a government
secured building.
Retrievability:
The name of each cooperating individual is filed in alphabetical
order by assumed name and by actual name. The indices are maintained
in the same alphabetical order and are also cross-referenced by the
Office of Enforcement alphanumeric code number. All other identifying
data is used for verification of identity rather than method of
retrieval.
Safeguards:
In addition to being stored in secure metal cabinets with government
approved locks, the metal files are kept locked when not in use and
located in a closely watched room of the Office of Investigations.
Personnel maintaining the files are selected for their reliability
among other qualities, and they are afforded access only after having
been cleared by a full field investigation. The files are given the
same treatment as material classified as Secret. During duty hours,
Office of Investigations personnel maintain visual control and during
off-duty hours the area containing the files is locked.
Retention and disposal:
Retention periods have been established for records contained in the
file in accordance with the Treasury Records Control Manual. When a
file no longer has any utility, it is destroyed either by shredding or
burning.
System manager(s) and address:
The Assistant Regional Commissioner (Investigations); the Special
Agent in charge in regional SAC Offices; and the Resident Agent in
charge in suboffices of the Special Agent in charge. (See Customs
appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .061
System name:
Court Case File--Treasury/Customs.
System location:
Office of the Regional Counsel, Room 7422, New Federal Building, 300
N. Los Angeles Street, Los Angeles, CA 90053; Office of the District
Counsel, 555 Battery Street, San Francisco, CA 94120; Office of the
Regional Counsel, U.S. Customs Service, North Central Region, 55 E.
Monroe Street, Room 1417, Chicago, IL 60603; Office of the District
Counsel, 909 First Avenue, Seattle, Washington 98174.
Categories of individuals covered by the system:
Persons who are parties in litigation with the United States
Government or subunits or employees or officers thereof, in matters
which affect or involve the United States Customs Service.
Categories of records in the system:
Court documents with exhibits, reports of investigations, internal
Customs Service memoranda summarizing or relating to the matter in
controversy and other background information relating to the subject
matter or origin of the litigation.
Authority for maintenance of the system:
28 U.S.C. 2676, 19 U.S.C. 1603, 5 U.S.C. 301; E.O. 6166; Treasury
Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in a numerical file folder which is filed
in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified by the name of the person against whom
the Government has initiated the litigation, or by the name of the
person who initiated the litigation against the Government.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Regional Counsel. During non-working
hours the room in which the metal container is located is locked, and
access to the building is controlled at all times by uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space available
for them within the metal container, at which time the oldest closed
files are transferred to the Federal Records Center.
System manager(s) and address:
Regional Counsel, Room 7422, United States Customs Service, 300 N.
Los Angeles Street, Los Angeles, CA 90053; District Counsel, U.S.
Customs Service, 555 Battery Street, San Francisco, CA 94120; Regional
Counsel, Room 1417, U.S. Customs Service, 55 E. Monroe Street,
Chicago, IL 60603; District Counsel, U.S. Customs Service, 909 First
Avenue, Seattle, Washington 98174.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with a request by
a District Director to the appropriate United States Attorney that he
institutes suitable judicial action to enforce the forfeiture of
merchandise and vehicles, or the value thereof, which had been
imported or used in violation of the Customs laws, and upon which
final administrative action has taken place. Information in this file
also originates with the filing of a complaint by a private person
against the Government, and by the filing of a complaint by the
Government against private persons or former employees to enforce the
collection of debts due the Government. Information in the files is
also derived from reports of investigation regarding the enforcement
of civil or criminal statutes and denial of tort claims.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .064
System name:
Credit Card File--Treasury/Customs.
System location:
National Logistics Center, U.S. Customs Service, Fleet and Property
Management Section, 6026 Lakeside Blvd., Indianapolis, IN 46278.
Categories of individuals covered by the system:
Headquarters Customs Service employees to whom national gasoline
credit cards have been issued.
Categories of records in the system:
Credit card numbers, names, and signatures of employees to whom
credit cards have been issued, and the date of issuance.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Alphabetically by name or by credit card number.
Retrievability:
A portion of the index cards are identified by the name of the person
to whom the credit card was issued in the case of credit cards which
have been permanently assigned to higher level Customs Service
officers and such index cards are filed alphabetically. The remainder
of the index cards relate to credit cards which are issued to Customs
Service officers or employees on a one-transaction basis, and these
index cards are filed by the applicable credit card number.
Safeguards:
Index cards are maintained and stored in a secured room with limited
accessibility. The building is guarded by uniformed security police,
and only authorized persons are permitted in the building.
Retention and disposal:
Index cards filed alphabetically by name are filed during the period
that the officials named thereon are in possession of the credit
cards, and then these index cards are retained (for audit purposes)
when the officials are no longer in possession of the credit cards.
Index cards are filed by office titles and contain receipt signatures.
System manager(s) and address:
Director, Headquarters Services Division, Office of Logistics
Management, U.S. Customs Service Headquarters, 1301 Constitution
Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system is obtained from Customs Service
records and is also furnished by the officers or employees to whom the
credit cards have been issued.
Exemptions claimed for the system:
None.
Treasury/Customs .067
System name:
Bank Secrecy Act Reports File--Treasury/Customs.
System location:
Computerized Records; U.S. Customs Service, 1301 Constitution Avenue,
NW, Washington, DC 20229; Treasury Enforcement Communications System,
San Diego, CA, with computer terminal access in various Customs and
IRS regional offices. Originals: 4790's -- Customs ports of entry or
departure; 4789's -- Internal Revenue Service, Detroit, MI; 90.22-1's
-- Internal Revenue Service, Detroit, MI; 8362's --Internal Revenue
Service, Detroit, MI.
Categories of individuals covered by the system:
Listing of individuals who filed Form 4790 (Currency and Monetary
Instrument Report), Form 4789 (Currency Transaction Report), Form
90.22-1 (Foreign Banking Account Report), Form 8362 (Currency
Transaction Report by CASINOS).
Categories of records in the system:
Name of individuals and other entities filing the above-referenced
forms, reports of the owners of monetary instruments, the amounts and
kinds of currency or other monetary instruments transported, reported,
or in foreign banking accounts, accounts numbers, addresses, personal
identifiers, dates of birth, etc.
Authority for maintenance of the system:
31 U.S.C. 5311 et seq; 5 U.S.C. 301; 31 CFR part 103; Treasury
Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tapes (original 4790's are stored at the appropriate Customs
port of entry or departure, original 4789's are stored by IRS in
Detroit, MI, original 90 22-1's are stored at Internal Revenue
Service, Detroit, MI and original 8362's are stored at Internal
Revenue Service, Detroit, MI.
Retrievability:
By name and other unique identifiers.
Safeguards:
Procedural and physical safeguards are utilized such as
accountability and receipt access, guards patrolling the area,
restricted access and alarm protection systems, special communication
security, etc.
Retention and disposal:
Indefinite.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act for
the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of
contesting the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(2).
Treasury/Customs .069
System name:
Customs Brokers File--Treasury/Customs.
System location:
Office of the Chief Counsel, Broker Compliance and Evaluation Branch,
Office of Trade Operations; U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229, and Customs regional,
district and port offices.
Categories of individuals covered by the system:
Licensed customs brokers, employees of customs brokers, individuals
or firms who have applied for a broker's license.
Categories of records in the system:
Internal Customs Service memoranda and related material regarding
proposed administrative disciplinary action against customs brokers
for violation of the regulations governing the conduct of their
business; broker applications and related material; notification of
change of business address, organization, name, or location of
business records; status reports; requests for written approval to
employ persons who have been convicted of a felony.
Authority for maintenance of the system:
19 U.S.C. 1641; 19 CFR part 111; 5 U.S.C. 301; Treasury Department
Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in an alphabetical file folder which is
filed in drawers that are capable of being locked and are locked at
the close of business. Some records are in a separate room which is
locked at other than official hours. File cards covering individual
customhouse brokers, corporations, partnerships and trade names are in
files not capable of being locked, but the entire area is locked at
night.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name and in the alphabetical file folder within the metal
container by the name of the customs broker or employees of customs
brokers.
Safeguards:
The files described above are maintained in Customs Service
Buildings. During non-working hours the room in which the files are
located is locked, and access to the building is controlled after
business hours by electronic access and alarm systems and during
business hours access is controlled at all times by a U.S. Customs
Service employee.
Retention and disposal:
Broker files and records of broker's employees are kept indefinitely.
They are periodically updated and removed to an inactive file, as
necessary.
System manager(s) and address:
Chief Counsel; Director, Field Operations Division, Office of Trade
Operations, U.S. Customs Service Headquarters, 1301 Constitution
Avenue, NW, Washington, DC 20229, Customs regional commissioners,
district directors, and port directors.
Notification procedure:
See Customs appendix A.
Record source categories:
The information contained in these files originates from audits of or
investigations into the conduct of customhouse brokers' businesses,
applications for licenses, references as to character, court records,
and local credit reporting services, as well as reports,
notifications, and other applications filed by brokers pursuant to
statutory and regulatory requirements.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .077
System name:
Disciplinary Action, Grievance and Appeal Case Files--Treasury/
Customs.
System location:
Located in the Office of Human Resources, Customs Headquarters, and
in each Regional, SAC Port, and appropriate post of duty offices.
Categories of individuals covered by the system:
Customs employees on whom disciplinary action is pending or has
occurred, and employees who have filed grievances and appeals.
Categories of records in the system:
Records on such action as leave restriction letters, reprimands,
suspensions, adverse actions, etc., and grievance and appeals by
employees. Copies of correspondence, management requests for
assistance, evidentiary materials on which action is contemplated,
proposed or taken, regulatory material, examiners' reports, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in manila folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in a locked file.
Retention and disposal:
Grievance records are maintained for 3 years; discipline and adverse
action records are maintained for four years; and appeals are
maintained for 5 years.
System manager(s) and address:
Director, Labor and Employee Relations Division, Office of Human
Resources, Customs Headquarters, or Regional Labor and Employee
Relations Division, or appropriate managerial official in employee's
district, port, or post of duty.
Notification procedure:
Write to system manager.
Record access procedures:
Request from system manager.
Contesting record procedures:
Write to the system manager.
Record source categories:
Supervisors and supervisory records and notes; evidentiary materials
supporting planned, proposed, or accomplished actions; grievance
letters submitted by employee, grievance examiner, etc.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .078
System name:
Disclosure of Information File-Treasury/Customs.
System location:
Boston Regional Counsel, U.S. Customs Service, 10 Causeway Street,
Suite 801, Boston, MA 02222-1056 ; Office of the Regional Counsel,
U.S. Customs Service, North Central Region, 55 E. Monroe Street, Room
1417, Chicago, IL 60603; Office of the Regional Counsel, 211 Main
Street, San Francisco, CA 94105.
Categories of individuals covered by the system:
Persons requesting access to information pursuant to the Freedom of
Information Act or any other statute, regulation, directive or policy
to disclose such information.
Categories of records in the system:
Requests, information, records, documents, internal Customs Service
memoranda, or memoranda from other agencies and related materials
regarding disclosure of the information.
Authority for maintenance of the system:
5 U.S.C 552, 31 CFR part 1, 19 CFR part 103, 5 U.S.C. 301; Treasury
Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in file folder which is filed in an
unlocked drawer within a metal container.
Retrievability:
Each case file is identified in the file folder within the metal
container by the name of the person requesting disclosure.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Regional Counsel within the Customhouse.
During non-working hours the room in which the metal container is
located is locked, and access to the building is controlled at all
times by uniformed guards.
Retention and disposal:
Customhouse broker files are retained until there is no longer any
space available for them within the metal container, at which time the
oldest files are transferred to the Federal Records Center.
System manager(s) and address:
Regional Counsel, Room 125, U.S. Customhouse, 40 South Gay Street,
Baltimore, MD 21202; Regional Counsel, Room 1417, U.S. Customs
Service, 55 E. Monroe Street, Chicago, IL 60603; Regional Counsel, 211
Main Street, San Francisco, CA 94105.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates from the requests
for information filed with the Customs Service which may pertain to
any information contained in the files of the U.S. Customs Service.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .081
System name:
Dock Passes--Treasury/Customs.
System location:
District Director's office, U.S. Customs Service, 228 Federal
Building, 335 Merchant Street, Honolulu, HI 96813.
Categories of individuals covered by the system:
Consulate staff members, brokers, private individuals, etc.
Categories of records in the system:
Form lists following information: Pass number; port; date of issue;
name of individual; organizational affiliation; expiration date of
pass; and vessel name.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
3 x 5 card box, loose leaf binder.
Retrievability:
By name.
Safeguards:
Building locked during non-working hours.
Retention and disposal:
Retained until expiration.
System manager(s) and address:
District Director, U.S. Customs Service, 228 Federal Building, 335
Merchant Street, Honolulu, HI 96806.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Individual applicants.
Exemptions claimed for the system:
None.
Treasury/Customs .083
System name:
Employee Relations Case Files-Treasury/Customs.
System location:
Office of Human Resources, U.S. Customs Service, Washington, DC
20229, and in each Headquarters, Region, District, SAC, and
appropriate post of duty office.
Categories of individuals covered by the system:
Records maintained on the benefit aspects of employment such as,
workers' and unemployment compensation, leave, health and life
insurance, retirement, suggestions, awards, etc. and employees who
have requested assistance with these programs.
Categories of records in the system:
Copies of initiating correspondence and Customs correspondence and
any forms submitted by or completed on behalf of the employee.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in a locked file.
Retention and disposal:
Maintained for period of time employee remains with Customs. Records
destroyed upon separation of employee.
System manager(s) and address:
Director, Labor and Employee Relations Division, Office of Human
Resources, U.S. Customs Service, Washington, DC 20229, Regional Labor
and Employee Relations Divisions, and in District, SAC, Port and
appropriate post of duty offices.
Notification procedure:
Write to systems manager-providing your name and social security
account number.
Record access procedures:
Write to systems manager.
Contesting record procedures:
Write to systems manager.
Record source categories:
Individuals and offices depending on the problem.
Exemptions claimed for the system:
None.
Treasury/Customs .092
System name:
Exit Interview--Treasury/Customs.
System location:
Office of Human Resources (OHR) Division, Washington, DC.
Categories of individuals covered by the system:
Employees terminating from the Customs Service.
Categories of records in the system:
Individual's name, position, time in grade and position, time with
Customs, organization designation, supervisor's name and answers to
various questions about employment with Customs.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Forms are kept in manila folders.
Retrievability:
By organization or by name.
Safeguards:
Locked office.
Retention and disposal:
Retained in accordance with the requirements of the Treasury Records
Control Manual.
System manager(s) and address:
Director, Human Resources Division. (See location above.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information obtained from departing employee and employee's
supervisor.
Exemptions claimed for the system:
None.
Treasury/Customs .096
System name:
Fines, Penalties and Forfeiture Control and Information Retrieval
System--Treasury/Customs.
System location:
U.S. Customs Service, Office of Trade Operations, Fines, Penalties
and Forfeiture Branch, 1301 Constitution Avenue, NW, Washington, DC
20229, and each Customs Service District Office in the United States
and Puerto Rico.
Categories of individuals covered by the system:
Individuals and/or businesses who have been fined, penalized or have
forfeited merchandise because of violations of Customs and/or related
laws or breaches of bond conditions.
Categories of records in the system:
Individual and business names, address, personal identifying numbers,
date and type of violation, parties entitled to legal notice or who
are legally liable, case information, bond and petition information,
and actions (administrative) taken by U.S. Customs. Also included are
actions taken by violator prior to the disposition of the penalty or
liquidated damage case.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard copy Customs Form 5955a (Notice of Liquidated Damages Incurred
and Demand for payment) and Customs Form 151 Search/Arrest/Seizure
Report.
Retrievability:
Case number.
Safeguards:
All inquiries are made by officers with a full field background
investigation on a ``need-to-know'' basis only. Procedural and
physical safeguards are utilized such as accountability and receipt
records, guards patrolling the area, restricted access and alarm
protection systems, special communications security, etc.
Retention and disposal:
A maximum of 11 years. Erasure of disc/tapes and shredding and/or
burning of hard copy Customs Form 5955a.
System manager(s) and address:
Director, Office of Trade Operations, U.S. Customs Service, 1301
Constitution Avenue, NW, Washington, DC 20229 and the District
Directors of Customs for each Customs District in the United States
and Puerto Rico.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See access, Customs appendix A.
Record source categories:
Customs Form 5955a (Notice of Penalty or Liquidated Damages Incurred
and Demand for Payment) and CF 151 (Search/Arrest/Seizure Report)
prepared by Customs employees at the time and place where the
violation has occurred.
Exemptions claimed for the system:
None.
Treasury/Customs .098
System name:
Fines, Penalties and Forfeitures Records--Treasury/Customs.
System location:
Customs district offices. (See Customs appendix A.)
Categories of individuals covered by the system:
Individuals and firms who have been administratively charged with
violations of Customs laws and regulations and other laws and
regulations enforced by the Customs Service.
Categories of records in the system:
Entry documentation, notices, investigative reports, memoranda,
petitions, recommendations, referrals and dispositions of fines,
penalties and forfeiture cases.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
19 U.S.C. 66, 1618, 1624; 19 CFR parts 171 and 172.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
or in response to a subpoena, in connection with criminal law
proceedings; (3) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in folders in locked file cabinets and
safes and in the automated FP&F module in the Automated Commercial
System (ACS).
Retrievability:
The records are filed either by numerical sequence using year and
port code, name of individual and/or company, with a cross reference
available through ACS.
Safeguards:
During non-working hours, the records are maintained in locked file
cabinets, locked buildings and buildings guarded by uniform guards or
security detection devices.
Retention and disposal:
The records are retained for one to three years after which they are
either destroyed or forwarded to the Federal Records Center. Automated
records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
District Directors of Customs (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information and representations supplied by importers, brokers and
other agents pursuant to the entry and processing of merchandise or in
the clearing of individuals or baggage through Customs. Information
also includes information gathered pursuant to Customs investigations
of suspected or actual violations of Customs and related laws and
regulations and recommendations and information supplied by other
agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .099
System name:
Fines, Penalties, and Forfeiture Files (Supplemental Petitions)--
Treasury/Customs.
System location:
Office of the District Counsel, 555 Battery Street, San Francisco, CA
94120; Office of Counsel, Room 7422, New Federal Building, 300 North
Los Angeles Street, Los Angeles, CA 90053; Office of the Regional
Counsel, U.S. Customs Service, North Central Region, 55 E. Monroe
Street, Room 1417, Chicago, IL 60603; Office of the District Counsel,
909 First Avenue, Seattle, Washington 98174.
Categories of individuals covered by the system:
Individuals who have filed supplemental petitions for relief from
fines, penalties and forfeitures assessed for violations of the laws
and regulations administered by Customs.
Categories of records in the system:
Petitions and supplemental petitions and other documents filed by the
individual; reports of investigation concerning the fine, penalty or
forfeiture; and documents relating to the internal review and
consideration of the request for relief and decision thereon.
Authority for maintenance of the system:
5 U.S.C. 301; 19 U.S.C. 1618; 19 CFR parts 171 and 172; Treasury
Department Order No. 165, Revised, as amended; Reorganization Plan
No.1 of 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Justice or an individual United States
Attorney to assist that Department or United States Attorney when suit
is filed by the Government in civil prosecution of the fine, penalty
or forfeiture; (2) disclose pertinent information to appropriate
Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (3)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (4) disclose information
to a court, magistrate, or administrative tribunal in the course or
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (5) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in a numerical file folder which is filed
in an unlocked drawer within a metal file cabinet.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name of the petitioner and in the numerical file folder within the
metal file cabinet by the name of the petitioner.
Safeguards:
The metal file cabinet described above is maintained within the area
assigned to the Office of the Regional Counsel within the Federal
Building. During non-working hours the room in which the metal file
cabinet is located is locked, and access to the building is controlled
at all times by uniformed guards.
Retention and disposal:
Supplemental petition files are retained until there is no longer any
space available for them within the metal file cabinet, at which time
the oldest files may be transferred to the Federal Records Center.
System manager(s) and address:
District Counsel, 555 Battery Street, San Francisco, CA 94120;
Regional Counsel, Room 7422, U.S. Customs Service, 300 N. Los Angeles
Street, Los Angeles, CA 90053; Regional Counsel, Room 1417, U.S.
Customs Service, 55 East Monroe Street, Chicago, IL 60603; District
Counsel, 909 First Avenue, Seattle, Washington 98174.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information contained in these files is obtained from the individual
petitioning for relief and from the District Director of Customs
within whose jurisdiction the fine, penalty or forfeiture action lies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .100
System name:
Fines, Penalties and Forfeiture Records (Headquarters)--Treasury/
Customs.
System location:
Penalties Branch, International Trade Compliance Division, U.S.
Customs Service Headquarters, 1301 Constitution Avenue, NW,
Washington, DC 20229 and Fines, Penalties, and Forfeiture Offices at
each Customs Service District Office in the United States and Puerto
Rico.
Categories of individuals covered by the system:
Records are maintained on persons who have been administratively
charged with violating Customs and related laws and regulations and on
persons who have applied for awards of compensation for providing
information regarding such violations.
Categories of records in the system:
Entry documentation, notices, investigative and other reports,
memoranda of information received, petitions, recommendations,
referrals and dispositions of fines, penalties and forfeiture cases
and applications for awards of compensation.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended;
19 U.S.C. 66, 1618, 1624; 19 CFR parts 171 and 172.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are kept in file cabinets in the office and central file
room of the International Trade Compliance Division at U.S. Customs
Service Headquarters and in the storage facilities for the Fines,
Penalties and Forfeitures Office in each Customs Service Districts.
Retrievability:
The records are filed chronologically with a case number given to
each file.
Safeguards:
The records are maintained in the U.S. Customs Service Headquarters
building which is guarded by security police. During non-working
hours, the central file room is locked and the building is guarded by
security police. Records are maintained in each Customs Service
District buildings.
Retention and disposal:
The records are generally retained for five years after closing of
the case. The records are then forwarded to the Federal Records
Center.
System manager(s) and address:
Chief, Penalties Branch, International Trade Compliance Division,
U.S. Customs Service Headquarters, 1301 Constitution Avenue, NW,
Washington, DC 20229, and each Fines, Penalties and Forfeitures
Officer for the United States Customs Service Districts.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information and representations supplied by importers, brokers and
other agents pursuant to the entry and processing of merchandise or in
the clearing of individuals or baggage through Customs. Records also
includes information gathered pursuant to Customs investigations of
suspected or actual violations of Customs and related laws and
regulations and recommendations and information supplied by other
agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .105
System name:
Former Employees--Treasury/Customs.
System location:
Laboratory Division, Room 1508,630 Sansome Street, San Francisco, CA
94111.
Categories of individuals covered by the system:
All past employees of the Customs Laboratory.
Categories of records in the system:
Contains copies of personnel action notices.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may by used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and stored in a metal file
cabinet.
Retrievability:
The record is filed alphabetically by name.
Safeguards:
The file is stored in a metal file cabinet in a private inner office
of a government building protected by 24-hour guard service with
limited access. The file is only used on a ``need-to-know'' basis and
only by the laboratory employees.
Retention and disposal:
Retained in accordance with the Treasury Records Control Manual.
System manager(s) and address:
Director, Laboratory Division, U.S. Customs Service, 630 Sansome
Street, Room 1508, San Francisco, CA 94111.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information contained in personnel action files.
Exemptions claimed for the system:
None.
Treasury/Customs .109
System name:
Handicapped Employee File--Treasury/Customs.
System location:
Human Resources Division, Regional Commissioner of Customs, 55 East
Monroe Street, Suite 1501, Chicago, IL 60603.
Categories of individuals covered by the system:
All employees identified as handicapped.
Categories of records in the system:
Indicates employee's home and organizational location and various
physical and mental handicaps, infirmities and conditions. Also shows
veteran's preference.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
List.
Retrievability:
Lists employees alphabetically by district.
Safeguards:
None at present and none required.
Retention and disposal:
Employee's name removed from list at time of termination.
System manager(s) and address:
Director, Human Resources Division. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Data furnished by employee and employee's physician.
Exemptions claimed for the system:
None.
Treasury/Customs .122
System name:
Information Received File--Treasury/Customs.
System location:
District Division, Room 200, United States Customhouse, La Marina,
Old San Juan, PR 00901; Office of the Special Agent In Charge, 423
Canal St, New Orleans, LA 70130; Office of the District Director, 880
Front Street, San Diego, CA 92318; Offices of the Port Directors, San
Ysidro, CA., Tecate, CA., Calexico, CA., Andrade, CA; San Diego Barge
Office, Offices of the Special Agent In Charge, San Diego, CA., San
Ysidro, CA., Calexico, CA., Tecate, CA; Los Angeles Region. Office of
the District Director, 423 Canal St., New Orleans, LA 70130; Special
Agent In Charge, Room 213, International Trade Center, 250 N. Water
Street, Mobile, AL 36602; Intelligence Support Staff (Pacific Region),
Room 7514, 300 N. Los Angeles Street, Los Angeles, CA 90053; Special
Agent In Charge, 300 Ferry Street, Terminal Island, San Pedro, CA
90731; Resident Agent in Charge, Office of Investigations, PO Box
1385, Nogales, AZ 85621; Special Agent In Charge, Room 7N-FB-05, 301
W. Congress, Tucson, AZ 85701.
Categories of individuals covered by the system:
Persons in whom Customs and/or other government agencies are
interested from a law-enforcement and/or security point of view.
Categories of records in the system:
Name, alias, date of birth or age, personal data, addresses, home and
business telephone number, occupation, background information,
associations, license number and registration number of vehicle,
vessel and/or aircraft, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Files are kept in a locked metal cabinet.
Retrievability:
Records are filed within a metal file.
Safeguards:
The files are located within an office that is locked during non-
working hours. The building is guarded by a central alarm system which
is monitored by local law enforcement agencies, and only authorized
persons are permitted in the building.
Retention and disposal:
Files are retained for a period of three (3) years after which they
are destroyed.
System manager(s) and address:
Director, Special Agent In Charge, United States Custom Service, Room
200, La Marina, Old San Juan, PR 00901; Special Agent In Charge, 423
Canal St., New Orleans, LA 70130; Chief, Air Branch, U.S. Customs
Service, Bldg. 240, Homestead Air Force Base, Homestead, FL 33039;
Director, Regional Agent In Charge, 423 Canal St., New Orleans, LA
70130; District Director, Port Directors, and Division Directors
within the San Diego Customs District: Intelligence Support Staff
(Pacific Region), Room 7514, 300 N. Los Angeles Street, Los Angeles,
CA 90053; Special Agent In Charge, 300 Ferry Street, Terminal Island,
San Pedro, CA 90731; Resident Agent in Charge of Enforcement, PO Box
1385, Nogales, AZ 85621; Special Agent in Charge, Room 7N-FB-05, 301
W. Congress, Tucson, AZ 85701 (see Customs appendix A).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .123
System name:
Injury Notice--Treasury/Customs.
System location:
Regional Commissioner, 423 Canal Street, New Orleans, LA 70130;
District Director, 423 Canal Street, New Orleans, LA 70130; District
Director, 150 N. Royal, Mobile, Alabama 36602; Special Agent-in-
Charge, 108 Decatur St., New Orleans, LA 70150; Special Agent-in-
Charge, 951 Government St., Mobile, AL 36604.
Categories of individuals covered by the system:
Individuals who sustain an injury in performance of duty as an
employee of U.S. Customs.
Categories of records in the system:
Name, date of birth, home address, organization, place of injury,
date and hour of injury, dependents, occupation, cause of injury,
nature of injury, statement of witness, supervisor's report of injury.
Authority for maintenance of the system:
Sections 19 and 24 of the Occupational Safety and Health Act of 1970;
84 Statute 1609, 1614, 29 U.S.C. 668, 673 and the provisions of
Executive Order 11807.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Labor for that agency's official use;
(2) provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (3) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information in this system is contained on CA forms. The CA forms
are filed in folders, alphabetically, and placed in a metal file
cabinet.
Retrievability:
Each CA form is identified by the name of the injured employee and
filed alphabetically in a folder.
Safeguards:
The binder is placed within a metal file container located within an
office that is locked during non-working hours. The building is
guarded by uniformed security personnel and only authorized persons
are permitted in the building.
Retention and disposal:
Notice of injury reports are maintained in the employee's OPF and
disposed of in accordance with the Treasury Records Control Manual.
Copies maintained by the systems manager are maintained at location
for two years and then destroyed.
System manager(s) and address:
Regional Commissioner, 423 Canal Street, New Orleans, LA 70130;
District Director, 423 Canal St., New Orleans, LA 70130; District
Director, 150 N. Royal St., Mobile, Alabama 36602; Special Agent-in-
Charge, 108 Decatur St., New Orleans, LA 70130; Special Agent-in-
Charge, 951 Government St., Mobile, Alabama 36604.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with and consists solely of
information supplied by the injured employee, his supervisor,
appropriate witness and attending physician on CA forms.
Exemptions claimed for the system:
None.
Treasury/Customs .125
System name:
Intelligence Log--Treasury/Customs.
System location:
U.S. Customs Air Branch, Bldg. 240 PM-TUM, Homestead Air Force Base,
Homestead, FL 33030.
Categories of individuals covered by the system:
Persons who are believed to be involved in activities which
constitute, or may develop into, possible violation of Customs and
related laws.
Categories of records in the system:
Internal Customs Service memoranda and related materials regarding
the activities of individuals, vessels, or aircraft believed to be
involved in acts which are contrary to Customs and related laws.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The intelligence log is maintained within a security area.
Retrievability:
A manual, master card index, is maintained for the entire system.
This index includes name and/or numerical identifier.
Safeguards:
The information files and master card index are located within an
office which is locked during non-working hours. The building is
guarded by U.S. Air Force Military Police and only authorized persons
are permitted in the building.
Retention and disposal:
These files are retained until such time that it has been determined
that there is no longer a need for their existence, at which time the
oldest files are destroyed under Customs supervision.
System manager(s) and address:
Chief, Air Branch, U.S. Customs, PM-TUM Bld 240, Homestead Air Force
Base, Homestead, FL 33039.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .127
System name:
Internal Security Records System-Treasury/Customs.
System location:
Office of Internal Affairs, U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229; Investigation Files,
and information relating to investigations conducted by Internal
Affairs.
Categories of individuals covered by the system:
Present and past employees, applicants for positions that require an
investigation, and others that are principals or others in an
investigation, or integrity issue.
Categories of records in the system:
Background investigation files and integrity investigation files.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Investigative records are maintained in computers as well as in file
folders and stored in metal security cabinets secured by government
approved three-position combination locks.
Retrievability:
These records are indexed by name and/or numerical identifier in a
computer.
Safeguards:
In addition to being stored in secure metal containers with
government approved, combination locks, the metal containers are
located in locked rooms, the keys of which are controlled and issued
to the custodians of the files. The security specialists and
administrative personnel who maintain the files are selected for their
experience and afforded access only after having been cleared by a
full-field background investigation and granted appropriate security
clearances for critical sensitive positions. Those departmental
officials who may occasionally be granted access consistent with their
positions to employ and concur in the granting of security clearances
have also been investigated prior to filling critical-sensitive
positions.
Retention and disposal:
The file records are maintained as long as the subject of the
investigation is employed by the U.S. Customs Service and for one (1)
year after the subject terminates employment. The files are then
transferred to the Federal Records Center. Once files are transferred,
they are retained for the following periods of time by the Federal
Records Center and then destroyed: Background investigations-5 years,
Conduct and special inquiry investigations-5 years.
System manager(s) and address:
Director, Office of Internal Affairs (Program Management Staff), U.S.
Customs Service Headquarters, 1301 Constitution Avenue, NW,
Washington, DC 20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act for
the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of
contesting the content of the record.
Record source categories:
Employers; educational institutions; police; government agencies;
credit bureaus; references; neighborhood checks; confidential sources;
medical sources; personal interviews; military, financial,
citizenship, birth and tax records; and the applicants or employee's
personal history and application forms.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2), (k)(2) and (k)(5).
Treasury/Customs .129
System name:
Investigations Record System-Treasury/Customs.
System location:
All Office of Investigations offices located within each Customs
Service Region in the United States and within each Office of
Enforcement office located in a foreign country. (See Customs appendix
A.)
Categories of individuals covered by the system:
Records are maintained on individuals who may bear some necessary
relevance to investigations conducted within the scope of authority of
the Office of Investigations, United States Customs Service. The
categories include but are not limited to: (1) Known violators of U.S.
Customs laws; (2) Convicted violators of U.S. Customs and/or drug laws
in the U.S. and foreign countries; (3) Fugitives with outstanding
warrants, Federal or State; (4) Suspect violators of U.S. Customs or
other related laws; (5) Victims of violations of the U.S. Customs or
related laws.
Categories of records in the system:
The subject records may contain any identifying or other relevant
information on subject individuals which might relate to the following
categories of investigations: Smuggling, Diamonds & Jewelry;
Smuggling, Liquor; Smuggling, Narcotics; Smuggling, All Other;
Prohibited Importations; Navigation, Airplane and Vehicle Violations;
Neutrality Violations; Illegal Exports. Baggage Declaration
Violations; Customhouse Brokers and Customs Attorneys; Applications
for Licenses; Theft, Loss, Damage and Shortage; Irregular Deliveries;
All Other Criminal Cases; Currency Violations. Organized Crime;
Personnel Derelictions; Other Departments, Bureaus and Agencies;
Federal Tort Claims; Personnel Background Investigations.
Undervaluation and False Invoicing; Petitions for Relief; Drawback;
Marking of Merchandise; Customs Bonds; Customs Procedures; Collections
of Duties and Penalties; Trademarks and Copyrights; Foreign Repairs to
Vessels and Aircraft. Classification; Market Value; Dumping;
Countervailing Duties.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended;
19 U.S.C. 2072; Title 19, United States Code; Title 18, United States
Code.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in both hard copy files and on microfiche
which are placed in locked metal containers.
Retrievability:
The record system is indexed on 3 x 5 file cards by the individual's
name and/or identification number and by the investigative case
numbers to which the information relates. The hard copy and microfiche
records are retrieved by means of the investigative case numbers.
Safeguards:
All records are held in steel cabinets and are maintained according
to the requirements of the United States Customs Records Manual and
the United States Customs Security Manual. Access is limited by visual
controls and/or a lock system. During normal working hours, files are
either attended by responsible Office of Investigations employees or
the file area is restricted. The office in which the records are
located is locked during non-working hours and the building is
patrolled by uniformed security guards.
Retention and disposal:
The index cards, the hard copies and microfiche records are retained
in accordance with standard Customs Service record retention and
disposal procedures.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service Headquarters, 1301 Constitution Avenue, NW, Washington, DC
20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act for
the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of
contesting the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(2).
Treasury/Customs .133
System name:
Justice Department Case File--Treasury/Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters, 1301
Constitution Ave., NW, Washington, DC 20229. Office of the Regional
Counsel, Northeast Region, 10 Causeway Street, Boston, MA 02222.
Categories of individuals covered by the system:
Persons who are parties in litigation with the United States
Government or subunits or employees or officers thereof, in matters
which affect or involve the United States Customs Service.
Categories of records in the system:
Litigation report requests and responses thereto, reports of
investigations, internal Customs Service memoranda summarizing or
relating to the matter in controversy and other background information
relating to the subject matter or origin of the litigation.
Authority for maintenance of the system:
28 U.S.C. 507; 19 U.S.C. 1603; 5 U.S.C. 301; E.O. 6166; Treasury
Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Justice or directly to United States
Attorneys upon request to assist in representing the interests of the
Government, the agency or officer or employee involved in the
litigation, or to other agencies involved in the same or similar
litigation; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law
proceedings; (5) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (6) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in file folder which is filed in an
unlocked drawer within a metal container.
Retrievability:
Each case file is identified in the file folder within the metal
container.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Counsel. During non-working hours the
room in which the metal container is located is locked.
Retention and disposal:
The files are retained until there is no longer any space available
for them within the metal container, at which time the oldest files
are transferred to the Federal Records Center.
System manager(s) and address:
Chief Counsel, U.S. Customs Service Headquarters, 1301 Constitution
Avenue, NW, Washington, DC 20229; Regional Counsel, Northeast Region,
10 Causeway Street, Boston, MA 02222.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the request
from an appropriate customs official, the Department of Justice or
directly from a United States Attorney or other Government agency or
officer which results in a communication regarding the particular
case. Information in this file is also derived from reports of
investigation regarding the enforcement of civil or criminal statutes
or regulations, administrative proceedings or any matter affecting or
involving the United States Customs Service or its officers or
employees.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .136
System name:
All Liquidated Damage, Penalty, and Seizure Cases; Prior Violators-
Treasury/Customs.
System location:
Office of the District Director, Fines and Penalties Office, U.S.
Customs Service, 2 India Street, Boston, MA 02109, and Office of the
District Director, Fines and Penalties Office, U.S. Customs Service,
PO Box 1490, St. Albans, VT 05478.
Categories of individuals covered by the system:
Prior violators of Customs Laws: e.g. Customhouse brokers, individual
TIB violators, liquidated damage cases, penalty cases, and seizure
cases.
Categories of records in the system:
Name and case number.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored on 3 x 5 index cards and in file folders.
Retrievability:
Alphabetically; by name.
Safeguards:
In file cabinet in locked room when not in use.
Retention and disposal:
Boston District files are kept for two years and then destroyed on
site. St. Albans District files are kept for five (5) years and then
destroyed.
System manager(s) and address:
Fines and Penalties Officer, U.S. Customhouse, Boston, MA 02109.
Fines and Penalties Officer, Post Office and Customhouse Building, St.
Albans, VT 05478.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is received from the individual at the time the violation
occurs and from penalty notices which are issued in the Penalties
section. Also, the Office of Investigations provides any information
developed during its investigation.
Exemptions claimed for the system:
None.
Treasury/Customs .137
System name:
List of Vessel Agents Employees-Treasury/U.S. Customs.
System location:
Offices of District Directors, North Central Region, Chicago, IL (see
Customs appendix A).
Categories of individuals covered by the system:
Persons employed by Vessel agents.
Categories of records in the system:
Names, addresses, Social Security numbers, and dates and places of
birth of persons employed.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: Provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Open file.
Retrievability:
Alphabetical listing of employees by vessel agent name.
Safeguards:
The file described is maintained in the Offices of the District
Directors in North Central Region, Chicago, IL. During non-working
hours the room/building in which the file is located is locked. Access
limited to authorized Customs personnel.
Retention and disposal:
Employee name retained for period of employment with vessel agent
agency.
System manager(s) and address:
District Director, as appropriate, in North Central Region, Chicago,
IL (see Location above).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Submission of data by importing carrier or his agent.
Exemptions claimed for the system:
None.
Treasury/Customs .138
System name:
Litigation Issue Files--Treasury/Customs.
System location:
Office of Assistant Chief Counsel, Customs Court Litigation, Second
Floor, 26 Federal Plaza, New York, NY 10007.
Categories of individuals covered by the system:
Parties in litigation before the United States Customs Court (or
subunits or employees or officers thereof), and other individuals with
knowledge of the issues in controversy, e.g., trade witnesses, foreign
or domestic manufacturers, etc.
Categories of records in the system:
Litigation report requests and responses thereto, reports of
investigations, internal Customs Service memoranda summarizing or
relating to the matter in controversy and other background information
relating to the subject matter or origin of the litigation.
Authority for maintenance of the system:
19 U.S.C. 1514-1516; 5 U.S.C. 301; Treasury Department Order No. 165,
Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Department of Justice upon request to assist that
Department in representing the interests of the Government, or agency
involved in the litigation; (2) disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (3)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (4) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relates to
an agency's functions relating to civil and criminal proceedings; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each issue file is inserted in a numerical file folder (according to
issue) which is filed in an unlocked drawer within a metal container.
Retrievability:
Each issue filed is cross-indexed in the following card files: (a) By
name of party-plaintiff; (b) by issue; and, (c) by titles of decided
cases.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Assistant Chief Counsel within the
Federal Building. At all times the room in which the metal container
is located is locked, and access to the building is controlled at all
times by uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space available
for them within the metal container, at which time the oldest files
are transferred to the Federal Records Center.
System manager(s) and address:
Assistant Chief Counsel, Customs Court Litigation, Second Floor, 26
Federal Plaza, New York, NY 10007.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the receipt
of protest reports (based on information supplied by the subject
individuals or by their authorized agents or attorneys) from the
various Districts and/or litigation report requests from the
Department of Justice which results in a written report to that
Department regarding the facts of the particular case.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4), (G), (H), and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
Treasury/Customs .144
System name:
Mail Protest File-Treasury/Customs.
System location:
Foreign Mail Branch, 1751 NW 79th Avenue, Miami, FL 33166; District
Director of Customs, 3180 Bladensburg Rd., NE, Washington, DC 20018;
620 East 10th Avenue, Anchorage, AK 99501; 215 1st Avenue North, Great
Falls, MT 59401; 335 Merchant, Honolulu, HI 96813; 909 First Avenue,
Seattle, WA 98714; U. S. Customs Mail Facility, Room 416, 1675-7th
Street, Oakland, California 94645.
Categories of individuals covered by the system:
Individuals who have filed formal protest of the amount of duty
assessed against mail parcels.
Categories of records in the system:
Letters, invoices, and other pertinent documents pertaining to
protests.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are kept in file folders within a metal file cabinet.
Retrievability:
Records are retrievable by name or protest number.
Safeguards:
Access is limited to appropriate personnel and the office is locked
during non-working hours.
Retention and disposal:
Records are maintained and disposed of in accordance with the
Treasury Records Control Manual.
System manager(s) and address:
District Director of Customs, 1751 NW 79th Avenue, Miami, FL 33166;
3180 Bladensburg Rd., NE, Washington, DC 20018; 620 East 10th Avenue,
Anchorage, AK 99501; 215 1st Avenue North, Great Falls, MT 59401; 335
Merchant, Honolulu, HI 96813; 511 NW. Broadway, Portland, OR 97209;
555 Battery Street, San Francisco, CA 94120; 909 First Avenue,
Seattle, WA 98714.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Source of information is from the sender, the addressee, the Customs
value records, and the manufacturer of the item.
Exemptions claimed for the system:
None.
Treasury/Customs .148
System name:
Military Personnel and Civilian Employees' Claims Act File--Treasury/
Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229; Office of the Regional
Counsel, Room 125, U.S. Customhouse, 40 S. Gay Street, Baltimore, MD
21202; Regional Counsel, U.S. Customs Service, 6 World Trade Center,
New York, NY 10048.
Categories of individuals covered by the system:
Persons filing claims under the Military Personnel and Civilian
Employees' Claims Act of 1964.
Categories of records in the system:
Documents relating to the administrative handling of the claim and
documents submitted by the claimant in support of the claim.
Authority for maintenance of the system:
31 U.S.C. 240-243; 5 U.S.C. 301; 31 CFR part 4; Treasury Department
Administrative Circular No. 131, August 19, 1965; Treasury Department
Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted alphabetically in a file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified in a manual alphabetical card file by
the name of the person who filed the claim and alphabetically in the
file folder within the metal container by the name of the person who
filed the claim.
Safeguards:
The metal container described above is maintained within the Customs
Service Building. During non-working hours the room in which the metal
container is located is locked, and access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space available
for them within the metal container, at which time the oldest files
are transferred to the Federal Records Center.
System manager(s) and address:
Chief Counsel, U.S. Customs Service Headquarters, 1301 Constitution
Avenue, NW, Washington, DC 20229; Regional Counsel, U.S. Customhouse,
40 S. Gay Street, Baltimore, MD 21202; Regional Counsel, U.S. Customs
Service, 6 World Trade Center, New York, NY 10048.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the Treasury
Department Form No. 3079, Civilian Employee Claim For Loss or Damage
to Personal Property, which is completed and filed with the Customs
Service by the claimant. Additional information contained in these
files may be separately provided by the claimant or by the claimant's
supervisor.
Exemptions claimed for the system:
None.
Treasury/Customs .151
System name:
Motor Vehicle Accident Reports-Treasury/Customs.
System location:
National Finance Center, U.S. Customs Service,6026 Lakeside Blvd.
Indianapolis, IN 46278.
Categories of individuals covered by the system:
U.S. Customs employees involved in automobile accident while on
official duty.
Categories of records in the system:
Name, social security number, home address, telephone number, age,
title, date of accident, place of accident, make, year, license number
of vehicles, description of accident, information on driver of other
vehicle.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Administrative Circular No. 131, dated August
19, 1965, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations or in
connection with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (6) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in an alphabetical file folder which is
filed in an unlocked drawer in a metal file cabinet.
Retrievability:
Each case file is in a file folder designated by the name of the
Customs employee involved in the automobile accident.
Safeguards:
The metal file cabinet described above is maintained within the area
assigned to the Regional Safety Coordinator within the office of the
Regional Commissioner of Customs. Access to the building during non-
working hours is controlled.
Retention and disposal:
Files are maintained at location for two years and then transferred
to the Federal Records Center where they are retained for four years.
System manager(s) and address:
Each Director, Logistics Management Division in each Regional
Headquarters (see Customs appendix A for addresses).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in these files originates from the employee involved
in the automobile accidents, police report and report of investigation
conducted by the Office of Internal Affairs.
Exemptions claimed for the system:
None.
Treasury/Customs .156
System name:
Narcotic Violator File--Treasury/Customs.
System location:
Fines, Penalties and Forfeitures Office, District Director of
Customs, Room 603, U.S. Federal Building, 111 West Huron Street,
Buffalo, NY 14202.
Categories of individuals covered by the system:
Persons who have been found in possession of any controlled substance
within the Buffalo District.
Categories of records in the system:
Alphabetized cross reference of violators' names and the associated
case numbers assigned to these individuals.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena or in connection with criminal law proceedings;
(4) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Open card file (3 x 5) is kept in metal flip file.
Retrievability:
Narcotic violator files are cross-referenced by a 3 x 5 alphabetized
card which contains both name and case number.
Safeguards:
Open card file kept in the Fines, Penalties and Forfeitures Office
which is locked after working hours. During working hours, a staff
person is always in the office. The building is under 24 hour guard.
Retention and disposal:
File system has a purge date of two years after which cross reference
cards are destroyed and case numbered file is no longer accessible by
name of the individual.
System manager(s) and address:
District Director, United States Customs Service, Room 603, 111 West
Huron Street, Buffalo, NY 14202.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in these files is obtained from Search/Arrest and
Seizure Reports transmitted to the Fines, Penalties and Forfeitures
Office by ports and stations within the District.
Exemptions claimed for the system:
None.
Treasury/Customs .159
System name:
Notification of Personnel Management Division when an employee is
placed under investigation by the Office of Internal Affairs--
Treasury/Customs.
System location:
Human Resources Division, 500 Dallas Street, Houston, TX 77002.
Categories of individuals covered by the system:
Customs employees who are suspected of misconduct.
Categories of records in the system:
A written or telephonic notification made by the Office of Internal
Affairs that an investigation has been opened on an individual
employee.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena or in connection with criminal law proceedings;
(4) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Notifications provided by the Office of Internal Affairs are
maintained in a file folder and stored in a metal security cabinet
equipped with a lock.
Retrievability:
The file contains the name of the employee; therefore, Retrievability
is by the individual's name.
Safeguards:
A metal container, described above, is maintained within the area
assigned to Personnel Management in the One Allen Center Building.
During non-working hours the room in which the metal container is kept
is locked, and access to the building is controlled at all times by
uniformed guards.
Retention and disposal:
The name file is retained until notification has been received that
the investigation has been canceled or on receipt of a report of
investigation from the Office of Internal Affairs.
System manager(s) and address:
Director, Human Resources Division, 500 Dallas Street, Houston, TX
77002.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The only source of notification that an employee has been placed
under investigation is the Regional Director, Internal Affairs.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4), (G), (H), and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a(k)(2).
Treasury/Customs .161
System name:
Optional Retirement List-Treasury/Customs.
System location:
Office of Human Resources, U.S. Customs Service, 1301 Constitution
Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
All employees who are eligible for optional law enforcement
retirement.
Categories of records in the system:
Name, organization code, and service computation date, social
security number and retirement code.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114: (3) determine qualification for FERS position.
Policies and practices for storing, retrieving, accessing retaining, and
disposing of records in the system:
Storage:
Maintained in a locked file cabinet.
Retrievability:
By name.
Safeguards:
Accessible only to the Personnel Officer and to designated
representative. The areas in which these records are stored is locked
during non-working hours, and the building guarded by uniformed
security police.
Retention and disposal:
Records are retained for two years then destroyed.
System manager(s) and address:
Director Enforcement Division, Office of Human Resources, U.S.
Customs Service, 1301 Constitution Avenue, NW, Washington, DC 20044.
Notification procedure:
Director Enforcement Division, Office of Human Resources, U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20044.
Record access procedures:
Director Enforcement Division, Office of Human Resources, U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20044.
Contesting records procedures:
Write to System Manager.
Record source categories:
The information is obtained from the TIPS.
Exemptions claimed for the system:
None.
Treasury/Customs .162
System name:
Organization (Customs) and Automated Position Management System
(COAPMS)--Treasury/Customs.
System location:
Chief Financial Officer, U.S. Customs Service, Washington, DC 20229.
Categories of individuals covered by the system:
All Customs employees by organizational entity.
Categories of records in the system:
Position control number and other personnel data such as social
security number, date of birth, name, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on mag-tape.
Retrievability:
Records are indexed by organizational segment, code, position control
number, and name.
Safeguards:
Limited access.
Retention and disposal:
Records are maintained on mag-tapes until employee separation.
System manager(s) and address:
Director, Human Resources Division, U.S. Customs Service, Washington,
DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
COAPMS is composed of four basic inputs-CF-105 - Position Change
Form- presently prepared by the Headquarters Personnel Branch and
operating offices: Post of Duty Codes-established by the Accounting
Division; Ceilings-established by the Budget Division; and CF-112-a
Request for PPBS Code and Standard Abbreviation of Position. In
addition to these four sources, the IRS payroll tape has many inputs -
1150, 1125, 50, 52, union dues, etc., and Accounting tape K from IRS.
Exemptions claimed for the system:
None.
Treasury/Customs .163
System name:
Outside Employment Requests--Treasury/Customs.
System location:
Located in Headquarters and regional offices and/or appropriate
District, Port, or post of duty office of employee making request.
Categories of individuals covered by the system:
All employees engaged in outside employment.
Categories of records in the system:
Outside employment request.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
CF-3031 kept in manila folder.
Retrievability:
By employee name.
Safeguards:
Locked file cabinet or limited access offices.
Retention and disposal:
Until disengagement from outside employment or employee separation.
System manager(s) and address:
Appropriate managerial official in each headquarters, region,
district, SAC, port of employee.
Notification procedure:
Write to System Manager, provide your name and social security
number.
Record access procedures:
Write to System Manager.
Contesting record procedures:
Write to System Manager, specify changes you are requesting and
provide your name and social security number.
Record source categories:
Employee submission of Form CF-3031.
Exemptions claimed for the system:
None.
Treasury/Customs .165
System name:
Overtime Earnings--Treasury/Customs.
System location:
Inspection and Control Division, San Francisco District, 555 Battery
Street, Room 111, San Francisco, CA 94120; Inspection and Control
Division, Pacific Region, 300 N. Los Angeles Street, Los Angeles, CA
90012; Los Angeles District, Airport Division, Los Angeles
International Airport, 5758 W. Century Boulevard, Los Angeles, CA
90045; District Director, 300 S. Ferry Street, Terminal Island, San
Pedro, CA 90731; District Director, International and Terrace Streets,
PO Box 670, Nogales, AZ 85621; San Diego Barge Office; Offices of the
Port Directors: San Ysidro, CA; Andrade, CA; Calexico, CA; Douglas,
AZ; Las Vegas, NV; Lochiel, AZ; Lukeville, AZ; Naco, AZ; Oxnard, CA;
Phoenix, AZ; San Luis Obispo, CA; San Luis, AZ; Sasabe, AZ; Tecate,
CA; Tucson, AZ. Office of the Regional Commissioner, North Central
Region, Inspection and Control Division, 55 E. Monroe Street, Suite
1501, Chicago, IL; Pembina, ND; Detroit, MI; Minneapolis, MN;
Cleveland, OH; St. Louis, MO; Duluth, MN; Milwaukee, WI. Chief
Inspector, 1790 W. Port Boulevard, Miami, FL 33132; Port Director of
Customs, Port Everglades, FL; Port Director of Customs, West Palm
Beach, FL; Director, Airport Operations, Miami International Airport;
Office of the Supervisory Warehouse Officer, U.S. Customhouse, Room
103, 2nd and Chestnut Streets, Philadelphia, PA 19106; District
Director, U.S. Customs Service, 200 St. Paul Place, Baltimore, MD
21202-2004; District Director, U.S. Customs Service, 111 West Huron
Street, Buffalo, NY 14202; District Director, U.S. Customs Service,
127 North Water Street, Ogdenburg, NY 13669; District Director, U.S.
Customs Service, 312 Fore Street, Box 4688, Portland, ME 04112;
District Director, U.S. Customs Service, 49 Pavilion Avenue,
Providence, RI 02905; District Director, U.S. Customs Service, Main
and Stebbins Streets, St. Albans, VT 05478; District Director, U.S.
Customs Service, 10 Causeway Street, Boston, MA 02222; U.S. Customs
Service, Honolulu International Airport, Honolulu, HI 96816.
Categories of individuals covered by the system:
Inspection and Control employees participating in overtime
assignments.
Categories of records in the system:
Name and the total current monetary earnings computed to the nearest
dollar.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and and disposing of records in the system:
Storage:
The information is stored on government internal control personal
computer data disks and the information on earnings is updated on a
daily basis.
Retrievability:
The individual's name appears alphabetically.
Safeguards:
The room where the records are kept is locked at other than regular
working hours. Passwords are required for access to records.
Retention and disposal:
The information on each employee constantly changes and is maintained
as long as the employee is working in the overtime system.
System manager(s) and address:
Supervisory Customs Inspector, Station 1, U.S. Customs Service, 555
Battery Street, Room 111, San Francisco, CA 94125; Supervisory Customs
Inspector, Inspection and Control Division, Pacific Region, 300 N. Los
Angeles Street, Room 7508, Los Angeles, CA 90012; Director, (Airport),
Los Angeles International Airport, 5758 W. Century Boulevard, Los
Angeles, CA 90045; District Director, 300 S. Ferry Street, Terminal
Island, San Pedro, CA 90731; District Director, International and
Terrace Streets, PO Box 670, Nogales, AZ 85621; San Diego Barge
Office; Port Directors: San Ysidro, CA; Andrade, CA; Calexico, CA;
Douglas, AZ; Las Vegas, NV; Lochiel, AZ; Lukeville, AZ; Naco, AZ;
Oxnard, CA; Phoenix, AZ; San Luis Obispo, CA; San Luis, AZ; Sasabe,
AZ; Tecate, CA; Tucson, AZ. Director, Inspection and Control Division,
North Central Region, 55 E. Monroe Street, Suite 1501, Chicago, IL
60603; District Directors: Chicago, IL; Pembina, ND; Detroit, MI;
Minneapolis, MN; Cleveland, OH; St. Louis, MO; Duluth, MN; Milwaukee,
WI. District Director of Customs, 77 SE 5th Street, Miami, FL 33131;
District Director of Customs, U.S. Customhouse, 2nd and Chestnut
Streets, Philadelphia, PA 19106; District Director of Customs, U.S.
Customs Service, Honolulu, HI 96819.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting records procedures:
See Access, Customs appendix A.
Record source categories:
Information is obtained from actual overtime earnings made by each
employee in the system.
Exemptions claimed for the system:
None.
Treasury/Customs .170
System name:
Overtime Reports--Treasury/Customs.
System location:
U.S. Customs Service, Office of Investigations, South Central Region.
RDI, 1440 Canal Street, New Orleans, LA 70112; SAC, 600 South Street,
Room 444, New Orleans, LA 70130; SAC, PO Box 1704, Mobile, AL 36601;
RA, 1719 West End Building, Room 303, Nashville, TN 37203.
Categories of individuals covered by the system:
All special agents in region certified to receive premium
compensation.
Categories of records in the system:
Numbers of hours worked by special agents over and above the normal
40-hour week.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and and disposing of records in the system:
Storage:
These forms are maintained in file folders in a locked cabinet.
Retrievability:
Files are kept in alphabetical order.
Safeguards:
During non-working hours the rooms in which the above described
containers are located are locked.
Retention and disposal:
These files are destroyed three years after special agent leaves
agency or office.
System manager(s) and address:
Resident Agent, U.S. Customs Service, 6125 Interstate, Bay 11,
Shreveport, LA 71109; Resident Agent in Charge, c/o Drug Enforcement
Agency, Little Rock, AR 72211; Resident Agent, Hoover Building, Ste.
216B, 8312 Florida Boulevard, Baton Rouge, LA 70806; Resident Agent, 1
Government Plaza, Rm. 423, 2909 13th Street, Gulfport, MS 39501;
Resident Agent in Charge, U.S. Customs Service, U.S. Federal Building,
Ste. 230, Jackson, MS 39269; Resident Agent in Charge, Station 1, Box
10182, Houma, LA 70363-5990; Resident Agent in Charge, 101 E. Cypress
Street, Ste. 106, Lafayette, LA 70502; Resident Agent, 811 Bayou Pines
Blvd., Lake Charles, LA 70601; Resident Agent, 811 Bayou Pines Blvd.,
Lake Charles, LA 70601; New Orleans Aviation Branch, PO Box 980, Belle
Chasse, LA 70037.
Notification procedure:
See Customs appendix A.
Record access procedures:
Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with, and
consists solely of information supplied by employees.
Exemptions claimed for the system:
None.
Treasury/Customs .171
System name:
Pacific Basin Reporting Network--Treasury/Customs.
System location:
Office of the Special Agent in Charge, U.S. Customs Service, 300 Ala
Moana Boulevard, Room 6127, Honolulu, Hawaii 50104
Categories of individuals covered by the system:
Records are maintained on masters, operators, pilots, crew members
and passengers of vessels and aircraft traveling in or through the
Pacific Basin. The Pacific Basin area includes the countries of
northeast Asia, southeast asia, the Pacific islands (both independent
and non-independent), Australia, New Zealand, United States, Canada
and Mexico.
Categories of records in the system:
This system of records included information pertaining to
individuals, aircraft and vessels reporting; vessel/aircraft name and
registration numbers; description of vessels and aircraft; departure
and arrival information; and destination locations. Information about
individuals includes name, date of birth, place of birth, physical
description, nationality, passport number, address and occupation.
Authority for maintenance of this system:
19 U.S.C. 1433, 1459, and 162; 49 U.S.C. App. 1590.
Purpose(s):
The purpose of the Pacific Basin Reporting Network is to implement a
law enforcement data base containing records with identifying and
other relevant information on vessels, aircraft and individuals
traveling in or through the Pacific basin area, and where appropriate
to disclose this information to other domestic and foreign agencies
which have an interest in this information.
Routine uses of records maintained in this system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal agencies and to
state, local/territorial or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation or order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, or in response to a subpoena,
where relevant or potentially relevant to the proceedings, or in
connections with criminal law proceedings; (3) provide information to
the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; and (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and and disposing of records in the system:
Storage:
Records are maintained on tape, magnetic disc and hard copy.
Retrievability:
By name (individual, master or pilot); unique identifiers (date of
birth, passport number, aircraft/vessel registration number); date,
place of destination; port of registry; or vessel description.
Safeguards:
All officials accessing to the system of records have had a full
field background check as required and access data on a need-to-know
basis only. Procedural and physical safeguards are utilized such as
accountability, receipt records and specialized communications
security. The data system has an internal mechanism designed to
restrict access to authorized officials. Hard-copy records are held in
steel cabinets and are maintained according to the requirements of the
U.S. Customs Reports Manual and Customs Security Manual. Access is
limited by visual controls and/or lock system. During normal working
hours, files are attended by responsible officials; they are locked
during non-working hours and the building is patrolled by uniformed
security guards.
Retention and disposal:
The records are periodically updated to reflect changes and
maintained as long as needed, then shredded and destroyed.
System manager(s) and address:
Office of Special Agent in Charge, U.S. Customs Service, 300 Ala Moana
Boulevard, Room 6127, Honolulu, Hawaii 50104.
Notification procedure:
Pursuant to 5 U.S.C. 552a(j)(2), and (k)(2), this system of records
may not be accessed for purposes of determining if the system contains
a record pertaining to a particular individual.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (e)(5) and (e)(8), (f) and (g) of the Privacy Act pursuant to 5
U.S.C. 552a (j)(2) and (k)(2).
Treasury/Customs .172
System name:
Parking Permits File--Treasury/Customs.
System location:
Chief Financial Officer, U.S. Customs Service Headquarters, 1301
Constitution Ave., NW, Washington, DC 20229.
Categories of individuals covered by the system:
Organizational units and persons holding parking permits.
Categories of records in the system:
Name of persons issued parking permits, and number of parking spaces
assigned.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files.
Retrievability:
By name.
Safeguards:
Office locked at night.
Retention and disposal:
Retained until changed.
System manager(s) and address:
Chief Financial Officer, U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is compiled when parking permit is assigned.
Exemptions claimed for the system:
None.
Treasury/Customs .186
System name:
Personnel Search--Treasury/Customs.
System location:
Office of Enforcement, 600 South Street, New Orleans, LA 70130;
Special Agent in Charge, 951 Government Street, Suite 700, Mobile, AL
36604. U.S. Customs Service, Honolulu International Airport, Honolulu,
HI 96810; Ports of Entry, Nogales, AZ (District).
Categories of individuals covered by the system:
Individuals indicating unlawful or suspicious activity that might
result in a Customs violation.
Categories of records in the system:
Name, address, phone number, place of business, physical description,
associates, vessel, automobile, or aircraft identified with make,
year, license number and registration of vehicles, area of activity,
method of operation and other relevant and necessary information on
individuals suspected of activity contrary to law.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State or local agency maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records maintained in standard Customs file folders in locked metal
cabinets.
Retrievability:
Records are indexed by identifying file number and manually
retrieved.
Safeguards:
File maintained in locked metal file cabinet, the keys of which are
controlled by the custodian of the files. Those departmental officials
who may occasionally be granted access, consistent with their
positions, have been cleared by a full background investigation and
granted appropriate security clearance for critical sensitive
positions. During non-working hours, the room housing the metal
cabinets is locked.
Retention and disposal:
Negative Search Reports are destroyed after a five year period.
Method of disposal is shredding.
System manager(s) and address:
Director, Office of Enforcement, U.S. Customs Service, 600 South
Street, New Orleans, LA 70130; District Directors/Port Directors, as
applicable, in North Central Region, Chicago, IL; Special Agent in
Charge, 951 Government Street, Mobile, AL 36604; District Director of
Customs, U.S. Customs Service, Honolulu, HI 96819; Port Directors at
the various ports of entry in the Nogales, AZ (District).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with, and consists solely
of, information supplied by the individual being searched and the
patrol officer doing the search.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the
Privacy Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .190
System name:
Personnel Case File--Treasury/Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229; Office of the Regional
Counsel, U.S. Customs Service, North Central Regional, 55 E. Monroe
Street, Room 1417, Chicago, IL 60603; Regional Counsel of Customs, 6
World Trade Center, New York, NY 10048; Office of Regional Counsel,
211 Main Street, San Francisco, CA 94105.
Categories of individuals covered by the system:
Current or former Customs Service employees against whom disciplinary
action has been proposed or taken, who have filed grievances, and who
have filed complaints under the Equal Opportunity (EO) Program, in
most cases where administrative proceedings have been instituted.
Categories of records in the system:
Reports of investigation into alleged employee misconduct, internal
Customs Service memoranda recommending disciplinary action, documents
relating to the institution or conduct of disciplinary proceedings,
documents relating to the filing and administrative disposition of
formal and informal grievances and documents relating to the filing
and administrative disposition of EO complaints.
Authority for maintenance of the system:
Title 5, United States Code; 5 U.S.C. 301; Title 5 Code of Federal
Regulations; Treasury Departmental Order No. 165, revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to the Office of Personnel Management
(OPM) in connection with administrative hearings and to the Department
of Justice in connection with court proceedings resulting from appeals
from decisions rendered at the administrative level; (2) disclose
pertinent information to appropriate Federal, State, local, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an
indication of a violation or potential violation of civil or criminal
law or regulation; (3) disclose information to a Federal, State, or
local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (4) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (5) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (6) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted alphabetically in an unlocked drawer
within a metal container.
Retrievability:
Each case file id identified in a manual alphabetical card file by
name of the person, and each case file is similarly identified in
alphabetical order within the metal container.
Safeguards:
The metal container described above is maintained within the Customs
Service building. During non-working hours, the room in which the
metal container is located is locked. Access to the building is
controlled at all times by uniformed guards.
Retention and disposal:
These files are retained until there is no longer any space available
for them within the metal container, at which time the oldest files
are transferred to the Federal Records Center.
System manager(s) and address:
Chief Counsel, U.S. Customs Service Headquarters, 1301 Constitution
Avenue, NW, Washington, DC 20229; Regional Counsel of Customs, U.S.
Customs Service, North Central Regional, 55 E. Monroe Street, Room
1417, Chicago, IL 60603; Regional Counsel of Customs, New York, NY,
10048; Regional Counsel of Customs, 211 Main Street, San Francisco, CA
94105.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files results from investigation
into alleged misconduct on the part of Customs Service employees,
recommendations from appropriate Customs Service field personnel that
disciplinary proceedings be instituted against Customs Service
employees, the filing of EO complaints by Customs Service employees,
the statements of Customs Service employees including the employees
who are directly affected by the administrative proceedings, and
statements or other information provided by private non-governmental
individuals.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .193
System name:
Operating Personnel Folder Files--Treasury/Customs.
System location:
Files are located in Headquarters, Regional, District, Port and other
post of duty offices throughout the Customs Service depending upon
post of duty of employee. (See Customs appendix A.)
Categories of individuals covered by the system:
Customs employees, present.
Categories of records in the system:
In addition to the appropriate Personnel offices, records are also
maintained by district, port, or other post of duty management on
personnel matters such as, but not limited to name, Social Security
number, awards, letters of appreciation, promotions, step increases,
memoranda, forms and materials related to hiring, address, pay,
transfer and separation, service time, salary, phone, education,
society memberships, publications, skills, chronological work history,
position descriptions, reports of discussions held with employee
regarding performance, copies of letters written to employee
concerning performance, overtime hours, seniority status, leave,
overtime earnings, productivity, locator card information, and related
employment records.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used: (1) To
disclose to the public for employment and salary verification upon
request. (2) To disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation. (3) To disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit. (4) To disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law
proceedings. (5) To provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114. (6) To provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, and/or on index cards, and/or
ledgers.
Retrievability:
Records are indexed by name, or Social Security number.
Safeguards:
Records are located in lockable metal file cabinets or in secured
rooms with limited access.
Retention and disposal:
When the employee leaves the Customs Service through transfer or
other separation, the file will immediately be forwarded to the office
maintaining the Official Personnel Folder. There it will be screened
to insure that it contains no documents that should be permanently
filed in the Official Personnel Folder other than exact duplicates of
papers already so filed. The file and its contents will then be
destroyed.
System manager(s) and address:
Director, Human Resources Division in each Region or Headquarters, or
managerial official in appropriate posts of duty of employee. (See
Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information in this system of records comes from employee, from
personnel actions as noted in official personnel folders, and from
supervisor.
Exemptions claimed for the system:
None.
Treasury/Customs .196
System name:
Preclearance Costs--Treasury/Customs.
System location:
Regional Commissioner, U.S. Customs Service, 10 Causeway Street,
Boston, MA 02222.
Categories of individuals covered by the system:
All Customs Inspectors and Foreign Service employees of North Central
Region, who are stationed at Toronto and Montreal, Canada.
Categories of records in the system:
Salaries, living allowances and benefits paid to employees who are
stationed at Toronto and Montreal, Canada.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (6) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data is stored in a file folder within two metal file cabinets in the
work area of the Budget Section.
Retrievability:
The file is identified as the ``Pre-clearance Record'' which contains
the names of all employees listed in alphabetical order with
corresponding costs associated with each employee.
Safeguards:
The file is located within an office that is locked during non-
working hours. The building is guarded by uniformed security police
and only authorized persons are permitted entry to the building.
Retention and disposal:
The files are kept for three years and then destroyed.
System manager(s) and address:
Regional Commissioners, U.S. Customs Service, 10 Causeway Street,
Boston, MA 02222.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in the system is obtained from the Bi-
weekly Comprehensive Payroll Listing, Treasury Form 2979, supplied by
the Payroll Data Center.
Exemptions claimed for the system:
None.
Treasury/Customs .197
System name:
Private Aircraft/Vessel Inspection Reporting System--Treasury/
Customs.
System location:
Office of Investigations, U.S. Customs Service, 1301 Constitution
Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
Names of pilots and vessel masters arriving in the United States.
Categories of records in the system:
Names and personal identifiers of pilots, vessel masters, and owners
of vessels with appropriate registration and/or documentation numbers
and characteristics, and arrival dates at port of entry.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order,or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disc and tape storage; microfiche.
Retrievability:
By individual name, private aircraft/vessel registration number;
vessel name.
Safeguards:
All inquiries are made by officers with full field background
investigation on a ``need-to-know'' basis only. Procedural and
physical safeguards are utilized such as accountability and receipt
records, guards patrolling the area, restricted access and alarm
protection systems, special communications security, etc.
Retention and disposal:
The records are periodically dated to reflect changes and maintained
as long as needed, then destroyed. (Minimum of five years for aircraft
arrival reports.)
System manager(s) and address:
Assistant Commissioner, Office of Investigation, U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Proposed Customs Form 178 (Private Aircraft Inspection Report) which
will be prepared by Customs officers, unnumbered forms prepared by
vessel masters or owners who report their arrival to a United States
port of entry, and other Federal agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3). (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .201
System name:
Property File-Non-Expendable--Treasury/Customs.
System location:
Offices of District Directors, North Central Region, Chicago, IL (see
Customs appendix A.); Office of Logistics Management, U.S. Customs
Headquarters, 1301 Constitution Avenue, NW, Washington, DC 20229;
Office of the District Director, San Diego, CA; Offices of the Port
Directors: San Ysidro, CA; Tecate, CA; Calexico, CA; Andrade, CA; San
Diego Barge Office, and the Offices of the Customs Patrol Division,
San Diego, CA; San Ysidro, CA; Calexico, CA; Tecate, CA; District
Directors Office, Entry Control Section (see Customs appendix A.);
United States Customs Service, Room 228, Federal Building, 335
Merchant Street, Honolulu, HI 96813; Logistics Management Division,
Southeast Region; U.S. Customs Service, 99 SE 5th Street, Miami, FL
33131; Federal Building, Room 198, 511 NW Broadway, Portland, OR
97209; Office of District Director, Administrative Officer, United
States Customs Service, 555 Battery Street, Room 319, San Francisco,
CA 94120.
Categories of individuals covered by the system:
Employees issued non-expendable property.
Categories of records in the system:
Receipts for badges, cap insignias, bonded warehouse keys,
identification cards, Government driver's licenses, firearms and other
non-expendable property.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Locked file cabinet.
Retrievability:
Folders identified by individual's name.
Safeguards:
During non-working hours the room/building in which the file is
located is locked. Access limited to authorized Customs personnel.
Retention and disposal:
Until employee separates /transfers. Transfer to National Personnel
Records Center (NPRC), (CPR), St. Louis, MO, thirty days after
employee is separated.
System manager(s) and address:
District Directors in North Central Region, Chicago, IL; Director,
Office of Logistics Management, U.S. Customs Service, Headquarters,
1301 Constitution Avenue, NW, Washington, DC 20229; District Director,
Port Directors, and Division Directors within the San Diego Customs
District (see Customs appendix A.); Chief, Headquarters Support
Branch, Logistics Management Division, U.S. Customs Service
Headquarters, 1301 Constitution Avenue, NW, Washington, DC 20229;
Local Property Officer, Room 228, Federal Building, Entry Control
Section, 335 Merchant Street, Honolulu, HI 96813; Director, Logistics
Management Division, United States Customs Service, Southeast Region,
99 SE 5th Street, Miami, Florida 33131; District Director, Federal
Building, Room 198, 511 NW Broadway, Portland, OR 97209;
Administrative Officer, U.S. Customs Service, 555 Battery Street, Room
319, San Francisco, CA 94120.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system consists of receipts of employees
receiving non-expendable property.
Exemptions claimed for the system:
None.
Treasury/Customs .206
System name:
Regulatory Audits of Customhouse Brokers--Treasury/Customs.
System location:
Office of Regulatory Audit, United States Customs Service
Headquarters, 1301 Constitution Avenue, NW, Washington, DC 20229, and
at each of the field offices of Regulatory Audit (see Customs appendix
A for addresses).
Categories of individuals covered by the system:
Persons licensed to do business pursuant to 19 U.S.C. 1641.
Categories of records in the system:
Audit reports of customs broker accounts and records; correspondence
regarding such reports; Congressional inquiries concerning customs
brokers and disposition made of such inquiries; names of officers of
customs broker firms, license numbers and dates issued and district
covered.
Authority for maintenance of the system:
19 U.S.C. 1641; 19 CFR part 111. 5 U.S.C. 301; Treasury Department
Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order,or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
state, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit; (3)
disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to the news media in accordance with guidelines contained in 28 CFR
50.2 which relate to an agency's functions relating to civil and
criminal proceedings; (5) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, safeguarding, retaining,
and disposing of records in the system:
Storage:
Each custom broker permanent file is inserted in alphabetical order
by name of the firm in an unlocked drawer within a metal file cabinet
located in one or more regulatory audit offices. Each customs broker
work paper file is similarly stored, but maintained in numerical order
by audit report number.
Retrievability:
Each broker permanent file is readily retrievable when the name is
given, while the workpaper file is retrievable after obtaining the
audit report file number from within the permanent file.
Safeguards:
The files described above are maintained within the respective
regulatory audit offices. During non-working hours, the offices in
which the files are located are locked.
Retention and disposal:
Customhouse broker files are generally retained in each office at
least three years, after which they are placed in General Service
Administration long-term archival storage.
System manager(s) and address:
Director, Office of Regulatory Audit, United States Customs Service
Headquarters, 1301 Constitution Avenue, NW, Washington, DC 20229, and
the Regional Directors, Regulatory Audit at each of the seven regional
offices (see Customs appendix A for addresses).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates in connection
with customs broker audits conducted by the regional regulatory audit
staffs. The audits may be supplemented with information furnished by
the Office of the Regional Counsel, Office of Enforcement, and the
Office of Regulations and Rulings. These audits include examinations
of brokers business records, including data maintained in support of
client customs business.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .207
System name:
Reimbursable Assignment/Workticket System--Treasury/Customs.
System location:
U.S. Customs Service Headquarters, 1301 Constitution Avenue, NW,
Washington, DC 20229.
Categories of individuals covered by the system:
Customs Service employees who perform reimbursable services and
parties in interest for whom reimbursable services are performed.
Categories of records in the system:
Name, address, Social Security number or importer of record number
assigned by the Customs Service, listings of reimbursable overtime
assignments of Customs employees, bills and refund checks issued to
parties in interest, travel expenses incurred by Customs employees in
connection with the reimbursable services.
Authority for maintenance of the system:
19 U.S.C. 261, 267, and 1451; 19 CFR 24.16 and 24.17; 5 U.S.C. 301;
Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information in this system is contained in a computerized system
utilizing magnetic tape storage techniques.
Retrievability:
The information in this system is retrieved by the individual's
Social Security number or by the individual's importer of record
number.
Safeguards:
Procedural and physical safeguards are utilized such as
accountability and receipt access, guards patrolling the area,
restricted access and alarm systems.
Retention and disposal:
The records in this system are retained in accordance with the
requirements of the Treasury Records Control Manual.
System manager(s) and address:
Assistant Commissioner, Office of Field Operations, U.S. Customs
Service Headquarters, 1301 Constitution Ave, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with the receipt of a
request for reimbursable services from the party in interest. In
addition, information in this system is derived from Customs Form 5106
(Notification of Importer's Number/Application for Importer's Number)
which is filed with the Customs Service by the importer, and from
Customs Form 6082 (Work Ticket) which is filed by the Customs
Inspector who performed the reimbursable services.
Exemptions claimed for the system:
None.
Treasury/Customs .208
System name:
Restoration of Forfeited Annual Leave Cases--Treasury/Customs.
System location:
Located in the Executive Management Staff of each region and
Headquarters according to list in Customs appendix A.
Categories of individuals covered by the system:
Employees of the U.S. Customs Service who have applied for
restoration of forfeited annual leave.
Categories of records in the system:
Employee applications for restoration of leave. Management decisions
on employee applications for restoration of leave. Applicable
regulations.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in manila folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked files.
Retention and disposal:
Records are retained in accordance with the requirements of the
Treasury Records Control Manual.
System manager(s) and address:
Director, Executive Management Staff in each region and Headquarters.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Evidential materials supporting employee applications for restoration
of forfeited annual leave. Evidential materials supporting management
decisions.
Exemptions claimed for the system:
None.
Treasury/Customs .209
System name:
Resumes of Professional Artists--Treasury/Customs.
System location:
Area Director, New York Seaport Area, 6 World Trade Center, New York,
NY 10048.
Categories of individuals covered by the system:
Professional Artists.
Categories of records in the system:
Artist's name and professional art background.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper.
Retrievability:
Alphabetical listing.
Safeguards:
Filing cabinet, office locked at end of day.
Retention and disposal:
Records are disposed of in accordance with the requirements of the
Treasury Records Control Manual.
System manager(s) and address:
Area Director New York Seaport Area, 6 World Trade Center, New York,
NY 10048.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Resume information provided by artist.
Exemptions claimed for the system:
None.
Treasury/Customs .210
System name:
Revocation of I.D. Privileges and ``Cash Basis Only'' for
Reimbursable Services List--Treasury/Customs.
System location:
Regional Commissioner, District and Ports, 909 SE First Ave, Miami,
FL 33131.
Categories of individuals covered by the system:
Corporate and individual brokers, importers, carriers, and private
individuals.
Categories of records in the system:
Corporations and individuals in financial difficulty.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Files are maintained in an unlocked drawer within a metal file
cabinet.
Retrievability:
Alpha file in manila folder by month.
Safeguards:
The metal container described above is maintained within the Customs
Service Building. During non-working hours the room in which the metal
container is located is locked.
Retention and disposal:
These files are retained as prescribed by GAD Regulations or until
there is no longer any space available for them within the metal
container, at which time the oldest files are transferred to the
Federal Records Center.
System manager(s) and address:
Regional Commissioner, 909 SE First Ave., Miami, FL 33131.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Generated in house by Accounting Personnel from delinquent bill
listings and open file of outstanding bills. Additionally, feedback
from Districts and Ports on bankrupt firms and from Regulatory Audit
Division on firms in Financial difficulty or under investigation.
Exemptions claimed for the system:
None.
Treasury/Customs .211
System name:
Sanction List--Treasury/Customs.
System location:
Director, U.S. Customs, National Finance Center, PO Box 68907,
Indianapolis, Indiana 46228.
Categories of individuals covered by the system:
Persons who are indebted to the United States Government for bills
that are unpaid and past due.
Categories of records in the system:
Listing is issued weekly showing individual's name and address plus
number and amount of unpaid and past due bills.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each sanction list is stored in a file drawer in an unlocked file
cabinet.
Retrievability:
Each sanction list is identified by month and year of issuance.
Safeguards:
The file cabinet described above is maintained within the area
assigned in the Customs Office. During non-working hours the room and/
or building in which the file cabinet is located is locked.
Retention and disposal:
Retained in Customs Office for minimum of one year. Disposal in
accordance with Records Control Manual.
System manager(s) and address:
Director, U.S. Customs, National Finance Center, PO Box 68907,
Indianapolis, Indiana 46022.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this listing is secured from CF 6084 Bill Form
issued to each individual and correspondence files maintained for
individuals.
Exemptions claimed for the system:
None.
Treasury/Customs .212
System name:
Search/Arrest/Seizure Report--Treasury/Customs.
System location:
Office of Investigations, Offices of the U.S. Customs Service. (See
Customs appendix A.)
Categories of individuals covered by the system:
Persons who have or may have violated a law of the United States.
Categories of records in the system:
Name, alias, date of birth, age, personal data, addresses, home and
business telephone numbers, occupation, background information,
associations, license number and registration number of vehicle,
vessel and/or aircraft, mode of entry of individual or contraband,
fingerprints, pictures, declaration forms, cash receipts, receipt for
seized goods, all other forms pertinent to the case, such as Notice to
Master, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statue, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case is placed in a folder which is filed in numerical order
according to the assigned case file number. These files are kept in a
locked metal cabinet.
Retrievability:
The above-mentioned case file numbers are cross-indexed by name to
such numbers, and cards are filed alphabetically within a metal file
box.
Safeguards:
The metal file cabinet and the metal file box are located within an
office that is locked during non-working hours.
Retention and disposal:
These cases are retained for a period of three years after which they
are destroyed together with related index cards.
System manager(s) and address:
Special Agent in Charge. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .214
System name:
Seizure File--Treasury/Customs.
System location:
Special Agent in Charge, Room 508, U.S. Customs Service, 6 World
Trade Center, New York, NY 10048.
Categories of individuals covered by the system:
Ship masters, ship crew members, longshoremen, vessels, private
aircraft, private vessels, individuals from whom seizures have been
made, or upon whom Memoranda of Information Received and Reports of
Investigation have been written.
Categories of records in the system:
Memoranda of Information Received and reports of Investigation which
are reports from law enforcement agencies of suspects or arrests.
Reports of Seizures by Customs, other information indicating violators
or suspected violators.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manila files within metal file cabinets.
Retrievability:
Alphabetical; for aircraft or car by number; by seizure number; by
name of individual.
Safeguards:
Room has a 24-hour guard and is locked.
Retention and disposal:
Seizure files are maintained for three years after final disposition.
Memoranda of Information Received are maintained as long as needed.
System manager(s) and address:
Director, Patrol Division, U.S. Customs Service, 6 World Trade
Center, New York, NY 10048.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .215
System name:
Seizure Report File--Treasury/Customs.
System location:
U.S. Customs Mail Facility, Room 416, 1675-7th Street, Oakland, CA
94615.
Categories of individuals covered by the system:
Individuals to whom prohibited merchandise is addressed.
Categories of records in the system:
Name, address, property description, estimated foreign value, duty,
domestic value, circumstances of seizure, sender, section of law
violated, delivery to San Francisco seizure clerk.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statue, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information in this system is contained on Customs Form 6051
Custody Receipt for Retained or Seized Property and Customs Form 151-
Search/Arrest/Seizure Report. These forms are placed within file
folders which are located in a metal file cabinet.
Retrievability:
Each Seizure Report and Custody Receipt (stapled together) are
identified by the name of the person to which the seized items are
addressed and the names are filed by seizure number by fiscal year.
Safeguards:
The file folders are placed within a metal cabinet which is located
within an office that is locked during non-working hours. The building
is guarded by uniformed security police and only authorized persons
are permitted in the building.
Retention and disposal:
Last three fiscal years records are kept in a file cabinet in the
office.
System manager(s) and address:
Chief, Mail Branch. See location above.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with and consists of
information obtained from mail shipments.
Exemptions claimed for the system:
None.
Treasury/Customs .217
System name:
Set Off Files--Treasury/Customs.
System location:
Financial Management Division, 99 SE 5th Street, Miami, FL 33131.
Categories of individuals covered by the system:
Importer of Record, customhouse broker, parties in interest.
Categories of records in the system:
Name, address, identification number, copies of refund checks and
copies of set off bills.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statue, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Files are maintained in an unlocked drawer within a metal file
cabinet.
Retrievability:
File folders with individual's name annotated with set off.
Safeguards:
The metal container described above is maintained within the area
assigned to the Financial Management Division within the Customs
Service Building. During non-working hours the room in which the metal
container is located is locked.
Retention and disposal:
These files are retained as prescribed by GAD Regulations or until
there is no longer any space available for them within the metal
container, at which time the oldest files are transferred to the
Federal Records Center.
System manager(s) and address:
Director of Financial Management, 99 SE 5th Street, Miami, FL 33131.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
District Directors, Port Directors, Import Control Officers, External
Auditors and Other Customs Employees.
Exemptions claimed for the system:
None.
Treasury/Customs .219
System name:
Skills Inventory Records--Treasury/Customs.
System location:
Human Resources Division, U.S. Customs Service, Washington, DC 20229.
Categories of individuals covered by the system:
Records are maintained in this system on Customs personnel in grades
GS-13 and above.
Categories of records in the system:
Data elements to provide a complete skills profile of the employee.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on a Customs Form 121 and Mag-tape.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked file and limited access to computer
system.
Retention and disposal:
Records are maintained until separation of an employee from the
Customs Service.
System manager(s) and address:
Director, Human Resources Division, U.S. Customs Service, Washington,
DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
CF-121 which is prepared by the employee.
Exemptions claimed for the system:
None.
Treasury/Customs .220
System name:
Supervisory Notes and Files SF-7B--Treasury/Customs.
System location:
Records are located with the immediate supervisor or at the immediate
supervisor's operating office. (See Customs appendix A.)
Categories of individuals covered by the system:
Customs employees.
Categories of records in the system:
SF-7B card contains identical information to that contained on SF-7
card; in addition it can have attached or separately-maintained
supervisory notes concerning an employee's performance on the job,
conduct, counseling sessions, training recommended or taken, awards
granted, emergency contact information, job assignments, to be used
for administration resource purposes in recommending or authorizing
discipline, recognition, assignment of performance rating, training,
job assignments, leave requests, and/or similar matters.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in manila folders or special file cabinets.
Retrievability:
Records are indexed by organizational code and name.
Safeguards:
Records are stored in lockable metal filing cabinets or in a secured
room. Alternative storage facilities may be employed provided they
furnish an equivalent or greater degree of physical security.
Retention and disposal:
Records are retained while employee is employed, and are destroyed
upon separation.
System manager(s) and address:
Director, Labor Employee Relations Division, Office of Human
Resources, U.S. Customs Service, 1301 Constitution Avenue, NW,
Washington, DC 20229. (See Customs appendix A.)
Notification procedure:
Write to systems manager specifying type and location of information
requested and name and provide your social security number and
supervisor's name, title and office location.
Record access procedures:
Write to systems manager.
Contesting record procedures:
Write to systems manager.
Record source categories:
Form SF-50, employee and employee's supervisors.
Exemptions claimed for the system:
None.
Treasury/Customs .224
System name:
Suspect Persons Index--Treasury/Customs.
System location:
U.S. Customs District Officers located at the following addresses:
620 E. 10th Avenue, Anchorage, AK 99501; 215 1st Avenue, No., Great
Falls, MT 59401; 335 Merchant, Honolulu, HI 96813; 511 NW Broadway,
Portland, OR 99209; 555 Battery Street, San Francisco, CA 94120; First
& Marion Sts., Seattle, WA 98714.
Categories of individuals covered by the system:
Persons suspected of violation of Customs Laws.
Categories of records in the system:
Name and related file number.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such users:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statue, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in folders and stored in metal file cabinet.
Retrievability:
The office and building are locked during non-working hours.
Safeguards:
Alphabetical by use of cross index.
Retention and disposal:
Records are maintained and disposed of in accordance with Records
Disposal Manual.
System manager(s) and address:
District Director of Customs. See location above.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .226
System name:
Television System-Treasury/Customs.
System location:
Office of Port Director, U.S. Border Station, San Ysidro, CA 92073.
Categories of individuals covered by the system:
Persons involved in incidents related to a secondary search and
subsequent disturbance while entering the United States from Mexico.
Categories of records in the system:
An audio-video cassette recording of persons being escorted into, as
well as inside, the secondary offices of the Customs area of the Port
of Entry.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as amended,
and the Customs Regulations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Audio-video cassette.
Retrievability:
By subject's name, date, and time.
Safeguards:
Cassettes are under control of Port Director and released only to the
courts when subpoenaed or when requested to be reviewed by subject and
his attorney.
Retention and disposal:
All cassettes with incidents are retained for six months. Those on
which some action may be taken are retained for one year or close of
the case. Cassettes are reusable. Therefore, erasure occurs when new
recording takes place.
System manager(s) and address:
Port Director, U.S. Border Station, San Ysidro, CA 92073.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
Audio-video recording of persons being escorted into the Customs
area.
Exemptions claimed for the system:
None.
Treasury/Customs .227
System name:
Temporary Importation Under Bond (TIB) Defaulter Control System-
Treasury/Customs.
System location:
U.S. Customs Service, Office of Investigations, 1301 Constitution
Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
Individuals who have been denied T.I.B. privileges because of failure
to pay outstanding liquidated damages.
Categories of records in the system:
Individual's name, personal identifying numbers and characteristics,
address, company and case description, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
(1) Magnetic disc and tape storage; (2) Hard Copy; (3) Microfiche
files.
Retrievability:
Indexing is by violator name.
Safeguards:
All inquiries are made by officers with full field background
investigations on a ``need to know'' basis only. Procedural and
physical safeguards are utilized such as accountability and receipt
records, guards patrolling the area, restricted access and alarm
protection systems, special communications security, etc.
Retention and disposal:
Records are disposed of in accordance with the requirements of the
Treasury Records Control Manual.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
Customs officers completing Customs Form 164 (TECS-TIB Defaulter
Control).
Exemptions claimed for the system:
None.
Treasury/Customs .232
System name:
Tort Claims Act File-Treasury/Customs.
System location:
Office of the Regional Counsel, Room 7422, New Federal Building, 300
N. Los Angeles Street, Los Angeles, CA 90053; Regional Counsel of
Customs, 6 World Trade Center, New York, NY 10048; Office of the
Regional Counsel, U.S. Customs Service, North Central Region, 55 E.
Monroe Street, Room 1417, Chicago, IL 60603; Office of Regional
Counsel, Suite 1220, 500 Dallas Street, Houston, TX 77002; Office of
the Chief Counsel, U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229; Office of District
Counsel, 555 Battery Street, San Francisco, CA 94120; and Office of
District Counsel, 909 First Avenue, Seattle, Washington, 98174.
Categories of individuals covered by the system:
Private persons who have filed or may file claims under the Federal
Tort Claims Act for property damage or personal injury allegedly
caused by a wrongful or negligent act or omission on the part of a
Customs Service employee while acting within the scope of his
employment.
Categories of records in the system:
Reports of Investigation regarding accidents involving Customs
employees, documents relating to the administrative handling of the
claims filed thereon, and documents submitted by the claimant in
support of the claim.
Authority for maintenance of the system:
28 U.S.C. 2672, et seq; 28 CFR 14.1, et seq; 31 CFR 3.1, et seq;
Treasury Department Administrative Circular No. 131, dated August 19,
1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted in a numerical file folder which is filed
in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified in the numerical file folder within the
metal container by the name of the person who has filed or may file a
claim.
Safeguards:
During non-working hours the room in which the metal container is
located is locked, and access to the building is controlled at all
times by uniformed guards.
Retention and disposal:
Tort claim files are retained until there is no longer any space
available for them within the metal container, at which time the
oldest closed files are transferred to the Federal Records Centers.
System manager(s) and address:
Regional Counsel, Room 7422, United States Customs Service, 300 N.
Los Angeles Street, Los Angeles, CA 90053; Regional Counsel, U.S.
Customs Service, 6 World Trade Center, New York, NY 10048; Regional
Counsel of Customs, Room 1417, U.S. Customs Service, 55 E. Monroe
Street, Chicago, IL 60603; Regional Counsel, Suite 1220, U.S. Customs
Service, 500 Dallas Street, Houston, TX 77002; Chief Counsel, U.S.
Customs Service Headquarters, 1301 Constitution Avenue, NW,
Washington, DC 20229; Office of District Counsel, 55 Battery Street,
San Francisco, CA 94120; and Office of District Counsel, 909 First
Avenue, Seattle, Washington 98174.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with a Standard
Form 95 (Claim for Damage or Injury) which is completed and filed with
the Customs Service by the claimant. Using these forms as a basis,
investigations are conducted by authorized Customs Service
investigative personnel in order to determine the facts surrounding
the claims. During these investigations information may be elicited
from Customs Service employees, private persons, or any other parties
who may have information regarding the facts surrounding the claims.
When a claim is not filed, the information is limited to the
investigative reports of the property damage or personal injury.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .234
System name:
Tort Claims Act File-Treasury/Customs.
System location:
Offices of the District Directors, North Central Region, Chicago, IL
60603. (See Customs appendix A.)
Categories of individuals covered by the system:
All individuals presenting claims of damage to personal property
resulting from Customs activities.
Categories of records in the system:
Written damage claims supported by estimates, bills, claim forms and
internal Customs Service memoranda.
Authority for maintenance of the system:
31 CFR part 3; 5 U.S.C. 301; Treasury Department Order No. 165,
revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used: To provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Filed in cabinets in the District Directors offices.
Retrievability:
Folders filed in alphabetical sequence.
Safeguards:
File cabinets are located within the area assigned in the Customs
office. During non-working hours the room in which the cabinets are
located is locked.
Retention and disposal:
Retained in District Directors offices for three years then
transferred to the Federal Records Centers for seven years and three
months prior to destruction.
System manager(s) and address:
District Director as appropriate in the North Central Region,
Chicago, IL. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
The information in this system originates with a written claim
submitted by the claimant, as well as information supplied on Standard
Form 95 and internal Customs memoranda.
Exemptions claimed for the system:
None.
Treasury/Customs .238
System name:
Training and Career Individual Development Plans--Treasury/Customs.
System location:
Located in the Human Resources Division of each region and
headquarters and/or district, ports, and post of duty of employees.
Categories of individuals covered by the system:
All U.S. Customs employees.
Categories of records in the system:
Records are maintained on training or other development activities
completed and/or planned for individual employees, whether for
programs such as Executive Development or Upward Mobility, or other
special emphasis development programs. Records also include such
things as, but not limited to skills, abilities, education,
experience, career plans and goals, and other related information.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are located in file folders, and/or official personnel
folder.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in locked file or office.
Retention and disposal:
Records are retained until separation or until employee is no longer
part of a special emphasis program.
System manager(s) and address:
Director, Human Resources Division, in each region and headquarters.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
Information is obtained from the employee and supervisors.
Exemptions claimed for the system:
None.
Treasury/Customs .239
System name:
Training Records-Treasury/Customs.
System location:
Scheduling Office, U.S. Customs Service Academy, FLETC.
Categories of individuals covered by the system:
Customs employees who have completed training.
Categories of records in the system:
Standard Form 182, Request, Authorization, Agreement and
Certification of training. Selected information also recorded in
individuals permit record, and a copy of the form is filed in the
individual's official personnel folder.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, on file cards, on training
forms, or on discs.
Retrievability:
Records are indexed by name.
Safeguards:
Records are maintained in a locked file or room, or with limited
access.
Retention and disposal:
Records are maintained for up to three years after employee separates
from the Service.
System manager(s) and address:
National Director of Training, U. S. Customs SVC Academy, FLETC.
Notification procedure:
U. S. Customs Service Academy, Building 70 - FLETC, Glynco, GA 31524.
Record access procedures:
U. S. Customs Service Academy, Building 70 - FLETC, Glynco, GA 31524.
Contesting record procedures:
U. S. Customs Service, Director, Office of Human Resources, 1301
Constitution Avenue, NW, Washington, DC 20229.
Record source categories:
Information for this file is obtained from supervisors, managers,
instructors, educational institutions, and/or training facilities such
as the Office of Personnel Management, Department of the Treasury,
etc.
Exemptions claimed for the system:
None.
Treasury/Customs .244
System name:
Treasury Enforcement Communications System (TECS)-Treasury/Customs.
System location:
Office of Investigations, U.S. Customs Service, 1301 Constitution
Avenue, NW, Washington, DC 20229.
Categories of individuals covered by the system:
(1) Violators or suspected violators of U.S. Customs or related laws
(some of whom have been apprehended by Customs officers); (2)
Individuals who are suspected of, or who have been arrested for,
thefts from international commerce; (3) Convicted violators of U.S.
Customs and/or drug laws in the United States and foreign countries;
(4) Fugitives with outstanding warrants--Federal or state; (5) Victims
of U.S. Customs law violations; (6) Owners, operators and/or
passengers of vehicles, vessels or aircraft traveling across U.S.
borders; (7) Individuals participating in financial transactions
reported under the Bank Secrecy Act.
Categories of records in the system:
Every possible type of information from a variety of Federal, state
and local sources, which contributes to effective law enforcement may
be maintained in this system of records. Records include but are not
limited to records pertaining to known violators, wanted persons,
lookouts (temporary and permanent), reference information, regulatory
and compliance data. Information about individuals includes but is not
limited to name, alias, date of birth, address, physical description,
various identification numbers (i.e., seizure number), details and
circumstances of a search, arrest, or seizure, case information such
as merchandise and values, methods of theft, etc.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disc and tape, laser optical disks, microfiche, and hard
copy.
Retrievability:
By name; unique identifiers, address, or in association with an
enforcement report or other system document.
Safeguards:
(1) All officers making inquiries have had a full field background
investigation and are given information on a ``need-to-know'' basis
only. (2) Procedural and physical safeguards are utilized such as
accountability and receipt records, guards patrolling the area,
restricted access and alarm protection systems, special communications
security, etc.
Retention and disposal:
Review is accomplished by Customs officers each time a record is
retrieved and on periodic basis to see if it should be retained or
modified. Since both temporary and permanent records are maintained,
period of retention will vary with type of record entered. The records
are disposed of by erasure of magnetic tape or disc, and by shredding
and/or burning of hard copy documents.
System manager(s) and address:
Assistant Commissioner, Office of Information Management, U.S.
Customs Service, 1301 Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act for
the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of
contesting the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(2).
Treasury/Customs .249
System name:
Uniform Allowances-Unit Record-Treasury/Customs.
System location:
Financial Management Division, 99 SE 5th Street, Miami, FL 33131;
Management Services Branch, Administration Division, District
Director, San Juan, PR 00903; Financial Management Division, U.S.
Customs Service, Northeast Region, 100 Summer Street, Boston, MA
02110.
Categories of individuals covered by the system:
U.S. Customs employees.
Categories of records in the system:
Name-Record of Uniform Allowance Payments.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Files are maintained in an unlocked drawer within a metal file
cabinet.
Retrievability:
Alphabet by name. Appropriation Accounting Document Number.
Safeguards:
The metal container described above is maintained within the area
assigned to the Financial Management Division within the Customs
Service Building. During non-working hours the room in which the metal
container is located is locked and access to the building is
controlled by uniformed guards.
Retention and disposal:
These files are retained as prescribed by GAO Regulations or until
there is no longer any space available for them within the metal
container, at which time the oldest files are transferred to the
Federal Records Centers.
System manager(s) and address:
Direction of Financial Management, 99 SE 5th Street, Miami, FL 33131;
District Director, U.S. Customs Service, PO Box 2112, Old San Juan, PR
00903; Director, Financial Management Division, U.S. Customs Service,
100 Summer Street, Boston, MA 02110.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
Record source categories:
From memoranda received from Districts. Data transcribed from Payment
Vouchers.
Exemptions claimed for the system:
None.
Treasury/Customs .251
System name:
Unscheduled Overtime Report (Customs Form 31)--Treasury/Customs.
System location:
Director, Office of Operations, 6 World Trade Center, Room 508, New
York, NY 10048.
Categories of individuals covered by the system:
Special Agents assigned to the office of Regional Director of
Investigations authorized to receive unscheduled overtime
remuneration.
Categories of records in the system:
Customs Form 31 enumerates the nature of overtime performed, the
number of hours and the date on which the overtime was performed and
the case number of investigation.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information in this system is contained on CF 31, the forms are
contained within a file folder and are placed in a metal file cabinet.
Retrievability:
By name.
Safeguards:
The file cabinet is maintained within the area assigned to the
Regional Director of Investigations, New York, within the Customhouse.
During non-working hours the complex in which the file is located is
locked and access to the building is controlled at all times by
uniform guards.
Retention and disposal:
The forms are destroyed after three (3) years.
System manager(s) and address:
Regional Director of Investigations. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates from the Special Agent who
performs the unscheduled overtime.
Exemptions claimed for the system:
None.
Treasury/Customs .252
System name:
Valuables Shipped Under the Government Losses in Shipment Act--
Treasury/Customs.
System location:
District Director of Customs, 610 S. Canal Street, Chicago, IL 60607.
Categories of individuals covered by the system:
Customs employees collecting and transmitting funds to cashier for
deposit.
Categories of records in the system:
Name of employee, collection document serial numbers, amount of
collection.
Authority for maintenance of the system:
Section 300.30, Customs Accounting Manual; 5 U.S.C. 134f; 5 U.S.C.
301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to those officers and employees of the Customs Service and
the Department of the Treasury who have a need for the records in the
performance of their duties; (2) disclose records as required in
administration of the Freedom of Information Act (5 U.S.C. 552).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Filed in folders with the individual's name appearing at the top
thereof in a file cabinet.
Retrievability:
Each record folder is filed by name of individual.
Safeguards:
The cabinet described above is maintained within the area assigned in
the Customs office. During non-working hours the area in which the
cabinet is located is secured.
Retention and disposal:
Retained for three years and then forwarded to FRC for seven years
retention.
System manager(s) and address:
District Director, as appropriate, in the North Central Region,
Chicago, IL.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Data submitted by individual Customs employee involved.
Exemptions claimed for the system:
None.
Treasury/Customs .258
System name:
Violator's Case Files--Treasury/Customs.
System location:
District Director of Customs, U.S. Customs Service, Main and Stebbins
Streets, St. Albans, VT 05478.
Categories of individuals covered by the system:
Individuals involved in smuggling, filing false invoices, documents
or statements, violators of Customs bonds, or any violation of Customs
laws.
Categories of records in the system:
Individual's name and address, Social Security number and physical
description; alias, occupation, type of violation, previous record,
driver's license, passport number, notes from inspectors involved, and
any other supporting documents.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and 3 x 5 index cards.
Retrievability:
Filed by case number.
Safeguards:
Files are under the supervision of Fines, Penalties and Forfeitures
Officer from 8 a.m. to 5 p.m., Monday through Friday. All other hours,
office remains locked.
Retention and disposal:
Files are maintained in the office of the Fines, Penalties, and
Forfeitures Officer for a period of five years or six years. At the
conclusion of this period, they are destroyed by shredding.
System manager(s) and address:
District Director, U.S. Customs Service, St. Albans, VT 05478.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources may not need to be
reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .260
System name:
Warehouse Proprietor Files--Treasury/Customs.
System location:
Offices of District Directors, North Central Region, Chicago, IL
60603. (See Customs appendix A.)
Categories of individuals covered by the system:
Present and past warehouse proprietors and employees that require an
investigation and related information.
Categories of records in the system:
Report of investigations, application and approval or denial of bond
to act as warehouse proprietor and other Customs Service Memoranda.
Names, addresses, Social Security numbers, and dates and places of
birth of persons employed.
Authority for maintenance of the system:
Customs Regulations, part 19, 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and stored in file cabinets in
each District Director's office within the North Central Region,
Chicago, IL 60603.
Retrievability:
Each file is identified by the name of the warehouse proprietor.
Safeguards:
The file cabinets are maintained within the area assigned to the
District Director. During non-working hours the room and/or building
in which the file cabinet is located is locked.
Retention and disposal:
Employee name data retained for period of employment with warehouse
proprietor.
System manager(s) and address:
District Director, as appropriate in the North Central Region,
Chicago, IL 60603. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this file originates from the individual applicant
for warehouse proprietor's bond, from reports of investigation, and
other Customs Memoranda.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .262
System name:
Warnings to Importers in lieu of penalty--Treasury/Customs.
System location:
Located in the Office of the District Director, 880 Front Street, San
Diego, CA 92318; Offices of the Port Directors, U.S. Border Station,
San Ysidro, CA 92073; PO Box 189, Tecate, CA 92080; PO Box 632,
Calexico, CA 92231; 235 Andrade Road, Winterhaven, CA 92283; Andrade,
CA; San Diego Barge Office.
Categories of individuals covered by the system:
Individuals and firms in violation of Customs's laws.
Categories of records in the system:
Brief record of violation and warning.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on 5 x 7 cards.
Retrievability:
Alphabetically indexed.
Safeguards:
Not accessible to other than Customs officers.
Retention and disposal:
The records are disposed of in accordance with the Treasury Records
Control Manual.
System manager(s) and address:
District Director, Port Directors, and Division Directors within the
San Diego Customs District. (See Customs appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Customs Officials.
Exemptions claimed for the system:
None.
Treasury/Customs .268
System name:
Military Personnel and Civilian Employees' Claims Act File--Treasury/
Customs.
System location:
Office of the Regional Counsel, Suite 1220, 500 Dallas Street,
Houston, TX 77002.
Categories of individuals covered by the system:
Current or former Customs employees filing claims under the Military
Personnel and Civilian Employees' Claims Act of 1964.
Categories of records in the system:
Documents relating to the administrative handling of the claim and
documents submitted by the claimant in support of the claim.
Authority for maintenance of the system:
31 U.S.C. 240-243; 31 CFR part 4; Treasury Department Administrative
Circular No. 131, August 19, 1965; 5 U.S.C. 301; Treasury Department
Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Each case file is inserted alphabetically in a file folder which is
filed in an unlocked drawer within a metal container.
Retrievability:
Each case file is identified alphabetically in the file folder within
the metal container by the name of the person who filed the claim.
Safeguards:
The metal container described above is maintained within the area
assigned to the Office of the Regional Counsel (12th floor), 500
Dallas Street, Houston, TX 77002. During non-working hours the room in
which the metal container is located is locked, and access to the
building is controlled at all times by uniformed security guards
provided by the lessor.
Retention and disposal:
These files are retained until closed at which time the closed files
are transferred to the Director, Logistics Management Division, Office
of the Regional Commissioner, Houston, TX, for ultimate transportation
to the Federal Record Center.
System manager(s) and address:
Regional Counsel, Suite 1220, United States Customs Service, 500
Dallas Street, Houston, TX 77002.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information contained in these files originates with the Treasury
Department Form No. 3079, Civilian Employee Claim For Loss or Damage
to Personal Property, which is completed and filed with the Customs
Service by the claimant. Additional information contained in these
files may be separately provided by the claimant or by the claimant's
supervisor.
Exemptions claimed for the system:
None.
Treasury/Customs .269
System name:
Accounts Payable Voucher File-Treasury/Customs.
System location:
Financial Management Division, U.S. Customs Service, South Central
Region, 1440 Canal Street, New Orleans, LA 70112.
Categories of individuals covered by the system:
All South Central Region personnel to whom travel and other
disbursements are made. All individuals who provide goods and services
to the South Central Region.
Categories of records in the system:
Invoices and travel/other vouchers and supporting disbursements
schedules.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders in unlocked file cabinets.
Retrievability:
By name.
Safeguards:
Usage limited to Regional personnel; cabinets are located in rooms
which are locked during non-working hours.
Retention and disposal:
In accordance with Records Control Manual; records are disposed of
when no longer needed.
System manager(s) and address:
Director, Financial Management Division, U.S. Customs Service, South
Central Region, 1440 Canal Street, New Orleans, LA 70112.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Invoices and travel/other vouchers submitted by the individual.
Exemptions claimed for the system:
None.
Treasury/Customs .270
System name:
Background-Record File of Non-Customs Employees--Treasury/Customs.
System location:
Office of Human Resources, U.S. Customs Service, 1301 Constitution
Ave. NW, Washington, DC.
Categories of individuals covered by the system:
Present and past non-Customs personnel requiring a background
investigation to be granted a permit to conduct Customs business.
Categories of records in the system:
Report of background investigations, names, addresses, Social
Security numbers and date and place of birth, etc. of non-Customs
employees.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and stored in file cabinets in
the District Director's office. Records are also maintained in
computer format in ports providing internal aircraft arrival/departure
services.
Retrievability:
Each file is identified by the name of the non-Customs employee.
Safeguards:
The file cabinets are maintained within the area assigned to the
District Director. During non-working hours the room and/or building
in which the file cabinet is located is locked. Computer format are
maintained in locked access areas within each respective district and/
or port office.
Retention and disposal:
Employee name data is retained during the period the non-Customs
employee requires admittance to restricted areas.
System manager(s) and address:
District Directors and Port Directors (For addresses, see United
States Customs Service - appendix A.)
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this file originates from the individual non-
Customs employee granted a permit to conduct Custom's business and
from reports of background investigation which include interviews of
Customs personnel and private parties and from other Customs internal
documents.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(2).
Treasury/Customs .271
System name:
Cargo Security Record System--Treasury/ Customs.
System location:
District Director, 423 Canal Street, New Orleans, LA 70130; District
Director, PO Box 2748, Mobile, AL 36601.
Categories of individuals covered by the system:
Drivers of motor vehicles or licensed cartmen and lightermen;
properties and operators of each class of Customs bonded warehouse and
their employees.
Categories of records in the system:
Records on drivers of motor vehicles contain information relating to
personal statistical data, physical characteristics, history of past
employment, previous five years residences, alias (if any),
citizenship, military records, criminal record other than traffic
violations, use of narcotic drugs, and photograph. Name of operator of
bonded warehouse and employees.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to the news media in accordance
with guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (5) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folder with Customs Form 3078, Customs Form 73, Photographs, and
correspondence; For bonded warehouses, file folder contains Customs
Form 3581 and names, addresses, and Social Security number of all
employees; all stored in metal file cabinet. Alphabetical list of
current I.D. cards issued on drivers retained in file folder and
stored in desk drawer.
Retrievability:
By individual name or corporate name.
Safeguards:
Locked metal file cabinet and desk drawer of customs employee;
building secured after hours.
Retention and disposal:
Information on drivers is retained in an active file until revoked or
canceled. After revocation or cancellation, the information folder is
placed in an inactive file for a period of five years, after which
time the records are disposed of in accordance with the General
Services Administration Records Disposal Manual. Information on
proprietor bonded warehouse operators and employees is retained on
file until Customs bonded operations cease and are discontinued, then
are maintained in an inactive file for a period of three years. Final
disposition is in accordance with the GSA Records Disposal Manual.
System manager(s) and address:
District Director, 423 Canal Street, New Orleans, LA 70130; District
Director, PO Box 2748, Mobile, AL 36601.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Information is obtained from applicant (individual or corporation)
and from reports of investigation on drivers obtained from Regional
Director, Investigations, U.S. Customs Service.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (k)(2).
Treasury/Customs .272
System name:
Currency Declaration File (Customs Form 4790)--Treasury/Customs.
System location:
Law Enforcement Systems Division, U.S. Customs Service, PO Box 85145,
San Diego, CA 92138 (for addresses of District Directors, see Customs
appendix A).
Categories of individuals covered by the system:
Individuals departing from or entering the country who filed IRS Form
4790.
Categories of records in the system:
Name, identifying number, birth date, address, citizenship, visa date
and place, immigration alien number, kinds and amounts of monetary
instruments, address in the United States or abroad, passport number
and country, and arrival or departure information.
Authority for maintenance of the system:
31 U.S.C. 1101; 5 U.S.C. 301; Treasury Department Order No. 165,
revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The Form 4790 is maintained in a file folder or binder in an initial
file cabinet. Information is stored chronologically in TECS II.
Retrievability:
They are indexed and filed by name and date in the folder or binder.
They can be retrieved by computer and printed.
Safeguards:
The office and building are locked during non-working hours.
Electronic data is limited to persons cleared for access to the data.
Retention and disposal:
The records are retained from one to five years and then destroyed.
System manager(s) and address:
District and Port Directors of Customs.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information on the Customs Form 4790 originates from the
individual or Customs agent reporting the bringing in or taking out of
currency or monetary instruments exceeding 10,000 dollars.
Exemptions claimed for the system:
None.
Treasury/Customs .274
System name:
Importers, Brokers, Carriers, Individuals and Sureties Master Files--
Treasury/Customs.
System location:
Financial Management Division, 99 SE 5th Street, Miami, FL 33131.
Categories of individuals covered by the system:
Brokers, Importers, Individuals, Carriers, and Sureties.
Categories of records in the system:
Copies of correspondence incoming and outgoing, copies of bonds,
entries, bills, data center listings.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Files are maintained in an unlocked drawer within a metal file
cabinet.
Retrievability:
Alphabetical by name appearing on correspondence.
Safeguards:
The metal container described above is maintained within the area
assigned to the Financial Management Division within the Customs
Service Building. During non-working hours the room in which the metal
container is located is locked.
Retention and disposal:
These files are retained until there is no longer any space available
for them within the metal container, at which time the oldest files
are transferred to the Federal Records Center.
System manager(s) and address:
Director of Financial Management, 99 SE 5th Street, Miami, FL 33131.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
Correspondence, Customs Service Data Center, Districts and Ports.
Exemptions claimed for the system:
None.
Treasury/Customs .277
System name:
Drivers License File--Treasury/Customs.
System location:
Logistics Management Division, U.S. Customs Service, 211 Main Street,
San Francisco, CA 94105.
Categories of individuals covered by the system:
Present and past employees.
Categories of records in the system:
Personal information furnished by employee before being issued a
government drivers license. It may also include information from
National Driver Register Service if they have any information on the
individual.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to National Driver Register Service to determine whether they
have any information on the individual which would concern the
employee's suitability for receiving a government drivers license; (2)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information in this system is contained on Standard Form 47
(physical fitness inquiry for motor vehicle operators) and Treasury
Form 2770 (application for motor vehicle operator's ID card and
operator's record). These forms are kept in a desk file.
Retrievability:
Each set of forms for a particular employee is numbered and those
numbers are shown on an index sheet as pertaining to the particular
employee.
Safeguards:
The desk in which the records are kept is within an office which is
locked during non-working hours.
Retention and disposal:
Forms are retained in this system in accordance with the requirements
of the Treasury Records Control Manual. Forms of past employees who
were issued drivers licenses are periodically destroyed.
System manager(s) and address:
Logistics Management Specialist, Logistics Management Division, U.S.
Customs Service, 211 Main Street, San Francisco, CA 94105.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The information in this system originates with, and consists solely
of, information supplied by the applicants on forms SF-47 and form
2770. There is a possibility that in the future there will be a
response from the National Driver Register Service on a particular
applicant. At the present time there are none in this system of
records.
Exemptions claimed for the system:
None.
Treasury/Customs .278
System name:
Automated Commercial System (ACS)--Treasury/Customs.
System location:
The Computer is located in Newington, Virginia. Computer terminals
are located at Customhouses and ports throughout the United States and
at U.S. Customs Headquarters, Washington DC (For addresses of
Customhouses, see Customs appendix A.)
Categories of individuals covered by the system:
U.S. Customs Service employees and individuals involved in the import
trade.
Categories of records in the system:
The system data base is comprised of commodity and merchandise
processing information relating to Customs administration of trade
laws. The following system files may contain information about U.S.
Customs Services employees and/or individuals/ companies involved in
the import trade. (1) ACS Security Files: Contains randomly
established five-digit identification codes assigned to Customs
Service employees authorized to use the system. The file consists of
the names and social security number of all Customs Service employees
using the remote terminals to input information into the system. (2)
Importer/Broker/Consignee Bond Files and FP and F Violator-Protest
files: Records consist of importer of record number, importer name and
address, type of importation bond, expiration date, surety code,
violation statistics and protest information. The importer of record
number is used as the method of accessing the files. The number is
assigned by any one of three code formats according to availability
and the following hierarchy. The first choice is the IRS Employer
Identification Number (EIN). The vast majority of importers have the
EIN because of the business necessity of it. The second alternative is
the Social Security number (SSN). The third alternative is a Customs--
assigned number. This file is referenced during entry processing to
verify that the individual or company making entry is authorized to
import and is properly bonded. (3) Entry Files: A record consists of a
three-digit Customs - assigned Customhouse broker or importer number
(non-SSN) and the name and address. The file is referenced during
entry processing to validate the entry file code and is used to direct
system output to the broker or importer. (4) Corporate Surety Power of
Attorney and Bond Files: The data consists of names of agents who are
authorized to write a Customs bond and their SSN, a three-digit surety
code (non-SSN) assigned by the Customs Accounting Division, the surety
name and Customs bond information. (5) Liquidator File: A record
consists of a Customs-assigned three-digit liquidator identification
(non-SSN) and a Customs employee's name. The employee's liquidator
code is input into the system as a means of maintaining quality
control and an audit trail on entries liquidated. (6) Foreign
Manufacturer/Shipper File: The file contains an identification code
constructed using a formula based on name and address, manufacturer
name and address reported by importers and brokers on Customs entry
forms or electronic formats. (7) Carrier Files: This file consists of
carrier names and codes (non SSN) which are 4 characters--Standard
Carrier Agent Code (SCA) for vessel carriers and 2 or 3 character--
International Air Transport Association (IATA) for air carriers. This
code is used to validate data input to the manifest and entry
processing systems and to direct system output to the carrier.
Authority for maintenance of the system:
19 U.S.C. 66, 1448, 1481, 1483, 1484, 1505, and 1624.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to the Bureau of the Census by providing magnetic tapes
containing foreign trade data; (2) disclose pertinent information to
appropriate Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (3)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (4) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (5) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By identification codes and/or name.
Safeguards:
Access to computer area is controlled by a security pass arrangement
and personnel not connected with the operation of the computer are
prohibited from entering. The building security is protected by a
uniformed guard. At the ports of processing, terminal rooms are under
close supervision during working hours and locked after close of
business. The system security officer issues a unique private five
digit identification code to each authorized user. Access to the
Customs computer from other than system terminals is controlled
through a security software package. Users must input a unique
identification code and password during the terminal log-in procedure
to gain access to the system. The password is not printed or displayed
at the port of processing. The system validates the user ID by
transaction type, thereby limiting a system user's access to
information on a ``need-to-know'' basis. A listing of identification
codes of authorized users can be printed only by request of the
security officer. The passwords are changed periodically to enhance
security.
Retention and disposal:
Files are periodically updated to reflect changes, etc., and are
disposed of in accordance with the requirements of the Treasury
Records Control Manual.
System manager(s) and address:
Director, Office of Automated Systems, Customs Service Headquarters,
1301 Constitution Avenue, NW, Washington, DC 20229, is responsible for
all data maintained in the files.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The system data base contains data received on authorized Customs
forms or electronic formats from individuals and/or companies
incidental to the conduct of foreign trade and required by the Customs
Service in administering the tariff laws and regulations of the United
States.
Exemptions claimed for the system:
None.
Treasury/Customs .284
System name:
Personnel Verification System (PVS)--Treasury/Customs.
System location:
Office of Information and Technical Services, U.S. Customs Service,
1301 Constitution Avenue, NW, Washington, DC 20229, and Regional
Offices of the U.S. Customs Service. (See Customs appendix A.)
Categories of individuals covered by the system:
Authorized Customs personnel and non-Customs personnel who have
received authorization to use the Regional Communications Centers.
Categories of records in the system:
Individual identifiers including but not limited to name, office
address, home address, office telephone number, home telephone number,
badge number, Social Security number, radio call sign, page number,
organization, and unit.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
(1) Alphabetic or numerical listings or card files; (2) microfiche;
(3) magnetic disc and tapes; (4) other electronic storage media.
Retrievability:
By name, call sign, paging number, Social Security number, badge
number, organizational code.
Safeguards:
Records are located in controlled access areas with alarm protection
systems. Offices are staffed twenty-four hours a day, seven days a
week.
Retention and disposal:
Records are maintained in the system until such time as the
individual is no longer authorized usage of the Regional
Communications Center. Disposal is by erasure of disc/tapes, shredding
and/or burning of listings or card files, and burning of microfiche.
System manager(s) and address:
Assistant Commissioner, Office of Information and Technical Services,
U.S. Customs Service, 1301 Constitution Avenue, NW, Washington, DC
20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, Customs appendix A.
Record source categories:
The sources include but are not limited to (1) the individual to whom
the record relates; (2) internal Customs Service records; (3)
Personnel Verification Sheet.
Exemptions claimed for the system:
None.
Treasury/Customs .285
System name:
Automated Index to Central Investigative Files--Treasury/Customs.
System location:
Office of Investigations, U.S. Customs Service, 1301 Constitution
Avenue NW, Washington, DC 20229.
Categories of individuals covered by the system:
(1) Known violators of U.S. Customs laws. (2) Convicted violators of
U.S. Customs and/or drug laws in the United States and foreign
countries. (3) Suspected violators of U.S. Customs or other related
laws. (4) Private yacht masters and pilots arriving in the United
States.
Categories of records in the system:
A listing of Memoranda of Information Received, Reports of
Investigations; Search/Arrest/Seizure Reports, Penalties, and
Forfeitures, reports required by Private Aircraft Reporting System,
reports required by the Private Yacht Reporting System, reports on
vessel violations. Reports relating to an individual, various other
correspondence (letter, memoranda, etc.), which related to an
individual in the Treasury Enforcement Communications System.
Authority for maintenance of the system:
5 U.S.C. 301 and Treasury Department Order No. 165, Revised, as
amended. Authority for the collection and maintenance of the report
included in the system is: 19 U.S.C. 1603; 19 U.S.C. 1431; 19 U.S.C.
66; 31 CFR part 103.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disc and tape, microfiche.
Retrievability:
Name, personal identification numbers, Customs case number,
document's central file number.
Safeguards:
(1) All Central Files users must have a full field background
investigation. (2) The ``need to know'' principle applies. (3)
Procedural and physical safeguards are utilized such as accountability
and receipt records, guard patrolling restricted areas, alarm
protection systems, special communication security. (4) Access is
limited to all Office of Enforcement terminals and all Law Enforcement
Systems Division Headquarters and Newington, VA terminals.
Retention and disposal:
Records will be maintained in the Automated Index to Central
Enforcement files for as long as the associated document or microfiche
is retained. Records will be destroyed by erasure of the magnetic disc
and by burning the microfiche.
System manager(s) and address:
Assistant Commissioner, Office of Investigations, U.S. Customs
Service, 1301 Constitution Avenue, NW, Washington, DC 20229.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual. (See 5 U.S.C. 552a (e)(4)(G) and (f)(1).)
Record access procedures:
This system of records may not be accessed under the Privacy Act for
the purpose of inspection.
Contesting record procedures:
Since this system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual and those records, if any, cannot be inspected, the system
may not be accessed under the Privacy Act for the purpose of
contesting the content of the record.
Record source categories:
This system contains investigatory material compiled for law
enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (5) and (8), (f) and (g) of the Privacy Act pursuant to 5 U.S.C.
552a (j)(2) and (k)(2).
APPENDIX A - U. S. CUSTOMS SERVICE
I. NOTIFICATION, RECORD ACCESS AND AMENDMENT PROCEDURES:
Notification and Record Access Procedures:
Requests by an individual to be notified if the system of records
contains records pertaining to him and requesting access to the
records shall be in writing with envelope and letter clearly marked
``Privacy Act Request'' and directed to the Director, Office of
Regulations and Rulings, U.S. Customs Service, 1301 Constitution
Avenue, NW, Washington, DC 20229, or to the Regional Commissioner of
the region in which the records are located (see addresses below).
The request may be presented in person between the hours of 9 a.m. and
4:30 p.m. Where the request is presented in person, the requester
shall present adequate identification to establish his identity, and a
comparison of his signature and those in the records may be made where
the records contain the signature of the person to whom the records
pertain. If an individual is unable to provide the requisite documents
for identification purposes, he may be required to make a signed
statement asserting identity and stipulating that he understands that
knowingly or willfully seeking or obtaining access to records about
another person under false pretenses is punishable by a fine of not
more than $5,000.
Where the request is made in writing, it shall be accompanied by a
notarized statement executed by the requester asserting identity and
stipulating that he understands that knowingly or willfully seeking or
obtaining access to records about another person under false pretenses
is punishable by a fine of not more than $5,000. A comparison of his
signature and those in the records may be made where the records
contain the signature of the person to whom the records pertain.
Amendment Procedures:
Requests by an individual contesting the context of a record within a
system of records shall be in writing with the envelope and letter
clearly marked ``Privacy Act Amendment'' and directed to the Director,
Office of Regulations and Rulings, U.S. Customs Service, 1301
Constitution Avenue, NW, Washington, DC 20229, or to the Regional
Commissioner of the region in which the records are located. (See
addresses below.)
II. LOCATION:
Addresses of Headquarters, U.S. Customs Service, Regional
Commissioners of Customs, Regional Directors (Internal Affairs),
District Directors of Customs, and Customs Office of Enforcement field
offices:
U.S. Customs Service Headquarters, 1301
Constitution Avenue, NW, Washington, DC 20229.
Regional Commissioner of Customs, 10 Causeway
Street, Boston, MA 02110, (617) 223-7506.
Regional Commissioner of Customs, 55 E. Monroe
Street, Chicago, IL 60603, (312) 353-4731.
Regional Commissioner of Customs, 2323 South
Shepard Street, Suite 1200, Houston, TX 77019,
(713) 953-6843.
Regional Commissioner of Customs, 1 World Trade
Center, Long Beach, California 90831, (301) 980-
3100.
Regional Commissioner of Customs, 909 SE First
Avenue, Miami, FL 33131, (305) 536-5952.
Regional Commissioner of Customs, 423 Canal Street,
New Orleans, LA 70112, (504) 589-6324.
Regional Commissioner of Customs, 6 World Trade
Center, New York, N.Y. 10048, (212) 466-4444.
OFFICE OF INTERNAL AFFAIRS FIELD OFFICES
Regional Director (Internal Affairs), 10 Causeway
Street, Boston, MA 02110.
Regional Director (Internal Affairs), Room 502, 6
World Trade Center, New York, NY 10048.
Regional Director (Internal Affairs), 444 Bricknell
Avenue, Miami, FL 33101.
Regional Director (Internal Affairs), 423 Canal
Street, New Orleans, LA 70112.
Regional Director (Internal Affairs), 5850 San
Felipe Street, Houston, TX 77002.
Regional Director (Internal Affairs), Suite 1539,
55 E. Monroe Street, Chicago, IL. 60603.
Regional Director (Internal Affairs), Suite 7558,
PO Box 951, Main Post Office, Los Angeles, CA
90053.
CUSTOMS DISTRICT OFFICES: (Note: New York has Area Directors instead
of District Directors). The Regional office is identified in
parenthesis at the end.
Anchorage, Alaska 99501/620 E. Tenth Ave. Suite 101
(907) 271-4043 (Pacific Region).
Baltimore, Maryland 21202/40 S. Gay Street (301)
962-2666 (Northeast Region).
Boston, Massachusetts 02222/10 Causeway Street
(617) 565-6147. (Northeast Region).
Buffalo, New York 14202/111 W. Huron Street (716)
846-4374 (Northeast Region).
Charleston, South Carolina 29402/200 E. Bay Street
(803) 724-4312 (Southeast Region).
Charlotte Amalie, St. Thomas Virgin Islands 00801/
Main PO Sugar Estate (809) 774-2530 (Southeast
Region).
Chicago, Illinois 60607/610 S. Canal Street (312)
353-6100 (North Central).
Cleveland, Ohio 44114/55 Erieview Plaza (216) 522-
4284 (North Central).
Dallas/Fort Worth, TX 75261/700 Parkway Plaza, PO
Box 619050 (214)574-2170 (Southwest).
Detroit, Michigan 48226/477 Michigan Avenue (313)
226-3177 (North Central).
Duluth, Minnesota 55802/515 W. First St., 209
Federal Building (218) 720-5201 (North
Central).El Paso, TX 79985/Bldg. B, Room 134,
Bridge of the Americas, PO Box 9516 (915) 534-
6799 (Southwest).
Great Falls, Montana 59401/600 Central Plaza, Suite
200 (406) 453-7631 (North Central).
Honolulu, Hawaii 96806/335 Merchant St., PO Box
1641 (808) 522-8060 (Pacific).
Houston/Galveston, TX 77052/701 San Jacinto St., PO
Box 52790 (713) 226-2334 (Southwest).
Laredo, Texas 78041/Lincoln Juarez Bridge, PO Box
3130 (512) 726-2267 (Southwest).
Los Angeles/Long Beach, California 90731, 300 S.
Ferry St., Terminal Island (310) 514-6001
(Pacific).
Miami, Florida 33131/77 SE 5th Street (305) 536-
4101 (Southeast).
Milwaukee, Wisconsin 53202/517 E. Wisconsin Ave.
(414) 291-3924 (North Central).
Minneapolis, Minnesota 55401/110 S. Fourth Street
(612) 348-1690 (North Central).
Mobile, Alabama 36652/150 Wall St., PO Box 2748
(205)690-2106 (South Central).
New Orleans, Louisiana 70130/432 Canal St. (504)
589-6353 (South Central).
New York Seaport Area, New York, New York 10048,
Customhouse, 6 World Trade Center (212) 466-5817.
Kennedy Airport Area, Bldg 77, Jamaica, New York
11430, (718) 533-1536 (New York).
Newark Area, Newark, New Jersey, 07114 Airport
International Plaza (201) 645-3760 (New York).
Nogales, Arizona 85621/International and Terrace
Sts. (602) 287-3637 (Southwest).
Norfolk, Virginia 23510/101 E. Main St. (804) 441-
6546 (Southeast).
Ogdensburg, New York 13669/127 N. Water St. (315)
393-0660 (Northeast).
Pembina, North Dakota 58271/Post Office Bldg. (701)
825-6201 (North Central).
Philadelphia, Pennsylvania 19106/2nd & Chestnut
Sts., Room 102 (215) 597-4605 (Northeast).
Port Arthur, Texas 77642/4550 75th St. (409) 724-
0087 (Southwest).
Portland, Maine 04112/312 Fore St., PO Box 4688
(207) 780-3326 (Northeast).
Portland, Oregon 97209/511 NW Broadway (503) 326-
2865 (Pacific).
Providence, Rhode Island 02903/24 Weybosset St.
(401) 528-5080 (Northeast).
St. Albans, Vermont 05478/Main & Strebbins St., PO
Box 111 (802) 524-6572 (Northeast).
St. Louis, Missouri 63105/7911 Forsyth Bldg., Suite
625(314) 425-3127 (North Central).
San Diego, California 92101/610 W. Ash Street, Ste.
1200,(619) 557-5455. (Pacific).
San Francisco, California 94111, 33 Montgomery St.,
(415) 744-7701. (Pacific).
San Juan, Puerto Rico 00903/PO Box 2112 (809) 723-
2091 Southeast).
Savannah, Georgia 31401/1 East Bay St. (912) 944-
4256 (Southeast).
Seattle, Washington 98104 Key Towers, 1000 Second
Ave.(206) 553-0554 (Pacific).
Tampa, Florida 33605/4430 East Adams Dr., Suite 301
(813) 228-2381 (Southeast).
Washington, DC 20041/POB 17423, Gateway 1 Bldg.
Dulles International Airport, Chantilly, VA 22021
(202) 566-8511 (Southeast).
Wilmington, North Carolina 28401/One Virginia Ave.
(919) 343-4601 (Southeast).
CUSTOMS ENFORCEMENT FIELD OFFICES
Assistant Regional Commissioner (Enforcement)
Northeast Region, Room 801, 10 Causeway Street,
Boston, MA 02222 (Northeast Region).
Resident Agent in Charge, PO Box 368, Derby Line,
Vermont, 05830.
Resident Agent in Charge, PO Box 400, Houlton,
Maine 04730.
Resident Agent in Charge, PO Box 4688 (DTS),
Portland, Maine 04112.
Resident Agent in Charge, Federal Building, Suite
318, 150 Court Street, New Haven, CT 06510.
Special Agent in Charge, PO Box 68, Rouses Point,
New York 12979.
Special Agent in Charge, 40 South Gay Street, Room
424, Baltimore, Maryland 21202.
Special Agent in Charge, Second and Chestnut
Street, Room 200, Philadelphia, PA 19106.
Resident Agent in Charge, Room 826, Federal
Building 1000 Liberty Avenue, Pittsburgh, PA
15222.
Assistant Regional Commissioner (Enforcement) New
York Region, 6 World Trade Center, Room 716, New
York, NY 10048 (New York Region).
Special Agent in Charge, JFK International Airport,
Building 75, 2nd Floor, Jamaica, NY 11430.
Special Agent in Charge, Airport International
Plaza, Suite 400, Routes 1 and 9 South, Newark,
NJ 07114.
Resident Agent in Charge, Leo O'Brien Federal
Building, North Pearl Street, Room 746, Albany,
NY 12207.
Resident Agent in Charge, 575 Johnson Avenue, 2nd
floor, Bohemia, New York 11716.
Assistant Regional Commissioner (Enforcement)South
Central Region, 423 Canal Street, Room 337, New
Orleans, LA 70130 (Southcentral).
Resident Agent in Charge 8312 Florida Boulevard,
Suite 216B, Baton Route, LA 70806.
Resident Agent in Charge, Air Investigations, PO
Box 980, Belle Chase, LA 70037.
Resident Agent in Charge, 600 Beacon Parkway West,
Suite 725, Birmingham, AL 35209.
Resident Agent in Charge, PO Box 700, Dauphin
Island, AL 36528.
Resident Agent in Charge, Security Building, Room
600, 2301 14th Street, Gulfport, MS 39501.
Resident Agent in Charge, Station 1, PO Box 10182,
Houma, LA 70363.
Resident Agent in Charge, 100 West Capitol Street,
Suite 1418, Jackson, MS 39269.
Resident Agent in Charge, 825 Kaliste Saloom,
Brandywine, II, Suite 200, Lafayette, LA 70508.
Resident Agent, 811 Bayou Pines Drive, Lake
Charles, LA 70601.
Resident Agent in Charge, 10825 Financial Parkway,
Suite 321, Little Rock, AR 72211.
Special Agent in Charge, 951 Government Street,
Suite 700, Mobile, AL 36604.
Resident Agent in Charge, 4721 Trousdale Drive,
Suite 216, Nashville, TN 37220.
Special Agent in Charge, 108 Decanter Street, New
Orleans, LA 70130.
Resident Agent in Charge, 610 Texas Street, Suite
610, Shreveport, LA 71101.
Assistant Regional Commissioner (Enforcement)
Southwest Region, 5850 San Felipe Street, Suite
500, Houston, TX 77057 (Southwest).
Resident Agent in Charge, 421 Cold Avenue, SW,
Albuquerque, NM 87103.
Resident Agent in Charge, PO Box 9640, Alpine, TX
79830.
Resident Agent in Charge, PO Box 99, Austin, TX
78767.
Resident Agent in Charge, PO Box 4500, Brownsville,
TX 78521.
Resident Agent in Charge, PO Box 2159, Corpus
Christi, TX 78403.
Special Agent in Charge, 400 South Record Street,
Suite 800, Dallas TX 75242.
Resident Agent in Charge, PO Box 1169, Del Rio, TX
78841.
Resident Agent in Charge, PO Box 1818, Deming NM
88030.
Resident Agent in Charge, PO Box 1076, Douglas, AZ
86508.
Resident Agent in Charge, 160 Garrison Street,
Eagle Pass, TX 78852.
Special Agent in Charge, 6501 Boeing Drive,
Building G, El Paso, TX 79925.
Resident Agent in Charge, PO Box 12, Falcon
Heights, TX 78545.
Resident Agent in Charge, PO Box HH, Flagstaff, AZ
86001.
Resident Agent in Charge, PO Box 570, Galveston, TX
77553.
Special Agent in Charge, 4141 East Northbelt, Suite
300, Houston, TX 77032.
Resident Agent in Charge, PO Box 2128, Laredo, TX
78044.
Resident Agent in Charge, PO Box 7150, Las Cruces,
NM 88006.
Resident Agent in Charge, PO Drawer 189, Lukeville,
AZ 85341.
Resident Agent in Charge, 1701 West Business 83,
Suite 508, McAllen, TX 78501.
Resident Agent in Charge, 3500 NW 56th Street,
Suite 200, Oklahoma City, OK 73112.
Resident Agent in Charge, 3010 North 2nd Street,
Suite 201, Phoenix, AZ 85012.
Resident Agent in Charge, 4550 75th Street, Port
Arthur, TX 77642.
Resident Agent in Charge, PO Drawer H, Presidio, TX
79845.
Resident Agent in Charge, 1802 NE Loop 410, Suite
302, San Antonio, TX 78217.
Resident Agent in Charge, PO Box 458, Sells, AZ
85634.
Special Agent in Charge, 555 East River Road,
Tucson, AZ 85704.
Resident Agent in Charge, PO Box 5757, Yuma, AZ
85364.
Assistant Regional Commissioner (Enforcement),
Pacific Region, PO Box 1309 MPO, Los Angeles, CA
90053 (Pacific).
Resident Agent in Charge, PO Box 100199, Anchorage,
AK 99501.
Resident Agent in Charge, PO Box 535, Astoria, OR
97103.
Resident Agent in Charge, PO Box 1360, Blaine, WA
98230.
Resident Agent in Charge (Calexico) 1681 West Main
Street, Suite 306, El Centro, CA 92243.
Resident Agent in Charge, PO Box 209, Coos Bay, OR
97420.
Resident Agent in Charge, PO Box 465, Eureka, CA
95502.
Resident Agent in Charge, PO Box 12465, Fresno, CA
93778.
Resident Agent in Charge (Guam), PO Box 2508,
Agana, Guam 96910.
Resident Agent in Charge, (LAX), 222 North
Sepulveda Boulevard, Suite 200, El Secundo, CA
90245.
Resident Agent in Charge, PO Box 329, Oceanside, CA
92054.
Resident Agent in Charge (Orange County), 15941 Red
Hill Avenue, Suite 200, Tustin, CA 92680.
Resident Agent in Charge, PO Box 6155, Oxnard, CA
93031.
Resident Agent in Charge, Federal Office Building,
138 West First Street, Room 216, Port Angeles, WA
98352.
Resident Agent in Charge, PO Box 2841, Portland, OR
97208
Resident Agent in Charge, 1755 E. Plumb Lane,
Airport Plaza, Suite 229, Reno, NV 89502.
Resident Agent in Charge, PO Box 214666,
Sacramento, CA 95821.
Special Agent in Charge, 401 West A Street, Suite
305, San Diego, CA 90101.
Special Agent in Charge, 1700 Montgomery Street,
Suite 445, San Francisco, CA 94111.
Resident Agent in Charge (SFO), San Francisco
International Airport, PO Box 251747, San
Francisco, CA 94128.
Resident Agent in Charge, Courthouse and Federal
Building, 280 South First Street, Suite 190, San
Jose, CA 95113.
Resident Agent in Charge, 406 Virginia Avenue, San
Ysidro, CA 92073.
Special Agent in Charge, Federal Office Building,
909 First Avenue, Room 4100, Seattle, WA 98174.
Resident Agent in Charge, West 904 Riverside, Room
332, Spokane, WA 92210.
Assistant Regional Commissioner (Enforcement) North
Central Region, 55 East Monroe Street, Suite
1501, Chicago, IL 60603 (North Central).
Special Agent in Charge, 610 South Canal Street,
Room 851, Chicago, IL 60607.
Resident Agent in Charge (Cincinnati) Suite 200,
207 Grandview Drive, Fort Mitchell, KY 41017.
Special Agent in Charge (Cleveland) Commerce Place,
7123 Pearl Road, Room 305, Middleburg Heights, OH
44130.
Resident Agent in Charge, 78 E. Chestnut Street,
Room 411, Columbus, OH 42315.
Special Agent in Charge, PO Drawer 3609, Denver, CO
80294.
Special Agent in Charge, McNamara Federal Building,
477 Michigan Avenue, Room 350, Detroit, MI 48226.
Resident Agent in Charge, PO Box 791, Great Falls,
MT 59403
Resident Agent in Charge, PO Box 51366,
Indianapolis, IN 46251.
Resident Agent in Charge, 2701 Rockcreek Parkway,
Suite 206, North Kansas City, MO 64117.
Resident Agent in Charge, PO Box 92847, Milwaukee,
WI 53202.
Special Agent in Charge, Federal Office Building,
212 Third Avenue South, Room 154, Minneapolis, MN
55401.
Resident Agent in Charge, PO Box 192, Pembina, ND
58271.
Resident Agent in Charge, 114 Market Street, Room
942, St.Louis, MO 63101.
Resident Agent in Charge, 1745 W. 1700 S, Room
1124, Salt Lake City, UT 84104.
DEPARTMENT OF TREASURY
Internal Revenue Service
Treasury/IRS 00.001
System name:
Correspondence Files and Correspondence Control Files--Treasury/IRS.
System location:
Various offices of the Internal Revenue Service maintain files of
correspondence received. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
(1) Initiators of the correspondence. (2) Persons upon whose behalf
the correspondence was initiated. (3) Subjects of the correspondence.
Categories of records in the system:
(1) Correspondence received. (2) Responses to correspondence. (3)
Associated records. Special categories of correspondence may be
included in other systems of records described by specific notices.
Files are maintained in connection with a variety of correspondence
received and the uses vary widely in accordance with the content of
the correspondence. Correspondence may include letters, telegrams,
memoranda of telephone calls, and other forms of communication.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained by the system, including categories
of users and the purpose of such uses:
Disclosures of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice. Disclosure may be made during judicial processes; (2)
Appropriate Federal, State, local, or foreign agencies responsible for
enforcing or implementing a statute, rule, regulation, order or
license; (3) disclose information to a Federal, State, or local
agency, or other public authority maintaining civil, criminal or other
relevant enforcement information or other pertinent information, which
has requested information relevant to or necessary to the requesting
agency's bureau's or authority's hiring or retention of an individual,
or issuance of a security clearance, license, contract, grant or other
benefit; (4) disclose relevant, non-privileged information to a court,
magistrate, or administrative tribunal, including the presentation of
evidence, disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (5) provide information to foreign governments in
accordance with formal or informal international agreements; (6)
provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (7) provide information to the news media, in accordance
with guidelines contained in 28 CFR 50.2, concerning this agency's
functions relating to civil and criminal proceedings; (8) provide
information to officials of labor organizations recognized under 5
U.S.C. Chapter 71 when relevant and necessary to their duties of
exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, microfiche, and/or magnetic media.
Retrievability:
Controlled items are generally retrievable by name, but it depends
upon the controls established locally. No centralized index exists.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with the Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally,
disposition varies in accordance with the nature of the correspondence
file.
System manager(s) and address:
Head of the Office maintaining the file. (See IRS appendix A for
addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the office believed to have received
the correspondence. (See IRS appendix A for addresses.)
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information supplied by the initiators of the correspondence and
information secured internally from other systems of records.
Exemptions claimed for the system:
None.
Treasury/IRS 00.002
System name:
Correspondence Files/Inquiries About Enforcement Activities-Treasury/
IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center, and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
(1) Initiators of correspondence. (2) Persons upon whose behalf the
correspondence was initiated. (3) Persons who are subjects of the
correspondence. Includes individuals for whom tax liabilities exist,
individuals who have made a complaint or inquiry relative to an
Internal Revenue tax matter, or individuals for whom a third party is
interceding relative to an Internal Revenue tax matter.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number (if
applicable), information about tax matters (if applicable),
chronological investigative history. Other information relative to the
conduct of the case and/or the taxpayer's compliance history (if
applicable). Correspondence may include letters, telegrams, memoranda
of telephone calls, and other forms of communication.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose information to appropriate Federal, state, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license; (3) disclose information to a Federal,
state, or local agency, or other public authority, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's bureau's or authority's hiring or retention
of an individual, or issuance of a security clearance, license,
contract, grant, or other benefit; (4) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (5) provide information
to a Congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (6) provide
information to the news media, in accordance with guidelines contained
in 28 CFR 50.2 concerning this agency's functions relating to civil
and criminal proceedings; (7) provide information to officials of
labor organizations recognized under 5 U.S.C. Chapter 71 when relevant
and necessary to their duties of exclusive representation; (8) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (9) provide information to other agencies to the extent
provided by law or regulation and as necessary to report apparent
violation of law to appropriate law enforcement agencies; (10) provide
information to states, the District of Columbia, the Commonwealth of
Puerto Rico, or possessions of the United States, to assist in the
administration of tax laws.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and/or magnetic media.
Retrievability:
Controlled items are generally retrievable by name, but it depends
upon the controls established locally. No centralized index exists.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with the Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally,
disposition varies in accordance with the nature of the correspondence
file.
System manager(s) and address:
Assistant Commissioners, Regional Commissioners, District Directors,
Internal Revenue Service Center Directors, and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system is exempt from the notification provisions of the Privacy
Act.
Record access procedures:
This system is exempt from the Access and Contest provisions of the
Privacy Act.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 10.001
System name:
Biographical Files, Public Affairs-- Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
IRS employees.
Categories of records in the system:
Records are biographical data and photographs of key IRS employees.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Information contained in this system may be included in news releases
issued to the media and the public.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files or magnetic media.
Retrievability:
By name.
Safeguards:
Office doors locked at night.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Assistant to the Commissioner (Public Affairs), National Office;
Regional, District, Internal Revenue Service Center, and Austin
Compliance Center Public Affairs Officers. (see IRS appendix A for
addresses).
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Assistant to the Commissioner
(Public Affairs), IRS, Washington, DC 20224, for National Office file.
See appendix A for appropriate addresses for regional and district
office or service center files.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information is supplied by the IRS official on an IRS biographical
data form.
Exemptions claimed for the system:
None.
Treasury/IRS 10.004
System name:
Subject Files, Public Affairs-- Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center. (see IRS appendix A
for addresses).
Categories of individuals covered by the system:
In general, records are maintained on individuals whose names have
been mentioned in the press in connection with their relationship with
IRS.
Categories of records in the system:
The records include correspondence, newspaper clippings, inter-office
memoranda and similar documents.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be provided in response to inquiries from the media
and the public.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files or magnetic media.
Retrievability:
Alphabetically by subject.
Safeguards:
Office doors locked at night.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Assistant to the Commissioner (Public Affairs), National Office;
Regional, District, Internal Revenue Service Center, and Austin
Compliance Center, Public Affairs Officers (see IRS appendix A for
addresses).
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the records are located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Records generally are clippings from newspapers, magazines, and
similar sources, internal documents and memoranda.
Exemptions claimed for the system:
None.
Treasury/IRS 21.001
System name:
Tax Administration Resources File, Office of Tax Administration
Advisory Services--Treasury/IRS.
System location:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW, Fourth Floor, Washington, DC 20024.
Categories of individuals covered by the system:
Past and potential tax administration advisors who have served or
indicated an interest in serving on advisory assignments, and selected
officials engaged in tax administration and related fields.
Categories of records in the system:
Applicant roster database, locator cards and lists with names,
addresses, telephone numbers, and organizational affiliations of
officials engaged in tax administration; work assignment or
application folders of past and potential tax administration advisors,
which contain employment history, information, medical abstracts,
security clearances, and passport information; bio-data sketches on
IRS employees and others engaged in tax administration and related
fields.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Maintained for use by Office management officials as a reference in
obtaining and presenting information related to tax administration,
and for administrative selection and processing of overseas and
domestic assignments. The records and information in these records may
be used to: (1) Provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (2) disclose information to the Department of
Justice for the purpose of litigating an action or seeking legal
advice. Disclosure may be made during judicial processes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By individual name.
Safeguards:
Access limited to authorized office personnel. File folders kept in
locked file or locked room.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are disposed of when they are no longer needed for official use.
System manager(s) and address:
Assistant Commissioner (International), Internal Revenue Service, 950
L'Enfant Plaza, SW, Fourth Floor, Washington, DC 20024.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Office of the Assistant
Commissioner (International), Internal Revenue Service, 950 L'Enfant
Plaza, SW, Fourth Floor, Washington, DC 20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
From the individual, from the organization with which he or she is
associated, or from other knowledgeable experts in the field of Tax
Administration.
Exemptions claimed for the system:
None.
Treasury/IRS 22.003
System name:
Annual Listing of Undelivered Refund Checks--Treasury/IRS.
System location:
District Offices and Internal Revenue Service Centers and the Austin
Compliance Center. (see IRS appendix A for addresses).
Categories of individuals covered by the system:
Taxpayers whose refund checks have been returned as undeliverable
since the last Annual Listing of Undelivered Refund Checks was
produced.
Categories of records in the system:
Taxpayer entity information (Name, Street Address, City, State, Zip
Code and social security number) and records containing tax module
information (Tax Period, Amount of Credit Balance and Control Document
Locator Number).
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made on as
provided by 26 U.S.C. 6103. Individuals entitled to undeliverable
refund checks will be notified of such checks by publication of their
names in the news media.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents stored in files or on magnetic media.
Retrievability:
By taxpayer name or taxpayer social security number (SSN).
Safeguards:
Access controls will not be less than those provide for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services), Officials maintaining the system--District
Directors, Internal Revenue Service Centers Directors, and the
Director, Austin Compliance Center. (See IRS appendix A for
addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the district office servicing the areas in which the
individual resided at the time he or she filed the return which
created the undeliverable refund. (see IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.011
System name:
File of Erroneous Refunds--Treasury/IRS.
System location:
Internal Revenue Service Centers and the Austin Compliance Center.
(See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers issued erroneous refunds.
Categories of records in the system:
Case reference name, number, control number, date of erroneous
refunds, statute expiration date, status of case, location,
correspondence and research material.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper document files.
Retrievability:
By Social Security Number (SSN) or Employer Identification Number
(EIN).
Safeguards:
Access controls will not be less than those provide for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks IRM 1(15)59.1 through IRM 1(15) 59.32. Generally, records
are retained for four years and then destroyed.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services) Officials maintaining the system--Internal Revenue
Service Center Directors and the Director, Austin Compliance Center.
(See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the
areas in which the individual resides. (See IRS appendix A for
addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.026
System name:
Form 1042S Index by Name of Recipient--Treasury/IRS.
System location:
Philadelphia Internal Revenue Service Center, Mid-Atlantic Region,
11601 Roosevelt Boulevard, Philadelphia, PA 19154
Categories of individuals covered by the system:
Non-resident aliens and U.S. citizens living abroad whose taxes are
covered by IR Chapter 3 Withholding.
Categories of records in the system:
Records include taxpayer's name, address, tax data, country of
residence and employer identification number and name of withholding
agent.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Microfilm.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15) 59.32. Generally, records
are retained at the Service Center for 5 years and then at a Federal
Records Center for 25 years.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Official maintaining the system--Philadelphia
Internal Revenue Service Center Director. (See IRS appendix A for
addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to:
Director, Philadelphia Internal Revenue Service Center, Mid-Atlantic
Region, 11601 Roosevelt Boulevard, Philadelphia, PA 19154.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.027
System name:
Foreign Information System (FIS)--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Philadelphia
Internal Revenue Service Center, and its servicing Federal Records
Centers, and the Detroit Computing Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
Taxpayers who file Form 5471, Information Return with Respect to a
Foreign Corporation and Form 5472, Information Return of a Foreign
Owned Corporation.
Categories of records in the system:
Taxpayer entity records (name, address, identification number),
foreign corporation identification, information relating to stock,
U.S. shareholders, Earnings and Profits, Balance Sheet, and other
available accounting information relating to a specific taxable
period.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media. (Various tables are published from this media.)
Retrievability:
Documents are stored and retrieved by document locator numbers.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
206 for Service Centers, IRM 1(15)59.26.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Directors,
Internal Revenue Service Centers. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the
areas in which the individual resides. (See IRS appendix A for
addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.032
System name:
Individual Microfilm Retention Register--Treasury/IRS.
System location:
Internal Revenue Service Centers and the Martinsburg Computing
Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Categories of individuals on whom records are maintained are: For
Individual Master File (IMF) registers--Individuals who file, or may
be required to file, individual tax returns such as Form 1040, 1040A,
or 1040EZ.
Categories of records in the system:
Abstracts of tax and/or entity modules that have been removed from
the IMF. These abstract records indicate the taxpayer name,
identification number, specific tax returns filed, document locator
number, tax years, debit and credit amounts, balances, and other
transactions which have been recorded relative to the module(s).
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Microfilm tape.
Retrievability:
IMF Reference Register (for IMF Register only), taxpayer
identification number, tax Period, name, and type of tax. Methods of
retrievability are explained in the Research Operations Handbook, IRM
36(66)0.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors, and the Martinsburg Computing Center
Director. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the
areas in which the individual resides. (See IRS appendix A for
addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.034
System name:
Individual Returns Files, Adjustments and Miscellaneous Documents
Files--Treasury/IRS.
System location:
Internal Revenue Service Centers, the Austin Compliance Center, and
Federal Records Centers. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers or return preparers who have had changes made to their
accounts, or have had information posted to the Individual Master File
or other tax accounting files as a result of filing returns,
applications, or other documents, or as a result of actions initiated
by the Service. A record will be maintained for those taxpayers whose
individual income tax overpayments have been retained or transferred
from the IMF to apply against past due child and/or spousal support
payments as reported to IRS by the states under Pub. L. 97-35.
Categories of records in the system:
A variety of records reflecting tax matters which have served as
input documents or supporting documentation for entries on the
Individual Master File, or other tax accounting files, including tax
return forms, declarations, applications, case records, processing
documents, vouchers, computer notices, posting and correction forms,
Interest Equalization Tax Forms, withholding allowance certificates,
and similar records. Information will be maintained as to the name,
SSN, address of individuals owing past due child and/or spousal
support payments submitted by states under Pub. L. 97-35. Also
maintained will be the name of the submission state, the amount owed,
and the amount of any individual income tax overpayment retained and
transferred to the state to apply against the amount owed. IRS
administrative files (i.e., examination, collection, underreporter,
criminal investigation, etc.) are not included in this system of
records.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper document files or magnetic media.
Retrievability:
Documents are stored and retrieved by document locator numbers and by
taxpayer name. The document locator numbers can be determined by
reference to the Individual Master File entries for the individual to
whom they relate.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
206 for Service Centers, IRM 1(15)59.26.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.043
System name:
Potential Refund Litigation Case Files--Treasury/IRS.
System location:
Internal Revenue Service Centers, the Austin Compliance Center and
Federal Records Centers. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers who have indicated to the Service that they may file suit
against the Service for a refund.
Categories of records in the system:
Forms filed by the taxpayer and case documents determined by the
Service to be related.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper document files.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
206 for Service Centers, IRM 1(15)59.26.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.044
System name:
P.O.W.-M.I.A. Reference File--Treasury/IRS.
System location:
District Offices and the Austin Internal Revenue Service Center. (See
IRS appendix A for addresses.)
Categories of individuals covered by the system:
P.O.W./M.I.A.-originated from Department of Defense lists.
Categories of records in the system:
Lists of P.O.W./M.I.A., Regulations, Rulings, and Instructions as to
how to handle specific tax questions relating to their special tax
status, copies of individual tax returns, claims, and other documents
germane to specific cases.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and procedures for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents in file folders.
Retrievability:
Cases filed alphabetically by last name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Austin Internal
Revenue Service Center Director and District Directors. (See IRS
appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Austin Internal Revenue Service Center or the
Director of the District Office servicing the area in which the
individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.054
System name:
Subsidiary Accounting Files --Treasury/IRS.
System location:
District Offices and Internal Revenue Service Centers and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
The categories of individuals on whom records are maintained are
taxpayers affected by one or more of the transactions reflected in the
categories of records listed below.
Categories of records in the system:
The types of records maintained in the system are documents
containing entity information (name, address, social security number
or employer identification number and other information necessary to
identify the taxpayer) and accounting information relevant to one of
the following categories: Funds held pending, disposition and not
applied to the taxpayer's liability at present, properties, tangible
or intangible, now in the custody of the Internal Revenue Service,
counterfeit money, misappropriation or robbery of Internal Revenue
Service funds, credits which cannot be applied to a specific taxpayer
account at this time, accounts transferred to other Service Centers or
agencies, substantiation for the receipt of funds collected by the
Service for other agencies, abatements or assessments of tax on
individuals, deposits received from taxpayers, refunds to taxpayers,
taxpayer accounts written off by the Service as uncollectible, credits
allowed taxpayers requiring special consideration due to processing
constraints, litigation, seized and acquired property and Offers-in-
Compromise.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801,and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Accounting Files consist of paper documents,computer printouts,
magnetic media and disk storage.
Retrievability:
By social security number, name, or document locator number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records are
retired to Federal Records Centers and retrieved by request from
authorized individuals when account substantiation is necessary.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--District
Directors, Internal Revenue Service Center Directors and the Director,
Austin Compliance Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Some Justice Department investigations are an additional source for
the information contained in litigation case files.
Exemptions claimed for the system:
None.
Treasury/IRS 22.059
System name:
Unidentified Remittance File --Treasury/IRS.
System location:
Internal Revenue Service Centers and theAustin Compliance Center.
(See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Remittances which have been received but cannot be positively
identified, either as to taxpayer who sent it or the tax period to
which it is to be applied.
Categories of records in the system:
Each record contains a fourteen digit unidentified remittance (UR)
control number, the amount, received date, and all known identifying
data. In addition, the URF contains a record of all doubtfully applied
Estimated Tax (ET) credits. The ES record contains the taxpayers'
name, address, type of payment, taxpayer identification number, tax
period, received date, money amount, and the transaction document
locator number (DLN).
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Disk storage.
Retrievability:
By remittance amount, unidentified remittance control number,
taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are kept 180 days after the amount is reduced to zero balance.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Remittances received from taxpayers that cannot be positively
identified either as to the taxpayer who sent it or the type of tax to
which it is to be applied.
Exemptions claimed for the system:
None.
Treasury/IRS 22.060
System name:
Automated Non-Master File (ANMF)--Treasury/IRS.
System location:
Internal Revenue Service Centers, the Austin Compliance Center and
Federal Records Centers. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Records are maintained on taxpayers having accounts with the Internal
Revenue Service which are not compatible with the normal master file
processes; e.g., penalties, transferee assessments, termination
assessments, excise protest accounts, Master File overflow accounts,
culpable and non-petitioning spouses, Forms 1042, 1040-NR, 926, 5330,
4720, 990-AR (Penalty) and any pre-ADP returns. Also, a record will be
maintained for those taxpayers whose individual income tax overpayment
has been retained and transferred from the IMF to apply against past
due child and/or spousal support payments as reported to IRS by the
States under Pub. L. 97-35.
Categories of records in the system:
The categories of records maintained are taxpayer entity records
(name, address, taxpayer identification number or employer
identification number and other indicators relevant to entity
maintenance) and records containing tax module information (the tax
return, the tax period, the balance due or credit balance, and
transactions which have been recorded relative to the module).
Information will be maintained as to the name, SSN, address of
individuals owing past due child and/or spousal support payments
submitted by the States under Pub. L. 97-35. Also maintained will be
names of the submission state, the amount owed, and the amount on any
individual income tax overpayment retained and transferred to the
state to apply against the amount owed.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Card file or magnetic media.
Retrievability:
By taxpayer name, taxpayer identification number (social security
number or employer identification number), or document locator card.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records maintained in accordance with Records Disposition Handbooks,
IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's account.
Exemptions claimed for the system:
None.
Treasury/IRS 22.061
System name:
Wage and Information Returns Processing (IRP) File--Treasury/IRS.
System location:
Martinsburg Computing Center, Martinsburg, West Virginia 25401.
Categories of individuals covered by the system:
Recipients of various types of income; wages; dividends; interest;
rents and royalties; medical payments; capital gains distributions;
non-taxable distributions; pensions, annuities, retired pay or IRA
payments; patronage dividends, distributions, and allocations; fishing
crew payments; sales or redemption of securities, future transactions,
commodities, bartering exchange transactions; original issue discount;
distributions and prizes; currency transactions; state tax refunds;
unemployment compensation, agricultural payments, taxable grants,
indebtedness forgiveness; non-employees compensation; gambling
winnings; and miscellaneous income.
Categories of records in the system:
Records maintained are records representing certain wage and
information returns: Forms W-2, W-2P, the 1087 and 1099 series;
currency transaction reports; state tax refunds; statements of sales
of equity obligations; and records of agricultural subsidy payments.
Information included on each record identifies the recipient of the
income (name, address, taxpayer identifying number, and other
indicators relating to payee identification), identifies the income
payer (very similar information), and identifies the type(s) and
amount(s) of income.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By taxpayer social security number and name control.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, until tax
year 1974, records were maintained until processed. After tax year
1974, records are maintained for four years and then magnetically
erased.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 24.013
System name:
Combined Account Number File, Taxpayer Services --Treasury/IRS.
System location:
Internal Revenue Service Centers and the Austin Compliance Center.
(See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals and businesses having specific, current business with
IRS.
Categories of records in the system:
Taxpayer entity records (name, address, taxpayer identification
number, and filing requirements related to entity liability); and tax
modules (specific tax returns, tax years, and transactions which have
been recorded relative to the module) when specifically requested by a
service center, or if a notice for balance of tax due has been issued;
a specific tax period is in taxpayer delinquent account status (TDA);
a specific tax period is either credit or debit balance; no return has
been posted and the return due date (RDD) has passed; or when a
specific tax period is in taxpayer delinquent return (TDI) status.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Disk storage.
Retrievability:
By social security number or employer identification number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
above.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 24.029
System name:
Individual Account Number File (IANF), Taxpayer Services--Treasury/
IRS.
System location:
Internal Revenue Service Centers and the Austin Compliance Center.
(See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals having specific, current business with IRS.
Categories of records in the system:
Taxpayer entity records (name, address, taxpayer identification
number, and filing requirements related to entity liability); and tax
modules (specific tax returns, tax years, and transactions which have
been recorded relative to the module) when specifically requested by a
service center, or if a notice for balance of tax due has been issued;
a specific tax period is in taxpayer delinquent account status (TDA);
a specific tax period is either credit or debit balance; no return has
been posted and the return due date (RDD) has passed; or when a
specific tax period is in taxpayer delinquent return (TDI) status.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Disk storage.
Retrievability:
By social security number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 24.030
System name:
Individual Master File (IMF), Taxpayer Services --Treasury/IRS.
System location:
Martinsburg Computing Center, Martinsburg, West Virginia 25401.
Categories of individuals covered by the system:
Individuals who file and/or are included on Federal Individual Income
Tax Returns (i.e., Forms 1040, 1040A, and 1040EZ); individuals who
file other information filings; and power of attorney notifications
for individuals.
Categories of records in the system:
Taxpayer entity records (name, address, identification number (SSN),
and other indicators pertaining to entity maintenance, including zip
code), and tax modular records which contain all records relative to
specific tax returns for each applicable tax period or year. Modular
records for authorization information (name, address, identification
number and type of authority granted, and the name of the
representative(s) for the taxpayer. Modular records for the
representative (name, address and unique identification number).
Recorded here are tax transactions such as tax amount, additions,
abatements of tax payments, interest and like type transactions
recorded relative to each tax module, power or attorney authorization
transactions, and a code identifying taxpayers who threatened or
assaulted IRS employees. An indicator will be added to any taxpayer's
account who owes past due child and/or spousal support payments and
whose name has been submitted to IRS by a state under provisions of
Pub. L. 97-35.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by (1) 26 U.S.C. 3406, and (2) 26 U.S.C. 6103..
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By taxpayer identification number (social security number or employer
identification number) and alphabetically by name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, the code
identifying taxpayers who threatened or assaulted IRS employees may be
removed five years after initial input.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors and the Director, Austin Compliance
Center. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the District Director or the Internal Revenue Service Center Director
servicing the area in which the individual resides. (See IRS appendix
A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 24.046
System name:
Business Master File (BMF), Taxpayer Services --Treasury/IRS.
System location:
Martinsburg Computing Center, Martinsburg, West Virginia 25401.
Categories of individuals covered by the system:
Persons in a sole proprietary role who file Excise Tax Returns (Form
720), Wagering Returns (Forms 11C and 730), Highway Use Returns (Form
2290), and U.S. Fiduciary Return (Form 1041) and Estate and Gift Taxes
(Forms 706, 706NA, and 709). The latter can be individuals not in a
sole proprietorship role.
Categories of records in the system:
Taxpayer entity records (name, address, taxpayer identification
number (TIN) which may be either EIN or SSN, and other indicators
pertaining to entity maintenance, including zip code), and tax modules
which are all the records relative to specific tax returns for each
applicable tax period. Recorded are tax transactions such as tax
amount, statements/additions to tax, payments, interest and like type
transactions relative to each tax module.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By name, type of tax, and identifying number.
Safeguards:
Access Controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Taxpayer Services). Officials maintaining the system--Internal
Revenue Service Center Directors. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Director of the Internal Revenue Service Center servicing the area
in which the individual resides. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 24.070
System name:
Debtor Master File (DMF)--Treasury/IRS.
System location:
Martinsburg Computing Center, Martinsburg, West Virginia 25401.
Categories of individuals covered by the system:
Individuals who have delinquent obligations to a Federal or State
agency.
Categories of records in the system:
Entity records (names and social security numbers), the amount owed
by the individual, the name of the Federal or State agency to whom the
debt is owed and a cross-reference number (SSN) of the spouse in the
case of a jointly filed return.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 6305, 6402(c) and 6402(d); 31 U.S.C. 3720A.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape and disk file.
Retrievability:
By name, address, and social security number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
The information is kept for one year and then destroyed. A new Debtor
Master File is established each year.
System manager(s) and address:
Officials prescribing policies and practices--Assistant Commissioner
(Taxpayer Services) and Assistant Commissioner (Information Systems
Management). Officials maintaining the system--Director, Returns
Processing and Accounting Division. (See IRS appendix A for
addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the District Director or the Internal Revenue Service Center Director
servicing the area in which the individual resides. (See IRS appendix
A for addresses.)
Contesting record procedures:
Individuals seeking to contest any record contained in this system of
records must contact the agency to whom the debt is owed.
Record source categories:
Names, SSNs, and obligation amounts are supplied by the Federal or
state agency to whom the delinquent obligation is owed.
Exemptions claimed for the system:
None.
Treasury/IRS 26.001
System name:
Acquired Property Records-- Treasury/IRS.
System location:
District Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Delinquent taxpayers whose property has been acquired by purchase by
government or right of redemption.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, revenue
officer reports.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name, taxpayer identification number (social security
number or employer identification number), seizure number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors.
(See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.006
System name:
Form 2209, Courtesy Investigations--Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers on whom a delinquent account or delinquency or other
investigation is or was located in one IRS district offices, but the
individual is now living or has assets located in the jurisdiction of
another IRS District office. Taxpayers on whom an investigation has
been initiated for purposes of securing information necessary for
federal tax administration purposes.
Categories of records in the system:
Contains taxpayer name, current and former addresses, taxpayer
identifying number, if known. Contains the information, including
class of tax, if applicable, or information concerning the action
desired to be taken. The name and address of party that was contacted,
chronological investigative history and/or information secured. The
following types of investigations are included in this system: Form
SSA-1273 cases--Notice of determination of FICA wages--issued when SSA
obtains evidence that wages paid to claimant have not been recorded on
his earnings record; requests for data needed in proof of claim cases;
applications for discharge of property from tax lien; service of tax
court subpoenas; complaints of employers failing to provide
withholding statements; recovery of unassessable erroneous refunds;
Form SSA-7010 cases--Request for preferential investigation. This is a
request for preferential treatment (over other SSA cases) on an
earning discrepancy case. Secure application for exemption from self-
employment tax. Offers in compromise and related activities; i.e.,
follow-up on defaulted installments, secure payments on collateral
agreements, etc. Maximize compliance with withholding requirements on
alien's earnings; other miscellaneous uses.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Retrievable by taxpayer name and taxpayer identification number
(social security number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors,
Internal Revenue Service Center Directors, and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.008
System name:
IRS and Treasury Employee Delinquency-- Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center. (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
IRS and Treasury employees who are shown on the Master File as
delinquent in meeting Federal tax requirements.
Categories of records in the system:
Taxpayer name, social security number, address, fact of IRS or
Treasury employment code, District location code.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name and taxpayer identification number (social security
number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--Assistant Commissioner
(Collection), Regional Commissioners, District Directors, Internal
Revenue Service Center Directors, and the Austin Compliance Center
Director. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.009
System name:
Lien Files (Open and Closed)-- Treasury/IRS.
System location:
District Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers on whom Federal tax liens have been filed.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment including class of tax, period, dollar
amount. Open and closed Federal tax liens including: Certificates of
Discharge of Property from Federal Tax Lien; Certificates of
Subordination; Certificates of Non-Attachment; Exercise of
Government's Right of Redemption of Seized Property; Releases of
Government's Right of Redemption. Federal tax lien information entered
in Treasury Enforcement Communications System.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 6323, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Notices of lien and the index thereto are
available to the public.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name and taxpayer identification number (social security
number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--Assistant Commissioner
(Collection), Regional Commissioners, District Directors and Internal
Revenue Service Center Directors. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquires should be addressed as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the District Director of each District where records are to be
searched. (See IRS appendix A for addresses.) This system contains
copies of public records, the originals of which are filed in
accordance with the laws of each state, the District of Columbia, the
Commonwealth of Puerto Rico, or possessions of the United States.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Exemptions claimed for the system:
None.
Treasury/IRS 26.010
System name:
Lists of Prospective Bidders at Internal Revenue Sales of Seized
Property--Treasury/IRS.
System location:
District Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals who have requested that they be notified of Internal
Revenue sales of seized property.
Categories of records in the system:
Name and address and phone number (if provided).
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By name of prospective bidder.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices-Assistant Commissioner
(Collection). Officials maintaining the system-District Directors.
(See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of the District Office
servicing the area in which the individual resides. (See IRS appendix
A for addresses.)
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Supplied voluntarily by the subject prospective bidder.
Exemptions claimed for the system:
None.
Treasury/IRS 26.011
System name:
Litigation Case Files--Treasury/IRS.
System location:
District Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers on whom Federal tax assessments have been made but against
whom litigation has been initiated or is being considered by the
government or who have instituted suits against the government.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, and dollar
amount. This file includes: Suit to Reduce Tax Claim to Judgement;
Suit for Failure to Honor a Levy; Suit to Enforce Federal Tax Lien;
Suit Against Transferee; Suit to Set Aside Fraudulent Transfer; Suit
to Recover Erroneous Refund; other suits include those which the
United States may intervene to assert a Federal tax lien; a proceeding
to require opening of a safe deposit box, etc. The following suits
against the United States are also included in this file: Quiet Title
Suit; Foreclosure of Mortgage or other Lien; Partition; Condemnation;
Interpleader; Refund Suits Involving 100-Percent Penalty Assessments;
Injunction Suits under Freedom of Information Act. Also included in
Litigation Files are: Individuals against whom bankruptcy proceedings
are pending; decedent estates in probate with outstanding Federal tax
liabilities; individuals executing Assignments for the Benefit of
Creditors; individuals in Receivership Proceedings; individuals
conducting a bulk sale; summons referrals; subpoena files; advisory
opinions; collateral security agreements; revenue officer reports; and
various other legal instruments and correspondence.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices-Assistant Commissioner
(Collection). Officials maintaining the system--District Directors.
(See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.012
System name:
Offer in Compromise (OIC) File--Treasury/IRS.
System location:
Regional Offices, District Offices, Internal Revenue Service Centers,
and the Austin Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers who have submitted an offer to compromise a liability
imposed by the Internal Revenue Code.
Categories of records in the system:
Form 2515, used to control offer cases, contains space for entering
taxpayer name, address, taxpayer identification number, and all other
pertinent information for identifying and assigning the OIC
investigation. The file contains all records, documents, reports and
work papers relating to the assignment, investigation, review and
adjudication of the offer. This includes such items as the original
offer, results of property records checks, interviews with third
parties and the taxpayer, collateral income agreements, financial
statements, tax return copies, and other information submitted by the
taxpayer.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. This includes disclosure to the extent
necessary to permit public inspection of any accepted offer-in-
compromise as required by 26 U.S.C. 6103(k)(1).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices-Assistant Commissioner
(Collection). Officials maintaining the system-Regional Commissioners,
District Directors, Internal Revenue Service Center Directors, and the
Austin Compliance Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported. If an
offer is accepted, an Abstract and Statement which identifies the
taxpayer, the liability, the amount compromised and the basic
circumstances of the case is made available for public inspection in
accordance with Executive Order 10386 and Executive Order 10906.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.013
System name:
One Hundred Percent Penalty Cases--Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals against whom Federal tax assessments have been made or
are being considered as a result of their being deemed responsible for
payment of unpaid corporation withholding taxes and social security
contributions.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
figures, waiver extending the period for asserting the 100-percent
penalty (if any) and correspondence.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By individual, or corporation name, taxpayer identification number
(social security number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices: Assistant Commissioner
(Collection). Officials maintaining the system: District Directors,
Internal Revenue Service Center Directors, and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.014
System name:
Record 21, Record of Seizure and Sale of Real Property,--Treasury/
IRS.
System location:
District Offices (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals against whom tax assessments have been made and whose
real property was seized and sold to satisfy their tax liability. Also
name and address of purchaser.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
amounts, property description.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The contents of this system of records evidences chain of title to
real property and is a matter of public record.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name, taxpayer identification number (social security
number or employer identification number) and seizure number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection); Officials maintaining the system--District Directors.
(See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to or
individuals may appear in person at the Office of the District
Director for each District whose records are to be searched. (See IRS
appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records evidences chain of title to real property and
is a matter of public record. (See ``Categories of records in the
system'' above).
Exemptions claimed for the system:
None.
Treasury/IRS 26.016
System name:
Returns Compliance Programs--Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers who may be delinquent in filing or paying Federal taxes.
Categories of records in the system:
Records consist of name, address, taxpayer identification number (if
known) and information concerning the potential tax liability. Returns
Compliance Programs involve any type of Federal tax administered by
the Collection Division and are conducted in accordance with Section
7601 of the Internal Revenue Code. RCP programs can be initiated by
the National Office, Regional Offices, or by individual districts.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices-Assistant Commissioner
(Collection), Officials maintaining the system-District Directors,
Internal Revenue Service Center Directors, and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.019
System name:
Taxpayer Delinquent Account (TDA) Files, including subsystems: (a)
Adjustments and Payment Tracers Files, (b) Collateral Files, (c)
Seized Property Records, (d) Tax Collection Waiver, Forms 900, Files,
and (e) Accounts on Child Support Obligations-- Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers on whom Federal tax assessments have been made, and persons
who owe child support obligations.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
amounts, chronological investigative history, canceled checks, amended
returns, claims, collateral submitted to stay collection, copies of
notices of Federal tax liens, revenue officer reports, waivers to
extend statutory period for collection, etc, and similar information
about persons who owe child support obligations. This system includes
Installment Agreement Files; Delinquent Account Inventory Profile
(DAIP); Currently Not Collectible Register; Currently Not Collectible
Register (over $25,000); Advance Dated Remittance Check Files;
Currently Not Collectible Accounts Files; File of taxpayer names
entered in the Treasury Enforcement Communications System and a code
identifying taxpayers that threatened or assaulted IRS employees.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name, or name of person who owes child support
obligations, and taxpayer identification number (social security
number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--Assistant Regional
Commissioners (Collection), District Directors, Internal Revenue
Service Center Directors, and the Austin Compliance Center Director.
(See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.020
System name:
Taxpayer Delinquency Investigation (TDI) Files--Treasury/IRS.
System location:
District Offices and Internal Revenue Service Centers. (See IRS
appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers believed to be delinquent in filing Federal tax returns.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, information
from previously filed returns, information about the potential
delinquent return(s), including class of tax, chronological
investigative history; Delinquency Investigation Inventory Profile
(DIIP) and a code identifying taxpayers that threatened or assaulted
IRS employees.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors and
Service Center Directors. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.021
System name:
Transferee Files--Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Includes taxpayers on whom tax assessments have been made but who
have allegedly transferred their assets in order to place them beyond
the reach of the government.
Categories of records in the system:
Taxpayer name, address, taxpayer identification number, information
about basis of assessment, including class of tax, period, dollar
amounts. Also, the name, address, taxpayer identification number and
related information about transferee.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name, taxpayer identification number (social security
number or employer identification number).
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Collection). Officials maintaining the system--District Directors,
Internal Revenue Service Center Directors, the Director of the Detroit
Computing Center, and the Austin Compliance Center Director. (See IRS
appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 26.022
System name:
Delinquency Prevention Programs,-- Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers having a history of Federal tax delinquency.
Categories of records in the system:
Taxpayer name, taxpayer identification number, address, filing
requirements, chronological investigative history.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices-Assistant Commissioner
(Collection). Officials maintaining the system-District Directors,
Internal Revenue Service Center Directors, the Detroit Computing
Center Director, and the Austin Compliance Center Director. (See IRS
appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 30.003
System name:
Requests for Printed Tax Materials Including Lists--Treasury/IRS.
System location:
National Office, 1111 Constitution Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Files include those individuals that request various IRS printed
materials such as publication 1045, reproduction proofs, etc.
Categories of records in the system:
Name and address of individual or company wanting to receive District
Director's newsletters, and/or ordering tax forms materials on certain
distribution programs, (i.e. tax Practitioner Program; Bank, Post
Office and Library Program; Reproducible Forms Program, etc.). A cross
reference index may be developed to identify and control requests.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be used to: (1) Disclose information to mailing or
distribution services contractors for the purpose of executing
mailouts, order fulfillment, or subscription fulfillment; (2) disclose
information to mailing or distribution services contractors for the
purpose of maintaining mailing lists.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosure of debt
information concerning a claim against an individual may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C 1681a) or the Federal Claims Collection
Act of 1966 (31 U.S.C. 3701(a)(e)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, paper records or mailing plates.
Retrievability:
Alphabetically or numerically, by zip code.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Record Schedule 13, Printing, Binding, Duplication, and
Distribution Records, IRM 1(15)59.31.
System manager(s) and address:
Chief, Publishing Services Branch, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures' Below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Chief, Publishing Services
Branch, Internal Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The information is supplied by the individual and/or company making
the request. The Service adds data pertaining to the fulfillment of
the request.
Exemptions claimed for the system:
None.
Treasury/IRS 30.004
System name:
Security Violations--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center. (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
Violators of IRS Security Regulations.
Categories of records in the system:
Name of violator, circumstances of violation (date, time, actions of
violator, etc), supervisory action taken.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be used to: (1) The Department of Justice for the purpose
of litigating an action or seeking legal advice. Disclosure may be
made during judicial processes. (2) Provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folder (notices of violation), 3 x 5 inch card file, and
electronic storage.
Retrievability:
3 x 5 inch card file- by name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Access to lateral
file cabinets by security officer and staff only.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Chief, Property, Security, and Records Unit, National Office,
Regional Office, District Offices, Internal Revenue Service Center,
and Austin Compliance Center Security Officers. (See IRS appendix A
for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the records are located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Contract Guard Force and Security Inspections.
Exemptions claimed for the system:
None.
Treasury/IRS 34.003
System name:
Assignment and Accountability of Personal Property Files--Treasury/
IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center, and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
All individuals receiving Government property for temporary use and
repair.
Categories of records in the system:
Descriptions of property, receipts, reasons for removal, and property
passes.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information contained in these records may be used to:
(1) Disclose information to the Department of Justice for the purpose
of litigating an action or seeking legal advice. Disclosure may be
made during judicial processes; (2) disclose pertinent information to
appropriate Federal, state, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (3)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (4) provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (5)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Information is stored on various forms and ledgers maintained in
locked filing cabinets.
Retrievability:
Indexed alphabetically by name.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 18, Security and Protective Services
Records, IRM 1(15)59.31.
System manager(s) and address:
Chief, Space and Property Branch and Chief, National Office
Facilities Management Branch, National Office; Regional Commissioners,
District Directors, Internal Revenue Service Center Directors,
Computing Center Directors, and the Austin Compliance Center Director.
(See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the records are located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Individuals who receive property or request property passes.
Exemptions claimed for the system:
None.
Treasury/IRS 34.005
System name:
Parking Space Application and Assignment--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center, and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
Internal Revenue Service employees who apply for assignment of
carpool or reserved parking spaces.
Categories of records in the system:
Contains the name, position title, organization, vehicle
identification, arrival and departure time, and service computation
date of individual or principal carpool applicant. Contains name,
place of employment, duty telephone, vehicle license number and
service computation date of applicants, individuals or carpool
members, for parking spaces.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be used to: (1) Disclose information to the Department of
Justice for the purpose of litigating an action or seeking legal
advice. Disclosure may be made during judicial processes; (2) provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on an 8-1/2 x 10 inch or other local form.
Retrievability:
Indexed by name of individual or principal carpool applicant.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 11, Space and Maintenance Records, IRM
1(15)59.31.
System manager(s) and address:
Chief, National Office Protective Programs Staff, National Office;
Regional Commissioners, District Directors, Internal Revenue Service
Center Directors, Computing Center Directors, and the Austin
Compliance Center Director. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the records are located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Individuals applying for parking spaces.
Exemptions claimed for the system:
None.
Treasury/IRS 34.007
System name:
Record of Government Books of Transportation Requests--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center, and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
IRS employees issued Transportation Requests.
Categories of records in the system:
Form 496, alphabetical card record by name or the serial numbers of
Transportation Requests issued to the employee; and Form 4678,
numerical list by serial number listing the name of the employee to
whom issued.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) disclose information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (3) disclose information to another
Federal agency to effect inter-agency salary offset; to furnish a
consumer reporting agency information to obtain commercial credit
reports; to furnish a debt collection agency information for debt
collection services; to furnish a consumer reporting agency with
delinquency and default data available to private sector credit
grantors.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt
information concerning a claim against an individual may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
By name or serial number.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 9, Travel and Transportation Records,
IRM 1(15)59.31.
System manager(s) and address:
Administrative Officers, National Office; Regional Commissioners,
District Directors, Internal Revenue Service Center Directors,
Computing Center Directors, and the Austin Compliance Center Director.
(See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the records are located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Government Books of Transportation Requests and employees to whom
books were issued.
Exemptions claimed for the system:
None.
Treasury/IRS 34.009
System name:
Safety Program Files--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center, and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
IRS employees and others involved in an IRS motor vehicle accident,
an accident or injury on IRS property, or a tort or personal property
claim against the Service. All individuals issued an IRS driver's
license are covered by this system.
Categories of records in the system:
Individual driving records and license applications, motor vehicle
accident reports, lost time and no-lost time personal injury reports,
tort and personal property claims case files, informal and formal
investigative report files.
Authority for maintenance of the system:
5 U.S.C. 301; Executive Order 12196.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice. Disclosure may be made during judicial processes; (2) provide
information to the Department of Labor in connection with
investigations of accidents occurring in the work place; (3) provide
information to other federal agencies for the purpose of effecting
interagency salary offset or interagency administrative offset; (4)
provide information to consumer reporting agencies in accordance with
31 U.S.C. 3711(f); (5) provide information to a debt collection agency
for debt collection services; (6) disclose pertinent information to
appropriate Federal, state, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, when the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (7)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (8) provide information to Officials of labor organizations
recognized under 5 U.S.C. Chapter 71 when relevant and necessary to
their duties of exclusive representation; (9) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt
information concerning a claim against an individual may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
Indexed alphabetically by name.
Safeguards:
Access controls will not be less than those required by the Automated
Information System Security Handbook, IRM 2(10)00. Generally, access
is restricted to official use by IRS employees.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 1, 10, and 18; Records Control Schedule
114 for Facilities Management Division--National Office, IRM
1(15)59.1(14); and Records Control Schedule 212 for Regional
Commissioner, Assistant Regional Commissioner (Resource Management)
and District Director, IRM 1(15)59.2(12).
System manager(s) and address:
Safety Management Officer, Office of Research, Planning and
Development, Director, Facilities and Information Management Systems,
National Office; Director, Human Resources, Headquarters, appropriate
Regional or District Office; Computing Center Directors; and the
Austin Compliance Center Director. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records or seeking to contest its content, may inquire in accordance
with instructions appearing in 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the records are located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information originates from IRS employees, private individuals and
private parties.
Exemptions claimed for the system:
None.
Treasury/IRS 34.012
System name:
Emergency Preparedness Cadre Assignments and Alerting Rosters Files
--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center. (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
Key IRS and Treasury personnel.
Categories of records in the system:
Cadre assignments-personal information on employees; i.e., name,
address, phone number, family data, security clearance, relocation
assignment, etc. Alerting rosters-current listing of individuals by
name and title stating their work and home address and phone numbers.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Individual forms, correspondence kept in file folders, and electronic
storage.
Retrievability:
Cadre assignments are filed by relocation site and alerting rosters
by title of list.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 18, Security and Protective Services
Records, IRM 1(15)59.31.
System manager(s) and address:
Chief, Physical Security Section, Facilities Standards Branch,
Facilities and Information Management Support Division, National
Office. Regional Office, District Office, Internal Revenue Service
Center, and Austin Compliance Center Security Officers. (See IRS
appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the records are located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Provided by individuals themselves.
Exemptions claimed for the system:
None.
Treasury/IRS 34.013
System name:
Identification Media Files System for Employees and Others Issued IRS
ID--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center, and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
IRS employees having one or more items of identification and federal
and non-federal personnel working in or visiting IRS facilities.
Categories of records in the system:
Records contain individual's name, home address, and other personal
information and reports on loss, theft, or destruction of pocket
commissions, enforcement badges and other forms of identification.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Correspondence file folders, 3 x 7 inch card files, and magnetic
media.
Retrievability:
Indexed separately by name and Identification Media serial number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Access to the
records is restricted to official use of Internal Revenue.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedule 11, Space and Maintenance Records, IRM
1(15)59.31.
System manager(s) and address:
Chief, Physical Security Section, Facilities Standards Branch,
Facilities and Information Management Support Division, and Chief,
Property, Security and Records unit, National Office; Regional
Offices, District Offices, Internal Revenue Service Center and Austin
Compliance Center Security Officers.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below. Individual's name, SSN, address and type of ID media, plus the
approximate date that he/she was issued and/or returned the particular
item of identification, would have to be furnished to the Service
office that issued the item for the Service to be able to ascertain
whether or not the system contains a record about the individual.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the offices
where the record is located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information is generated by specific personnel action and is
initially gathered on an application for employment. The information
is confirmed by the newly hired employee.
Exemptions claimed for the system:
None.
Treasury/IRS 34.014
System name:
Motor Vehicle Registration and Entry Pass Files --Treasury/IRS.
System location:
Internal Revenue Service Centers and the Austin Compliance Center.
(See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals requiring continued access to the facility and parking
area violators.
Categories of records in the system:
Name of employee, registered owner of vehicle, branch, telephone
number, description of car, license number, employee's signature, name
and expiration date of insurance, parking violations, decal number.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, card files.
Retrievability:
Indexed by name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are periodically updated to reflect changes and maintained as long as
needed.
System manager(s) and address:
Chief, Security Function at Internal Revenue Service Centers and the
Austin Compliance Center. (See IRS appendix A for addresses.)
Notification procedures:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager in the office
where the record is located.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information is supplied by individual, except for parking violations
information which is supplied by Security guard personnel.
Exemptions claimed for the system:
None.
Treasury/IRS 34.016
System name:
Security Clearance Files--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center. (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
Employees of the Internal Revenue Service requiring a security
clearance, having their security clearance canceled or transferred and
individuals who have violated IRS security regulations regarding
classified national security information.
Categories of records in the system:
Records contain individual's name, employing office, date of security
clearance, level of clearance, reason for the need for the national
security clearance, and any changes in such clearance. Security
violations records contain name of violator, circumstance of violation
and supervisory action taken.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information from these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (3) provide information to agencies and
on a need-to-know basis to determine the current status of an
individual's security clearance.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Correspondence file folders.
Retrievability:
Indexed by name and cross filed by functional area.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Stored in locked
security container in offices which are locked or guarded during non-
work hours.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Chief, Physical Security Section, Facilities Standards Branch,
Facilities and Information Management Support Division, National
Office, for security violations; and Chief, Employment Branch,
Personnel Division, National Office for security clearances.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the appropriate system manager.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information is provided by the employee, his/her supervisor or
employee's personnel record. Security violation information is
obtained from a variety of sources, such as guard reports, security
inspections, supervisor's reports, Internal Audit Reports, etc.
Exemptions claimed for the system:
None.
Treasury/IRS 34.018
System name:
Integrated Data Retrieval System (IDRS) Security Files--Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individual employees who input or are authorized to input IDRS
transactions or who are subjects of IDRS inputs.
Categories of records in the system:
Record logs of the employees who are authorized access to IDRS and of
employee inputs and inquiries processed through IDRS terminals.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, disk, flat paper, lists, and card files.
Retrievability:
Indexed by employee's social security number or employer
identification number. Also retrievable by the name of the taxpayer
who is subject of IDRS inputs.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Record Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Chief, Program Management and Evaluation Section, Information System
Risk Management Branch, Systems Management Division, Information
System Management, National Office.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part I, subpart C, appendix B.
Inquiries should be addressed to the Director of the Austin Compliance
Center, or Internal Revenue Service Center or District Office
servicing the area in which the individual resides. (See IRS appendix
A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Information is supplied by the IRS employee on standard personnel
forms and computer generated records of all inputs to IDRS. Data may
also be retrieved from other published systems of records used in the
processing of this system.
Exemptions claimed for the system:
None.
Treasury/IRS 36.001
System name:
Appeals, Grievances and Complaints Records--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, Martinsburg
Computing Center, and the Austin Compliance Center. (see IRS appendix
A for addresses).
Categories of individuals covered by the system:
Applicants for Federal employment, current and former Federal
employees (including annuitants) who submit appeals, grievances, or
complaints for resolution.
Categories of records in the system:
This system of records contains information or documents relating to
a decision or determination made by an agency or other appropriate
action organization (e.g., Office of Personnel Management, Equal
Employment Opportunity Commission, Merit Systems Protection Board)
affecting an individual. The records consist of the initial appeal or
complaint, letters or notices to the individual, record of hearings
when conducted, materials placed into the record to support the
decision or determination, affidavits or statements, testimonies of
witnesses, investigative reports, instructions to an agency about
action to be taken to comply with decisions, and related
correspondence, opinions and recommendations.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, 3302, 4308, 5115, 5338, 5351, 5388, 7105, 7151,
7154, 7301, 7512, 7701 and 8347, Executive Order 9830, 10577, 10987,
11222, 11478 and 11491; and Pub. L. 92-261 (EEO Act of 1972), and Pub.
L. 93-259.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses.
Disclosure of returns and return information may be only made as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Provide information to a Member of
Congress regarding the status of an appeal, complaint or grievance;
(2) disclose pertinent information to appropriate Federal, State,
local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulations; (3) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) provide information to the Department of
Justice for the purpose of litigating an action or seeking legal
advice. Disclosure may be made during judicial processes; (5) provide
information to other agencies to the extent provided by law or
regulation and as necessary to report apparent violations of law to
appropriate law enforcement agencies; (6) provide records and
information to the Office of Personnel Management, Merit Systems
Protection Board or Equal Employment Opportunity Commission for the
purpose of properly administering Federal Personnel Systems in
accordance with applicable laws, Executive Orders and regulations; (7)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (8) provide
information to officials of labor organizations recognized under 5
U.S.C. Chapter 71 when relevant and necessary to their duties of
exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (10) provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Card files, flat paper, lists, forms, folders, binder, microfilm and
microfiche, punch card, and magnetic media.
Retrievability:
Indexed by the names and case number of the individuals on whom they
are maintained.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00. This is
also in conformance with existing EEOC regulations.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
System manager(s) and address:
(a) EEO Discrimination Complaint Records--Regional Complaints Center
Directors; (b) all other records--Director, Human Resources Division,
or Chief, Personnel Branch, appropriate office. (See IRS appendix A
for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for computing center employees only); Director,
Detroit Computing Center (for computing center employees only);
Director, Austin Compliance Center (for compliance center employees
only); Regional Commissioner for each Regional Office whose records
are to be searched; Director, Personnel Division, National Office;
Assistant Commissioner Human Resources, National Office; Regional
Counsel for each region whose records are to be searched; Assistant
Chief Counsel (Disclosure Litigation) for records in the National
Office of Chief Counsel. (See IRS appendix A for addresses.)
Individuals should provide their name, date of birth, agency in which
employed, and the approximate date, and the kind of action taken by
the agency when making inquiries about records.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the appropriate official listed
above. Individuals should provide their name, date of birth, POD,
approximate date, and the kind of action taken by the agency when
requesting access to, or contest of, records.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Individual to whom the record pertains; (2) Agency and/or other
authorized Federal officials; (3) Affidavits or statements from
employee; (4) Testimony of witnesses; (5) Official documents relating
to the appeal, grievance, or complaints; (6) Correspondence from
specific organization or persons.
Exemptions claimed for the system:
None.
Treasury/IRS 36.002
System name:
Employee Activity Records--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, Martinsburg
Computing Center, and the Austin Compliance Center. (See IRS appendix
A for addresses.)
Categories of individuals covered by the system:
Current and former employees of the Internal Revenue Service.
Categories of records in the system:
This system contains records and information relating to voluntary
employee activities and functions which are not directly related to
the mission of the IRS or any of its functional components. These
records will contain the names of participants and such other
information only to the extent that it is necessary for the operation
of the activity.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigation an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (3) provide information to officials of
labor organization recognized under 5 U.S.C. Chapter 71 when relevant
and necessary to their duties of exclusive representation; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (5) provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Indexed by the name of the individuals on whom they are maintained.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. This is in
conformance with existing OPM regulations.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Supervisor of the organizational segment participating in the
activity. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below. Inquiring individuals need only provide their name.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager or the individual
designated to maintain the record. Inquiring individuals need only
provide their name.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information is derived only from the individual to whom the record
pertains.
Exemptions claimed for the system:
None.
Treasury/IRS 36.003
System name:
General Personnel and Payroll Records--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, Martinsburg
Computing Center, and the Austin Compliance Center. Payroll records
are maintained at the Detroit Computing Center. (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
Prospective, current and former employees of the IRS.
Categories of records in the system:
This system consists of a variety of records relating to personnel
actions and determinations made about an individual while employed in
the Federal service. These records contain data on individuals
required by the Office of Personnel Management (OPM) and maintained in
the Official Personnel Folder (OPF). The OPF may also contain letters
of commendation; awards from non-Federal organizations;
recommendations for Federal awards; awards; reprimands; adverse or
disciplinary charges; records relating to life insurance, health
insurance, designation of beneficiary; training; and other records
which OPM and IRS require or permit to be maintained in the OPF. This
system also includes records which are maintained in support of a
personnel action such as a position management or position
classification action, a reduction-in-force action (including such
documents as retention registers and notices), and priority placement
actions. Other records maintained about an individual in this system
are evaluation records, including appraisal, expectation and payout
records; employee performance file (EPF) records (includes performance
ratings); suggestion files; award files; financial and tax matters;
back pay files; jury duty records; special emphasis programs records,
such as Upward Mobility and Handicapped; outside employment
statements; clearance upon separation; Unemployment Compensation
Records; adverse and disciplinary action files; supervisory drop
files; records relating to personnel actions correcting a pay problem;
employment of relatives; furlough/recall records; work measurement
records; emergency notification, employee locator and current address
records; other records relating to the status of an individual;
Executive Resources records and Senior Executive Service records;
Management Careers Program records; and correspondence files
pertaining to any personnel information contained in this notice.
Payroll records included in this system are data storage and file
records system for processing payroll and personnel actions,
consisting of records of time and attendance, leave, tax withholding,
bond purchases and issuances, emergency salaries, overtime and holiday
pay, optional payroll deductions, and minority group designator codes.
Authority for maintenance of the system:
5 U.S.C. 301, 1302, 2951, 4118, 4308 and 4506; and Executive Order
10561.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Provide information to a prospective employer of an IRS employee or
former IRS employee; (2) provide data to update Federal Automated
Career Systems (FACS), Executive Inventory File, and security
investigations index on new hires, adverse actions, and terminations;
(3) provide information to a Federal, state, or local agency, other
organizations or individuals in order to obtain relevant and pertinent
information about an individual which is necessary for the hiring or
retention of an individual; letting of a contract; or the issuance of
a license, grant or other benefit; (4) request information from a
Federal, state, or local agency maintaining civil, criminal, or other
relevant enforcement or other pertinent agencies; (5) provide
information to the Department of Justice for the purpose of litigating
an action or seeking legal advice. Disclosure may be made during
judicial process; (6) provide information to other agencies to the
extent provided by law or regulation and as necessary to report
apparent violation of law to appropriate law enforcement agencies; (7)
provide information or records, where there is an indication of a
violation or potential violation of law, whether civil, criminal, or
regulatory in nature, to any other appropriate agency, whether
Federal, State, or local, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation, or order issued
pursuant thereto or upon request of such agency when the agency is
investigating the possible violation of their rules or regulations;
(8) provide records to the Office of Personnel Management, Merit
Systems Protection Board, Equal Employment Opportunity Commission, and
General Accounting Office for the purpose of properly administering
Federal Personnel systems or other agencies' systems in accordance
with applicable laws, Executive Orders, and applicable regulations;
(9) provide information to hospitals and similar institutions or
organizations involved in voluntary blood donation activities; (10)
provide information to educational institutions for recruitment and
cooperative education purposes; (11) provide information to a Federal,
state, or local agency so that the agency may adjudicate an
individual's eligibility for a benefit, such as a state unemployment
compensation board, housing administration agency and Social Security
Administration; (12) provide information to financial institutions for
payroll purposes; (13) provide information to another agency such as
the Department of Labor or Social Security Administration and state
and local taxing authorities as required by law for payroll purposes;
(14) provide information to Federal agencies to effect inter-agency
salary offset; to effect inter-agency administrative offset to the
consumer reporting agency for obtaining commercial credit reports; and
to a debt collection agency for debt collection services; (15) provide
information to officials of labor organizations recognized under 5
U.S.C Chapter 71 when relevant and necessary to their duties of
exclusive representation; (16) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (17) provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (18)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
disclosure to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (19) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (20) disclosure of information about
particular Treasury employees may be made to requesting Federal
agencies or non-Federal entities under approved computer matching
efforts, limited to only those data elements considered relevant to
making a determination of eligibility under particular benefit
programs administered by those agencies or entities or by the
Department of the Treasury or any constituent unit of the Department,
to improve program integrity, and to collect debts and other monies
owed under those programs.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt
information concerning a claim against an individual may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, discs, forms, punched cards, flat paper, lists, card
files, forms, folders, binders, microfilm and microfiche.
Retrievability:
Records are indexed by any combination of name, birthdate, social
security number, or employee identification number.
Safeguards:
Access controls will be not less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. This is also in
conformance with existing OPM and GAO regulations.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
System manager(s) and address:
Director, Human Resources Branch, and Chief, Personnel Branch,
appropriate office (See IRS Appendix A for addresses); Executive
Secretary, Executive Resources Board (for executive resource records).
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for computing center employees only); Director,
Detroit Computing Center (for computing center employees only);
Director, Austin Compliance Center (for compliance center employees
only); Regional Commissioner for each Regional Office whose records
are to be searched; Director, Human Resources Division, National
Office; for each appropriate Division in the National Office; Regional
Counsel for each region whose records are to be searched; Assistant
Chief Counsel (Disclosure Litigation) for records in the National
Office of Chief Counsel; (See IRS appendix A for addresses.) Inquiries
should include name, date of birth, social security number and post-
of-duty.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the appropriate official listed
above. Former IRS employees who wish to gain access to their records
should direct such a request in writing, including their name, date of
birth, and social security number, to: National Personnel Records
Center, National Archives and Records Administration, 9700 Page
Boulevard, St. Louis, Missouri 63132.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information in this system of records either comes from the
individual to whom it applies or is derived from information supplied
by that individual, except information provided by agency officials.
Payroll information is compiled from existing master records, i.e.,
employees' official personnel folders, or the employee. Information is
also obtained directly from an employee, payroll coordinator, or
administrative officer.
Exemptions claimed for the system:
None.
Treasury/IRS 36.005
System name:
Medical Records--Treasury/IRS.
System location:
(1) Applicants and current IRS employees: National Office, Regional
Offices, District Offices, PODs, Internal Revenue Service Centers,
Detroit Computing Center, Martinsburg Computing Center, and the Austin
Compliance Center. (See IRS appendix A for addresses.); (2) Former IRS
employees: National Personnel Records Center, 9700 Page Blvd., St.
Louis, Missouri 63132. Records may also be maintained in the offices
listed under (1) above.
Categories of individuals covered by the system:
(1) Applicants for IRS employment; (2) Applicants rejected on medical
grounds; (3) Applicants for disability retirement under the Civil
Service Retirement Law; (4) IRS employees; (5) Former IRS employees;
(6) Visitors of IRS offices who require medical attention while on the
premises.
Categories of records in the system:
(1) Applications for IRS employment containing information relating
to an individual's medical qualifications to hold a position in the
IRS; (2) Applications rejected on medical grounds. Information
relating to an applicant's rejection for a position because of medical
reasons; (3) Disability retirement records. Information relating to an
individual's capability (physical or mental) to satisfactorily perform
the duties of the position he or she holds or held; (4) Health unit
medical records (Federal civilian employees); (5) Information relating
to an employee's participation in an occupational health services
program; (6) Qualification examinations (Federal employees).
Information relates to pre-employment, or periodic re-qualification
medical examinations to assure that the incumbents are qualified
(physically and mentally) to satisfactorily perform the duties of the
position; (7) Fitness-for-duty examinations. Information relating to a
medical examination to determine an individual's physical or mental
condition with respect to ability to satisfactorily perform the duties
of the position held; (8) Alcohol/drug employee assistance records.
Information relating to employee participation in the Federal Civilian
Alcoholism and Drug Abuse Program; (9) Injury Compensation Records.
Information relating to on-the-job injuries of employees and former
employees; (10) Records relating to the Blood Donor Program; (11)
Records relating to drug testing program.
Authority for maintenance of the system:
Medical Information relating to the Retirement, Life Insurance and
Health Benefits Programs--5 U.S.C. Chapters 81, 87, and 89.
Information for Federal employment--5 U.S.C. 3301. Information
relating to the Alcoholism, Drug Abuse and Employee Assistance
Programs--Pub. L. 91-616 and 92-255 as amended by Pub. L. 93-282 in
regard to confidentiality of patient records. Information relating to
the Occupational Health Program--5 U.S.C. 7901. Information relating
to workman's compensation--5 U.S.C. 8101. Information relating to drug
testing--5 U.S.C. 7301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information contained in these records may be used to:
(1) Provide information to other Federal agencies responsible for
other Federal benefits programs administered by the Office of Workers'
Compensation Programs; Retired Military Pay Centers; Veterans
Administration; Social Security Administration; Office of Personnel
Management; Private contractors engaged in providing benefits under
Federal contracts; (2) disclose information to the Department of
Justice for the purpose of litigating an action or seeking advice.
Disclosure may be made during judicial processes; (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)
disclose information to other agencies to the extent provided by law
or regulation; (5) disclosure may be made to the appropriate Federal,
state or local agency where there is an indication of a violation or
potential violation of law, whether civil, criminal, or regulatory in
nature; (6) Federal, state, or local agencies in order to obtain or
release relevant and pertinent information to an agency decision
concerning the hiring or retention of an individual, the issuance of a
security clearance, the letting of a contract or the issuance of a
license, grant or other benefit; (7) disclose information to the
Public Health Service; (8) disclose information to an individual's
private physician where medical considerations or the content of
medical records indicate that such release is appropriate; (9)
disclose information to an agency designated employee representative
where such representative is required by the Office of Personnel
Management; (10) disclose information to hospitals and similar
institutions or organizations participating in blood donor activities;
(11) disclosure of Alcoholism, Drug Abuse, and Employee Assistance
records are limited under Public Laws 91-616, 92-255, and 93-282; (12)
disclose information to the Equal Employment Opportunity Commission
when needed to resolve a complaint; (13) disclose relevant, non-
privileged information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (14) provide information
to officials of labor organizations recognized under 5 U.S.C. Chapter
71 when relevant and necessary to their duties of exclusive
representation; (15) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, discs, flat paper, lists, forms, folders, card files,
microfilm and microfiche.
Retrievability:
Records are indexed by name, social security number, date of birth
and/or claim number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
System manager(s) and address:
Director, Human Resources Branch, or Chief, Personnel Branch,
appropriate office; Associate Chief Counsel (Finance and Management),
Regional and District Counsels. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for Computing Center employees only); Director,
Detroit Computing Center (for Computing Center employees only);
Director, Austin Compliance Center (for Compliance Center employees
only); Regional Commissioner for each Regional Office whose records
are to be searched; Director, Human Resources Branch, National Office;
Chief, Management and Administration, National Office; Regional
Counsel for each region whose records are to be searched; Assistant
Chief Counsel (Enforcement Litigation-- Disclosure Litigation) for
records in the National Office of Chief Counsel. (See IRS appendix A
for addresses.) Former employees should direct inquiries to: The
National Personnel Records Center, 9700 Page Blvd., St. Louis,
Missouri 63132. Individuals requesting information about this system
of records should provide their full name, date of birth, social
security number, name and address of office in which currently or
formerly employed in the Federal service, and annuity account number,
if any has been assigned.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the appropriate official listed
above.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) The individual to whom the record pertains; (2) private
physicians; (3) Medical institutions; (4) Office of Workers'
Compensation Programs; (5) Military Retired Pay Systems Records; (6)
Federal civilian retirement systems other than Civil Service
Retirement System; (7) General Accounting office pay, leave allowance
cards; (8) OPM Retirement, Life Insurance and Health Benefits Records
System; (9) OPM Personnel Management Records System.
Exemptions claimed for the system:
None.
Treasury/IRS 36.008
System name:
Recruiting, Examining and Placement Records--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, Detroit Computing Center, Martinsburg
Computing Center, and the Austin Compliance Center, (see IRS appendix
A for addresses.)
Categories of individuals covered by the system:
Applicants for IRS employment, current and former employees.
Categories of records in the system:
These records contain information relating to education, training,
employment history and earnings, tests, results of written tests, test
scores, qualification determinations, evaluations, appraisals of
potential, interview records, responses to test items and
questionnaires, honors, and awards or fellowships. Other information
maintained in the records includes military service, date of birth,
birthplace, SSN, home address. Records may also be maintained on
suitability determinations, employee participation in special
emphasis, placement and recruiting programs, and employee turnover
records. This system also includes correspondence files relating to
the above mentioned records. Personnel research and test validation
records are included in this system.
Authority for maintenance of the system:
5 U.S.C. 1302, 3109, 3301, 3302, 3304, 3306, 3307, 3309, 3313, 3317,
3318, 3319, 3326, 3349, 4103, 5532, 5533 and 5723; Executive Order
10577 and 11103.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice for the purpose of
litigating an action or seeking legal advice. Disclosure may be made
during judicial processes; (2) disclose information to other agencies
to the extent provided by law or regulation and as necessary to report
apparent violations of law to appropriate law enforcement agencies;
(3) disclose information and records to the Office of Personnel
Management, Merit Systems Protection Board, or the Equal Employment
Opportunity Commission, for the purpose of properly administering
Federal Personnel Systems in accordance with applicable laws,
Executive Orders and regulations; (4) refer applicants to officials of
Federal government agencies for purposes of consideration for
placement in positions for which an applicant has applied and is
qualified; to state and local governments with permission of an
applicant for the purpose of employment consideration; and to refer
current IRS employees to Federal agencies for consideration for
transfer, reassignment, and promotion; (5) disclose information to
educational institutions in connection with recruiting efforts; (6)
disclose information or records where there is an indication of a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, to any other appropriate agency, whether
Federal, state or local charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule; (7) request information from a
Federal, state or local agency maintaining civil, criminal, or other
relevant enforcement or other pertinent information, such as licenses,
if necessary to obtain relevant information to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit; (8) provide information to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the letting of a contract, or 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 that matter; (9) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (10) provide information
to officials of labor organizations recognized under 5 U.S.C. chapter
71 when relevant and necessary to their duties of exclusive
representation; (11) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (12) provide information
to a Congressional office in response to an inquiry made at the
request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tapes, punched cards, discs, card files, lists, flat paper,
microfilm, microfiche, forms and folders.
Retrievability:
Records are indexed by name, combination of birth date, social
security account number, and an identification number that is
applicable.
Safeguards:
Access Controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00. This is
in conformance with existing OPM regulations.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
System manager(s) and address:
Director, Human Resources Branch, or Chief, Personnel Branch,
appropriate office. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for Computing Center employees only); Director,
Detroit Computing Center (for Computing Center employees only);
Director, Austin Compliance Center (for Compliance Center employees
only); Regional Commissioner for each Regional Office whose records
are to be searched; Director, Personnel Branch, National Office;
Chief, Management and Administration, National Office; or other
appropriate official. (See appendix A.) Individuals should provide
name, date of birth, social security number, identification number (if
known), approximate date of record, and title of examination or
announcement with which concerned.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the appropriate official as listed
above. This system of records may not be accessed for purposes of
inspection or for contest of content of Treasury Forms 4825
(Evaluation of Candidates for Initial Executive Placement) and
Treasury Form 4245 (Report of Managerial Potential) prepared prior to
September 27, 1975.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information in this system of records either comes from the
individual to whom it applies or is derived from information he or she
supplied, except reports from medical personnel on physical
qualification; results of examination which are made known to
applicants and vouchers supplied by references the applicant lists.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 36.009
System name:
Retirement, Life Insurance and Health Benefits Records System--
Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, PODs, Internal
Revenue Service Centers, the Detroit Computing Center, Martinsburg
Computing Center, and the Austin Compliance Center (see IRS appendix A
for addresses.) For former employees: Records Division, Bureau of
Retirement, Insurance and Occupational Health, Office of Personnel
Management, Boyers, Pennsylvania.
Categories of individuals covered by the system:
(1) IRS employees who are covered by the Civil Service Retirement
System (CSRS) or the Federal Employees Retirement System (FERS); (2)
IRS employees who have either declined or are covered by the Federal
Employees' Group Life Insurance Program or the Federal Employees'
Health Benefits Program.
Categories of records in the system:
(1) Documentation of Federal service creditable under CSRS/FERS; (2)
Documentation of coverage or declination of coverage under the Federal
Employees' Group Life Insurance Program, and the Federal Employees'
Health Benefits Program; (3) Documentation of claim for refund or for
annuity benefits under CSRS/FERS; (4) Documentation of claim for
survivor annuity or death benefits under CSRS/FERS; (5) Medical
records supporting claims for disability retirement under CSRS/FERS;
(6) Designations of beneficiary for benefits payable under CSRS/FERS
or the Federal Employees' Group Life Insurance Program; (7) All other
information necessary to enable offices to recruit annuitants for
short term assignments and to send them requested publications.
Authority for maintenance of the system:
5 U.S.C. Chapters 83, 87, and 89.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Provide information to the Office of Workers' Compensation Programs,
Veterans Administration Pension Benefits Program, Social Security Old
Age, Survivor and Disability Insurance and Medicare Programs, and
Federal civilian employee retirement systems other than the Civil
Service Retirement System, when requested by that program or system or
by the individual covered by this system of records, for use in
determining an individual's claim for benefits under such system; (2)
provide information necessary to support a claim for life insurance
benefits under the Federal Employees' Group Life Insurance Program to
the Office of Federal Employees' Group Life Insurance, 4 East 24th
Street, New York, NY 10010; (3) provide information necessary to
support a claim for health insurance benefits under the Federal
Employees' Health Benefits Program to a health insurance carrier or
plan participating in the program; (4) disclose information to the
Department of Justice for the purpose of litigating an action or
seeking legal advice. Disclosure may be made during judicial
processes; (5) provide information to other agencies to the extent
provided by law or regulation and as necessary to report apparent
violations of law to appropriate law enforcement agencies; (6)
disclose information to a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (7) provide information
and records to the Office of Personnel Management for the purpose of
properly administering Federal Personnel Systems in accordance with
applicable laws, Executive Orders and regulations; (8) provide
information to an agency designated employee representative when such
representative is required under Office of Personnel Management
regulations; (9) provide information to hospitals and similar
institutions to verify an employee's coverage in the Federal
Employees' Health Benefits Program; (10) provide information to the
Equal Employment Opportunity Commission when needed to resolve a
complaint; (11) disclose relevant, non-privileged information to a
court, magistrate, or administrative tribunal including the
presentation of evidence, disclosures to opposing counsel or witnesses
in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (12) provide information to officials of
labor organizations recognized under 5 U.S.C. Chapter 71 when relevant
and necessary to their duties of exclusive representation; (13)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation; (14) provide information to a Congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, punched cards, discs, forms, flat paper, card files,
lists, folders, microfilm and microfiche.
Retrievability:
Records are indexed by name, social security number, birth date, and
by annuity or death claim number.
Safeguards:
Access Controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. This is also in
conformance with existing OPM regulations.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
System manager(s) and address:
Director, Human Resources Branch, and Chief, Personnel Branch,
appropriate office. Associate Chief Counsel (Finance and Management),
Regional and District Counsels. (See IRS appendix A for addresses.)
Notification procedure:
(1) Individuals seeking to determine if this system of records
contains a record pertaining to themselves may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to: District Director for each District
whose records are to be searched; Service Center Director for each
Service Center whose records are to be searched; Director, Martinsburg
Computing Center (for Computing Center employees only); Director,
Detroit Computing Center (for Computing Center employees only);
Director, Austin Compliance Center (for Compliance Center employees
only); Regional Commissioner for each Regional Office whose records
are to be searched; Director, Human Resources Branch, National Office;
Chief, Management and Administration, National Office; Regional
Counsel for each region whose records are to be searched; Assistant
Chief Counsel (Enforcement Litigation--Disclosure Litigation) for
records in the National Office of the Chief Counsel. (See IRS Appendix
A for addresses); (2) If the individual is retired from Federal
service he should direct inquiries to: Associate Director for
Compensation, Office of Personnel Management, 1900 E Street, NW,
Washington, DC 20415; (3) if the individual is not retired, but has
been separated from Federal service, he should direct inquiries to:
National Personnel Records Center, 9700 Page Blvd., St. Louis,
Missouri 63132.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the appropriate official listed
above. Individuals requesting information in this system of records
should provide their full name, date of birth, social security number,
claim number, if assigned, and the POD in which currently or formerly
employed.
Contesting records procedures:
See ``Record access procedures'' above.
Record source categories:
The information in this system is obtained from the following
sources: (1) The individual whom the information is about; (2) GAO
Pay, Leave and Allowance Records System; (3) OPM Personnel Management
Records System; (4) NARA National Personnel Records Center; (5) OPM
Medical Records System; (6) Federal civilian retirement systems other
than Civil Service Retirement System and Federal Employees' Retirement
System; (7) Military retired pay system records; (8) Office of
Workers' Compensation Programs; (9) Veterans Administration Pension
Benefits Programs; (10) Social Security, Old Age, Survivor and
Disability Insurance and Medicare Programs.
Exemptions claimed for the system:
None.
Treasury/IRS 37.001
System name:
Abandoned Enrollment Applications--Treasury/IRS.
System location:
Washington National Records Center, National Archives and Records
Administration, General Services Administration, Washington, DC 20409.
Categories of individuals covered by the system:
Individuals who applied for enrollment to practice before the
Internal Revenue Service but subsequently abandoned their
applications.
Categories of records in the system:
Application for enrollment to practice before the Internal Revenue
Service and, in some cases, information regarding individuals' fitness
for enrollment.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of record maintained in the system, including categories of
users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, State or local agency maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Original application form and information relating to it.
Retrievability:
Indexed by name of applicant.
Safeguards:
Those safeguards in effect at Federal Records Center.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Ave., NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, NW, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by (1)
the applicant; (2) individuals; (3) the Internal Revenue Service; (4)
other government agencies, and (5) professional organizations.
Exemptions claimed for the system:
None.
Treasury/IRS 37.002
System name:
Files containing derogatory information about individuals whose
applications for enrollment to practice before the IRS have been
denied and Applicant Appeal Files--Treasury/IRS.
System location:
(1) Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224; (2) Washington National
Record Center, National Archives and Records Administration, General
Services Administration, Washington, DC 20409.
Categories of individuals covered by the system:
Individuals whose applications for enrollment to practice before the
Internal Revenue Service have been denied, including those who have
appealed such denial.
Categories of records in the system:
Information relating to individuals' applications and eligibility for
enrollment to practice before the Internal Revenue Service.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, State or local agency maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name of individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5 year intervals for
retention.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, NW, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by: (1)
Individuals; (2) the Internal Revenue Service; (3) other Government
agencies, and (4) professional organizations.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/IRS 37.003
System name:
Closed Files Containing Derogatory Information About Individuals'
Practice Before the Internal Revenue Service and Files of Attorneys
and Certified Public Accountants Formerly Enrolled to Practice--
Treasury/IRS.
System location:
(1) Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224; (2) Washington National
Records Administration, National Archives and Records Administration,
General Services Administration, Washington, DC 20409.
Categories of individuals covered by the system:
Individuals eligible to practice before the Internal Revenue Service
(attorneys, certified public accountants and enrolled agents).
Categories of records in the system:
Information relating to individuals' enrollments to practice before
the Internal Revenue Service and derogatory and other information
regarding such practice.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name of individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, NW, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by: (1)
Individuals, (2) Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/IRS 37.004
System name:
Derogatory Information (No Action)--Treasury/IRS.
System location:
Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Attorneys, certified public accountants, enrolled agents and others.
Categories of records in the system:
Such files contain derogatory information concerning attorneys,
certified public accountants, and enrolled agents and others over whom
there is no current jurisdiction, where such information is subject to
future development, or where such information is not sufficiently
serious to be currently considered a case file.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name of individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Dispose after 5 years by burning.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, NW, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by (1)
individuals, (2) the Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/IRS 37.005
System name:
Present Suspensions and Disbarments Resulting from Administrative
Proceeding--Treasury/IRS.
System location:
(1) Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224; (2) Washington National
Records Center, National Archives and Records Administration, General
Services Administration, Washington, DC 20409
Categories of individuals covered by the system:
Individuals formerly eligible to practice before the Internal Revenue
Service but now either suspended or disbarred from such practice after
being accorded due notice and opportunity for hearing.
Categories of records in the system:
Information relating to individuals' enrollment to practice before
the Internal Revenue Service, derogatory and other information
regarding such practice, and record of proceedings.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Transfer information regarding
suspension or disbarment of attorneys, certified public accountants
and enrolled agents to professional organizations; (2) disclose
pertinent information to appropriate Federal, State, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for implementing, a state, rule, regulation, order, or license,
where the disclosing agency becomes aware of an indication of a
violation or potential violation of civil or criminal law or
regulation; (3) disclose information to a Federal, state, or local
agency, maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's or the
bureau's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit; (4)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (5) provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name of individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by: (1)
Individuals, (2) Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/IRS 37.006
System name:
General Correspondence File--Treasury/IRS.
System location:
Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
General public.
Categories of records in the system:
General inquiries and comments from the general public.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
state, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to any agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Correspondence is indexed alphabetically by writer.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Destroyed after 3 years.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice,
PC:E:P,Internal Revenue Service, 801 Pennsylvania Avenue, Washington,
DC 20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system has been provided by the general
public.
Exemptions claimed for the system:
None.
Treasury/IRS 37.007
System name:
Inventory--Treasury/IRS.
System location:
Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
(1) Attorneys, certified public accountants and enrolled agents about
which alleged misconduct in their practice before the Internal Revenue
Service is being reviewed and evaluated; (2) Appraisers who have been
referred to the Director of Practice for review and evaluation of
conduct which resulted in assessment of a penalty under 26 U.S.C.
6701(s); and (3) Applicants for enrollment to practice before the
Internal Revenue Service whose applications are being reviewed and
evaluated.
Categories of records in the system:
Information relating to individuals' enrollment or eligibility to
practice before the Internal Revenue Service, and information relating
to their conduct in such practice; and information relating to
appraisers and applicants for enrollment.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation,order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name of individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case is closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by: (1)
Individuals, (2) Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/IRS 37.008
System name:
Register of Docketed Cases and Applicant Appeals--Treasury/IRS.
System location:
Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Individuals against whom complaints have been filed with the Office
of Director of Practice pursuant to title 31, CFR, subpart C, section
10.54, for alleged violation of the regulations governing practice
before the Internal Revenue Service and individuals who have appealed
to the Secretary of the Treasury, the denials of their application for
enrollment to practice before the Internal Revenue Service.
Categories of records in the system:
Record of actions taken in cases docketed for hearings and record of
actions taken on appeals from denials of applications for enrollment.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Loose-leaf binders.
Retrievability:
Indexed by complaint number and by name of the individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by: (1)
This office, (2) administrative law judges and (3) the Internal
Revenue Service.
Exemptions claimed for the system:
None.
Treasury/IRS 37.009
System name:
Enrolled agents and Resigned Enrolled Agents (Action pursuant to 31
CFR 10.55(b))--Treasury/IRS.
System location:
(1) Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224; (2) Washington National
Records Administration, National Archives and Records Administration,
Washington, DC 20408.
Categories of individuals covered by the system:
Those individuals who are currently enrolled to practice before the
Internal Revenue Service and those who were formerly enrolled to
practice before the Internal Revenue Service and who resigned from
such enrollment.
Categories of records in the system:
Information relating to individuals' applications for enrollment to
practice before the Internal Revenue Service and derogatory and other
information regarding such practice.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name of individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Destroyed 60 years after enrollment.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by (1)
individuals, (2) Internal Revenue Service; (3) other government
agencies, and (4) professional organizations.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/IRS 37.010
System name:
Roster of Former Enrollees -Treasury/IRS.
System location:
Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Attorneys and certified public accountants who were enrolled to
practice before the Internal Revenue Service prior to enactment of the
Agency Practice Act, Title 5 U.S. Code, Section 500 and former
enrolled agents who do not renew their enrollment.
Categories of records in the system:
This system contains individuals' names, addresses, professions, the
dates of their enrollments and the expiration dates of such
enrollments.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Loose-leaf binders.
Retrievability:
Indexed by profession (i.e., attorney or certified public accountant)
and by the individual's name.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in records in this system has been provided by:
(1) Individuals and (2) the Internal Revenue Service.
Exemptions claimed for the system:
None.
Treasury/IRS 37.011
System name:
Present Suspensions from Practice before the Internal Revenue
Service--Treasury/IRS.
System location:
(1) Internal Revenue Service, Office of Director of Practice, 801
Pennsylvania Avenue, NW, Washington, DC 20224; (2) Washington National
Records Administration, National Archives and Records Administration,
Washington, DC 20408.
Categories of individuals covered by the system:
Attorneys, certified public accountants and enrolled agents who have
offered their consent to voluntary suspension from practice before the
Internal Revenue Service.
Categories of records in the system:
Information relating to individuals' enrollment or eligibility to
practice before the Internal Revenue Service, derogatory and other
information relating to their conduct in such practice.
Authority for maintenance of the system:
31 U.S.C. 330.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, state, or foreign agencies responsible for
investigating or prosecuting the violations of, or for implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (2) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (3) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (4) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (6)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by name of individual.
Safeguards:
Locked doors. Access is limited to authorized personnel.
Retention and disposal:
Dispose 25 years after case closed; transfer to Federal Records
Center 5 years after case closed except for a random selection of a
small number of disciplinary cases to be made at 5-year intervals for
retention.
System manager(s) and address:
Director of Practice, PC:E:P, Internal Revenue Service, 801
Pennsylvania Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals wishing to be notified if they are named in this system of
records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Inquiries should be addressed
as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its contents, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of Practice, PC:E:P,
Internal Revenue Service, 801 Pennsylvania Avenue, Washington, DC
20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information contained in this system may have been provided by: (1)
Individuals, (2) the Internal Revenue Service, (3) other government
agencies, and (4) professional organizations.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/IRS 38.001
System name:
General Training Records--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
IRS employees who have participated in or who may be scheduled for
training activities (students, instructors, program managers, etc.).
Other Federal or non-Government individuals who have participated in
or assisted with training programs (students, instructors, course
developers, interpreters, etc.).
Categories of records in the system:
Variety of records containing information about an individual related
to training, such as: course rosters, student registrations,
nomination forms, course evaluations, instructor lists, individual
development plans, counseling records, examination materials, payment
records, and other recordations of training necessary for reporting
and evaluative purposes. Some records within this system may also be
contained in TR/IRS 36.003, General Personnel Records.
Authority for maintenance of the system:
5 U.S.C. Chapter 41; Executive Order 11348.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information from these records may be used to: (1)
Disclosure of information to the Department of Justice for the purpose
of litigating an action or seeking legal advice. Disclosure may be
made during judicial processes; (2) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (3) provide input data for
the automated Training CPDF at the Office of Personnel Management.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, index cards, forms, or flat paper.
Retrievability:
Computer records are indexed by social security account numbers,
course titles, dates of training, location of training and by specific
employee information (i.e., name, title, grade, etc.); other records
are indexed by name and course title.
Safeguards:
Access Controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Individual computer
records are available to those persons at OPM, Treasury or IRS who are
directly involved with the training function.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
301--General Records Schedules, IRM 1(15)59.31.
System manager(s) and address:
All Branch Chiefs, Training and Development Division, and Office of
the Assistant Commissioner (International), at the National Office;
Chiefs, Training and Development Branches, and Chiefs, Human Resources
Branches, at Regional and District Offices and Internal Revenue
Service Centers; training managers at the Detroit and Martinsburg
Computing Centers and the Austin Compliance Center. (see appendix A
for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager(s) in the
office(s) where records to be searched are located. (See appendix A
for addresses.)
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information is extracted from participant registration forms,
individual development plans, skill surveys, personnel records, and
other forms as may be developed and prescribed by OPM, Treasury, and
IRS Training Personnel.
Exemptions claimed for the system:
None.
Treasury/IRS 42.001
System name:
Examination Administrative File--Treasury/IRS.
System location:
Office of the Assistant Commissioner (Examination) and Office of the
Assistant Commissioner (International), National Office; Regional
Offices, District Offices, Internal Revenue Service Centers, and the
Austin Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Any taxpayer who is being considered for examination or is being or
has been examined for tax determination purposes, i.e., income, estate
and gift, excise, or employment tax liability.
Categories of records in the system:
Records containing investigatory materials required in making a tax
determination or other verification in the administration of tax laws
and all other related sub-files directly related to the processing of
the tax case. This system also includes other management material
related to a case and used for tax administrative purposes, including
the appeals process and systems formerly published as 42.018, 42.023,
and 42.025.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
Routine uses of records maintained in the system, including categories
of uses and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents, machine-sensible data media, microfilm.
Retrievability:
By taxpayer's name, taxpayer identification number (social security
number or employer identification number) and document locator number.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
202 for Examination--Regional and District Offices, IRM 1(15)59.22.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Examination) and Assistant Commissioner (International); Officials
maintaining the system--Assistant Commissioner (Examination),
Assistant Commissioner (International) District Directors, Internal
Revenue Service Center Directors, and the Austin Compliance Center
Director. (See IRS appendix A for addresses.)
Notification procedure:
This system is exempt from the notification provisions of the Privacy
Act.
Record access procedures:
This system is exempt from the access and contest provisions of the
Privacy Act.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
(1) Taxpayers' returns; (2) taxpayer's books and records; (3)
informants and third party information; (4) city and state
governments; (5) other Federal agencies; (6) examinations of related
taxpayers; (7) examinations of other taxpayers, and (8) taxpayer's
representative.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 42.008
System name:
Audit Information Management System (AIMS)--Treasury/IRS.
System location:
This system is composed of (1) computer files located at each
jurisdictional IRS Service Center (where tax return is under
examination control); (2) video terminals located at each
jurisdictional district (served by an IRS Service Center), National
Office, and the Austin Compliance Center; and (3) group control card
forms 5345 and 5354 (including temporary and interim processing files
for management and control purposes), located at each jurisdictional
district office. Items described under (3) above are subfiles of the
AIMS System. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers whose tax returns are under the jurisdiction of the
Examination Division. Examiners assigned to taxpayer cases.
Categories of records in the system:
Tax return information from the Master File, Tax return status and
location changes, Examination Closing information on examined and non-
examined tax returns, examiner's name, including related internal
management information and a code identifying taxpayers that
threatened or assaulted IRS employees.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer, microfiche, paper.
Retrievability:
By taxpayer identification number (social security number or employer
identification number).
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Computer Record: Examined closings, surveyed claims and some types of
non-examined closings are dropped from the data base 60 days after
closing or when assessment verification is completed, whichever is
later. The balance of non-examined closings are dropped at the end of
the month following the month of closing. Paper Records: Generally,
AIMS forms are destroyed within 90 days of the closing. Exceptions
include: (1) The charge-out which becomes part of the case file and is
sent to the Federal Records Center with the case; (2) Examination
request forms which become the Examination group's control card; and
(3) The Examination group's control card which is retained in a closed
file for 3 years (in the case of field examinations) and 90 days (in
the case of office examinations). Authority: Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Examination). Officials maintaining the system--Assistant Regional
Commissioners (Examination), District Directors, Internal Revenue
Service Center Directors, and the Austin Compliance Center Director.
(See IRS appendix A for addresses.)
Notification procedure:
This system is exempt from the notification provisions of the Privacy
Act.
Record access procedures:
This system is exempt from the access and contest provisions of the
Privacy Act.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax Returns and Examination files.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 42.013
System name:
Project Files for the Uniform Application of Laws as a Result of
Technical Determinations and Court Decisions--Treasury/IRS.
System location:
District offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals grouped as to project, i.e., individual shareholders of a
corporation where a determination having a tax effect has been made.
Categories of records in the system:
Listing of individuals and their income tax information.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents and magnetic media.
Retrievability:
By taxpayer's name and social security number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
102 for Examination Division--National Office, IRM 1(15)59.12.
System manager(s) and address:
Officials prescribing policies and practices--Assistant Commissioner
(Examination) and Assistant Commissioner (International). Officials
maintaining the system--Director of District where the taxpayer
resides. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the District Director in the District
where the records are located. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
(1) Shareholder records, (2) individual's tax return, and (3)
examination of related taxpayer.
Exemptions claimed for the system:
None.
Treasury/IRS 42.014
System name:
Internal Revenue Service Employees' Returns Control Files--Treasury/
IRS.
System location:
District Offices (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Any individual who is employed by the Internal Revenue Service.
Categories of records in the system:
Alphabetical listing of employee, income tax return information
including prior examination results and other tax related information.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents, machine-sensible data media, microfilm.
Retrievability:
By employee's name and social security number.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are periodically updated to reflect changes and retained as long as
the individual is employed.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Examination). Officials maintaining the system--Director of District
where individual resides. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the District Director in the District
where the records are located. (See IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Employee's tax return.
Exemptions claimed for the system:
None.
Treasury/IRS 42.016
System name:
Classification/Centralized Files and Scheduling Files--Treasury/IRS.
System location:
District Offices,Internal Revenue Service Center, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals whose returns or claims are classified for examination.
Categories of records in the system:
Individuals' tax returns/claims and other information, including
information reports considered in screening/classifying of an
individual's return or claim for refund.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
5Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents, computer printouts, magnetic media.
Retrievability:
By taxpayer's name and social security number.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Returns/claims accepted as filed are returned to System of Records
22.034. Returns/claims selected for examination become part of System
of Records 42.001. Other information is retained until associated with
returns/claims or two years, whichever occurs first. Authority:
Records Disposition Handbook IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Examination). Officials maintaining the system--District Directors,
Internal Revenue Service Center Directors, and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system is exempt from the notification provisions of the Privacy
Act.
Record access procedures:
This system is exempt from the access and contest provisions of the
Privacy Act.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
(1) Tax returns, (2) requests from taxpayer, and (3) requests from
Collection Division for prompt examination.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 42.017
System name:
International Enforcement Program Files--Treasury/IRS.
System location:
Office of the Assistant Commissioner (International), National
Office; District Offices, and Internal Revenue Service Centers. (See
IRS appendix A for addresses.)
Categories of individuals covered by the system:
Any individual having foreign business/financial activities.
Categories of records in the system:
Listing of individuals, identification numbers (if known), summary of
income expenses, financial information as to foreign operations or
financial transactions, acquisition of foreign stock, controlling
interest of a foreign corporation, organization or reorganization of
foreign corporation examination results, information concerning
potential tax liability, etc.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents, microfilm, machine sensible magnetic media.
Retrievability:
By individual's name and social security number.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are periodically updated to reflect changes and retained as long as
the individual has substantial foreign business/financial activities.
System manager(s) and address:
Officials prescribing policies and practices--Assistant Commissioner
(Examination) and Assistant Commissioner (International). Officials
maintaining the system--Assistant Commissioner (International),
District Directors, Internal Revenue Service Center Directors. (See
IRS appendix A for addresses.)
Notification procedure:
This system is exempt from the notification provisions of the Privacy
Act.
Record access procedures:
This system is exempt from the access and contest provisions of the
Privacy Act.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
(1) European treaty countries, (2) individual's tax returns, (3)
examination of related taxpayers, and (4) public sources of
information.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 42.021
System name:
Compliance Programs and Projects Files--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center. (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
Taxpayers that may be involved in tax evasions schemes, including
withholding noncompliance or other areas of noncompliance grouped by
industry, occupation, or financial transactions, and other; e.g.,
return preparers, political contributions, corporate kickbacks,
questionable Forms W-4.
Categories of records in the system:
Records pertaining to individuals in projects and programs.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, machine-sensible data media, microfilm, and magnetic
media.
Retrievability:
By taxpayer's name and social security number or document locator
number.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
W-4 paper case files and National Computer Center (NCC) magnetic tape
records are destroyed two years after the cases have been inactive.
Records associated with the examination of returns are disposed of in
accordance with the established Retention Schedule 1(15)59.22, Records
Control Schedule. Records not associated with the examination of
returns will be destroyed at the completion of the program or project,
or in accordance with Records Disposition Handbooks, IRM 1(15)59.1
through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Examination). Officials maintaining the system--District Directors,
Internal Revenue Service Center Directors, and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
(1) Taxpayer's return, (2) taxpayer's books and records, (3)
informants and third party information, (4) city, state government,
(5) other Federal agencies, (6) examinations of related taxpayers, and
(7) taxpayer's employer.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 42.027
System name:
Data on Taxpayers Filing on Foreign Holdings--Treasury/IRS.
System location:
Office of the Assistant Commissioner (International), National
Office, Regional Offices, District Offices, Philadelphia Internal
Revenue Service Center, and the Detroit Computing Center. (see IRS
appendix A for addresses.)
Categories of individuals covered by the system:
Individuals required to file Form 5471, Information Return with
respect to a Foreign Corporation.
Categories of records in the system:
Names of individuals filing on foreign holdings.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape in Detroit Computing Center and Philadelphia Service
Center; paper at other listed locations, machine-sensible data media
and microfilm.
Retrievability:
By taxpayer's name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are disposed of within three years.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(International), National Office. Officials maintaining the system--
District Directors; Regional Commissioners; Assistant Commissioner
(Examination) and Assistant Commissioner (International), National
Office; Director, Detroit Computing Center; Assistant Commissioner
(Taxpayer Services), National Office. (See IRS appendix A for
addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the District Director for each district whose records are to be
accessed or contested, or to the directors, or Assistant Commissioner
(International) in the case of records in the National Office. (See
IRS appendix A for addresses.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Form 5471 only.
Exemptions claimed for the system:
None.
Treasury/IRS 42.029
System name:
Audit Underreporter Case File--Treasury/IRS.
System location:
Internal Revenue Service Centers, Martinsburg Computing Center, and
the Austin Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Recipients of income who appear not to have declared on their income
tax returns (Forms 1040, 1040A, and 1040EZ) all income paid to them in
the tax year under study.
Categories of records in the system:
Records maintained are taxpayer (i.e., payee) entity records
containing payee name, address, taxpayer identification number, and
other indicators relating to entity maintenance; and income records
containing the types and amounts of income received/reported, and
information identifying the income payer.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By matching social security number and name control.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are retained for one year and then magnetically erased.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Examination), National Office. Officials maintaining the system--
Internal Revenue Service Centers Directors and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purpose of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Information returns filed by payers and Forms 1040, 1040A, and
1040EZ.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 42.030
System name:
Discriminant Function File (DIF)--Treasury/IRS.
System location:
Internal Revenue Service Centers and the Austin Compliance Center.
(See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Individuals whose income tax returns have a DIF Score higher than a
cutoff score determined by Examination and International, indicating
high audit potential, based on formulae prescribed by Examination.
Categories of records in the system:
Document Locator Number of the return, the Regional and District
Offices of the taxpayer, the taxpayer's DIF Score and data from the
individual's Income Tax Return needed to conduct an audit of his/her
return.
Authority for maintenance of the system:
5 U.S.C 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape and computer printout.
Retrievability:
By individual's social security number.
Safeguards:
Access controls will not be less than those provided for by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Record Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Generally, records are
disposed of after three years.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Examination) and Assistant Commissioner (International). Officials
maintaining the system--Internal Revenue Service Center Directors, and
the Austin compliance Center Director. (See IRS appendix A for
addresses.)
Notification procedure:
This system of records may not be accessed for purpose of determining
if the system contains a record pertaining to a particular individual.
Record access procedures:
This system of records may not be accessed for the purpose of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Individual's tax return information.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 44.001
System name:
Appeals Case Files--Treasury/IRS.
System location:
Office of the National Director of Appeals, National Office; Regional
Directors of Appeals (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers who disagree with examiner's findings and proposed
adjustments and seek administrative review.
Categories of records in the system:
Tax returns, Revenue Agents' Reports, Appeals Supporting Statements,
case correspondence, legal opinions, work papers, and Appeals closing
actions.
Authority for maintenance of the system:
26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By name of taxpayer.
Safeguards:
Locked file cabinets, locked doors, IRS employees access data only on
a need to know basis.
Retention and disposal:
Records are maintained in accordance with Record Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Records are disposed
of by shredding.
System manager(s) and address:
National Director of Appeals, Internal Revenue Service, 901 D Street,
SW, Box 68, Washington, DC 20024; Regional Directors of Appeals (see
IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 44.003
System name:
Unified System for Time and Appeals Records (Unistar)--Treasury/IRS.
System location:
Office of the National Director of Appeals, National Office; Regional
Directors of Appeals (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers who disagree with examiner's findings and proposed
adjustments and seek administrative review.
Categories of records in the system:
Databases which produce management information on case inventory by
taxpayer name, tax year, amount of tax in dispute, settlement amount,
and professional time required to arrive at settlement.
Authority for maintenance of the system:
26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, diskette, hard disk.
Retrievability:
By taxpayer's name and/or taxpayer identification number (social
security number or employer identification number) and by work unit
number.
Safeguards:
IRS personnel access data only on a need-to-know basis and use
passwords to access system information.
Retention and disposal:
Records are maintained in accordance with Record Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32.
System manager(s) and address:
National Director of Appeals, Internal Revenue Service, 901 D Street,
SW, Box 68, Washington, DC 20024; Regional Directors of Appeals (See
IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the system manager(s) in the office
where records to be searched are located.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Tax returns and other filings made by the individual and agency
entries made in the administration of the individual's tax account.
Also, time reports prepared by Appeals Officers.
Exemptions claimed for the system:
None.
Treasury/IRS 44.004
System name:
Art Case File--Treasury/IRS.
System location:
Office of the National Director of Appeals, National Office; Regional
Directors of Appeal (see IRS appendix A for addresses.)
Categories of individuals covered by the system:
Famous or noted artists whose works have been evaluated by the Art
Panel or its staff for use in a taxpayer case.
Categories of records in the system:
Commissioner's Art Panel or its staff decisions on values of works of
art by named artists and appraisal documentation.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, 7802, and 7805(a).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigation an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
state, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (3) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Indexed by taxpayer, artist, and appraiser name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. The system has been
retained since 1968.
System manager(s) and address:
National Director of Appeals, Internal Revenue Service, 901 D Street,
SW, Box 68, Washington, DC 20024; Regional Directors of Appeals (See
IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the National Director of Appeals,
Internal Revenue Service, 901 D Street, SW, Box 68, Washington, DC
20024.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Art panel and staff decisions and appraisal documentation.
Exemptions claimed for the system:
None.
Treasury/IRS 44.005
System name:
Expert Witness and Fee Appraiser Files--Treasury/IRS.
System location:
Office of the National Director of Appeals, National Office; Regional
Directors of Appeals (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Actual and potential expert witnesses for litigation and fee
appraisers.
Categories of records in the system:
Biographical sketches, application letters, or list of expert/
appraiser names by specialty.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, 7802, and 7805(a).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating and action and seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
state, local, or foreign agencies responsible for investigating or
prosecuting the violations of or for enforcing or implementing a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (3) disclose
information to a Federal, state, or local agency, maintaining civil,
criminal, or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by taxpayer and expert witness/appraiser name.
Safeguards:
Access Controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Records are
periodically updated to reflect changes and maintained as needed.
System manager(s) and address:
National Director of Appeals, Internal Revenue Service, 901 D Street,
SW, Box 68, Washington, DC 20024; Regional Directors of Appeals. (See
IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the National Director of Appeals,
Internal Revenue Service, 901 D Street, SW, Box 68, Washington, DC
20024
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Varied, generally from the named individual, often unsolicited.
Exemptions claimed for the system:
None.
Treasury/IRS 46.002
System name:
Case Management and Time Reporting System, Criminal Investigation
Division--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, and the Austin Compliance
Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Subjects and potential subjects of Criminal Investigation Division
investigations, Special Agents, U.S. District Court Judges and U.S.
Attorneys.
Categories of records in the system:
Personal and financial information developed in criminal tax
investigations, potential tax investigations and in projects including
information from other Federal, state and local agencies.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided in 26 U.S.C. 6103
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in binders, magnetic media, computer discs, computer
printouts.
Retrievability:
By taxpayer's name, case number and social security number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system-- Assistant Commissioner (Criminal Investigation); Regional
Commissioners, District Directors, Internal Revenue Service Center
Directors, the Detroit Computing Center Director, and the Austin
Compliance Center Director. (See IRS appendix A for addresses).
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 46.003
System name:
Confidential Informants, Criminal Investigation Division--Treasury/
IRS.
System location:
District Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Confidential Informants; Subjects of Confidential Informant's
Reports.
Categories of records in the system:
Memorandums, Index Cards, Related Data.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By confidential informant's name and number or name in informant's
report.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--District Directors. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 46.004
System name:
Controlled Accounts (Open and Closed) Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, the Martinsburg
Computing Center, and the Austin Compliance Center. (See IRS appendix
A for addresses.)
Categories of individuals covered by the system:
Subjects and potential subjects of criminal tax investigation.
Categories of records in the system:
Criminal Investigation Information and Control Notices; Lists of
names and related data; Lists of action taken: Transcripts of account.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By name or social security number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Paper records are
destroyed one year after the close of the investigation. Magnetic tape
is erased three months after the close of the investigation.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--District Directors, Internal Revenue Service Center Directors,
the Martinsburg Computing Center Director, and the Austin Compliance
Center Director. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking to access to any record contained in this system
of records, or seeking to contest its content, may inquire in
accordance with instructions appearing at 31 CFR part 1, subpart C,
appendix B. Inquiries should be addressed to the District Director for
each District where records are to be searched (See IRS appendix A for
addresses).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
District Office Personnel; Service Center Personnel, Form 4135,
Criminal Investigation Control Notice.
Exemptions claimed for the system:
None.
Treasury/IRS 46.005
System name:
Electronic Surveillance File, Criminal Investigation Division--
Treasury/IRS.
System location:
National Office, 1111 Constitution Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Subjects of electronic surveillance. Individuals who have been
subjects of queries by other agencies.
Categories of records in the system:
Information relating to conduct of electronic surveillance.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By names, addresses, and telephone numbers.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.Retention and
disposal: Records are maintained in accordance with Records
Disposition Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Generally,
records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation) National Office. Officials maintaining the
system--Director, Office of Investigations (See IRS appendix A for
addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 46.009
System name:
Centralized Evaluation and Processing of Information Items (CEPIIs),
Criminal Investigation Division--Treasury/IRS.
System location:
District Offices, Internal Revenue Service Centers, and the Austin
Compliance Center. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers about whom the Internal Revenue Service has received
information alleging a violation of laws within IRS jurisdiction,
potential subjects of investigation.
Categories of records in the system:
Copies of income tax returns, special agent's reports, revenue
agent's reports, reports from police and other investigative agencies,
memoranda of interview, question-and-answer statements, affidavits,
collateral requests and replies, information items, newspaper and
magazine articles and other published data, financial information from
public records, case initiating documents and other similar and
related documents.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper.
Retrievability:
By name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Paper records are
disposed of after use.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation) National Office. Officials maintaining the
system--District Directors, Internal Revenue Service Center Directors,
and the Austin Compliance Center Director. (See IRS appendix A for
addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 46.011
System name:
Illinois Land Trust Files, Criminal Investigation Division--Treasury/
IRS.
System location:
Chicago District Office, Springfield District Office, and the Kansas
City Internal Revenue Service Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
Beneficiaries of Land Trusts, Related individuals.
Categories of records in the system:
Notices of Fiduciary Relationships. Related correspondence.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper and magnetic tape.
Retrievability:
By taxpayer and beneficiary name; trust and social security number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32.
System manager(s) and address:
Chicago District Director, Springfield District Director, and the
Kansas City Internal Revenue Service Center Director. (See IRS
appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to: District Director, Chicago District,
Internal Revenue Service, 230 South Dearborn Street, Room 2890,
Chicago, Illinois 60604.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Financial institutions, Fiduciary reports and Notices of Fiduciary
Relationships.
Exemptions claimed for the system:
None.
Treasury/IRS 46.015
System name:
Relocated Witnesses, Criminal Investigation Division--Treasury/IRS.
System location:
Office of the Assistant Commissioner (Criminal Investigation),
National Office, 1111 Constitution Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Relocated witnesses.
Categories of records in the system:
Documentation and Relocation Information.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper.
Retrievability:
By name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Generally, records are
periodically updated to reflect changes and maintained as long as
needed.
System manager(s) and address:
Assistant Commissioner (Criminal Investigation), Internal Revenue
Service, 1111 Constitution Avenue, NW, Washington, DC 20224
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 46.016
System name:
Secret Service Details, Criminal Investigation Division--Treasury/
IRS.
System location:
National Office, Regional Offices and District Offices. (See IRS
appendix A for addresses.)
Categories of individuals covered by the system:
Special Agents.
Categories of records in the system:
List of Criminal Investigation participants and correspondence
between Criminal Investigation and Secret Service.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records and information contained in these records may be disclosed
to the Department of Justice for the purpose of litigating an action
or seeking legal advice. Disclosure may be made during judicial
processes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper.
Retrievability:
By name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--Assistant Commissioner (Criminal Investigation), Regional
Commissioners, District Directors. (See IRS appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act Amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 46.022
System name:
Treasury Enforcement Communications System (TECS), Criminal
Investigation Division--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, and the Austin Compliance Center. (See IRS appendix A
for addresses.)
Categories of individuals covered by the system:
Fugitives, subjects of open and closed criminal investigations,
subjects of potential criminal investigations, subjects with Taxpayer
Delinquent Accounts against whom Federal Tax Liens have been filed and
other subjects of potential interest to criminal investigation such as
witnesses and associates of subjects of criminal investigations or
related to a matter under Criminal Investigation jurisdiction.
Categories of records in the system:
Name, date of birth, social security number, address, identifying
details, aliases, associates, physical descriptions, various
identification numbers, details and circumstances surrounding the
actual or suspected violator.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Disc.
Retrievability:
By name, social security number or other unique identifier.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 though IRM 1(15)59.32. Fugitives until
apprehended. Other records are deleted when no longer of potential use
for criminal investigation case or informational purposes.
Cancellation after 10 years.
System manager(s) and address:
Official prescribing policies and practices--Assistant Commissioner
(Criminal Investigation), National Office. Officials maintaining the
system--Assistant Commissioner (Criminal Investigation), Regional
Commissioners, District Directors, Internal Revenue Service Center
Directors, and the Austin Compliance Center Director. (See IRS
appendix A for addresses.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 48.001
System name:
Disclosure Records--Treasury/IRS.
System location:
National Office, Regional Offices, District Offices, Internal Revenue
Service Centers, Detroit Computing Center, Martinsburg Computing
Center, and the Austin Compliance Center. (See IRS appendix A for
addresses.)
Categories of individuals covered by the system:
(1) Subjects of requests for disclosure initiated by the Department
of Justice, including suspects or persons related to the violation of
Federal laws; persons who have initiated legal actions against the
Federal Government, persons identified as strike force targets or
related to organized crime activities, persons under investigation for
national security reasons, persons believed by the Internal Revenue
Service to be related to violations of Federal laws other than the
Internal Revenue Code. (2) Persons under investigation by other
executive departments or congressional committees for whom tax
information has been requested pursuant to 26 U.S.C. 6103. (3) Persons
who are parties to criminal or civil non-tax litigation in which the
testimony of IRS employees has been requested. (4) Persons who have
applied for Federal employment or presidential appointments for which
preemployment tax checks have been requested and applicants for
Department of Commerce ``E'' Awards. (5) Requesters for access to
records pursuant to 26 U.S.C. 6103, the Freedom of Information Act, 5
U.S.C. 552, and initiators of requests for access, amendment or other
action pursuant to the Privacy Act of 1974, 5 U.S.C. 552a. (6)
Individuals identified by or initiating correspondence or inquiries
processed or controlled by the Disclosure function or relating to the
foregoing subjects.
Categories of records in the system:
Requests for records, information or testimony, responses to such
requests, supporting documentation, processing records, copies of
items provided or withheld, control records and related files.
Department of Justice, and IRS replies to such requests. (1) Copies of
related authorizations to IRS officials permitting such disclosures
and, in some instances, their responses. (2) Copies of individuals'
tax information, memoranda for file, notations of telephone calls,
file search requests, etc.
Authority for maintenance of the system:
5 U.S.C. 301, 552 and 552a; 26 U.S.C. 6103, 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) report apparent violations of law to appropriate law
enforcement agencies; (3) disclose debtor information to a Federal
payor agency for purposes of salary and administrative offsets, to a
consumer reporting agency to obtain commercial credit reports, and to
a debt collection agency for debt collection services; (4) provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (5)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings.
Disclosures to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made
from this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C.3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in alphabetical or chronological order within subject
categories and/or such automated or electronic record-keeping
equipment as may be locally available. No centralized index exists.
Accountings of disclosure of tax related records pursuant to 5 U.S.C.
552a(c) or 26 U.S.C. 6103(p)(3) are posted to the Individual Master
File and retrievable by Social Security Number, or to the Business
Master File and retrievable by Employer Identification Number.
Retrievability:
Records are generally retrievable by name of individual, although
category of record and chronological period may be necessary to
retrieve some records. The social security number is necessary to
access accountings of disclosure posted to the Individual Master File.
The employer identification number is necessary for access to the
Business Master File.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32.
System manager(s) and address:
Official prescribing policies and practices--Director, Office of
Disclosure, National Office. Officials maintaining the system--
Director, Office of Disclosure, National Office; Regional
Commissioners, District Directors, Internal Revenue Service Center
Directors, the Austin Compliance Center Director, or other official
receiving or servicing requests for records. (See IRS appendix A for
addresses.)
Notification procedure:
Requesters seeking to determine if accountable disclosures about them
have been made should request an accounting of disclosure pursuant to
5 U.S.C. 552a(c) and 26 U.S.C. 6103(p)(3) of the District Director for
the area in which they reside. Individuals seeking to determine if
this system of records contains a record pertaining to themselves may
inquire in accordance with instructions appearing at 31 CFR part 1,
subpart C, appendix B. Inquiries should be addressed to the District
Director for the area of residence or to the official believed to be
maintaining the record of interest (See IRS appendix A for addresses.)
This system contains some records of law enforcement activities which
may not be accessed for purposes of determining if the system contains
a record pertaining to a particular individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Requests for disclosure, records being evaluated and processed for
disclosure and related information from other systems of records. This
system may contain investigatory material compiled for law enforcement
purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 48.008
System name:
Defunct Special Service Staff File Being Retained Because of
Congressional Directive--Treasury/IRS.
System location:
National Office, 1111 Constitution Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Individuals suspected of violating the Internal Revenue laws by the
Special Service Staff before its discontinuation on August 23, 1973.
Categories of records in the system:
Internal Revenue Service Master File printouts; returns and field
reports; information from other law enforcement government
investigative agencies; Congressional Reports, and news media
articles.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. This file is no longer being used by the
Internal Revenue Service. The Special Service Staff was abolished
August 13, 1973. Records may be used to: (1) Disclose information to
the Department of Justice for the purpose of litigating an action or
seeking legal advice; (2) disclose information to Congressional
Committees and individuals making Freedom of Information requests
pertaining to themselves.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records maintained alphabetically by individual and
organization contained in vault at IRS National Office.
Retrievability:
Alphabetically by name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. No IRS official has
access to these records except for retrieval purposes in connection
with Congressional or Freedom of Information inquiries and litigation
cases.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbook, IRM 1(15)59.1 through IRM 1(15)59.32. Initially retained
solely for congressional committees' inquiries, these records are
currently being retained because of their possible historical
significance under Archival statutes. Consideration of their
historical significance is in abeyance pending resolution of the
Archivist right to access tax information under the Internal Revenue
Code.
System manager(s) and address:
Director, Office of Disclosure, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director, Office of Disclosure,
Internal Revenue Service, 1111 Constitution Avenue, NW, Washington, DC
20224. In addition, this System may contain some records provided by
other agencies which are exempt from the access and contest provisions
of the Privacy Act as published in the Notices of the Systems of
Records for those agencies.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
News media articles, taxpayers' returns and records, informant and
third party information, other Federal agencies and examinations of
related or other taxpayers.
Exemptions claimed for the system:
Information from another agency's exempt system of records duplicated
in this system of records retains the exempt status.
Treasury/IRS 49.001
System name:
Collateral and Information Requests System--Treasury/IRS.
System location:
The central files for this system are maintained at the Office of the
Assistant Commissioner (International), 950 L'Enfant Plaza, SW, Fourth
Floor, Washington, DC 20024. A corresponding system of records is
separately maintained by the foreign posts located in: (1) Bonn,
Germany; (2) Sydney, Australia; (3) Caracas, Venezuela; (4) Riyadh,
Saudi Arabia; (5) Nassau, Bahamas; (6) London, England; (7) Mexico
City, Mexico; (8) Ottawa, Canada; (9) Paris, France; (10) Rome, Italy;
(11) Sao Paulo, Brazil; (12) Singapore and (13) Tokyo, Japan.
Inquiries concerning this system of records maintained by the foreign
posts should be addressed to the Assistant Commissioner
(International).
Categories of individuals covered by the system:
United States Citizens, Resident Aliens, Nonresident Aliens.
Categories of records in the system:
Records of interviewing witnesses regarding financial transactions of
taxpayers; employment data; bank and brokerage house records; probate
records; property valuations; public documents; payments of foreign
taxes; inventories of assets; business books and records. These
records relate to tax investigations conducted by the Internal Revenue
Service where some aspects on an investigation must be pursued in
foreign countries pursuant to the various tax treaties between the
United States and foreign governments. The records also include
individual case files of taxpayers on whom information (as is
pertinent to carrying out the provisions of the convention or
preventing fraud or fiscal evasion in relation to the taxes which are
the subject of this convention) is exchanged with foreign tax
officials of treaty countries.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are disposed of after three years.
System manager(s) and address:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW,
Fourth Floor, Washington, DC 20024.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Records of examinations of taxpayers, interviews of witnesses, etc.
where some aspects of an investigation must be pursued in foreign
countries pursuant to various tax treaties between the United States
and foreign governments.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 49.002
System name:
Competent Authority and Index Card--Microfilm Retrieval System--
Treasury/IRS.
System location:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW, Fourth Floor, Washington, DC 20024.
Categories of individuals covered by the system:
U.S. citizens, resident aliens, nonresident aliens whose tax matters
come under the jurisdiction of the U.S. competent authority in
accordance with pertinent provisions of tax treaties with foreign
countries.
Categories of records in the system:
Individual case files of taxpayers who request relief from double
taxation or any other assistance that is pertinent to carrying out the
provisions of income tax treaties.
Authority for maintenance of the system:
5 U.S.C. 301, 26 U.S.C. 7602, 7801, and 7802; applicable treaties.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper and microfilm records.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
may be disposed of after ten years.
System manager(s) and address:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW, Fourth Floor, Washington, DC 20024.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of the records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Requests for relief from double taxation.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 49.003
System name:
Financial Statements File--Treasury/IRS.
System location:
Office of the Assistant Commissioner (International), 950 L'Enfant
Plaza, SW, Fourth Floor, Washington, DC 20024.
Categories of individuals covered by the system:
Taxpayers who submitted financial statements when interviewed
overseas by Examination Branch employees.
Categories of records in the system:
Financial statements.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By taxpayer's name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are disposed of after two years.
System manager(s) and address:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW,
Fourth Floor, Washington, DC 20024.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Assistant Commissioner (International), 950 L'Enfant Plaza, SW,
Fourth Floor, Washington, DC 20024.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Overseas Examination branch employees.
Exemptions claimed for the system:
None.
Treasury/IRS 49.007
System name:
Overseas Compliance Projects System--Treasury/IRS.
System location:
The central files for this system are maintained at the Office of the
Assistant Commissioner (International), 950 L'Enfant Plaza, SW, Fourth
Floor, Washington, DC 20024. A corresponding system of records is
separately maintained by the foreign posts located in: (1) Bonn,
Germany; (2) Sydney, Australia; (3) Caracas, Venezuela; (4) Riyadh,
Saudi Arabia; (5) Nassau, Bahamas; (6) London, England; (7) Mexico
City, Mexico; (8) Ottawa, Canada; (9) Paris, France; (10) Rome, Italy;
(11) Sao Paulo, Brazil; (12) Singapore and (13) Tokyo, Japan.
Inquiries concerning this system of records maintained by the foreign
posts should be addressed to the Assistant Commissioner
(International).
Categories of individuals covered by the system:
United States Citizens, Resident Aliens, Nonresident Aliens.
Categories of records in the system:
Documents and factual data relating to: (1) Personal expenditures or
investments not commensurate with known income and assets; (2) receipt
of significant unreported income; (3) improper deduction of
significant capital or personal living expenses; (4) failure to file
required returns or pay tax due; (5) omission of assets or improper
deduction or exclusion of items from state and gift tax returns.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than provided for by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are disposed of after 3 years.
System manager(s) and address:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW,
Fourth Floor, Washington, DC 20024.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Documents and data relating to income and expense items concerning
income, Estate and Gift tax returns.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 49.008
System name:
Taxpayer Service Correspondence System--Treasury/IRS.
System location:
This system is separately maintained by each one of the 13 overseas
posts of the Office of the Assistant Commissioner (International)
located in: (1) Bonn, Germany, (2) Sydney, Australia; (3) Caracas,
Venezuela; (4) Riyadh, Saudi Arabia; (5) Nassau, Bahamas; (6) London,
England; (7) Mexico City, Mexico; (8) Ottawa, Canada; (9) Paris,
France; (10) Rome, Italy; (11) Sao Paulo, Brazil; (12) Singapore and
(13) Tokyo, Japan. Inquiries concerning this system of records
maintained by the foreign posts should be addressed to the Office of
the Assistant Commissioner (International), 950 L'Enfant Plaza, SW,
Fourth Floor, Washington, DC 20024.
Categories of individuals covered by the system:
United States Citizens, Resident Aliens, Nonresident Aliens.
Categories of records in the system:
Correspondence from taxpayers, foreign post personnel and the Office
of the Assistant Commissioner (International) headquarters offices in
Washington, DC.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
By taxpayer name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Generally, records
are disposed of after three years.
System manager(s) and address:
Assistant Commissioner (International), 950 L'Enfant Plaza, SW,
Fourth Floor, Washington, DC 20024.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Assistant Commissioner (International), 950 L'Enfant Plaza, SW,
Fourth Floor, Washington, DC 20024.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers and the Office of the Assistant Commissioner
(International) foreign posts and headquarter's offices.
Exemptions claimed for the system:
None.
Treasury/IRS 50.001
System name:
Employee Plans/Exempt Organizations Correspondence Control Record
(Form 5961)--Treasury/IRS.
System location:
National Office, 1111 Constitution Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Requestors of letter rulings, and subjects of field office requests
for technical advice and assistance and other correspondence.
Categories of records in the system:
Contains the name, date, nature and subject of an assignment, and
work history. Sub-systems include case files that contain the
correspondence, internal memoranda, and related material. They also
include digests of issues involved in proposed revenue rulings.
Authority for maintenance of the system:
26 U.S.C. 7801, 7802, and 7805.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103 and 26 U.S.C. 6104 where applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, microfiche and magnetic media.
Retrievability:
Indexed by name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
104 for Employee Plans/Exempt Organizations--National Office, IRM
1(15)59.14.
System manager(s) and address:
Assistant Commissioner (Employee Plans/Exempt Organizations), 1111
Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Assistant Commissioner (Employee Plans/Exempt Organizations), 1111
Constitution Avenue, NW, Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Individuals requesting rulings or information and field offices
requesting technical advice or assistance.
Exemptions claimed for the system:
None.
Treasury/IRS 50.003
System name:
Employee Plans/Exempt Organizations, Report of Significant Matters in
Technical (M-5945)--Treasury/IRS.
System location:
National Office, 1111 Constitution Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Individual subjects of letter ruling requests, technical advice
requests etc., where a ``Report of Significant Matter in Technical,''
has been prepared because of the presence of a matter significant to
tax administration.
Categories of records in the system:
Copies of ``Reports of Significant Matter in Technical.''
Authority for maintenance of the system:
26 U.S.C. 7801, 7802, and 7805.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103 and 26 U.S.C. 6104 where applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Control Schedule
104 for Employee Plans/Exempt Organizations--National Office, IRM
1(15)59.14.
System manager(s) and address:
Assistant Commissioner, (Employee Plans/Exempt Organizations), 1111
Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Assistant Commissioner, (Employee Plans/Exempt Organizations),
Internal Revenue Service, 1111 Constitution Avenue, NW, Washington, DC
20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Individual subjects of letter ruling requests, technical advice
requests, etc., where a ``Report of Significant Matter in EP/EO'' has
been prepared.
Exemptions claimed for the system:
None.
Treasury/IRS 60.001
System name:
Assault and Threat Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office; Regional Inspectors'
Offices; as well as offices of the District Directors. (See IRS
appendix A for addresses.)
Categories of individuals covered by the system:
Individuals attempting to interfere with the administration of
Internal Revenue laws through threats, assaults or forcible
interference of any officer or employee while discharging the official
duties of his position, or individuals classified as potentially
dangerous taxpayers, based on verifiable evidence or information that
fit the following criteria: (1) Taxpayers who physically assault an
employee; (2) taxpayers who have on hand a deadly or dangerous weapon
when meeting with an employee and it is apparent their purpose is to
intimidate the employee; (3) taxpayers who make specific threats to do
bodily harm to an employee; (4) taxpayers who use animals to threaten
or intimidate an employee; (5) taxpayers who have committed the acts
set forth in any of the above criteria (1) through (4), but whose acts
have been directed against employees of other governmental agencies at
Federal, state, county, or local levels; (6) taxpayers who are not
classifiable as potentially dangerous through application of the above
criteria (1) through (5), but who have demonstrated a clear propensity
toward violence through acts of violent behavior to a serious and
extreme degree within the five (5) year period immediately preceding
the time of classification as potentially dangerous; and (7) persons
who are active members in chapters of tax protest groups that advocate
violence against IRS employees.
Categories of records in the system:
(1) Document citing the complaint; (2) Documentary evidence (i.e.,
threatening letter); (3) Report of investigation, with possible
statements, or affidavits as exhibits, and related tax information;
(4) Report of legal action, if case is prosecuted; (5) Local police
record of individual named in case; (6) FBI record of individual named
in the case.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7608, 7801, and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a Federal, State, or local agency maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
criminal law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.002
System name:
Bribery Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS Appendix A for addresses.)
Categories of individuals covered by the system:
Employees and/or former employees of the Treasury Department;
taxpayers and non-IRS persons whose alleged criminal actions may
affect the integrity of the Internal Revenue Service.
Categories of records in the system:
(1) Report of investigation including exhibits, affidavits,
transcripts, and documentation concerning requests and approval for
consensual telephone and consensual non-telephone monitoring; (2)
Report of legal action concerning the results of prosecution; (3)
Prior criminal record of subject.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801, and 7802; Executive Order
11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State,local, or foreign agencies responsible for
enforcing or investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license, where the disclosing agency becomes aware of an indication of
a violation or potential violation of civil or criminal law or
regulations; (2) disclose information to a Federal, State, or local
agency, maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's or the
bureau's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit; (3)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (4) provide
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (5)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (6) provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
criminal law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.003
System name:
Conduct Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Employees and former employees of Internal Revenue Service, and other
Bureaus and Services within the Department of the Treasury.
Categories of records in the system:
(1) Document citing complaint of alleged misconduct or violation of
statute; (2) Report of investigation to resolve allegation of
misconduct or violation of statute, with related exhibits of
statements, affidavits or records obtained during investigation; (3)
Report of action taken by management personnel adjudicating any
misconduct substantiated by the investigation; (4) Report of legal
action resulting from violations of statutes referred for prosecution.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801, and 7802; Executive Order
11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulations; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (7) disclose
information to the Department of Justice for the purpose of litigating
an action or seeking legal advice. Disclosure may be made during
judicial processes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, and on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Department of Treasury personnel and records, taxpayers
(complainants, witnesses, confidential informants), other Federal
agencies, State and local agencies, tax returns and related documents,
personal observations of the investigator and subjects of the
investigation.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.004
System name:
Disclosure Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
(1) Internal Revenue Service employees and/or Government contract
employees at IRS Facilities, who have allegedly disclosed confidential
tax information; (2) Federal, state and local Government employees who
have allegedly disclosed confidential Federal tax information. (3) Tax
return preparers who have allegedly disclosed confidential Federal tax
information.
Categories of records in the system:
(1) Document citing the complaint of the alleged criminal or
administrative violation; (2) Investigative report, including
statements, affidavits and any other pertinent documents supporting
the investigative report, which will be attached as an exhibit; (3)
Report of legal action if case is accepted by U.S. Attorney for
prosecution; (4) Report of action by management personnel if case is
referred for administrative adjudication.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801, and 7802; Executive Order
11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulations; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (4) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (5) provide information to the news media
in accordance with guidelines contained in 28 CFR 50.2 which relate to
an agency's functions relating to civil and criminal proceedings; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records is exempt and may not be accessed for purposes
of inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
This system of records contains investigatory material compiled for
criminal law enforcement purposes whose sources need not be reported.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.005
System name:
Enrollee Applicant Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Former employees and non-IRS persons who apply for enrollment to
practice before IRS under the provisions of Circular 230.
Categories of records in the system:
Investigative reports on non-IRS employees covering derogatory
results of checks of: FBI files; Inspection files; local police;
Examination, Criminal Investigation and Collection Division files; and
verification of Federal tax filing status. Also, appropriate documents
attached as exhibits showing results of above file checks.
Authority for maintenance of the system:
26 U.S.C. 7801 and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
or investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulations; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets and on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system contains a record
pertaining to themselves may inquire in accordance with instructions
appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be
addressed as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Chief Inspector, Internal Revenue
Service, 1111 Constitution Avenue, NW, Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
The Internal Revenue Service, the Federal Bureau of Investigation,
and local police departments.
Exemptions claimed for the system:
None.
Treasury/IRS 60.006
System name:
Enrollee Charge Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
IRS employees or former employees, tax practitioners, attorneys,
certified public accountants or enrolled persons.
Categories of records in the system:
A documented complaint or request for investigation alleging criminal
or administrative misconduct affecting IRS integrity. A report of
investigation, including exhibits such as affidavits, statements or
documents which have been reviewed. A report of legal action resulting
from violations of statutes referred for prosecution.
Authority for maintenance of the system:
26 U.S.C. 7608, 7801, and 7802.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets or on magnetic
media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20024.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Department of Treasury, personnel and records, other Federal
agencies, taxpayers/complainants, state and local agencies, tax
returns, newspapers, person acquainted with the individual under
investigation, subjects of the investigation, and personal
observations of the investigator.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.007
System name:
Miscellaneous Information File, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Employees and former employees of the Internal Revenue Service; Tax
Practitioners (Attorneys, Certified Public Accountants, Enrolled
Persons, Return Preparers); alleged tax violators; persons whose
actions or alleged actions indicated a threat to IRS employees,
facilities, or the integrity of the tax system; confidential
informants; and reputed members of the organized criminal element.
Categories of records in the system:
(1) Complaint type information regarding IRS employees which is not,
in itself, specific or significant enough to initiate an investigation
when received. (2) Allegations of bribery and gratuities by taxpayers
and/or their representatives which are not by themselves specific or
significant enough to initiate an investigation when received. (3)
Allegations of misconduct by tax practitioners, enrolled persons, or
tax preparers which are not by themselves specific or significant
enough to initiate an investigation when received. (4) Any information
received or developed by Inspection that has a bearing on IRS, but is
not of itself specific or significant enough to initiate an
investigation when received. (5) Information received by Inspection
pertaining to alleged violations enforced by other agencies or
divisions of IRS, copies of which are referred to those respective
agencies or divisions. (6) Photographs and descriptive data of some
IRS employees and of persons arrested by Inspection. (7) Information
concerning lost or stolen Government documents, property, credentials,
or IRS employee personal property lost or stolen on Government
premises. (8) List of persons in state or local government agencies
working under state agreements and having access to federal tax
information. (9) Newspaper or periodical items about IRS. (10)
Newspaper items regarding attorneys, CPA's, Tax Practitioners, or
Return Preparers arrested, indicted, convicted or under investigation
by other agencies. (11) Allegations of threats, assaults, forcible
interference, or other violence type activity aimed at employees or
facilities of IRS which are not by themselves specific or significant
enough to initiate an investigation when received. Information
regarding Inspection's mission which does not fall into any of the
above categories.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records and other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose information
to a court, magistrate, or administrative tribunal, including the
presentation of evidence, disclosures to opposing counsel or witnesses
in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (4) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (5) provide information to the news media
in accordance with guidelines contained in 28 CFR 50.2 which relate to
an agency's functions relating to civil and criminal proceedings; (6)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
Retrievability:
By name of individual, subject, or incident involved, by name of
cross-referenced third parties, and/or information item number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Department of Treasury personnel and records, newspapers and
periodicals, taxpayers (complainants, witnesses, and informants),
state and local government agency personnel and records, and anonymous
complainants.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.008
System name:
Security, Background and Character Investigations Files, Inspection--
Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Current, former and prospective employees of: Internal Revenue
Service, Office of the Secretary of the Treasury, Office of the
General Counsel, Office of the Treasurer of the United States, Office
of the Comptroller of the Currency, Office of International Finance,
Financial Management Service (formerly Bureau of Government Financial
Operations), Bureau of Accounts, Bureau of Engraving and Printing,
Bureau of the Mint, Bureau of the Public Debt, U.S. Savings Bonds
Division, Federal Law Enforcement Training Center, and Private
Contractors at IRS Facilities.
Categories of records in the system:
(1) Federal Employment Application Forms; (2) Results of National
Agency Checks (prior reports and records from FBI Investigative Files,
Fingerprint Files, Office of Personnel Management, Defense Central
Index of Investigations, House Committee on Internal Security, and
Coast Guard Intelligence); (3) Employees' Tax Account Histories; (4)
Results of Employees' Tax Examinations; (5) Employees' Financial
Statements; (6) A summary report, a narrative report, notes and/or
written replies resulting from the investigator's inquiries into the
subject's scholastic record, prior employment, military service,
references, neighbors, acquaintances or other knowledgeable sources,
police records and past credit record; (7) Report of action taken by
management personnel adjudicating any derogatory information developed
by the investigation; (8) Report of legal action resulting from
violations of statutes referred for prosecution.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
10450; Executive Order 11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection Personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to this system of records, or seeking to
contest its content, may inquire in accordance with instructions
appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be
addressed to the Chief Inspector, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Employment Application Forms submitted by subjects of investigation.
Financial information from subjects. Federal, State and Local
Government Agencies (Police, Court and Vital Statistics records).
Credit Reporting Agencies. Neighbors (former and present). References.
Former and present employers and co-workers. Other third party
sources. Schools. Tax Returns and Examination Results. Information
provided by the individual under investigation.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.009
System name:
Special Inquiry Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Employees or former employees of the Treasury Department and the
Internal Revenue Service. Non-employees whose alleged criminal actions
may affect the integrity of the Internal Revenue Service.
Categories of records in the system:
A documented complaint from some source alleging criminal or
administrative misconduct affecting Internal Revenue Service
integrity. Reports of integrity reviews and tests for deterrence and
detection of fraud or corrupt practices and serious control
weaknesses. A report of investigation to resolve the complaint, or the
suspected problem detected by integrity reviews and tests including
exhibits of IRS or public documents reviewed during the investigation.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulations; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, and on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, subject, or other identifier and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system is exempt and may not be accessed for purposes of
inspection or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers (complainants, witnesses, confidential informants),
Federal, State and local government agencies' personnel and records
(police, court, property, etc.), newspapers or periodicals, Department
of the Treasury personnel and records, financial institutions and
other private business records.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 60.010
System name:
Tort Investigation Files, Inspection--Treasury/IRS.
System location:
Office of the Chief Inspector, National Office and Regional
Inspectors' Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Employees of the Department of the Treasury and non-Federal persons
involved in accidents on property under Department of the Treasury
jurisdiction or with Department of the Treasury employees.
Categories of records in the system:
Report of investigation including exhibits such as SF-91, Operator's
Report of Motor Vehicle Accident; SF-91A, Investigation Report of
Motor Vehicle Accident; SF-92A, Report of Accident Other Than Motor
Vehicle; SF-94, Statement of Witness; Optional Form 26, Data Bearing
Upon Scope of Employment of Motor Vehicle Operator. In addition,
attached as exhibits might be a Police Report of the accident; copies
of insurance policies of the involved drivers; photographs of the
scene or vehicles after the accident; Treasury Department vehicle
maintenance record, medical records.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used: (1) Disclose pertinent information to
appropriate Federal, State, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (4) provide information
to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (5) provide
information to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (6) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, in folders, maintained in file cabinets, or on
magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, and/or by case number.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00. Accessible to
Inspection personnel on a need-to-know basis, all of whom have been
the subject of background investigations.
Retention and disposal:
Records are maintained in accordance with IRM Part X, Inspection,
Exhibit (10)100-2.
System manager(s) and address:
Chief Inspector, Internal Revenue Service, 1111 Constitution Avenue,
NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Chief Inspector, Internal Revenue
Service, 1111 Constitution Avenue, NW, Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Department of Treasury personnel and records, Federal, State and
local police agencies, witnesses, subjects involved in the
investigation, hospitals (medical records), doctors (medical records
and personal observations), personal observations of the investigator,
automobile repair facilities, insurance companies, attorneys, Federal,
State and local driver license records, and Federal and State vehicle
registration records.
Exemptions claimed for the system:
None.
Treasury/IRS 60.011
System name:
Internal Security Management Information System (ISMIS)--Treasury/
IRS.
System location:
Office of the Chief Inspector, National Office, and Regional
Inspection Offices. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
(1) Current and former employees of the Internal Revenue Service,
other Bureaus and Services within the Department of the Treasury, and
private contractors at IRS Facilities; (2) taxpayers and non-IRS
persons whose alleged criminal actions may affect the integrity of the
Internal Revenue Service; (3) former employees and non-IRS persons who
apply for enrollment to practice before the IRS under the provisions
of Circular 230; (4) tax practitioners, attorneys, certified public
accountants or enrolled persons.
Categories of records in the system:
(1) ISMIS personnel system records contain Internal Security employee
name, office, start of employment, series/grade, title, separation
date; (2) ISMIS tracking records contain status information on
investigations from point of initiation through conclusion; (3) ISMIS
timekeeping records contain assigned cases and distribution of time;
(4) ISMIS case tracking records contain background investigations and
criminal/administrative cases.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7608, 7801 and 7802; Executive Order
11222.
Purpose(s):
The purpose of ISMIS is to: (1) Effectively manage Internal Security
resources and assess the effectiveness of current Internal Security
programs and to assist in determining budget and staff requirements;
(2) Provide the technical ability for other components of the Service
to analyze trends in integrity matters on an organizational,
geographic and violation basis.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies, or other
public authority, responsible for investigating or prosecuting the
violations of, or for enforcing or implementing a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) Disclose information to the
Department of Justice for the purpose of litigating an action or
seeking legal advice. Disclosure may be made during judicial
processes; (3) Disclose information to a Federal, State, or local, or
other public authority, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's, bureau's, or authority's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) Disclose information in a proceeding
before a court, adjudicative body, or other administrative body before
which the agency is authorized to appear when: (a) The agency, or (b)
any employee of the agency in his or her official capacity, or (c) any
employee of the agency in his or her individual capacity where the
Department of Justice or the agency has agreed to represent the
employee; or (d) the United States, when the agency determines that
litigation is likely to affect the agency, is a party to litigation or
has an interest in such litigation, and the use of such records by the
agency is deemed to be relevant and necessary to the litigation or
administrative proceeding and not otherwise privileged; (5) Provide
information to a Congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (6)
Provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (7) Provide information to
third parties during the course of an investigation to the extent
necessary to obtain information pertinent to the investigation; (8)
Disclose information to a public or professional licensing
organization when such information indicates, either by itself or in
combination with other information, a violation or potential violation
of professional standards, or reflects on the moral, educational, or
professional qualifications of an individual who is licensed or who is
seeking to become licensed.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By name of individual to whom it applies, cross-referenced third
parties, social security numbers, or case number.
Safeguards:
Access is limited to authorized Inspection personnel who have a
direct need to know. Hard copy of data is stored in rooms of limited
accessibility except to employees. These rooms are locked after
business hours. Access to magnetic media is controlled by computer
passwords. Access to specific ISMIS records is further limited by
computer security programs limiting access to select personnel.
Retention and disposal:
Records are periodically updated to reflect changes and are retained
and archived as long as deemed necessary.
System manager(s) and address:
Assistant Chief Inspector (Internal Security), Internal Revenue
Service, 1111 Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to them may inquire in accordance with instructions
appearing at 31 CFR part 1, subpart C, appendix B. Inquiries should be
addressed as in ``Record access procedures'' below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Disclosure Officer, Officer of
the Chief Inspector, Internal Revenue Service, Room 6116, I:IS:I, 1111
Constitution Avenue, NW, Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Department of the Treasury personnel and records, other Federal
agencies, current and former employees of the Internal Revenue
Service, taxpayers and non-IRS persons who alleged criminal actions
may effect the integrity of the Internal Revenue Service.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and
(I), (e)(5), (e)(8), (f) and (g) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2).
Treasury/IRS 70.001
System name:
Individual Income Tax Returns, Statistics of Income--Treasury/IRS.
System location:
Primary--Detroit Computing Center; Secondary--(a) Internal Revenue
Service, Statistics of Income Branch, National Office; (b) Treasury
Department, Office of Tax Analysis; (c) Treasury Department, Office of
Economic Modeling and Computer Applications; (d) Federal Records
Centers; (e) Congress of the United States, Joint Committee on
Taxation. (See IRS appendix A for addresses.)
Categories of individuals covered by the system:
Taxpayers selected for an annual statistical sample.
Categories of records in the system:
Sources of income, exemptions, deductions, income tax, and tax
credits, as reported on Forms 1040, 1040A and 1040EZ U.S. Individual
income tax return. The records are used to prepare and publish annual
statistics, with respect to the operations of the tax laws and for
special statistical studies and compilations. The statistics, studies,
and compilations are designed so as to prevent disclosure of any
particular taxpayer's identity.
Authority for maintenance of the system:
26 U.S.C. 6108.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Each magnetic tape record is identified by social security number and
a unique document locator number assigned by the Internal Revenue
Service. Those with sole proprietorship income, in addition, contain
employer identification number, if reported by the taxpayer.
Safeguards:
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbook, IRM 1(15)59.1 through IRM 1(15)59.32. Input records are
disposed of after publication of the statistics, except for input
records for high income taxpayers for tax years prior to 1967 which
are disposed of after 40 years. Output records are retained as long as
they are needed.
System manager(s) and address:
Director, Statistics of Income, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Primary: Forms 1040, 1040A, and 1040EZ, U.S. Individual Income Tax
Returns. Secondary: Form SS-5, Application for a social security
number.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.001
System name:
Chief Counsel Criminal Tax Case Files. Each Regional Counsel Office
and District Counsel Office maintains one of these systems. The Office
of the Assistant Chief Counsel (Criminal Tax) maintains one of these
systems. The information in this notice applies to all 62 offices--
Treasury/IRS.
System location:
The addresses of the National Office, each Regional Counsel Office
and each District Counsel Office are listed in the appendix. (See IRS
appendix A.)
Categories of individuals covered by the system:
(1) Taxpayers and related parties against whom tax-related criminal
recommendations have been made. (2) Taxpayers and related parties on
whom advice has been requested concerning investigation for tax-
related offenses. (3) Persons who have filed petitions for the
remission or mitigation of forfeitures or who are otherwise directly
involved as parties in forfeiture matters, judicial or administrative.
Categories of records in the system:
(1) Internal Control Records. (2) Legal and administrative files
including investigative reports.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than return and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Records are retrievable by the name of the person to whom they apply.
Safeguards:
Records are locked up during nonworking hours and during periods when
the work area is vacant. Access is strictly controlled and limited to
employees who have a need for such records in the course of their
work. Background checks are made on employees. All facilities where
records are stored have access limited to authorized personnel or
individuals in the company of authorized personnel. Access controls
will not be less than those provided by the Automated Information
System Security Handbook, IRM 2(10)00.
Retention and disposal:
Legal files are generally retired to the Federal Records Center (FRC)
one year after they are closed. The FRC will retain ``significant
case'' files an additional 19 years and dispose of them 20 years after
they are closed. Other legal files are retained in the FRC 4 years
after they are transferred to the FRC and disposed of 5 years after
they are closed. Duplicate National Office monitoring files are
destroyed immediately upon notification that the field has closed its
file. National Office unjacketed case files (e.g., appeals for which
no monitoring files exist: FOIA requests, search warrants, formal
technical advice and miscellaneous legal opinions) are retained for
ten years after closing. National Office original centralized grand
jury files and administrative case files are maintained indefinitely.
Files transferred from other functions are returned to the source when
no longer needed.
System manager(s) and address:
Each Regional Counsel is the system manager of the systems in his or
her Region. The Assistant Chief Counsel (Criminal Tax) is the system
manager of the National Office system. The addresses are in the
appendix. (See IRS appendix A.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the records pertain to a particular individual as the
records are exempt under 5 U.S.C. 552a(d)(5) and/or 552a(j)(2).
Record access procedures:
This system of records may not be accessed for the purposes of
inspection or for contest of content of records as the records are
exempt under 5 U.S.C. 552a(d)(5) and/or 552a(j)(2).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of
fact or law; other persons who communicate with the Internal Revenue
Service.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.002
System name:
Chief Counsel Disclosure Litigation Case Files--Treasury/IRS.
System location:
Office of the Assistant Chief Counsel (Disclosure Litigation),
Internal Revenue Service, Office of Chief Counsel, 1111 Constitution
Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Persons who communicate with the Service regarding disclosure matters
or who are involved with a disclosure issue involving the Service, or
who are the subjects of investigations made by the Internal Security
Division if their cases are referred to Disclosure Litigation for
criminal violations of disclosure laws.
Categories of records in the system:
(1) Legal Case and Administrative Case Files; (2) Internal Control
Records.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Legal case and administrative case files: paper records. Internal
control records: Paper records and magnetic media.
Retrievability:
Records are retrievable by the name of the person to whom they apply,
cross-referenced third parties, issues, attorneys assigned, and by
case number.
Safeguards:
A background investigation is made on personnel. Offices are located
in a security area. Access to keys to these offices is restricted. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Legal files are generally retired to the Federal Records Center (FRC)
1 year after they are closed. ``Significant Case'' files are retained
an additional 29 years and disposed of 30 years after they are closed.
Other legal files are retained in the FRC 5 years after they are
transferred to the FRC and disposed of 6 years after they are closed.
Other records are retained in the Division for the same time periods
as described above.
System manager(s) and address:
Assistant Chief Counsel (Disclosure Litigation), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Notification procedure:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a (d)(5) and/or (k)(2).
Record access procedures:
This system may not be accessed for purpose of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a (d)(5) and/or (k)(2).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Persons who communicate with the agency regarding disclosure matters;
Department of Treasury employees; State, local, and foreign
governments; other Federal agencies; witnesses; informants; parties to
disputed matters of fact or law.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.003
System name:
Chief Counsel General Administrative Systems. Each of the 7 Regional
Counsel Offices and 54 District Counsel Offices, each of the 10
functions in the National Office, the Office of the Chief Counsel, and
the Office of the Deputy Chief Counsel, the Offices of the Associate
Chief Counsels (Enforcement Litigation), (International), (Domestic),
(Finance and Management), and (Employee Benefits and Exempt
Organizations) maintain a General Administrative System. This notice
applies to all 78 of these offices.--Treasury/IRS.
System location:
The location of these systems are listed in the appendix. (See IRS
appendix A.)
Categories of individuals covered by the system:
(1) Past, present and prospective employees of the Office of Chief
Counsel. (2) Tax Court Witnesses.
Categories of records in the system:
(1) Employee Performance Folders and employee records other than
Official Personnel Files of the Office of Personnel Management and the
Merit Systems Protection Board. (2) Time cards and attendance rosters.
(3) Financial records such as travel expenses, Notary Public expenses,
moving expenses, expenses of Tax Court witnesses and miscellaneous
expenses. (4) Employee recruiting records.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose information to the Office of Personnel Management
and the Merit Systems Protection Board for appropriate Personnel
actions; (3) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulations; (4) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (5) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (6) disclose information to foreign
governments in accordance with formal or informal international
agreements; (7) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (8) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (9)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (10) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Records are generally retrievable by the name of the person to whom
they apply.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Records are updated
periodically to reflect changes and maintained as long as needed.
System manager(s) and address:
Each Regional Counsel is the system manager of the systems in his or
her Region. Each Assistant Chief Counsel is the system manager of the
system in his or her function. The Chief Counsel, the Deputy Chief
Counsel and the Associate Chief Counsels (Enforcement Litigation),
(Domestic), (International), (Finance and Management), and (Employee
Benefits and Exempt Organizations) are the system managers of the
system in each of their Offices. (See IRS appendix A for addresses.)
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, apAppendix B.
Inquiries should be addressed to the Regional Counsel of the Region in
which the records are located or the Assistant Chief Counsel
(Disclosure Litigation) in the case of records in the National Office.
The addresses are listed in the Appendix. Information leading to the
identity of a confidential source is exempt pursuant to 5 U.S.C. 552a
(k)(5).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Employees, Department of Treasury personnel; Tax Court witnesses;
Office of Personnel Management and Merit Systems Protection Board;
other Federal agencies; State, local, and foreign governments;
references; former employers.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.004
System name:
Chief Counsel General Legal Services Case Files. Each of the seven
Regional Counsel Offices and the National Office maintain a General
Legal Services Case File System. The information in this notice
applies to all eight of the offices--Treasury/IRS.
System location:
The addresses of the National Office and each Regional Counsel Office
are listed in the appendix. (See IRS appendix A.)
Categories of individuals covered by the system:
Persons involved in litigation, actions, investigations or cases
falling within the jurisdiction of the General Legal Services function
including persons (1) who are parties in personnel matters, as well as
discrimination and labor management relations matters, of the Internal
Revenue Service, Chief Counsel's Office or, in some instances, other
agencies in the Treasury Department; (2) who are parties in
practitioner actions under the jurisdiction of the Director of
Practice or the Joint Board of Actuaries; (3) who are parties in
procurement matters and under the Federal Claims Collection Act (as
amended by the Debt Collection Act); (4) who are parties in litigation
or administrative claims involving alleged violations of the United
States Constitution, the Federal Tort Claims Act, the Military
Personnel and Civilian Employee Compensation Act, relief of
accountable officers for loss of Government funds, claims or suits for
rewards, acts of officers or employees acting within the scope of
their employment, or official acts of officers or employees not
directly relating to Federal tax issues but relating to the Internal
Revenue Service; (5) who are parties in miscellaneous matters referred
to the General Legal Service; (6) who are the subjects of
investigations made by the Internal Security Division if the case is
referred to General Legal Services (7) who are officials of the
Internal Revenue Service and Chief Counsel's Office required to file a
Financial Disclosure Statement under the Ethics in Government Act of
1978; (8) who have corresponded regarding a matter under consideration
within General Legal Services.
Categories of records in the system:
(1) Legal case and administrative case files. (2) Internal control
cards. (3) Correspondence files.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purposes of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing, or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulations; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law
proceedings; (5) disclose information to foreign governments in
accordance with formal or informal international agreements; (6)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (7) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (8) provide
information to officials of labor organizations recognized under 5
U.S.C. Chapter 71 when relevant and necessary to their duties of
exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (10) provide
information to the Director of Practice and Joint Board of Actuaries
in practitioner disciplinary matters; (11) provide information to the
Office of Personnel Management in personnel, discrimination and labor
management matters; (12) provide information to arbitrators, the
Federal Labor Relations Authority, including the Office of the General
Counsel of that authority, the Federal Service Impasses Board and the
Federal Mediation and Conciliation Service in labor management
matters; (13) provide information to the Merit Systems Protection
Board, including its Special Counsel, in Personnel, Discrimination,
and Labor Management matters; (14) provide information to the Equal
Employment Opportunity Commission in Personnel, Discrimination, and
Labor Management matters; (15) provide information to the General
Services Administration in property management matters; (16) provide
information to the Administrative Assistant of the Executive Resources
Board as to Financial Disclosure Statements, who makes the statements
available to the public as required by law; (17) provide information
to other federal agencies for the purpose of effectuating inter-agency
salary offset or inter-agency administrative offset; (18) provide
information to the Office of Government Ethics in conflict of
interest, conduct, financial statement reporting, and other ethical
matters.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt
information concerning a claim against an individual may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act, 15 U.S.C. 1681a(f) or the Federal Claims
Collection Act of 1966, 31 U.S.C. 3701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Records are retrievable by the name of the person to whom they apply.
If more than one person is involved in a given case then it is
generally retrievable only by the first named person.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Legal files are generally retired to the Federal Records Center (FRC)
1 year after the cases are closed. The FRC will retain ``significant
case'' files an additional 19 years and dispose of them 20 years after
they are closed. Other legal files are retained in the FRC 4 years
after they are transferred to the center and disposed of 5 years after
they are closed. Other records are retained for the same time periods
described above.
System manager(s) and address:
Each Regional Counsel is the system manager of the system in his or
her Region. The Assistant Chief Counsel (General Legal Services) is
the system manager of the National Office system. The addresses are in
the appendix. (See IRS appendix A.)
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual as the records are exempt under 5 U.S.C. 552a(d)(5) and/or
(k)(2).
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records as the records are exempt under 5
U.S.C. 552a(d)(5) and/or (k)(2).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of
fact or law; other persons who communicate with the Internal Revenue
Service.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.005
System name:
Chief Counsel General Litigation Case Files. Each Regional Counsel
Office and each District Counsel Office maintains one of these
systems. The National Office maintains one of these systems. The
information in this notice applies to all 62 offices--Treasury/IRS.
System location:
The addresses of the National Office, each Regional Counsel Office
and each District Counsel Office are listed in the appendix. (See IRS
appendix A.)
Categories of individuals covered by the system:
(1) Taxpayers or other individuals involved in matters referred to
the General Litigation function including: (a) Taxpayers with
outstanding tax liabilities or with potential outstanding tax
liabilities; (b) persons from whom information is being sought
(summons); (c) persons requesting information (disclosure); (d)
present or former Internal Revenue Service employees who are being or
may be sued in connection with their duties or who have been called
upon to testify in private litigation; (e) persons who are or may be
liable to the United States on non-tax claims; (f) persons who have
submitted offers in compromise of federal taxes. (2) Persons who have
corresponded regarding a matter under consideration within the General
Litigation function.
Categories of records in the system:
(1) Legal and Administrative Files. (2) Internal Control Records. (3)
Offer in Compromise Files. (4) Correspondence Files.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Provide information to other Federal
agencies holding funds of taxpayer for the purpose of collecting a
liability owed by the taxpayer; (2) disclose information to the
Department of Justice for the purpose of litigating an action or
seeking legal advice; (3) provide information to State and local
taxing authorities for the purpose of enforcing Federal tax laws; (4)
provide information to Federal, state and local regulatory authorities
for purposes of collection of Federal taxes; (5) disclose pertinent
information to appropriate Federal, State, local, or foreign agencies
responsible for investigating or prosecuting the violations of, or for
enforcing, or implementing, a statute, rule, regulation, order, or
license, where the disclosing agency becomes aware of an indication of
a violation or potential violation of civil or criminal law or
regulation; (6) disclose information to a Federal, State, or local
agency, maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's or the
bureau's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit; (7)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (8) disclose
information to foreign governments in accordance with formal or
informal international agreements; (9) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (10) provide information
to the news media in accordance with guidelines contained in 28 CFR
50.2 which relate to an agency's functions relating to civil and
criminal proceedings; (11) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (12) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
All records are retrievable by the name of the persons to whom they
apply. Some internal control records are retrievable by names of
taxpayers and related taxpayers, attorneys assigned, subject matter,
and certain key administrative dates.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
National Office, Regional, and District counsel legal files are
generally retired to the Federal Records Center (FRC) one year after
they are closed. The FRC will retain ``significant case'' files an
additional 24 years and dispose of them 25 years after the cases are
closed. Other legal files are retained in the FRC 9 years after they
are transferred to the Center and disposed of 10 years after they are
closed. Other records are retained in the Division for the same time
periods described above. Files transferred from other functions are
returned to the source when no longer needed.
System manager(s) and address:
Each Regional Counsel is the system manager of the systems in his or
her Region. The Assistant Chief Counsel (General Litigation) is the
system manager of the National Office system. The addresses are in the
appendix. (See IRS appendix A.)
Notification procedure:
Most of the records in this system may not be accessed for purposes
of determining if the records pertain to a particular individual as
the records are exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2).
Record access procedures:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a(d)(5) and/or(k)(2).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of
fact or law; other persons who communicate with the Internal Revenue
Service.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.006
System name:
Former Chief Counsel Interpretative Case Files--Treasury/IRS.
System location:
Office of the Associate Chief Counsel (Domestic), Internal Revenue
Service, 1111 Constitution Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Individual taxpayers concerning whom legal issues were referred to
the Interpretative Division (pre-October 1, 1988) for opinion.
Categories of records in the system:
(1) Legal Case Files and Advisory Opinions; (2) Correspondence Files;
(3) Internal Control Records.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local,or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing, or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal in the
course of presentation of evidence, disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (10) provide
information to the Social Security Administration to consult about a
matter involving legal issues concerning the imposition of Social
Security taxes; (11) provide information to the Department of Labor or
the Pension Benefit Guaranty Corporation concerning the Employee
Retirement Income Security Act.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All records in the system are maintained in paper format. Internal
control records are also maintained on magnetic media.
Retrievability:
Legal Case and Advisory Opinion files and Internal Control records
are retrievable by case name or title assigned to the project (which
sometimes, but not always, corresponds with the name of the individual
taxpayer). Private Relief Bill files are retrievable by the H.R. or S
number for each Congress. Correspondence files are retrievable by the
name of the individual who initiated the correspondence.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
General Counsel Memorandums, Office Memorandums, and legal case files
are retained indefinitely in the National Office.
System manager(s) and address:
Associate Chief Counsel (Domestic), Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Associate Chief Counsel
(Domestic), Attn: CC:CORP:T, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers and their personal representatives; Department of the
Treasury personnel; Congressional documents; other Federal agencies;
State, local, and foreign governments; other persons who communicate
with the Internal Revenue Service.
Exemptions claimed for the system:
None.
Treasury/IRS 90.007
System name:
Chief Counsel Legislation and Regulations Division, Employee Plans
and Exempt Organizations Division, and Associate Chief Counsel
(Technical and International) Correspondence and Private Bill Files--
Treasury/IRS.
System location:
Legislation and Regulations Division, Internal Revenue Service,
Office of Chief Counsel, 1111 Constitution Avenue, Washington, DC
20224; Employee Plans and Exempt Organizations Division and Associate
Chief Counsel (Technical and International), same address.
Categories of individuals covered by the system:
(1) Persons who have corresponded to the Service, the Department of
the Treasury, the White House or Members of Congress regarding a
matter in which the Legislation and Regulations Division or the
Employee Plans and Exempt Organizations Division was asked to draft a
reply. (2) Persons on whose behalf private relief bills were
introduced in Congress involving tax related matters.
Categories of records in the system:
(1) Correspondence Files; (2) Private Relief Bill Legal Files; (3)
Internal Control Records.
Authority for maintenance of the system:
5 U.S.C. 301 and 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. These records and information in these
records may be used to: (1) Disclose information to the Department of
Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing, or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulation; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law
proceedings; (5) disclose information to foreign governments in
accordance with formal or informal international agreements; (6)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (7) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (8) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (9) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (10) provide information
to the agency or individual who directed correspondence to the
Legislation and Regulations Division for the Division to draft a
response.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Correspondence files are retrievable by the name of the individual
who initiated the correspondence. Private Relief Bill files are
retrievable by the H.R. or S. number for each Congress.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Correspondence files are generally disposed of after 3 years. Private
Relief Bill files are periodically updated to reflect changes and are
maintained as long as needed. Internal control records are generally
disposed of after 2 years or when no longer useful. Auth: IRM 1(15)59.
System manager(s) and address:
Director, Legislation and Regulations Division, Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue,
Washington, DC 20224; Director, Employee Plans and Exempt Organization
Division, same address. With respect to international issues, the
Associate Chief Counsel (Technical and International) is the system
manager.
Notification procedure:
Individuals seeking to determine if the system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of the Disclosure
Litigation Division. The address is listed in the appendix. (See IRS
appendix A.)
Record access procedures:
Individuals seeking access to any record contained in the system of
records or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Director of the Disclosure
Litigation Division. The address is listed in the appendix. (See IRS
appendix A.)
Contesting record procedures:
See Access above.
Record source categories:
Persons who initiate correspondence referred to the Legislation and
Regulations Division; Congressional documents; taxpayers and their
representatives; Department of Treasury personnel; other Federal
agencies; state, local, and foreign governments; witnesses;
informants.
Exemptions claimed for the system:
None.
Treasury/IRS 90.009
System name:
Chief Counsel Field Services Case Files. Each Regional Counsel Office
and each District Counsel Office maintains one of these systems. The
National Office maintains one of these systems. The information in
this notice applies to all 62 offices-Treasury/IRS.
System location:
The addresses of the National Office, each Regional Counsel Office,
and each District Counsel Office is listed in the appendix. (See IRS
Appendix A.)
Categories of individuals covered by the system:
(1) Taxpayers who have filed petitions with the Tax Court or suits
for refunds of Federal taxes. (2) Taxpayers upon whom the issuance of
a statutory notice is or was contemplated whose case has been referred
to the Tax Litigation function. (3) Taxpayers who are the subject of
formal or informal advisory opinions during the investigative stage of
the case or while under administrative processing. (4) Persons who
have corresponded regarding a matter under consideration within the
Tax Litigation function.
Categories of records in the system:
(1) Legal Case and Administrative Case Files. (2) Internal Control
Records. (3) Correspondence Files.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing, or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulations; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements. (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2, which relate to
an agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Records are retrievable by the name of the person to whom they apply.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Legal files are generally retired to the Federal Records Center (FRC)
one year after they are closed. The FRC will retain ``significant
case'' files an additional 29 years and dispose of them 30 years after
they are closed. Other legal files are retained in the FRC 9 years
after they are transferred to the Center and disposed of 10 years
after they are closed. Other records are periodically updated to
reflect changes and maintained as long as needed. Files transferred
from other functions are returned to the source when no longer needed.
System manager(s) and address:
Each Regional Counsel is the system manager of the systems in his or
her Region. The Assistant Chief Counsel (Field Services) is the system
manager of the National Office system. The addresses are in the
appendix. (See IRS appendix A.)
Notification procedure:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a(d)(5) and/or (k)(2).
Record access procedures:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a(d)(5) and/or (k)(2).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; witnesses; informants; parties to disputed matters of
fact or law; other persons who communicate with the Internal Revenue
Service.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.010
System name:
Digest Room Files Containing Briefs, Legal Opinions, and Digests of
Documents Generated Internally or by the Department of Justice
Relating to the Administration of the Revenue Laws--Treasury/IRS.
System location:
Office of the Associate Chief Counsel (Finance and Management),
Internal Revenue Service, Office of Chief Counsel, 1111 Constitution
Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Taxpayers who have sought Internal Revenue Service rulings and/or
legal opinions on tax problems and those whose cases are being or have
been adjudicated.
Categories of records in the system:
(1) Internal Control Records; (2) Briefs; (3) Legal Opinions.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to Justice
Department personnel for research purposes; (2) disclose pertinent
information to appropriate Federal, State, local, or foreign agencies
responsible for investigating or prosecuting the violations of, or for
enforcing, or implementing, a statute, rule, regulation, order, or
license, where the disclosing agency becomes aware of an indication of
a violation or potential violation of civil or criminal law or
regulations; (3) disclose information to a Federal, State, or local
agency, maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's or the
bureau's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit; (4)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal including the presentation of evidence,
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (5) disclose
information to foreign governments in accordance with formal or
informal international agreements; (6) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (7) provide information to
the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (8) provide information to officials of labor
organizations recognized under 5 U.S.C. Chapter 71 when relevant and
necessary to their duties of exclusive representation; (9) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Records are retrievable by the name of the person to whom they apply.
Safeguards:
Records are kept in a secured area. Access is limited to authorized
personnel. Users of the system must show IRS identification and sign a
register each time the room is used. Background checks are made on
employees. Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Briefs, legal opinions, and digests are retained indefinitely.
System manager(s) and address:
Associate Chief Counsel, (Finance and Management), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Notification procedure:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a(d)(5) and/or (k)(2).
Record access procedures:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a(d)(5) and/or (k)(2).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Department of Treasury personnel; Department of Justice personnel;
taxpayers and their representatives; other Federal agencies;
witnesses; informants; State, local, and foreign governments; parties
to disputed matters of fact and law; other persons who communicate
with the Internal Revenue Service.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.011
System name:
Attorney Recruiting Files--Treasury/IRS.
System location:
Office of the Associate Chief Counsel (Finance and Management),
Internal Revenue Service, Office of Chief Counsel, 1111 Constitution
Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Persons who have applied for attorney positions with the Office of
Chief Counsel, both National Office and field.
Categories of records in the system:
Attorney files and lists of eligible applicants; Internal Control
Records.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulations; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (10) provide
information to the Office of Personnel Management and Merit System
Protection Board for appropriate personnel actions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Applicant files and internal control records; paper records and
magnetic media.
Retrievability:
Records are retrievable by the name of the person to whom they apply.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
The attorney applicant files and other records are periodically
updated to reflect changes and maintained as long as needed.
System manager(s) and address:
Associate Chief Counsel (Finance and Management), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Assistant Chief Counsel
(Disclosure Litigation), Internal Revenue Service, 1111 Constitution
Avenue, NW, Washington, DC 20224. Information leading to the identity
of a confidential source is exempt pursuant to 5 U.S.C. 552a(k)(5).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Applicants, Department of Treasury Personnel; Office of Personnel
Management; other Federal agencies; State, local, and foreign
governments; references, former employers.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.013
System name:
Legal case files of the Chief Counsel, Deputy Chief Counsel and
Associate Chief Counsels (Litigation), (Domestic), (International),
and (Employee Benefits and Exempt Organizations)--Treasury/IRS.
System location:
Office of Chief Counsel, Internal Revenue Service, 1111 Constitution
Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
Persons whose cases at one time involved important issues or unusual
circumstances which were brought to the attention of the above persons
(or their predecessors).
Categories of records in the system:
Legal case files which include internal control records of such case
files of both the persons currently holding the above positions and
those who previously held such positions.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action or seeking legal
advice; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing, or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
violation of civil or criminal law or regulations; (3) disclose
information to a Federal, State, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) disclose relevant, non-privileged
information to a court, magistrate, or administrative tribunal,
including the presentation of evidence, disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Records pertaining to individuals are retrievable by the name of the
person to whom they apply.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Access controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Chief Counsel, Deputy Chief Counsel, or the Associate Chief Counsels,
respectively, Internal Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Notification procedure:
This system may not be accessed for purposes of determining if the
records pertain to a particular individual as the records are exempt
under 5 U.S.C. 552a(d)(5) and/or (k)(2).
Record access procedures:
This system may not be accessed for purposes of inspection or for
contest of content of records as the records are exempt under 5 U.S.C.
552a(d)(5) and/or (k)(2).
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies; State, local, and foreign
governments; other persons who communicate with the Internal Revenue
Service.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.015
System name:
Reference Records of the Library in the Office of Chief Counsel-
Treasury/IRS.
System location:
Office of the Associate Chief Counsel (Finance and Management),
Internal Revenue Service, Office of Chief Counsel, 1111 Constitution
Avenue, NW, Washington, DC 20224.
Categories of individuals covered by the system:
(1) Taxpayers who have sought Congressional tax relief by means of a
Private Bill. (2) IRS employees who charge out books.
Categories of records in the system:
(1) Numerical and alphabetical listing of Private Relief Bill and
files related to the Bill. (2) Charge cards and inter-library loan
forms.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing, or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose relevant, non-privileged information to a court, magistrate,
or administrative tribunal, including the presentation of evidence,
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations, in response to a
subpoena, or in connection with criminal law proceedings; (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)
provide information to the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (5) provide information to
officials of labor organizations recognized under 5 U.S.C. Chapter 71
when relevant and necessary to their duties of exclusive
representation; (6) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Records are retrievable by the name of the individual to whom they
pertain and Private Bill material can also be retrieved by H.R. or S.
number.
Safeguards:
Although access is limited to authorized individuals, this material
would be available to any person through a Freedom of Information Act
request. Access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Records are regularly
updated. If the library materials to which the references pertain are
no longer in the library collection, the reference cards are
destroyed.
System manager(s) and address:
Associate Chief Counsel (Finance and Management), Internal Revenue
Service, Office of Chief Counsel, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedures:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to Assistant Chief Counsel (Disclosure
Litigation), Internal Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Material to which reference information pertains.
Exemptions claimed for the system:
None.
Treasury/IRS 90.016
System name:
Counsel Automated Tracking System (CATS) Records--Treasury/IRS.
System location:
Computer Records: Detroit Computing Center, 1300 John C. Lodge Drive,
Detroit, Michigan 48226.
Categories of individuals covered by the system:
(1) Taxpayers who initiated suits for refund in district courts or
the Claims Court.(2) Taxpayers who have filed petitions with the
United States Tax Court. (3) Taxpayers who have requested rulings from
the Service in those cases in which the request has been referred to
the Office of Chief Counsel for a legal opinion. (4) Taxpayers who
have been involved in litigation concerning the collection of taxes.
(5) Taxpayers whose cases were the subject of technical advice.
Categories of records in the system:
Skeletal legal files and Indexes (including taxpayer name; uniform
issue list number; key dates; subject matter; name of attorney and
office handling the case; and miscellaneous remarks.)
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7801.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice for the purpose of litigating an action, seeking legal
advice, or for research purposes; (2) disclose pertinent information
to appropriate Federal, State, local,or foreign agencies responsible
for investigating or prosecuting the violations of, or for enforcing,
or implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (3)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (4) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceedings; (5) disclose information
to foreign governments in accordance with formal or informal
international agreements; (6) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (7) provide information to the news media
in accordance with guidelines contained in 28 CFR 50.2 which relate to
an agency's functions relating to civil and criminal proceedings; (8)
provide information to officials of labor organizations recognized
under 5 U.S.C. Chapter 71 when relevant and necessary to their duties
of exclusive representation; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Skeletal legal files and indexes are stored on magnetic media. Input
documents are on paper. The CATS system also allows access by
interactive terminal.
Retrievability:
Records are retrievable by legal jacket number, the name of the
person to whom they apply, and by name of the attorney to whom the
cases are assigned.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel or individuals in the company of authorized personnel.
Passwords are required in the Counsel Automated Tracking System to
access system information. Access controls will not be less than those
provided by the Automated Information System Security Handbook, IRM
2(10)00.
Retention and disposal:
Records are maintained in accordance with Records Disposition
Handbooks, IRM 1(15)59.1 through IRM 1(15)59.32. Magnetic media will
be periodically updated to reflect changes and maintained as long as
needed.
System manager(s) and address:
Associate Chief Counsel (Finance and Management), Internal Revenue
Service, 1111 Constitution Avenue, NW, Washington, DC 20224.
Notification procedure:
Most of the records in this system may not be accessed for purposes
of determining if the records pertain to a particular individual as
the records are exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2). An
individual who wishes to determine whether the system contains any
records pertaining to himself which are not exempt may address
inquiries to the Assistant Chief Counsel (Disclosure Litigation), 1111
Constitution Avenue, NW, Washington, DC 20224.
Record access procedures:
Most of the records in this system may not be accessed for purposes
of inspection or for contest of content of records as the records are
exempt under 5 U.S.C. 552a(d)(5) and/or (k)(2). Individuals seeking
access to any record which is not exempt, or seeking to contest its
content, may inquire in accordance with instructions appearing at 31
CFR part 1, subpart C, appendix B. Inquiries should be addressed to
the Assistant Chief Counsel (Disclosure Litigation) whose address is
listed above. Taxpayers seeking to adjust records which affect the
determination of a tax assessment or the balance due, should utilize
existing procedures for doing so, as substantive tax matters are not
subject to the amendment provisions of the Privacy Act.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Taxpayers and their representatives; Department of Treasury
personnel; other Federal agencies, State, local, and foreign
governments; witnesses; informants; parties to disputed matters of
fact or law; other persons who communicate with the Internal Revenue
Service.
Exemptions claimed for the system:
This system has been designated as exempt from certain provisions of
the Privacy Act.
Treasury/IRS 90.017
System name:
Correspondence Control and Records, Associate Chief Counsel
(Technical and International)--Treasury/IRS.
System location:
National Office (See IRS appendix A.)
Categories of individuals covered by the system:
Individual subjects of letter rulings, technical advice, memorandum
and other correspondence from the Office of the Associate Chief
Counsel (Technical and International).
Categories of records in the system:
Cards, disks and tapes containing taxpayer names, date of
correspondence, issue, and related information, including in some
cases the conclusions reached, and related letter ruling, technical
advice, memorandum and other correspondence files.
Authority for maintenance of the system:
5 U.S.C. 301, 26 U.S.C. 7801, 7802, 7602, 7805(a).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C.6103. These records and information in these
records may be used to: (1) Disclose information to the Department of
Justice in connection with actual or potential criminal prosecution or
civil litigation, and in connection with requests for legal advice;
(2) disclose pertinent information to appropriate Federal, State,
local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (3) disclose information to a Federal,
State, or local agency maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (4) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosure to opposing counsel or witnesses in the course of
civil discovery, litigation, or settlement negotiations, in response
to a subpoena, or in connection with criminal law proceedings; (5)
disclose information to foreign governments in accordance with formal
or informal international agreements; (6) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (7) provide information to
the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (8) provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114; (9) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, magnetic media, and tapes.
Retrievability:
Indexed by name and control number.
Safeguards:
Safeguards will not be less than those provided by the Physical and
Document Security Handbook, IRM 1(16)41, and the Automated Information
System Security Handbook, IRM 2(10)00.
Retention and disposal:
Cards, disks and tapes are periodically updated and maintained as
long as needed. Related files are destroyed or retired over varying
numbers of years as specified in the Records Control Schedule, IRM
1(15)59.1(10).
System manager(s) and address:
Associate Chief Counsel (Technical and International), National
Office. (See IRS appendix A.)
Notification procedure:
Individuals seeking to determine if the system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Associate Chief Counsel
(Technical and International), National Office. (See IRS appendix A.)
Record access procedures:
Individuals seeking access to any record contained in the system of
records or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Associate Chief Counsel
(Technical and International), National Office. (See IRS appendix A.)
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Individual subjects of letter rulings, technical advice memorandums,
and other correspondence, field office personnel.
Exemptions claimed for the system:
None.
Treasury/IRS 90.018
System name:
Expert Witness Library--Treasury/IRS.
System location:
Office of the Assistant Chief Counsel (Field Services), Office of the
Chief Counsel, Internal Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224.
Categories of individuals covered by the system:
Potential expert witnesses for tax litigation in a variety of areas
of expertise.
Categories of records in the system:
Names, addresses, and phone numbers of expert witnesses who have been
used either by IRS or taxpayers in litigation. The library also
contains evaluations of the performance of each expert, copies of
transcripts where experts have testified and copies of the experts'
reports.
Authority for maintenance of the system:
5 U.S.C. 301; 26 U.S.C. 7602, 7801, 7802, and 7805(a).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to: (1) Disclose information to the Department
of Justice in connection with requests for legal advice; (2) disclose
information to a Federal, state, or local agency maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
individual, or issuance of or retention of a security clearance,
license, contract, grant, or other benefit; (3) disclose relevant,
non-privileged information to a court, magistrate, or administrative
tribunal, including the presentation of evidence, disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena
where relevant or potentially relevant to the proceeding; (4) provide
information to a Congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (5)
provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Indexed by name and subject matter expertise.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Furthermore, access to the paper files is
controlled by a designated attorney in the Tax Shelter Branch. Access
to the expert witness library indices on magnetic media are controlled
by the Tax Shelter Branch. The Tax Shelter Branch is locked during
nonworking hours. All facilities where records are stored have access
limited to authorized personnel or individuals in the company of
authorized personnel. Background checks are made on employees. Access
controls will not be less than those provided by the Automated
Information System Security Handbook, IRM 2(10)00.
Retention and disposal:
The records will be periodically updated to reflect changes and
maintained as long as needed.
System manager(s) and address:
Assistant Chief Counsel (Field Services), Internal Revenue Service,
Office of Chief Counsel, 1111 Constitution Avenue, NW, Washington, DC
20224.
Notification procedure:
Individuals seeking to determine if this system of records contains a
record pertaining to themselves may inquire in accordance with
instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed as in ``Record access procedures''
below.
Record access procedure:
Individuals seeking access to any record contained in this system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix B.
Inquiries should be addressed to the Assistant Chief Counsel
(Disclosure Litigation), Internal Revenue Service, 1111 Constitution
Avenue, NW, Washington, DC 20224.
Contesting record procedures:
26 U.S.C. 7852(e) prohibits Privacy Act amendment of tax records.
Record source categories:
Attorneys working for the IRS and expert witnesses themselves.
Exemptions claimed for the system:
None.
IRS APPENDIX A
This appendix contains the addresses of Treasury/IRS system locations
along with the title of the principal system manager(s) at each
location. Other system managers at these locations are individually
noted in the text of the system notices. Generally, inquiries under
Treasury/IRS systems should be addressed to the office where the
records in question are located. For Regional and District Office
records, this would be the office with jurisdiction over the area
where the individual resides. For Internal Revenue Service Center
records, this would be the service center where the individual files
Federal income tax returns.
NATIONAL OFFICE INTERNAL REVENUE SERVICE
National Director, Equal Employment Opportunity and
Diversity
National Director, Communications
Assistant Commissioner (Collection)
Chief Information Officer
Assistant Commissioner (Employee Plans and Exempt
Organizations)
National Director, Strategic Planning and Research
National Director, Compliance and Research
Chief Financial Officer
Chief, National Management and Administration
Chief Taxpayer Service
Assistant Commissioner (Criminal Investigation)
Assistant Commissioner (Examination)
Assistant Commissioner (International)
Assistant Commissioner (Procurement)
Chief Inspector
Director, Office of Disclosure
The address for all of the above systems managers with the exception
of the Assistant Commissioner (International), noted below, is as
follows:
1111 Constitution Avenue, NW, Washington, DC 20224
Assistant Commissioner (International), 950
L`Enfant Plaza, SW, Fourth Floor, Washington, DC
20024
ADDRESSES OF THE DETROIT COMPUTING CENTER, MARTINSBURG COMPUTING
CENTER, AND THE AUSTIN COMPLIANCE CENTER
Director, Detroit Computing Center, 1300 John C.
Lodge Drive, Detroit, Michigan 48226.
Director, Martinsburg Computing Center, PO Box 1208,
Martinsburg, West Virginia 25401
Director, Austin Compliance Center, PO Box 2986,
Stop 1000 AUCC, Austin, Texas 78768
ADDRESSES OF REGIONAL OFFICES, DISTRICT OFFICES, AND INTERNAL REVENUE
SERVICE CENTERS
Regional Offices
Midstates Region (Dallas)Regional Commissioner,
Internal Revenue Service4050 Alpha Road, Dallas,
Texas 75244-4203
Northeast Region (Manhattan) Regional Commissioner,
Internal Revenue Service, 90 Church Street, New
York, New York, 10007
Southeast Region (Atlanta) Regional Commissioner,
Internal Revenue Service, PO Box 926, Stop 100-R,
Atlanta, Georgia 30370
Western Region (San Francisco) Regional
Commissioner, Internal Revenue Service, Room
511,1650 Mission Street, San Francisco,
California 95113
District Director, Internal Revenue Service, PO Box
1818, Cincinnati, Ohio 45201.
District Director, Internal Revenue Service, PO Box
99181, Cleveland, Ohio 44199
District Director, Internal Revenue Service, PO Box
330500, Stop 1, Detroit, Michigan 48232-
6500
District Director, Internal Revenue Service, PO Box
44687, Stop 10, Indianapolis, Indiana 46244
District Director, Internal Revenue Service, PO Box
1735, Stop 100, Louisville, Kentucky 40201
District Director, Internal Revenue Service, 425
Juliana Street, Parkersburg, West Virginia 26101
Director, Internal Revenue Service Center, 201 W.
Second Street., Covington, Kentucky 41019
District Director, Internal Revenue Service, George
Fallon Building, 31 Hopkins Plaza, Baltimore,
Maryland 21201
District Director, Internal Revenue Service, PO Box
939, Newark, New Jersey 07101
District Director, Internal Revenue Service, W. J.
Green Federal Building, 600 Arch Street,
Philadelphia, Pennsylvania 19106
District Director, Internal Revenue Service, 1000
Liberty Avenue, Room 1139, Pittsburgh,
Pennsylvania 15222
District Director, Internal Revenue Service, 400
North Eighth Street, Richmond, Virginia 23240
District Director, Internal Revenue Service, 409
Silverside Road, Wilmington, Delaware 19809
Director, Internal Revenue Service Center, 11601
Roosevelt Boulevard, Philadelphia, Pennsylvania
19154
District Director, Internal Revenue Service, Federal
Building, 115 Fourth Avenue, SE, Aberdeen, South
Dakota 57401
District Director, Internal Revenue Service, 230
South Dearborn Street, Room 2890, Chicago,
Illinois 60604
District Director, Internal Revenue Service, Federal
Building, 210 Walnut Street, Des Moines, Iowa
50309
District Director, Internal Revenue Service, Federal
Building and Post Office, 657 Second Avenue,
North Fargo, North Dakota 58102
District Director, Internal Revenue Service, Federal
Building, Second Floor, 301 South Park Avenue,
Helena, Montana 59626-0016
District Director, Internal Revenue Service, Federal
Building and Court House, 310 West Wisconsin
Avenue, Milwaukee, Wisconsin 53203
District Director, Internal Revenue Service, Federal
Office Building, 106 South Fifteenth Street,
Omaha, Nebraska 68102
District Director, Internal Revenue Service, 1222
Spruce Street, St. Louis, Missouri 63101
District Director, Internal Revenue Service, Federal
Building and Court House, 316 North Robert
Street, St. Paul, Minnesota 55101
District Director, Internal Revenue Service, 320
West Washington Street, Springfield, Illinois
62701
Director, Internal Revenue Service Center, PO Box
24551, Kansas City, Missouri 64131
District Director, Internal Revenue Service, John F.
Kennedy Federal Building, Government Center,
Boston, Massachusetts 02203
District Director, Internal Revenue Service, 68
Sewall Street, Augusta, Maine 04330
District Director, Internal Revenue Service, Leo W.
O`Brien Federal Building, Clinton Avenue and
North Pearl Street, Albany, New York 12207
District Director, Internal Revenue Service, 120
Church Street, New York, New York 10007
District Director, Internal Revenue Service, 35
Tillary Street, Brooklyn, New York 11201
District Director, Internal Revenue Service, 111
West Huron Street, Buffalo, New York 14202
District Director, Internal Revenue Service,
Courthouse Plaza, 119 Main Street, Burlington,
Vermont 05401
District Director, Internal Revenue Service, William
R. Cotter Federal Building, Stop 204, 135 High
Street, Hartford, Connecticut 06103
District Director, Internal Revenue Service, Federal
Building, 80 Daniel Street, Portsmouth, New
Hampshire 03801
District Director, Internal Revenue Service, 380
Westminster Mall, Providence, Rhode Island 02903
Director, Internal Revenue Service, Stop 100, 310
Lowell Street, Andover, Massachusetts 05501
Director, Internal Revenue Service Center, Stop 100,
1040 Waverly Avenue, Holtsville, New York 11799
District Director, Internal Revenue Service, 401
West Peachtree Street, NW. Atlanta, Georgia 30365
District Director, Internal Revenue Service, 500
Twenty-second Street South, Birmingham, Alabama,
35233
District Director, Internal Revenue Service, 1835
Assembly Street, Columbia, South Carolina 29201
District Director, Internal Revenue Service, 320
Federal Place, Greensboro, North Carolina 27401
District Director, Internal Revenue Service, Suite
504, 100 W. Capitol Street, Suite 504, Jackson,
Mississippi 39269
District Director, Internal Revenue Service, Federal
Office Building, 400 West Bay Street,
Jacksonville, Florida 32202
District Director, Internal Revenue Service, 801
Broadway, Nashville, Tennessee 37203
District Director, Internal Revenue Service, (Stop
6) 700 West Capitol, Little Rock, Arkansas 72201
District Director, Internal Revenue Service, (Stop
6) 501 Magazine Street, New Orleans, Louisiana
70130
District Director, Internal Revenue Service, One
University Drive, Building B, Ft. Lauderdale,
Florida 33324
Director, Internal Revenue Service Center, 4800
Buford Highway, Chamblee, Georgia 30341
Director, Internal Revenue Service Center, PO Box
30309, Airport Mail Facility, Memphis, Tennessee
38130
District Director, Internal Revenue Service, 5338
Montgomery NE, 3rd Floor, Albuquerque, New Mexico
87109
District Director, Internal Revenue Service, Stop
100D AUS, 300 East Eighth Street, Austin, Texas
78701
District Director, Internal Revenue Service, 1919
Smith Street, Houston, Texas 77002
District Director, Internal Revenue Service, 308
West Twenty-first Street, Cheyenne, Wyoming 82001
District Director, Internal Revenue Service, Stop
1000 DAL, 1100 Commerce Street, Dallas, Texas
75242
District Director, Internal Revenue Service, 600
Seventeenth Street, Stop 1000 DEN, Denver,
Colorado 80202-2490
District Director, Internal Revenue Service, 210
East Earll Drive, Sixth Floor, Room 600 Phoenix,
Arizona 85012
District Director, Internal Revenue Service, 465
South 400 East, Salt Lake City, Utah 84111
District Director, Internal Revenue Service, 200 NW.
Fourth Street, Oklahoma City, Oklahoma 73102
District Director, Internal Revenue Service, 412
South Main Street, Wichita, Kansas 76202
Director, Internal Revenue Service Center, 3651
South Interregional Highway, Austin, Texas 73301
Director, Internal Revenue Service Center, 1160 West
1200 South Street, Ogden, Utah 84201
District Director, Internal Revenue Service, 949
East Thirty-sixth Avenue, Anchorage, Alaska 99508
District Director, Internal Revenue Service, Box
041, 550 West Fort Street, Boise, Idaho 83724
District Director, Internal Revenue Service, PJKK
Federal Building, 300 Ala Moana, Honolulu, Hawaii
96850
District Director, Internal Revenue Service, 24000
Avila Road, Laguna Niguel, California 92677
District Director, Internal Revenue Service, 300
North Los Angeles Street, Los Angeles, California
90012
District Director, Internal Revenue Service, 1220 SW
Third Avenue, Portland, Oregon 97204
District Director, Internal Revenue Service, 4750
West Oakey Boulevard, Las Vegas, Nevada 89102
District Director, Internal Revenue Service, 4330
Watt Avenue, North Highland, California 95660
District Director, Internal Revenue Service, 1301
Clay Street, South Tower, San Francisco,
California 94612
District Director, Internal Revenue Service, 55
South Market Street, San Jose, California 95113
District Director, Internal Revenue Service, 915
Second Avenue, Seattle, Washington, 98174
Director, Internal Revenue Service Center, 5045 East
Butler Avenue, Fresno, California 93888
ADDRESSES OF CHIEF COUNSEL, REGIONAL COUNSEL, DISTRICT COUNSEL, AND
REGIONAL DIRECTOR OF APPEALS OFFICES
National Office:
Office of the National Director of Appeals,
Internal Revenue Service, 901 D Street, SW, Box
68, Washington, DC 20024
Office of the Assistant Chief Counsel (Criminal
Tax), Office of Chief Counsel, Internal Revenue
Service, 1111 Constitution Avenue, NW,
Washington, DC 20224
Office of the Assistant Chief Counsel (Disclosure
Litigation), Office of Chief Counsel, Internal
Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224
Office of the Assistant Chief Counsel (General Legal
Services), Office of Chief Counsel, Internal
Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224
Office of the Assistant Chief Counsel (General
Litigation), Office of Chief Counsel, Internal
Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224
Office of the Assistant Chief Counsel (Corporate),
Office of Chief Counsel, Internal Revenue
Service, 1111 Constitution Avenue, NW,
Washington, DC 20224
Office of the Assistant Chief Counsel (Income Tax
and Accounting), Office of Chief Counsel,
Internal Revenue Service, 1111 Constitution
Avenue, NW, Washington, DC 20224
Office of the Assistant Chief Counsel (Employee
Benefits and Exempt Organizations), Office of
Chief Counsel, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224
Office of the Assistant Counsel (Field Services),
Office of Chief Counsel, Internal Revenue
Service, 1111 Constitution Avenue, NW,
Washington, DC 20224
Office of the Assistant Chief Counsel (Financial
Institutions and Products), Office of Chief
Counsel, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224
Office of the Assistant Chief Counsel (Passthroughs
and Special Industries), Office of Chief Counsel,
Internal Revenue Service, 1111 Constitution
Avenue, NW, Washington, DC 20224
Chief Counsel, Deputy Chief Counsel, Associate Chief
Counsels (Litigation), (Domestic),
(International), Finance and Management) and
(Employee Benefits and Exempt Organizations),
Office of Chief Counsel, Internal Revenue
Service, 1111 Constitution Avenue, NW,
Washington, DC 20224
Regional Counsel Offices
Northeast Region:
Regional Counsel`s Office, IRS, North-Atlantic
Region, 7 World Trade Center, Twenty-fifth floor,
New York, New York 10048
Southeast Region:
Regional Counsel's Office, IRS, 401 West Peachtree
Street, Suite 2110-Stop 180-R, Atlanta, Georgia
30365
Midstates Region:
Regional Counsel's Office, IRS, 4050 Alpha Road,
14th Floor, Dallas, Texas 75244-4203
Western Region:
Regional Counsel's Office, IRS, Room 514, 1650
Mission Street, San Francisco, California 94103
Regional Director of Appeals
Northeast Region
Regional Director of Appeals, IRS, 90 Church Street,
Room 1003 New York NY 10007
Southeast Region
Regional Director of Appeals, IRS, 625 Federal
Office Building, Suite 2118, 401 West Peachtree
Street, NW, Atlanta, Georgia 30365
Midstates Region
Regional Director of Appeals, IRS, 4050 Alpha Road,
Fourteenth Floor, Dallas, Texas 75244-4203
Western Region
Regional Director of Appeals, IRS, Room 515, 1650
Mission Street, San Francisco, California 94103.
District Counsel Offices
District Counsel's Office, IRS, 7 World Trade
Center, Twenty-fourth Floor, New York, New York
10048
District Counsel's Office, IRS, Leo W. O'Brien
Federal Building, Clinton Avenue and N. Pearl
Street, Albany, New York 12207
District Counsel's Office, IRS, 10 Causeway Street,
Room 401, Boston, Massachusetts 02222-1061
District Counsel's Office, IRS Brooklyn Office, 1600
Stewart Avenue, Suite 601, Uniondale, New York
11590
District Counsel's Office, IRS, 28 Church Street,
Guaranty Building, Suite 500, Buffalo, New York
14202
District Counsel's Office, IRS, 333 East River
Drive, Suite 200, Commerce Center One, Hartford,
Connecticut 06108
District Counsel's Office, IRS, Room 10424, 600 Arch
Street, Philadelphia, Pennsylvania 19106
District Counsel's Office, IRS, Room 4100, 101 West
Lombard Street, Baltimore, Maryland 21201
District Counsel's Office, IRS, Room 904, 970 Broad
Street, Newark, New Jersey 07102
District Counsel's Office, IRS, 1001 Liberty Center,
Room 601 C, Pittsburgh, Pennsylvania 15222
District Counsel's Office, IRS, 2727 Enterprise
Parkway, First Floor, Richmond, Virginia 23240
District Counsel's Office, IRS, 4620 Wisconsin
Avenue, NW, Fourth Floor, Washington, DC 20016
District Counsel's Office, IRS, Suite 1400, 401 West
Peachtree Street, NW, Atlanta, Georgia 30365
District Counsel's Office, IRS, Room 340, 500
Twenty-second Street, South, Birmingham, Alabama
35233
District Counsel's Office, IRS, Room 509, 320
Federal Place, Greensboro, North Carolina 27401
District Counsel's Office, IRS, Box 35027, Federal
Office Building, 400 West Bay Street, Room 564,
Jacksonville, Florida 32202
District Counsel's Office, IRS, Room 1114, Federal
Office Building, 51 SW First Avenue, Miami,
Florida 33130
District Counsel's Office, IRS, Room 703, U.S.
Courthouse, 801 Broadway, Nashville, Tennessee
37203-3814
District Counsel's Office, IRS, 917 Hale Boggs
Building, 501 Magazine Street, New Orleans,
Louisiana 70130
District Counsel's Office, IRS, Room 7525, John Weld
Peck Federal Building ,550 Main Street,
Cincinnati, Ohio 45202
District Counsel's Office, IRS, Suite 810, One
Cleveland Center, 1375 East, Ninth Street,
Cleveland, Ohio 44114
District Counsel's Office, IRS, 1870 McNamara
Building, 477 Michigan Avenue, Detroit, Michigan
48226
District Counsel's Office, IRS, 513 Minton-Capehart
Federal Building, 575 N. Pennsylvania Street,
Indianapolis, Indiana 46204
District Counsel's Office, IRS, Suite 1100 Heyburn
Building, 332 West Broadway, Louisville, Kentucky
40202
District Counsel's Office, IRS, 219 South Dearborn
Street, Room 1342, Chicago, Illinois 60604
District Counsel's Office, IRS, 439 Federal
Building, 210 Walnut Street, Des Moines, Iowa
50309
District Counsel's Office, IRS, Room 242, Federal
Building, 301 South Park Avenue, Helena, Montana
59626
District Counsel's Office, IRS, 2700 Federal Office
Building, 911 Walnut Street, Kansas City,
Missouri 64106
District Counsel's Office, IRS, 760 Henry Reuss
Federal Plaza, Suite 760, 310 West Wisconsin
Avenue, Milwaukee, Wisconsin 53203
District Counsel's Office, IRS, 3101 Federal
Building, 215 North Seventeenth Street, Omaha,
Nebraska 68101
District Counsel's Office, IRS, Room 720, 320 West
Washington Street, Springfield, Illinois 62701
District Counsel's Office, IRS, Third Floor,
Chouteau Center, 133 S. Eleventh Street, St.
Louis, Missouri 63102
District Counsel's Office, IRS, Galtier Plaza, Suite
650, 175 East Fifth Street, St. Paul, Minnesota
55101
District Counsel's Office, IRS, 5338 Montgomery NE
Suite 400, Albuquerque, New Mexico 87109
District Counsel's Office, IRS, Room 601, 300 East
Eighth Street, Austin, Texas 78701
District Counsel's Office, IRS, Room 12A24, Stop
2000 DAL, 1100 Commerce Street, Dallas, Texas
75242
District Counsel's Office, IRS, Suite 500, 1244
Speer Boulevard, Denver, Colorado 80204
District Counsel's Office, IRS, Suite 350, 10850
Richmond Avenue, Houston, Texas 77042-4775
District Counsel's Office, IRS, Suite 320, 500 West
Main, Oklahoma City, Oklahoma 73102
District Counsel's Office, IRS, Suite 1500, 3225 N.
Central Avenue, Phoenix, Arizona 85012
District Counsel, IRS, Room 131, Wallace F. Bennett
Federal Building, 125 South State Street, Salt
Lake City, Utah 84138
District Counsel's Office, IRS, Room 607, 949 East
Thirty-sixth Avenue, Anchorage, Alaska 99508
District Counsel's Office, IRS, Box 024, 550 West
Fort Street, Boise, Idaho 83724
District Counsel's Office, IRS,7119 PJKK Federal
Building, 300 Ala Moana Boulevard, Honolulu,
Hawaii 96850
District Counsel's Office, IRS, Fourth Floor, Chet
Holifield Building, 24000 Avila Road, Laguna
Niguel, California 92656
District Counsel's Office, IRS, 4750 Oakey, Suite
403, Las Vegas, Nevada 89102
District Counsel's Office, IRS, 3018 Federal
Building, 300 N. Los Angeles Street, Los Angeles,
California 90012
District Counsel's Office, IRS, 222 SW. Columbia,
Suite 450, Portland, Oregon 97201
District Counsel's Office, IRS, 4330 Watt Avenue,
Suite 470, North Highlands, California 95660
District Counsel's Office, IRS, Suite 901, 701 B
Street, San Diego, California 92101
District Counsel's Office, IRS, Room 504, 160 Spear
Street, San Francisco, California 94105
District Counsel's Office, IRS, Suite 505, 55 South
Market Street, San Jose, California 95113
District Counsel's Office, IRS, 2710 Federal
Building, 915 Second Avenue, Seattle, Washington
98174
District Counsel's Office, IRS, 950 Hampshire Road,
East Pavilion, Thousand Oaks, California 91361
DEPARTMENT OF TREASURY
Departmental Offices
Treasury/DO .002
System name:
Treasury Integrated Management Information System (TIMIS)--Treasury/
DO.
System location:
The system management staff of TIMIS is located at 1500 Pennsylvania
Ave., NW, Treasury Annex Building, Room 4153-Annex, Washington, DC
20220. The TIMIS processing site is located at the United States
Department of Agriculture National Finance Center, 13800 Old Gentilly
Road, New Orleans, LA 70160.
Categories of individuals covered by the system:
Current and historical payroll/personnel data of employees of all
Treasury bureaus and organizations. Certain non-Treasury agencies,
which receive payroll personnel services from Treasury under cross-
servicing agreements, will be moving to a system of their choice.
Categories of records in the system:
Information contained in the records of the existing systems and the
new TIMIS system include such data as: (1) Employee identification and
status data such as name, social security number, date of birth, sex,
race and national origin designator, awards received, suggestions,
work schedule, type of appointment, education, training courses
attended, veterans preference, and military service. (2) Employment
data such as service computation for leave, date probationary period
began, date of performance rating, and date of within-grade increases.
(3) Position and pay data such as position identification number, pay
plan, step, salary and pay basis, occupational series, organization
location, and accounting classification codes. (4) Payroll data such
as earnings (overtime and night differential), deductions (Federal,
state and local taxes, bonds and allotments), and time and attendance
data. (5) Employee retirement and Thrift Savings Plan data. (6) Tables
of data for editing, reporting and processing personnel and pay
actions. These include nature of action codes, civil service authority
codes, standard remarks, signature block table, position title table,
financial organization table, and salary tables.
Authority for maintenance of the system:
The Office of Personnel Management Manual, 50 U.S.C. App. 1705-1707;
31 U.S.C. and Departmental Circular 145 and 830. The Department of the
Treasury Fiscal Requirements Manual; 5 U.S.C. 301; FPM Letter 298-10,
Office of Personnel Management; Federal Personnel Manual (Chapter 713
Subchapter 3A).
Purpose(s):
The purposes of the system include, but are not limited to: (1)
Maintaining current and historical payroll records which are used to
compute and audit pay entitlement; to record history of pay
transactions; to record deductions, leave accrued and taken, bonds due
and issued, taxes paid; maintaining and distributing Leave and
Earnings statements; commence and terminate allotments; answer
inquiries and process claims, and (2) maintaining current and
historical personnel records and preparing individual administrative
transactions relating to education and training, classification;
assignment; career development; evaluation; promotion, compensation,
separation and retirement; making decisions on the rights, benefits,
entitlements and the utilization of individuals; providing a data
source for the production of reports, statistical surveys, rosters,
documentation, and studies required for the orderly personnel
administration within Treasury.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Furnish data to the Department of Agriculture, National Finance Center
(which provides payroll/personnel processing services for TIMIS under
a cross-servicing agreement) affecting the conversion of Treasury
employee payroll and personnel processing services to TIMIS; the
issuance of paychecks to employees and distribution of wages; and the
distribution of allotments and deductions to financial and other
institutions, some through electronic funds transfer; (2) furnish the
Internal Revenue Service and other jurisdictions which are authorized
to tax the employee's compensation with wage and tax information in
accordance with a withholding agreement with the Department of the
Treasury pursuant to 5 U.S.C. 5516, 5217, and 5520, for the purpose of
furnishing employees with Forms W-2 which report such tax
distributions; (3) provide records to the Office of Personnel
Management, Merit Systems Protection Board, Equal Employment
Opportunity Commission, and General Accounting Office for the purpose
of properly administering Federal personnel systems or other agencies'
systems in accordance with applicable laws, Executive Orders, and
regulations; (4) furnish another Federal agency information to effect
interagency salary or administrative offset, except that addresses
obtained from the Internal Revenue Service shall not be disclosed to
other agencies; to furnish a consumer reporting agency information to
obtain commercial credit reports; and to furnish a debt collection
agency information for debt collection services. Current mailing
addresses acquired from the Internal Revenue Service are routinely
released to consumer reporting agencies to obtain credit reports and
to debt collection agencies for collection services; (5) disclose
information to a Federal, state, local or foreign agency maintaining
civil, criminal or other relevant enforcement information or other
pertinent information which has requested information relevant to or
necessary to the requesting agency's hiring or retention of an
individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (6) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation or settlement negotiations
in response to a subpoena where relevant or potentially relevant to a
proceeding, or in connection with criminal law proceedings; (7)
disclose information to foreign governments in accordance with formal
or informal international agreements; (8) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (9) provide information to
the news media in accordance with guidelines contained in 28 CFR 50.2
which relates to civil and criminal proceedings; (10) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (11) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (12) provide wage and separation
information to another agency, such as the Department of Labor or
Social Security Administration, as required by law for payroll
purposes; (13) provide information to a Federal, state, or local
agency so that the agency my adjudicate an individual's eligibility
for a benefit, such as a state employment compensation board, housing
administration agency and Social Security Administration; (14)
disclose pertinent information to appropriate Federal, state, local or
foreign agencies responsible for investigating or prosecuting the
violation of, or for implementing a statute, regulation, order, or
license, where the disclosing agency becomes aware of an indication of
a violation or potential violation of civil, or criminal law or
regulation; (15) disclose information about particular Treasury
employees to requesting agencies or non-Federal entities under
approved computer matching efforts, limited to only those data
elements considered relevant to making a determination of eligibility
under particular benefit programs administered by those agencies or
entities or by the Department of the Treasury or any constituent unit
of the Department, to improve program integrity, and to collect debts
and other monies owed under those programs (i.e., matching for
delinquent loans or other indebtedness to the government).
Disclosure to consumer reporting agencies:
Disclosures may be made pursuant to 5 U.S.C. 552a(b)(12) and section
3 of the Debt Collection Act of 1982; debt information concerning a
government claim against an individual is also furnished, in
accordance with 5 U.S.C. 552a(b)(12) and section 3 of the Debt
Collection Act of 1982 (Pub. L. 97-365), to consumer reporting
agencies to encourage repayment of an overdue debt. Disclosures may be
made to a consumer reporting agency as defined in the Fair Credit
Reporting Act, 15 U.S.C. 1681a(f) or the Federal Claims Collection Act
of 1966, 31 U.S.C. 701(a)(3).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media, microfiche, and hard copy. Disbursement records are
stored at the Federal Records Center.
Retrievability:
Records are retrieved generally by social security number, position
identification number within a bureau and region, or employee name.
Secondary identifiers are used to assure accuracy of data accessed,
such as master record number or date of birth.
Safeguards:
Entrance to data centers and support organization offices are
restricted to those employees whose work requires them to be there for
the system to operate. Identification (ID) cards are verified to
ensure that only authorized personnel are present. Disclosure of
information through remote terminals is restricted through the use of
passwords and sign-on protocols which are periodically changed.
Reports produced from the remote printers are in the custody of
personnel and financial management officers and are subject to the
same privacy controls as other documents of like sensitivity.
Retention and disposal:
The current payroll and personnel system and the Treasury Integrated
Management Information System (TIMIS) master files are kept on
magnetic media. Information rendered to hard copy in the form of
reports and payroll information documentation is also retained in
automated magnetic format. Employee records are retained in automated
form for as long as the employee is active on the system (separated
employee records are maintained in an ``inactive'' status). Files are
purged in accordance with Treasury Directives Manual TD 25-02,
``Records Disposition Management Program.''
System manager(s) and address:
Director, Treasury Integrated Management Information System (System
Manager for TIMIS), 1500 Pennsylvania Avenue, NW, Treasury Annex
Building, Room 4153-Annex, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are identified in this
system, or to gain access to records maintained in the system, must
submit a written request containing the following elements: (1)
Identification of the record system; (2) identification of the
category and types of records sought; and (3) at least two items of
secondary identification (e.g. employee name and date of birth ,
employee identification number, date of employment or similar
information). The individual's identity must be verified by one other
identifier, such as a photocopy of a driver's license or other
official document bearing the individual's signature. Alternatively, a
notarized statement may be provided. Address inquiries to Assistant
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Avenue, NW, Room 1054- MT, Washington, DC 20220.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The information contained in these records is provided by or verified
by the subject of the record, supervisors, and non-Federal sources
such as private employers.
Exemptions claimed for the system:
None.
Treasury/DO .004
System name:
Personnel Security System--Treasury/DO.
System location:
For individuals in category (a), Room 1302 Main Treasury Building,
1500 Pennsylvania Avenue, NW., Washington, DC 20220. For individuals
in category (b), Room 1322 Main Treasury Building, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
Categories of individuals covered by the system:
(a) Current and former senior officials of the Department and
Treasury bureaus, and those within the Department who are involved in
Personnel Security matters. (b) Current and former government
employees or applicants occupying or applying for sensitive positions
in the Department.
Categories of records in the system:
(1) Background investigations, (2) FBI and other agency name checks,
and (3) investigative information relating to personnel investigations
conducted by the Department of the Treasury and other Federal agencies
and departments on preplacement and postplacement basis to make
suitability and employability determinations and for granting security
clearances. Card records comprised of Notice of Personnel Security
Investigation (TD F 67-32.2) or similar, previously used card indexes,
and an automated data system reflecting identification data on
applicants, incumbents and former employees, and record type of E.O.
10450 investigations and degree and date of security clearance, if
any, as well as status of investigations.
Authority for maintenance of the system:
E.O. 10450, sections 2 and 3, and E.O. 12356, part 4.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
disclose information to departmental officials or other Federal
agencies relevant to, or necessary for, making suitability or
employability retention or security clearance determinations.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, index cards, and magnetic media.
Retrievability:
Records are retrieved by name.
Safeguards:
Records are stored in locked metal containers and in locked rooms.
They are limited to officials who have a need to know in the
performance of their official duties.
Retention and disposal:
Active files are retained during incumbent tenure and are subject to
update personnel investigation. Files of employees who effect intra-
agency transfers (between Treasury bureaus) are automatically
transferred to the gaining bureaus. When an employee transfers to
another government agency or leaves the Federal government, files are
retained, separate from the active files, for five years. Background
investigations completed by OPM may be returned to that agency or
destroyed. Card indexes are periodically updated to reflect changes
and maintained as long as needed.
System manager(s) and address:
Director of Security, Room 1302 Main Treasury Building, 1500
Pennsylvania Avenue, NW, Washington, DC 20220.
Notification procedure:
Individuals wishing to be informed if they are named in this system
or gain access to records maintained in the system must submit a
written, signed 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 (date of birth, employee identification number, dates
of employment, or similar information). Address inquiries to Assistant
Director, Disclosure Services (see ``Record access procedures''
below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054 MT, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The information provided or verified by applicants or employees whose
files are on record as authorized by those concerned, information
obtained from current and former employers, co-workers, neighbors,
acquaintances, educational records and instructors, and police and
credit record checks.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), through (e)(4)(I), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(5).
Treasury/DO .005
System name:
Grievance Records--Treasury/DO.
System location:
These records are located in personnel or designated offices in the
bureaus in which the grievances were filed.
Categories of individuals covered by the system:
Current or former Federal employees who have submitted grievances
with their bureaus in accordance with part 771 of the Office of
Personnel Management's (OPM) regulations (5 CFR part 771), the
Treasury Employee Grievance System (TPM Chapter 771), or a negotiated
procedure.
Categories of records in the system:
The system contains records relating to grievances filed by Treasury
employees under part 771 of the OPM's regulations. These case files
contain all documents related to the grievance including statements of
witnesses, reports of interviews and hearings, examiner's findings and
recommendations, a copy of the original and final decision, and
related correspondence and exhibits. This system includes files and
records of internal grievance and arbitration systems that bureaus
and/or the Department may establish through negotiations with
recognized labor organizations.
Authority for maintenance of the system:
5 U.S.C. 1302, 3301, 3302; E.O. 10577; 3 CFR 1954-1958 Comp., p. 218;
E.O. 10987; 3 CFR 1959-1963 Comp., p. 519; agency employees, for
personal relief in a matter of concern or dissatisfaction which is
subject to the control of agency management.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and 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
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2) to
disclose information to any source from which additional information
is requested in the course of processing in a grievance, to the extent
necessary to identify the individual, inform the source of the
purpose(s) of the request, and identify the type of information
requested; (3) to disclose information to a Federal agency, in
response to its request, in connection with the hiring or retention of
an individual, the issuance of a security clearance, the conducting of
a security or suitability 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 requesting
the agency's decision on the matter; (4) to provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (5) to disclose
information to another Federal agency or to a court when the
Government is party to a judicial proceeding before the court; (6) by
the National Archives and Records Administration in records management
inspections conducted under authority of 44 U.S.C. 2904 and 2908; (7)
by the bureau maintaining the records of the Department in the
production of summary descriptive statistics and analytical studies in
support of the function for which the records are collected and
maintained, or for related work force studies. While published
statistics and studies do not contain individual identifiers, in some
instances the selection of elements of data included in the study may
be structured in such a way as to make the data individually
identifiable by inference; (8) to disclose information to officials of
the Merit Systems Protection Board, including the Office of the
Special Counsel, the Federal Labor Relations Authority and its General
Counsel, the Equal Employment Opportunity Commission, or the Office of
Personnel Management when requested in performance of their authorized
duties; (9) to disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing Counsel or witnesses in the course
of civil discovery, litigation or settlement negotiations in response
to a subpoena, or in connection with criminal law proceedings; (10) to
provide information to officials of labor organizations reorganized
under the Civil Service Reform Act when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
By the names of the individuals on whom they are maintained.
Safeguards:
Lockable metal filing cabinets to which only authorized personnel
have access.
Retention and disposal:
Disposed of 3 years after closing of the case. Grievances filed
against disciplinary adverse actions are retained by the United States
Secret Service for 4 years. Disposal is by shredding or burning.
System manager(s) and address:
ATF (Alcohol, Tobacco and Firearms) Chief, Personnel Division, 1200
Pennsylvania Avenue, NW, Room 1211, Washington, DC 20226.
CUSTOMS Director, Office of Human Resources, 2120 L Street, NW
Washington, DC 20229.
E&P (Engraving and Printing) Chief, Office of Industrial Relations,
14th & C Streets, SW, Room 202-13A, E&P Annex, Washington, DC 20228.
FLETC (Federal Law Enforcement Training Center) Personnel Officer,
Building 94, Room 1F-14, Glynco, GA 31524.
FMS (Financial Management Service) Director, Personnel Management
Division, 401 14th Street, SW, Room 444, Liberty Loan Bldg.,
Washington, DC 20227
IRS (Internal Revenue Service) Director, Human Resources Division,
1111 Constitution Avenue, NW, Room 1408 IR, Washington, DC 20224.
DO (Departmental Offices) Chief, Personnel Resources, Room 1316 MT,
1500 Pennsylvania Ave., NW, Washington, DC 20220
PD (Public Debt) Director, Personnel Management Division, 300 13th
Street, SW, Room 446-4, E&P Annex, Washington, DC 20239.
SS (Secret Service) Chief, Personnel Division, 1800 G Street, NW,
Room 901, Washington DC 20223.
Mint Assistant Director for Personnel, 633 3rd Street, NW, Room 651,
Washington, DC 20004.
OCC (Office of Comptroller of the Currency) Director, Human
Resources, 250 E Street, SW, Washington, DC 20219.
OTS (Office of Thrift Supervision) Director, Human Resources
Division, 2nd Floor, 1700 G Street, NW, Washington, DC 20552
Records pertaining to administrative grievances filed at the
Departmental level: Director, Office of Personnel Policy, Room 4150-
Annex, Pennsylvania Ave. at Madison Place, NW, Washington, DC 20220.
Notification procedure:
It is required that individuals submitting grievances be provided a
copy of the record under the grievance process. They may, however,
contact the agency personnel or designated office where the action was
processed, regarding the existence of such records on them. They must
furnish the following information for their records to be located and
identified: (1) Name, (2) date of birth, (3) approximate date of
closing of the case and kind of action taken, (4) organizational
component involved.
Record access procedures:
It is required that individuals submitting grievances be provided a
copy of the record under the grievance process. However, after the
action has been closed, an individual may request access to the
official copy of the grievance file by contacting the bureau personnel
or designated office where the action was processed. Individuals must
provide the following information for their records to be located and
identified: (1) Name, (2) date of birth, (3) approximate date of
closing of the case and kind of action taken, (4) organizational
component involved.
Contesting record procedures:
Review of requests from individuals seeking amendment of their
records which have been the subject of a judicial or quasi-judicial
action will be limited in scope. Review of amendment requests of these
records will be restricted to determining if the record accurately
documents the action of the agency ruling on the case, and will not
include a review of the merits of the action, determination, or
finding. Individuals wishing to request amendment to their records to
correct factual errors should contact the bureau personnel or
designated office where the grievance was processed. Individuals must
furnish the following information for their records to be located and
identified: (1) Name, (2) date of birth, (3) approximate date of
closing of the case and kind of action taken, (4) organizational
component involved.
Record source categories:
Information in this system of records is provided: (1) By the
individual on whom the record is maintained, (2) by testimony of
witnesses, (3) by agency officials, (4) from related correspondence
from organizations or persons.
Exemptions claimed for the system:
None.
Treasury/DO .007
System name:
General Correspondence Files--Treasury/DO.
System location:
Departmental Offices, Department of the Treasury, 1500 Pennsylvania
Ave., NW, Washington, DC 20220. Components of this record system are
in the following offices within the Departmental Offices:
Office of Foreign Assets Control
Office of Tax Policy
Office of the Assistant Secretary for International Affairs
Office of the Executive Secretariat
Office of Public Correspondence
Office of Legislative Affairs
Categories of individuals covered by the system:
Members of Congress, U.S. Foreign Service officials, officials and
employees of the Treasury Department, officials of municipalities and
state governments, and the general public, foreign nationals, members
of the news media, businesses, officials and employees of other
Federal Departments and agencies.
Categories of records in the system:
Incoming correspondence and replies pertaining to the mission,
function, and operation of the Department, tasking sheets, and
internal Treasury memorandum.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The manual systems and/or electronic databases (e.g., Treasury
Automated Document System (TADS))used by the system managers are to
manage the high volume of correspondence received by the Departmental
Offices and to accurately respond to inquiries, suggestions, views and
concerns expressed by the writers of the correspondence. It also
provides the Secretary of the Treasury with sentiments and statistics
on various topics and issues of interest to the Department.
Routine uses of records maintained in the system including categories of
users and the purposes of such uses:
These records and information in these records may be used to: (1)
Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (2) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (3) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (4) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (5) provide information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license; (6)
provide information to a court, magistrate, or administrative tribunal
in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Paper records, file folders and magnetic media.
Retrievability:
By name of individual or letter number, address, assignment control
number, or organizational relationship.
Safeguards:
Access is limited to authorized personnel with a direct need to know.
Rooms containing the records are locked after business hours. Some
folders are stored in locked file cabinets in areas of limited
accessibility except to employees. Others are stored in electronically
secured areas and vaults. Access to electronic records is by password.
Retention and disposal:
Some records are maintained for three years, then destroyed by
burning. Other records are updated periodically and maintained as long
as needed. Some electronic records are periodically updated and
maintained for two years after date of response; hard copies of those
records are disposed of after three months in accordance with the NARA
schedule. Paper records of the Office of the Executive Secretary are
stored indefinitely at the Federal Records Center.
System manager(s) and address:
Director, Office of Foreign Assets Control, U.S. Treasury Department,
Room 2233, Treasury Annex, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Freedom of Information Act Officer, or Director, Correspondence Unit,
Office of Tax Policy, U.S. Treasury Department, Room 1124-MT, 1500
Pennsylvania Ave., NW, Washington, DC 20220
Director, OASIA Secretariat, U.S. Treasury Department, Room 5422-MT,
1500 Pennsylvania Ave., NW, Washington, DC 20220
Office of the Executive Secretariat, U.S. Treasury Department, Room
3419-MT, Washington, DC 20220
Director, Office of Public Correspondence, U.S. Treasury Department,
Room 2124-MT, Washington, DC 20220
Director, Office of Legislative Affairs, U.S. Treasury Department,
Room 3132-MT, Washington, DC 20220
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in this system may
inquire in accordance with instructions appearing at 31 CFR part 1,
subpart C, appendix A. Individuals 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 (date of birth, employee
identification number, dates of employment or similar information).
Address inquiries to Assistant Director, Disclosure Services (see
``Record access procedures'' below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Members of Congress or other individuals who have corresponded with
the Departmental Offices, other governmental agencies (Federal, state
and local), foreign individuals and official sources.
Exemptions claimed for the system:
None.
Treasury/DO .010
System name:
Office of Domestic Finance, Actuarial Valuation System--Treasury/DO.
System location:
Departmental Offices, Office of Government Financing, Office of the
Government Actuary, 1500 Pennsylvania Avenue, NW, Washington, DC
20220.
Categories of individuals covered by the system:
Participants and beneficiaries of the Foreign Service Retirement and
Disability System and the Foreign Service Pension System. Covered
employees are located in the following agencies: Department of State,
Department of Agriculture, United States Information Agency, Agency
for International Development, Peace Corps, and the Department of
Commerce.
Categories of records in the system:
Information in the system is as follows: Active Records: Name; social
security number; salary; category-grade; year of entry into system;
service computation date; year of birth; year of resignation or year
of death, and refund if any; indication of LWOP status (if any);
Retired Records: same as actives; annuity; year of separation; cause
of separation (optional, disability, deferred, etc.); years and months
of service by type of service; single or married; spouse's year of
birth; principal's year of death; number of children on annuity roll;
children's years of birth and annuities.
Authority for maintenance of the system:
22 U.S.C. 1101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Data regarding specific individuals is released only to the
contributing agency for purposes of verification.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data are on computer tapes and computer printouts.
Retrievability:
Alphabetically.
Safeguards:
Records are stored in the Actuary's office. Access is restricted to
employees of the Office of the Government Actuary.
Retention and disposal:
Records are retained on a year-to-year basis. When agencies whose
pension funds are valued forward new records for valuation, older
records are discarded.
System manager(s) and address:
The Government Actuary, Departmental Offices, 1500 Pennsylvania Ave.,
NW, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system 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 (date of birth, employee identification number, dates
of employment or similar information). Address inquiries to Assistant
Director, Disclosure Services (see ``Record access procedures''
below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Data for actuarial valuation are provided by organizations
responsible for pension funds listed under ``category of individual,''
namely the Department of State, Department of Agriculture, United
States Information Agency, Agency for International Development, Peace
Corps, and the Department of Commerce.
Exemptions claimed for the system:
None.
Treasury/DO .060
System name:
Correspondence files and records on employee complaints and/or
dissatisfaction--Treasury/DO.
System location:
Office of Personnel Policy, Room 4150-Annex, Pennsylvania Avenue at
Madison Place, NW, Washington, DC 20220.
Categories of individuals covered by the system:
Former and current Department employees who have submitted complaints
to the Office of Personnel or whose correspondence concerning a matter
of dissatisfaction has been referred to the Office of Personnel.
Categories of records in the system:
Correspondence dealing with former and current employee complaints.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose pertinent information to appropriate Federal, state, and
local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential
civil or criminal law or regulation; (2) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (3) provide information to
unions recognized as exclusive bargaining representatives under the
Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114; (4) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, file cabinets.
Retrievability:
By bureau and employee name.
Safeguards:
Maintained in filing cabinet and released only to Office of Personnel
staff or other Treasury officials on a need-to-know basis.
Retention and disposal:
Records are maintained and disposed of in accordance with Department
of the Treasury Directive 25-02, ``Records Disposition Management
Program'' and the General Records Schedule.
System manager(s) and address:
Director, Office of Personnel Policy, Department of the Treasury,
Room 4150-Annex Pennsylvania Avenue at Madison Place NW, Washington,
DC 20220.
Notification procedure:
Persons inquiring as to the existence of a record on themselves may
contact: Assistant Director, (Human Relations) Department of the
Treasury, Room 4150-Annex, Pennsylvania Avenue at Madison Place, NW,
Washington, DC 20220. The inquiry must include the individual's name
and employing bureau.
Record access procedures:
Persons seeking access to records concerning themselves may contact:
The Director, Office of Personnel Policy, Department of the Treasury,
Room 4150-Annex, Pennsylvania Avenue at Madison Place, NW, Washington,
DC 20220. The inquiry must include the individual's name and employing
bureau.
Contesting record procedures:
Individuals wishing to request amendment to their records to correct
factual error should contact the Director of Personnel at the address
shown in Access, above. They must furnish the following information:
(a) Name; (b) employing bureau; (c) the information being contested;
(d) the reason why they believe information is untimely, inaccurate,
incomplete, irrelevant, or unnecessary.
Record source categories:
Current and former employees, and/or representatives, employees'
relatives, Congressmen, the White House, management officials.
Exemptions claimed for the system:
None.
Treasury/DO .062
System name:
Executive Inventory Files--Treasury/DO.
System location:
Room 4150-Annex, Pennsylvania Ave. at Madison Place, NW, Washington,
DC 20220.
Categories of individuals covered by the system:
All SES and GS-16, 17 and 18 employees of the Department of the
Treasury.
Categories of records in the system:
A brief description of identifying biographical data, work
experience, education, professional activities, honors, special
qualifications and references.
Authority for maintenance of the system:
Executive Order 11315.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The records in this system may be disclosed to a Congressional office
in order to compile statistical information on SES participants.
Information in the records may also be shared with the Office of
Personnel Management and other Federal agencies in compiling reports
or to correct information maintained by OPM on Treasury Executives.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinets.
Retrievability:
Numerically by bureau and position number.
Safeguards:
Access is limited to authorized Treasury personnel and management
officials on a need-to-know basis.
Retention and disposal:
The records are kept as long as the employee is assigned to an SES or
GS-16, 17, or 18 position, except for employees who retire. The
records on retirees are kept for approximately one year from their
date of retirement. The records are destroyed by burning.
System manager(s) and address:
Director, Office of Personnel Policy, Room 4150-Annex, Pennsylvania
Ave. at Madison Place, NW, Washington, DC 20220.
Notification procedure:
Director, Office of Personnel Policy, Room 4150-Annex, Pennsylvania
Ave. at Madison Place, NW, Washington, DC 20220. The individual needs
to provide his/her name, present organizational assignment, position
title and grade.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The SF-171 is provided by the employee to their servicing personnel
office.
Exemptions claimed for the system:
None.
Treasury/DO .065
System name:
Appointment at Above the Minimum Rate of the Grade Files--Treasury/
DO.
System location:
Room 4150-Annex, Pennsylvania Ave. at Madison Place, NW, Washington,
DC 20220.
Categories of individuals covered by the system:
Persons proposed for employment by the Department of the Treasury at
a salary rate above the minimum rate of the grade that exceeds by 20%
the applicant's current pay.
Categories of records in the system:
A collection of documents required for requesting approval of
appointments at a salary rate above the minimum rate of the grade that
exceed the 20% limit, including: Personal Qualifications Statement
(SF-171); Position Description (OF-8); letters of justification;
application form showing current salary; documentation of appointment
authority; and general correspondence requesting approval of the
action.
Authority for maintenance of the system:
5 U.S.C. 5333.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The information may be used for review/audit purposes by the Office
of Personnel Management.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinets.
Retrievability:
Indexed by name in log and filed chronologically.
Safeguards:
Access is limited to authorized Treasury personnel and management
officials on a need-to-know basis.
Retention and disposal:
Records are retained for two years and are destroyed by standard
destruction methods including burning.
System manager(s) and address:
Director, Office of Personnel Policy, Room 4150-Annex, Pennsylvania
Ave. at Madison Place, NW, Washington, DC 20220.
Notification procedure:
Director, Office of Personnel Policy, Room 4150-Annex, Pennsylvania
Ave. at Madison Place, NW, Washington, DC 20220. The individual is
required to provide his/her name and the Treasury organizational
assignment, position title, grade/salary, and date of most recent
appointment above the minimum rate of the grade requested.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The documents which constitute this system, and which are listed
under Categories of Records, came from the individual applicant, his/
her servicing personnel office, the Office of Personnel Management,
and other concerned management officials within the Department of the
Treasury.
Exemptions claimed for the system:
None.
Treasury/DO .067
System name:
Detailed Employee Files--Treasury/DO.
System location:
Room 4150-Annex, Pennsylvania Ave. at Madison Place, NW, Washington,
DC 20220.
Categories of individuals covered by the system:
Department of the Treasury employees whose detail to other positions,
or other Government employees whose details to the Department of the
Treasury, require approval at the Departmental level.
Categories of records in the system:
Correspondence requesting approval of details and Request for
Personnel Action (SF-52) which documents the detail and reflects
approval of it. In some instances there may also be a Personal
Qualifications Statement (SF-171), and attachments, Position
Description (OF-8), and Request for Approval of Non-Competitive Action
(SF-59).
Authority for maintenance of the system:
5 U.S.C. 3341-3349.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be disclosed to a Congressional office in response
to an inquiry made at the request of the individual to whom the record
pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinets.
Retrievability:
Automated index listed chronologically by approval date.
Safeguards:
Access is limited to authorized Treasury personnel and management
officials on a need-to-know basis.
Retention and disposal:
Records are retained for 2 years and are destroyed by standard
destruction methods including burning.
System manager(s) and address:
Director, Office of Personnel Policy, Room 4150-Annex, Pennsylvania
Ave. at Madison Place, NW, Washington, DC 20220.
Notification procedure:
Director, Office of Personnel Policy, Room 4150-Annex, Pennsylvania
Ave. at Madison Place, NW, Washington, DC 20220. The individual is
required to provide his/her name and the Treasury organizational
assignment, position title, grade/salary, and approximate date of the
detail requested requiring approval at the Departmental level.
Record access procedures:
Director, Office of Personnel Policy, Room 4150-Annex, Pennsylvania
Ave. at Madison Place, NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The documents which constitute this system, and which are listed
under Categories of Records, came from the employee's servicing
personnel office, and other concerned management officials within the
Department of the Treasury.
Exemptions claimed for the system:
None.
Treasury/DO .068
System name:
Time-In-Grade Exception Files--Treasury/DO.
System location:
Room 1325-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
Persons employed by, or proposed for employment by, the Department of
the Treasury and for whom an exception to Time-In-Grade Restrictions
is sought.
Categories of records in the system:
A collection of documents required for approval of exceptions to
Time-In-Grade Requirements including: Request for Approval of Non-
Competitive Action (SF-59); Personal Qualifications Statement (SF-
171); Position Description (OF-8); and, in some instances, Request for
Personnel Action (SF-52); and memoranda of justification.
Authority for maintenance of the system:
5 U.S.C. 301, and 5 U.S.C. 1104.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from these records may be disclosed to (1) the Office of
Personnel Management for audit of exceptions granted, and (2) a
Congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinet.
Retrievability:
Indexed by name in log and filed chronologically.
Safeguards:
Access is limited to authorized Treasury personnel and management
officials on a need-to-know basis.
Retention and disposal:
Records are retained for 2 years and are destroyed by standard
destruction methods including burning.
System manager(s) and address:
Director, Personnel Resources, Room 1316-MT, 1500 Pennsylvania Ave.,
NW, Washington, DC 20220.
Notification procedure:
Director, Personnel Resources, Room 1316-MT, 1500 Pennsylvania Ave.,
NW, Washington, DC 20220. The individual is required to provide his/
her name and the Treasury organizational assignment, position title,
grade/salary, and approximate date of the Time-In-Grade exception
requested.
Record access procedures:
Director, Personnel Resources Directorate, Room 1316-MT, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The documents which constitute this system, and which are listed
under Categories of Records, came from the individual employee or
applicant, his servicing personnel office, and other concerned
management officials within the Department of the Treasury.
Exemptions claimed for the system:
None.
Treasury/DO .070
System name:
Automated Systems Division, ASD Project Recording System--Treasury/
DO.
System location:
Room B-91, Main Treasury, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Categories of individuals covered by the system:
Personnel in Automated Systems Division.
Categories of records in the system:
List of projects and time spent on each project. List of projected
project milestone dates and actual dates completed.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper, magnetic media.
Retrievability:
Indexed by project. Retrieved by project, name or code identifier.
Safeguards:
Under supervision of responsible manager during working hours. Room
locked at other times.
Retention and disposal:
Retained 18 months, then erased or discarded.
System manager(s) and address:
Director, Automated Systems Division, Room 1136, Main Treasury, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
Notification procedure:
Director, Automated Systems Division, Room 1136, Main Treasury, 1500
Pennsylvania Ave., NW, Washington, DC 20220. Identifying information -
name.
Record access procedures:
Written request to: Automated Systems Division, Room 1136, Main
Treasury, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information is furnished by ASD staff members.
Exemptions claimed for the system:
None.
Treasury/DO 111
System name:
Office of Foreign Assets Control Census Records--Treasury/DO.
System location:
Office of Foreign Assets Control Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Although most reporters in the Census in this system of records are
not individuals, such censuses reflect some small number of U.S.
individuals as holders of assets subject to U.S. jurisdiction which
are blocked under the various sets of Treasury Department regulations
involved.
Categories of records in the system:
Reports of several censuses of U.S.-based, foreign-owned assets which
have been blocked at any time since 1940 under Treasury Department
regulations found under 31 CFR subpart B, chapter V.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 22 U.S.C. 2370(a); 50 U.S.C. 1701 et seq.; and
31 CFR Chapter V.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to appropriate state agencies which are concerned
with or responsible for abandoned property; (2) disclose information
to foreign governments in accordance with formal or informal
international agreements; (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) provide information to third parties
during the course of an investigation to the extent necessary to
obtain information pertinent to the investigation; (5) provide certain
information to appropriate senior foreign-policy-making officials in
the Department of State.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
1950 Census of Blocked Chinese Assets are stored in folders in file
cabinets in the offices of Foreign Assets Control, and at the Federal
Records Center; 1964 Census of Blocked Cuban Assets are stored in
folders in file cabinets; 1970 Census of Blocked Chinese Assets are
stored in folders and on computer printout in file cabinets; 1980
censuses of Iranian Assets and Iranian Claims are stored in folders
and on magnetic tape in file cabinets; 1983 comprehensive update of
blocked assets under Foreign Assets Control Regulations, Foreign Funds
Control Regulations, and Cuban Assets Control Regulations are stored
in Treasury computers and in folders in file cabinets; 1986 Libyan
``mini-census'' of blocked assets are stored in file folders and on
computer diskettes.
Retrievability:
By name of holder or custodian or owner of blocked
property.Safeguards: Locked room, or in locked file cabinets located
in areas in which access is limited to Foreign Assets Control
employees. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated and maintained as long as needed.
When no longer needed, records are retired to Federal Records Center
or destroyed in accordance with established procedures.System Manager
and address: Director, Office of Foreign Assets Control, Room 2233-
Annex, Department of the Treasury, NW, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in the system,
must submit a written request containing the following elements: (1)
Identify the record system; (2) identify the category and type of
record sought; and (3) provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Address inquiries to Assistant
Director, Disclosure Services (See ``Record access Procedures''
below.)
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Custodians or other holders of blocked assets.
Exemptions claimed for the system:
None.
Treasury/DO .114
System name:
Foreign Assets Control Enforcement Records--Treasury/DO.
System location:
Office of Foreign Assets Control, Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Individuals who have engaged in or who are suspected of having
engaged in transactions and activities prohibited by Treasury
Department regulations found at 31 CFR subpart B, chapter V.
Categories of records in the system:
Documents related to suspected or actual violations of relevant
statutes and regulations administered by the Office of Foreign Assets
Control.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 50 U.S.C. 1701 et. seq.; 22 U.S.C. 287(c); 22
U.S.C. 2370(a); and 31, CFR, chapter V; 100 Stat. 1086, as amended by
H.J. Res. 756, Pub. L. 99-631.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to appropriate Federal agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order or license; (2)
disclose information to a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's official functions; (3) disclose
information to a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosure to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations or in response to a subpoena or in connection
with criminal law proceedings; (4) disclose information to foreign
governments in accordance with formal or informal international
agreements; (5) provide information to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and magnetic media.
Retrievability:
By name of individual.
Safeguards:
Folders in locked file cabinets are located in areas of limited
accessibility. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated and are maintained as long as
necessary. When no longer needed, records are retired to Federal
Records Center or destroyed in accordance with established procedures.
System manager(s) and address:
Director, Office of Foreign Assets Control, Room 2233-Annex, U.S.
Treasury Department, Washington, DC 20220
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record access procedures:
This system of records may not be accessed for purposes of inspection
or for contest of content of records.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
From the individual, from the Office of Foreign Assets Control
investigations, and from other federal, state or local agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4),
(G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2).
Treasury/DO .118
System name:
Foreign Assets Control Licensing Records--Treasury/DO.
System location:
Office of Foreign Assets Control, Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Applicants for permissive and authorizing licenses under Treasury
Department regulations found at 31 CFR subpart B, chapter V.
Categories of records in the system:
Applications for Treasury licenses-together with related and
supporting documentary material and copies of licenses issued.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 22 U.S.C. 2370(a); 22 U.S.C. 287(c); 50 U.S.C.
1701 et seq.; 31 CFR, chapter V; 100 Stat. 1086, as amended by H.J.
Res. 756, Pub. L. 99-631.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to appropriate Federal, state, local, or foreign
agencies responsible for investigating or prosecuting the violation
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license; (2) disclose information to the Department of
State, Commerce, Defense or other federal agencies, in connection with
Treasury licensing policy or other matters of mutual interest or
concern; (3) disclose information to a Federal, State, or local
agency, maintaining civil, criminal or other relevant enforcement or
other pertinent information, which has requested information relevant
to or necessary to the requesting agency's official functions; (4)
disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosure to
opposing counsel or witnesses, in the course of civil discovery,
litigation, or settlement negotiations in response to a subpoena or in
connection with criminal law proceedings; (5) disclose information to
foreign governments in accordance with formal or informal
international agreements; (6) provide information to a Congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and magnetic media.
Retrievability:
The records are retrieved by license or letter number.
Safeguards:
Folders in locked filed cabinets are located in areas of limited
accessibility. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed. When no longer needed, records are retired to Federal
Records Center or destroyed in accordance with established procedures.
System manager(s) and address:
Director, Office of Foreign Assets Control, Room 2233-Annex,
Department of the Treasury, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in the system of
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 (date of birth, employee identification
number, dates of employment or similar information). Address inquiries
to Assistant Director, Disclosure Services (See ``Record access
procedures'' below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Applicants for Treasury Department licenses under regulations
administered by the Office of Foreign Assets Control.
Exemptions claimed for the system:
None.
Treasury/DO .144
System name:
General Counsel Litigation Referral and Reporting System--Treasury/
DO.
System location:
U.S. Department of the Treasury,, Office of the General Counsel, 1500
Pennsylvania Avenue NW, Washington, DC 20220.
Categories of individuals covered by the system:
Persons who are parties, plaintiff or defendant, in civil litigation
or administrative proceedings involving or concerning the Department
of the Treasury or its officers or employees. The system does not
include information on every civil litigation or administrative
proceeding involving the Department of the Treasury or its officers
and employees.
Categories of records in the system:
This system of records consists of index cards and a computer data
base containing information related to litigation or administrative
proceedings involving or concerning the Department of the Treasury or
its officers or employees.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, or
foreign agencies responsible for investigating or prosecuting the
violations of, or for implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an
indication of a violation or potential violation of civil or criminal
law or regulation; (2) disclose information to a Federal, State, or
local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations in response
to a subpoena or in connection with criminal law proceedings; (4)
disclose information to foreign governments in accordance with formal
or informal international agreements; (5) provide information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains; (6) provide information to
the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The index cards are maintained in a file box. The computerized
records are maintained in computer data banks and printouts.
Retrievability:
The index cards are filed alphabetically by the name of the non-
government party involved in the case. The computer information is
accessible by case number and docket number.
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel.
Retention and disposal:
The index cards are maintained during the pending litigation and for
approximately three years thereafter. They are then destroyed. The
computer information is maintained during the pending litigation and
for approximately three years thereafter.
System manager(s) and address:
Associate General Counsel (Legislation, Litigation, and Regulation),
Office of the General Counsel, Department of the Treasury, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1) An
identification of the record system; and (2) an identification of the
category and type of records sought. This system contains records that
are exempt under 31 CFR l.36; 5 U.S.C. 552a(j)(2); and (k)(2). Address
inquiries to Assistant Director, Disclosure Services, Department of
the Treasury, Room 1054 MT, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Treasury Department Legal Division, Department of Justice Legal
Division.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(d), (e)(1), (e)(3),
(e)(4)(G),(H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2).
Treasury/DO .149
System name:
Foreign Assets Control Legal Files--Treasury/DO.
System location:
U.S. Department of the Treasury, Room 2101-Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Persons who are or who have been parties in litigation involving the
Office of Foreign Assets Control or statutes and regulations
administered by the agency found at 31 CFR subpart B, chapter V.
Categories of records in the system:
Information and documents relating to litigation involving the Office
of Foreign Assets Control or statutes and regulations administered by
the agency.
Authority for maintenance of the system:
31 U.S.C. 301; 50 U.S.C. App. 5(b); 50 U.S.C. 1701 et seq; 22 U.S.C.
278(c); and other statutes relied upon by the President to impose
economic sanctions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Prosecute, defend, or intervene in litigation related to the Office of
Foreign Assets Control and statutes and regulations administered by
the agency; (2) disclose pertinent information to appropriate Federal,
State, local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order or license; (3) disclose information
to a Federal, State, or local agency, maintaining civil, criminal, or
other relevant enforcement information or other pertinent information,
which has requested information relevant to or necessary to the
requesting agency's official functions; (4) disclose information to a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal law proceedings; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Folders in file cabinets and magnetic media.
Retrievability:
By name of private plaintiff or defendant.
Safeguards:
Folders are in lockable file cabinets located in areas of limited
public accessibility. Where records are maintained on computer hard
drives, access to the files is password-protected.
Retention and disposal:
Records are periodically updated and maintained as long as needed.
System manager(s) and address:
Administrative Officer, Room 3006-MT, U.S. Treasury Department,
Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system 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 (date of birth, employee identification number, dates
of employment or similar information).
Record access procedures:
Address inquiries to Assistant Director, Disclosure Services,
Department of the Treasury, Room 1054, 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Pleadings and other materials filed during course of a legal
proceeding, discovery obtained pursuant to applicable court rules;
materials obtained by Office of Foreign Assets Control investigation;
material obtained pursuant to requests made to other Federal agencies;
orders, opinions, and decisions of 2ourts.
Exemptions claimed for the system:
None.
Treasury/DO .150
System name:
Disclosure Records--Treasury/DO.
System location:
Departmental Offices, Department of the Treasury, 1500 Pennsylvania
Ave., NW, Washington DC 20220.
Categories of individuals covered by the system:
Individuals who have submitted requests for information to the
Departmental Offices or who have appealed initial denials to the
requests.
Categories of records in the system:
Requests for records or information pursuant to the Freedom of
Information Act, 5 U.S.C. 552, and/or the Privacy Act, 5 U.S.C. 552a,
internal processing documents, memoranda, and referrals are kept by
the Disclosure Office. Copies of requested records are kept by the
program office responsible for fulfilling the request.
Authority for maintenance of the system:
5 U.S.C. 552, 5 U.S.C. 552a, 31 CFR part 1.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to other agencies when required for coordination
of response or referral; (2) disclose information to the Department of
Justice for defending law suits.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files, magnetic media.
Retrievability:
By name and case number.
Safeguards:
Stored in filing cabinets. Access limited to individuals with need to
know or legitimate right to review.
Retention and disposal:
Retained in accordance with the provisions of the Departmental
records management procedures.
System manager(s) and address:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Deputy Assistant Secretary (Law Enforcement), Department of the
Treasury, Room 4328, 1500 Pennsylvania Ave., NW, Washington, DC 20220
Freedom of Information Act Officer or Director, Correspondence Unit,
Office of Tax Policy, Department of the Treasury, Room 1124, 1500
Pennsylvania Ave., NW, Washington, DC 20220
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system 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 (date of birth, employee identification number, dates
of employment or similar information). Address inquiries to Assistant
Director, Disclosure Services at the above address.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals who make Freedom of Information Act requests, federal
officials responding to Freedom of Information Act requests, and
documents from official records.
Exemptions claimed for the system:
None.
Treasury/DO .156
System name:
Tax Court Judge Applicants--Treasury/DO.
System location:
Department of the Treasury, Office of the General Counsel, Room 3000
MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
Individuals requesting consideration for appointment to Tax Court
judgeships.
Categories of records in the system:
Information concerning the qualification of individuals for
appointment to the Tax Court.
Authority for maintenance of the system:
26 U.S.C. 7443.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from this system may be disclosed to the White House with
recommendations to the President on appointments to the Tax Court.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinets.
Retrievability:
By name of individual.
Safeguards:
The files are kept in locked cabinets with a limited number of
employees permitted access.
Retention and disposal:
The records relating to individuals date from 1981 and are destroyed
at the end of each administration.
System manager(s) and address:
Administrative Officer, Office of the General Counsel, Room 3006-MT,
1500 Pennsylvania Ave., NW, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
records sought; (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information). Address inquiries to Assistant
Director, Disclosure Services (See ``Record access procedures''
below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054 MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Individual concerned and letters of recommendation from other
individuals submitted at the request of the individual and/or the
Department.
Exemptions claimed for the system:
None.
Treasury/DO .183
System name:
Private Relief Tax Bill Files--Office of the Assistant Secretary for
Tax Policy--Treasury/DO.
System location:
Room 4040-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
Individuals who have had private relief tax bills introduced in
Congress on their behalf.
Categories of records in the system:
Congressional Committee or OMB request for Treasury views on proposed
legislation, plus comments on proposal from offices or bureaus of
Treasury, plus the Internal Revenue Service data concerning the issues
involved and that unit's recommendation, and the report of the
Treasury on the Bill.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information from this system may be disclosed to OMB and Congress.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
By bill numbers or name of person for whom relief is sought.
Safeguards:
Access limited to Tax Policy personnel.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed until shipped to National Archives and Records
Administration.
System manager(s) and address:
Technical Information Specialist, Room 4040-MT, 1500 Pennsylvania
Ave., NW, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system 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 (date of birth, employee identification number, dates
of employment or similar information). Address inquiries to Assistant
Director, Disclosure Services (See ``Record access procedures''
below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Principally the Congress and the Internal Revenue Service.
Exemptions claimed for the system:
None.
Treasury/DO .190
System name:
General Allegations and Investigative Records--Treasury/DO.
System location:
Office of the Inspector General, ICC Building, 1201 Constitution
Ave., NW, Washington, DC 20423
Categories of individuals covered by the system:
(A) Current and former employees of the Department of the Treasury
and persons whose association with current and former employees relate
to the alleged violations of the Department's rules of conduct, the
Office of Personnel Management merit system, or any other criminal or
civil misconduct, which affects the integrity or facilities of the
Department of Treasury. The names of individuals and the files in
their names may be: (1) Received by referral; or (2) initiated at the
discretion of the Office of the Inspector General in the conduct of
assigned duties. (B) Individuals who are: Witnesses; complainants;
confidential or nonconfidential informants; suspects; defendants;
parties who have been identified by the Office of the Inspector
General, constituent units of the Department of Treasury, other
agencies, or members of the general public in connection with the
authorized functions of the Inspector General. (C) Current and former
senior Treasury and bureau officials who are the subject of
investigations initiated and conducted by the Office of the Inspector
General.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal or administrative misconduct. (B) Investigative files
which include: (1) Reports of investigations to resolve allegations of
misconduct or violations of law with related exhibits, statements,
affidavits, records or other pertinent documents obtained during
investigations; (2) transcripts and documentation concerning requests
and approval for consensual (telephone and consensual non-telephone)
monitoring; (3) reports from or to other law enforcement bodies; (4)
prior criminal or noncriminal records of individuals as they relate to
the investigations; and (5) reports of actions taken by management
personnel regarding misconduct and reports of legal actions resulting
from violations of statutes referred to the Department of Justice for
prosecution.
Authority for maintenance of the system:
31 U.S.C. 321.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice in connection with
actual or potential criminal prosecution or civil litigation; (2)
disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing a statute, rule,
regulation, order, or license, or where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (3) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an employee, or the
issuance of a security clearance, license, contract, grant, or other
benefit; (4) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations in response
to a subpoena or in connection with criminal law proceedings; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file jackets and magnetic media maintained in locked
safes.
Retrievability:
Alphabetically by name and by case number.
Safeguards:
Records and word processing disks are maintained in locked safes and
all access doors are locked when office is vacant. The records are
available to Office of the Inspector General personnel who have an
appropriate security clearance on a need-to-know basis.
Retention and disposal:
Investigative files are stored on-site for three years and indices to
those files are stored on site for five years. The word processing
disks will be retained indefinitely; however, they will be updated
periodically to reflect changes and will be purged when the
information is no longer required. Upon expiration of their respective
retention periods, the investigative files and their indices are
transferred to the Federal Records Center, Suitland, Maryland, for
storage and in most instances destroyed by burning, maceration or
pulping when 20 years old.
System manager(s) and address:
Inspector General, Room 2412-MT, 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
Notification procedure:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this system of records
may not be accessed for purposes of determining if the system contains
a record pertaining to a particular individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
See ``Categories of individuals'' above. This system contains
investigatory material for which sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552(a)(c)(3)(4), (d)(1)(2)(3)(4),
(e)(1)(2)(3), (4)(G), (H), and (I), (e)(5) and (8), (f) and (g) of the
Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2).
Treasury/DO .191
System name:
OIG Management Information System (MIS).
System location:
Office of Inspector General (OIG), all headquarters, regional and
field offices. (See appendix A.)
Categories of individuals covered by the system:
Current and former employees of the Office of Inspector General.
Categories of records in the system:
(1) MIS Personnel system records contain OIG employee name, office,
start of employment, series/grade, title, separation date; (2) MIS
tracking records contain status information on audits, investigations
and other projects from point of request or annual planning through
follow-up and closure; (3) MIS Timekeeping records contain assigned
projects and distribution of time; (4) MIS Equipment Inventory records
contain assigned equipment; (5) MIS Travel records contain dates, type
of travel and costs; (6) MIS Training records contain dates, title of
training, and costs.
Authority for maintenance of the system:
Inspector General Act of 1978 (Pub. L. 95-452), as amended, 5 U.S.C.
301 and 31 U.S.C. 321.
Purpose(s):
The purpose of the MIS system is to: (1) Manage effectively OIG
resources and projects; (2) capture accurate statistical data for
mandated reports to the Secretary of the Treasury, the Congress, the
Office of Management and Budget, the General Accounting Office, the
President's Council on Integrity and Efficiency and other federal
agencies; and (3) provide accurate information critical to the OIG's
daily operation, including employee performance and conduct.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) A record from the system of records, which indicates, either by
itself or in combination with other information, a violation or
potential violation of law, whether civil or criminal, and whether
arising by statute, regulation, rule or order issued pursuant thereto,
may be disclosed to a Federal, State, local, or foreign agency or
other public authority that investigates or prosecutes or assists in
investigation or prosecution of such violation, or enforces or
implements or assists in enforcement or implementation of the statute,
rule, regulation or order. (2) A record from the system of records may
be disclosed to a Federal, State, local, or foreign agency or other
public authority, or to private sector (i.e., non-Federal , State, or
local government) agencies, organizations, boards, bureaus, or
commissions, which maintain civil, criminal, or other relevant
enforcement records or other pertinent records, such as current
licenses in order to obtain information relevant to an agency
investigation, audit, or other inquiry, or relevant to a decision
concerning the hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, the issuance of a license, grant or other benefit, the
establishment of a claim, or the initiation of administrative, civil,
or criminal action. Disclosure to the private sector may be made only
when the records are properly constituted in accordance with agency
requirements; are accurate, relevant, timely and complete; and the
disclosure is in the best interest of the Government. (3) A record
from the system of records may be disclosed to a Federal, State,
local, or foreign agency or other public authority, or private sector
(i.e., non-Federal, State, or local government) agencies,
organizations, boards, bureaus, or commissions, if relevant to the
recipient's hiring or retention of an employee or other personnel
action, the issuance of a security clearance, the letting of a
contract, the issuance of a license, grant or other benefit, the
establishment of a claim, or the initiation of administrative, civil,
or criminal action. Disclosure to the private sector may be made only
when the records are properly constituted in accordance with agency
requirements; are accurate, relevant, timely and complete; and the
disclosure is in the best interest of the Government. (4) A record
from the system of records may be disclosed to any source, private or
public, to the extent necessary to secure from such source information
relevant to a legitimate agency investigation, audit, or other
inquiry. (5) A record from the system of records may be disclosed to
the Department of Justice when the agency or any component thereof, or
any employee of the agency in his or her official capacity, or any
employee of the agency in his or her individual capacity where the
Department of Justice has agreed to represent the employee, or the
United States, where the agency determines that litigation is likely
to affect the agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice is deemed by the agency to be
relevant and necessary to the litigation and the use of such records
by the Department of Justice is therefore deemed by the agency to be
for a purpose that is compatible with the purpose for which the agency
collected the records. (6) A record from the system of records may be
disclosed in a proceeding before a court or adjudicative body, when
the agency, or any component thereof, or any employee of the agency in
his or her official capacity, or any employee of the agency in his or
her individual capacity where the agency has agreed to represent the
employee, or the United States, where the agency determines that
litigation is likely to affect the agency or any of its components, is
a party to litigation or has an interest in such litigation, and the
agency determines that use of such records is relevant and necessary
to the litigation and the use of such records is therefore deemed by
the agency to be for a purpose that is compatible with the purpose for
which the agency collected the records. (7) A record from the system
of records may be disclosed to a Member of Congress from the record of
an individual in response to an inquiry from the Member of Congress
made at the request of that individual. (8) A record from the system
of records may be disclosed to the Department of Justice and the
Office of Government Ethics for the purpose of obtaining advice
regarding a violation or possible violation of statute, regulation,
rule or order or professional ethical standards. (9) A record from the
system of records may be disclosed to the Office of Management and
Budget for the purpose of obtaining its advice regarding agency
obligations under the Privacy Act, or in connection with the review of
private relief legislation. (10) A record from the system of records
may be disclosed in response to a subpoena issued by a Federal agency
having the power to subpoena records of other Federal agencies if,
after careful review, the OIG determines that the records are both
relevant and necessary to the requesting agency's needs and the
purpose for which the records will be used is compatible with the
purpose for which the records were collected. (11) A record from the
system of records may be disclosed to a private contractor for the
purpose of compiling, organizing, analyzing, programming, or otherwise
refining records subject to the same limitations applicable to U.S.
Department of Treasury officers and employees under the Privacy Act.
(12) A record from the system of records may be disclosed to a grand
jury agent pursuant either to a Federal or State grand jury subpoena,
or to a prosecution request that such record be released for the
purpose of its introduction to a grand jury provided that the Grand
Jury channels its request through the cognizant U.S. Attorney, that
the U.S. Attorney has been delegated the authority to make such
requests by the Attorney General, that she or he actually signs the
letter specifying both the information sought and the law enforcement
purpose served. In the case of a State Grand Jury subpoena, the State
equivalent of the U.S. Attorney and Attorney General shall be
substituted. (13) A record from the system of records may be disclosed
to a Federal agency responsible for considering suspension or
debarment action where such record would be relevant to such action.
(14) A record from the system of records may be disclosed to an entity
or person, public or private, where disclosure of the record is needed
to enable the recipient of the record to take action to recover money
or property of the United States Department of the Treasury, where
such recovery will accrue to the benefit of the United States, or
where disclosure of the record is needed to enable the recipient of
the record to take appropriate disciplinary action to maintain the
integrity of the programs or operations of the Department of the
Treasury. (15) A record from the system of records may be disclosed to
a Federal, state, local or foreign agency, or other public authority,
for use in computer matching programs to prevent and detect fraud and
abuse in benefit programs administered by an agency, to support civil
and criminal law enforcement activities of any agency and its
components, and to collect debts and over payments owed to any agency
and its components. (16) A record from the system of records may be
disclosed to a public or professional licensing organization when such
record indicates, either by itself or in combination with other
information, a violation or potential violation of professional
standards, or reflects on the moral, educational, or professional
qualifications of an individual who is licensed or who is seeking to
become licensed. (17) A record from the system of records may be
disclosed to the Office of Management and Budget, the General
Accounting Office, the President's Council on Integrity and Efficiency
and other Federal agencies for mandated reports.
Disclosures to consumer reporting agencies:
Debtor information may also be furnished, in accordance with 5 U.S.C.
552a(b)(12) and section 3 of the Debt Collection Act of 1982, to
consumer reporting agencies to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
Most files are accessed by OIG employee name, employee number,
office, or cost center. Some records may be accessed by entering
equipment or project information.
Safeguards:
Access is limited to OIG employees who have a need for such
information in the course of their work. A central console is located
in a departmental computer room which is staffed during normal
business hours and locked at other times. Terminals and paper copies
are maintained in offices which are staffed during normal business
hours and locked at other times. Access to records on magnetic media
is controlled by computer passwords. Access to specific MIS records is
further limited and controlled by computer security programs limiting
access to authorized personnel.
Retention and disposal:
Records are periodically updated to reflect changes and are retained
as long as necessary.
System manager(s) and address:
Assistant Inspector General for Policy, Planning and Resources, Room
7119, 1201 Constitution Avenue, NW, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in this system may
inquire in accordance with instructions appearing in 31 CFR part 1,
subpart C, appendix A. Individuals 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 (date of birth, employee
identification number, dates of employment or similar information).
Address inquiries to Assistant Director, Disclosure Services (see
``Record access Procedures'' below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Current and former employees of the OIG.
Exemptions claimed for the system:
None.
Appendix A--Addresses of OIG Offices
HEADQUARTERS:
Department of Treasury, Office of Inspector
General, Office of the Assistant Inspector
General for Policy, Planning and Resources, Room
7210, 1201 Constitution Avenue, NWWashington, DC
20220.
FIELD LOCATIONS: Contact System Manager for addresses.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Investigations, Office of the Regional Inspector
General for Investigations, Central Regional
Office, Chicago, IL 60605.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Investigations, Office of the Regional Inspector
General for Investigations, Southern Regional
Office, Houston, TX 77057.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Investigations, Office of the Regional Inspector
General for Investigations, Western Regional
Office, El Segundo, CA 90245-4320.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, FLETC Field Office, Federal Law
Enforcement Training Center, Glynco, GA 31524.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Northeastern Regional Office, Boston,
MA 02222-1052
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Northeastern Regional Office, New York
Field Office, New York, NY 10048.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Northeastern Regional Office,
Philadelphia Field Office, Philadelphia, PA
19106.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Central Regional Office, Chicago, IL
60603.
Department of Treasury, Office of Inspector General,
Office of Assistant Inspector General for Audit,
Office of the Regional Inspector General for
Audit, Central Regional Office, Chicago Field
Office, Chicago, IL 60605.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Central Regional Office, Indianapolis
Field Office, Indianapolis, IN 46278.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Southern Regional Office, Houston, TX
77057.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Southern Regional Office, Miami Field
Office, Miami, FL 33131
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, New Orleans Field Office, New Orleans,
LA 70130.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Western Regional Office, El Segundo,
CA 90425-4320.
Department of Treasury, Office of Inspector General,
Office of the Assistant Inspector General for
Audit, Office of the Regional Inspector General
for Audit, Western Regional Office, San Francisco
Field Office, San Francisco, CA 94103.
Treasury/DO .193
System name:
Employee Locator and Automated Directory System--Treasury/DO.
System location:
Main Treasury Building, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Categories of individuals covered by the system:
Information on all employees of the Department is maintained in the
system if the proper locator card is provided.
Categories of records in the system:
Name, office telephone number, bureau, office symbol, building, room
number, home address and phone number, and person to be notified in
case of emergency.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside of the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard copy and magnetic media.
Retrievability:
Indexed by name and/or block code numbers.
Safeguards:
All records, including computer system and all terminals are located
within secure space. Only authorized personnel have access.
Retention and disposal:
Records are kept as long as needed, updated periodically and
destroyed by burning.
System manager(s) and address:
Chief, Telecommunications Operations Branch, Room 1121-MT, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
Notification procedure:
See ``System manager'' above.
Record access procedures:
See ``System manager'' above.
Contesting record procedures:
See ``System manager'' above.
Record source categories:
Information is provided by individual employees. Necessary changes
made if requested.
Exemptions claimed for the system:
None.
Treasury/DO .194
System name: Circulation System--Treasury.
System location:
Department of the Treasury, Library and Information Services Division,
Room 5030-MT, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
Categories of individuals covered by the system:
Employees who borrow library materials or receive library materials on
distribution. The system also contains records concerning interlibrary
loans to local libraries which are not subject to the Privacy Act.
Categories of records in the system:
Records of items borrowed from the Treasury Library collection and
patron records are maintained on central computer. Records are
maintained by name of borrower, office locator information, and title
of publication.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Track circulation of library materials and their borrowers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to disclose
information to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic media.
Retrievability:
Data can be retrieved from the system by borrower name or bar code
number and publication title or its associated bar code number.
Safeguards:
Access to the system requires knowledge of password identification
codes and protocols for calling up the data files. Access to the
records is limited to staff of the Readers Services Branch who have a
need-to-know the information for the performance of their duties.
Retention and disposal:
Only current data are maintained online. Records for borrowers are
deleted when employee leaves Treasury.
System manager(s) and address:
Assistant Director, Library and Information Services, Department of
the Treasury, Room 5030-MT, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Notification procedure:
Inquiries should be addressed to Assistant Director, Disclosure
Services, Department of the Treasury, Room 1054-MT, 1500 Pennsylvania
Ave., NW, Washington, DC 20220.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedures'' above.
Record source categories:
Patron information records are completed by borrowers and library
staff.
Exemptions claimed for the system:
None.
Treasury/DO .196
System name:
Security Information System--Treasury/DO.
System location:
Components of this system are located in the following offices within
the Departmental Offices: Office of Security, Room 1302 MT, 1500
Pennsylvania Avenue, NW, Washington, DC 20220, and Assistant Director,
Security, Safety and Parking, Administrative Operations Division, Room
1212 MT, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
Categories of individuals covered by the system:
(1) Department of the Treasury officials who classify documents with
a national security classification, i.e., Top Secret, Secret, or
Confidential. (2) Each Department of the Treasury official, by name
and position title, who has been delegated the authority to downgrade
and declassify national security information and who is not otherwise
authorized to classify a document at its present classification level.
(3) Each Department of the Treasury official, by name and position
title, who has been delegated the authority for original
classification of national security information, exclusive of
officials specifically authorized original classification authority by
31 CFR part 2. (4) Each Department of the Treasury office by name and
position title delegated the authority to derivatively classify
national security information in accordance with an approved
classification guide or on the basis of source documents. (5) Each
Department of the Treasury official who does not have original
classification authority for national security information and who is
not authorized to downgrade and declassify national security
information, but who may control and/or decontrol limited official use
information. (6) An alphabetical listing of Department of the Treasury
employees who have valid security violations as a result of the
improper handling, safeguarding, or storage of classified national
security and limited official use information. (7) Department of the
Treasury personnel concerned with classified national security and
limited official use information who have participated in a security
orientation program regarding the salient features of the security
requirements and procedures for the handling and safeguarding of such
information.
Categories of records in the system:
The following records are maintained by the Director of Security: (1)
Report of Authorized Downgrading and Declassification Officials, (2)
Report of Authorized Classifiers, (3) Report of Authorized Derivative
Classifiers, (4) Designation of Controlling/Decontrolling Officials,
and (5) Record of Security Violation. The Assistant Director,
Security, Safety and Parking maintains the following records: The
Security Orientation Acknowledgment.
Authority for maintenance of the system:
Executive Order No. 12356, dated April 2, 1982, Title 31 subtitle A,
part 2, and Office of Security Handbook, TDP 71-10.
Purpose(s):
The system is designed to (1) oversee compliance with Executive Order
No. 12356 and Departmental programming and implementation, (2) ensure
proper classification of national security information, (3) record
details of valid security violations and (4) assist in determining the
effectiveness of information security programs affecting classified
and limited official use information.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records and information in these records may be used to
disclose information to appropriate Federal agencies and for enforcing
or implementing a statute, rule, regulation or order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard copy paper files.
Retrievability:
Manually filed and indexed by office or bureau, date, name of
official and position title, where appropriate.
Safeguards:
Secured in security equipment to which access is limited to personnel
with the need to know.
Retention and disposal:
With the exception of the Record of Security Violation, which is
maintained for a period of two years, and the Security Orientation
Acknowledgment, the remaining records are destroyed and/or updated on
an annual basis. Destruction is effected by shredding or other
comparable means.
System manager(s) and address:
Director of Security, 1302 Main Treasury Building, 1500 Pennsylvania
Avenue NW, Washington, DC 20220, and Assistant Director, Security,
Safety and Parking, Administrative Operations Division, Room 1212 MT,
1500 Pennsylvania Avenue., NW, Washington, DC 20220
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in this system,
must submit a written request containing the following elements: (1)
Identify the record system; (2) identify the category and types of
records sought; and (3) provide at least two items of secondary
identification (date of birth, employee identification number, dates
of employment or similar information) to the Assistant Director,
Disclosure Services. (See ``Record access procedures'' below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the Treasury,
Room 1054 MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The sources of the information are office and bureau employees of the
Department of the Treasury. The information concerning any security
violation is reported by Department of the Treasury security officials
and Department of State security officials as concerns Treasury
personnel attached to U.S. diplomatic posts or missions.
Exemptions claimed for the system:
None.
Treasury/DO .200
System name:
FinCEN Data Base--Treasury/DO.
System location:
The Financial Crimes Enforcement Network, 2070 Chain Bridge Road,
Vienna, VA 22182.
Categories of individuals covered by the system:
(1) Individuals who relate in any manner to official FinCEN efforts
in support of the enforcement of the Bank Secrecy Act and money-
laundering and other financial crimes. Such individuals may include,
but are not limited to, subjects of investigations and prosecutions;
suspects in investigations; victims of such crimes; witnesses in such
investigations and prosecutions; and close relatives and associates of
any of these individuals who may be relevant to an investigation; (2)
Current and former FinCEN personnel whom FinCEN considers relevant to
an investigation or inquiry; (3) individuals who are the subject of
unsolicited information possibly relevant to violations of law or
regulations, who offer unsolicited information relating to such
violations, who request assistance from FinCEN, and who make inquiries
of FinCEN.
Categories of records in the system:
Every possible type of information that contributes to effective law
enforcement may be maintained in this system of records, including,
but not limited to, subject files on individuals, corporations, and
other legal entities; information provided pursuant to the Bank
Secrecy Act; information gathered pursuant to search warrants;
statements of witnesses; information relating to past queries of the
FinCEN Data Base; criminal referral information; complaint
information; identifying information regarding witnesses, relatives,
and associates; investigative reports; and intelligence reports.
Authority for maintenance of the system.
5 U.S.C. 301, 31 U.S.C. 5311 et seq.; 31 CFR part 103; Treasury
Department Order No. 105-08 (April 25, 1990).
Routine uses of records maintained in the system including categories of
users and the purposes of such uses:
Records in this system may be used to: (1) Provide responses to
queries from Federal, State, territorial, and local law enforcement
and regulatory agencies, both foreign and domestic, regarding Bank
Secrecy Act and other financial crime enforcement; (2) furnish
information to other Federal, State, local, territorial, and foreign
law enforcement and regulatory agencies responsible for investigating
or prosecuting the violations of, or for enforcing or implementing a
statute, rule, regulation, order, or license, where FinCEN becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (3) furnish information to the
Department of Defense, to support its role in the detection and
monitoring of aerial and maritime transit of illegal drugs into the
United States and any other role in support of law enforcement that
the law may mandate; (4) respond to queries from INTERPOL in
accordance with agreed coordination procedures between FinCEN and
INTERPOL; (5) furnish information to individuals and organizations, in
the course of enforcement efforts, to the extent necessary to elicit
information pertinent to financial law enforcement; (6) furnish
information to a court, magistrate or administrative tribunal in the
course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation or
settlement negotiations, in response to a subpoena, or in connection
with civil or criminal law proceedings; (7) furnish information to the
news media in accordance with the guidelines contained in 28 CFR 50.2,
which relate to civil and criminal proceedings; and (8) furnish
information to the Department of State and the Intelligence community
to further those agencies' efforts with respect to national security
and the foreign aspects of international narcotics trafficking.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Magnetic media and hard copy.
Retrievability:
By name, address, or unique identifying number.
Safeguards:
All FinCEN personnel accessing the system will have successfully
passed a background investigation. FinCEN will furnish information
from the system of records to approved personnel only on a ``need to
know'' basis using passwords and access control. Procedural and
physical safeguards to be utilized include the logging of all queries
and periodic review of such query logs; compartmentalization of
information to restrict access to authorized personnel; physical
protection of sensitive hard copy information; encryption of
electronic communications; intruder alarms; and 24-hour building
guards.
Retention and disposal:
FinCEN personnel will review records each time a record is retrieved
and on a periodic basis to see whether it should be retained or
modified. FinCEN will dispose of all records after six years and will
never retain any record for more than seven years. Records will be
disposed of by erasure of magnetic media and by shredding and/or
burning of hard copy documents.
System manager(s) and address:
Director, Financial Crimes Enforcement Network, 2070 Chain Bridge
Road, Vienna, VA 22182.
Notification procedure:
Pursuant to 5 U.S.C. 552a(j)(2), (k)(1), and (k)(2), this system of
records may not be accessed for purposes of determining if the system
contains a record pertaining to a particular individual.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
See ``Categories of individuals covered by the system'' above. The
system contains material for which sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I),
(e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C.
552a(j)(2), (k)(1) and (k)(2).
Treasury/DO .201
System name:
Fitness Center Records--Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW, Washington,
DC 20220.
Categories of individuals covered by the system:
Treasury Department employees who have applied for membership and
participate in the Treasury fitness program.
Categories of records in the system:
Name, job title, addresses, date of birth, age, sex; name, address,
and telephone number of personal physician; name, and address and
telephone number of emergency contact; health and exercise history;
physician's clearance; informed consent form, waiver and release form,
program interest survey form; fitness assessment results; and results
of health tests taken by the Fitness Center members.
Authority for the maintenance of the system:
5 U.S.C. 301
Purpose(s):
The records are collected and maintained to provide the Fitness
Center contractor with written documentation of user's membership
status. The records enable the contractor to identify the current
fitness level and potential health risks faced by each user. The
collection of these records provides essential baseline information
allowing the contractor to prescribe the appropriate exercise program
to each user.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
No disclosures will be made outside the Departmental Offices.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
By name and membership number.
Safeguards:
Records are stored in locked cabinets in a locked room. Access is
limited to authorized employees of the contractor responsible for
servicing the records in the performance of their duties.
Retention and disposal:
Active records are retained indefinitely. Inactive records are held
for three years, then are destroyed by shredding.
System manager(s) and address:
Director, Administrative Operations, Department of the Treasury, Room
1212-MT, 1500 Pennsylvania Ave., NW, Washington, DC 20220. Name of the
contractor will be provided by the system manager upon request.
Notification procedure:
Individuals seeking access to any record contained in the system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix A.
Inquiries should be addressed to Assistant Director, Disclosure
Services, Departmental Offices, Room 1054-MT, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
Record access procedures:
Inquiries should be addressed to the Assistant Director, Disclosure
Services, Departmental Offices, Room 1054-MT, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
Contesting record procedures:
See ``Notification procedures'' above.
Record source categories:
The source of the data is the Treasury Department employee who has
applied for membership, contractor personnel and the employee's
personal physician.
Exemptions claimed for the system:
None.
Treasury/DO .202
System name:
Drug-Free Workplace Program Records--Treasury/DO.
System location:
Records are located within Personnel Resources, Workforce
Effectiveness, Room 1325-MT, Department of the Treasury, Departmental
Offices, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
Employees of Departmental Offices.
Categories of records in the system:
Records related to selection, notification, testing of employees,
drug test results, and related documentation concerning the
administration of the Drug-Free Workplace Program within Departmental
Offices.
Authority for maintenance of the system:
Pub. L. 100-71; 5 U.S.C. 7301 and 7361; 21 U.S.C. 812; Executive
Order 12564, ``Drug-Free Federal Workplace''.
Purpose(s):
The system will be established to maintain records relating to the
selection, notification, and testing of Departmental Offices'
employees for use of illegal drugs and drugs identified in Schedules I
and II of 21 U.S.C. 812.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records and information in these records may be disclosed to a
court of competent jurisdiction where required by the United States
Government to defend against any challenge against any adverse
personnel action.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and
magnetic media.
Retrievability:
Records are retrieved by name of employee, position, title, social
security number, I.D. number (if assigned), or any combination of
these.
Safeguards:
Records will be stored in secure containers, e.g., safes, locked
filing cabinets, etc. Access to such records is restricted to
individuals having direct responsibility for the administration of the
agency's Drug-Free Workplace Program. Procedural and documentary
requirements of Pub. L. 100-71 and the Department of Health and Human
Services Guidelines will be followed.
Retention and disposal:
Records are retained for two years and then destroyed by shredding,
burning, or, in case of magnetic media, erasure. Written records and
test results may be retained up to five years or longer when necessary
due to challenges or appeals of adverse action by the employee.
System manager(s) and address:
Departmental Offices Drug Program Coordinator, Department of the
Treasury, 1500 Pennsylvania Ave., Room 1325-MT, Washington, DC 20220.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Assistant Director, Disclosure Services,
Departmental Offices, 1500 Pennsylvania Ave., Room 1054-MT,
Washington, DC 20220. Individuals must furnish their full name, Social
Security Number, the title, series, and grade of the position they
occupied, the month and year of any drug test(s) taken, and
verification of identity as required by 31 CFR part 1, subpart C,
appendix A.
Record access procedures:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Assistant Director, Disclosure Services,
Departmental Offices, 1500 Pennsylvania Ave., Room 1054-MT,
Washington, DC 20220. Individuals must furnish their full name, Social
Security Number, the title, series, and grade of the position they
occupied, the month and year of any drug test(s) taken, and
verification of identity as required by 31 CFR part 1, subpart C,
appendix A.
Contesting record procedures:
The Department of the Treasury rules for accessing records, for
contesting contents, and appealing initial determinations by the
individual concerned are published in 31 CFR part 1, subpart A,
appendix A.
Record source categories:
Records are obtained from the individual to whom the record pertains;
Departmental Offices employees involved in the selection and
notification of individuals to be tested; contractor laboratories that
test urine samples for the presence of illegal drugs; Medical Review
Officers; supervisors and managers and other Departmental Offices
official engaged in administering the Drug-Free Workplace Program; the
Employee Assistance Program, and processing adverse actions based on
drug test results.
Exemptions claimed for the system:
None.
Treasury/DO .203
System name:
Public Transportation Incentive Program Records--Treasury/DO.
System location:
(1) Departmental Offices, Department of the Treasury, 1500
Pennsylvania Avenue, NW, Washington, DC 20220.
(2) Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
(3) United States Mint, Judiciary Square Building, 633 Third Street,
NW., Washington, DC 20220; United States Mint, 5th and Arch Streets,
Philadelphia, PA 19106; United States Mint, 320 West Colfax Avenue,
Denver, CO 80204; United States Mint, Old Mint Building, 88 Fifth
Street, San Francisco, CA 94103.
(4) Bureau of the Public Debt, 13th and C Streets, SW., and 999 E
Street NW, Washington, DC 20239; 200 Third Street, Parkersburg, WV
26106.
Categories of individuals covered by the system:
Employees who have applied to participate in the Public
Transportation Incentive Program.
Categories of records in the system:
(1) Public Transportation Incentive Program application form
containing the participant's name, social security number, place of
residence, office address, office telephone, grade level, duty hours,
previous method of transportation, and the type of fare incentive
requested. (2) Reports submitted to the Department of the Treasury in
accordance with Treasury Directive 74-10.
Authority for maintenance of the system:
5 U.S.C. 301 and Pub. L. 101-509.
Purpose(s):
The records are collected and maintained to provide written
documentation pertaining to applicants and participants in the Public
Transportation Incentive Program.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
disclose information to: (1) Appropriate Federal, state, local, or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order or license; (2) a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a court-ordered subpoena, or in connection with criminal
law proceedings; (3) a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (4)
unions recognized as exclusive bargaining representatives under the
Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114; (5)
agencies, contractors, and others to administer Federal personnel and
payroll systems, and for debt collection and employment or security
investigations; and (6) other Federal agencies for matching to ensure
that employees receiving PTI Program benefits are not listed as a
carpool or vanpool participant or the holder of a parking permit.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, file folders and magnetic media.
Retrievability:
Alphabetically by individual and by office.
Safeguards:
Access is limited to authorized employees. Files are maintained in
locked safes and/or file cabinets. Records on magnetic media are
password-protected. During non-work hours, records are stored in
locked safes and/or cabinets in a locked room.
Retention and disposal:
Active records are retained indefinitely. Inactive records are held
for three years and then destroyed.
System manager(s) and address:
(1) Departmental Offices: Director, Administrative Operations
Division, Department of the Treasury, Room 1212 MT, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
(2) Bureau of Engraving and Printing: Chief, Office of Management
Services, Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
(3) United States Mint: Executive Secretariat, United States Mint,
Judiciary Square Building, 633 Third Street, NW, Washington, DC 20220;
Property Management Officer, Management Analysis and Property
Management Staff, United States Mint, 5th and Arch Streets,
Philadelphia, PA 19106; Chief, Administrative Services Division,
United States Mint, 320 West Colfax Avenue, Denver, CO 80204; Human
Resources Division and Budget and Accounting Division, United States
Mint, Old Mint Building, 88 Fifth Street, San Francisco, CA 94103.
(4) Bureau of the Public Debt: Assistant Commissioner, Office of
Administration, 200 Third Street, Parkersburg, WV 26106
Notification procedure:
Individuals seeking access to any record contained in the system of
records, or seeking to contest its content, may inquire in accordance
with instructions given in the Appendix for each Treasury component
appearing at 31 CFR part 1, subpart C. Inquiries should be sent to the
agency official identified below:
(1) Departmental Offices: Inquiries should be addressed to Assistant
Director, Disclosure Services, Departmental Offices, Room 1054 MT,
1500 Pennsylvania Avenue, NW, Washington, DC 20220.
(2) Bureau of Engraving and Printing: Inquiries should be addressed to
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
(3) United States Mint: Inquiries should be addressed to Executive
Secretariat, United States Mint, Judiciary Square Building, 633 Third
Street, NW., Washington, DC 20220; Property Management Officer,
Management Analysis and Property Management Staff, United States Mint,
5th and Arch Streets, Philadelphia, PA 19106; Chief, Administrative
Services Division, United States Mint, 320 West Colfax Avenue, Denver,
CO 80204; Human Resources Division and Budget and Accounting Division,
United States Mint, Old Mint Building, 88 Fifth Street, San Francisco,
CA 94103.
(4) Bureau of the Public Debt: Assistant Commissioner, Office of
Administration, 200 Third Street, Parkersburg, WV 26106
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The source of the data are employees who have applied for the
transportation incentive, the system managers, and appropriate agency
officials.
Exemptions claimed for the system:
None.
Treasury/DO .205
System name:
Executive Information System (EIS) - Treasury/DO.
System location:
Office of Administration, Automated Systems Division, Computer
Operations Branch, 15th and Pennsylvania Avenue, NW, Washington, DC
20220. Components of this records system consist of the following
Treasury Department constituent units and other government agencies:
Departmental offices, Internal Revenue Service, U.S. Customs Service,
Financial Management Service, U.S. Mint, Bureau of Engraving and
Printing, Savings Bonds Division, Office of Thrift Supervision,
Comptroller of the Currency, Bureau of the Public Debt, Bureau of
Alcohol, Tobacco and Firearms, U.S. Secret Service, and the Federal
Law Enforcement Training Center; the U.S. Department of Commerce,
Executive Office of the President, Office of Management and Budget,
Counsel of Economic Advisors, and the Federal Reserve Board in
Washington, DC.
Categories of individuals covered by the system:
Employees having individual accounts and records in the EIS.
Categories of records in the system:
Names, titles, office addresses, and office phone numbers of all EIS
subscribers.
Authority for maintenance of the system:
5 U.S.C. 301
Purpose(s):
The primary purpose of the system is to provide a facility for the
electronic exchange of information between employees in the
Departmental offices. All system subscribers have access to the
following: (1) Electronic mail messages to other EIS users; (2) Word
processing documents; (3) Calendars and time management; (4) Desk
management functions; (5) Economic information in the form of current
domestic and international economic indicators conveyed in tabular,
text and graphic formats.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside of the Departmental offices, bureaus
of the U.S. Department of the Treasury, and the other Government
departments that are system subscribers.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By name of system subscriber.
Safeguards:
Access is limited by a computer sign-on procedure which includes
access identification and a password protection as well as individual
file protection features. Security features of the system include:
automatic expiration of all passwords and security log records of
unsuccessful attempts to log on or to access other users' files.
Retention and disposal:
The records are retained for the duration of a subscriber account and
stored for thirty days on magnetic media after the account is deleted.
System manager(s) and address:
Chief, Computer Operations Branch, Automated Systems Division, Room
B-91, 15th and Pennsylvania Avenue, NW, Washington, DC 20220.
Notification procedure:
Individuals seeking access to any record contained in the system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix A.
Inquiries should be addressed to Assistant Director, Disclosure
Services, Departmental Offices, Room 1054-MT, 15th and Pennsylvania
Avenue, NW, Washington, DC 20220.
Record access procedures:
Inquiries should be addressed to the Assistant Director, Disclosure
Services, Departmental Offices, Room 1054-MT, 15th and Pennsylvania
Avenue, NW, Washington, DC 20220.
Contesting record procedures:
See notification procedure above.
Record source categories:
Individual Executive Information System subscriber.
Exemptions claimed for the system:
None.
Treasury/DO .206
System name:
Office Tracking System (OTS) - Treasury/DO.
System location:
Office of Administration, Automated Systems Division, 15th and
Pennsylvania Avenue, NW, Washington, DC 20220.
Categories of individuals covered by the system:
Departmental offices employees granted access to the OTS and
individuals who correspond with the Departmental Offices.
Categories of records in the system:
Each piece of correspondence will have a record generated in OTS
containing the name of the addresser, addressee, initials of the
approving individual and the name of the individual assigned to
respond or take action. This correspondence consists of letters to or
from the public, Congress or other agencies, and internal memoranda.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The primary purpose of the system is to provide a facility to track
the status of incoming and internally generated correspondence within
an office. It provides management information related to action(s)
required and the responsible individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside Departmental Offices.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
The records may be retrieved by name of writer, name of addresses, or
subject of document.
Safeguards:
Access is limited by a computer sign-on procedure which includes
access identification and a password protection as well as individual
file protection features.
Retention and disposal:
The records are retained at the discretion of the OTS user who may
electronically delete or file the records. All records are saved to a
backup magnetic media at least once a month. These media are retained
for two years.
System manager(s) and address:
Chief, Automated Systems Development Branch, Automated Systems
Division, Room 5457, 15th and Pennsylvania Avenue, NW, Washington, DC
20220.
Notification procedure:
Individuals seeking access to any record contained in the system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart C, appendix A.
Inquiries should be addressed to Assistant Director, Disclosure
Services, Departmental Offices, 15th and Pennsylvania Avenue, NW,
Washington, DC 20220.
Record access procedures:
Inquiries should be addressed to the Assistant Director, Disclosure
Services, Departmental Offices, 15th and Pennsylvania Avenue, NW,
Washington, DC 20220.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The source of data in OTS is letters or memoranda from Treasury
officials, other agencies, members of Congress, the public or the
press.
Exemptions claimed for the system:
None.
Treasury/DO .207
System name:
Waco Administrative Review Group Investigation--Treasury/DO.
System location:
Department of the Treasury, Office of Enforcement, 1500 Pennsylvania
Ave., NW, Washington, DC 20220.
Categories of individuals covered by the system:
(A) Current and former employees of the Department of the Treasury
and its bureaus and persons whose associations with current and former
employees relate to the Bureau of Alcohol, Tobacco & Firearms
execution of search and arrest warrants at the Branch Davidian
compound, near Waco, Texas on February 28, 1993, or any other criminal
or civil misconduct, which affects the integrity or facilities of the
Department of the Treasury. The names of individuals and the files in
their names may be: (1) Received by referral; or (2) developed in the
course of the investigation. (B) Individuals who are: Witnesses;
complainants; confidential or nonconfidential informants; suspects;
defendants who have been identified by the Office of Enforcement,
constituent units of the Department of the Treasury, other agencies,
or members of the general public in connection with the authorized
functions of the Office of Enforcement. (C) Members of the general
public who provide information pertinent to the investigation.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal misconduct pertinent to the events leading to the
Bureau of Alcohol, Tobacco & Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993. (B) Investigative files which include: (1) Reports
of investigations to resolve allegations of misconduct or violations
of law and to comply with the President's specific directive for a
fact finding report on the events leading to the Bureau of Alcohol,
Tobacco & Firearms execution of search and arrest warrants at the
Branch Davidian compound, near Waco, Texas, on February 28, 1993, with
related exhibits, statements, affidavits, records or other pertinent
documents obtained during investigation; (2) transcripts and
documentation concerning requests and approval for consensual
telephone and consensual nontelephone monitoring; (3) reports from or
to other law enforcement bodies; (4) prior criminal or noncriminal
records of individuals as they relate to the investigations; and (5)
reports of actions taken by management personnel regarding misconduct
and reports of legal actions resulting from violations of statutes
referred to the Department of Justice for prosecution; (6) videotapes
of events pertinent to the events leading to the Bureau of Alcohol,
Tobacco & Firearms execution of search and arrest warrants at the
Branch Davidian compound, near Waco, Texas, on February 28, 1993, or
to the Department of Justice criminal prosecutions; (7) audiotapes
with transcripts of events pertinent to the events leading to the
Bureau of Alcohol, Tobacco & Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993, or to the Department of Justice criminal
prosecutions; (8) photographs and blueprints pertinent to the events
leading to the Bureau of Alcohol, Tobacco & Firearms execution of
search and arrest warrants at the Branch Davidian compound, near Waco,
Texas, on February 28, 1993, or to the Department of Justice criminal
prosecutions; and (9) drawings, sketches, models portraying events
pertinent to the events leading to the Bureau of Alcohol, Tobacco &
Firearms execution of search and arrest warrants at the Branch
Davidian compound, near Waco, Texas, on February 28, 1993, or to the
Department of Justice criminal prosecutions.
Purpose(s):
The purpose of the system of records is to implement a data base
containing records of investigation conducted by the Waco
Administrative Review Group, and other relevant information with
regard to the events leading to the Bureau of Alcohol, Tobacco &
Firearms execution of search and arrest warrants at the Branch
Davidian compound, near Waco, Texas, on February 28, 1993, and, where
appropriate, to disclose to other law enforcement agencies which have
an interest in the information.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose information to the Department of Justice in connection with
actual or potential criminal prosecution or civil litigation; (2)
disclose pertinent information to appropriate Federal, State, local,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing a statute, rule,
regulation, order, or license, or where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (3) disclose information to a Federal,
State, or local agency maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's hiring or retention of an employee, or the issuance of a
security clearance, license, contract, grant, or other benefit; (4)
disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations in response to a subpoena,
where relevant and necessary, or in connection with criminal law
proceedings; (5) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; and (6) provide a report
to the President and the Secretary of the Treasury detailing the
investigation and findings concerning the events leading to the Bureau
of Alcohol, Tobacco & Firearms' execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Paper records in binders and file jackets and all multisource media
information are maintained in locked offices with access, through the
administrative documents and records control personnel for the Waco
Administrative Review Group, available to personnel with a need to
know. Records will be maintained in locked offices during non-business
hours. Records will be maintained in the Departmental Offices, in the
main Treasury building which is subject to 24-hour security.
Retrievability:
Alphabetically by name, and or by number, or other alpha- numeric
identifiers.
Safeguards:
Records and word processing disks are maintained by administrative
documents and records control personnel of the Waco Administrative
Review Group. All access doors are locked when office is vacant. The
records are available on a need-to-know basis to the Waco
Administrative Review Group and Office of Enforcement personnel and
other Federal and state law enforcement personnel who have an
appropriate security clearance.
Retention and disposal:
Investigative files are stored on-site for six years and indices to
those files are stored on-site for ten years. The word processing
disks will be retained indefinitely, and to the extent required they
will be updated periodically to reflect changes and will be purged
when the information is no longer required. Upon expiration of their
respective retention periods, the investigative files and their
indices are transferred to the Federal Records Center, Suitland,
Maryland, for storage and in most instances destroyed by burning,
maceration or pulping when 20 years old.
System manager(s) and address:
Office of Enforcement, Room 4312-MT, 1500 Pennsylvania Ave. NW,
Washington, DC 20220.
Notification procedure:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this system of records
may not be accessed for purposes of determining if the system contains
a record pertaining to a particular individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
See ``Categories of Individuals'' above. This system contains
investigatory material for which sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552(a)(c)(3)(4), (d)(1)(2)(3)(4),
(e)(1)(2)(3), 4(G), (H) and (I), (e)(5) and (8), (f) and (g) of the
Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). This system
exemption can be found at 31 CFR 1.36.
Treasury/DO .209
System name:
Personal Services Contracts (PCSs) - Treasury/DO.
System location:
(1) Office of Technical Assistance Management, Eastern Europe &
Former Soviet Union, Department of the Treasury, 1730 K Street, NW,
Suite 220, Washington, DC 20006. (2) Procurement Services Division,
Departmental Offices, Department of the Treasury, Room 1438, 1500
Pennsylvania Avenue, NW, Washington, DC 20220.
Categories of individuals covered by the system:
Individuals who have been candidates or who have been awarded a
personal services contract (PSC) with the Department of the Treasury.
Categories of records in the system:
Name, address, telephone number, demographic data, education,
contracts, supervisory notes, personnel related information,
financial, payroll and medical data and documents pertaining to the
individual contractors.
Authority for maintenance of the system:
Support for Eastern European Democracy (SEED) Act of 1989 (Pub. L.
101-179), Freedom Support Act (Pub. L. 102-511), Executive Order
12703.
Purpose(s):
To maintain records pertaining to the awarding of personal services
contracts to individuals for the provision of technical services in
support of the SEED Act and the FSA, and which establish an employer/
employee relationship with the individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
disclose: (1) Pertinent information to appropriate Federal, State,
local, or foreign agencies, or other public authority, responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
information to the Department of Justice for the purpose of litigating
an action or seeking legal advice; (3) information to a Federal,
State, local, or other public authority maintaining civil, criminal or
other relevant enforcement information or other pertinent information,
which has requested information relevant to or necessary to the
requesting agency's, bureau's, or authority's hiring or retention of
an individual, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) information in a proceeding before a
court, adjudicative body, or other administrative body before which
the agency is authorized to appear when: (a) The agency, or (b) any
employee of the agency in his or her official capacity, or (c) any
employee of the agency in his or her individual capacity where the
Department of Justice or the agency has agreed to represent the
employee; or (d) the United States, when the agency determines that
litigation is likely to affect the agency, is party to litigation or
has an interest in such litigation, and the use of such records by the
agency is deemed to be relevant and necessary to the litigation or
administrative proceeding and not otherwise privileged, and (5)
information to a Congressional office in response to an inquiry made
at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders and on electronic media.
Retrievability:
Retrieved by name of the individual contractor and contract number.
Safeguards:
Records are maintained in a secured vault with locked file cabinets
with access limited to authorized personnel. Offices are locked during
non-working hours with security provided on a 24-hour basis.
Electronic media is password protected.
Retention and disposal:
Records are periodically updated when a contract is modified.
Contract records, including all biographical or other personal data,
are retained for the contract period, with disposal after contract
completion in accordance with the Federal Acquisition Regulation
4.805. Other records are retained for two years then are destroyed
when no longer needed.
System manager(s) and address:
(1) Director, Office of Technical Assistance, Eastern Europe & Former
Soviet Union, Department of the Treasury, 1730 K Street, NW, Suite
220, Washington, DC 20006.
(2) Director, Procurement Services Division, Departmental Offices,
Department of the Treasury, Room 3442, 1500 Pennsylvania Avenue, NW,
Washington, DC 20220
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access or seek to contest its contents, may
inquire in accordance with instructions appearing at 31 CFR part 1,
subpart C, appendix A. Inquiries should be addressed to Assistant
Director, Disclosure Services, Departmental Offices, Room 1054-MT,
1500 Pennsylvania Avenue, NW, Washington, DC 20220.
Record access procedures:
See ``Notification procedure'' above
Contesting record procedures:
See ``Notification procedures'' above.
Record source categories:
Information is provided by the candidate, individual Personal
Services Contractor, and Treasury employees.
Exemptions claimed for the system:
None.
Treasury/DO .210
System name:
Treasury Integrated Financial Management and Revenue System -
Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220. Other locations at which the system is
maintained by Treasury components and their associated field offices
are:
(a)(1) Departmental Offices (DO), (2) Financial Crimes Enforcement
Network (FinCEN), (3) Office of Inspector General (OIG);
(b) Bureau of Alcohol, Tobacco and Firearms (ATF);
(c) Office of the Comptroller of the Currency (CC);
(d) United States Customs Service (CS);
(e) Bureau of Engraving and Printing (BEP);
(f) Federal Law Enforcement Training Center (FLETC);
(g) Financial Management Service (FMS);
(h) Internal Revenue Service (IRS);
(I) United States Mint (MINT);
(j) Bureau of the Public Debt (BPD);
(k) United States Secret Service (USSS):
(l) Office of Thrift Supervision (OTS).
Categories of individuals covered by the system:
(1) Current and former Treasury employees, non-Treasury personnel on
detail to the Department, current and former vendors, all debtors
including employees or former employees; (2) persons paying for goods
or services, returning overpayment or otherwise delivering cash; (3)
individuals, private institutions and business entities who are
currently doing business with, or who have previously conducted
business with the Department of the Treasury to provide various goods
and services; (4) individuals who are now or were previously involved
in tort claims with Treasury; (5) individuals who are now or have
previously been involved in payments (accounts receivable/revenue)
with Treasury; and (6) individuals who have been recipients of awards.
Only records reflecting personal information are subject to the
Privacy Act. The system also contains records concerning corporations,
other business entities, and organizations whose records are not
subject to the Privacy Act.
Categories of records in the system:
The financial systems used by the Treasury components to collect,
maintain and disseminate information include the following types of
records: Routine billing, payment, property accountability, and travel
information used in accounting and financial processing;
administrative claims by employees for lost or damaged property;
administrative accounting documents, such as relocation documents,
purchase orders, vendor invoices, checks, reimbursement documents,
transaction amounts, goods and services descriptions, returned
overpayments, or otherwise delivering cash, reasons for payment and
debt, travel-related documents, training records, uniform allowances,
payroll information, student intern documents, etc., which reflect
amount owed by or to an individual for payments to or receipt from
business firms, private citizens and or institutions. Typically, these
documents include the individual's name, social security number,
address, and taxpayer identification number. Records in the system
also include employment data, payroll data, position and pay data.
Authority for maintenance of the system:
31 U.S.C. 3512, 31 U.S.C. 3711, 31 U.S.C. 3721, 5 U.S.C. 5701 et seq,
5 U.S.C. 4111(b), Pub. L. 97-365, 26 U.S.C. 6103(m)(2), 5 U.S.C. 5514,
31 U.S.C. 3716, 31 U.S.C. 321,5 U.S.C. 301, 5 U.S.C. 4101 et seq, 41
CFR part 301-304, EO 11348, and Treasury Order 140-01,
Purpose(s):
The Treasury Integrated Financial Management and Revenue System is to
account for and control appropriated resources; maintain accounting
and financial information associated with the normal operations of
government organizations such as billing and follow-up, for paying
creditors, to account for goods and services provided and received, to
account for monies paid and received, process travel authorizations
and claims, process training claims, and process employee claims for
lost or damaged property. The records management and statistical
analysis subsystems provide a data source for the production of
reports, statistical surveys, documentation and studies required for
integrated internal management reporting of costs associated with the
Department's operation.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
disclose information: (1) To appropriate Federal, State, local, or
foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2) To the
Department of Justice when seeking legal advice, or when (a) the
agency or (b) any component thereof, or (c) any employee of the agency
in his or her official capacity, or (d) any employee of the agency in
his or her individual capacity where the Department of Justice has
agreed to represent the employee, or (e) the United States, where the
agency determines that litigation is likely to affect the agency or
any of its components, is a party to litigation or has an interest in
such litigation, and the use of such records by the Department of
Justice is deemed by the agency to be relevant and necessary to the
litigation and the use of such records by the Department of Justice is
therefore deemed by the agency to be for a purpose that is compatible
with the purpose for which the agency collected the records; (3) To a
Federal, State, local, or other public authority maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's, bureau's, or authority's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (4) In a proceeding before
a court, adjudicative body, or other administrative body before which
the agency is authorized to appear when: (a) The agency, or (b) or any
component thereof, or (c) any employee of the agency in his or her
official capacity, or (d) any employee of the agency in his or her
individual capacity where the Department of Justice or the agency has
agreed to represent the employee; or (e) the United States, when the
agency determines that litigation is likely to affect the agency, is a
party to litigation or has an interest in such litigation, and the use
of such records by the agency is deemed to be relevant and necessary
to the litigation or administrative proceeding and not otherwise
privileged; (5) To a Congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (6)
To the news media in accordance with guidelines contained in 28 CFR
50.2 which pertain to an agency's functions relating to civil and
criminal proceedings; (7) To third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation; (8) To a public or professional licensing
organization when such information indicates, either by itself or in
combination with other information, a violation or potential violation
of professional standards, or reflects on the moral, educational, or
professional qualifications of an individual who is licensed or who is
seeking to become licensed; (9) To a contractor for the purpose of
compiling, organizing, analyzing, programming, processing, or
otherwise refining records subject to the same limitations applicable
to U.S. Department of the Treasury officers and employees under the
Privacy Act; (10) To a court, magistrate, or administrative tribunal
in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a subpoena; (11) Through a computer
matching program, information on individuals owing debts to the
Department of the Treasury, or any of its components, to other Federal
agencies for the purpose of determining whether the debtor is a
Federal employee or retiree receiving payments which may be used to
collect the debt through administrative or salary offset; (12) To
other federal agencies to effect salary or administrative offset for
the purpose of collecting debts, except that addresses obtained from
the IRS shall not be disclosed to other agencies; (13) To disclose
information to a consumer reporting agency, including mailing
addresses obtained from the Internal Revenue Service, to obtain credit
reports; (14) To a debt collection agency, including mailing addresses
obtained from the Internal Revenue Service, for debt collection
services; (15) To unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114, the Merit Systems Protection Board, arbitrators, the
Federal Labor Relations Authority, and other parties responsible for
the administration of the Federal labor-management program for the
purpose of processing any corrective actions, or grievances, or
conducting administrative hearings or appeals, or if needed in the
performance of other authorized duties; (16) To a public or
professional auditing organization for the purpose of conducting
financial audit and/or compliance audits; (17) To a student
participating in a Treasury student volunteer program, where such
disclosure is necessary to support program functions of Treasury, and
(18) To insurance companies or other appropriate third parties,
including common carriers and warehousemen, in the course of settling
an employee's claim for lost or damaged property filed with the
Department.
Disclosure to consumer reporting agencies:
Disclosures made pursuant to 5 U.S.C. 552a(b)(12): Debt information
concerning a government claim against an individual may be furnished
in accordance with 5 U.S.C. 552a(b)(12) and section 3 of the Debt
Collection Act of 1982 (Pub. L. 97-365) to consumer reporting agencies
to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper, microform and electronic media.
Retrievability:
Name, social security number, vendor ID number, and document number
(travel form, training form, purchase order, check, invoice, etc.).
Safeguards:
Protection and control of sensitive but unclassified (SBU) records in
this system is in accordance with TD P 71-10, Department of the
Treasury Security Manual, and any supplemental guidance issued by
individual components.
Retention and disposal:
Record maintenance and disposal is in accordance with National
Archives and Records Administration retention schedules, and any
supplemental guidance issued by individual components.
System manager(s) and address:
Departmental Offices:
(1) Director, Financial Management Division, 1500 Pennsylvania
Avenue, NW, Room 1010, Washington, DC 20220.
(2) Chief Financial Officer, FinCEN, 2070 Chain Bridge Road, Vienna,
VA 22182.
(3) Assistant Inspector General for Policy, Planning and Resources,
1201 Constitution Avenue, NW, Washington, DC 20220.
ATF : Chief, Financial Management Division, Bureau of Alcohol, Tobacco
& Firearms, 650 Massachusetts Avenue, NW, Room 4270, Washington, DC
20226
IRS: Chief Financial Officer, Internal Revenue Service, 1111
Constitution Avenue, NW, Room 3013, Washington, DC 20224
BPD: Director, Division of Financial Management, Bureau of Public
Debt, 220 Third Street, PO Box 1328, Parkersburg, WV 26106-1328
CS: Chief Financial Officer, U.S. Customs Service, 1301 Constitution
Avenue, NW, Room 312, Washington, DC 20229
FLETC: Comptroller, Budget and Finance Division, Federal Law
Enforcement Training Center, Glynco Facility, Bldg. 94, Glynco, GA
31524
CC: Chief Financial Officer, Comptroller of the Currency, 250 E
Street, SW, Washington, DC 20219
BEP: Chief Financial Officer, Bureau of Engraving and Printing, 14th &
C Streets, NW, Room 113M, Washington, DC 20228
FMS: Chief Financial Officer, Financial Management Service, 3700 East
West Highway, Room 106A, Hyattsville, MD 20782
Mint: Chief Financial Officer, U.S. Mint, 633 3rd Street, NW, Room
625, Washington, DC 20220
USSS: Financial Management Division, U.S. Secret Service, 1800 G
Street, NW, Room 748, Washington, DC 20226
OTS: Controller, Office of Thrift Supervision, 1700 G Street, NW,
Third Floor, Washington, DC 20552
Notification procedure:
Individuals seeking notification and access to any record contained
in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual
Treasury components appearing at 31 CFR part 1, subpart C, appendices
A-L.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals, private firms, other government agencies, contractors,
documents submitted to or received from a budget, accounting, travel,
training or other office maintaining the records in the performance of
their duties.
Exemptions claimed for the system:
None.
Treasury/DO .211
System name:
Telephone Call Detail Records - Treasury/DO.
System location:
Department of the Treasury, 1425 New York Avenue, NW, Washington DC
20220. Other locations of this records system consisting of the
following Treasury components and their associated field offices are:
Departmental Offices (DO), including the Office of Inspector General
(OIG); Bureau of Alcohol, Tobacco and Firearms (ATF); Comptroller of
the Currency (CC); United States Customs Service (CS); Bureau of
Engraving and Printing (BEP); Federal Law Enforcement Training Center
(FLETC); Financial Management Service (FMS); Internal Revenue Service
(IRS); United States Mint (Mint); Bureau of the Public Debt (BPD);
United States Secret Service (USSS), and the Office of Thrift
Supervision (OTS).
Categories of individuals covered by the system:
Individuals (generally agency employees and contractor personnel) who
make local and/or long distance calls, individuals who received
telephone calls placed from or charged to agency telephones.
Categories of records in the system:
Records relating to the use of Department telephones to place local
and/or long distance calls, whether through the Federal
Telecommunications System (FTS), commercial systems, or similar
systems; including voice, data, and videoconference usage; Foncard
numbers assigned to employees; records of any charges billed to
Department telephones; records relating to location of Department
telephones; and the results of administrative inquiries to determine
responsibility for the placement of specific local or long distance
calls. Telephone calls made to any Treasury Office of Inspector
General Hotline numbers are excluded from the records maintained in
this system pursuant to the provisions of 5 U.S.C., appendix 3,
section 7(b) (Inspector General Act of 1978).
Authority for maintenance of the system:
12 U.S.C. 1, 12 U.S.C. 93a, 12 U.S.C. 481, 5 U.S.C. 301 and 41 CFR
201-21.6.
Purpose(s):
The Department, in accordance with 41 CFR 201-21.6, Use of Government
Telephone Systems, established the Telephone Call Detail program to
enable it to analyze call detail information for verifying call usage,
to determine responsibility for placement of specific long distance
calls, and for detecting possible abuse of the government-provided
long distance network.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information from these records may be disclosed:
(1) To representatives of the General Services Administration or the
National Archives and Records Administration who are conducting
records management inspections under authority of 44 U.S.C. 2904 and
2906; (2) to employees or contractors of the agency to determine
individual responsibility for telephone calls; (3) to appropriate
Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, or where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (4) to a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings where relevant and necessary; (5) to a
telecommunications company providing telecommunication support to
permit servicing the account; (6) to another Federal agency to effect
an interagency salary offset, or an interagency administrative offset,
or to a debt collection agency for debt collection services. Mailing
addresses acquired from the Internal Revenue Service may be released
to debt collection agencies for collection services, but shall not be
disclosed to other government agencies; (7) to the Department of
Justice for the purpose of litigating an action or seeking legal
advice; (8) in a proceeding before a court, adjudicative body, or
other administrative body, before which the agency is authorized to
appear when: (a) The agency, or (b) any employee of the agency in his
or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice has agreed to
represent the employee; or (d) the United States, when the agency
determines that litigation is likely to affect the agency, is a party
to the litigation or has an interest in such litigation, and the use
of such records by the agency is deemed relevant and necessary to the
litigation or administrative proceeding and not otherwise privileged;
(9) to a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (10) to unions
recognized as exclusive bargaining representatives under the Civil
Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, the Merit Systems
Protection Board, arbitrators, the Federal Labor Relations Authority,
and other parties responsible for the administration of the Federal
labor-management program for the purpose of processing any corrective
actions or grievances or conducting administrative hearings or appeals
or if needed in the performance of other authorized duties; (11) to
the Defense Manpower Data Center (DMDC), Department of Defense, the
U.S. Postal Service, and other Federal agencies through authorized
computer matching programs to identify and locate individuals who are
delinquent in their repayment of debts owed to the Department, or one
of its components, in order to collect a debt through salary or
administrative offsets; (12) in response to a Federal agency's request
made in connection with the hiring or retention of an individual,
issuance of a security clearance, license, contract, grant, or other
benefit by the requesting agency, but only to the extent that the
information disclosed is relevant and necessary to the requesting
agency's decision on the matter.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made
from this system to ``consumer reporting agencies'' as defined in the
Fair Credit Reporting Act (15 U.S.C. 1681(f)) or the Federal Claims
Collections Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Microform, electronic media, and/or hard copy media.
Retrievability:
Records may be retrieved by individual name, component headquarters
and field offices, by originating or terminating telephone number, by
Foncard number, by time of day, identification number or assigned
telephone number.
Safeguards:
Protection and control of any sensitive but unclassified (SBU)
records are in accordance with TD P 71-10, Department of the Treasury
Security Manual, and any supplemental guidance issued by individual
components.
Retention and disposal:
Records are maintained in accordance with National Archives and
Records Administration General Records Schedule 23. Hard copy and
microform media disposed by shredding or incineration. Electronic
media erased electronically.
System manager(s) and address:
Department of the Treasury: Official prescribing policies and
practices - Director, Office of Telecommunications Management,
Department of the Treasury, Room 2150, 1425 New York Avenue, NW,
Washington, DC 20220. The system managers for the Treasury components
are:
DO: Chief, Telecommunications Branch, Automated Systems Division,
Room 1121, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
OIG: Assistant Inspector General for Policy, Planning and Resources,
Office of the Inspector General, Department of the Treasury, Room
7119, 1201 Constitution Avenue, NW, Washington, DC 20220.
ATF : Chief, Telecommunications Services Branch, 650 Massachusetts
Avenue, NW, Washington, DC 20552.
CC: Associate Director, Telecommunications, Systems Support Division,
Office of the Comptroller of the Currency, 835 Brightseat Road,
Landover, MD 20785.
CS: Chief, Voice Communications, Office of Systems Engineering and
Operations, Field Office Division, 7681 Boston Boulevard, Springfield,
VA 22153.
BEP: Deputy Associate Director (Chief Information Officer), Office of
Information Systems, Bureau of Engraving and Printing, Room 711A, 14th
and C Street, SW, Washington, DC 20228.
FLETC: Information Systems Officer, Information Systems Division, ISD-
Building 94, Glynco, GA 31524.
FMS: Manager, Programs Branch, Room 135, 3700 East West Highway,
Hyattsville, MD 20782.
IRS: Official prescribing policies and practices--National Director,
Network and Systems Management, Internal Revenue Service, 1111
Constitution Avenue, NW, Washington, DC 20224. Office maintaining the
system--Director, Detroit Computing Center, (DCC), 1300 John C. Lodge
Drive, Detroit, MI 48226.
Mint: Assistant Director for Management Services, Telecommunications
Division, 633 3rd Street, NW, Washington, DC 20220.
BPD: Official prescribing policies and practices--Assistant
Commissioner (Office of Automated Information Systems), 200 Third
Street, Room 202, Parkersburg, WV 26106-1328. Office maintaining the
system--Division of Technical Services, 200 Third Street, Room 107,
Parkersburg, WV 26106- 1328.
USSS: Chief, Information Resources Management Division, 1800 G Street,
NW, Room 1000, Washington, DC 20223.
OTS: Assistant Director for Information Resources Management, 1700 G
Street, NW, 2nd Floor, Washington, DC 20552.
Notification procedure:
Individuals seeking notification and access to any record contained
in the system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual
Treasury components appearing at 31 CFR part 1, subpart C, appendices
A-M.
Record access procedures:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in accordance with instructions pertaining to individual
Treasury components appearing at 31 CFR part 1, subpart C, appendices
A-M.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Telephone assignment records, call detail listings, results of
administrative inquiries to individual employees, contractors or
offices relating to assignment of responsibility for placement of
specific long distance or local calls.
Exemptions claimed for the system:
None.
Bureau of Engraving and Printing
Treasury/BEP .002
System name:
Personal Property Claim File--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
Civilian officers and employees of the Bureau of Engraving and
Printing, former employees and their survivors having claim for damage
to or loss of personal property incident to their service.
Categories of records in the system:
Contains investigative and adjudication documents relative to
personal property damage claim.
Authority for maintenance of the system:
Military Personnel and Civilian Employees' Claims Act of 1964, as
amended, Pub. L. 88-558.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder.
Retrievability:
By name.
Safeguards:
Access is limited to Office of Chief Counsel staff.
Retention and disposal:
Retained three years after case is closed, then destroyed.
System manager(s) and address:
Office of Chief Counsel, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals having claim for damage to or loss of personal property.
Exemptions claimed for the system:
None.
Treasury/BEP .004
System name:
Counseling Records--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228, and Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
Employees whose actions or conduct warrants counseling.
Categories of records in the system:
Contains correspondence relative to counseling information and
follow-up reports.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains, contingent upon that individual signing a release
of information form; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide general educational information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (7) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
By name.
Safeguards:
Locked in file cabinets; access is limited to EEO and Employee
Counseling Services staff.
Retention and disposal:
Retained for one year after close of file, then destroyed.
System manager(s) and address:
EEO and Employee Counseling Services Staff Manager, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employee.
Exemptions claimed for the system:
None.
Treasury/BEP .005
System name:
Compensation Claims--Treasury/BEP.
System location:
Compensation Staff, Safety and Health Policy Division, Office of
Safety and Health Management, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228. Safety and Occupational
Health Staff, Room A117, Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Fort Worth, Texas 76131.
Categories of individuals covered by the system:
Bureau of Engraving and Printing employees incurring work-connected
injuries or illnesses, who make claims under Federal Employee
Compensation Act for medical expenses, continuation of pay or
disability.
Categories of records in the system:
All pertinent documentation, including investigative reports, medical
reports, forms, letters to BEP Office of Financial Management
authorizing continuation of pay, Labor Department reports, etc.
relative to work-connected injuries or illnesses of employees.
Authority for maintenance of the system:
Federal Employees Compensation Act, as amended, Pub. L. 93-416.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder, magnetic media and computer disks.
Retrievability:
Name and date of injury.
Safeguards:
Locked file cabinets, locked computers, passwords. Back-up discs
locked in file cabinets. Access is limited to Compensation Claims
staff and Safety managers.
Retention and disposal:
Records are retained for three years after last entry, then
destroyed.
System manager(s) and address:
Manager, Safety and Health Policy Division, Office of Safety and
Health Management, Bureau of Engraving and Printing, 14th and C Street
SW, Washington, DC 20228.
Manager, Safety and Occupational Health Staff, Room A117, Bureau of
Engraving and Printing, Western Currency Facility, 9000 Blue Mound
Road, Fort Worth, Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Occupational Health Unit Daily Report, medical providers, employee's
supervisor's report, and information provided by the employee.
Exemptions claimed for the system:
None.
Treasury/BEP .006
System name:
Debt Files (Employees)--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
All Bureau of Engraving and Printing employees on whom debt
complaints are received.
Categories of records in the system:
Contains employee's name, complaint information, court judgements,
counseling efforts, receipts, and final disposition of complaint.
Authority for maintenance of the system:
Federal Personnel Manual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
By name.
Safeguards:
Maintained in locked cabinets; access is limited to Employee and
Labor Relations Branch and Payroll, Personnel Services Division
personnel.
Retention and disposal:
Retained for two years, then destroyed.
System manager(s) and address:
Chief, Office of Personnel, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Employees, Complainants, and Court Judgements.
Exemptions claimed for the system:
None.
Treasury/BEP .014
System name:
Employee's Production Record--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
All current Washington, DC Bureau of Engraving and Printing
employees.
Categories of records in the system:
Contains employee's name, dates, work hours, record of production,
history of work assignments, training, work performance, and progress
reports.
Authority for maintenance of the system:
5 U.S.C. 301, 4103 and 4302.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in data entry diskettes, file folders and production
books.
Retrievability:
Indexed by name, work code number and cross-referenced by project
number.
Safeguards:
Maintained in locked cabinets or desks; access is limited to
personnel having a ``need-to-know.''
Retention and disposal:
Retained three years, then destroyed.
System manager(s) and address:
Office of Chief Counsel; Chief, Office of Equal Employment
Opportunity and Employee Counseling Services; Chief, Office of
Personnel; Chief, Office of Currency Production; Chief, Office of
Engraving; Chief, Office of Stamp Production; Chief, Office of
Production Support; Chief, Office of Procurement; Chief, Office of
Production Management; Chief, Office of Communications; Chief Office
of Currency Standards; Chief, Office of Environmental Protection;
Chief, Office of Advanced Counterfeit Deterrence; Address: Bureau of
Engraving and Printing; 14th and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing; 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information furnished by employee, developed by supervisor or by
referral document.
Exemptions claimed for the system:
None.
Treasury/BEP .016
System name:
Employee Suggestions--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228, and Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
All Bureau of Engraving and Printing employees submitting suggestions
under the incentive award program.
Categories of records in the system:
Contains employee's suggestion, reviewer evaluation and final
disposition information.
Authority for maintenance of the system:
Title 5, U.S.C., 4502 (c).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders, as well as on computer disks.
Retrievability:
Indexed by name.
Safeguards:
Maintained in locked file cabinets; access is limited to Compensation
Division Personnel, the Chief, Office of Currency Manufacturing, and
the employee's supervisor.
Retention and disposal:
Retained for three years following date of submission, then
destroyed.
System manager(s) and address:
Chief, Office of Personnel, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228, and the Chief, Office of
Currency Manufacturing, Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Notification procedure:
Individuals wishing to be notified if they are identified in this
system or gain access to records maintained in the system must submit
a request containing the following elements: (1) Identification of the
record system; (2) identification of the category and types of records
sought; (3) at least two items of identification (e.g., name and date
of birth, employee identification number, date of employment or
similar information). Address inquiries to Disclosure Officer, Bureau
of Engraving and Printing, 14th and C Streets, SW, Washington, DC
20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employee, employee's supervisor and review committee.
Exemptions claimed for the system:
None.
Treasury/BEP .020
System name:
Industrial Truck Licensing Records--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228, and Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
Bureau of Engraving and Printing employees designated to operate
self-propelled material and/or machinery handling equipment.
Categories of records in the system:
Record of employee physical examination, testing, license number and
issue date for purpose of operating one or more types of material
handling equipment used within the Bureau of Engraving and Printing.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder and card file.
Retrievability:
By name.
Safeguards:
Locked file cabinet, access is limited to Industrial Services
Division and the Systems and Distribution Division personnel.
Retention and disposal:
Destroyed three years after license revocation.
System manager(s) and address:
Manager, Industrial Services Division, Office of Inventory
Management, Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228, and the Manager, Systems and Distribution
Division, Bureau of Engraving and Printing, Western Currency Facility,
9000 Blue Mound Road, Ft. Worth, Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Supervisor's request, results of physical examination, and data
obtained during training or practical tests.
Exemptions claimed for the system:
None.
Treasury/BEP .021
System name:
Investigative Files-- Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228, and Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Fort Worth, Texas 76131.
Categories of individuals covered by the system:
Employees, Separated Bureau Employees, Employee Applicants, Visitors
to the Bureau, News-Media Correspondents, Contractor and Service
Company Employees (Current and Separated).
Categories of records in the system:
Category: Security Files, Personnel Clearance Requests, Case Files,
Bank Shortage Letters, Contractor Files, Currency Discrepancy Reports,
Intelligence Files, Stamp Discrepancy Reports, Case Records,
Correspondence from the Public concerning Security Matters, Security
Files Reference Record, Employee Indebtedness Record, Type of
Information: Character references, Police force reports, Previous
employment verifications, Newspaper articles, Social Security numbers,
Laboratory reports to include handwriting results and latent
fingerprint examinations, Law enforcement criminal and subversive
record checks, Court records, Security registers, Residency
information, Reports of shortages or thefts of Bureau products
including subsequent investigations, Personnel records of various
types, Fingerprint card, Photograph, Names of individuals including
those at contractor plants who worked on a shortage involving Bureau
products, Credit checks, Background investigation reports conducted by
Office of Personnel Management, Bureau of Engraving and Printing, the
Internal Revenue Service and other Federal Investigative Agencies,
Disciplinary action recommended and/or received, Military record forms
and extracted information, List of Bureau employees granted security
clearances, Processes served, i.e. summons, subpoenas, warrants, etc.,
Personnel security case numbers, dates--case opened and closed, and
recommendations, Certificate of Security Clearance, Reports of
violations of Bureau regulations and procedures, Bureau visitor
control documents, Correspondence relating to individuals, Claims of
indebtedness from firms and collection agencies and other sources, and
assorted documents, Tape-recorded testimony, Type of Information:
Bureau investigation reports, Information supplied by Law Enforcement
agencies, Applicant interview record, Anonymous tips concerning Bureau
employees, Official investigative statements, Names of those
requesting security assistance and report of the assistance rendered,
other pertinent Governmental records, education records and
information, Date of Birth and physical description of individual in
the files.
Authority for maintenance of the system:
Executive Order 10450 and implementing Treasury and Bureau
Regulations and 31 U.S.C. 427.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File Folders, 3 x 5 Index Cards, 5 x 8 Index Cards, Loose-leaf
Binders, Ledgers, Recording Tape, Computer Database Programs, and
Microfiche.
Retrievability:
Numerically by case number and year, alphabetically by name and
social security number, and alphabetically by Company name.
Safeguards:
Access is limited to Office of Security and Western Currency Facility
staff. Records are maintained in locked file cabinets and secured
computers.
Retention and disposal:
Destroyed within 90 days following notification of an employee's
death, or, within five years after separation or transfer of incumbent
employee; or, five years after expiration of contractual relationship.
Product Discrepancy Investigative Reports and Bank Letter
Investigative Reports are retained indefinitely.
System manager(s) and address:
Chief, Office of Security, Bureau of Engraving and Printing, 14th and
C Streets, SW, Washington, DC 20228; Head, Police and Security Branch,
Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue
Mound Road, Fort Worth, Texas 76131.
Notification procedure:
Individuals wishing to be notified if they are identified in this
system or gain access to records maintained in the system must submit
a request containing the following elements: (1) Identification of the
record system; (2) identification of the category and types of records
sought; (3) at least two items of identification (e.g., name and date
of birth, employee identification number, date of employment or
similar information). Address inquiries to Disclosure Officer, Bureau
of Engraving and Printing, 14th and C Streets, SW, Washington, DC
20228
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The sources of the information are the individual concerned and
information supplied by Federal, State and local investigative
agencies, credit bureaus, financial institutions, court records,
educational institutions, and individuals contacted concerning the
person being investigated.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(2).
Treasury/BEP .023
System name:
Motor Vehicle Licensing Records--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
Bureau of Engraving and Printing employees designated to operate
passenger vehicles, trucks, and/or vans for Bureau business.
Categories of records in the system:
Record of employee physical examination, testing, license number and
issue date for purpose of operating passenger and/or truck vehicles.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder and card file.
Retrievability:
By name.
Safeguards:
Kept in locked file cabinets; access is limited to Motor Vehicle
Operation Foreman.
Retention and disposal:
Retained three years, then destroyed.
System manager(s) and address:
Manager, Administrative Services Division, Office of Management
Services, Bureau of Engraving and Printing, 14th and C Streets, SW,
Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Supervisor's request, results of physical examination, and data
obtained during training or practical tests.
Exemptions claimed for the system:
None.
Treasury/BEP .027
System name:
Programmable Access Security System (PASS)--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228 and Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Fort Worth, Texas 76131.
Categories of individuals covered by the system:
Bureau of Engraving and Printing Employees (Washington, DC and Fort
Worth, Texas); employees of the Bureau of the Public Debt (BPD) who
are assigned to work at the 12th and C streets SW, Washington, DC.
facility; employees of other U.S. Government agencies who have been
cleared for access to the Bureau of Engraving and Printing and issued
BEP Access Badges, and contractor and service company employees of the
Bureau of Engraving and Printing and the Bureau of Public Debt who
have been cleared for access to either bureau.
Categories of records in the system:
(A) The following information is maintained concerning all
individuals who are issued BEP and BPD access badges with photographs:
Photograph; full name; Social Security number; date of birth; badge
number; badge photograph background color; supervisory status, work
telephone; work area number; BEP access clearance level; date BEP
access level granted; date last security background investigation was
completed; type of last security background investigation conducted;
BEP access level; BEP access time zone; date access badge issued; date
access badge voided; time, date and location of each passage through a
security control point. (B) In the case of BEP and BPD employees and
contractors issued ``Temporary Access'' badges and contractors and
other issued ``No Escort'' badges, in lieu of his/her BEP access badge
with photograph, the same information as in paragraph A (above) is
kept. (C) Official visitors, contractors, and others issued ``Escort
Visitor'' badges: No information is maintained in the BEP PASS.
Authority for maintenance of the system:
31 U.S.C. 321, 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Magnetic media and computer printouts.
Retrievability:
Numerical by PASS/badge number, alphabetically by last name, and
appropriate index by subject.
Safeguards:
Records are maintained in locked cabinets in a locked room; access is
limited to Physical Security Branch staff, Office of Security, Senior
management of the Office of Security, the staff of Internal Review
Division, Office of Management Control, and at the fort Worth, Texas,
facility. On-line CRT terminals are installed in a locked computer
room in two (2) 24-hour manned police offices and selected Office of
Security staff offices which are locked. These latter terminals are on
lines that are manually activated and deactivated in the PASS computer
facility. Access to these terminals is limited to Office of Security
staff. Passwords further limit the extent of access to computer stored
information. BEP, BPD and other U.S. Government agency managers and
supervisors have access to information pertaining to their
subordinates for official purposes as specified in the Record Source
Categories.
Retention and disposal:
Retention period is for two (2) years.
System manager(s) and address:
Head, Physical Security Branch, Office of Security, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228
and Head, Technical Security Support Branch, Bureau of Engraving and
Printing, Western Currency Facility, 9000 Blue Mound Road, Fort Worth,
Texas 76131.
Notification procedure:
Individuals wishing to be notified if they are identified in this
system or gain access to records maintained in the system must submit
a request containing the following elements: (1) Identification of the
record system; (2) identification of the category and types of records
sought; (3) at least two items of identification (e.g., name and date
of birth, employee identification number, date of employment or
similar information). Address inquiries to Disclosure Officer, Bureau
of Engraving and Printing, 14th and C Streets, SW, Washington, DC
20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The individual concerned, his/her supervisor, or an official of the
individual's firm or agency.
Exemptions claimed for the system:
None.
Treasury/BEP .035
System name:
Tort Claims (Against the United States)--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
Individuals and/or organizations making claim for money damage
against the United States for injury to or loss of property or
personal injury or death caused by neglect, wrongful act, or omission
of a Bureau of Engraving and Printing employee while acting within the
scope of his office or employment.
Categories of records in the system:
Contains investigative and adjudication documents relative to
personal injury and/or property damage claims.
Authority for maintenance of the system:
Federal Tort Claims Act, Title 28 U.S.C. 2672, Pub. L. 89-506.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (6) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folder.
Retrievability:
By name.
Safeguards:
Access is limited to Office of Chief Counsel staff.
Retention and disposal:
Retained three years, then destroyed.
System manager(s) and address:
Office of Chief Counsel, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual or organization's claim and/or investigative reports.
Exemptions claimed for the system:
None.
Treasury/BEP .038
System name:
Unscheduled Absence Record--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228, and Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
All Bureau of Engraving and Printing employees who have had
unscheduled absences.
Categories of records in the system:
Record contains chronological documentation of unscheduled absences.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (6) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders.
Retrievability:
By name.
Safeguards:
Kept in locked file cabinets; access to these records is restricted
to Supervisor and authorized timekeeping personnel.
Retention and disposal:
Retained for one year following separation or transfer, then
destroyed.
System manager(s) and address:
Chief, Office of Personnel, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228, and Personnel Division,
Bureau of Engraving and Printing, Western Currency Facility, 9000 Blue
Mound Road, Ft. Worth, Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employee's time and attendance records, and his/her
supervisor.
Exemptions claimed for the system:
None.
Treasury/BEP .040
System name:
Freedom of Information and Privacy Acts Requests--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
Individuals who are requesting information.
Categories of records in the system:
Correspondence pursuant to the Freedom of Information and Privacy
Acts; internal processing documents and memoranda, referrals and
copies of requested records.
Authority for maintenance of the system:
Freedom of Information Act, 5 U.S.C. 552, 31 CFR part 1, and Privacy
Act of 1974, 5 U.S.C. 552a.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
in response to a subpoena, or in connection with criminal law
proceedings; (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) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File folders locked in filing cabinet.
Retrievability:
By name of requester(s) and date of request.
Safeguards:
Filed in locked filing cabinet and released only to those parties
authorized pursuant to the Freedom of Information Act or the Privacy
Act.
Retention and disposal:
Disposition as prescribed by General Records Schedule 14 issued by
the National Archives and Records Administration.
System manager(s) and address:
Office of Management Services, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals who make Freedom of Information and/or Privacy Act
requests. Federal officials responding to Freedom of Information and/
or Privacy Act requests and documents from official records.
Exemptions claimed for the system:
None.
Treasury/BEP .041
System name:
Record of Discrimination Complaints--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228, and Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Ft. Worth, Texas 76131.
Categories of individuals covered by the system:
Employees who have initiated discrimination complaints.
Categories of records in the system:
Data developed as a result of inquiry by the person making the
allegation of discrimination.
Authority for maintenance of the system:
Executive Order 11478.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the records may be used
to: (1) Disclose to EEOC to adjudicate discrimination complaints; (2)
disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (3) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (4) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (5) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) provide information to unions recognized as
exclusive bargaining representatives under the Civil Service Reform
Act of 1978, 5 U.S.C. 7111 and 7114; (7) provide information to third
parties during the course of an investigation to the extent necessary
to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Maintained in file folders. Locked in combination safe.
Retrievability:
By name and case number.
Safeguards:
Access is limited to Complainants and Equal Employment Opportunity
Staff; maintained in locked combination safe.
Retention and disposal:
Retained four years after resolution, then destroyed.
System manager(s) and address:
Chief, Office of EEO and Employee Counseling Services, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individual employees who have discrimination complaints.
Exemptions claimed for the system:
None.
Treasury/BEP .043
System name:
Parking Program Records--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
Bureau and Non-bureau personnel who have applied for carpool parking
privileges.
Categories of records in the system:
Parking space applicant information--shows applicant's name and
address, vehicle make, model and year, vehicle license number, state
registration, work hours, work component, home/work phone numbers.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside the Department.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
5 x 8 card file lettersize file folders, and microcomputer floppy
disks.
Retrievability:
Alphabetically by applicant, or parking space number.
Safeguards:
Access is limited to Office of Management Services staff and
maintained in a locked office.
Retention and disposal:
Destroyed upon change in, or revocation of, parking assignment.
System manager(s) and address:
Chief, Office of Management Services, Bureau of Engraving and
Printing, 14th and C Streets, SW, Washington, DC 20228.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Parking permit applicants.
Exemptions claimed for the system:
None.
Treasury/BEP .044
System name:
Personnel Security Files and Indices - Treasury/BEP.
System location:
Employment Suitability Division, Office of Personnel, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228.
Employment Suitability Branch, Human Resources Management Division,
Room A119, Bureau of Engraving and Printing, Western Currency
Facility, 9000 Blue Mound Road, Fort Worth, Texas 76131.
Categories of individuals covered by the system:
Employee applicants, current and former Bureau employees, contractor
and service company employees.
Categories of records in the system:
Investigative information related to personnel investigations
conducted by the Bureau of Engraving and Printing Security office and
other Federal, State, and local Agencies.
Authority for maintenance of the system:
Executive Order 10450.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
File Folders; 3 x 5'' Index cards, Microfiche and computer records
maintained in an automated database.
Retrievability:
Alphabetically by name and social security number.
Safeguards:
Access is limited to Office of Personnel and Human Resources
Management Division staffs and records are maintained in locked file
cabinets and secured databases.
Retention and disposal:
Destroyed within 90 days following notification that an applicant for
employment was not hired; or upon notification of employee death; or
within five years after separation or transfer of incumbent employee;
or five years after expiration of contractual relationship.
System manager(s) and address:
Chief, Office of Personnel, Bureau of Engraving and Printing, 14th
and C Streets, SW, Washington, DC 20228. Manager, Human Resources
Management Division, Bureau of Engraving and Printing, Western
Currency Facility, 9000 Blue Mound Road, Fort Worth, Texas 76131.
Notification procedure:
Disclosure Officer, Bureau of Engraving and Printing, 14th and C
Streets, SW, Washington, DC 20228.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual employee and information supplied by other Federal
Investigative Agencies.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (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)(5).
Treasury/BEP .045
System name:
Mail Order Sales Customer Files-Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SW, Washington,
DC 20228.
Categories of individuals covered by the system:
Customers ordering engraved prints and numismatic products from the
Bureau of Engraving and Printing through the mail, and those
individuals who have requested that their names be placed on the BEP
mailing list.
Categories of records in the system:
Mail order customer's names, addresses, company names, credit card
numbers and expiration dates; history of customer sales; and inventory
data.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The purposes of the Mail Order Sales Customer Files are to: (1)
Maintain information regarding customers to inform them of BEP
products; (2) provide the capability to research in response to
customer inquiries; and (3) transmit credit card information to
financial institutions for approval or disapproval.
Routine uses of records maintained in the system including categories of
users and the purposes of such uses:
These records and information from these records may be used to
electronically transmit credit card information to obtain approval or
disapproval from the issuing financial institution. Categories of
users include personnel involved in credit card approval.
Disclosure to consumer reporting agencies:
Debt information concerning a Government claim against an individual
is also furnished, in accordance with 5 U.S.C. 552a(b)(12) and Section
3 of the Debt Collection Act of 1982 (Pub. L. 97-365), to consumer
reporting agencies to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and in
electronic media.
Retrievability:
By customer name, order number or customer number.
Safeguards:
Access is limited to those authorized individuals who process orders,
research customer orders or maintain the computer system. In addition,
files and computer data are maintained in a secured area. Access to
electronic records is by password.
Retention and disposal:
Files on customers who have not purchased any products are kept for
two years, after which they are taken out of the active system and
placed in a separate storage file. This file generates two additional
annual mailings after which time they are purged from the system.
(Should a customer reorder after being placed ont this file,they will
be assigned a new customer number and placed back in the main system).
System manager(s) and address:
Chief, Office of Communications, Bureau of Engraving and Printing,
14th and C Streets, SW, Room 515M, Washington, DC 20228.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, gain access to the records, or contest the contents of any
records maintained in this system may inquire in accordance with
instructions appearing in 31 CFR part 1, subpart C, appendix F.
Address inquiries to Disclosure Officer, Bureau of Engraving and
Printing, 14th and C Streets, SW., Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Customers, BEP employees, financial institutions.
Exemptions claimed for the system:
None.
Treasury/BEP .046
System name:
Automated Mutilated Currency Tracking System--Treasury/BEP.
System location:
Bureau of Engraving and Printing, 14th and C Streets, SE, Washington,
DC 20228.
Categories of individuals covered by the system:
Individuals and financial institutions sending in mutilated paper
currency claims.
Categories of records in the system:
Mutilated currency claimants' names, addresses, company names, amount
of claims, amount paid, types of currency and condition of currency.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The purpose of the Automated Mutilated Currency Tracking System is to
maintain historical information and to respond to claimants'
inquiries, e.g., non-receipt of reimbursement, status of case, etc.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (5) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (6)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and
records in electronic media.
Retrievability:
By claimant name, case number, address or registered mail number.
Safeguards:
Access is limited to those specific employees who process the
mutilated currency cases, prepare payment, research inquiries or
maintain the computer system. In addition, files and computer data are
maintained in a secured area. Access to electronic records is by
password.
Retention and disposal:
Active claimant files are maintained for two years. Inactive files
are maintained for seven years. After seven years, the files are
purged from the system and then destroyed. (Inactive files are those
for which final payments have been made.)
System manager(s) and address:
Chief, Office of Currency Standards, Bureau of Engraving and
Printing, 14th and C Streets, SW, Room 344A, Washington, DC 20228.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, gain access to the records, or contest the contents of any
records maintained in this system may inquire in accordance with
instructions appearing in 31 CFR part 1, subpart C, appendix F.
Address inquiries to Disclosure Officer, Bureau of Engraving and
Printing, 14th and C Streets, SW, Washington, DC 20228.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals, banking institutions and BEP employees.
Exemptions claimed for the system:
None.
Federal Law Enforcement Training Center
Treasury/FLETC .001
System name:
FLETC Payroll/Personnel Records System--Treasury/FLETC.
System location:
FLETC, Office of Administration, Building 94, Glynco, GA 31524.
Systems are also located at other FLETC facilities. (See FLETC
Appendix A for addresses.)
Categories of individuals covered by the system:
Present and former employees.
Categories of records in the system:
All payroll records including Standard Forms 50 and 52, time and
attendance reports, leave status, health and life insurance requests,
payroll deduction requests, employee training, performance
evaluations, retirement records, medical/treatment/ injury records,
and Equal Employment Opportunity and personnel records consisting of
records other than those described and reported by the Office of
Personnel Management on behalf of all agencies.
Authority for maintenance of the system:
5 U.S.C. 301, 5 U.S.C. 4101 et seq; Executive Order No. 11348, dated
April 20, 1967, and Treasury Order 140-01, dated September 20, 1994.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure to the individual's parent agency and Federal regulatory
agencies on a ``need to know'' basis which include the Department of
Labor, Department of Health and Human Services, Merit Systems
Protection Board, Federal and Labor Relations Authority, Equal
Employment Opportunity Commission and the Office of Personnel
Management concerning pay, leave, benefits, retirement deductions, and
other information necessary for OPM to carry out its government-wide
personnel management functions. These records and information in the
records may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or indication of a
violation or potential violation of civil or criminal law or
regulation; (2) disclose information to a Federal, State, or local
agency, maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's or the
bureau's hiring or retention of an individual or issuance of a
security clearance, license, contract, grant, or other benefit; (3)
disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a subpoena, or
in connection with criminal law proceeding; (4) disclose information
to foreign governments in accordance with formal or informal
international agreements; (5) provide information to a congressional
office in response to an inquiry made at the request of the individual
to whom the record pertains; (6) provide information to the news media
in accordance with guidelines contained in 28 CFR 50.2 which relate to
an agency's functions relating to civil and criminal proceedings; (7)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files, microfiche and various electronic mediums. FLETC
computers access the TIMIS payroll and personnel system.
Retrievability:
Social Security Number, name, position, and/or organizational
element.
Safeguards:
Physical security, personal access codes, and identification
confirmations are all used to prevent unauthorized disclosure of
records.
Retention and disposal:
Disposition as prescribed by General Records Schedules 1 and 2 issued
by the National Archives and Records Administration. For more
information contact: Records Management Officer, FLETC, Building 94,
Glynco, GA 31524.
System manager(s) and address:
Director, Office of Administration, Building 94, FLETC, Glynco, GA
31524.
Notification procedure:
The individual must provide full name, Social Security Number, and
date of employment at the FLETC to the System Manager.
Record access procedures:
By written request to the System Manager.
Contesting record procedures:
See ``Record access'' above.
Record source categories:
The employee on whom the record is maintained, prior employers,
client agencies and the FLETC.
Exemptions claimed for the system:
None.
Treasury/FLETC .002
System name:
FLETC Trainee Records--Treasury/FLETC.
System location:
FLETC, Office of Administration, Building 94, Glynco, GA 31524.
Systems are also located at the FLETC facilities located in Artesia,
NM and Tucson, AZ. (See FLETC appendix A for addresses.)
Categories of individuals covered by the system:
Any person who officially attends a FLETC-sponsored Training Program,
Symposium, or similar event.
Categories of records in the system:
Personal background information supplied by the trainee; grades and
performance or conduct evaluations, advisory letters to parent
agencies, class rosters/photographs and relevant health/physical
conditioning.
Authority for maintenance of the system:
Treasury Order 140-01, dated September 20, 1993, and Memorandum of
Understanding for the Sponsorship and Operation of the Consolidated
Federal Law Enforcement Training Center, dated September 30, 1970.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure upon request to the individual;s parent agency, to a
prospective Federal employer, and to other government officials
involved in training or research. These records and information in the
records may be used to: (1) Disclose to the Office of Personnel
Management concerning pay, leave, benefits, retirement deductions, and
other information necessary for OPM to carry out its government-wide
personnel management functions; (2) disclose pertinent information to
appropriate Federal, state, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (3)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (4) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (9) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Disk, tape, and paper files.
Retrievability:
Name, class number, and Social Security Number.
Safeguards:
Access to these systems of records will be controlled by software,
hardware, and other physical security procedures. Software will be
used to ensure, in all technically feasible ways, that data cannot be
made available to unauthorized persons. User-identifiers and passwords
will be used where feasible to protect the data. Physical security
will protect all terminals, disks and tapes, and paper archives from
access by unauthorized persons. Offices will be locked except when
authorized persons are present. Warehoused paper records are secured,
the building alarmed, and access controlled by the Records Management
Officer.
Retention and disposal:
All records are retained and disposed of in accordance with the
General Records Schedule issued by the National Archives and Records
Administration. For more information contact: Records Management
Officer, FLETC, Building 94, Glynco, GA 31524.
System manager(s) and address:
Director, Office of Administration, Building 94, FLETC, Glynco, GA
31524.
Notification procedure:
The individual must provide full name, Social Security Number, date
of birth, parent agency, type of course and approximate dates of
attendance to the System Manager.
Record access procedures:
By formal letter to the System Manager.
Contesting records procedures:
See ``Record access procedures'' above.
Record source categories:
The trainee himself and members of the staff responsible for the
administrative processing and training of that individual.
Exemptions claimed for the system:
None.
Treasury/FLETC .004
System name:
FLETC Administrative Records--Treasury/FLETC.
System location:
FLETC, Office of Administration, Building 94, Glynco, GA 31524.
Systems are also located at the FLETC facilities located in Artesia,
NM and Tucson, AZ. (See FLETC appendix A for addresses.)
Categories of individuals covered by the system:
Students, current employees, past employees, employees of client
agencies, contractor employees, guests, and visiting personnel.
Categories of records in the system:
Access Control/ Identification, Vehicle Registration and Driver
Violation, Equipment Control, Property Pass/Accountability, Lost and
Found, Key Assignment, Safety and Occupational Health Program,
Security Incident, Emergency Services, Administrative Inquiry, and
Instructor Management records and Resource and Marketing Mailing
Lists.
Authority for the maintenance of the system:
Treasury Order 140-01, dated September 20, 1994.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Disclosure to the contract employer, the individual's parent agency,
and Federal regulatory agencies on a ``need to know'' basis. These
records and information in the records may be used to: (1) Disclose
pertinent information to appropriate Federal, State, local or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license, where the disclosing agency becomes aware of an
indication of a violation or potential violation of civil or criminal
law or regulation; (2) disclose information to a Federal, State, or
local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Various electronic mediums and paper files.
Retrievability:
Name, Social Security Number, employer, and/or organizational
element.
Safeguards:
Physical security, personnel screening and computer passwords are all
used to prevent unauthorized disclosure of records.
Retention and disposal:
Disposition as prescribed by the General Records Schedules.
System manager(s) and address:
Director, Office of Administration, Building 94, FLETC, Glynco, GA
31524.
Notification procedure:
The individual must provide full name, social security number, and
dates of duty at the Center to the System Manager.
Record access procedures:
By written request to the System Manager.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The individual on whom the record is maintained, client agencies,
employers, and the FLETC.
Exemptions claimed for the system:
None.
FLETC Appendix A
Federal Law Enforcement Training Center, Glynco, GA 31524
Federal Law Enforcement Training Center, Washington Office, 650
Massachusetts Avenue, NW, Washington, DC 20226
Federal Law Enforcement Training Center, Artesia Facility, 1300 W.
Richey Avenue Artesia, NM 88210
Federal Law Enforcement Training Center, Building 4310, 3rd Fl Davis-
Monthan Air Force Base Tucson, AZ 85707
Financial Management Service
Treasury/FMS .001
System name:
Administrative Records--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury, Prince
George Metro Center II, 3700 East-West Highway, Room 135, Hyattsville,
MD 20782. Also, please see appendix I.
Categories of individuals covered by the system:
Financial Management Service personnel.
Categories of records in the system:
(1) Motor Vehicle Drivers Permits. (2) Motor Vehicle Accident
Reports. (3) Parking Permits. (4) Distribution List of individuals
requesting various Treasury publications. (5) Treasury Credentials.
Authority for maintenance of the system:
5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to GSA for drivers permits, parking permits, accident
reports, and credentials; (2) disclose to GPO for servicing public on
Treasury publications.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hardcopy and microcomputer.
Retrievability:
By name and by Treasury publication.
Safeguards:
Locked containers. Administrative Procedure - names are not given to
anyone except those who control the listing.
Retention and disposal:
(1) Motor Vehicle Drivers Permits - destroy 3 years from date of
separation or 3 years after rescission of authorization. (2)
Distribution List - destroy one year after declared obsolete. (3)
Motor Vehicle Accident Reports - six years after closure of the case.
(4) Parking permits and Treasury Credentials - destroy 3 months after
return to issuing officer.
System manager(s) and address:
Director, Facilities Management Division, Financial Management
Service, U.S. Department of the Treasury, Prince George Metro Center
II, 3700 East-West Highway, Room 127, Hyattsville, MD 20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be sent to the
Disclosure Officer, Financial Management Service, U.S. Department of
the Treasury, Liberty Center Building, 401 14th St., SW, Washington,
DC 20227. All individuals making inquiries should provide with their
request as much descriptive matter as is possible to identify the
particular record desired. The Systems Manager will advise as to
whether the Service maintains the record requested by the individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All
individuals are urged to examine the rules of the U.S. Department of
the Treasury published in 31 CFR part 1, subpart C concerning
requirements of this Department with respect to the Privacy Act of
1974.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Financial Management Service personnel.
Exemptions claimed for the system:
None.
Appendix to FMS .001
Motor Vehicle Drivers Permits: Prince George Center
II, 3700 East--West Highway, Hyattsville, MD
20782
Motor Vehicle Accident Reports: (1) Prince George
Metro Center II, 3700 East--West Highway, Room
135, Hyattsville, MD 20782. (2) Ardmore East
Business Center 3361-L 75th Avenue Landover, MD
20785
Parking Permits: Prince George Center II, 3700
East--West Highway, Room 127, Hyattsville, MD
20782
Distribution List: (1) Ardmore East Business Center,
3361-L 75th Avenue, Landover, MD 20785 (2)
Liberty Center Building, 401 14th Street, SW,
Room 259, Washington, DC 20227
Treasury Credentials: Prince George Metro Center II,
3700 East--West Highway, Room 158-B, Hyattsville,
MD 20782.
Treasury/FMS .002
System name:
Payment Issue Records for Regular Recurring Benefit Payments--
Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury,
Liberty Center Building, 401 14th Street, SW, Washington, DC 20227.
Records maintained in Financial Centers in six Regions: Austin, TX;
Birmingham, AL; Chicago, IL; Kansas City, KS; Philadelphia, PA; and
San Francisco, CA. Also maintained in all Federal Record Centers by
NARA.
Categories of individuals covered by the system:
(1) Beneficiaries of Title II of the Social Security Act.
(2) Beneficiaries of Title XVI of the Social Security Act.
(3) Beneficiaries of the Civil Service Retirement System.
(4) Beneficiaries of the Railroad Retirement System.
(5) Beneficiaries of the Department of Veterans Affairs
(6) Holders of Series H and HH Bonds (interest payment).
Categories of records in the system:
Payment issue records for regular recurring benefit payments showing
name, check number and symbol, or other identification, address,
account number, payment amount, and date of issuance for each of the
categories of individuals listed above.
Authority for maintenance of the system:
5 U.S.C. 301; Executive Order 6166, dated June 10, 1933.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to banking industry for payment verification; (2) disclose to
Federal investigative agencies, Departments and agencies for whom
payments are made, and payees; (3) disclose pertinent information to
appropriate Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (4)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (5) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (6) disclose information to foreign
governments in accordance with formal or informal international
agreements; (7) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (8) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (9)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; and (10) provide information to third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Microfilm-magnetic tape for categories of individuals 1 through 6.
Retrievability:
By account number.
Safeguards:
Computer password system, card-key entry system, limited to
authorized personnel.
Retention and disposal:
Indefinitely.
System manager(s) and address:
Chief, Disbursing Officer, Financial Management Service, 401 14th
Street, SW, Washington, DC 20227.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th Street, SW,
Washington, DC 20227. All individuals making inquiries should provide
with their request as much descriptive matter as is possible to
identify the particular record desired. The Systems Manager will
advise as to whether the Service maintains the record requested by the
individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All
individuals are urged to examine the rules of the U.S. Department of
the Treasury published in 31 CFR, part 1, subpart C concerning
requirements of this Department with respect to the Privacy Act of
1974.
Contesting record procedures:
See``Record access procedures'' above.
Record source categories:
Voucher certifications by Departments and agencies for whom payments
are made.
Exemptions claimed for the system:
None.
Treasury/FMS .003
System name:
Claims and Inquiry Records on Treasury checks, and International
Claimants--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury, Prince
George Metro Center II, 3700 East-West Highway, Room 727D,
Hyattsville, MD 20782.
Categories of individuals covered by the system:
(1) Payees and holders of Treasury checks, (2) Claimants awarded
benefits under the War Claims Act and the International Claims
Settlement Act of 1949.
Categories of records in the system:
(1) Treasury check claim file: Treasury check, claim of payee with
name and address, settlement action taken. (2) Awards for claims for
losses sustained by individuals.
Authority for maintenance of the system:
5 U.S.C. 301; (1) For Treasury check claims - 31 U.S.C. 71 with
delegation of authority from Comptroller General of the United States;
(2) International claims - 50 U.S.C. 2012; 22 U.S.C. 1627, 1641, 1642.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Information is routinely disclosed to endorsers concerning checks
for which there is liability, Federal agencies, State and local law
enforcement agencies, General Accounting Office, Congressional offices
and media assistance offices on behalf of payee claimants. (2)
International Claims - Information in files is used by claimants
(awardees) and their representatives, Foreign Claims Settlement
Commission, and Congressmen. These records and information in the
records may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (4) disclose information to foreign
governments in accordance with formal or informal international
agreements; (5) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (7) To
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114, and (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
(1) Claim file folders, card/paper checks, microfilm, and magnetic
media. (2) Correspondence files. (3) Claim file folders.
Retrievability:
(1) Name of payee and check number and symbol. (2) Alpha cross-
reference to case number. (3) Name of claimant or alpha reference to
claim number.
Safeguards:
(1) Secured building, (2) Secured files in secured building.
Retention and disposal:
(1) Claim files and checks, six years seven months; Microfilm,
indefinitely. (2) Correspondence files - seven years. (3) Claim file
folders - indefinitely.
System manager(s) and address:
Category 1: Director, Financial Processing Division, Prince George
Metro Center II, 3700 East-West Highway, Room 727D, Hyattsville, MD
20782. Category 2: Director, Funds Management Division, Prince George
Metro Center II, 3700 East-West Highway, Room 620D, Hyattsville, MD
20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th St., SW,
Washington, DC 20227. All individuals making inquiries should provide
with their request as much descriptive matter as is possible to
identify the particular record desired. The Systems Manager will
advise as to whether the Service maintains the record requested by the
individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to: Disclosure Officer, Room 341-A, Financial Management
Service, U.S. Department of the Treasury, 401 14th Street, SW,
Washington, DC 20227. All individuals are urged to examine the rules
of the U.S. Department of the Treasury published in 31 CFR part 1,
subpart C concerning requirements of this Department with respect to
the Privacy Act of 1974.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(1) Individual payees of Treasury checks, endorsers of Treasury
checks, investigative agencies, contesting claimants. (2) Awards
certified to Treasury for payment by Foreign Claims Settlement
Commission.
Exemptions claimed for the system:
None.
Treasury/FMS .005
System name:
FMS Personnel Records--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury, 401
14th ST., SW, Washington, DC 20227; Financial Management Service, U.S.
Department of the Treasury, Prince George Metro Center II, 3700 East-
West Highway, Hyattsville, MD 20782.
Categories of individuals covered by the system:
All Employees of Service (Separated employees - in certain cases) and
applicants.
Categories of records in the system:
(1) Locator Cards. (2) Incentive Awards Record. (3) Official
Personnel Folder. (4) Personnel Roster. (5) Logs of SF-52's, (6)
Correspondence File. (7) Position Listings. (8) Position Descriptions
with Evaluation Statements. (9) Personnel Management Evaluation Survey
Reports. (10) Applicant Supply File. (11) Request for Certification
File. (12) Merit Promotion File. (13) Exit Interview File. (14)
Performance File. (15) Statistical Reports - retrievable by names: (a)
Personnel Status Report, (b)Ad Hoc Retiree Report, (c) Monthly EEO
report, (d) Direct Hire Authority Report, (e) Registers Worked File,
(f) Statements of Employment and Financial Interest, and (g) Other
similar files or registers. (16) Training Course Nominations. (17)
Evaluation of Training Program. (18) Tuition Assistance Files. (19)
Senior Executive Service Development File. (20) Management Development
File.
Authority for maintenance of the system:
Executive Order 10561, dated September 13, 1954, Federal Personnel
Manual, and Title 5 of U.S.C. Code.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license, where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation; (2) disclose information to a Federal,
State, or local agency, maintaining civil, criminal or other relevant
enforcement information or other pertinent information, which has
requested information relevant to or necessary to the requesting
agency's or the bureau's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit; (3) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (4) disclose information to foreign governments in
accordance with formal or informal international agreements; (5)
provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (6) provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings; (7) To provide
information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114, and (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard copy and magnetic storage.
Retrievability:
Alphabetically by name; also in some instances by organization, then
Social Security number.
Safeguards:
Secured building, secured room, and locked cabinets. Non--FMS access
is limited to investigators from OPM, etc., members of Fair Employment
staff and Union officials.
Retention and disposal:
Records are maintained and disposed of in accordance with General
Records Schedules issued by the National Archives and Records
Administration.
System manager(s) and address:
Director, Human Resources Division, Financial Management Service,
U.S. Department of the Treasury, Prince George Metro Center II, 3700
East-West Highway, Room 113-F, Hyattsville, MD 20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th St., SW,
Washington, DC 20227. All individuals making inquiries should provide
with their request as much descriptive matter as is possible to
identify the particular record desired. The Systems Manager will
advise as to whether the Service maintains the record requested by the
individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All
individuals are urged to examine the rules of the U.S. Department of
the Treasury published in 31 CFR part 1, subpart C concerning
requirements of this Department with respect to the Privacy Act of
1974.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Applicant Personnel Action Forms (SF-50), SF-171 (Completed by
applicant), Payroll Actions References, Educational Institutions, etc.
Exemptions claimed for the system:
None.
Treasury/FMS .007
System name:
Payroll and Pay Administration--Treasury/Financial Management
Service.
System location:
Financial Management Service, U.S. Department of the Treasury, Prince
George Metro Center II, 3700 East-West Highway, Room 133, Hyattsville,
MD 20782.
Categories of individuals covered by the system:
All Employees of the Service and Separated Employees.
Categories of records in the system:
(1) Official Payroll Folder (a) Levy and Garnishment Records. (b) SF-
1192--Savings Bond Authorization. (c) SF-1199A--Allotment of Pay to
Saving Account. (d) Copies of SF-50--Notification of Personnel Action.
(e) Withholding Tax Exemptions. (f) Copy of Health Benefit
Designation. (g) Copy of Life Insurance Forms. (h) Payroll Change
Slips. (i) Combined Federal Campaign Designations. (j) Copy of SF-
1150. (2) Time and Attendance Reports (a) SF-71 Request for Leave. (b)
Court Leave Documents. (c) Request for Advancement of Leave. (3)
Payroll Comprehensive Listing (a) Current Payment Information. (b)
Record of Leave Earned and Used. (c) All Deductions from Pay. (d)
Personnel Information such as Grade, Step, Salary, Title, Date of
Birth, Social Security Number, Veterans Preference, Tenure, etc. (4)
Payroll Control Registers.
Authority for maintenance of the system:
Title 5 - Pay, Leave and Allowances.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure permitted to Federal agencies and to State and Local
Agencies for tax purposes.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard copy, microfiche, and magnetic media.
Retrievability:
By Social Security number.
Safeguards:
Secured building, secured room and locked cabinets.
Retention and disposal:
Records are stored, maintained and disposed of in accordance with
General Records Schedules issued by the National Archives and Records
Administration.
System manager(s) and address:
Director, Human Resources Division, Financial Management Service,
Prince George Metro Center II, 3700 East-West Highway, Room 113-F,
Hyattsville, MD 20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer , 401 14th St., SW, Washington, DC 20227. All
individuals making inquiries should provide with their request as much
descriptive matter as is possible to identify the particular record
desired. The Systems Manager will advise as to whether the Service
maintains the record requested by the individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer at the address shown above. All
individuals are urged to examine the rules of the U.S. Department of
the Treasury published in 31 CFR part 1, subpart C concerning
requirements of this Department with respect to the Privacy Act of
1974.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
From individual Service employees.
Exemptions claimed for the system:
None.
Treasury/FMS .008
System name:
Personnel Security Records--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury, Prince
George Metro Center II, 3700 East-West Highway, Room 158-B,
Hyattsville, MD 20782.
Categories of individuals covered by the system:
Financial Management Service Employees, contractor employees, and
applicants for position in the Service.
Categories of records in the system:
Results of investigations, national agency checks and written
inquiries, and other limited investigations.
Authority for maintenance of the system:
Title 5, U.S.C., Chapter 73, Executive Order 10450, as amended, and
Treasury Order 102-3.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The records are reviewed for the purpose of determining the
suitability of Service employees, contractor employees, and applicants
and granting security clearances for employees in sensitive positions.
Users: Federal agencies, Federal, State and Local Law Enforcement
agencies; and credit bureaus. These records and information in the
records may be used to: (1) Disclose pertinent information to
appropriate Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (2)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (4) disclose information to foreign
governments in accordance with formal or informal international
agreements; (5) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (7)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114, and (8) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and computers.
Retrievability:
Filed alphabetically by name and Social Security Number.
Safeguards:
Stored in a safe cabinet secured with a combination lock and/or
magnetic media. Access to the records is restricted to key personnel
who have been granted clearances to occupy critical-sensitive
positions.
Retention and disposal:
The records on employees are retained by the Service during their
employment. The records on applicants not selected and separated
employees are destroyed, sent to the Federal Records Center, or
returned to the investigating agency.
System manager(s) and address:
Director, Program Review Division, Financial Management Service,
Prince George Metro Center II, 3700 East-West Highway, Room 158-B,
Hyattsville, MD 20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, 401 14th Street, SW, Washington, DC 20227. All
individuals making inquiries should provide with their request as much
descriptive matter as is possible to identify the particular record
desired. The Systems Manager will advise as to whether the Service
maintains the record.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer. All individuals are urged to examine
the rules of the U.S. Department of the Treasury published in 31 CFR
part 1, subpart C concerning requirements of this Department with
respect to the Privacy Act of 1974.
Contesting record procedures:
See ``Records access procedures'' above.
Record source categories:
Sources are applicants, employers, former employers, contractor
employers, references, fellow workers, neighbors, educational
authorities, military records, police and criminal records, credit
records and others as required.
Exemptions claimed for the system:
None.
Treasury/FMS .010
System name:
Records of Accountable Officers' authority with Treasury-- Treasury/
Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury,
Liberty Center Building, 401 14th Street, SW, Washington, DC 20227.
Categories of individuals covered by the system:
(1) Regional Directors. (2) Certifying Officers. (3) Designated
Agents.
Categories of records in the system:
Records are maintained on the above listed accountable officers
showing the designation or removal of the officer to act in the
specified capacity pursuant to a proper authorization.
Authority for maintenance of the system:
5 U.S.C. 301; Executive Order 6166, dated June 10, 1933.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to: (1)
Disclose to Banking institutions, Federal Reserve Banks, and
Government agencies for verification of information on authority of
accountable officers to determine propriety of actions taken by such
individuals; (2) disclose pertinent information to appropriate
Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (3)
disclose information to a Federal, State, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit; (4) disclose information
to a court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations, in response to a subpoena, or in connection with
criminal law proceedings; (5) disclose information to foreign
governments in accordance with formal or informal international
agreements; (6) provide information to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (7) provide information to the news media in
accordance with guidelines contained in 28 CFR 50.2 which relate to an
agency's functions relating to civil and criminal proceedings; (8)
provide information to unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; and (9) provide information to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Card files; paper files.
Retrievability:
By name.
Safeguards:
Regional Directors' files are locked.
Retention and disposal:
Hard-copy records are maintained and disposed of in accordance with
General Records Schedules issued by the National Archives and Records
Administration.
System manager(s) and address:
Chief, Disbursing Officer, Financial Management Service, U.S.
Department of the Treasury, 401 14th Street, SW, Room 343, Washington,
DC 20227.
Director, Austin Regional Financial Center, Financial Management
Service, Department of the Treasury, 1619 E. Woodward Street, Austin,
TX 78741.
Director, Birmingham Regional Financial Center, Financial Management
Service, Department of the Treasury, 190 Vulcan Road, Birmingham, AL
35109.
Director, Chicago Regional Financial Center, Financial Management
Service, Federal Office Building, 536 S. Clark Street, Chicago, IL
60605.
Director, Kansas City Regional Financial Center, Financial Management
Service, Department of the Treasury, 2100 W. 36th Avenue, Kansas City,
KS 66103.
Director, Philadelphia Regional Financial Center, Financial Management
Service, 1300 Townsend Road, Philadelphia, PA 19154.
Director, San Francisco Regional Financial Center, 390 Main Street,
San Francisco, CA 94104.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th St., SW,
Washington, DC 20227. All individuals making inquiries should provide
with their request as much descriptive matter as is possible to
identify the particular record desired. The Systems Manager will
advise as to whether the Service maintains the record requested by the
individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer. All individuals are urged to examine
the rules of the U.S. Department of the Treasury published in 31 CFR
part 1, subpart C concerning requirements of this Department with
respect to the Privacy Act of 1974.
Contesting record procedures:
See ``Record accessprocedures'' above.
Record source categories:
Government Departments and Agencies requiring services of Treasury
Department for issuance and payment of Treasury checks.
Exemptions claimed for the system:
None.
Treasury/FMS .012
System name:
Pre-complaint Counseling and Complaint Activities--Treasury/Financial
Management Service.
System location:
Financial Management Service, U.S. Treasury Department, Prince George
Metro Center II, 3700 East-West Highway, Room 132, Hyattsville, MD
20782.
Categories of individuals covered by the system:
Employees seeking services of EEO Counselors.
Categories of records in the system:
Monthly pre-complaint activity reports from seven Financial Centers
and Headquarters.
Authority for maintenance of the system:
5 U.S.C. 7154; 42 U.S.C. 200e-16; Executive Order 11478; and 5 CFR
part 713.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used to keep records on EEO Counseling activities for annual
submission to Treasury.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinet.
Retrievability:
Filed by station and date of receipt.
Safeguards:
Staff supervision is maintained during the day. Records are kept
locked in the files.
Retention and disposal:
Reports destroyed at the end of four years.
System manager(s) and address:
EEO Officer, Financial Management Service, Prince George Metro Center
II, 3700 East-West Highway, Room 132, Hyattsville, MD 20782.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, 401 14th Street, SW, Washington, DC 20227. All
individuals making inquiries should provide with their request as much
descriptive matter as is possible to identify the particular record
desired. The Systems Manager will advise as to whether the Service
maintains the record requested by the individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer. All individuals are urged to examine
the rules of the U.S. Department of the Treasury published in 31 CFR
part 1, subpart C concerning requirements of this Department with
respect to the Privacy Act of 1974.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Monthly submissions by Financial Centers and Headquarters.
Exemptions claimed for the system:
None.
Treasury/FMS .013
System name:
Gifts to the United States--Treasury/Financial Management Service.
System location:
Financial Management Service, U.S. Department of the Treasury, Prince
George Metro Center II, 3700 East-West Highway, Hyattsville, MD 20782.
Categories of individuals covered by the system:
Donors of intervivos and testamentary gifts to the United States.
Categories of records in the system:
Correspondence, copies of wills and court proceedings, and other
material related to gifts to the United States.
Authority for maintenance of the system:
31 U.S.C. 3113.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside of the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Filing cabinets.
Retrievability:
Name of donor.
Safeguards:
Access is limited to persons on official business.
Retention and disposal:
Records are maintained for 10 years.
System manager(s) and address:
Financial Information Management, Directorate, Financial Management
Service, Prince George Metro Center II, 3700 East-West Highway,
Hyattsville, MD 20782.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system 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 (date of birth, employee identification number, dates
of employment or similar information). Address inquiries to Disclosure
Officer (See ``Record access procedures'' below).
Record access procedures:
Disclosure Officer, Financial Management Service, U.S. Department of
the Treasury, Liberty Center Building, 401 14th Street, SW,
Washington, DC 20227.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Individuals, executors, administrators and other involved persons.
Exemptions claimed for the system:
None.
Treasury/FMS .014
System name:
Debt Collection Operations System--Treasury/Financial Management
Service.
System location:
The Debt Collections Operations Staff, Financial Management Service,
U.S. Department of the Treasury, 401 14th Street, SW, Washington, DC
20227.
Categories of individuals covered by the system:
Records are maintained on individuals and entities that are
financially indebted to the U.S. Government through one or more of its
departments and agencies and are the result of participation in a
Federal direct or guaranteed loan program, the assessment of a fine,
fee, or penalty, an overpayment or advance, or other extensions of
credit such as would result from sales of goods or services.
Categories of records in the system:
Information varies, depending on the individual debtor, the type of
indebtedness and the agency to which monies are owed. The system of
records contains information pertaining to: (1) Individuals and
commercial organizations, such as name, Taxpayer Identification Number
(i.e., social security number, or employer identification number),
work and home address, and work and home phone numbers; (2) the
indebtedness, such as the original amount of the debt, the date the
debt originated, the amount of the delinquency/default, the date of
delinquency/default, basis of the debt, amounts accrued for interest,
penalties, and administrative costs, and payments on the account; (3)
actions taken to enforce recovery of the debt, such as copies of
demand letters/invoices, and documents required for the referral of
accounts to collection agencies, or for litigation; and (4) referring
or client agency, such as name, phone number, and address of the
agency contact.
Authority for maintenance of the system:
Federal Claims Collection Act of 1966 (Pub L. 89-508), as amended by
the Debt Collection Act of 1982 (Pub L. 97-365. as amended), and the
Deficit Reduction Act of 1984 (Pub L. 98-369, as amended); 31 U.S.C.
37, Subchapter I (General) and Subchapter II (Claims of the U.S.
Government).
Purpose(s):
The purpose of the system is to maintain a record of individuals and
entities that are indebted to the various Federal Government
departments and agencies and whose accounts are being serviced or
collected by the Financial Management Service (FMS), in accordance
with written agreements reached between the relevant agency
(``client'') and FMS. The records ensure that: Appropriate collection
action on debtors' accounts is taken and properly tracked, monies
collected and credited, and accounts are returned to the appropriate
client at the time the account is collected or closed.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to
disclose information to: (1) Appropriate Federal, state, local or
foreign agencies responsible for investigating or implementing, a
statute, rule, regulation, order, or license; (2) a court, magistrate,
or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a subpoena, or in connection with criminal law
proceedings; (3) a congressional office in response to an inquiry made
at the request of the individual or entity to whom the record
pertains; (4) the Internal Revenue Service for the purpose of:
effecting and administrative offset against the debtor's tax refund to
recover a delinquent debt owed to the U.S. Government by the debtor;
or, obtaining the mailing address of a taxpayer/debtor in order to
locate the taxpayer/debtor in accordance with 31 U.S.C. 3711, 3717,
and 3718 and 26 U.S.C. 6103(m)(2); (5) the Department of Justice for
the purpose of litigation to enforce collection of a delinquent debt
or to obtain the Department of Justice's concurrence in a decision to
compromise, suspend, or terminate collection action on a debt with a
principle amount in excess of $100,000 or such higher amount as the
Attorney General may, form time to time, prescribe in accordance with
31 U.S.C. 3711(a); (6) the Department of Defense or the U.S. Postal
Service or other Federal agency for the purpose of conducting an
authorized computer matching program in compliance with the Privacy
Act of 1974, as amended, so as to identify and locate individuals
receiving Federal payments (including, but not limited to, salaries,
wages, and benefits) for the purpose of requesting voluntary repayment
or implementing Federal employee salary offset or administrative
offset procedures; (7) the Department of Defense or U.S. Postal
Service or other Federal agency for the purpose of effecting an
administrative offset against Federal payments certified to be paid to
the debtor to recover a delinquent debt owed to the U.S. Government by
the debtor; and (8) any creditor Federal agency seeking assistance for
the purpose of seeking voluntary repayment of a debt or implementing
Federal employee salary offset or administrative offset in the
collection of unpaid financial obligations.
Disclosure to consumer reporting agencies:
Debt information concerning a government claim against a debtor is
also furnished in accordance with 5 U.S.C. 552a(b)(12) and section 3
of the Debt Collection Act of 1982, as amended (Pub. L. 97-365), to
consumer reporting agencies, as defined by the Fair Credit Reporting
Act, 5 U.S.C. 1681(f), to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic disc, tape, and hard copy.
Retrievability:
Records are retrieved by name or taxpayer identification number
(i.e., social security number or employer identification number).
Safeguards:
All officials access the system of records will do so on a need-to-
know basis only, as authorized by the system manager. Procedural and
physical safeguards are utilized, such as accountability, receipt
records, and specialized communications security. This data system has
an internal mechanism to restrict access to authorized officials.
Hard-copy records are held in steel cabinets, with access limited by
visual controls and/or lock system. During normal working hours, files
are attended by responsible officials; files are locked up during non-
working hours. The building is patrolled by uniformed security guards.
Retention and disposal:
Hard-copy records are returned to the agency which had contracted for
service or collection with FMS at the time an individual account is
resolved through collection, compromise, or write-off/close out or at
the agency's request. Summary information, such as results of
collection action undertaken, for the purpose of producing management
reports is retained for a period of five (5) years.
System manager(s) and address:
System Manager, Debt Collection Operations Staff, Financial
Management Service, 401 14th Street, SW, Washington, DC 20227.
Notification procedure:
Inquiries under the Privacy Act of 1974 shall be addressed to the
Disclosure Officer, Financial Management Service, 401 14th Street, SW,
Washington, DC 20227. All individuals making inquiries should provide
with their request as much descriptive matter as is possible to
identify the particular record desired. The system manager will advise
as to whether FMS maintains the records requested by the individual.
Record access procedures:
Individuals requesting information under the Privacy Act of 1974
concerning procedures for gaining access or contesting records should
write to the Disclosure Officer. All individuals are urged to examine
the rules of the U.S. Department of the Treasury published in 31 CFR
part, subpart C, appendix G, concerning requirements of this
Department with respect to the Privacy Act of 1974.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Information from this system is obtained from the individual or
entity, creditor agencies, Federal employing agency, collection
agencies, credit bureaus, and Federal, state or local agencies
furnishing identifying information and/or address of debtor
information.
Exemptions claimed for the system:
None.
United States Mint
Treasury/U.S. Mint .001
System name:
Cash Receivable Accounting Information System -- Treasury/United
States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
Categories of individuals covered by the system:
Employees and former employees of the United States Mint and the
general public who have: (a) Served on jury duty when employed by the
United States Mint; (b) Paid for lost Government property belonging to
the Mint; (c) Purchased numismatic items from Mint sales outlets; and
(d) Have obtained travel advances.
Categories of records in the system:
(1) Receivables due from Mint employees, former employees and general
public for lost Government property, salary overpayments, and cash
sales of over-the-counter numismatic items; and (2) Receivables due
from Mint employees and former employees who have outstanding travel
advances.
Authority for maintenance of the system:
5 U.S.C. 5537 and 31 U.S.C. 5111 (a)(3).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Accounting offices, managers, supervisors and
government officials pertaining to cash receivables and debts owed the
Government; (2) appropriate Federal, state, local, or foreign agencies
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license; (3) a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
employee, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a court-ordered
subpoena, or in connection with criminal law proceedings; (5) foreign
governments in accordance with formal or informal international
agreements; (6) a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (7) the
news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (8) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (9) third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
Name or number substitute.
Safeguards:
Storage in filing cabinets with access by authorized accounting
personnel.
Retention and disposal:
General records control schedule, GAO rules and regulations, United
States Mint Records Control Schedule. Records are destroyed in
accordance with National Archives and Records Administration
regulations.
System manager(s) and address:
Chief Financial Officer, United States Mint, Judiciary Square
Building, 633 3rd Street, NW, Washington, DC 20220; Financial Manager,
United States Mint, 151 North Independence Mall East, Philadelphia, PA
19106; Financial Manager, United States Mint, 320 West Colfax Avenue,
Denver, CO 80204; Financial Manager, United States Mint, 155 Hermann
Street, San Francisco, CA 94102; Chief, Accounting Division, United
States Mint, West Point, NY 10996; Administrative Officer, United
States Bullion Depository, Fort Knox, KY 40121.
Notification procedure:
Refer to System manager(s) and address. An employee or former
employee is required to show an identification such as: (a) Employee
identification; (b) Driver's license; (c) Other means of
identification, including social security number and date of birth.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
U.S. Mint employees and appropriate agency officials.
Exemptions claimed for the system:
None.
Treasury/U.S. Mint .002
System name:
Current Employee Security Identification Record -- Treasury/United
States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
Categories of individuals covered by the system:
Current United States Mint employees.
Categories of records in the system:
Security information system is used to verify proper admittance to
restricted areas within the Mint facilities. The card record (Mint
Form 8925) provides the name of the employee, date and place of birth,
descriptive data on height, weight, hair and eyes; office and division
in which employed; along with photograph and signature of the
employee. The record also indicates approval by facility management
for the issuance of personal identification to the employee, which is
subsequently carried by the employee.
Authority for maintenance of the system:
40 U.S.C. 318-318c.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Appropriate Federal, state, local, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license; (2) a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an employee, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) a court, magistrate,
or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a court-ordered subpoena, or in connection with criminal
law proceedings; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (7) third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are 5'' x 8'' cards filed in Kardex Binder or circular-type
index system; or computerized database management system.
Retrievability:
Alphabetical by name.
Safeguards:
Maintained in secure area by security officers.
Retention and disposal:
Records are retained until separation of the employee and are
destroyed upon termination in accordance with National Archives and
Records Administration rules and regulations.
System manager(s) and address:
Security Officer (Coordinator), Treasury Department, United States
Mint, Judiciary Square Building, 633 3rd Street, NW, Washington, DC
20220; Security Officer (Facility Manager), United States Mint, 151
North Independence Mall East, Philadelphia, PA 19106; Security Officer
(Facility Manager), United States Mint, 320 West Colfax Avenue,
Denver, CO 80204; Security Officer (Facility Manager), United States
Mint, 155 Hermann Street, San Francisco, CA 94102; Security Officer
(Facility Manager), United States Mint, West Point, NY 10996; Security
Officer (Facility Manager), United States Bullion Depository, Fort
Knox, KY 40121.
Notification procedure:
Refer to System manager(s) and address. An employee is free to
examine his card record upon request, after properly identifying
himself as the subject of record. The following are used as proof of
identity: (a) Employee identification; (b) Driver's license; and (c)
Other acceptable identifying documents.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
Personal information provided by the employee and identification
approval by management staff.
Exemptions claimed for the system:
None.
Treasury/U.S. Mint .003
System name:
Employee and Former Employee Travel and Training Accounting
Information System -- Treasury/United States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
Categories of individuals covered by the system:
Employees and former employees of the United States Mint who have
engaged in travel and training.
Categories of records in the system:
(1) SF 1166 Voucher and Schedule of Payments with supporting
documents such as: (a) SF 1012 Travel Voucher; (b) SF 1028 Application
and Account for Advance of Funds; (2) Travel Authorities; (3)
Government Travel Request SF 1169; (4) SF-182, Request, Authorization,
Agreement and Certification of Training.
Authority for maintenance of the system:
5 U.S.C. Chapters 41 and 57.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Accounting offices, managers, supervisors and
government officials pertaining to cash receivables and debts owed the
Government; (2) appropriate Federal, state, local, or foreign agencies
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license; (3) a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
employee, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a court-ordered
subpoena, or in connection with criminal law proceedings; (5) foreign
governments in accordance with formal or informal international
agreements; (6) a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (7) the
news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (8) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (9) third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
Name or number substitute (social security number, authority number).
Safeguards:
Stored in filing cabinets with access by authorized accounting
personnel.
Retention and disposal:
General Records Control Schedule, GAO rules and regulations, United
States Mint Records Control Schedule are destroyed in accordance with
National Archives and Records Administration regulations.
System manager(s) and address:
Chief Financial Officer, United States Mint, Judiciary Square
Building, 633 3rd Street, NW, Washington, DC 20220; Financial Manager,
United States Mint, 151 North Independence Mall East, Philadelphia, PA
19106; Financial Manager, United States Mint, 320 West Colfax Avenue,
Denver, CO 80204; Financial Manager, United States Mint, 155 Hermann
Street, San Francisco, CA 94102; Chief, Accounting Division, United
States Mint, West Point, NY 10996; Administrative Officer, United
States Bullion Depository, Fort Knox, KY 40121.
Notification procedure:
Refer to System manager(s) and address. An employee or former
employee is required to show an identification such as: (a) Employee
identification; (b) Driver's license; and (c) Other means of
identification including social security number and date of birth.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
United States Mint employees and appropriate agency officials.
Exemptions claimed for the system:
None.
Treasury/U.S. Mint .004
System name:
Occupational Safety and Health, Accident and Injury Records, and
Claims for Injuries or Damage Compensation Records -- Treasury/United
States Mint.
System location:
Location and Category of Records Maintained: United States Mint,
Judiciary Square Building, 633 3rd Street, NW, Washington, DC 20220 --
Accident/Injury/Illness Records, Vehicle Accident, and Claims against
the Government; United States Mint, 151 North Independence Mall East,
Philadelphia, PA 19106 -- Accident/Injury/Illness Records, Motor
Vehicle Accident Data, Claims against the Government, Safety Equipment
Logs, and Operators Training/Licensing; United States Mint, 320 West
Colfax Avenue, Denver, CO 80204; Accident/Injury/Illness Records,
Motor Vehicle Accident Data, Claims against the Government, Safety
Equipment Logs, and Operators Licensing; United States Mint, 155
Hermann Street, San Francisco, CA 94102; Accident/Injury/Illness
Records, Motor Vehicle Accident Data, Claims against the Government,
Safety Equipment Logs, and Operators Training/ Licensing; United
States Mint, West Point, NY 10996; Accident/Injury/Illness Records,
Motor Vehicle Accident Data, Claims against the Government, and Safety
Equipment Logs; United States Bullion Depository, Fort Knox, KY 40121;
Accident/Injury/Illness Records, Motor Vehicle Accident Data, and
Claims against the Government.
Categories of individuals covered by the system:
United States Mint employees, former employees and members of the
public.
Categories of records in the system:
Refer to System location.
Authority for maintenance of the system:
5 U.S.C. Ch. 81; 29 U.S.C. 668; 29 CFR part 1910; E.O. 12196, 28
U.S.C. 2680 et seq; 31 U.S.C. 3701 and 3721; and 31 CFR parts 3 and 4.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Appropriate Federal, state, local, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license; (2) a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an employee, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) a court, magistrate,
or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a court-ordered subpoena, or in connection with criminal
law proceedings; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (7) third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (8) physicians providing
medical services or advice to Mint management and/or employees, or to
private physicians of Mint employees, for the purpose of assisting in
making medical diagnoses or treatment.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
By name.
Safeguards:
Locked file cabinets available to authorized personnel only.
Retention and disposal:
Records are retained in accordance with General Records Control
Schedules; DOL, OSHA; EPA; and United States Mint Records Control
Schedules; are destroyed in accordance with National Archives and
Records Administration rules and regulations.
System manager(s) and address:
Assistant Director for Human Resources, Treasury Department, United
States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; Personnel Officer and Safety Officer, United
States Mint, 151 North Independence Mall East, Philadelphia, PA 19106;
Personnel Officer, United States Mint, 320 West Colfax Avenue, Denver,
CO 80204; Personnel Officer, United States Mint, 155 Hermann Street,
San Francisco, CA 94102; Administrative Officer, United States Mint,
West Point, NY 10996; Administrative Officer, United States Bullion
Depository, Fort Knox, KY 40121.
Notification procedure:
Refer to System manager(s) and address. An employee or former
employee is required to show an identification such as: (a) Employee
identification; (b) Driver's license; and (c) Other means of
identification, including social security number and date of birth.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
Employees, supervisors, medical staff, general public, and visitors
to the facilities of the United States Mint.
Exemptions claimed for the system:
None.
Treasury/U.S. Mint .005
System name:
Employee - Supervisor Performance Evaluation, Counseling and Time and
Attendance Records -- Treasury/United States Mint.
System location:
United States Mint, 155 Hermann Street, San Francisco, CA 94102;
United States Mint, 320 West Colfax Avenue, Denver, CO 80204; United
States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, West Point, NY;
United States Bullion Depository, Fort Knox, KY 40121; and United
States Mint, Customer Service Center, Matland Building, 10001
Aerospace Road, Lanham, MD 20706.
Categories of individuals covered by the system:
United States Mint employees and former employees.
Categories of records in the system:
Information necessary for managers and supervisors to effectively
carry out supervisory responsibilities. Included are such records as:
Copies of personnel actions, performance appraisal including
production and control, disciplinary actions, overtime reports,
tardiness reports, work assignments, training reports, applications
for employment, home addresses, leave reports, employee awards.
(Supervisors maintain varying combinations of the above records. Some
supervisors may maintain all or none of the above records depending
upon the nature and size of the operation or organization and the
number of individuals supervised.)
Authority for maintenance of the system:
5 U.S.C. 301 and FPM Supplement 990 - 1, Section 3.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Appropriate Federal, state, local, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license; (2) a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an employee, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) a court, magistrate,
or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a court-ordered subpoena, or in connection with criminal
law proceedings; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (7) third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents maintained in folders.
Retrievability:
By name.
Safeguards:
Stored in file cabinets and desks of supervisors.
Retention and disposal:
Retained as long as employee is under their supervision.
System manager(s) and address:
Associate and Assistant Directors and Director's Staff, United States
Mint, Judiciary Square Building, 633 3rd Street, NW, Washington, DC
20220, and Customer Service Center, Matland Building, 10001 Aerospace
Road, Lanham, MD 20706; Superintendent, United States Mint, 151 North
Independence Mall East, Philadelphia, PA 19106; Superintendent, United
States Mint, 320 West Colfax Avenue, Denver, CO 80204; Superintendent,
United States Mint, 155 Hermann Street, San Francisco, CA 94102;
Superintendent, United States Mint, West Point, NY 10996; Officer-in-
Charge, United States Bullion Depository, Fort Knox, KY 40121.
Notification procedure:
Refer to System manager(s) and address. Employee or former employee
is required to show identification such as: Identification card,
driver's license.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
Employees, previous employers, and appropriate agency officials.
Exemptions claimed for the system:
None.
Treasury/U.S. Mint .007
System name:
General Correspondence -- Treasury/United States Mint.
System location:
United States Mint, Judiciary Square, 633 3rd Street, NW, Washington,
DC 20220
Categories of individuals covered by the system:
Members of the public, Members of Congress, Mint officials and
officials from other Federal agencies.
Categories of records in the system:
Incoming correspondence and replies pertaining to the mission,
function and operation of the United States Mint.
Authority for maintenance of the system:
31 U.S.C. 5131 and 5132.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Appropriate Federal, state, local, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license; (2) a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an employee, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) a court, magistrate,
or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a court-ordered subpoena, or in connection with criminal
law proceedings; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (7) third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
By name (limited retrievability by subject and/or control number).
Safeguards:
Maintained in limited access area available only to appropriate
agency officials.
Retention and disposal:
In accordance with the National Archives and Records Administration's
General Records Control Schedule and the United States Mint Records
Control Schedule. Destroyed in accordance with National Archives and
Records Administration regulation.
System manager(s) and address:
Chief, Executive Secretariat, United States Mint, Judiciary Square
Building, 633 3rd Street, NW, Washington, DC 20220.
Notification procedure:
Refer to System Manager for addresses to which inquiries may be
addressed and addresses at which the individual may present a request
as to whether a system contains records pertaining to himself/herself.
The individual must supply his/her name.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
The general public, Members of Congress and Federal officials.
Exemptions claimed for the system:
None.
Treasury/U.S. Mint .008
System name:
Criminal Investigations Files -- Treasury/United States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220.
Categories of individuals covered by the system:
Mint employees and members of the public suspected of criminal
misconduct against the United States Mint.
Categories of records in the system:
Name of individual, location of Mint facility, and reports by
security personnel of the U.S. Mint.
Authority for maintenance of the system:
Title 18 U.S.C.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Appropriate Federal, state, local, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license; (2) a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an employee, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) a court, magistrate,
or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a court-ordered subpoena, or in connection with criminal
law proceedings; (4) foreign governments in accordance with formal or
informal international agreements; (5) a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains; (6) the news media in accordance with guidelines
contained in 28 CFR 50.2 which relate to an agency's functions
relating to civil and criminal proceedings; (7) third parties during
the course of an investigation to the extent necessary to obtain
information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper documents.
Retrievability:
By name.
Safeguards:
Files are kept in a locked metal file cabinet in an area accessible
to authorized agency officials.
Retention and disposal:
Retained in accordance with United States Mint Records Control
Schedule; are destroyed in accordance with National Archives and
Records Administration rules and regulations.
System manager(s) and address:
Mint Security Office, United States Mint, Judiciary Square Building,
633 3rd Street, NW, Washington, DC 20220.
Notification procedure:
Refer to System manager(s) and address.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
United States Mint and other law enforcement officials.
Exemptions claimed for the system:
As authorized by 5 U.S.C. 552a (j) and (k); this system is exempt
from the following provisions, subsections (c)(3), (d), (e)(1); (e)(4)
(G), (H), and (I) and (f) of 5 U.S.C. 552a.
Treasury/U.S. Mint .009
System name:
Numismatic Coin Operations System (NUCOS) Records; Customer Mailing
List, Order Processing Record for Coin Sets, Medals and Numismatic
Items, and records of undelivered orders -- Treasury/Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220 and Customer Service Center, Matland Building,
10001 Aerospace Road, Lanham, MD 20706.
Categories of individuals covered by the system:
Members of the public.
Categories of records in the system:
Names, addresses, order history of customers purchasing numismatic
items and of individuals who wish to receive notification of
numismatic offerings by the Mint.
Authority for maintenance of the system:
31 U.S.C. 5111, 5112, 5132 and 31 CFR part 92.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Accounting offices, managers, supervisors and
government officials pertaining to cash receivables and debts owed the
Government; (2) appropriate Federal, state, local, or foreign agencies
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order, or
license; (3) a Federal, state, or local agency, maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, which has requested information relevant to or necessary
to the requesting agency's or the bureau's hiring or retention of an
employee, or issuance of a security clearance, license, contract,
grant, or other benefit; (4) a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures
to opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations, in response to a court-ordered
subpoena, or in connection with criminal law proceedings; (5) foreign
governments in accordance with formal or informal international
agreements; (6) a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (7) the
news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (8) third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tape, discs, paper and cards:
Retrievability:
Name, customer number or order number.
Safeguards:
CRT, password protection; only designated persons may request
computer generated reports. Access to any information pertaining to
any individual is limited to only those individuals requiring the
information to accommodate handling of transactions with the
customers. Separation of functions; source documents maintained in one
division and programming systems in another.
Retention and disposal:
In accordance with the National Archives and Records Administration
General Records Control Schedule and the United States Mint Records
Control Schedule; are destroyed in accordance with National Archives
and Records Administration regulations. Customer names and addresses
are maintained as long as they are active.
System manager(s) and address:
Associate Director for Marketing, Judiciary Square Building, 633 3rd
Street, NW, Washington, DC 20220.
Notification procedure:
Refer to System manager(s) and address. Individuals should supply
order number as provided on order card or copy of both sides of
canceled check; customer number which appears on pre-printed order
cards or on face of check.
Record access procedures:
For information on procedures for gaining access to and contesting
records, individuals may contact the following official: Chief,
Executive Secretariat, United States Mint, Judiciary Square Building,
Room 715, 633 3rd Street, NW, Washington, DC 20220.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
Members of the public and appropriate government officials.
Exemptions claimed for the system:
None.
Treasury/U.S. Mint .012
System name:
Grievances. Union/Agency Negotiated Grievances; Adverse Performance
Based Personnel Actions; Discrimination Complaints; Third Party
Actions -- Treasury/United States Mint.
System location:
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220; United States Mint, 151 North Independence Mall
East, Philadelphia, PA 19106; United States Mint, 320 West Colfax
Avenue, Denver, CO 80204; United States Mint, 155 Hermann Street, San
Francisco, CA 94102; United States Mint, West Point, NY 10996; United
States Bullion Depository, Fort Knox, KY 40121.
Categories of individuals covered by the system:
Employees and former employees of the United States Mint.
Categories of records in the system:
This system of records contains information or documents relating to
employee grievances filed under provisions of negotiated grievance
procedures, administrative grievance procedures, adverse action
procedures, performance based action procedures, and discrimination
complaint procedures, including decision of appropriate third parties
where applicable.
Authority for maintenance of the system:
5 U.S.C. 7701 and 7702; 5 U.S.C. Ch. 75; and 5 U.S.C. Ch. 71.
Executive Orders 11491, 11616, 11636, 11838, 11901, 12027, 12107; 29
CFR part 1613; negotiated agreements between the United States Mint
and exclusively recognized labor unions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in the records may be used to disclose
information to: (1) Appropriate Federal, state, local, or foreign
agencies responsible for investigating or prosecuting the violations
of, or for enforcing or implementing, a statute, rule, regulation,
order, or license; (2) a Federal, state, or local agency, maintaining
civil, criminal or other relevant enforcement information or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's or the bureau's hiring or
retention of an employee, or issuance of a security clearance,
license, contract, grant, or other benefit; (3) a court, magistrate,
or administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations, in
response to a court-ordered subpoena, or in connection with criminal
law proceedings; (4) a congressional office in response to an inquiry
made at the request of the individual to whom the record pertains; (5)
the news media in accordance with guidelines contained in 28 CFR 50.2
which relate to an agency's functions relating to civil and criminal
proceedings; (6) unions recognized as exclusive bargaining
representatives under the Civil Service Reform Act of 1978, 5 U.S.C.
7111 and 7114; (7) third parties during the course of an investigation
to the extent necessary to obtain information pertinent to the
investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders or binders.
Retrievability:
These records are filed by the names of the individuals on whom they
are maintained or by the subject of the action.
Safeguards:
Access to and use of these records are limited to those agency
officials whose official duties require such access.
Retention and disposal:
Retained in accordance with the United States Mint Records Control
Schedules; are destroyed in accordance with National Archives and
Records Administration rules and regulations.
System manager(s) and address:
For current and former employees: Assistant Director for Human
Resources, United States Mint, Department of the Treasury, Judiciary
Square Building, 633 3rd Street, NW, Washington, DC 20220. Personnel
Officer, United States Mint, 151 North Independence Mall East,
Philadelphia, PA 19106. Personnel Officer, United States Mint, 320
West Colfax Avenue, Denver, CO 80204. Personnel Officer, United States
Mint, 155 Hermann Street, San Francisco, CA 94102. Administrative
Officer, United States Mint, West Point, NY 10996. Administrative
Officer, United States Bullion Depository, Fort Knox, KY 40121.
Notification procedure:
Individuals who have filed an action are provided a copy of the
record. They may, however, contact the System Manager indicated above
regarding the existence of such records pertaining to them. It is
necessary to furnish information sufficient to verify the identity of
the requester such as full name, date of birth, a brief description of
the grievance and the approximate date of submission.
Record access procedures:
Individuals who have filed a grievance, appeal, or complaint about a
decision or determination made by an agency or about conditions
existing in an agency already have been provided a copy of the record.
The contest, amendment, or correction of a record is permitted during
the prosecution of the action to whom the record pertains. However,
after a case has been closed, an individual may gain access to, or
contest the official copy of the grievance record by writing the
appropriate System Manager indicated above. Individuals should provide
name, date of birth, a brief description of the action and the
approximate date of submission.
Contesting record procedures:
Refer to ``Record access procedures.''
Record source categories:
The sources of these records are as follows: (a) Individual to whom
the record pertains; (b) Agency officials; (c) Affidavits or
statements from employee(s); (d) Testimonies of witnesses; (e)
Official documents and correspondence relating to the grievance.
Exemptions claimed for the system:
None.
Office of Thrift Supervision
Treasury/OTS .001
System name:
Confidential Individual Information System - Treasury/OTS.
System location:
Enforcement Division, Office of Thrift Supervision, 1700 G Street,
NW, Washington, DC 20552. Computerized records of Suspicious Activity
Reports (SAR), with status updates, are managed by FinCEN pursuant to
a contractual agreement, and are stored the Internal Revenue Service's
Computing Center in Detroit, Michigan. Authorized personal at the
Federal financial regulatory agencies have on-line access to the
computerized database managed by FinCEN through individual work
stations that are linked to the database central computer.
Categories of individuals covered by the system:
Directors, officers, employees, agents, borrowers, and persons
participating in the conduct of the affairs of entities regulated by
the OTS who have been involved in suspected criminal activity or
suspicious financial transactions and referred to law enforcement
officials; and other individuals who have been involved in
irregularities, violations of law, or unsafe or unsound practices
referenced in documents received by OTS in the exercising of its
supervisory functions.
These records also contain information concerning individuals who
have filed notices of intention to acquire control of a savings
association; controlling persons of companies that have applications
to acquire control of a savings association; and organizers of savings
associations who have sought Federal Savings and Loan Insurance
Corporation (FSLIC) or Saving Association Insurance Fund (SAIF)
insurance of accounts or federal charters.
Categories of records in the system:
Application information and inter-agency and intra-agency
correspondence, memoranda and reports. The SAR contains information
identifying the financial institution involved, the suspected person,
the type of suspicious activity involved, the amount of loss known,
and any witnesses.
Authority for maintenance of the system:T1
12 U.S.C. 1464; 44 U.S.C. 3101.
Purpose(s):
The overall system serves as a central OTS repository for
investigatory or enforcement information related to the responsibility
of OTS to examine and supervise savings associations. It also serves
to store information on applicants to acquire, control, or insure a
savings association in connection with OTS's regulatory
responsibilities.
The system maintained by FinCEN serves as the database for the
cooperative storage, retrieval, analysis, and use of information
relating to Suspicious Activity Reports made to or by the Federal
financial regulatory agencies and FinCEN to various law enforcement
agencies for possible criminal, civil or administrative proceedings
based on known or suspected violations affecting or involving persons,
financial institutions, or other entities under the supervision or
jurisdiction of such Federal financial regulatory agencies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be used to: (1) Provide the
Department of Justice with periodic reports on the number, amount,
individual identity and other details concerning outstanding potential
criminal violations of the law that have been referred to the
Department; (2) Provide the Federal financial regulatory agencies and
FinCEN with information relevant to their operations; (3) Provide
information to third parties during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation; (4) Provide information or records to any appropriate
governmental agency or self-regulatory organization charged with the
responsibility of administering law or investigating or prosecuting
violations of law or charged with enforcing or implementing a statute,
rule, regulation, order, policy, or license; (5) Disclose, when
considered appropriate, information to a bar association, or other
professional organizations performing similar functions, for possible
disciplinary action; (6) Disclose information when appropriate to
international and foreign governmental authorities in accordance with
law and formal or informal international agreements; and (7) Provide
information to any person with whom the OTS contracts to reproduce, by
typing, photocopying or other means, any record within this system for
use by the OTS and its staff in connection with their official duties
or to any person who is utilized by the OTS to perform clerical or
stenographic functions relating to the official business of the OTS.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic media and in paper files.
Retrievability:
Computer output and file folders are retrievable by indexes of data
fields, including name of financial institution and individual's name.
Safeguards:
Paper files are stored in lockable metal file cabinets with access
limited to authorized individuals. Computer disks maintained at OTS
are accessed only by authorized personnel.The database maintained by
FinCEN complies with applicable security requirements of the
Department of the Treasury. On-line access to the information in the
database is limited to authorized individuals, and each individual has
been issued a non-transferable identifier or password.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as
long as needed.
System manager(s) and address:
Deputy Chief Counsel for Enforcement, Office of Thrift Supervision,
1700 G Street, NW, Washington, DC 20552.
Notification procedure:
The system is exempt from notification and record-access requirements
and requirements that an individual be permitted to contest its
contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating to
investigatory material compiled for law enforcement purposes.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Suspicious activity reports and related historical information and
updating forms compiled by financial institutions, the OTS, and other
Federal financial regulatory agencies for law enforcement purposes.
The OTS will also include information from applicants, inter agency
and intra-agency correspondence, memoranda, and reports.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a (j)(2) and (k)(2).
Effective date: January 23, 1996.
Treasury/OTS .002
System name:
Correspondence/Correspondence Tracing.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
Categories of individuals covered by the system:
White House and Executive Office of the President officials, Members
of Congress, Treasury Department officials, the general public, and
businesses.
Categories of records in the system:
Incoming correspondence addressed to the Director of OTS; letters from
members of Congress transmitting letters from constituents or making
inquiries; OTS responses; OTS memoranda and notes used to prepare
responses; and information concerning internal office assignments,
processing and response to the correspondence.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain written records of correspondence addressed to the
Director of OTS and Congressional correspondence; to track the
progress of the response; to document the completion of the response
to the incoming correspondence.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Disclosures may be made to a Congressional office from the records
of an individual in response to an inquiry made at the request of the
individual to whom the record pertains;
(2) Information may be disclosed to the appropriate governmental
agency charged with the responsibility of administering law or
investigating or prosecuting violations of law or charged with
enforcing or implementing a statute, rule, regulation, order or
license.
Policies and practices for storing, retrieving, accessing, retaining,
disposing of records in the system:
Storage:
Records are maintained in magnetic media and in paper files.
Retrievability:
Records are maintained by name of individual; assignment control
number.
Safeguards: Access to paper records is limited to authorized personnel
with a direct need to know. Some paper records are maintained in
locked file cabinets in a secured office with access limited to
those personnel whose official duties require access. Access to
computerized records is limited, through the use of a password, to
those whose official duties require access.
Retention and disposal:
Computerized records and paper records are retained for two (2) years
after the Director's or member of Congress' term, then transferred
directly to the National Archives.
System manager(s) and address:
Director, Congressional Affairs. See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Incoming correspondence and Office of Thrift Supervision responses.
Exemptions claimed for the system:
None:
Treasury/OTS .003
System name:
Consumer Complaint System.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
See Appendix A for appropriate local address of OTS Regional Offices.
Categories of individuals covered by the system:
Persons who submit inquiries of complaints concerning federally
insured depository institutions, service corporations, and
subsidiaries.
Categories of records in the system:
Consumer's name, savings association's docket number, case number as
designated by a Consumer Complaint Case number. Within these
categories of records, the following information may be obtained:
Consumer's address, source of inquiry or complaint, nature of the
inquiry or complaint, nature of the inquiry or complaint designated by
instrument and complaint code, information on the investigation and
resolution of inquiries and complaints.
Authority for maintenance of the system:
Purpose(s):
OTS uses this system to track individual complaints and to provide
additional information about each institution's compliance with
regulatory requirements.
Routine uses for records maintained in the system, including categories
or users and the purposes of such uses:
(1) Information may be disclosed to officials of regulated savings
associations in connection with investigation and resolution of
complaints and inquiries;
(2) Relevant information may be made available to appropriate law
enforcement agencies or authorities in connection with investigation
and/or prosecution of alleged civil, criminal and administrative
violations;
(3) Disclosures may be made to a Congressional office in response to
an inquiry made at the request of the individual to whom the record
pertains;
(4) Disclosures may be made to other Federal and nonfederal
governmental supervisory or regulatory authorities when the subject
matter is within such other agency's jurisdiction.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
By name of the individual, complaint case number, savings association
name, docket number, district complaint code, instrument code, source
code or by some combination thereof.
Safeguards:
Paper records are maintained in locked file cabinets with access
limited to those personnel whose official duties require access.
Access to computerized records is limited, through use of system
passwords, to those whose official duties require access.
Retention and disposal:
Active files are maintained until the case is closed. Closed files are
retained for six (6) years then destroyed.
System manager(s) and address:
Manager, Consumer Programs. See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Inquirer or complainant (or his or her representative which may
include a member of Congress or an attorney); savings association
officials and employees; compliance/safety and soundness examiner(s);
and other supervisory records.
Exemptions claimed for the system:
None.
Treasury/OTS .004
System name:
Criminal Referral Database.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW., Washington, DC 20552.
See Appendix A for appropriate local address of OTS Regional Offices.
Categories of individuals covered by the system:
Individuals suspected of having committed crime(s) and individuals
indicated or convicted of crime(s) against or involving savings
associations.
Categories of records in the system:
Criminal referrals.
Authority for maintenance of the system:
12 U.S.C. 1464; 44 U.S.C. 3101.
Purpose(s):
This system lists all matters referred to the Department of Justice
for possible criminal proceedings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed to the appropriate governmental agency
charged with the responsibility of administering law or investigating
or prosecuting violations of law or charged with enforcing or
implementing a statute, rule, regulation, order or license.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
Records are filed by name of individual, savings institution or
referral control number.
Safeguards:
Paper records are maintained in locked file cabinets. Access is
limited to personnel whose official duties require such access and who
have a need to know the information in a record for a job-related
purpose. Access to computerized records is limited, through use of a
password, to those whose official duties require access.
Retention and disposal:
Records are retained and disposed of in accordance with appropriate
National Archives and Records Administration General Records
Schedules.
System manager(s) and address:
Chief Counsel, Office of Enforcement. See ``System Location'' for
address.
Notification procedure:
This system is exempt from notification and record-access requirements
and requirements that an individual be permitted to contest its
contents under 5 U.S.C. 552a(j)(2) and (k)(2) as relating to
investigatory material complied for law enforcement purposes.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Criminal referral forms compiled for law enforcement purposes.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1),
(e)(4) (G), (H) and (I), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(j)(2) and (k)(2).
Treasury/OTS .005
System name:
Employee Counseling Service.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20552.
See appendix A for appropriate local address of OTS Regional Officers.
Categories of individuals covered by the system:
Employees who seek counseling services.
Categories of records in the system:
Counseling records.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
To provide a history and record of the employee counseling session(s)
and to assist the counselor in identifying and resolving employee
problem(s).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The system will have minimal effect on individual privacy because
access is limited to the employee counseling service program
counselor. Under special and emergency circumstances records may be
released to medical personnel, research personnel, and as result of a
court order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper files.
Retrievability:
Records are retrieved by a number assigned to employee.
Safeguards:
Records are maintained in locked file cabinet. Access is limited to
the employee counselor.
Retention and disposal:
Records are retained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedules.
System manager(s) and address:
Director of Human Resources. See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Employees and counselors.
Exemptions claimed for the system:
None.
Treasury/OTS .006
System name:
Employee Locator File.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20552.
See Appendix A for appropriate local address of OTS Regional Offices.
Categories of individuals covered by the system:
All present employees of the OTS and persons whose employment has been
terminated within the last six months.
Categories of records covered by the system:
Employee's name, present address, telephone number, and the name,
address, and telephone number of another person to notify in case of
emergency.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
This system provides current information on employee's address and
emergency contact person.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Disclosure of information may be made to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains;
(2) Medical personnel in case of an emergency.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
Records are filed by name of individual.
Safeguards:
Paper records are maintained in locked file cabinets. Access is
limited to personnel whose official duties require such access and who
have a need to know information in a record for a particular job-
related purpose. Access to computerized records is limited, through
use of a password, to those whose official duties require access.
Retention and disposal:
Records are maintained until the termination of the employee's
employment with OTS. After termination, records are retained for six
months then destroyed.
System manager(s) and address:
Director, Human Resources. See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
The individual whose record is being maintained.
Exemptions claimed for the system:
None.
Treasury/OTS .007
System name:
Employee Parking.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20552.
Categories of individuals covered by the system:
All OTS employees (and their corresponding car-pool members) who apply
for agency-controlled parking.
Categories of records in the system:
Information is contained in parking applications and computerized
reports and consists of (for each rider): Name, home address, office
phone number, and place of employment (for non-OTS riders). For OTS
employees only: Work hours, supervisor's name, office code, social
security number and years of service.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
To control and maintain parking applications and spaces.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
No disclosures are made outside of OTS.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper files and on magnetic media.
Retrievability:
Records are filed by parking pass number, name of OTS employee and
social security number.
Safeguards:
Paper records are maintained in locked file cabinets. Access is
limited to personnel whose official duties require such access and who
have a need to know the information in a record for a job-related
purpose. Access to computerized records is limited, through use of a
password, to those whose official duties require access.
Retention and disposal:
Records are retained and disposed of in accordance with National
Archives and Records Administration General Records Schedules.
System manager(s) and address:
Director for Administration. See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Applications submitted by OTS employees and non-OTS riders.
Exemptions claimed for the system:
None.
Treasury/OTS .008
System name:
Employee Training Database.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20552.
Categories of individuals covered by the system:
All employees of the Office of Thrift Supervision.
Categories of records in the system:
Individual employee records are maintained by name, course taken,
social security number, position, division, and manager name.
Authority for maintenance of the system:
5 U.S.C. 301 and 44 U.S.C. 3101.
Purpose(s):
To maintain necessary information on training taken by employees
through outside sources and vendors.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records are not disclosed outside of OTS.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic media.
Retrievability:
Records are filed by individual name, social security number and
course taken.
Safeguards:
Access to computerized records is limited, through use of a password,
to those whose official duties require access.
Retention and disposal:
Records are retained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedules.
System manager(s) and address:
Training Manager, Human Resources Division. See ``System Location''
for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records to maintained in this system must submit a
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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Personnel records and training request forms completed by employee.
Exemptions claimed for the system:
None.
Treasury/OTS .009
System name:
Health Files.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20552.
Categories of individuals covered by the system:
Participating employees.
Categories of records in the system:
Health records.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
To maintain records regarding medical care provided to employees of
OTS by the health care unit which is now closed.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
No disclosures are made outside of OTS.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper files.
Retrievability:
Records are maintained by name of individual.
Safeguards:
Records are maintained at the Federal Records Center. Only authorized
personnel have access to location.
Retention and disposal:
Records are retained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedules.
System manager(s) and address:
Director, Human Resources. See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Health unit staff and subject of the record.
exemptions claimed for the system:
None.
Treasury/OTS .010
System name:
Inquiry/Request Control System.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20052.
Categories of individuals covered by the system:
Persons who make inquiries, requests for records or information
concerning activities of the OTS, regulated financial institutions and
related individuals and organizations; e.g., holding companies,
service corporations, directors of thrifts, advisors or
representatives of the thrift industry and also requests for records
under the Freedom of Information Act and the Privacy Act.
Categories of records in the system:
Selected items of information extracted from incoming inquiry, and
records concerning internal office case assignments, processing and
resolution of the inquiry/request.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To internally control work flow and assignments; to track progress of
the inquiry/request; and to provide statistical information for
budgetary, resource allocation, and statutory reporting purposes.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Disclosure of information may be made to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper files and magnetic media.
Retrievability:
Records are maintained by individual name, case control number,
subject of inquiry, savings and loan association and/or financial
institution, docket number, receipt date, inquiry code, disposition
code, or any combination thereof.
Safeguards:
Paper records are maintained in secured offices with access limited to
those personnel whose official duties require access. Access to
computerized records is limited, through use of a password, to those
whose official duties require access.
Retention and disposal:
Records are retained for one (1) year and then destroyed. Freedom of
Information Act and Privacy Act records are retained and disposed of
in accordance with appropriate National Archives and Records
Administration General Records Schedule.
System manager(s) and address:
Director, Information Services Division. See ``System Location'' for
address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Incoming inquiry or request (by mail, fax, or telephone), internal
case assignment notations, case control, and close-out forms.
exemptions claimed for the system:
None.
Treasury/OTS .011
System name:
Positions/Budget.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20052.
See Appendix A for appropriate local address of OTS Regional Offices.
Categories of individuals covered by the system:
All current employees of the Office of Thrift Supervision.
Categories of records in the system:
Individual employee records are kept by office and agency as follows:
Name, title, entered on duty date, service computation date,
occupation series, social security number, grade, current salary,
location of employee, date of last promotion, and eligibility for
promotion. Records are kept for each office (and, where appropriate,
for the agency) on number of vacancies, authorized position ceilings,
and number of employees.
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
The system allows the OTS Budget Division the ability to track
positions by office to assure the assigned Full-Time Equivalent
ceilings are not exceeded and remain within the limits set by the
Director of the OTS. The system also provides information to each
office which can be used in developing their calendar year
compensation budgets.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed to the appropriate governmental agency
charged with the responsibility of administering law or investigating
or prosecuting violations of law or charged with enforcing or
implementing a statute, rule, regulation, order or license.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records are maintained in paper files and magnetic media.
Retrievability:
Records are filed by name of individual.
Safeguard:
Paper records are maintained in file folders in secured areas. Access
is limited to personnel whose official duties require such access and
who have a need to know the information in a record for a particular
job-related purpose. Access to computerized records is limited,
through use of a password, to those whose official duties require
access.
Retention and disposal:
Records are being retained and disposed of in accordance with
appropriate National Archives and Records Administration General
Records Schedule.
System manager(s) and address:
Director Budget Division, See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Personnel records.
Exemptions claimed for the system:
None.
Treasury/OTS .012
System name:
Payroll/Personnel System & Payroll Records.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street NW, Washington, DC 20552.
See Appendix A for appropriate local address of OTS Regional Offices.
Categories of individuals covered by the system:
All current Office of Thrift Supervision (OTS) employees and all
former employees of the OTS, within the past three years.
Categories of records in the system:
Information pertaining to:
(1) Employee status, grade, salary, pay plan, hours worked, hours of
leave taken and earned, hourly rate, gross pay, taxes, deductions, net
pay, location, and payroll history;
(2) Employee's residence, office, social security number, and address;
(3) Personnel actions (SF-50), State employees' withholding exemption
certificates, Federal employees' withholding allowance certificates
(W4), Bond Allotment File (SF-1192), Federal Employee's Group Life
Insurance (SF-2810 & 2811), Savings Allotment-Financial Institutions,
Address File (OTS Form 108), Union Dues Allotment, time and attendance
reports, individual retirement records (SF-2806), Combined Federal
Campaign allotment, direct deposit, health benefits, and thrift
investment elections to either the Federal Thrift Savings Plan (TSP-1)
or OTS' Financial Institutions Savings Plan (FITP-107 and K 1-2).
Authority for maintenance of the system:
5 U.S.C. 301, 44 U.S.C. 3101.
Purpose(s):
Provides all the key personnel and payroll data for each employee
which is required for a variety of payroll and personnel functions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) In the event that records maintained in this system of records
indicate a violation or potential violation of law, whether civil,
criminal or regulatory in nature, and whether arising by general
statute or particular program statute, or by regulation, rule or order
pursuant thereto, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether
Federal, state, local, or foreign, charged with the responsibility of
implementing the statute, or rule or regulation or order issued
pursuant thereto;
(2) Records from this system may be disclosed as a routine use to
other Federal agencies including the Office of Personnel Management if
necessary for or regarding the payment of salaries and expenses
incident to employment at the Office of Thrift Supervision or other
Federal employment, or the vesting, computation, and payment of
retirement or disability benefits;
(3) Records from this system may be necessary to support the
assessment, computation, and collection of Federal, state, and local
taxes, in accordance with established procedures;
(4) Disclosure of information may be made to a Congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic media, microfiche, and in paper
files.
Retrievability:
Records are filed by individual name, social security number and by
office.
Safeguards:
Paper and microfiche records are maintained in secured offices and
access is limited to personnel whose official duties require such
access and who have a need to know the information in a record for
particular job-related purpose. Access to computerized records is
limited, through the use of a password, to those whose official duties
require access.
Retention and disposal:
Records are retained and disposed of in accordance with appropriate
National Archives and Records Administration General Records
Schedules.
System manager(s) and address:
Director, Human Resources. See ``System Location'' for address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a request
containing the following elements:
(1) Identify the records;
(2) Identify the category and type of records sought; and
(3) Provide at least two items of secondary identification (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Personnel and payroll records of current and former employees.
Exemptions claimed for the system:
None.
Treasury/OTS .013
System name:
Personnel Security and Suitability Program.
System location:
Office of Thrift Supervision, Department of the Treasury, 1700 G
Street, NW, Washington, DC 20552.
Categories of individuals covered by the system:
Current and former government employees and applicants applying for
employment with the Office of Thrift Supervision.
Categories of records in the system:
Background investigations, limited background investigations, minimal
background investigations, national agency check investigations,
periodic re-investigations, and FBI and other agency name checks,
investigative information relating to personnel investigations
conducted by the Department of the Treasury, the Office of Personnel
Management, and other Federal agencies and departments on preplacement
and postplacement basis to make suitability for employment
determinations and for granting security clearances. Card records,
automated data systems, or logs comprised of notices of personnel
security and suitability investigations reflecting identification data
on incumbents and former employees, and record type of E.O. 10450
investigations and degree and date of security clearance, if any.
Authority for maintenance of the system:
Executive Order 10450, sections 2 and 3, Executive Order 12356, part
4, Executive Order 10577, 5 USC 3301, and 5 CFR parts 731, 732 and
736.
Purpose(s):
The purpose of the records in the Personnel Security and Suitability
System is to enable the OTS to determine and document each employee's
suitability or security risk for selection, employment and continued
employment according to appropriate Federal regulations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be disclosed to
departmental and agency officials or other Federal agencies as
relevant to or necessary for making suitability or employability
retention or security clearance determinations.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, logs and index cards.
Retrievability:
Records are retrieved by name.
Safeguards:
Records are stored in locked metal containers and in locked rooms.
They are limited to officials who have a need to know in the
performance of their official duties. Officials are required to sign
an access form.
Retention and disposal:
Records are retained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedules.
System manager(s) and address:
Director, Human Resources Division. See ``System Location'' for
address.
Notification procedure:
Individuals wishing to be notified if they are named in this system or
gain access to records maintained in this system must submit a 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 (date of
birth, employee identification number, dates of employment or similar
information). Address inquiries to Chief, Disclosure Branch, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Information is obtained from current and former employees, coworkers,
neighbors, acquaintances, educational records and instructors, and
police and credit record checks.
Exemptions claimed for the system:
None.
Appendix A--Addresses of Office of Thrift Supervision Regional
Offices:
Northeast Region
10 Exchange Place Centre, 18th Floor, Jersey City,
New Jersey 07302
Southeast Region
1475 Peachtree Street, NE, Atlanta, Georgia 30309
Central Region
111 East Wacker Drive, Suite 800, Chicago, Illinois
60601
Midwest Region
122 W. John Carpenter Freeway, Suite 600, Irving,
Texas 75039
West Region
One Montgomery Street, Suite 400, San Francisco,
California 94104
Bureau of the Public Debt
Treasury/BPD .001
System name:
Personnel and Administrative Records--Treasury/BPD.
System location:
Records are maintained at the following Bureau of the Public Debt
locations: 200 Third Street, Parkersburg, WV 26106; Park Center, 90
Park Center, Parkersburg, WV 26101; H.J. Hintgen Building, 2nd and
Avery Streets, Parkersburg, WV 26102; 999 E Street, NW, Washington, DC
20239; 300-13th Street, SW, Washington, DC 20239; and 800 K Street,
NW, Washington, DC 20226. Copies of some documents have been
duplicated for maintenance by supervisors for employees or programs
under their supervision. These duplicates are also covered by this
system of records.
Categories of individuals covered by the system:
Records cover present and former employees, applicants for
employment, contractors, vendors, and visitors.
Categories of records in the system:
This system contains the following categories of records. This system
of records is limited to those records Public Debt needs to function
in an efficient manner and does not cover those records reported under
another system of records notice.
(A) PERSONNEL RECORDS: (1) Employee and Labor Relations Records.
These records relate to disciplinary and adverse actions, leave and
hours of duty, alternate work schedules, standards of conduct and
ethics programs, indebtedness, employee suitability and security
determinations, grievances, performance problems, bargaining unit
matters, Federal labor relations issues, relocation notices, and
outside employment. (2) Employment and Classification Records. These
records relate to recruitment; placement; merit promotion; special
hiring programs, including Summer Employment, Veterans Readjustment,
Career Development for Lower Level Employees (CADE), Co-operative
Education; position classification and management; special areas of
pay administration, including grade and pay retention, premium pay,
scheduling of work, and performance management and recognition. (3)
Employee Development and Services Records. These records relate to
Public Debt's training and employee development programs, performance
management programs, incentive awards, and benefits and retirement
programs. (4) Personnel/Payroll Systems Records. These records relate
to personnel and payroll actions, insurance, worker's and unemployment
compensation, employee orientation, retirement, accident reports, and
consolidation of personnel/program efforts among offices. (5) Equal
Employment Opportunity Records. These are records of informal EEO
complaints and discussions which have not reached the level of formal
complaints. After 30 days these records are destroyed or incorporated
in a formal complaint file. Formal complaints are handled by the
Treasury Department's Regional Complaints Center. Copies of formal
complaint documents are sometimes maintained by Public Debt's EEO
Office.
(B) ADMINISTRATIVE RECORDS: (1) Administrative Services Records.
These records relate to administrative support functions including
motor vehicle operation, safety, access to exterior and interior
areas, contract guard records, offense/incident reports, accident
reports, and security determinations. (2) Procurement Records. These
records relate to contractors/vendors if they are individuals;
purchase card holders, including the name and credit card number for
employees who hold Government-use cards; procurement integrity
certificates, containing certifications by procurement officials that
they are familiar with the Federal Procurement Policy Act. (3)
Financial Management Records. These records relate to travel by
employees and account information for vendors and contractors who are
individuals. (4) Retiree Mailing Records. These records contain the
name and address furnished by Public Debt retirees requesting mailings
of newsletters and other special mailings.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321.
Purpose(s):
These records are collected and maintained to document various
aspects of a person's employment with the Bureau of the Public Debt
and to assure the orderly processing of administrative actions within
the Bureau.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
These records and information in these records may be disclosed as a
routine use to: (1) The Office of Personnel Management, the Merit
Systems Protection Board, the Equal Employment Opportunity Commission,
and the Federal Labor Relations Authority upon authorized request; (2)
other Federal, State, or local agencies, such as a State employment
compensation board or housing administration agency, so that the
agency may adjudicate an individual's eligibility for a benefit, or
liability in such matters as child support; (3) creditors, potential
creditors, landlords, and potential landlords when they request
employment data or salary information for purposes of processing the
employee's loan, mortgage, or apartment rental application (when
information is requested by telephone, only verification of
information supplied by the caller will be provided); (4) next-of-kin,
voluntary guardians, and other representative or successor in interest
of a deceased or incapacitated employee or former employee; (5) unions
recognized as exclusive bargaining representatives under 5 U.S.C.
chapter 71, arbitrators, and other parties responsible for the
administration of the Federal labor-management program if needed in
the performance of their authorized duties; (6) private creditors for
the purpose of garnishing wages of an employee if a debt has been
reduced to a judgment; (7) authorized Federal and non-Federal entities
for use in approved computer matching efforts, limited to those data
elements considered necessary in making a determination of eligibility
under particular benefit programs administered by those agencies or
entities, to improve program integrity, and to collect debts and other
monies owed to those agencies or entities or to the Bureau of the
Public Debt; (8) contractors of the Bureau for the purpose of
processing personnel and administrative records; (9) other Federal,
State, or local agencies in connection with the hiring or retention of
an individual, the issuance of a security clearance, the conducting of
a security or suitability investigation of an individual, the issuance
of a license, contract, grant, or other benefit; (10) Congressional
offices in response to an inquiry made at the request of the
individual to whom the record pertains; (11) other Federal agencies to
effect salary or administrative offset for the purpose of collecting a
debt, except that addresses obtained from the Internal Revenue Service
shall not be disclosed to other agencies; (12) consumer reporting
agencies, including mailing addresses obtained from the Internal
Revenue Service to obtain credit reports; (13) debt collection
agencies, including mailing addresses obtained from the Internal
Revenue Service, for debt collection services; (14) appropriate
Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation; (15) a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal law proceedings or in
response to a subpoena; (16) third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Disclosure to consumer reporting agencies:
Debtor information is also furnished, in accordance with 5 U.S.C.
552a(b)(12) and section 3 of the Debt Collection Act of 1982, to
consumer reporting agencies to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders, on lists and forms,
microform, and electronic media.
Retrievability:
By name or social security number.
Safeguards:
These records are maintained in controlled access areas.
Identification cards are verified to ensure that only authorized
personnel are present. Electronic records are protected by restricted
access procedures, including the use of passwords and sign-on
protocols which are periodically changed. Only employees whose
official duties require access are allowed to view, administer, and
control these records. Copies of records maintained on computer have
the same limited access as paper records.
Retention and disposal:
Records are maintained in accordance with National Archives and
Records Administration retention schedules. Paper and microform
records ready for disposal are destroyed by shredding or burning.
Records in electronic media are electronically erased using accepted
techniques.
System manager(s) and address:
Personnel Records: Director, Division of Personnel Management, 200
Third Street, Parkersburg, WV 26106-1328.
Equal Employment Opportunity Records: Equal Employment Opportunity
Manager, 200 Third Street, Parkersburg, WV 26106-1328.
Administrative Services Records: Director, Administrative Services
Division, 200 Third Street, Parkersburg, WV 26106-1328.
Procurement Records: Director, Division of Procurement, 200 Third
Street, Parkersburg, WV 26106-1328.
Financial Management Records: Director, Division of Financial
Management, 200 Third Street, Parkersburg, WV 26106-1328.
Retiree Mailing Records: Director, Division of Data Services, 200
Third Street, Parkersburg, WV 26106-1328.
Notification procedure:
Individuals may submit their requests for determination of whether
the system contains records about them or for access to records as
provided under ``Records Access Procedures.'' Requests must be made in
compliance with the applicable regulations (31 CFR part 1, subpart C).
Requests which do not comply fully with these procedures may result in
noncompliance with the request, but will be answered to the extent
possible.
Record access procedures:
(1) A request for access to records must be in writing, signed by the
individual concerned, identify the system of records, and clearly
indicate that the request is made pursuant to the Privacy Act of 1974.
If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing
the individual's photograph or by the presentation of two items of
identification without the photograph but showing a name and
signature. If the individual is seeking access by mail, identity may
be established by presenting a signature, address, and one other
identifier such as a photocopy of an official document bearing the
individual's signature. The Bureau of the Public Debt reserves the
right to require additional verification of an individual's identity.
(2) The request should be submitted to the appropriate office as
shown under ``System Managers and Addresses'' above. The request must
state whether the requester wishes to be notified that the record
exists or desires to inspect or obtain a copy of the record. If a copy
of the record is desired, the requester must agree to pay the fees for
copying the documents in accordance with 31 CFR 1.26(d)(2)(ii).
Contesting record procedures:
(1) A request by an individual contesting the content of records or
for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the
request is made pursuant to the Privacy Act of 1974. If the request is
made in person, identity may be established by the presentation of a
single official document bearing the individual's photograph or by the
presentation of two items of identification without the photograph but
instead showing a name and signature. If the request is made by mail,
identity may be established by the presentation of a signature,
address, and one other identifier such as a photocopy of an official
document bearing the individual's signature. The Bureau of the Public
Debt reserves the right to require additional verification of an
individual's identity. (2) The initial request should be submitted to
the appropriate office as shown under ``System Managers and
Addresses'' above. (3) The request should specify: (a) The dates of
records in question, (b) the specific records alleged to be incorrect,
(c) the correction requested, and (d) the reasons. (4) The request
must include available evidence in support of the request.
Appeals from an Initial Denial of a Request for Correction of
Records: (1) An appeal from an initial denial of a request for
correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that it is
made pursuant to the Privacy Act of 1974. If the individual is making
an appeal in person, identity may be established by the presentation
of a single official document bearing the individual's photograph or
by the presentation of two items of identification without the
photograph but showing a name and signature. If the individual is
making an appeal by mail, identity may be established by the
presentation of a signature, address, and one other identifier such as
a photocopy of an official document bearing the individual's
signature. The Bureau of the Public Debt reserves the right to require
additional verification of an individual's identity.
(2) Appellate determinations will be made by the Commissioner of the
Public Debt or the delegate of such officer. Appeals should be
addressed to, or delivered personally to: Chief Counsel, Bureau of the
Public Debt, 999 E Street, NW, Room 503, Washington, DC 20239-0001 (or
as otherwise provided for in the applicable appendix to 31 CFR part 1,
subpart C), within 35 days of the individual's receipt of the initial
denial of the requested correction.
(3) An appeal must be marked ``Privacy Act Amendment Appeal'' and
specify: (a) The records to which the appeal relates, (b) the date of
the initial request made for correction of the records, and (c) the
date the initial denial of the request for correction was received.
(4) An appeal must also specify the reasons for the requester's
disagreement with the initial denial of correction and must include
any applicable supporting evidence.
Record source categories:
Information in this system of records is provided by the subject of
the record, authorized representatives, supervisors, employers,
medical personnel, other employees, other Federal, State, or local
agencies, and commercial entities.
Exemptions claimed for the system:
None.
Treasury/BPD .002
System name:
United States Savings Type Securities.
System location:
Bureau of the Public Debt: Washington, DC; Parkersburg, WV. Federal
Reserve Banks and Branches located at: Atlanta, GA; Baltimore, MD;
Birmingham, AL; Boston, MA; Buffalo, NY; Charlotte, NC; Chicago, IL;
Cincinnati, OH; Cleveland, OH; Dallas, TX; Denver, CO; Detroit, MI; El
Paso, Tx; Houston, TX; Jacksonville, FL; Kansas City, MO; Little Rock,
AR; Los Angeles, CA; Louisville, KY; Memphis, TN; Miami, FL;
Minneapolis, MN; Nashville, TN; New Orleans, LA; New York, NY;
Oklahoma City, OK; Omaha, NE; Philadelphia, PA; Pittsburgh, PA;
Portland, OR; Richmond, VA; Salt Lake City, UT; San Antonio, TX; San
Francisco, CA; Seattle, WA; and St. Louis, MO.
Categories of individuals covered by the system:
Present and former owners of, claimants to, persons entitled to, and
inquirers concerning United States savings-type securities and
interest thereon--including, but not limited to, United States Savings
Bonds, Savings Notes, Retirement Plan Bonds, and Individual Retirement
Bonds.
Categories of records in the system:
(1) Issuance: Records relating to registration, issuance, and
correspondence in connection with issuance of savings-type securities.
This category includes records of current income savings bonds
processed under an automated system which will permit access by
selected Federal Reserve Banks and Branches. (2) Holdings: Records
documenting ownership, status, payments by date and account numbers,
and inscription information; interest activity; correspondence in
connection with notice of change of name and address; non-receipt or
over- or underpayments of interest and principal; and numerical
registers of ownership. Such records include information relating to
savings-type securities held in safekeeping in conjunction with the
Department's program to deliver such securities to the owners or
persons entitled. This category includes records of current income
savings bonds processed under an automated system which will permit
access by selected Federal Reserve Banks and Branches. (3)
Transactions (redemptions, payments, and reissues): Records, which
include securities transaction requests; interest activity; legal
papers supporting transactions; applications for disposition or
payment of securities and/or interest thereon of deceased or
incapacitated owners; records of retired securities; and payment
records. This category includes records of current income savings
bonds processed under an automated system which will permit access by
selected Federal Reserve Banks and Branches. (4) Claims: Records
including correspondence concerning lost, stolen, destroyed or
mutilated savings-type securities; bonds of indemnity; legal documents
supporting claims for relief; and records of caveats entered. (5)
Inquiries: Records of correspondence with individuals who have
requested information concerning savings-type securities and/or
interest thereon.
Authority for maintenance of the system:
31 U.S.C. 3101, et seq. and 5 U.S.C. 301.
Purpose(s):
Information in this system of records is collected and maintained to
enable Public Debt and its agents to issue savings bonds, to process
transactions, to make payments, and to identify owners and their
accounts.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record or information from a record maintained in this system of
records may be disclosed as a routine use to: (1) Agents or
contractors of the Department for the purpose of administering the
public debt of the United States; (2) next-of-kin, voluntary guardian,
legal representative or successor in interest of a deceased or
incapacitated owner of securities and others entitled to the reissue,
distribution, or payment for the purpose of assuring equitable and
lawful disposition of securities and interest; (3) either co-owner for
bonds registered in that form or to the beneficiary for bonds
registered in that form, provided that acceptable proof of death of
the owner is submitted; (4) the Internal Revenue Service for the
purpose of facilitating collection of the tax revenues of the United
States; (5) the Department of Justice in connection with lawsuits to
which the Department of the Treasury is a party or to trustees in
bankruptcy for the purpose of carrying out their duties; (6) the
Veterans Administration and selected veterans publications for the
purpose of locating owners or other persons entitled to undeliverable
bonds held in safekeeping by the Department; (7) other federal
agencies to effect salary or administrative offset for the purpose of
collecting debts; (8) a consumer reporting agency, including mailing
addresses obtained from the Internal Revenue Service, to obtain credit
reports; (9) a debt collection agency, including mailing addresses
obtained from the Internal Revenue Service, for debt collection
services; (10) contractors conducting Treasury-sponsored surveys,
polls, or statistical analyses relating to the marketing or
administration of the public debt of the United States; (11)
appropriate Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order, or license; (12) a
court, magistrate, or administrative tribunal in the course of
presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation, or settlement
negotiations or in connection with criminal law proceedings or in
response to a subpoena; (13) a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains; (14) disclose through computer matching information on
individuals owing debts to the Bureau of the Public Debt to other
Federal agencies for the purpose of determining whether the debtor is
a Federal employee or retiree receiving payments which may be used to
collect the debt through administrative or salary offset; (15)
disclose through computer matching information on holdings of savings-
type securities to requesting Federal agencies under approved
agreements limiting the information to that which is relevant in
making a determination of eligibility for Federal benefits
administered by those agencies; and (16) disclose through computer
matching, information on individuals with whom the Bureau of the
Public Debt has lost contact, to other Federal agencies for the
purpose of utilizing letter forwarding services to advise these
individuals that they should contact the Bureau about returned
payments and/or matured unredeemed securities.
Disclosures to consumer reporting agencies:
Debtor information is also furnished, in accordance with 5 U.S.C.
552a (b)(12) and section 3 of the Debt Collection Act of 1982, to
consumer reporting agencies to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, safeguarding, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored in their original form in file
cabinets, or as information in electronic media, or on microform.
Retrievability:
Information can be retrieved alphabetically by name, address, and
period of time security was issued, by bond serial numbers, or, in
some cases, numerically by social security number. In the case of
securities, except Series G savings bonds, registered in more than one
name, information relating thereto can be retrieved only by the name,
or, in some cases, the social security number of the first-named co-
owner. In the case of gift bonds inscribed with the social security
number of the purchaser, bonds are retrieved under that number, or by
bond serial number.
Safeguards:
Information is contained in secure buildings or in areas which are
occupied either by officers and responsible employees of Public Debt
who are subject to personnel screening procedures and to the Treasury
Department Code of Conduct or by agents of Public Debt who are
required to maintain proper control over records while in their
custody. Additionally, since in most cases, numerous steps are
involved in the retrieval process, unauthorized persons would be
unable to retrieve information in meaningful form. Information stored
in electronic media is safeguarded by automatic data processing
security procedures in addition to physical security measures.
Additionally, for those categories of records stored in computers with
on-line terminal access, the information cannot be accessed without
proper passwords and preauthorized functional capability.
Retention and disposal:
Records of holdings, forms, documents, and other legal papers which
constitute the basis for transactions subsequent to original issue are
maintained for such time as is necessary to protect the legal rights
and interests of the United States Government and the persons
affected, or otherwise until they are no longer historically
significant. Other records are disposed of at varying intervals in
accordance with records retention schedules reviewed and approved by
the National Archives and Records Administration (NARA). All records
are destroyed by shredding, incineration, or maceration. Records in
electronic media are electronically erased using accepted techniques.
System manager(s) and address:
Assistant Commissioner, Savings Bond Operations Office, Parkersburg,
WV 26106-1328.
Notification procedure:
Individuals may submit their requests for determination if the system
contains records pertaining to them or for access to records as
provided under ``Record Access Procedures.'' Contesting records
procedures or requests for correction of records and appeals from an
initial denial of a request for correction of records may be submitted
as provided under the applicable heading below.
Record access procedures:
Individuals who wish to request access to records relating to them or
who wish to request correction of records they believe to be in error
should submit such requests pursuant to the procedures set out below
in compliance with the applicable regulations (31 CFR part 1, subpart
C). Requests which do not comply fully with these procedures may
result in noncompliance with the request, but will be answered to the
extent possible.
(1) Requests by individuals about securities they own: (a) For
current income savings bonds: Individuals may make inquiries at a
Federal Reserve Bank or Branch or directly to the Bureau of the Public
Debt, Savings Bond Operations Office, Division of Transactions and
Rulings, Parkersburg, WV 26106-1328, (304) 480-6112. If the particular
Federal Reserve Bank or Branch cannot access the particular record,
the individual will be advised to contact the Savings Bond Operations
Office. Individuals should provide sufficient information, including
their address and social security number, to identify themselves as
owner or coowner of the securities. They should provide sufficient
information to identify the securities; this would include the series,
approximate date of issue, serial number, form of registration, and,
except for Series G Savings Bonds registered in coownership form, the
name and social security number of the first-named coowner. If a Case
Identification Number is known, that should be provided. (b) For all
other types of securities covered by this system of records:
Individuals should contact the following: Bureau of the Public Debt,
Savings Bond Operations Office, Division of Transactions and Rulings,
Parkersburg, WV 26106-1328, (304) 480-6112. Individuals should provide
sufficient information, including their address and social security
number, to identify themselves as owner or coowner of the securities.
Individuals should provide sufficient information to identify the
securities, such as type or series of security, approximate date of
issue, serial number, form of registration, and the name and social
security number of the first-named coowner, or in the case of gift
bonds the social security number of the purchaser if that number was
used.
(2) Requests by anyone other than individuals about securities they
own must contain sufficient information to identify the securities;
this would include type or series of securities, approximate date of
issue, serial number, and form of registration. These requests will be
honored only if the identity and right of the requester to the
information have been established. Requests should be sent to the
following: Bureau of the Public Debt, Savings Bond Operations Office,
Division of Transactions and Rulings, Parkersburg, WV 26106-1328,
(304) 480-6112. (a) Requests by a beneficiary for information
concerning securities registered in beneficiary form must be
accompanied by the name and social security number of the owner and by
proof of death of the registered owner. (b) Requests for records of
holdings or other information concerning a deceased or incapacitated
individual should be accompanied either by evidence of the requester's
appointment as legal representative of the estate of the individual or
by a statement attesting that no such representative has been
appointed and giving the nature of the relationship between the
requester and the individual.
Contesting record procedures:
(1) A request by an individual contesting the content of records or
for correction of records should be in writing, be signed, and clearly
state that the request is made pursuant to the Privacy Act of 1974.
(2) The request for correction should specify: (a) The dates of the
prior correspondence concerning the records in question; (b) the
specific records alleged to be incorrect; (c) the correction
requested; and (d) the reasons therefor.
(3) The request must include any available evidence in support of the
request.
(4) The request for correction should be sent to: Director, Division
of Transactions and Rulings, Savings Bond Operations Office, Bureau of
the Public Debt, Parkersburg, WV 26106-1328, (304) 480-6112.
Appeals from an Initial Denial of a Request for Correction of
Records: (1) An appeal from an initial denial of a request for
correction of records must be in writing, be signed by the individual
involved and clearly state that it is made pursuant to the Privacy Act
of 1974. (2) All appeals must, to be processed under the Privacy Act
procedures, be delivered to the address set forth for submission of
appeals within 35 days of the individual's receipt of the initial
denial of the requested correction. (3) All appeals must specify: (a)
The records to which the appeal relates, (b) the date of the initial
request made for correction of the records, and (c) the date that
initial denial of the request for correction was received. (4) All
appeals must also specify the reasons for the requester's disagreement
with the initial denial of correction and must include any applicable
supporting evidence.
(5) Appellate determinations will be made by the Commissioner of the
Public Debt or the delegate of such officer. Appeals should be
addressed to, or delivered personally to the following: Privacy Act
Amendment Appeal, Chief Counsel, Bureau of the Public Debt, Department
of the Treasury, 999 E Street, Room 503, Washington, DC 20239-0001, or
as otherwise provided in the applicable appendix to 31 CFR part 1,
subpart C.
Record source categories:
Information on records in this system is furnished by the individuals
or their authorized representatives as listed in ``Categories of
Individuals`` and issuing agents for securities or is generated within
the system itself.
Exemptions claimed for the system:
None.
Treasury/BPD .003
System name:
United States Securities (Other than Savings Type Securities) --
Treasury/BPD.
System location:
Bureau of the Public Debt: Washington, DC; Parkersburg, WV; Federal
Reserve Banks and Branches located at: Atlanta, GA; Baltimore, MD;
Birmingham, AL; Boston, MA; Buffalo, NY; Charlotte, NC; Chicago, IL;
Cincinnati, OH; Cleveland, OH; Dallas, TX; Denver, CO; Detroit, MI; El
Paso, TX; Houston, TX; Jacksonville, FL; Kansas City, MO; Little Rock,
AR; Los Angeles, CA; Louisville, KY; Memphis, TN; Miami, FL;
Minneapolis, MN; Nashville, TN; New Orleans, LA; New York, NY;
Oklahoma City, OK; Omaha, NE; Philadelphia, PA; Pittsburgh, PA;
Portland, OR; Richmond, VA; Salt Lake City, UT; San Antonio, TX; San
Francisco, CA; Seattle, WA; and St. Louis, MO.
Categories of individuals covered by the system:
Present and former owners of, subscribers to, claimants to, persons
entitled to, and inquirers concerning United States Treasury
securities (except savings-type securities) and interest thereon and
such securities for which the Treasury acts as agent including, but
not limited to, Treasury Bonds, Notes, and Bills; Adjusted Service
Bonds; Armed Forces Leave Bonds; and Federal Housing Administration
Debentures.
Categories of records in the system:
(1) Issuance: Records relating to tenders, bids, subscriptions,
advices of shipment, requests (applications) for original issue, and
correspondence concerning erroneous issue and nonreceipt of
securities. (2) Holdings: Records of ownership and interest activity
on registered or recorded United States securities (other than
savings-type securities); records about fees for TREASURY DIRECT
accounts exceeding a stipulated amount; change of name and address
notices; correspondence concerning errors in registration or
recordation; nonreceipt or over- and underpayments of interest and
principal; records of interest activity; records of unclaimed
accounts; and letters concerning the New York State tax exemption for
veterans of World War I. (3) Transactions (redemptions, payments,
reissues, transfers, and exchanges): Records which include securities
transaction requests; records about fees for definitive securities
issued; legal papers supporting transactions; applications for
transfer, disposition, or payment of securities of deceased or
incompetent owners; records of Federal estate tax transactions;
certificates of ownership covering paid overdue bearer securities;
records of erroneous redemption transactions; records of retired
securities; and payment records. (4) Claims: Records including
correspondence concerning lost, stolen, destroyed, or mutilated United
States securities (other than savings-type securities) or securities
for which the Treasury acts as agent and interest coupons thereon;
bonds of indemnity; legal documents supporting claims for relief; and
records of caveats entered. (5) Inquiries: Records of correspondence
with individuals who have requested information concerning United
States Treasury securities (other than savings-type securities) or
securities for which the Treasury acts as agent. (6) All of the above
categories of records except ``(4) Claims`` include records of
Treasury bills, notes, and bonds in the TREASURY DIRECT Book-entry
Securities System. (7) Records in connection with the commercial book-
entry system relate to information on tenders and in accounts
maintained in the system.
Authority for maintenance of the system:
31 U.S.C. 3101 et seq. and 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
A record or information from a record maintained in this system of
records may be disclosed as a routine use to: (1) Agents or
contractors of the Department for the purpose of administering the
public debt of the United States; (2) next-of-kin, voluntary guardian,
legal representative or successor in interest of a deceased or
incapacitated owner of securities and others entitled upon transfer,
exchange, distribution, or payment for the purpose of assuring
equitable and lawful disposition of securities and interest; (3) any
of the owners if the related securities are registered or recorded in
the names of two or more owners; (4) the Internal Revenue Service for
the purpose of facilitating the collection of the tax revenues of the
United States; (5) the Department of Justice in connection with
lawsuits to which the Department of the Treasury is a party or to
trustees in bankruptcy for the purpose of carrying out their duties;
(6) the Veterans Administration when it relates to the holdings of
Armed Forces Leave Bonds to facilitate the redemption or disposition
of these securities; (7) other federal agencies to effect salary or
administrative offset for the purpose of collecting debts; (8) a
consumer reporting agency, including mailing addresses obtained from
the Internal Revenue Service, to obtain credit reports; (9) a debt
collection agency, including mailing addresses obtained from the
Internal Revenue Service, for debt collection services; (10)
contractors conducting Treasury-sponsored surveys, polls, or
statistical analyses relating to marketing or administration of the
public debt of the United States; (11) appropriate Federal, State,
local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license; (12) a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing counsel or witnesses in the course
of civil discovery, litigation, or settlement negotiations or in
connection with criminal law proceedings or in response to a subpoena;
(13) a congressional office in response to an inquiry made at the
request of the individual to whom the record pertains; (14) disclose
through computer matching information on individuals owing debts to
the Bureau of the Public Debt to other Federal agencies for the
purpose of determining whether the debtor is a Federal employee or
retiree receiving payments which may be used to collect the debt
through administrative or salary offset; (15) disclose through
computer matching information on holdings of Treasury securities to
requesting Federal agencies under approved agreements limiting the
information to that which is relevant in making a determination of
eligibility for Federal benefits administered by those agencies; and
(16) disclose through computer matching, information on individuals
with whom the Bureau of the Public Debt has lost contact, to other
Federal agencies for the purpose of utilizing letter forwarding
services to advise these individuals that they should contact the
Bureau about returned payments and/or matured unredeemed securities.
Disclosures to consumer reporting agencies:
Debtor information is also furnished, in accordance with 5 U.S.C.
552a (b)(12) and section 3 of the Debt Collection Act of 1982, to
consumer reporting agencies to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored in their original form in file
cabinets, as information in electronic media, or on microform.
Retrievability:
Information can be retrieved by social security or account number,
or, in some cases, alphabetically by name or numerically by security
serial number. In the case of securities registered in more than one
name, information relating thereto can generally only be retrieved by
social security number or by the name of the first-named owner.
Information about individuals submitting electronic bids can also be
retrieved by bidder identification number, where such number has been
assigned.
Safeguards:
Information is contained in secure buildings, Federal Records
Centers, or in areas which are occupied either by officers and
responsible employees of the Department who are subject to personnel
screening procedures and to the Executive Branch and Treasury
Department Standards of Conduct or by agents of the Department who are
required by the Department to maintain proper control over records
while in their custody. Additionally, since in most cases, numerous
steps are involved in the retrieval process, unauthorized persons
would be unable to retrieve information in a meaningful form.
Information stored in electronic media is safeguarded by automatic
data processing security procedures in addition to physical security
measures. Additionally, for those categories of records stored in
computers with terminal access, the information cannot be obtained or
modified without proper passwords and preauthorized functional
capability.
Retention and disposal:
Records of holdings, forms, documents, and other legal papers which
constitute the basis for transactions subsequent to original issue are
maintained for such time as is necessary to protect the legal rights
and interests of the U.S. Government and the persons affected, or
otherwise until they are no longer historically significant. Other
records are disposed of at varying intervals in accordance with
records retention schedules reviewed and approved by the National
Archives and Records Administration (NARA). All records are destroyed
by shredding, incineration, or maceration. Records in electronic media
are electronically erased using accepted techniques.
System manager(s) and address:
Records relating to information contained in the commercial book-
entry system: Assistant Commissioner, Office of Financing, Bureau of
the Public Debt, Washington, DC 20239-0001.
All other records: Assistant Commissioner, Office of Securities and
Accounting Services, Bureau of the Public Debt, Parkersburg, WV 26106-
1328.
Notification procedure:
Individuals may submit their requests for determination if the system
contains records pertaining to them or for access to records as
provided under ``Records access procedures'' and ``Requests for access
to records.'' Contesting records procedures or requests for correction
of records and appeals from an initial denial of a request for
correction of records may be submitted as provided under the
applicable heading below.
Record access procedures:
Individuals who wish to request access to records relating to them or
who wish to request correction of records they believe to be in error
should submit such requests pursuant to the procedures set out below
in compliance with the applicable regulations (31 CFR part 1, subpart
C). Requests which do not comply fully with these procedures may
result in noncompliance with the request, but will be answered to the
extent possible.
Requests for access to records: (1) Requests by individuals for
information relating to records contained in the commercial book-entry
system should be directed to the Assistant Commissioner, Office of
Financing, Bureau of the Public Debt, Washington, DC 20239-0001.
(2) Requests by individuals about securities they own: (a) For
Treasury bills, notes, or bonds held in the TREASURY DIRECT Book-entry
Securities System: Individuals may contact the nearest Federal Reserve
Bank or Branch or the Bureau of the Public Debt as listed in the
appendix 1 to this system of records. Individuals should provide
sufficient information, including their social security number, to
identify themselves as owners of securities and sufficient
information, including account number, to identify their TREASURY
DIRECT account.
(b) For all other categories of records in this system of records:
Individual owners should contact: Assistant Commissioner, Office of
Securities and Accounting Services, Bureau of the Public Debt,
Parkersburg, WV 26106-1328. Requests should contain information to
identify themselves including name, address, and social security
number; the type of security involved such as a registered note or
bond, an Armed Forces Leave Bond, etc.; and, to the extent possible,
specify the loan, issue date, denomination, exact form of
registration, and other information about the securities.
(3) Requests by individuals who are representatives of owners or their
estates require appropriate authority papers. Write to: Assistant
Commissioner, Office of Securities and Accounting Services, Bureau of
the Public Debt, Parkersburg, WV 26106-1328, to obtain information on
these requirements. (4) In all cases: The request for information will
be honored only if the identity and right of the requester to the
information have been established.
Contesting records procedures:
(1) A request by an individual contesting records procedures or for
correction of records should be in writing, be signed, and, in order
for the Privacy Act procedures to apply, state that the request is
made pursuant to the Privacy Act of 1974. (2) The request should
specify: (a) The dates of the prior correspondence with the Bureau or
a Federal Reserve Bank or Branch concerning the records in question,
(b) the specific records involved, (c) the change or correction
requested, and (d) the reasons therefor. (3) The request must include
any available evidence in support of the request and should be sent
to: Assistant Commissioner, Office of Financing, Bureau of the Public
Debt, Washington, DC 20239-0001, for requests concerning information
relating to records contained in the commercial book-entry system; for
all other records Assistant Commissioner, Office of Securities and
Accounting Services, Bureau of the Public Debt, Parkersburg, WV 26106-
1328, for all other requests.
Appeals from an Initial Denial of a Request for Correction of
Records: (1) An appeal from an initial denial of a request for
correction of records must be in writing, be signed by the individual
involved, and, in order for the Privacy Act procedures to apply, state
that it is made pursuant to the Privacy Act of 1974. (2) All appeals
must, to be handled under the Privacy Act procedures, be delivered to
the address set forth for submission of appeals within 35 days of the
individual's receipt of the initial denial of the requested
correction. (3) All appeals must specify: (a) The records to which the
appeal relates, (b) the date the initial request for correction of the
records was made, and (c) the date that initial denial of the request
for correction was received. (4) All appeals must also specify the
reasons for the requester's disagreement with the initial denial of
correction and must include any applicable supporting evidence. (5)
Appeals should be addressed to the Commissioner, Bureau of the Public
Debt, Washington, DC 20239-0001, or as otherwise provided in the
applicable appendix to 31 CFR part 1, subpart C.
Record source categories:
Information contained in records in the system is furnished by the
individuals or their authorized representatives as listed in
``Categories of Individuals,`` or is generated within the system
itself.
Exemptions claimed for the system:
None.
Appendix of TREASURY DIRECT contacts.
This appendix lists the places that may be
contacted by individuals when inquiring about
their securities accounts maintained in TREASURY
DIRECT. The initials ``FRB`` stand for Federal
Reserve Bank or Branch.
FRB Atlanta
Visits: 104 Marietta Street, NW, Atlanta, Georgia;
Mail: Securities Service Dept., 104 Marietta St.,
NW, Atlanta, GA 30303; Telephone: (recording)
404-521-8657; (other) 404-521-8673.
FRB Baltimore
Visits: 502 South Sharp Street, Baltimore,
Maryland;
Mail: PO Box 1378, Baltimore, MD 21203; Telephone:
(recording) 301-576-3500; (other) 301-576-3300
FRB Birmingham
Visits: 1801 Fifth Avenue, North, Birmingham,
Alabama;
Mail: PO Box 830447, Birmingham, AL 35283-0447;
Telephone: (recording) 205-731-8702; (other) 205-
731-8708.
FRB Boston
Visits: 600 Atlantic Avenue, Boston, Massachusetts;
Mail: PO Box 2076, Boston, MA 02106; Telephone:
(recording) 617-973-3805; (other) 617-973-3810.
FRB Buffalo
Visits: 160 Delaware Avenue, Buffalo, New York:
Mail: PO Box 961, Buffalo, NY 14240-0961;
Telephone: (recording) 716-849-5158; (other) 716-
849-5000.
FRB Charlotte
Visits: 530 East Trade Street, Charlotte, North
Carolina;
Mail: PO Box 30248, Charlotte, NC 28230; Telephone:
(recording) 704-358-2424; (other) 704-358-2100.
FRB Chicago
Visits: 230 South LaSalle Street, Chicago,
Illinois;
Mail: PO Box 834, Chicago, IL 60690; Telephone:
(recording) 312-786-1110; (other) 312-322-5369.
FRB Cincinnati
Visits: 150 East Fourth Street, Cincinnati, Ohio;
Mail: PO Box 999, Cincinnati, OH 45102;
Telephone: 513-721-4787, ext. 334.
FRB Cleveland
Visits: 1455 East Sixth Street, Cleveland, Ohio;
Mail: PO Box 6387, Cleveland, OH 44101;
Telephone: (recording) 216-579-2490; (other) 216-
579-2000.
FRB Dallas
Visits: 2200 North Pearl Street, Dallas, Texas;
Mail: PO Box 655906 Dallas, TX 75265-5906;
Telephone: (recording); 214-922-6100 (other) 214-
922-6770.
FRB Denver
Visits: 1020 16th Street, Denver, Colorado;
Mail: PO Box 5228, Denver, CO 80217-5228;
Telephone: (recording) 303-572-2475; (other) 303-
572-2470 or 2473.
FRB Detroit
Visits: 160 West Fort Street, Detroit, Michigan;
Mail: PO Box 1059, Detroit, MI 48231; Telephone:
(recording) 313-963-4936; (other) 313-964-6157.
FRB El Paso
Visits: 301 East Main, El Paso, Texas;
Mail: PO Box 100, El Paso, TX 79999; Telephone:
(recording) 915-521-8295; (other) 915-521-8272
FRB Houston
Visits: 1701 San Jacinto Street, Houston, Texas;
Mail: PO Box 2578, Houston, TX 77252; Telephone:
713-659-4433.
FRB Jacksonville
Visits: 800 West Water Street, Jacksonville,
Florida;
Mail: PO Box 2499, Jacksonville, FL 32231-2499;
Telephone: (recording) 904-632-1178; (other) 904-
632-1179.
FRB Kansas City
Visits: 925 Grand Avenue, Kansas City, Missouri;
Mail: PO Box 440, Kansas City, MO 64198; Telephone:
(recording) 816-881-2767; (other) 816-881-2883.
FRB Little Rock
Visits: 325 West Capitol Avenue, Little Rock,
Arkansas; Mail: PO Box 1201, Little Rock, AR
72203; Telephone: (recording) 501-324-8274;
(other) 501-324-8272.
FRB Los Angeles
Visits: 950 South Grand Avenue, Los Angeles,
California;
Mail: PO Box 2077, Terminal Annex, Los Angeles, CA
90051; Telephone: 213-624-7398.
FRB Louisville
Visits: 410 South Fifth Street, Louisville,
Kentucky;
Mail: PO Box 32710, Louisville, KY 40232;
Telephone: (recording) 502-568-9240; (other) 502-
568-9236 or 9238.
FRB Memphis
Visits: 200 North Main Street, Memphis, Tennessee;
Mail: PO Box 407, Memphis, TN 38101; Telephone:
(recording) 901-523-9380; (other) 901-523-7171,
ext. 423.
FRB Miami
Visits: 9100 NW. Thirty-Sixth Street, Miami,
Florida;
Mail: PO Box 520847, Miami, FL 33152; Telephone:
(recording) 305-471-6257; (other) 305-471-6497.
FRB Minneapolis
Visits: 250 Marquette Avenue, Minneapolis,
Minnesota;
Mail: 250 Marquette Avenue, Minneapolis, MN 55480;
Telephone: (recording) 612-340-2051; (other) 612-
340-2075.
FRB Nashville
Visits: 301 Eighth Avenue, North, Nashville,
Tennessee;
Mail: 301 Eighth Avenue, N., Nashville, TN 37203-
4407; Telephone: (recording) 615-251-7236;
(other) 615-251-7100.
FRB New Orleans
Visits: 525 St. Charles Avenue, New Orleans,
Louisiana;
Mail: PO Box 61630, New Orleans, LA 70161;
Telephone: (recording) 504-593-5839; (other) 504-
593-3200.
FRB New York
Visits: 33 Liberty Street, New York, New York;
Mail: Federal Reserve, PO Station, New York, NY
10045; Telephone: (recording) 212-720-5823;
(other) 212-720-6619.
FRB Oklahoma City
Visits: 226 Dean A. McGee Avenue, Oklahoma City,
Oklahoma;
Mail: PO Box 25129, Oklahoma City, OK 73125;
Telephone: (recording) 405-270-8660; (other) 405-
270-8652.
FRB Omaha
Visits: 2201 Farnam Street, Omaha, Nebraska;
Mail: 2201 Farnam Street, Omaha, NE 68102;
Telephone: (recording) 402-221-5638; (other) 402-
221-5636.
FRB Philadelphia
Visits: Ten Independence Mall, Philadelphia,
Pennsylvania;
Mail: PO Box 90, Philadelphia, PA 19105; Telephone:
(recording) 215-574-6580; (other) 215-574-6680.
FRB Pittsburgh
Visits: 717 Grant Street, Pittsburgh, Pennsylvania;
Mail: PO Box 867, Pittsburgh, PA 15230-0867;
Telephone: (recording) 412-261-7988; (other) 412-
261-7802.
FRB Portland
Visits: 915 SW Stark Street, Portland, Oregon;
Mail: PO Box 3436, Portland, OR 97208-3436;
Telephone: (recording) 503-221-5931; (other) 503-
221-5932.
FRB Richmond
Visits: 701 East Byrd Street, Richmond, Virginia;
Mail: PO Box 27622, Richmond, VA 23261; Telephone:
(recording) 804-697-8355; (other) 804-697-8372.
FRB Salt Lake City
Visits: 120 South State Street, Salt Lake City,
Utah;
Mail: PO Box 30780, Salt Lake City, UT 84130-0780;
Telephone: (recording) 801-322-7844; (other) 801-
322-7882.
FRB San Antonio
Visits: 120 East Nueva Street, San Antonio, Texas;
Mail: PO Box 1471, San Antonio, TX 78295;
Telephone: (recording) 512-978-1330; (other) 512-
978-1303 or 1305.
FRB San Francisco
Visits: 101 Market Street, San Francisco,
California;
Mail: PO Box 7702, San Francisco, CA 94120;
Telephone: (recording) 415-974-3491; (other) 415-
974-2330.
FRB Seattle
Visits: 1015 Second Avenue, Seattle, Washington;
Mail: Securities Services Dept., PO Box 3567,
Terminal Annex, Seattle, WA 98124; Telephone:
(recording) 206-343-3615; (other) 206-343-3605.
FRB St. Louis
Visits: 411 Locust Street, St. Louis, Missouri;
Mail: PO Box 14915, St. Louis, MO 63178; Telephone:
314-444-8703.
United States Treasury, Washington, DC.
Visits: Bureau of the Public Debt, Capital Area
Servicing Center, 1300 C Street, SW, Washington,
DC.
Mail: Bureau of the Public Debt, Division of
Customer Services, Washington, DC 20239-0001;
Telephone: 202-874-4000; Device for hearing
impaired, 202-874-4026.
Treasury/BPD .004
System name:
Controlled Access Security System -- Treasury/BPD.
System location:
Bureau of the Public Debt, Parkersburg, WV.
Categories of individuals covered by the system:
Bureau of the Public Debt employees, employees of contractors and
service companies, and official visitors.
Categories of records in the system:
A record is created for each access to designated areas and contains
the individual's name; card number; work shift; access level; time,
date, and location of each use of the access card at a proximity card
reader.
Authority for maintenance of the system:
31 U.S.C. 321; 41 CFR 101-20.103.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record or information from a record maintained in this system may
be disclosed as a routine use to: (1) Appropriate Federal, State,
local or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing a statute, rule,
regulation, order, or license; (2) a Federal, State, or local agency
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, which has requested information
relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security
clearance, license, contract, grant, or other benefit; (3) a court,
magistrate, or administrative tribunal in the course of presenting
evidence, including disclosures to opposing counsel or witnesses in
the course of civil discovery, litigation, or settlement negotiations,
or in connection with criminal law proceedings, or in response to a
subpoena; (4) a Congressional office in response to an inquiry made at
the request of the individual to whom the record pertains; (5) unions
recognized as exclusive bargaining representatives under the Civil
Service Reform Act of 1978, 5 U.S.C. 7111 and 7114, arbitrators and
other parties responsible for the administration of the Federal labor-
management program if needed in the performance of their authorized
duties.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media and paper records.
Retrievability:
Information on individuals can be retrieved by name or card number.
Safeguards:
Both the central system and the peripheral system will have limited
accessibility. Paper records and magnetic disks are maintained in
locked file cabinets with access limited to those personnel whose
official duties require access, such as the systems manager, Bureau
security officials, and employee relations specialists. Access to
terminals is limited through the use of passwords to those personnel
whose official duties require access, as for paper records.
Retention and disposal:
The retention period is for three years; then the records are
destroyed.
System manager(s) and address:
Director, Division of Administrative Services, 200 Third Street,
Parkersburg, WV 26106-1328.
Notification procedure:
Address inquiries and initial requests for correction of records to:
Director, Division of Administrative Services, Parkersburg, WV 26106-
1328.
Record access procedures:
Individuals who wish to request access to records relating to them or
who wish to request correction of records they believe to be in error
should submit such requests pursuant to the procedures set out below
in compliance with the applicable regulations (31 CFR part 1, subpart
C). Requests which do not comply fully with these procedures may
result in noncompliance with the request, but will be answered to the
extent possible.
Requests for Access to Records: (1) A request for access to records
should be in writing, signed by the individual concerned, identify the
system of records, and clearly indicate that the request is made
pursuant to the Privacy Act of 1974. The Bureau reserves the right to
require additional verification of an individual's identity. (2) The
request should be submitted to the following: Director, Division of
Administrative Services, Parkersburg, WV 26106-1328. (3) The request
must state whether the requester wishes to be notified that the record
exists or desires to inspect or obtain a copy of the record. If a copy
of the record is desired, the requester must agree to pay the fees for
copying the documents in accordance with 31 CFR part 1, subpart C. (4)
Requests for records concerning a deceased or incapacitated individual
should be accompanied either by evidence of the requester's
appointment as legal representative of the estate or by a statement
attesting that no such representative has been appointed and giving
the nature of the relationship between the requester and the
individual.
Requests for Correction of Records: (1) A request by an individual for
correction of records should be in writing, signed by the individual
involved, identify the system of records, and clearly state that the
request is made pursuant to the Privacy Act of 1974. The Bureau
reserves the right to require additional verification of an
individual's identity. (2) The initial request should be submitted to
the following: Director, Division of Administrative Services,
Parkersburg, WV 26106-1328. (3) The request for correction should
specify: (a) The dates of records in question; (b) the specific
records alleged to be incorrect; (c) the correction requested; and (d)
the reasons therefor. (4) The request must include any available
evidence in support of the request.
Appeals from an Initial Denial of a Request for Correction of
Records: (1) An appeal from an initial denial of a request for
correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that it is
made pursuant to the Privacy Act of 1974. The Bureau reserves the
right to require additional verification of an individual's identity.
(2) An appeal must, to be handled under the Privacy Act procedures, be
addressed to the following: Commissioner, Bureau of the Public Debt,
Washington, DC 20239-0001 (or as otherwise provided for in the
applicable appendix to 31 CFR part 1, subpart C), within 35 days of
the individual's receipt of the initial denial of the requested
correction. (3) An appeal must also specify: (a) The records to which
the appeal relates; (b) the date of the initial request made for
correction of the records, and (c) the date that the initial denial of
the request for correction was received. (4) An appeal must also
specify the reasons for the requester's disagreement with the initial
denial of correction and must include any applicable supporting
evidence.
Contesting record procedures:
See ``Notification Procedure`` and ``Record Access Procedures.''
Record source categories:
The individual concerned, his/her supervisor, or an official of the
individual's firm or agency.
Exemptions claimed for the system:
None.
Treasury/BPD. 005
System name:
Employee Assistance Records -- Treasury/BPD.
System location:
Bureau of the Public Debt, 200 Third Street, Parkersburg, West
Virginia 26106. This system covers Public Debt employee assistance
records that are maintained by another Federal, State, or local
government, or contractor under an agreement with Public Debt to
provide the Employee Assistance Program (EAP) functions. The system
location of entities under an agreement with Public Debt is available
from the system manager. NOTE: Records covering individuals described
in ``Categories of individuals covered by the system`` who are or were
counseled through a Public Debt negotiated agreement with the U.S.
Public Health Service, Department of Health and Human Resources, are
not covered by this notice. Those records are maintained by the Public
Health Service and its Privacy Act system notice (09-15-0001, Division
of Federal Occupational Health Medical and Counseling Records, or 09-
90-0010, Employee Assistance Program Records) applies.
Categories of individuals covered by the system:
Public Debt employees and former employees who will be or have been
counseled, either by self-referral or supervisory-referral regarding
drug abuse, alcohol, emotional health, or other personal problems.
Where applicable, this system also covers family members of these
employees when the family member utilizes the services of the EAP as
part of the employee's counseling or treatment process.
Categories of records in the system:
This system contains records of each employee and, in some cases,
family members of the employee who have utilized the Employee
Assistance Program for a drug, alcohol, emotional, or personal
problem. Examples of information which may be found in each record are
the individual's name, social security number, date of birth, grade,
job title, home address, telephone numbers, supervisor's name and
telephone number, assessment of problem, and referrals to treatment
facilities and outcomes.
Authority for maintenance of the system:
5 U.S.C. 301, 7361, 7362, 7904; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records and information in these records may be disclosed to:
(1) An entity under contract with Public Debt for the purpose of
providing the EAP function; (2) medical personnel to the extent
necessary to meet a bona fide medical emergency in accordance with the
Confidentiality of Alcohol and Drug Abuse Patient Records regulations
(42 CFR part 2); (3) qualified personnel for the purpose of conducting
scientific research, management audits, financial audits, or program
evaluation, provided individual identifiers are not disclosed in any
manner, in accordance with the Confidentiality of Alcohol and Drug
Abuse Patient Records regulations (42 CFR part 2); (4) a third party
upon authorization by an appropriate order of a court of competent
jurisdiction granted after application showing good cause therefor, in
accordance with the Confidentiality of Alcohol and Drug Abuse Patient
Records regulations (42 CFR part 2); (5) the Department of Justice or
other appropriate Federal agency in defending claims against the
United States when the records are not covered by the Confidentiality
of Alcohol and Drug Abuse Patient Records regulations at 42 CFR part
2.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
These records are retrieved by the name and social security number of
the individual on whom they are maintained.
Safeguards:
Records are stored in locked safes with combination locks. Only
individuals with a need-to-know have access. Automated records are
protected by restricted access procedures. Access to records is
strictly limited to agency or contractor officials with a bona fide
need for the records. These records are always maintained apart from
any other system of records.
When Public Debt contracts with an entity for the purpose of providing
the EAP functions, the contractor shall be required to maintain
Privacy Act safeguards with respect to such records. The contractor
will surrender to Public Debt all of these records as well as any new
records at the time of contract termination. Also, when the disclosure
of records is requested, the contractor will not make the
determination about whether the records may be disclosed.
Retention and disposal:
The retention period is 3 years after termination of counseling or
until any litigation is resolved. If an employee is no longer employed
by Public Debt, records are retained for 3 years after the official
date of termination. Then the records are destroyed.
System manager(s) and address:
Director, Division of Personnel Management, Bureau of the Public
Debt, 200 Third Street, Parkersburg, WV 26106-1328.
Notification procedure:
Address inquiries and initial requests for correction of records to:
Director, Division of Personnel Management, Bureau of the Public Debt,
200 Third Street, Parkersburg, WV 26106-1328.
Record access procedures:
Individuals who wish to request access to records relating to them or
who wish to request correction of records they believe to be in error
should submit such requests pursuant to the procedures set out below
in compliance with the applicable regulations (31 CFR part 1, subpart
C). Requests which do not comply fully with these procedures may
result in noncompliance with the request, but will be answered to the
extent possible.
Requests for Access to Records: (1) A request for access to records
must be in writing, signed by the individual concerned, identify the
system of records, and clearly indicate that the request is made
pursuant to the Privacy Act of 1974. At least two items of
identification must be furnished; e.g., date of birth; social security
number; dates of employment, if request is by employee; relationship
to employee, if request is by family member; or similar information.
Public Debt reserves the right to require additional verification of
an individual's identity; (2) The request is to be submitted to the
Director, Division of Personnel Management, Bureau of the Public Debt,
200 Third Street, Parkersburg, WV 26106-1328; (3) The request must
state whether the requester wishes to be notified that the record
exists or desires to inspect or obtain a copy of the record. If a copy
of the record is desired, the requester must agree to pay the fees for
copying the documents in accordance with 31 CFR part 1, subpart C; (4)
Requests for records concerning a deceased or incapacitated individual
must be accompanied either by evidence of the requester's appointment
as legal representative of the estate or by a notarized statement
attesting that no such representative has been appointed and giving
the nature of the relationship between the requester and the
individual.
Requests for Correction of Records: (1) A request by an individual
for correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that the
request is made pursuant to the Privacy Act of 1974. At least two
items of identification must be furnished; e.g., date of birth; social
security number; dates of employment, if request is by employee;
relationship to employee, if request is by family member; or similar
information. Public Debt reserves the right to require additional
verification of an individual's identity; (2) The initial request is
to be submitted to the Director, Division of Personnel Management, 200
Third Street, Parkersburg, WV 26106-1328; (3) The request for
correction should specify: (a) The dates of records in question, (b)
the specific records alleged to be incorrect, (c) the correction
requested, and (d) the reasons therefor; (4) The request must include
any available evidence in support of the request.
Appeals from an Initial Denial of a Request for Correction of
Records: (1) An appeal from an initial denial of a request for
correction of records must be in writing, signed by the individual
involved, identify the system of records, and clearly state that it is
made pursuant to the Privacy Act of 1974. At least two items of
identification must be furnished; e.g., date of birth; social security
number; dates of employment, if request is by employee; relationship
to employee, if request is by family member; or similar information.
Public Debt reserves the right to require additional verification of
an individual's identity; (2) Appellate determinations will be made by
the Commissioner of the Public Debt or the delegate of such officer.
Appeals should be addressed as follows: Privacy Act Amendment, Chief
Counsel, Bureau of the Public Debt, Department of the Treasury, 999 E
Street, NW, Room 503, Washington, DC 20239-0001 (or as otherwise
provided for in the applicable appendix to 31 CFR part 1, subpart C),
within 35 days of the individual's receipt of the initial denial of
the requested correction; (3) An appeal must also specify: (a) The
records to which the appeal relates, (b) the date of the initial
request made for correction of the records, and (c) the date that the
initial denial of the request for correction was received; (4) An
appeal must also specify the reasons for the requester's disagreement
with the initial denial of correction and must include any applicable
supporting evidence.
Contesting record procedures:
See ``Notification Procedure'' and ``Record Access Procedures.''
Record source categories:
Information in this system of records comes from the individual to
whom it applies, the supervisor of the individual if the individual
was referred by a supervisor, or the Employee Assistance Program staff
member who records the counseling session.
Exemptions claimed for the system:
None.
Treasury/BPD .006
System name:
Health Service Program Records -- Treasury/BPD.
System location:
Bureau of the Public Debt, 200 Third Street, Parkersburg, WV 26106-
1328.
Categories of individuals covered by the system:
(1) Bureau of the Public Debt employees who receive services under
the Federal Employee Health Services Program from the Public Debt
Health Unit in Parkersburg, West Virginia. (2) Federal employees of
other organizations in the Parkersburg, West Virginia, vicinity who
receive services under the Federal Employee Health Services Program
from the Public Debt Health Unit in Parkersburg, West Virginia. (3)
Non-Federal individuals, such as members of the public visiting the
credit union or cafeteria or non-Federal personnel working in the
building, who may receive emergency treatment from the Public Debt
Health Unit in Parkersburg, West Virginia.
Categories of records in the system:
This system is comprised of records developed as a result of an
individual's utilization of services provided under the Federal
Government's Health Service Program. These records contain information
such as: Examination, diagnostic, and treatment data; laboratory
findings; nutrition and dietetic files; nursing notes; immunization
records; names, addresses, and telephone numbers of individual; name,
address, and telephone number of individual's physician; name,
address, and telephone number of hospital; name, address, and
telephone number of emergency contact; and information obtained from
the individual's physician.
Note: This system does not cover records related to counseling for
drug, alcohol, or other problems covered by System No. Treasury/BPD
.005 - Employee Assistance Records. Medical records relating to a
condition of employment or an on-the-job occurrence are covered by the
Office of Personnel Management's System of Records No. OPM/GOVT-10 -
Employee Medical File System Records.
Authority for maintenance of the system:
Title 5 U.S.C. 7901.
Purpose(s):
These records document an individual's utilization on a voluntary
basis of health services provided under the Federal Government's
Health Service Program at the Health Unit at the Bureau of the Public
Debt in Parkersburg, West Virginia. Data is necessary to ensure proper
evaluation, diagnosis, treatment, and referral to maintain continuity
of care; a medical history of care received by the individual;
planning for further care of the individual; a means of communication
among health care members who contribute to the individual's care; a
legal document of health care rendered; a tool for evaluating the
quality of health care rendered.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A record or information from a record maintained in this system of
records may be disclosed as a routine use to: (1) Medical personnel
under a contract agreement with Public Debt; (2) a Federal, State, or
local public health service agency as required by applicable law,
concerning individuals who have contracted certain communicable
diseases or conditions. Such information is used to prevent further
outbreak of the disease or condition; (3) appropriate Federal, State,
or local agencies responsible for investigation of an accident,
disease, medical condition, or injury as required by pertinent legal
authority; (4) the Department of Justice in connection with lawsuits
in which the Department of the Treasury is a party or has an interest;
(5) a Federal agency responsible for administering benefits programs
in connection with a claim for benefits filed by an employee; (6) a
Congressional office from the record of an individual in response to
an inquiry from the Congressional office made at the request of that
individual; (7) a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation, or
settlement negotiations, or in response to a subpoena or in connection
with criminal law proceedings.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and magnetic media.
Retrievability:
These records are retrieved by the name of the individual to whom
they pertain.
Safeguards:
These records are maintained in a secured room with access limited to
Health Unit personnel whose duties require access. Medical personnel
under a contract agreement who have access to these records are
required to maintain adequate safeguards with respect to such records.
Retention and disposal:
Records of the Health Unit are maintained for 6 years from the date
of the last entry and then destroyed.
System manager and address:
Director, Division of Administrative Services, Bureau of the Public
Debt, Parkersburg, West Virginia 26106-1328.
Notification procedure:
Individuals may submit their requests for determination if the system
contains records pertaining to them or for access to records as
provided under ``Record Access Procedures.'' Requests must be made in
compliance with the applicable regulations (31 CFR part 1, subpart C).
Requests which do not comply fully with these procedures may result in
noncompliance with the request, but will be answered to the extent
possible.
Record access procedures:
(1) A request for access to records should be in writing, signed by
the individual concerned, identify the system of records, and clearly
indicate that the request is made pursuant to the Privacy Act of 1974.
If the individual is seeking access in person, identity may be
established by the presentation of a single official document bearing
the individual's photograph or by the presentation of two items of
identification without the photograph but instead showing a name and
signature. If the individual is seeking access by mail, identity may
be established by the presentation of a signature, address, and one
other identifier such as a photocopy of an official document bearing
the individual's signature. The Bureau reserves the right to require
additional verification of an individual's identity.
(2) The request should be submitted to the following: Director,
Division of Administrative Services, Bureau of the Public Debt,
Parkersburg, West Virginia 26106-1328.
(3) The request must state whether the requester wishes to be notified
that the record exists or desires to inspect or obtain a copy of the
record. If a copy of the record is desired, the requester must agree
to pay the fees for copying the documents in accordance with 31 CFR
1.26(d)(2)(ii). An individual who requests access to a Health Service
Program Record shall, at the time the request is made, designate in
writing the name of a responsible representative who will be willing
to review the record and inform the subject individual of its content.
This does not permit the representative to withhold the records from
the requester. Rather, the representative is expected to provide
access to the records while explaining sensitive or complex
information contained in the records.
Contesting record procedures:
(1) A request by an individual contesting the content of records or
for correction of records should be in writing, signed by the
individual involved, identify the system of records, and clearly state
that the request is made pursuant to the Privacy Act of 1974. If the
request is made in person, identity may be established by the
presentation of a single official document bearing the individual's
photograph or by the presentation of two items of identification
without the photograph but instead showing a name and signature. If
the request is by mail, identity may be established by the
presentation of a signature, address, and one other identifier such as
a photocopy of an official document bearing the individual's
signature. The Bureau reserves the right to require additional
verification of an individual's identity.
(2) The initial request should be submitted to the following:
Director, Division of Administrative Services, Bureau of the Public
Debt, Parkersburg, West Virginia 26106-1328.
(3) The request should specify: (a) The dates of records in question,
(b) the specific records alleged to be incorrect, (c) the correction
requested, and (d) the reasons therefor.
(4) The request must include any available evidence in support of the
request.
Appeals from an Initial Denial of a Request for Correction of
Records: (1) An appeal from an initial denial of a request for
correction of records must be in writing, signed by the individual
involved, identify the system of record, and clearly state that it is
made pursuant to the Privacy Act of 1974. If the individual is making
an appeal in person, identity may be established by the presentation
of a single official document bearing the individual's photograph or
by the presentation of two items of identification without the
photograph but instead showing a name and signature. If the individual
is making an appeal by mail, identity may be established by the
presentation of a signature, address, and one other identifier such as
a photocopy of an official document bearing the individual's
signature. The Bureau reserves the right to require additional
verification of an individual's identity.
(2) Appellate determinations will be made by the Commissioner of the
Public Debt or the delegate of such officer. Appeals made by mail
should be addressed to, or delivered personally to: Privacy Act
Amendment Appeal, Chief Counsel, Bureau of the Public Debt, 999 E
Street, NW, Room 503, Washington, DC 20239-0001 (or as otherwise
provided for in the applicable appendix to 31 CFR part 1, subpart C),
within 35 days of the individual's receipt of the initial denial of
the requested correction.
(3) An appeal must also specify: (a) The records to which the appeal
relates, (b) the date of the initial request made for correction of
the records, and (c) the date that the initial denial of the request
for correction was received.
(4) An appeal must also specify the reasons for the requester's
disagreement with the initial denial of correction and must include
any applicable supporting evidence.
Record source categories:
Information in this system of records comes from the individual to
whom it applies; laboratory reports and test results; Health Unit
physicians, nurses, and other medical technicians who have examined,
tested, or treated the individual; the individual's personal
physician; other Federal employee health units; and other Federal
agencies.
Exemptions claimed for the system:
None.
Treasury BPD .007
System name:
Gifts to Reduce the Public Debt -- Treasury/BPD.
System location:
Bureau of the Public Debt, Office of Securities and Accounting
Services, Capital Area Servicing Center, C Street Building,
Washington, DC 20239-0001.
Categories of individuals covered by the system:
Donors of gifts to reduce the public debt.
Categories of records in the system:
Correspondence; copies of checks, money orders, or other payments;
copies of wills and other legal documents; and other material related
to gifts to reduce the public debt, received on or after October 1,
1984, by the Bureau of the Public Debt either directly from the donor
or through the donor's Congressional or other representative.
This system does not cover gifts to reduce the public debt received
prior to October 1, 1984, when this function was handled by the
Financial Management Service. This system of records does not cover
gifts sent to other agencies, such as gifts sent with one's Federal
income tax return to the Internal Revenue Service. This system does
not include any other gifts to the United States.
Authority for maintenance of the system:
Title 31 U.S.C. 3113.
Purpose(s):
These records document the receipt from donors of gifts to reduce the
public debt. They provide a record of correspondence acknowledging
receipt, information concerning any legal matters, and a record of
depositing the gift and accounting for it.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used to: (1)
Disclose pertinent information to appropriate Federal, State, local or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing a statute, rule,
regulation, order, or license; (2) Disclose information to a court,
magistrate, or administrative tribunal in the course of presenting
evidence including disclosures to opposing counsel or witnesses in the
course of civil discovery, litigation, or settlement negotiations, or
in response to a subpoena, or in connection with criminal law
proceedings; (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) Disclose information to agents or contractors
of the Department for the purpose of administering the public debt of
the United States; (5) Disclose information to a legal representative
of a deceased donor for the purpose of properly administering the
estate of the deceased; (6) Disclose information to the Internal
Revenue Service for the purpose of confirming whether a tax-deductible
event has occurred; (7) Disclose information to the Department of
Justice in connection with lawsuits in which the Department of the
Treasury is a party or has an interest.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, microform, and magnetic media.
Retrievability:
These records are retrieved by the name of the donor; amount of gift,
type of gift; date of gift; social security number of donor, if
provided; control number, check number; State code.
Safeguards:
These records are maintained in controlled access areas. Automated
records are protected by restricted access procedures. Checks and
other payments are stored in locked safes with access limited to
personnel whose duties require access.
Retention and disposal:
Records of gifts to reduce the public debt are maintained in
accordance with National Archives and Records Administration retention
schedules. All records are destroyed by incineration or shredding.
Records in electronic media are electronically erased using accepted
techniques.
System manager and address:
Fiscal Officer, Capital Area Servicing Center, Office of Securities
and Accounting Services, Bureau of the Public Debt, C Street Building,
Washington, DC 20239-0001.
Notification procedure:
Address inquiries and initial requests for correction of records to
the System Manager.
Record access procedures:
Individuals who wish to request access to records relating to them or
who wish to request correction of records they believe to be in error
should submit such requests pursuant to the procedures set out below
in compliance with the applicable regulations (31 CFR part 1, subpart
C). Requests which do not comply fully with these procedures may
result in noncompliance with the request, but will be answered to the
extent possible.
Requests for Access to Records: (1) A request for access to records
should be in writing, signed by the individual concerned, identify the
system of records, and clearly indicate that the request is made
pursuant to the Privacy Act of 1974. If the individual is seeking
access in person, identity may be established by the presentation of a
single official document bearing the individual's photograph or by the
presentation of two items of identification without the photograph but
instead showing a name and signature. If the individual is seeking
access by mail, identity may be established by the presentation of a
signature, address, and one other identifier such as a photocopy of an
official document bearing the individual's signature. The Bureau
reserves the right to require additional verification of an
individual's identity; (2) The request should be submitted to the
following: Fiscal Officer, Capital Area Servicing Center, Office of
Securities and Accounting Services, Bureau of the Public Debt, C
Street Building, Washington, DC 20239-0001; (3) The request must state
whether the requester wishes to be notified that the record exists or
desires to inspect or obtain a copy of the record. If a copy of the
record is desired, the requester must agree to pay the fees for
copying the documents in accordance with 31 CFR 1.26(d)(2)(ii).
Requests for Correction of Records: (1) A request by an individual
for correction of records should be in writing, signed by the
individual involved, identify the system of records, and clearly state
that the request is made pursuant to the Privacy Act of 1974. If the
individual is seeking correction in person, identity may be
established by the presentation of a single official document bearing
the individual's photograph or by the presentation of two items of
identification without the photograph but instead showing a name and
signature. If the individual is seeking correction by mail, identity
may be established by the presentation of a signature, address, and
one other identifier such as a photocopy of an official document
bearing the individual's signature. The Bureau reserves the right to
require additional verification of an individual's identity; (2) The
initial request should be submitted to the following: Fiscal Officer,
Capital Area Servicing Center, Office of Securities and Accounting
Services, Bureau of the Public Debt, C Street Building, Washington, DC
20239-0001; (3) The request for correction should specify: (a) The
dates of records in question, (b) the specific records alleged to be
incorrect, (c) the correction requested, and (d) the reasons therefor;
(4) The request must include any available evidence in support of the
request.
Appeals from an Initial Denial of a Request for Correction of
Records: (1) An appeal from an initial denial of a request for
correction of records must be in writing, signed by the individual
involved, identify the system of records and clearly state that it is
made pursuant to the Privacy Act of 1974. If the individual is making
an appeal in person, identity may be established by the presentation
of a single official document bearing the individual's photograph or
by the presentation of two items of identification without the
photograph but instead showing a name and signature. If the individual
is making an appeal by mail, identity may be established by the
presentation of a signature, address, and one other identifier such as
a photocopy of an official document bearing the individual's
signature. The Bureau reserves the right to require additional
verification of an individual's identity; (2) Appellate determinations
will be made by the Commissioner of the Public Debt or the delegate of
such officer. Appeals made by mail should be addressed to, or
delivered personally to: Privacy Act Amendment Appeal, Chief Counsel,
Bureau of the Public Debt, 999 E Street, NW, Room 503, Washington, DC
20239-0001 (or as otherwise provided for in the applicable appendix to
31 CFR part 1, subpart C), within 35 days of the individual's receipt
of the initial denial of the requested correction; (3) An appeal must
also specify: (a) The records to which the appeal relates, (b) the
date of the initial request made for correction of the records, and
(c) the date that the initial denial of the request for correction was
received; (4) An appeal must also specify the reasons for the
requester's disagreement with the initial denial of correction and
must include any applicable supporting evidence.
Contesting record procedures:
See ``Notification Procedure'' and ``Record Access Procedures.''
Record source categories:
Information in this system of records comes from the individual to
whom it applies, executors, administrators, and other involved
persons.
Exemptions claimed for the system:
None.
Treasury/BPD .008
System name:
Savings Bonds Sales Promotion/Volunteer Record System-Treasury/BPD.
System location:
Savings Bonds Marketing Office, Washington, DC; District and Area
Offices.
Categories of individuals covered by the system:
Bond tellers, campaign managers, campaign nominees, volunteers.
Categories of records in the system:
Administrative lists and related detail; general correspondence;
biographical sketches.
Authority for maintenance of the system:
31 U.S.C. 321; 31 U.S.C. 3121(f).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
There are no disclosures outside the Department for this records
system.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Mailing lists are accessible to employees and stored on addressograph
plates. Other correspondence and materials are filed in the regular
correspondence file cabinets.
Retrievability:
Records are indexed by year, volunteer position and name, and are
retrievable by those identifiers.
Safeguards:
The individual, however, must be under supervision of a Savings Bonds
officer during the entire time he or she has this information in his/
her possession.
Retention and disposal:
Records are maintained as long as needed and updated as necessary.
System manager(s) and address:
Executive Director, Savings Bonds Marketing Office, 800 K Street, NW,
Washington, DC 20226.
Notification procedure:
Records that are housed by the Savings Bonds Marketing Office are not
of a nature that would warrant strict guidelines for accessibility. An
individual may request access to his/her record or any information
pertaining to him/her by merely notifying the office or officer in
charge.
Record access procedures:
An individual may request access to his or her record at any time by
notifying the officer in charge. The individual, however, must be
under the supervision of a Savings Bonds officer during the entire
time the information is in his/her possession.
Contesting record procedures:
See ``System Manager'' above. Contested information should be
specified, and the reason(s) for contesting the record listed.
Record source categories:
Data accumulated in the record system at Savings Bonds are gathered
from the individual and/or from sources directly connected with the
volunteer's appointment.
Exemptions claimed for the system:
None.
Treasury/BPD .009
System name:
Savings Bonds Sales Record System - Treasury/BPD.
System location:
Savings Bonds Marketing Office, Washington, DC; District Offices.
Categories of individuals covered by the system:
Volunteers and employees.
Categories of records in the system:
Routine lists and administrative details associated with sales, Blue
Ribbon Target Cards, Blue Ribbon Target Status Control Sheets, Field
Call Reports, Itineraries, Net-Saver Reports, Payroll Savings
Reporting Procedures Forms, Progress Summaries, Time and Attendance
Records, Training Reports, Work Plans, State-County Chairmen, State
and Volunteer Fund Lists, ``Take Stock in America`` Records, Telephone
calls, Volunteer Biographies.
Authority for maintenance of the system:
31 U.S.C. 321; 31 U.S.C. 3121(f).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
There are no disclosures for this system of records outside the
Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records of this nature are filed in large notebooks and are indexed
according to individual names, regions, areas and states.
Retrievability:
Records are retrievable under indexes indicated above.
Safeguards:
Records do not warrant tight security.
Retention and disposal:
High priority records are kept as long as needed, records of lower
priority are destroyed after two years.
System manager(s) and address:
Director of Sales Operations, Savings Bonds Marketing Office, 800 K
Street, NW, Washington, DC 20226.
Notification procedure:
An individual may request access to his or her record or any
information pertaining to him/her by merely notifying the office or
officer in charge. The individual, however, must be under the
supervision of a Savings Bonds officer during the entire time he or
she has this information in his/her possession.
Record access procedures:
See ``Notification Procedure'' and ``System Manager.''
Contesting record procedures:
See ``System Manager'' above. Contested information should be
specified and the reasons(s) for contesting the record listed.
Record source categories:
Data accumulated in the sales record system at Savings Bonds are
gathered from the individual and/or from sources directly connected
with the employee's appointment.
Exemptions claimed for the system:
None.
United States Secret Service
Treasury/USSS .001
System name:
Administrative Information System -- Treasury/USSS.
System location:
(a) U.S. Secret Service (Headquarters), 1800 G St. NW, Washington, DC
20223. Components of the this System are geographically dispersed
throughout U.S. Secret Service field offices. (See below, United
States Secret Service, appendix A, listing the addresses of Secret
Service offices.) (b) U.S. Secret Service Uniformed Division, 1310 L
St., NW, Washington, DC 20005; (c) Presidential Protective Division,
U.S. Secret Service, Room 10, Old Executive Office Building, 17th and
Pennsylvania Ave., NW, Washington, DC 20500; (d) Vice Presidential
Protective Division, U.S. Secret Service, Old Executive Office
Building, Room 295, Washington, DC 20500; (e) Dignitary Protective
Division U.S. Secret Service, 1310 L St., NW, Washington, DC 20005;
(f) Special Services Division, U.S. Secret Service, Washington Navy
Yard, 2nd and M St., SE, Bldg. 216, Washington, DC 20374; (g) Johnson
Protective Division, U.S. Secret Service, PO Box 921, Stonewall, TX
78671; (h) Ford Protective Division, U.S. Secret Service, PO Box 955,
Rancho Mirage, CA 92270-955; (i) Technical Security Division, U.S.
Secret Service, 1709 New York Avenue, NW., Washington, DC 20500; (j)
Carter Protective Division, U.S. Secret Service, PO Box 308, Plains,
GA 31780. (k) Reagan Protective Division, U.S. Secret Service, 2121
Avenue Of the Stars, Century City, CA 90067, (l) Bush Protective
Division, U.S. Secret Service PO Box 79797, Houston, Texas 77279-9797,
(m) White House Division, U.S. Secret Service, Old Executive Office
Bldg., Rm. 23, Washington, DC 20500.
Categories of individuals covered by the system:
(a) Individuals who are now or were Secret Service employees; (b)
Individuals, contractors, and vendors, etc., who are presently doing
or previously did business with the Secret Service; (c) Claimants
against the Secret Service under the Federal Tort Claims Act and the
Military Personnel and Federal Employees Claims Act.
Categories of records in the system:
(a) Records containing information on issuance of Secret Service
equipment and accountable government property; (b) Records containing
procurement negotiations, contracts, agreements, etc., with the Secret
Service; (c) Records containing information on past, present, and
future administrative correspondence with individuals, contractors,
vendors, etc., who have or plan to enter into contractual agreements
with the Secret Service; (d) Records on vehicle accidents, injuries,
fatalities.
Authority for maintenance of the system:
Title 40 and 41 of the U.S. Code, and other rules and regulations
where applicable; 5 U.S.C. 301; 44 U.S.C. 3101.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Disclosure of information to the Department of Treasury, GAO,
OMB, GSA, the Department of Justice and other Federal, state, and
local government agencies regarding purchases, contracts, and
anticipated purchases and contracts of the Secret Service; (2) To
provide administrative services for the Secret Service and maintain
administrative records as required by law; (3) To use in the
adjudication of any claim for or against the Secret Service; (4)
Disclosure to individuals, contractors, vendors, etc., for the purpose
of inquiries relating to or confirmation of orders and purchases; (5)
Disclosure to a student participating in a Secret Service student
volunteer program, where such disclosure is necessary to further the
efforts of the Secret Service.
Policies and practices for storing retrieving, accessing, retaining, and
disposing of records in the system:
Storage:
Records are contained in file jackets and portions of the information
are stored electronically at Headquarters.
Retrievability:
Records may be retrieved by name and/or number.
Safeguards:
(1) File jackets and electronic data at Headquarters are located in
locked rooms which are secured by alarms and other internal security
devices with guards on duty on an around the clock basis. Access is
available only to employees responsible for records management and
operational employees who have a need for such information, each of
whom holds a top secret security clearance; (2) The file jackets in
Secret Service field offices are located in locked file cabinets or in
locked rooms when Secret Service employees are not on duty. Access to
the system is limited to employees of the Secret Service holding top
secret security clearances.
Retention and disposal:
The file jackets and electronic data are retained in accordance with
mandatory National Archives and Records Administration (NARA), General
Records Schedules 3, 4, 8, 10, 11, 13, & 23. Disposal is by burning,
shredding, and/or electronic deletion.
System manager(s) and address:
Assistant Director, Office of Administration, U. S. Secret Service,
1800 G St., NW, Rm. 850, Washington, DC 20223.
Notification procedure:
Individuals who wish to present a request as to whether this system
contains records pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in this system should be addressed
to: Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(a) Individuals who are presently or were Secret Service employees;
(b) Individuals, corporations, companies, contractors, etc.,
previously engaged or presently engaged in business with the Secret
Service; (c) Claimants.
Exemptions claimed for the system:
None.
Treasury/USSS .002
System name:
Chief Counsel Record System -- Treasury/USSS.
System location:
Office of Chief Counsel, United States Secret Service, 1800 G St.,
NW, Washington, DC 20223.
Categories of individuals covered by the system:
(a) Individuals who have filed administrative claims; (b) Individuals
involved in litigation against the U.S. Secret Service; (c)
Individuals who have filed a petition regarding forfeiture; (d)
Employees, former employees or applicants who have filed equal
employment opportunity claims against the U.S. Secret Service; (e)
Employees or former employees who have appealed disciplinary actions
taken against them by the U. S. Secret Service to the Merit System
Protection Board.
Categories of records in the system:
(a) Copies of administrative claims filed against the Secret Service
or employees of the U.S. Secret Service and responses thereto; (b) Any
type of legal document, including but not limited to complaints,
summaries, affidavits, litigation reports, motions, and any other
court filing or administrative filing or evidence; (c) Records
concerning requests for information regarding the use of reproductions
of obligations of the United States including bonds, checks, coins,
coupons, currencies (U.S. and foreign), fractional notes, postage
stamps (U.S. and foreign), postal money orders, and postmarks.
Authority for maintenance of the system:
18 U.S.C. 3056; 28 U.S.C. 2672 (Federal Tort Claims Act); 18 U.S.C.
471-509.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Administrative claims may be routinely sent to Department of
Justice attorneys to assist them in litigation involving the Secret
Service; (2) Legal records and litigation reports may be sent to
Department of Justice attorneys to assist them in the preparation for
litigation involving the U.S. Secret Service; (3) Records indicating a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, may be referred to the appropriate Federal, state,
local or foreign agency charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, rule, regulation or order issued pursuant
thereto; (4) Disclosures to opposing counsel, a court magistrate or
administrative tribunal in the course of a legal proceeding, and
disclosures to opposing counsel in the course of discovery proceedings
for the purpose of, enforcing, or prosecuting, a violation or
potential violation of law, whether civil, criminal or regulatory in
nature and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto; (5)
Disclosures to Federal, state or local agencies maintaining civil,
criminal or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary to obtain
information relevant to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit; (6) Disclosures 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 reporting of an
investigation of an employee, 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; (7) Disclosure to a
student participating in a Secret Service student volunteer program,
where such disclosure is necessary to further the efforts of the
Secret Service.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are contained in file jackets.
Retrievability:
This System is indexed chronologically for administrative claims and
requests for information regarding reproductions. Access to the
physical files containing litigation records is by name.
Safeguards:
The file jackets are secured in a locked room with guards on duty on
an around-the-clock basis. Access to the records is available only to
employees responsible for record management and operational employees
who have a need for such information, each of whom holds a top secret
security clearance.
Retention and disposal:
(1) Closed litigation case files are retained for a period of 5
years; (2) Administrative claims, and requests for information are
disposed of at varying intervals in accordance with the records
retention schedule approved by the National Archives and Records
Administration. Any disposal is by shredding and/or burning.
System manager(s) and address:
Chief Counsel, U.S. Secret Service, 1800 G St., NW, Room 842,
Washington, DC 20223.
Notification procedure:
Individuals who wish to present a request as to whether the system
contains records pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in this System should be addressed
to: Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(a) Administrative claims are filed by those individuals who believe
that they have a claim against the U.S. Secret Service; (b)
Individuals who are involved in legal proceedings against the U.S.
Secret Service. All litigation reports are initiated by Office of
Chief Counsel, U.S. Secret Service; (c) Requests for information
regarding the use of reproductions from Secret Service field offices,
the general public, and from professional organizations.
Exemptions claimed for the system:
None.
Treasury/USSS .003
System name:
Criminal Investigation Information System -- Treasury/USSS.
System location:
(a) United States Secret Service, (Headquarters) 1800 G St., NW,
Washington, DC 20223;(b) Components of this System are geographically
dispersed throughout Secret Service field offices. (See United States
Secret Service appendix A listing the addresses of Secret Service
field offices.)
Categories of individuals covered by the system:
(a) Individuals who have been or are currently the subject of a
criminal investigation by the U.S. Secret Service in connection with
the performance by that agency of its authorized criminal
investigative functions; (b) Individuals who are payees, registered
owners or endorsers of stolen or lost obligations and other securities
of the United States; (c) Individuals who are witnesses, complainants,
informants, suspects, defendants, fugitives, released prisoners,
correspondents, organized crime figures, and victims of crimes who
have been identified by the Secret Service in the conduct of criminal
investigations or by information supplied by other law enforcement
agencies, government units, and the general public.
Categories of records in the system:
(a) Records containing information compiled for the purpose of
identifying individual criminal offenders and alleged offenders and
consisting only of identifying data and notations of arrest, the
nature and disposition of criminal charges, sentencing, confinement,
release, and parole or probation status; (b) Records containing
information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, and associated with
an identifiable individual; (c) Records containing reports
identifiable with an individual compiled at various stages of the
process of enforcement of criminal laws from arrest or indictment
through release from supervision; (d) Records containing investigatory
material compiled for law enforcement purposes, including but not
limited to, handwriting exemplars; laboratory analyses of inks and
papers; handwriting analyses; petitions for the remission of
forfeitures; notice of non-receipt of Treasury drafts; affidavits of
forged endorsements; opinions of the examiner of questioned documents;
reports or opinions from the examination of computer evidence; reports
or opinions from the examination of altered cellular telephones;
certificates by owners of U.S. registered securities concerning forged
requests for payments or assignments; applications for relief on
account of loss, theft, or destruction of U.S. Savings Bonds or
checks; photographic reproductions of obligations and other securities
of the United States; contraband items; claims against the United
States for the proceeds of government checks and bonds; and reports
necessary for the settlement of check and bond claims; names and
telephone numbers of persons intercepted by electronic, mechanical, or
other device under the provisions of Title 18 U.S.C., Section 2510
et.seq. compiled during the lawful course of a criminal or civil
investigation.
Authority for maintenance of the system:
18 U.S.C. 3056.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Disclosure to Federal, state, and local government agencies
foreign or domestic, having prosecutive and civil law enforcement
functions for use by attorneys, magistrates, and judges, parole or
probation authorities and other law enforcement authorities for the
purpose of developing a criminal or civil investigation, prosecuting,
sentencing, or determining the parole and probation status of criminal
offenders or suspected criminal offenders; (2) Disclosure to personnel
of other Federal, state and local law enforcement agencies, foreign or
domestic, for the purpose of developing information on subjects
involved in Secret Service criminal investigations and assisting other
law enforcement agencies in the investigation and prosecution of
violations of the criminal laws which those agencies are responsible
for enforcing; (3) Disclosure to personnel of Federal, state, and
local governmental agencies, where such disclosure is considered
reasonably necessary for the purpose of furthering Secret Service
efforts to investigate the activities of and apprehend criminal
offenders and suspected criminal offenders; (4) Disclosure to
personnel of Federal, state, and local governmental agencies, foreign
and domestic, where there is a showing of reasonable necessity to
obtain such information to accomplish a valid law enforcement purpose;
(5) Disclosure to employees and officials of financial and commercial
business firms and to private individuals of identifying information
pertaining to actual or suspected criminal offenders where such
disclosure is considered reasonably necessary for the purpose of
furthering Secret Service efforts to investigate the activities of and
apprehend criminal offenders and suspected criminal offenders; (6)
Records maintained in this System indicating a violation or potential
violation of law, whether civil, criminal or regulatory in nature, and
whether arising by general statute or particular program statute, or
by regulation, rule or order issued pursuant thereto, may be disclosed
to the appropriate agency, whether Federal, state, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation or order issued pursuant thereto; (7) Disclosures in
the course of presenting evidence to a court, magistrate or
administrative tribunal and disclosures to opposing counsel in the
course of discovery proceedings for the purpose of enforcing, or
prosecuting, a violation or potential violation of law, whether civil,
criminal or regulatory in nature and whether arising by general
statute or particular program statute, or by regulation, rule or order
issued pursuant thereto; (8) Disclosures to Federal, state or local
agencies maintaining civil, criminal or other pertinent information or
enforcement information relevant to an agency decision concerning the
hiring or retention of an employee, or the issuance of a license,
grant or other benefit; (9) Disclosures to a Federal, state or local
agency in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, 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; (10)
Disclosures of information relating to criminal and civil proceedings
to the news media in accordance with the guidelines contained in 28
CFR 50.2; (11) Disclosure in connection with the utilization by the
Secret Service of the Northern Virginia Regional Identification System
for the storage and retrieval of fingerprint information maintained by
the Secret Service; (12) Disclosure to a student participating in a
Secret Service student volunteer program, where such disclosure is
necessary to further the efforts of the Secret Service.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All records comprising this system are contained in file jackets,
computerized data systems, microfilm and microfiche. Portions of the
indices and information contained in the records are maintained in
electronic storage media located at Headquarters.
Retrievability:
This system is indexed by name, address, vehicle license number, and/
or telephone number, and is retrieved through computer search of
magnetic media indices both at Headquarters and in the field offices.
Additionally, subjects are retrievable from the computerized files by
physical description. Access to the physical files containing records
is by case number.
Safeguards:
(1) At Headquarters the field jackets containing the records are
secured by alarms, and other internal security devices, in locked
rooms with guards on duty on an around-the-clock basis. Access to the
records is available only to employees responsible for records
management and operational employees with a ``need to know,'' each of
whom has a top secret security clearance; (2) In field offices the
file jackets are located in locked filing cabinets and when Secret
Service employees are not on duty in locked rooms. Access to the
system is controlled and limited to employees of the Secret Service
holding top secret security clearances.
Retention and disposal:
(1) All Judicial cases, 20 years; (2) Non-judicial criminal
investigative cases (except non-judicial check and bond cases), 10
years; (3) Non-judicial check claim and bond forgery cases, 5 years;
(4) Administrative files of an investigatory nature, 5 years; (5) All
other files and records the disposition of which is not otherwise
specified, 5 years; (6) Investigations for other districts, 2 years;
(7) Receipts vary with the case file to which they pertain; (8)
Investigation Control Forms, varies; (9) Arrest History Forms,
Indefinite; (10) Headquarters Criminal Investigative case files, 30
years; indices and microfilm copies are retained for an indefinite
period; (11) Consensual and non-consensual interception indices, 10
years or when investigative use no longer exists, whichever is longer;
(12) Fingerprint and photograph files, at varying intervals in
accordance with record retention schedules approved by the National
Archives and Records Administration. Disposal is by burning,
shredding, maceration, and pulping, and/or electronic deletion.
System manager(s) and address:
Assistant Director, Office of Investigations, U.S. Secret Service,
1800 G St., NW, Washington, DC 20223.
Notification procedure:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k), the
Director of the U.S. Secret Service has exempted this System from
compliance with the provisions of 5 U.S.C. 552a (e)(4)(G).
Record access procedures:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k), the
Director of the U.S. Secret Service has exempted this System from
compliance with the provisions of 5 U.S.C. 552a (e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from
compliance with the provisions of 5 U.S.C. 552a (e)(4)(I).
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (c)(4), (d), (e)(1),
(e)(4)(G), (e)(4)(H), and (e)(4)(I), of the Privacy Act pursuant to 5
U.S.C. 552a (j) and (k).
Treasury/USSS .004
System name:
Financial Management Information System -- Treasury/USSS.
System location:
(a) U.S. Secret Service, (Headquarters), 1800 G St., NW, Washington,
DC 20223; (See below United States Secret Service, Appendix A listing
the addresses of Secret Service field offices.); (b) U.S. Secret
Service Uniformed Division, 1310 L Street, NW, Room 320, Washington,
DC 20005; (c) Special Services Division, U.S. Secret Service, Building
216, Washington Navy Yard, Washington, DC 20374; (d) Presidential
Protective Division, U.S. Secret Service, Room 10, Old Executive
Office Building, Washington, DC 20500; (e) Vice-Presidential
Protective Division, U.S. Secret Service, Old Executive Office
Building, Room 295, Washington, DC 20500;(f) Dignitary Protective
Division, U.S. Secret Service, 1310 L St., NW, Suite 500, Washington,
DC 20005; (g) Johnson Protective Division, U.S. Secret Service, PO Box
927, Stonewall, TX 78671; (h) Ford Protective Division, U.S. Secret
Service, PO Box 955, Rancho Mirage, CA 92270-955; (i) Carter
Protective Division, U.S. Secret Service, PO Box 308, Plains, GA
31780-0308; (j) Technical Security Division, U.S. Secret Service, 1709
New York Ave. NW, Washington, DC 20223. (k) Reagan Protective
Division, U.S. Secret Service, 2121 Avenue of the Stars, Century City,
CA 90067. (l) Bush Protective Division, U. S. Secret Service PO Box
79797, Houston, Texas 77279-9797, (m) White House Division, U.S.
Secret Service Old Executive Office Bldg., Rm. 23, Washington, DC
20500.
Categories of individuals covered by the system:
(a) Individuals who are now, or were previously, Secret Service
employees; (b) Individuals, contractors, vendors, etc., who are
presently doing business with or previously did business with the
Secret Service; (c) Individuals who are involved in or were previously
involved in tort claims with the Secret Service; (d) Individuals who
are now or previously were involved in payments (accounts receivable)
with the Secret Service; (e) Individuals who have been recipients of
awards.
Categories of records in the system:
(a) Records containing information compiled for the purpose of pay,
travel, property damage, expenses incurred other than travel, and
retirement annuities and taxes; (b) Records containing information of
accounts receivable and payable, involving Secret Service employees
and other persons; (c) Records containing information of tort claims
dealing with Secret Service property, concerning payment and accounts
receivable; (d) Records containing information on the expenditures,
anticipated expenditures, and budget studies of the Secret Service;
(e) Time and attendance records.
Authority for maintenance of the system:
31 U.S.C. 68, 484, 952, and 1801 through 1806, and 5 U.S.C. 5514, and
21 U.S.C. 2415.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses of the records contained in this System are as
follows: (1) Disclosure to the Internal Revenue Service, U.S.
Treasury, GAO, OPM and other Federal agencies dealing with the payment
and collection of monies concerning Secret Service employees; (2)
disclosure to the Internal Revenue Service, U.S. Treasury Department,
OPM, GAO, and other Federal agencies dealing with the payment,
collection and audit of monies concerning persons who have financial
dealings with the Secret Service; (3) To establish and maintain a
means of gaining statistical information needed to answer inquiries
from other Federal, state,and local governments and Congress; (4) To
establish a reporting system to Treasury, OMB, GAO, and Congress
concerning Secret Service expenditures; (5) To establish a means of
payments to contractors and vendors for purchases made by Secret
Service; (6) Disclosure to other Federal agencies to effect inter-
agency salary offset and to affect inter-agency administrative offset;
(7) Disclosures to consumer reporting agencies to obtain commercial
credit reports; (8) Disclosures to debt collection agencies for debt
collection services; (9) Disclosures of current mailing addresses
obtained from the Internal Revenue Service, which have become a part
of this system, to consumer reporting agencies to obtain credit
reports and to debt collection agencies for collection services; (10)
Disclosures to appropriate Federal, State, or foreign agencies
responsible for investigating or prosecution of the violation of, or
for enforcing or implementing, a statute, rule, regulation, order or
license; (11) Disclosures to a Federal, state, or local agency,
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, which has requested information
relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an employee, or issuance of a security
clearance, license, contract, grant, or other benefit; (12)
Disclosures to a court, magistrate, or administrative tribunal in the
course of presenting evidence, including disclosures to opposing
counsel or witnesses in the course of civil discovery, litigation,
settlement negotiations, in response to a subpoena, or in connection
with criminal law proceedings; (13) Disclosures to foreign governments
in accordance with formal or informal international agreements; (14)
Disclosures to a congressional office in response to an inquiry made
at the request of the individual to whom the record pertains; (15)
Disclosures to the news media in accordance with guidelines contained
in 28 CFR 50.2 which relate to an agency's functions relating to civil
and criminal proceedings; (16) Disclosure to third parties during the
course of an investigation to the extent necessary to obtain
information pertinent to the investigation; (17) Disclosure to a
student participating in a Secret Service student volunteer program,
where such disclosure is necessary to further the efforts of the
Secret Service.
Disclosures to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12) may be made from this
system to consumer reporting agencies as defined in the Debt
Collection of 1982 (31 U.S.C. 3701 (a)(3) or the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All records are contained in files, optical disc cartridges,
microfilm, and/or microfiche. The information contained in this system
is stored in computers maintained at Headquarters.
Retrievability:
This system is indexed by name and/or number at Headquarters and by
name only in field offices, resident offices and protective divisions.
Access is by name and/or number.
Safeguards:
(1) The file jackets, and computers are secured by alarms and other
internal security devices in locked rooms with guards on duty on a 24-
hour basis; (2) Access to the records is available only to employees
responsible for records management and operational employees who have
a need for such information, each of whom holds a top secret security
clearance; (3) The file jackets are located in locked filing cabinets
and in locked rooms when Secret Service employees are not on duty.
Access is limited to employees holding top secret security clearances.
Retention and disposal:
(1) Financial Management Division's automated accounting systems,
foreign disbursement file, and paid files are retained for six years;
(2) Accounts receivable systems are maintained for four years unless
they are not liquidated; (3) Systems for holiday, overtime, and other
pay adjustments, enter on duty information, resignations, retirements,
reassignments, etc., are disposed of at varying intervals in
accordance with records retention schedules approved by the National
Archives and Record Administration (NARA); (4) Records on personnel
are retained in accordance with mandatory National Archives and
Records Administration General Records Schedules 2, 5, 6, and 7.
Disposal of records is by burning, mulching, shredding, or electronic
deletion.
System manager(s) and address:
Assistant Director, Office of Administration, 1800 G St., NW, Rm 850,
Washington, DC 20223.
Notification procedure:
Individuals who wish to present a request as to whether this system
contains a record pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Request for information contained in this System should be addressed
to: Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(a) Individuals who are presently or were previously Secret Service
employees; (b) Individuals who are presently or were service
contractors or suppliers with the Secret Service; (c) Individuals who
are presently or were previously involved in tort claims with the
Secret Service; (d) Individuals who are presently or were previously
involved in collections and disbursements with the Secret Service; (e)
Internal Revenue Service; (f) Surviving spouse of deceased personnel.
Exemptions claimed for the system:
None.
Treasury/USSS .005
System name:
Freedom of Information Request System -- Treasury/USSS.
System location:
United States Secret Service, 1800 G St., NW, Washington, DC 20223.
Categories of individuals covered by the system:
Individuals or organizations who have requested information under the
Freedom of Information Act or the Privacy Act.
Categories of records in the system:
(a) Correspondence and documents relating to requests for
information; (b) Documents relevant to appeals and lawsuits under the
Freedom of Information Act.
Authority for maintenance of the system:
5 U.S.C. 552.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) Records may be disseminated to a Federal agency which furnished
the record for the purpose of permitting a decision as to access or
correction to be made by that Agency, or for the purpose of consulting
with that Agency as to the propriety of access or correction; (2)
Records may be disseminated to any appropriate Federal, state, local,
or foreign Agency for the purpose of verifying the accuracy of
information submitted by an individual who has requested amendment or
correction of records; (3) Disclosure to a student participating in a
Secret Service student volunteer program, where such disclosure is
necessary to further the efforts of the Secret Service.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are maintained in file jackets and
computerized data bases.
Retrievability:
The files and indices are indexed numerically and alphabetically and/
or through computer search of magnetic media.
Safeguards:
The files and magnetic media are secured in locked rooms. Access to
the records is available only to employees responsible for the
management of the system and operational employees who have a need for
such information, each of whom have a top secret security clearance.
Retention and disposal:
All files are destroyed six years after the date of last entry.
Magnetic media indices are retained for an indefinite period of time.
Disposal is by burning, shredding, or electronic deletion.
System manager(s) and address:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Notification procedure:
Individuals who wish to present a request as to whether this system
contains records pertaining to them should address their inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Any individual wishing to obtain information on the procedures for
gaining access to and contesting records should contact: Freedom of
Information and Privacy Acts Officer, U.S. Secret Service, 1800 G St.,
NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Individuals or organizations requesting information pursuant to the
Freedom of Information Act or the Privacy Act.
Exemptions claimed for the system:
None.
Treasury/USSS .006
System name:
Non-Criminal Investigation Information System -- Treasury/USSS.
System location:
(a) United States Secret Service, 1800 G St., NW, Washington, DC
20223; (b) Components of this System are geographically dispersed
throughout Secret Service field offices. (See below, United States
Secret Service Appendix A, listing the addresses of Secret Service
field offices.)
Categories of individuals covered by the system:
(a) Individuals who are applicants for employment with the U.S.
Secret Service and other bureaus of the Department of the Treasury;
(b) Individuals who are employees of the U.S. Secret Service and other
bureaus of the Department of the Treasury holding security clearances
granting access to classified documents and records; (c) Individuals
who have filed administrative claims with the Secret Service and other
bureaus of the Department of the Treasury under the Federal Tort
Claims Act or who have been involved in automobile accidents or other
incidents involving employees of the Secret Service and other bureaus
of the Department of the Treasury resulting in tort claims against
such individuals; (d) Individuals involved in investigations required
in the administration of the Government Losses in Shipment Act, the
Gold Reserve Act, and the Silver Purchase Act; (e) Individuals who are
employees of the Secret Service and other bureaus of the Department of
the Treasury who have been accused of misconduct in the performance of
their duties, or who have been the subject of a complaint involving
the performance of their official functions; (f) Individuals who are
the subject of investigations or supply information to investigative
agents conducting special investigations relating to the performance
by the Secret Service of its statutory and regulatory functions.
Categories of records in the system:
(a) Record containing investigatory material compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
Federal civilian employment or access to classified information; (b)
Records containing investigatory material compiled for law enforcement
purposes, including but not limited to, reports of investigators
relating to claims under the Federal Tort Claims Act, Government
Losses in Shipment Act, the Gold Reserve Act and the Silver Purchase
Act, and employee misconduct or malfeasance; (c) Records containing
reports or statement of investigators, witnesses, complainants,
claimants and correspondents associated with identifiable individuals.
Authority for maintenance of the system:
18 U.S.C. 3056, Executive Order 10450 and Treasury Order 102-18
(revised March, 1985); and Treasury Order 173-1.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses of the records contained in this System are as
follows: (1) Disclosure to the Department of Justice and other Federal
agencies for administrative, civil, or other legal proceedings to be
used by personnel officials, attorneys, administrative law officers,
and judges; (2) Disclosure to personnel of other Federal, state and
local governmental agencies, foreign and domestic, for the purpose of
developing or confirming information on individuals involved in non-
criminal investigations conducted by the Secret Service; (3)
Disclosure to personnel of private institutions and to private
individuals for the purpose of confirming and/or determining
suitability, eligibility, or qualifications for Federal civilian
employment or access to classified information; and for the purposes
of furthering the efforts of the Secret Service to investigate the
activities of individuals related to or involved in non-criminal civil
and administrative investigations; (4) Disclosure to another agency or
to an instrumentality of any governmental jurisdiction within or under
the control of the United States for the purpose of determining
suitability, eligibility, or qualifications for employment with or
access to classified information in such other agency or
instrumentality; (5) Records maintained indicating a violation or
potential violation of law, whether civil, criminal or regulatory in
nature, and whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, may
be referred to the appropriate agency, whether Federal, state, local
or foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation or order issued pursuant thereto; (6)
Disclosures in the course of presenting evidence to a court,
magistrate or administrative tribunal and disclosures to opposing
counsel in the course of discovery proceedings for the purpose of
enforcing, or prosecuting, a violation or potential violation of law,
whether civil, criminal or regulatory in nature and whether arising by
general statute or particular program statute, or by regulation, rule
or order issued pursuant thereto; (7) Disclosures to Federal, state or
local agencies maintaining civil, criminal or other relevant
enforcement information or other pertinent information, such as
current licenses, if necessary to obtain information relevant to an
agency decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant or other benefit, to the extent that the
information is relevant and necessary to the requesting agencies'
decision on the matter; (8) Disclosures of information relating to
civil proceedings to the news media in accordance with the guidelines
contained in 28 CFR 50.2. (9) Disclosure to Federal, state, or local
government agencies for the purpose of developing a relevant ongoing
civil, criminal, or background investigation; (10) Disclosure to a
student participating in a Secret Service student volunteer program,
where such disclosure is necessary to further the efforts of the
Secret Service.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this system are contained in file jackets,
computerized data systems, microfilm, and microfiche. Portions of the
information is maintained in on-line computer data files located at
Headquarters.
Retrievability:
This System is indexed alphabetically by name in Headquarters, Office
of Inspection, and in field offices and retrieved through manual
search of index cards and/or through computer search of magnetic
media. Access to the physical files is by case number obtained from
the name indices.
Safeguards:
(1) The file jackets, indices and magnetic media are secured by
alarms and other internal security devices in locked rooms with guards
on duty on an around-the-clock basis. Access to the records is
available only to employees responsible for record management and
operational employees who have a need for such information, each of
whom holds a top secret security clearance; (2) The file jackets field
offices are located in locked filing cabinets and when employees are
not on duty, in locked rooms.Access to the system is limited to
employees holding top secret security clearances.
Retention and disposal:
The retention schedule is as follows: (1) All judicial case records
are retained for a period of 30 years; (2) Applicant security and
background investigation records of Secret Service employees are
retained for 20 years after retirement or separation of the employee
from Secret Service employment; (3) Applicant investigation records
relating to employees of Bureaus of the Treasury Department other than
the Secret Service, are retained for 20 years; (4) All other records,
the disposition of which are not otherwise specified, are retained. No
destruction authorized. Magnetic media indices are retained for an
indefinite period of time. Disposal: Disposal of records is by
burning, shredding, maceration, pulping, and electronic deletion.
System manager(s) and address:
Assistant Directors, Office of Investigation and Office of
Inspection, 1800 G St., NW, Washington, DC 20223.
Notification procedure:
The Director of the U.S. Secret Service has exempted this System from
the provisions of 5 U.S.C. 552a (e)(4)(G).
Record access procedures:
The Director of the U.S. Secret Service has exempted this System from
the provisions of 5 U.S.C. 552a (e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The Director of the U.S. Secret Service has exempted this System from
the provisions of 5 U.S.C. 552a (e)(4)(I).
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(3), (d), (e)(4)(G),
(e)(4)(H), (e)(4)(I) and (f) of the Privacy Act pursuant to 5 U.S.C.
552a (j) and (k).
Treasury/USSS .007
System name:
Protection Information System -- Treasury/USSS.
System location:
(a) United States Secret Service, 1800 G St., NW, Washington, DC
20223; (b) Presidential Protective Division, U.S. Secret Service, Room
1, Old Executive Office Building, Washington, DC 20500; (c) Vice-
Presidential Protection Division, U.S. Secret Service, Room 295,
Executive Office Building, Washington, DC 20500. (d) Dignitary
Protective Division, U.S. Secret Service, 1310 L St., NW, Suite 500,
Washington, DC 20005; (e) Special Services Division, U.S. Secret
Service, Washington Navy Yard, 2nd and M St., SE, Bldg. 216,
Washington, DC 20374;(f) Johnson Protective Division, U.S. Secret
Service, PO Box 927, Stonewall, TX 78671; (g) Ford Protective
Division, U.S. Secret Service, PO Box 955, Rancho Mirage, CA 92270-
955; (h) U.S. Secret Service Uniformed Division, Room 320, 1310 L St.,
NW, Washington, DC 20005; (i) Technical Security Division, 1709 New
York Avenue, NW, Washington, DC 20500. (j) Carter Protective Division,
U.S. Secret Service, PO Box 308, Plains, GA 31780; (k) Reagan
Protective Division, 2121 Avenue of the Stars, Fox Plaza, 34th Floor,
Century City, CA 90067; (l) WAVES Center, Old Executive Office Bldg.,
Room 065. (m) Bush Protective Division, U.S. Secret Service PO Box
79797, Houston, Texas 77279-9797, White House Division, U.S. Secret
Service Old Executive Office Bldg., Rm. 23, Washington, DC 20500.
Components of this system are geographically dispersed throughout
Secret Service field offices. (See below, United States Secret Service
Appendix A, listing the addresses of Secret Service field offices.)
Categories of individuals covered by the system:
(a) Individuals who have been or are currently the subject of a
criminal investigation by the U.S. Secret Service or another law
enforcement agency for the violation of certain criminal statutes
relating to the protection of persons or the security of properties;
(b) Individuals who are the subjects of investigative records and
reports supplied to the Secret Service by Federal, state, and local
law enforcement agencies, foreign or domestic, other non-law
enforcement governmental agencies, or private institutions and
individuals; (c) Individuals who are the subjects of non-criminal
protective and background investigations by the Secret Service and
other law enforcement agencies where the evaluation of such
individuals, in accordance with criteria established by the Secret
Service, indicates a need for such investigations; (d) Individuals who
are granted ingress and egress to areas secured by the Secret Service,
or to areas in close proximity to persons protected by the Secret
Service, including but not limited to invitees, passholders,
tradesmen, and law enforcement, maintenance or service personnel; (e)
Individuals who have attempted or solicited unauthorized entry into
areas secured by the Secret Service; individuals who have sought an
audience or contact with persons protected by the Secret Service or
who have been involved in incidents or events which relate to the
protective functions of the Secret Service; (f) Individuals who are
witnesses, protectees, suspects, complainants, informants, defendants,
fugitives, released prisoners, and correspondents who have been
identified by the Secret Service or from information supplied by other
law enforcement agencies, governmental units, private institutions,
and members of the general public in connection with the performance
by the Secret Service of its authorized protective functions.
Categories of records in the system:
(a) Records containing information compiled for the purpose of
identifying individual criminal offenders and alleged offenders and
consisting only of identifying data and notations of arrest, the
nature and disposition of criminal charges, sentencing, confinement,
release, and parole or probation status; (b) Records containing
information compiled for the purpose of a criminal investigation,
including reports of informants and investigators, which are
associated with an identifiable individual; (c) Records containing
reports relative to an individual compiled at various stages of the
process of enforcement of certain criminal laws from arrest or
indictment through release from supervision; (d) Records containing
information supplied by other Federal, state, and local law
enforcement agencies, foreign or domestic, other non-law enforcement
governmental agencies, private institutions and persons concerning
individuals who, because of their activities, personality traits,
criminal or mental history, or history of social deviancy, may be of
interest to the Secret Service in connection with the performance by
that agency of its protective functions; (e) Records containing
information compiled for the purpose of identifying and evaluating
individuals who may constitute a threat to the safety of persons or
security of areas protected by the Secret Service; (f) Records
containing information compiled for the purpose of background
investigations of individuals, including but not limited to,
passholders, tradesmen, maintenance or service personnel who have
access to areas secured by or who may be in close proximity to persons
protected by the Secret Service.
Authority for maintenance of the system:
The protective authority is contained in 18 U.S.C. 3056 and section 1
of Pub. L. 90-331, (18 U.S.C. 871; 18 U.S.C. 1751). The protective and
security authority of the U.S. Secret Service Uniformed Division is
contained in 3 U.S.C. 202.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses are as follows: (1) Disclosure to the Department of
Justice and other Federal, state, and local governmental agencies
having a prosecutive function for the use of attorneys, magistrates,
and judges; and parole and probation authorities for the purpose of
prosecuting, sentencing, and determining the parole and probation
status of criminal offenders or suspected criminal offenders; and for
civil and other proceedings involving Secret Service Protective
functions; (2) Disclosure to personnel of other Federal state and
local law enforcement agencies, foreign or domestic, for the purpose
of developing information on subjects involved in Secret Service
protective investigations and evaluations and for the purpose of
protective intelligence briefings of personnel of other law
enforcement and governmental agencies assisting the U.S. Secret
Service in the performance of its protective functions; (3) Disclosure
to personnel of Federal, state, and local governmental agencies,
foreign or domestic, where such disclosures are considered reasonably
necessary for the purpose of furthering Secret Service efforts to
investigate the activities of those persons considered to be of
protective interest; (4) Disclosure to personnel of Federal, state,
and local law enforcement agencies and other governmental agencies,
foreign or domestic, where there is a showing of a reasonable need to
accomplish a valid enforcement purpose; (5) Disclosure to personnel of
private institutions and to private individuals of identifying
information pertaining to actual or suspected criminal offenders or
other individuals considered to be of protective interest for the
purpose of furthering Secret Service efforts to evaluate the danger
such individuals pose to persons protected by that agency; (6) Records
indicating a violation or potential violation of law, whether civil,
criminal, or regulatory in nature, and whether arising by general
statute or particular program statute, or by regulation, rule, or
order issued pursuant thereto, may be disclosed to the appropriate
agency, whether Federal, state, local or foreign, charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation, or order issued pursuant thereto; (7) Disclosures in the
course of presenting evidence to a court, magistrate or administrative
tribunal and disclosures to opposing counsel in the course of
discovery proceedings for the purpose of enforcing, or prosecuting, a
violation or potential violation of law, whether civil, criminal or
regulatory in nature and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto; (8) Disclosures and/or responses to Federal, state
or local agencies maintaining civil, criminal or other relevant law
enforcement information or other pertinent information, such as
current licenses, if necessary to obtain information relevant to an
agency decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the issuance of a contract, grant or
other benefit, to the extent that the information is relevant and
necessary to the requesting agency's decision on the matter; (9)
Disclosures of information relating to criminal and civil proceedings
to the news media in accordance with the guidelines contained in 28
CFR 50.2. (10) Disclosure to a student participating in a Secret
Service student volunteer program, where such disclosure is necessary
to further the efforts of the Secret Service.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All records are contained in file jackets, microfilm, or microfiche.
Portions of the information contained in the records are maintained in
on-line computer data files located at Headquarters and in the Old
Executive Office Building.
Retrievability:
This system is indexed by case number and other case related data in
master and magnetic media indices. Access to the physical files is by
case number, both at Headquarters and the field offices.
Safeguards:
(1) The file jackets and magnetic media are secured in locked rooms
secured by alarms and other internal security devices with guards on
duty on a twenty four hour basis. Access to the records is available
only to employees responsible for record management and operational
employees who have a need for such information, each of whom holds a
top secret security clearance; (2) The file jackets in field offices
are located in locked filing cabinets and in locked and alarmed rooms
when employees are not on duty. Access to the system is limited to
employees of the Secret Service holding top secret security
clearances.
Retention and disposal:
The retention schedule for records is as follows: (1) All judicial
case records are retained for a period of 30 years. In cases where
periodic checkups are conducted in protective intelligence cases, the
retention period is computed from the date of the final check-up. (2)
All other protective intelligence case records including protective
surveys and non-judicial protective intelligence cases are routinely
retained for a period of five years; (3) Disposal of records contained
in this System is by burning or shredding.
System manager(s) and address:
Assistant Director, Office of Protective Research, Assistant Director
Protective Operations, U.S. Secret Service, 1800 G St., NW,
Washington, DC 20223.
Notification procedure:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from the
provisions of 5 U.S.C. 552a(e)(4)(G).
Record access procedures:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from the
provisions of 5 U.S.C. 552a(e)(4)(H).
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
In accordance with the provisions of 5 U.S.C. 552a (j) and (k) the
Director of the U.S. Secret Service has exempted this System from the
provisions of 5 U.S.C. 552a(e)(4)(I).
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a (c)(2), (c)(3), (c)(4), (d),
(e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f) and (g)
of the Privacy Act pursuant to 5 U.S.C. 552a (j) and (k).
Treasury/USSS .008
System name:
Public Affairs Record System -- Treasury/USSS.
System location:
U.S. Secret Service, 1800 G St., NW, Washington, DC 20223.
Categories of individuals covered by the system:
(a) Persons who are private citizens who correspond requesting
information relating to the Secret Service; (b) Persons who are
members of the news media, authors and publishers requesting
information about the Secret Service; (c) Members of Congress who make
inquiries with the Secret Service; (d) Persons who are recipients of
the Secret Service Honor Award, who have received recognition from or
assisted the Secret Service.
Categories of records in the system:
(a) Records of inquiries received from the general public, the
communication media and the press relative to Secret Service
activities; (b) Records of awards presented by the Secret Service; (c)
Records of Congressional inquiries and correspondence.
Authority for maintenance of the system:
18 U.S.C. 3056 and Treasury Department Order Number 173-3, dated
October 29, 1965.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The routine uses are as follows: (1) Disclosures and/or responses to
members of Congress and/or the general public. (2) Disclosure to a
student participating in a Secret Service student volunteer program,
where such disclosure is necessary to further the efforts of the
Secret Service.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records comprising this System are maintained in file jackets.
Retrievability:
Records are filed alphabetically and chronologically.
Safeguards:
The records are secured in locked filing cabinets and/or in locked
rooms, with guards on duty on a twenty four hour basis. Access is
available only to employees responsible for management of the system
and operational employees who have a need for such information, each
of whom holds a top secret security clearance.
Retention and disposal:
Records in this system are maintained in accordance with mandatory
General Services Administration, Records Schedule 14, Items 1-7.
Disposal of records is by burning, shredding, and electronic deletion.
System manager(s) and address:
Assistant Director, Office of Government Liaison and Public Affairs,
U.S. Secret Service, 1800 G St., NW, Room 805, Washington, DC 20223.
Notification procedure:
Individuals who wish to present a request as to whether this system
contains records pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in the System should be addressed
to: Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(a) The general public, the news media and members of Congress who
correspond with the Secret Service; (b) Persons who have received
awards or honors from the Secret Service.
Exemptions claimed for the system:
None.
Treasury/USSS .009
System name:
Training Information System -- Treasury/USSS.
System location:
(a) U.S. Secret Service, Special Agent Training and Employee
Development Division, 1310 L St., NW, Room 904, Washington, DC 20005.
(b) U.S. Secret Service Uniformed Forces and Firearms Training
Division, James J. Rowley Training Center, Laurel, MD 20707.
Categories of individuals covered by the system:
Individuals who are now or were Secret Service employees and officers
of the U.S. Secret Service Uniformed Division.
Categories of records in the system:
Records containing the type and dates of training programs of the
U.S. Secret Service employees, officers of the U.S. Secret Service
Uniformed Division including course control documents and lesson plans
for classes conducted by the Office of Training.
Authority for maintenance of the system:
18 U.S.C. 3056.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure to a student participating in a Secret Service student
volunteer program, where such disclosure is necessary to further the
efforts of the Secret Service, otherwise, disclosures are not made
outside of the Agency.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on cards and in a computer database.
Retrievability:
Records are filed alphabetically.
Safeguards:
Records are secured in locked rooms with alarms when employees are
not on duty. Access is available only to employees responsible for
management of the records and operational employees who have a need
for such information, each of whom holds a top secret security
clearance.
Retention and disposal:
Records are currently disposed of at varying intervals in accordance
with record retention schedules approved by the National Archives and
Records Administration (NARA).
System manager(s) and address:
Assistant Director, Office of Training, U.S. Secret Service, Room
900, 1310 L St., NW, Washington, DC 20005.
Notification procedure:
Individuals who wish to present a request as to whether this system
contains records pertaining to them should address inquiries to:
Freedom of Information and Privacy Acts Officer, U.S. Secret Service,
1800 G St., NW, Room 720, Washington, DC 20223.
Record access procedures:
Requests for information contained in the System should be addressed
to: Freedom of Information and Privacy Acts Officer, U.S. Secret
Service, 1800 G St., NW, Room 720, Washington, DC 20223.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
(a) Individuals who are now or were Secret Service employees,
officers of the U.S. Secret Service Uniformed Division; (b)
Individuals from other Federal, state and local law enforcement
agencies.
Exemptions claimed for the system:
None.
USSS Appendix A - U.S. Secret Service field offices and resident
offices:
Western Bank Building, 505 Marquette Street, NW,
Suite 1700, Albuquerque, NM 87102.
6100 Rockside Woods Blvd., Room 440, Cleveland, OH
44131-2334.
Equitable Building, PO Box 54407, Atlanta, GA 30308.
Strom Thurmond Federal Bldg., 1835 Assembly Street, Suite 1425,
Columbia, SC 29201.
Federal Office Building, 300 East 8th Street, Suite
972, Austin, TX 78701.
500 South Front Street, Suite 800, Columbus, OH
43215.
100 S. Charles Street, 11th Floor, Baltimore, MD
21201.
125 East John W. Carpenter Fwy, Suite 300,
Irving, TX 75062.
500 Building, 500 South 22nd St., Suite 203,
Birmingham, AL 35233.
1660 Lincoln Street, Suite 1430, Denver, CO 80264.
Thomas P. O'Neill, Jr. Federal Bldg., 10 Causeway
Street, Boston, MA 02222-1080.
Patrick V. McNamara Building, Suite 1000, 477
Michigan Avenue, Detroit, MI 48226.
Federal Building, Room 1208, 111 West Huron Street,
Buffalo, NY 14202.
Mesa One Building, 4849 North Mesa, Suite 210, El
Paso, TX 79912.
1 Valley Square, Suite 910, Charleston, WV 25301.
Gerald R. Ford Federal Bldg. & U.S. Courthouse, 110
Michigan Ave; NW, Grand Rapids, MI 49503.
4530 Park Road, Suite 226, Charlotte, NC 28209.
300 Ala Moana Boulevard; Room 6309, Honolulu, HI
96850.
Gateway IV Building, 300 Riverside Plaza, Suite 1200
North, Chicago, IL 60606.
Federal Office & Courts Building, Room 6216, 602
Sawyer St., Houston, TX 77007.
John Weld Peck Federal Building, 550 Main Street,
Cincinnati, OH 45202.
575 N. Pennsylvania Street, Suite 211, Indianapolis,
IN 46204.
Federal Bldg., 100 West Capitol Street, Jackson, MS
39269.
7820 Arlington Expressway, Suite 500, Jacksonville,
FL 32211.
Hale Boggs Federal Building, 501 Magazine St., New
Orleans, LA 70130.
1150 Grand Avenue, Suite 510, Kansas City, MO 64106.
P.O. Box 16027, Federal Station, Las Vegas, NV
89101.
7 World Trade Center, 9th Fl., New York, NY 10048-
0953.
111 Center Street, Suite 1700, Little Rock, AR
72201.
35 Pinelawn Road, Suite 216E, Melville, NY 11747.
Federal Building, Room 400, 200 Granby Mall,
Norfolk, VA 23510.
RoyBal Federal Bldg., 17th Fl., 255 E. Temple
Street, Los Angeles, CA 90012.
200 Northwest Fifth Street, Suite 926, Oklahoma
City, OK 73102.
135 W. Central Blvd., Suite 670, Orlando, FL 32801.
377 Federal Building, 600 Dr. Martin Luther King,
Jr., Place, Louisville, KY 40201.
Old Federal Bldg; 106 S. 15th Street, Room 905,
Omaha, NE 68102.
5350 Poplar Ave., Suite 204, Memphis, TN 38103.
8375 Northwest 53rd Street, Suite 100, Miami, FL
33166.
600 Arch Street, 7236 Federal Bldg; Philadelphia, PA
19106-1676.
517 East Wisconsin Avenue, Room 572, Milwaukee, WI
53202.
3200 North Central Ave., Suite 2180, Phoenix, AZ
85012.
110 South 4th Street, 218 U.S. Courthouse,
Minneapolis, MN 55401.
1000 Liberty Avenue, Room 835, Pittsburgh, PA 15222.
182 Saint Francis Street, Suite 200, Mobile, AL
36602.
121 Southwest Salmon Street, Suite 1100, Portland,
OR 97204, (503)326-2162.
801 Broadway Street, U.S. Courthouse 658, Nashville,
TN 37203, (615)736-5841.
The Federal Center, 380 Westminster St., Suite 343,
Providence, RI 02903, (401)331-6456.
Headquarters Plaza - West Tower, 7th Floor, One
Speedwell Ave., Morristown, NJ 07960, (201)645-
2334.
600 East Main Street, Suite 1910, Richmond, VA
23240, (804)771-2274.
265 Church Street, Suite 1201, New Haven, CT 06510,
(203)865-2449.
4407 Bland Road, Suite 210, Raleigh, NC 27609.
PO Box 1525, Riverside, CA 92502.
501 J Street, Suite 530, Sacramento, CA 95814,
(916)440-2413.
301 E Genese, Suite 200, Saginaw, MI 48607.
280 South 1st St., Suite 2050, San Jose, CA 95113.
200 W. Santa Ana Blvd., Suite 500, Santa Ana, CA
92701.
1114 Market Street, Room 924, St. Louis, MO 63101.
57 West 200 South, Suite 450, Salt Lake City, UT
84101.
1050 Connecticut Ave., NW, Suite 1000, Washington,
DC 20036.
727 E. Durango, Room B410, San Antonio, TX 78206.
550 West C St., Suite 660, San Diego, CA 92101.
345 Spear St., Suite 530, San Francisco, CA 94105.
U.S. Federal Building, Room 539, 5th Floor, 150
Carlos E. Chardon Avenue, Hato Rey, PR 00917-
1717.
Henry M. Jackson Federal Building, 915 Second
Avenue, Seattle, WA 98174.
601 W. Riverside Avenue, Suite 1340, Spokane, WA
99201.
400 West Monroe, Suite 301, Springfield, IL 62704.
501 East Polk St., Room 1101, Tampa, FL 33602.
Suite 800, 505 South Flagler Drive, West Palm Beach,
FL 33401.
140 Grand St., Suite 300, White Plains, NY 10601.
1 Roaney Square, Room 414, 920 King St., Wilmington,
DE 19801.
American Embassy/USSS - London, England PSC 801, Box
64, FPO AE 09498-4064.
American Embassy/USSS - Manila, Philippines APO - AP
96440.
American Embassy/USSS - Paris, France Room D-306, D
Bldg; 58 bis, Rue la Boetie.
American Embassy/USSS - Rome, Italy PSC 59, Box 100
USSS, APO AE 09624.
PRIVACY ACT RULES
TREASURY DEPARTMENT
DEPARTMENT OF THE TREASURY
Office of Thrift Supervision
12 CFR PART 503-PRIVACY ACT
503.1 Scope and procedures.
503.2 Exemptions of records containing investigatory material compiled
for law enforcement purposes.
Authority: Sec. 552a, 80 Stat. 383, as amended (5 U.S.C. 552a); sec.
3, as added by sec. 301, 103 Stat, 278 (12 U.S.C. 1462a); sec. 4, as
added by sec. 301, 103 Stat. 280 (12 U.S.C. 1463); sec. 5, 48 Stat. 132,
as amended (12 U.S.C. 1464).
Cross Reference: See 31 CFR part 1, subpart C.
Sec. 503.1 Scope and procedures.
(a) In general.The Privacy Act regulations of the Department of the
Treasury, 31 CFR part 1, subpart C, apply to the Office as a component
part of the Department of the Treasury. This part 503 sets forth, for
the Office, specific notification and access procedures with respect to
particular systems of records, and identifies the officials designated
to make the initial determinations with respect to notification and
accessto records and accountings of disclosures of records. This part
503 also sets forth the specific procedures for requesting amendment of
records and identifies the officials designated to make the initial and
appellate determinations with respect to requests for amendments of
records. It identifies the officials designated to grant extensions of
time on appeal, the officials with whom ``Statements of Disagreement''
may be filed, the official 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 dby 5
U.S.C. 552a(e)(4) and (11) and published annually by the Office of the
Federal Register in ``Privacy Act Issuances.''
(b) Requests for notification and access to records and accountings of
disclosures.Initial determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Office, will be madeby the head of the
organizational unit having immediate custody of the records requested or
an official designated by this official. This is indicated in the
appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests for information
and specific guidance on where to send requests for records may be
mailed or delivered personally to: Privacy Act Request, Office of
Congressional Relations and Communicationbs, Office of Thrift
Supervision, 1700 G Street, NW, Washington, DC 20552.
(c) Requests for amendment of records. Initial determinations under
31 CFR 1.27(a) through (d), whether to grant requests to amend records
will be made by the head of the organizational unit having immediate
custody of the records or the delegate of such official. Requests for
amendment should be addressed to: Privacy Act Amendment Request, Office
of Congressional Relations and Communications, Office of Thrift
Supervision, 1700 G Street, NW, Washington, DC 20552.
(d) Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27(e) including extensions of time on appeal, with respect to
records of the Office will be made by the Director of the Office of
Thrift Supervision (``Director'') or Chief Counsel or the delegate of
the Director or Chief Counsel. Appeals made by mail should be addressed
to, or delivered personally to: Privacy Act Amendment Appeal, Office of
Congressional Relations and Communications, Office of Thrift
Supervision, 1700 G Street, NW, Washington, DC 20552.
(e) Statements of disagreement. ``Statements of Disagreement'' under
31 CFR 1.27(e)(4)(i) shall be filed with the Senior Deputy Director for
Congressional Relations and Communications at the address indicated in
the letter of notification within 35 days of the date of such
notification and should be limited to one page.
(f) Service of process.Service of process will be received by the
Chief Counsel's Office or the delegate of such official and shall be
delivered to the following location: Chief Counsel's Office, Office of
Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
(g) 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 the pertinent
system.
[54 FR 49443, Nov. 30, 1989]
Sec. 503.2 Exemptions of records containing investigatory material
compiled for law enforcement purposes.
(a) Scope. The Office has established a system of records, entitled
the ``Confidential Individual Information System.'' The purpose of this
system is to assist the Office in the accomplishment of its statutory
and regulatory responsibilities in connection with supervision of
savings associations. This system will be exempt from certain provisions
of the Privacy Act of 1974 for the reasons set forth in paragraph (c) of
this section.
(b) Exemptions Under 5 U.S.C. 552a(k)(2). (1) Pursuant to 5 U.S.C.
552a(k)(2), the head of an agency may issue rules to exempt any system
of records within the agency from certain provisions of the Privacy Act
of 1974 if the system contains investigatory material compiled for law
enforcement purposes.
(2) Provisions of the Privacy Act of 1974 from which exemptions will
be made under 5 U.S.C. 552a(k)(2) are as follows:
(i) 5 U.S.C. 552a(c)(3);
(ii) 5 U.S.C. 552a(d)(1), (d)(2), (d)(3), and (d)(4);
(iii) 5 U.S.C. 552a(e)(1);
(iv) 5 U.S.C. 552a(e)(4)(G), (e)(4)(H), and (e)(4)(I); and
(v) 5 U.S.C. 552a(f).
(c) Reasons for exemptions under 5 U.S.C. 552a(k)(2). (1) 5 U.S.C.
552a(c)(3) requires that an agency make accountings of disclosures of
records available to individuals named in the records at their request.
These accountings must state the date, nature, and purpose of each
disclosure of a record and the name and address of the recipient. The
application of this provision would make known to subjects of an
investigation that an investigation is taking place and that they are
the subjects of it. Release of such information could result in the
alteration or destruction of documentary evidence, improper influencing
of witnesses, and reluctance of witnesses to offer information, and
could otherwise impede or compromise an investigation.
(2) 5 U.S.C. 552a(d)(1), (d)(2), (d)(3), and (d)(4), (e)(4)(G) and
(e)(4)(H), and (f), relate to an individual's right to be notified of
the existence of, and the right to examine, records pertaining to such
individual. Notifying an individual at the individual's request of the
existence of records and allowing the individual to examine an
investigative file pertaining to such individual, or granting access to
an investigative file, could:
(i) Interfere with investigations and enforcement proceedings;
(ii) Constitute an unwarranted invasion of the personal privacy of
others;
(iii) Disclose the identity of confidential sources and reveal
confidential information supplied by those sources; or
(iv) Disclose investigative techniques and procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the categories
of sources of records in each system. Application of this provision
could disclose investigative techniques and procedures and cause sources
to refrain from giving such information because of fear of reprisal, or
fear of breach of promises of anonymity and confidentiality, thus
compromising the agency's ability to conduct investigations and to
identify, detect, and apprehend violators.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. Limiting the system as described would impede
enforcement activities because:
(i) It is not always possible to determine the relevance or necessity
of specific information in the early stages of an investigation; and
(ii) In any investigation the Office may obtain information concerning
violations of laws other than those within the scope of its
jurisdiction. In the interest of effective law enforcement, the Office
should retain this information to aid in establishing patterns of
criminal activity, and to provide leads for those law enforcement
agencies charged with enforcing criminal or civil laws.
(d) Documents exempted. Exemptions will be applied only when
appropriate under 5 U.S.C. 552a(k).
[55 FR 31371, Aug. 2, 1990]
Title 31-Money and Finance: Treasury
Subtitle A-Office of the Secretary of the Treasury
PART 1--DISCLOSURE OF RECORDS
Subpart C Records Pertaining to Individuals
1.20 Purpose and scope of regulations.
1.21 Definitions.
1.22 Requirements relating to systems of records.
1.23 Publication in the Federal Register--Notices of systems of
records, general exemptions, specific exemptions, review of all
systems.
1.24 Disclosure of records to person other than the individual to whom
they pertain.
1.25 Accounting of disclosures.
1.26 Procedures for notification and access to records pertaining to
individuals--format and fees for request for access.
1.27 Procedures for amendment of records pertaining to individuals--
format, agency review and appeal from initial adverse agency
determination.
1.28 Training, rules of conduct, penalties for non-compliance.
1.29 Record transferred to Federal Records Center or National Archives
of the United States.
1.30 Application to system of records maintained by Government
contractors.
1.31 Sale or rental of mailing lists.
1.32 Use and disclosure of social security numbers.
1.34 Guardianship.
1.35 Information forms.
1.36 Systems exempt in whole or in part from provisions of 5 U.S.C.
552a and this part.
Appendix A--Departmental Offices
Appendix B--Internal Revenue Service
Appendix C--United States Customs Service
Appendix D--United States Secret Service
Appendix E--Bureau of Alcohol, Tobacco and Firearms
Appendix F--Bureau of Engraving and Printing
Appendix G--Financial Management Service
Appendix H--United States Mint
Appendix I--Bureau of the Public Debt
Appendix J--Office of the Comptroller of the Currency
Appendix K--United States Savings Bonds Division
Appendix L--Federal Law Enforcement Training Center
Appendix M--Office of Thrift Superivsion
Authority: 5 U.S.C. 552a.
Source: 52 FR 26304, Jul. 14, 1987, unless otherwise noted.
Subpart C--Records Pertaining to Individuals
Sec. 1.20 Purpose and scope of regulations.
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
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:
(a) The Departmental Offices, which includes the offices of:
(1) The Secretary of the Treasury, including immediate staff;
(2) The Deputy Secretary of the Treasury, including immediate staff;
(3) The Under Secretary of the Treasury for Finance, including
immediate staff;
(4) The Fiscal Assistant Secretary, including immediate staff;
(5) The Assistant Secretary of the Treasury for Economic Policy and
all other offices reporting to such official, including immediate staff;
(6) The General Counsel and also the Legal Division, except legal
counsel to the components listed in paragraphs (a)(9) and (b) through
(l) of this section;
(7) The Assistant Secretary of the Treasury for International Affairs
and all offices reporting to such official, including immediate staff;
(8) The Treasurer of the United States, including immediate staff;
(9) The Assistant Secretary of the Treasury for Tax Policy, including
immediate staff and all offices reporting to such official;
(10) The Assistant Secretary of the Treasury for Management, and all
offices reporting to such official, including immediate staff;
(11) The Assistant Secretary of the Treasury for Domestic Finance and
all offices reporting to such official, including immediate staff;
(12) The Assistant Secretary of the Treasury for Legislative Affairs,
including immediate staff;
(13) The Assistant Secretary of the Treasury for Public Affairs and
Public Liaison, including immediate staff;
(14) The Assistant Secretary of the Treasury for Enforcement and all
offices reporting to such official, including immediate staff;
(15) The Special Assistant to the Secretary (National Security),
including immediate staff;
(16) The Inspector General and all offices reporting to such official,
including immediate office.
(b) The Bureau of Alcohol, Tobacco and Firearms;
(c) The Office of the Comptroller of the Currency;
(d) The United States Customs Service;
(e) The Bureau of Engraving and Printing;
(f) The Federal Law Enforcement Training Center;
(g) The Financial Management Service;
(h) The Internal Revenue Service;
(i) The United States Mint;
(j) The Bureau of the Public Debt;
(k) The United States Savings Bond Division;
(l) The United States Secret Service;
(m) The Office of the Thrift Supervision.
For purposes of this subpart, the office of the legal counsel for the
components listed in paragraphs (b), (c), (d), (e), (f), (g), (h), (i),
and (j) of this section are to be considered a part of such 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.
[52 FR 26305, July 14, 1987, as amended at 60 FR 31633, June 16, 1995]
Sec. 1.21 Definitions.
(a) The term ``agency'' means agency as defined in 5 U.S.C. 552(e);
(b) The term ``individual'' means a citizen of the United States or an
alien lawfully admitted for permanent residence;
(c) The term ``maintain'' includes maintain, collect, use, or
disseminate;
(d) The term ``record'' means any item, collection, or grouping of
information about an individual that is maintained by the Department of
the Treasury or component of the Department. This includes, but is not
limited to, the individual's education, financial transactions, medical
history, and criminal or employment history and that contains the name,
or an identifying number, symbol, or other identifying particular
assigned to the individual, such as a finger or voice print or a
photograph;
(e) The term ``system of records'' means a group of any records under
the control of the Department of the Treasury or any component from
which information is retrieved by the name of the individual or by some
identifying number, symbol, or other identifying particular assigned to
the individual;
(f) The term ``statistical record'' means a record in a system of
records maintained for statistical research or reporting purposes only
and not used in whole or part in making any determination about an
identifiable individual, except as provided by 13 U.S.C. 8.
(g) The term ``routine use'' means the disclosure of a record that is
compatible with the purpose for which the record was collected;
(h) The term ``component'' means a bureau or office of the Department
of the Treasury as set forth in Sec. 1.20 and in the appendices to these
regulations. (See 5 U.S.C. 552a(a).)
(i) The term ``request for access'' means a request made pursuant to 5
U.S.C. 552a(d)(1).
(j) The term ``request for amendment'' means a request made pursuant
to 5 U.S.C. 552a(d)(2).
(k) The term ``request for accounting'' means a request made pursuant
to 5 U.S.C. 552a(c)(3).
Sec. 1.22 Requirements relating to systems of records.
(a) In general. Subject to 5 U.S.C. 552a (j) and (k) and Sec. 1.23(c),
each component shall, in conformance with 5 U.S.C. 552a:
(1) Maintain in its records only such information about an individual
as is relevant and necessary to accomplish a purpose of the agency
required to be accomplished by the statute or by Executive Order of the
President (See 5 U.S.C. 552a(e)(1)).
(2) Collect information to the greatest extent practicable directly
from the subject individual when the information may result in adverse
determinations about an individual's rights, benefits, and privileges
under Federal programs. (See 5 U.S.C. 552a(e)(2)).
(b) Requests for information from individuals. Subject to 5 U.S.C.
552a(j) and Sec. 1.23(c)(1), each component of the Treasury shall inform
each individual whom it asks to supply information, on the form which it
uses to collect the information or on a separate form that can be
retained by the individual:
(1) The authority (whether granted by statute, or by Executive Order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
(2) The principal purpose or purposes for which the information is
intended to be used;
(3) The routine uses which may be made of the information, as
published pursuant to 5 U.S.C. 552a(e)(4)(D); and
(4) The effects on such individual, if any, of not providing all or
any part of the requested information. (See 5 U.S.C. 552a(e)(3)).
(c) Report on new systems. Each component of the Treasury shall
provide adequate advance notice to Congress and the Office of Management
and Budget through the Disclosure Branch and Administration Section of
the Office of the General Counsel of any proposal to establish or alter
any system of records in order to permit an evaluation of the probable
or potential effect of such proposal on the privacy and other personal
or property rights of individuals or the disclosure of information
relating to such individuals, and its effect on the preservation of the
constitutional principles of federalism and separation of powers. (See 5
U.S.C. 552a(o)).
(d) Accurate and secure maintenance of records. Each component shall:
(1) Subject to 5 U.S.C. 552a(j) and Sec. 1.23(c)(1), maintain all
records which are used in making any determination about any individual
with such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to assure fairness to the individual in the
determination (see 5 U.S.C. 552a(e)(5);
(2) Prior to disseminating any record about an individual to any
person other than an agency, unless the dissemination is made pursuant
to 5 U.S.C. 552 (see 31 CFR part 1, subpart A), make reasonable efforts
to assure that such records are accurate, complete, timely, and relevant
for Department of the Treasury purposes (see 5 U.S.C. 552a(e)(6)) and
(3) Establish appropriate administrative, technical, and physical
safeguards to insure the security and confidentiality of records and to
protect against any anticipated threats or hazards to their security or
integrity which could result in substantial harm, embarrassment,
inconvenience, or unfairness to any individual on whom information is
maintained. (See 5 U.S.C. 552a(e)(10)).
(i) System managers, with the approval of the head of their offices
within a component, shall establish administrative and physical
controls, consistent with Department regulations, to insure the
protection of records systems from unauthorized access or disclosure and
from physical damage or destruction. The controls instituted shall be
proportional to the degree of sensitivity of the records but at a
minimum must insure that records other than those available to the
general public under the Freedom of Information Act (5 U.S.C. 552), are
protected from public view, that the area in which the records are
stored is supervised during all business hours and physically secure
during nonbusiness hours to prevent unauthorized personnel from
obtaining access to the records. Automated systems shall comply with the
security standards promulgated by the National Bureau of Standards.
(ii) System managers, with the approval of the head of their offices
within a component, shall adopt access restrictions to insure that only
those individuals within the agency who have a need to have access to
the records for the performance of their duties have access to them.
Procedures shall also be adopted to prevent accidental access to, or
dissemination of, records.
(e) Prohibition against maintenance of records concerning First
Amendment rights. No component shall maintain a record describing how
any individual exercises rights guaranteed by the First Amendment (e.g.
speech), unless the maintenance of such record is:
(1) Expressly authorized by statute, or
(2) Expressly authorized by the individual about whom the record is
maintained, or
(3) Pertinent to and within the scope of an authorized law enforcement
activity. (See 5 U.S.C. 552a (e)(7).
(f) Notification of disclosure under compulsory legal process. Subject
to 5 U.S.C. 552a(j) and Sec. 1.23(c)(1), when records concerning an
individual are subpoenaed by a Grand Jury, Court, or quasi-judicial
agency, or disclosed in accordance with an ex parte court order pursuant
to 26 U.S.C. 6103(i), the official served with the subpoena or court
order shall make reasonable efforts to assure that notice of any
disclosure is provided to the individual. Notice shall be provided
within five working days of making the records available under
compulsory legal process or, in the case of a Grand Jury subpoena or an
ex parte order, within five days of its becoming a matter of public
record. Notice shall be mailed to the last known address of the
individual and shall contain the following information: The date and
authority to which the subpoena is, or was returnable, or the date of
and court issuing the ex parte order, the name and number of the case or
proceeding, and the nature of the information sought and provided.
Notice of the issuance of a subpoena or an ex parte order is not
required if the system of records has been exempted from the notice
requirement of 5 U.S.C. 552a (e)(8) and this section, pursuant to 5
U.S.C. 552a(j) and Sec. 1.23 (c)(1), by a Notice of Exemption published
in the Federal Register. (See 5 U.S.C. 552a(e)(8)).
(g) Emergency Disclosure. If information concerning an individual has
been disclosed to any person under compelling circumstances affecting
health or safety, the individual shall be notified at the last known
address within 5 days of the disclosure (excluding Saturdays, Sundays,
and legal public holidays). Notification shall include the following
information: The nature of the information disclosed, the person or
agency to whom it was disclosed, the date of disclosure, and the
compelling circumstances justifying the disclosure. Notification shall
be given by the officer who made or authorized the disclosure. (See 5
U.S.C. 552a(b)(8)).
Sec. 1.23 Publication in the Federal Register--Notices of systems of
records, general exemptions, specific exemptions, review of all
systems.
(a) Notices of systems of records to be published in the Federal
Register. (1) The Department shall publish a notice of the existence and
character of all systems of records every 3 years in the Federal
Register. An annual notice of systems of records is required to be
published by the Office of the Federal Register in the publication
entitled ``Privacy Act Issuances'', as specified in 5 U.S.C. 552a(f).
(2) Minor changes to systems of records shall be published annually.
(See paragraph (d)(8) of this section)
(3) In addition, the Department shall publish in the Federal Register
upon establishment or revision a notice of the existence and character
of any new or revised systems of records. Unless otherwise instructed,
each notice shall include:
(i) The name and location of the system;
(ii) The categories of individuals on whom records are maintained in
the system;
(iii) The categories of records maintained in the system;
(iv) Each routine use of the records contained in the system,
including the categories of users and the purpose of such use;
(v) The policies and practices of the component regarding storage,
retrievability, access controls, retention, and disposal of the records;
(vi) The title and business address of the Treasury official who is
responsible for the system of records;
(vii) The procedures of the component whereby an individual can be
notified if the system of records contain a record pertaining to the
individual, including reasonable times, places, and identification
requirements.
(viii) The procedures of the component whereby an individual can be
notified on how to gain access to any record pertaining to such
individual that may be contained in the system of records, and how to
contest its content; and
(ix) The categories of sources of records in the system. (See 5 U.S.C.
552a(e)(4)).
(b) Notice of new or modified routine uses to be published in the
Federal Register. At least 30 days prior to a new use or modification of
a routine use, as published under paragraph (a)(3)(iv) of this section,
each component shall publish in the Federal Register notice of such new
or modified use of the information in the system and provide an
opportunity for interested persons to submit written data, views, or
arguments to the components. (See 5 U.S.C. 552a(e)(11)).
(c) Promulgation of rules exempting systems from certain
requirements--(1) General exemptions. In accordance with existing
procedures applicable to a Treasury component's issuance of regulations,
the head of each such component may adopt rules, in accordance with the
requirements (including general notice) of 5 U.S.C. 553 (b) (1), (2),
and (3), (c) and (e), to exempt any system of records within the
component from any part of 5 U.S.C. 552a and these regulations except
subsections (b) (Sec. 1.24, conditions of disclosure), (c)(1) (Sec.
1.25, keep accurate accounting of disclosures), (c)(2) (Sec. 1.25,
retain accounting for five years or life of record), (e)(4) (A) through
(F) (paragraph (a) of this section, publication of annual notice of
systems of records), (e)(6) (Sec. 1.22(d), accuracy of records prior to
dissemination), (e)(7) (Sec. 1.22(e), maintenance of records on First
Amendment rights), (e)(9) (Sec. 1.28, establish rules of conduct),
(e)(10) (Sec. 1.22(d)(3), establish safeguards for records), (e)(11)
(paragraph (c) of this section, publish new intended use), and (i) (Sec.
1.28(c), criminal penalties) if the systems of records maintained by the
component which performs as its principal function any activity
pertaining to the enforcement of criminal laws, including police efforts
to prevent, control, or reduce crime or to apprehend criminals, and the
activities of prosecutors, courts, correctional, probation, pardon, or
parole authorities, and which consists of (i) information compiled for
the purpose of identifying individual criminal offenders and alleged
offenders and consisting only of identifying data and notations of
arrests, the nature and disposition of criminal charges, sentencing,
confinement, release, and parole, and probation status; (ii) information
compiled for the purpose of a criminal investigation, including reports
of informants and investigators, and associated with an identifiable
individual; or (iii) reports identifiable to an individual compiled at
any stage of the process of enforcement of the criminal laws from arrest
or indictment through release from supervision. (See 5 U.S.C. 552a(j)).
(2) Specific exemptions. In accordance with existing procedures
applicable to a Treasury component's issuance of regulations, the head
of each such component may adopt rules, in accordance with the
requirements (including general notice) of 5 U.S.C. 553 (b) (1), (2),
and (3), (c), and (e), to exempt any system of records within the
component from 5 U.S.C. 552a(c)(3) (Sec. 1.25(c)(2), accounting of
certain disclosures available to the individual), (d) (Sec. 1.26(a),
access to records), (e)(1) (Sec. 1.22(a)(1), maintenance of information
to accomplish purposes authorized by statute or executive order only),
(e)(4)(G) (paragraph (a)(7) of this section, publication of procedures
for notification), (e)(4)(H) (paragraph (a)(8) of this section,
publication of procedures for access and contest), (e)(4)(I) (paragraph
(a)(9) of this section, publication of sources of records), and (f)
(Sec. 1.26, promulgate rules for notification, access and contest), if
the system of records is:
(i) Subject to the provisions of 5 U.S.C. 552(b)(1);
(ii) Investigatory material compiled for law enforcement purposes,
other than material within the scope of subsection (j)(2) of 5 U.S.C.
552a and paragraph (a)(1) of this section. If any individual is denied
any right, privilege, or benefit that such individual would otherwise be
entitled to by Federal law, or for which such individual would otherwise
be eligible, as a result of the maintenance of this material, such
material shall be provided to the individual, except to the extent that
the disclosure of the material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence;
(iii) Maintained in connection with providing protective services to
the President of the United States or other individuals pursuant to 18
U.S.C. 3056;
(iv) Required by statute to be maintained and used solely as
statistical records;
(v) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information, but only to the extent that the disclosure of
such material would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence, or, prior to September 27,
1975, under an implied promise that the identity of the source would be
held in confidence;
(vi) Testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process; or
(vii) Evaluation material used to determine potential for promotion in
the armed services, but only to the extent that the disclosure of such
material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the
source would be held in confidence, or, prior to September 27, 1975,
under an implied promise that the identity of the source would be held
in confidence.
(3) At the time that rules under this subsection are adopted, the head
of the component shall include in the statement required under 5 U.S.C.
553(c) the reasons why the system of records is to be exempted from a
provision of 5 U.S.C. 552a and this part. (See 5 U.S.C. 552a(j) and
(k).)
(d) Review and Report to OMB. The Department shall ensure that the
following reviews are conducted as often as specified below by each of
the components who shall be prepared to report to the Departmental
Disclosure Branch upon request the results of such reviews and any
corrective action taken to resolve problems uncovered. Each component
shall:
(1) Review every two years a random sample of the component's
contracts that provide for the maintenance of a system of records on
behalf of the component to accomplish a function of the component, in
order to ensure that the working of each contract makes the provisions
of the Act apply. (5 U.S.C. 552a(m)(1).)
(2) Review annually component's recordkeeping and disposal policies
and practices in order to assure compliance with the Act.
(3) Review routine use disclosures every 3 years, that are associated
with each system of records in order to ensure that the recipient's use
of such records continues to be compatible with the purpose for which
the disclosing agency originally collected the information.
(4) Review every three years each system of records for which the
component has issued exemption rules pursuant to section (j) or (k) of
the Privacy Act in order to determine whether the exemption is needed.
(5) Review annually each ongoing matching program in which the
component has participated during the year, either as a source or as a
matching agency in order to assure that the requirements of the Act, the
OMB Matching Guidelines, and the OMB Model Control System and checklist
have been met.
(6) Review component's training practices annually to ensure that all
component personnel are familiar with the requirements of the Act, these
regulations and Departmental directives.
(7) Review annually the actions of component personnel that have
resulted either in the agency being found civilly liable under section
(g) of the Act, or an employee being found criminally liable under the
provisions of section (i) of the Act, in order to determine the extent
of the problem and to prevent future recurrences.
(8) Review annually each system of records notice to ensure that it
accurately describes the system. Where minor changes are needed, publish
an amended notice in the Federal Register. Minor changes shall be
consolidated in one annual comprehensive publication. The term ``minor
change to a system of records'' means a change that does not
significantly change the system. More specifically, a minor change does
not affect the character or purpose of the system and does not affect
the ability of an individual to gain access to a record about the
individual or to any information pertaining to such individual which is
contained in the system; for example, changing the title of the system
manager or the location of the system.
Sec. 1.24 Disclosure of records to person other than the individual
to whom they pertain.
(a) Conditions of disclosure. No component of Treasury shall disclose
any record which is contained in a system of records maintained by it by
any means of communication to any person, or to another agency, except
pursuant to a written request by, or with the prior written consent of,
the individual to whom the record pertains, or the parent, if a minor,
or legal guardian, if incompetent, of such individual, unless disclosure
of the record would be:
(1) To those offices and employees of the Department of the Treasury
who have a need for the record in the performance of their duties;
(2) Retired under 5 U.S.C. 552 (subpart A of this part);
(3) For a routine use as defined in 5 U.S.C. 552a(a)(7) and
Sec. 1.21(g) and as described under 5 U.S.C. 552a(e)(4)(D) and
Sec. 1.23(a)(4);
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 of the U.S. Code;
(5) To a recipient who has provided the component with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or the designee of such official to
determine whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity.
(i) If the activity is authorized by law; and
(ii) If the head of the agency or instrumentality has made a written
request to the Department of the Treasury specifying the particular
portion desired and the law enforcement activities for which the record
is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual, if upon such
disclosure, notification is transmitted to the last known address of
such individual;
(9) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee.
(10) To the Comptroller General, or the authorized representatives of
such official, in the course of the performance of the duties of the
General Accounting Office; or
(11) Pursuant to the order of a court of competent jurisdiction. (See
5 U.S.C. 552a(b)).
Sec. 1.25 Accounting of disclosures.
(a) Accounting of certain disclosures. Each component, with respect to
each system of records under its control, shall:
(1) Keep an accurate accounting of: (i) The date, nature, and purpose
of each disclosure of a record to any person or to an agency made under
5 U.S.C. 552a (b) and Sec. 1.24; and (ii) the name and address of the
person or agency to whom the disclosure is made;
(2) Retain the accounting made under paragraph (a)(1) of this section
for at least five years or the life of the record, whichever is longer,
after the disclosure for which the accounting is made; and
(3) Inform any person or other agency about any correction or notation
of dispute made by the constitutent unit in accordance with 5 U.S.C.
552a(d) and Sec. 1.28 of any record that has been disclosed to the
person or agency if an accounting of the disclosure was made. (See 5
U.S.C. 552(c).)
(b) Accounting systems. To permit the accounting required by paragraph
(a) of this section, system managers, with the approval of the head of
their offices within a component, shall establish or implement, a system
of accounting for all disclosures of records, either orally or in
writing, made outside the Department of the Treasury. Accounting records
shall:
(1) Be established in the least expensive and most convenient form
that will permit the system manager to advise individuals, promptly upon
request, what records concerning them have been disclosed and to whom:
(2) Provide, as a minimum, the identification of the particular record
disclosed, the name and address of the person or agency to whom or to
whom or to which disclosed, and the date, nature and purpose of the
disclosure; and
(3) Be maintained for 5 years or until the record is destroyed or
transferred to the National Archives and Records Administrative for
storage in records centers, in which event, the accounting pertaining to
those records, unless maintained separately, shall be transferred with
the records themselves.
(c) Exemptions from accounting requirements. No accounting is required
for disclosure of records:
(1) To those officers and employees of the Department of the Treasury
who have a need for the record in the performance of their duties; or
(2) If disclosure would be required under 5 U.S.C. 552 and subpart A
of this part.
(d) Access to accounting by individual. (1) Subject to paragraphs (c)
and (d)(2) of this section, each component shall establish and set forth
in the appendix to this subpart applicable to the component, procedures
for making the accounting required under paragraph (a) of this section
available to the individual to whom the record pertains and shall
thereafter make such accounting available in accordance therewith at the
request of the individual. The procedures may require the requester to
provide reasonable identification.
(2) Access accountings of disclosure may be withheld from the
individual named in the record only if the disclosures were (i) made
under 5 U.S.C. 552a (b)(7) and Sec. 1.24 (a)(7), or (ii) under a system
of records exempted from the requirements of 5 U.S.C. 552a(c)(3) in
accordance with 5 U.S.C. 552 (j) or (k) and Sec. 1.23(c). (See 5 U.S.C.
552a(c)).
Sec. 1.26 Procedures for notification and access to records
pertaining to individuals--format and fees for request for access.
(a) Procedures for notification and access. Each component shall
establish, in accordance with the requirements of 5 U.S.C. 553, and set
forth in the appendix to this subpart applicable to such component
procedures whereby an individual can be notified, in response to a
request, if any system of records named by the individual contains a
record pertaining to that individual. In addition, such procedures shall
set forth the requirements for access to such records. As a minimum such
procedures shall specify the times during, and the places at which
access will be accorded, together with such identification as may be
required of the individual before access. (See 5 U.S.C. 552a(f) (1), (2)
and (3))
(b) Access. Each component in accordance with the procedures
prescribed under paragraph (a) of this section, shall allow an
individual to gain access to records or to any information pertaining to
such individual which is contained in the system of records upon
request. The individual shall be permitted to review the record and have
a copy made of all or any portion of the record in a form that is
comprehensible. The individual will also be permitted to be accompanied
by any person of the individual's choosing to review the record, except
that the agency may require the individual to furnish a written
statement authorizing discussion of that individual's record in the
accompanying person's presence. (See 5 U.S.C. 552a(d)(1)).
(c) Exceptions. Neither the procedures prescribed under paragraph (a)
of this section nor the requirements for access under paragraph (b) of
this section shall be applicable to--(1) systems of records exempted
pursuant to 5 U.S.C. 552a(j) and (k) and Sec. 1.23(c); (2) information
compiled in reasonable anticipation of a civil action or proceeding (See
5 U.S.C. 552(d)(5)); or (3) information pertaining to an individual
which is contained in, and inseparable from, another individual's
record.
(d) Format of request. (1) A record for notification of whether a
record exists shall:
(i) Be made in writing and signed by the person making the request,
who must be the individual about whom the record is maintained, or such
individual's duly authorized representative (See Sec. 1.34);
(ii) State that it is made pursuant to the Privacy Act, 5 U.S.C. 552a
or these regulations, have marked ``Privacy Act Request'' on the request
and on the envelope;
(iii) Give the name of the system or subsystem or categories of
records to which access is sought, as specified in ``Privacy Act
Issuances'' published by the Office of the Federal Register and
referenced in the appendices to this subpart;
(iv) Describe the nature of the record(s) sought in sufficient detail
to enable Department personnel to locate the system of records
containing the record with a reasonable amount of effort. Whenever
possible, a request for access should describe the nature of the record
sought, the date of the record or the period in which the record was
compiled.
(v) Provide such identification of the requester as may be specified
in the appropriate appendix to this subpart; and
(vi) Be addressed or delivered in person to the office or officer of
the component indicated for the particular system or subsystem or
categories of records the individual wishes access to, as specified in
``Privacy Act Issuances'' published by the Office of the Federal
Register and referenced in the appendices to this subpart. Assistance in
ascertaining the appropriate component or in preparing a request for
notification may be obtained by a written request to this effect
addressed as specified in appendix A of this part, as the address for
the Departmental Offices for ``Request for notification and access to
records and accountings of disclosures''.
(2) A request for access to records shall, in addition to complying
with paragraph (a)(1)(i) through (vi) of this section:
(i) State whether the requester wishes to inspect the records or
desires to have a copy made and furnished without first inspecting them;
(ii) If the requester desires to have a copy made, state the firm
agreement of the requester to pay the fees for duplication ultimately
determined in accordance with (31 CFR 1.6) subpart A of this part,
unless such fees are waived pursuant to that section by the system
manager or other appropriate official as indicated in the appropriate
appendix to these regulations; and
(iii) Comply with any other requirement set forth in the applicable
appendix to this subpart or the ``Notice of Records Systems'' applicable
to the system in question. Requesters are hereby advised that any
request for access which does not comply with the foregoing requirements
and those set forth elsewhere in this subpart C, will not be deemed
subject to the time constraints of this section, unless and until
amended so as to comply. However, components shall advise the requester
in what respect the request is deficient so that it may be processed.
This section applies only to records which are contained in a system of
records and which are in the possession or control of the component.
(See 5 U.S.C. 552a(d) and (f)).
(e) Requests for records not in control of component. (1) Treasury
employees shall make reasonable efforts to assist an oral requester to
ascertain to which office or officer a written request should be sent.
When the request is for a record which is not in the possession or
control of any component of the Department of the Treasury, the
requester shall be so advised.
(2) Where the record requested was created by a Department or agency
other than the Department of the Treasury or a component of the
Department and has been classified (e.g. National Defense or
Intelligence Information) or otherwise restrictively endorsed (e.g.
Office of Personnel Management records of FBI reports) by such other
Department or agency, and a copy is in the possession of a component of
the Department of the Treasury, that portion of the request shall be
referred to the originating agency for determination as to all issues in
accordance with the Privacy Act. In the case of a referral to another
agency under this paragraph, the requester shall be notified that such
portion of the request has been so referred and that the requester may
expect to hear from that agency.
(3) When information sought from a system manager or other appropriate
official in the Department of the Treasury includes information
furnished by other Federal agencies not classified or otherwise
restrictively endorsed, the system manager or other appropriate official
receiving the request shall consult with the appropriate agency prior to
making a decision to disclose or not to disclose the record. The
decision as to whether the record shall be disclosed shall be made, in
the first instance by the system manager or other appropriate official
maintaining the record. (See 5 U.S.C. 552a(d) and (f)).
(f) Date of receipt of request. A request for notification or access
to records shall be considered to have been received for purposes of
this subpart on the date on which the requirements of paragraph (d) of
this section have been satisfied. Requests for notification or access to
records and any separate agreement to pay shall be stamped or endorsed
with the date of receipt by the receiving office. The latest of such
stamped dates will be deemed to be the date of receipt of the request
for the purposes of this subpart. (See 5 U.S.C. 552a(d) and (f)).
(g) Notification of determination--(1) In general. Notification of
determinations as to notification of whether a record exists or as to
whether to grant access to records requested will be made by the
officers designated in the appendices to this subpart. The notification
of the determination shall be mailed within 30 days (excluding
Saturdays, Sundays and legal public holidays) after the date of receipt
of the request, as determined in accordance with paragraph (f) of this
section. If it is not possible to respond within 30 days, the designated
officer shall inform the requester, stating the reason for the delay
(e.g. volume of records requested, scattered location of the records,
need to consult other agencies, or the difficulty of the legal issues
involved) and when a response will be dispatched. (See 5 U.S.C. 552a(d)
and (f)).
(2) Granting of access. When it has been determined that the request
for access will be granted--(i) and a copy requested; such copy in a
form comprehensible to the requester shall be furnished promptly,
together with a statement of the applicable fees for duplication; and
(ii) and the right to inspect has been requested, the requester shall be
promptly notified in writing of the determination, and when and where
the requested records may be inspected. An individual seeking to inspect
such records may be accompanied by another person of such individual's
choosing. The individual seeking access shall be required to sign the
required form indicating that the Department of the Treasury is
authorized to discuss the contents of the subject record in the
accompanying person's presence. If, after making the inspection, the
individual making the request desires a copy of all or a portion of the
requested records, such copy in a form comprehensible to the individual
shall be furnished upon payment of the applicable fees for duplication.
Fees to be charged are as prescribed by 31 CFR part 1, subpart A,
Sec. 1.6 Fees shall not be charged where they would amount, in the
aggregate, to less than $3.00. (See 5 U.S.C. 552a(d) and (f)).
(3) Requirements for access to medical records. When access is
requested to medical records, including psychological records, the
responsible official may determine that such release could have an
adverse effect on the individual and that release will be made only to a
physician authorized in writing to have access to such records by the
individual making the request. Upon receipt of the authorization the
physician will be permitted to review the records or to receive copies
of the records by mail, upon proper verification of identity. (See 5
U.S.C. 552a(f) (3)).
(4) Denial of request. When it is determined that the request for
notification of whether a record exists or access to records will be
denied (whether in whole or part or subject to conditions or
exceptions), the person making the request shall be so notified by mail
in accordance with paragraph (g)(1) of this section. The letter of
notification shall specify the city or other location where the
requested records are situated (if known), contain a statement of the
reasons for not granting the request as made, set forth the name and
title or position of the responsible official and advise the individual
making the request of the right to file suit in accordance with 5 U.S.C.
552a(g)(1)(B).
(5) Prohibition against the use of 5 U.S.C. 552 (b) exemptions.
Exemptions from disclosure under 5 U.S.C. 552 (b) (31 CFR Part 1,
Subpart A, Sec. 1.2 (c)), may not be invoked for the purpose of
withholding from an individual any record which is otherwise accessible
to such individual under the Privacy Act, 5 U.S.C. 552a and this
subpart. (See 5 U.S.C. 552a(q)).
(6) Records exempt in whole or in part. (i) When an individual
requests notification as to whether a record exists or access to records
concerning the individual which have been exempted from individual
access pursuant to 5 U.S.C. 552a(j) or which have been compiled in
reasonable anticipation of a civil action or proceeding in either a
court or before an administrative tribunal and the assertion of the
exemption is deemed necessary, the Department of the Treasury will
neither confirm nor deny the existence of the record but shall advise
the individual only that no record available to the individual pursuant
to the Privacy Act of 1974 has been identified.
(ii) Requests from individuals for access to records which have been
exempted from access pursuant to 5 U.S.C. 552a(k) shall be processed as
follows:
(A) Requests for information classified pursuant to Executive Order
11652 require the responsible component of the Department to review the
information to determine whether it continues to warrant classification
under the criteria of sections 1 and 5 (B), (C), (D) and (E) of the
Executive Order. Information which no longer warrants classification
under these criteria shall be declassified and made available to the
individual. If the information continues to warrant classification, the
individual shall be advised that the information sought is classified,
that it has been reviewed and continues to warrant classification, and
that it has been exempted from access pursuant to 5 U.S.C. 552 (b)(1)
and 5 U.S.C. 552a (k)(1). Information which has been exempted pursuant
to 5 U.S.C. 552a (j) and which is also classified shall be reviewed as
required by this paragraph but the response to the individual shall be
in the form prescribed by paragraph (g)(6)(i) of this section.
(B) Requests for information which has been exempted from disclosure
pursuant to 5 U.S.C. 552a (k)(2) shall be responded to in the manner
provided in paragraph (g)(6)(i) of this section unless the requester
shows that the information has been used or is being used to deny the
individual any right, privilege or benefit for which he is eligible or
to which he would otherwise be entitled under federal law. In that
event, the individual shall be advised of the existence of the
information but such information as would identify a confidential source
shall be extracted or summarized in a manner which protects the source
to the maximum degree possible and the summary extract shall be provided
to the requesting individual.
(C) Information compiled as part of an employee background
investigation which has been exempted pursuant to 5 U.S.C. 552a (k)(5)
shall be made available to an individual upon request except to the
extent that it identifies the confidential source. Material identifying
the confidential sources shall be extracted or summarized in a manner
which protects the source to the maximum degree possible and the summary
or extract shall be provided to the requesting individual.
(D) Testing or examination material which has been exempted pursuant
to 5 U.S.C. 552a (k)(6) shall not be made available to an individual if
disclosure would compromise the objectivity or fairness of the testing
or examination process; but may be made available if no such compromise
possibility exists. (See 5 U.S.C. 552a (d)(5), (j) and (k)).
Sec. 1.27 Procedures for amendment of records pertaining to
individuals--format, agency review and appeal from initial adverse
agency determination.
(a) In general. Subject to the application of exemptions promulgated
by the head of each component, in accordance with Sec. 1.23(c), and
subject to Sec. 1.27(f), each component of the Department of the
Treasury, shall in conformance with 5 U.S.C. 552a(d)(2), permit an
individual to request amendment of a record pertaining to such
individual. Any request for amendment of records or any appeal that does
not fully comply with the requirements of this section and any
additional specific requirements imposed by the component in the
applicable appendix to this subpart will not be deemed subject to the
time constraints of paragraph (e) of this section, unless and until
amended so as to comply. However, components shall advise the requester
in what respect the request or appeal is deficient so that it may be
resubmitted or amended. (See 5 U.S.C. 552a (d) and (f)).
(b) Form of request to amend records. In order to be subject to the
provisions of this section, a request to amend records shall:
(1) Be made in writing and signed by the person making the request,
who must be the individual about whom the record is maintained, or the
duly authorized representative of such individual;
(2) State that it is made pursuant to the Privacy Act, 5 U.S.C. 552a
or these regulations, have marked ``Privacy Act Amendment Request'' on
the request and on the envelope;
(3) Be addressed to the office or officer of the component specified
for such purposes in ``Privacy Act Issuances'' published by the Office
of the Federal Register and referenced in the appendices to this subpart
for that purpose; and
(4) Reasonably describe the records which the individual desires to
have amended, including, to the best of the requester's knowledge, dates
of letters requesting access to such records previously and dates of
letters in which notification concerning access was made, if any, and
the individual's documentation justifying the correction. (See 5 U.S.C.
552a (d) and (f)).
(c) Date of receipt of request. A request for amendment of records
pertaining to an individual shall be deemed to have been received for
purposes of this subpart when the requirements of paragraph (b) of this
section have been satisfied. The receiving office or officer shall stamp
or otherwise endorse the date of receipt of the request. (See 5 U.S.C.
552a (d) and (f)).
(d) Review of requests to amend records. Officials responsible for
review of requests to amend records pertaining to an individual, as
specified in the appropriate appendix to this subpart, shall:
(1) Not later than 10 days (excluding Saturdays, Sundays, and legal
public holidays) after the date of receipt of such request, acknowledge
in writing such receipt; and
(2) Promptly, either--(i) Make any correction of any portion which the
individual believes and the official agrees is not accurate, relevant,
timely, or complete; or
(ii) Inform the individual of the refusal to amend the record in
accordance with the individual's request, the reason for the refusal,
and the name and business address of the officer designated in the
applicable appendix to this subpart, as the person who is to review such
refusal. (See 5 U.S.C. 552a (d) and (f)).
(e) Administrative appeal--(1) In general. Each component shall permit
individuals to request a review of initial decisions made under
paragraph (d) of this section, when an individual disagrees with a
refusal to amend this record. (See 5 U.S.C. 552a (d), (f), and (g)(1)).
(2) Form of request for administrative review of refusal to amend
record. At any time within 35 days after the date of the notification of
the initial decision described in paragraph (d)(2)(ii) of this section,
the requester may submit an administrative appeal from such refusal to
the official specified in the notification of the initial decision and
the appropriate appendix to this subpart. The appeal shall:
(i) Be made in writing stating any arguments in support thereof and be
signed by the person to whom the record pertains, or the duly authorized
representative of such official;
(ii) Be addressed to and mailed or hand delivered within 35 days of
the date of the initial decision, to the office or officer specified in
the appropriate appendix to this subpart and in the notification. (See
the appendices to this subpart for the address to which appeals made by
mail should be addressed);
(iii) Have clearly marked on the appeal and on the envelope, ``Privacy
Act Amendment Appeal'';
(iv) Reasonably describe the records requested to be amended; and
(v) Specify the date of the initial request, to amend records, and the
date of the letter giving notification that the request was denied. (See
5 U.S.C. 552a (d) and (f)).
(3) Date of receipt. Appeals shall be promptly stamped with the date
of their receipt by the office to which addressed and such stamped date
will be deemed to be the date of receipt for all purposes of this
subpart. The receipt of the appeal shall be acknowledged within 10 days
(excluding Saturdays, Sundays, and legal public holidays) from the date
of the receipt (unless the determination on appeal is dispatched in 10
days, in which case, no acknowledgement is required) by the responsible
official and the requester advised of the date of receipt established by
the foregoing and when a response is due in accordance with this
paragraph. (See 5 U.S.C. 552a (d) and (f)).
(4) Review of administrative appeals from denial of requests to amend
records. Officials responsible for deciding administrative appeals from
denials of requests to amend records pertaining to an individual, as
specified in the appendices to this subpart shall: Complete the review,
and notify the requester of the final agency decision within 30 days
(exclusive of Saturdays, Sundays and legal public holidays) after the
date of receipt of such appeal, unless the time is extended by the head
of the agency or the delegate of such official, for good cause shown. If
such final agency decision is to refuse to amend the record, in whole or
in part, the requester shall also be advised of the right--(i) to file a
concise ``Statement of Disagreement'' setting forth the reasons for his
disagreement with the decision which shall be filed within 35 days of
the date of the notification of the final agency decision and (ii) to
judicial review of the final agency decision under 5 U.S.C.
552a(g)(1)(A). (See 5 U.S.C. 552a (d), (f) and (g)(1)).
(5) Notation on record and distribution of statements of disagreement.
The system manager is responsible, in any disclosure containing
information about which an individual has filed a ``Statement of
Disagreement'', occurring after the filing of the statement under
paragraph (e)(4) of this section, for clearly noting any portion of the
record which is disputed and providing copies of the statement and, if
deemed appropriate, a concise statement of the component's reasons for
not making the amendments requested to persons or other agencies to whom
the disputed record has been disclosed. (See 5 U.S.C. 552a(d)(4)).
(f) Records not subject to correction under the Privacy Act. The
following records are not subject to correction or amendment by
individuals:
(1) Transcripts or written statements made under oath; and
(2) Transcripts of Grand Jury proceedings, judicial or quasi-judicial
proceedings which form the official record of those proceedings; and
(3) Pre-sentence reports comprising the property of the courts but
maintained in agency files; and
(4) Records pertaining to the determination, the collection and the
payment of the federal taxes; and
(5) Records duly exempted from correction by notice published in the
Federal Register; and
(6) Records compiled in reasonable anticipation of a civil action or
proceeding.
Sec. 1.28 Training, rules of conduct, penalties for non-compliance.
(a) Training. Subject to policy guidance and regulations issued by the
Deputy Secretary, who has Departmentwide responsibility therefor, each
component shall institute a training program to instruct employees and
employees of Government contractors covered by 5 U.S.C. 552a(m), who are
involved in the design, development, operation or maintenance of any
system of records, on a continuing basis with respect to the duties and
responsibilities imposed on them and the rights conferred on individuals
by the Privacy Act, the regulations in this subpart, including the
appendices thereto, and any other related regulations. Such training
shall provide suitable emphasis on the civil and criminal penalties
imposed on the Department and the individual employees by the Privacy
Act for non-compliance with specified requirements of the Act as
implemented by the regulations in this subpart. (See 5 U.S.C.
552a(e)(9))
(b) Rules of conduct. In addition, to the Standards of Conduct
published in part 0 of this chapter, particularly 31 CFR 0.735-44, the
following are applicable to employees of the Department of the Treasury
(including, to the extent required by the contract or 5 U.S.C. 552a(m),
Government contractors and employees of such contractors), who are
involved in the design, development, operation or maintenance of any
system of records, or in maintaining any records, for or on behalf of
the Department, including any component thereof.
(1) The head of each office of a component of the Department shall be
responsible for assuring that employees subject to such official's
supervision are advised of the provisions of the Privacy Act, including
the criminal penalties and civil liabilities provided therein, and the
regulations in this subpart, and that such employees are made aware of
their individual and collective responsibilities to protect the security
of personal information, to assure its accuracy, relevance, timeliness
and completeness, to avoid unauthorized disclosure either orally or in
writing, and to insure that no information system concerning
individuals, no matter how small or specialized is maintained without
public notice.
(2) Employees of the Department of the Treasury involved in the
design, development, operation, or maintenance of any system of records,
or in maintaining any record shall:
(i) Collect no information of a personal nature from individuals
unless authorized to collect it to achieve a function or carry out a
responsibility of the Department;
(ii) Collect from individuals only that information which is necessary
to Department functions or responsibilities, unless related to a system
exempted under 5 U.S.C. 552a (j) or (k):
(iii) Collect information, wherever possible, directly from the
individual to whom it relates, unless related to a system exempted under
5 U.S.C. 552a(j);
(iv) Inform individuals from whom information is collected about
themselves of the authority for collection, the purposes thereof, the
use that will be made of the information, and the effects, both legal
and practical, of not furnishing the information. (While this provision
does not explicitly require it, where feasible, third party sources
should be informed of the purposes for which information they are asked
to provide will be used.);
(v) Neither collect, maintain, use nor disseminate information
concerning an individual's religious or political beliefs or activities
or membership in associations or organizations, unless (A) the
individual has volunteered such information for the individual's own
benefits; (B) the information is expressly authorized by statute to be
collected, maintained, used or disseminated; or (C) the activities
involved are pertinent to and within the scope of an authorized
investigation, adjudication or correctional activity;
(vi) Advise their supervisors of the existence or contemplated
development of any record system which is capable of retrieving
information about individuals by individual identifier;
(vii) Disseminate no information concerning individuals outside the
Department except when authorized by 5 U.S.C. 552a or pursuant to a
routine use published in the Federal Register;
(viii) Assure that an accounting is kept in the prescribed form, of
all dissemination of personal information outside the Department,
whether made orally or in writing, unless disclosed under 5 U.S.C. 552
and subpart A of this part;
(ix) Maintain and process information concerning individuals with care
in order to insure that no inadvertent disclosure of the information is
made either within or without the Department; and
(x) Assure that the proper Department authorities are aware of any
information in a system maintained by the Department which is not
authorized to be maintained under the provisions of the Privacy Act of
1974, including information on First Amendment Activities, information
that is inaccurate, irrelevant or so incomplete as to risk unfairness to
the individual concerned.
(3) Heads of components within the Department or their delegates
shall, at least annually, review the record systems subject to their
supervision to insure compliance with the provisions of the Privacy Act
of 1974 and the regulations in this subpart. (See 5 U.S.C. 552a (e)(9),
(i) and (m)).
(c) Criminal penalties. (1) The Privacy Act imposes criminal penalties
on the conduct of Government officers or employees as follows: Any
officer or employee of an agency (which term includes the Department of
the Treasury):
(i) Who by virtue of the official's employment or official position,
has possession of, or access to, agency records which contain
individually identifiable information the disclosure of which is
prohibited by this section (5 U.S.C. 552a) or regulations established
thereunder, and who knowing that disclosure of the specific material is
so prohibited, willfully discloses the material in any manner to any
person or agency not entitled to receive it, or
(ii) Who willfully maintains a system of records without meeting the
notice requirements of paragraph (e)(4) of this section (5 U.S.C.
552a)--shall be guilty of a misdemeanor and fined not more than $5,000.
(2) The Act also imposes a collateral criminal penalty on the conduct
of any person as follows:
``Any person who knowingly and willfully requests or obtains any
record concerning an individual from an agency under false pretenses
shall be guilty of a misdemeanor and fined not more than $5,000.''
(3) For the purposes of 5 U.S.C. 552a (i), the provisions of paragraph
(c)(1) of this section are applicable to Government contractors and
employees of such contractors who by contract, operate by or on behalf
of the Department of the Treasury a system of records to accomplish a
Departmental function. Such contractor and employees are considered
employees of the Department of the Treasury for the purposes of 5 U.S.C.
552a(i). (See 5 U.S.C. 552a (i) and (m).)
Sec. 1.29 Records transferred to Federal Records Center or National
Archives of the United States.
(a) Records transferred to the Administrator of General Services for
storage in the Federal Records Center. Records pertaining to an
identifiable individual which are transferred to the Federal Records
Center in accordance with 44 U.S.C. 3103 shall, for the purposes of the
Privacy Act, 5 U.S.C. 552a, be considered to be maintained by the
component which deposited the record and shall be subject to the
provisions of the Privacy Act and this subpart. The Administrator of
General Services shall not disclose such records except to the
Department of the Treasury or to others under rules consistent with the
Privacy Act which may be established by the Department of the Treasury
or a component. If such records are retrieved for the purpose of making
a determination about an individual, they must be reviewed for accuracy,
relevance, timeliness, and completeness.
(b) Records transferred to the National Archives of the United States.
(1) Records transferred to National Archives prior to September 27,
1975. Records pertaining to an identifiable individual transferred to
the National Archives prior to September 27, 1975, as a record which has
sufficient historical or other value to warrant its continued
preservation by the United States Government shall be considered to be
maintained by the National Archives, and
(i) Shall not be subject to 5 U.S.C. 552a,
(ii) Except, that a statement describing such records (modeled after 5
U.S.C. 552a (e)(4) (A) through (G)) shall be published in the Federal
Register.
(2) Records transferred to National Archives on or after September 27,
1975. Records pertaining to an identifiable individual transferred to
the National Archives as a record which has sufficient historical or
other value to warrant its continued preservation by the United States
Government, on or after September 27, 1975, shall be considered to be
maintained by the National Archives, and
(i) Shall not be subject to 5 U.S.C. 552a,
(ii) Except, that a statement describing such records in accordance
with 5 U.S.C. 552a (e)(4) (A) through (G) shall be published in the
Federal Register and rules of conduct and training in accordance with 5
U.S.C. 552 (e) (9) are to be established by the National Archives. (See
5 U.S.C. 552a (e)).
Sec. 1.30 Application to system of records maintained by Government
contractors.
When a component contracts for the operation of a system of records,
to accomplish a Departmental function, the provisions of the Privacy
Act, 5 U.S.C. 552a, and this subpart shall be applicable to such system.
The component shall have responsibility for insuring that the contractor
complies with the contract requirements relating to privacy.
Sec. 1.31 Sale or rental of mailing list.
(a) In general. An individual's name and address shall not be sold or
rented by a component unless such action is specifically authorized by
law.
(b) Withholding of names and addresses. This section shall not be
construed to require the withholding of names and addresses otherwise
permitted to be made public. (See 5 U.S.C. 552a (n)).
Sec. 1.32 Use and disclosure of social security numbers.
(a) In general. An individual shall not be denied any right, benefit,
or privilege provided by law by a component because of such individual's
refusal to disclose his social security number.
(b) Exceptions. The provisions of paragraph (a) of this section shall
not apply with respect to:
(1) Any disclosure which is required by Federal statute, or
(2) The disclosure of a social security number to any Federal, State,
or local agency maintaining a system of records in existence and
operating before January 1, 1975, if such disclosure was required under
statute or regulation adopted prior to such date to verify the identity
of an individual.
(c) Requests for disclosure of social security number. Any component
which requests an individual to disclose his or her social security
account number shall inform that individual whether:
(1) Disclosure is mandatory or voluntary.
(2) By what statutory or other authority such number is solicited, and
(3) What uses will be made of it. (See section 7 of the Privacy Act of
1974 set forth at 5 U.S.C. 552a, note.)
Sec. 1.34 Guardianship.
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 represented, establish parentage or guardianship
by furnishing a copy of a birth certificate showing parentage or a court
order establishing the guardianship and may thereafter, act on behalf of
such individual. (See 5 U.S.C. 552a (h)).
Sec. 1.35 Information forms.
(a) Review of forms. Except for forms developed and used by
constituent units, the Deputy Assistant Secretary for Administration
shall be responsible for reviewing all forms developed and used by the
Department of the Treasury to collect information from and about
individuals. The heads of components shall each be responsible for the
review of forms used by such component to collect information from and
about individuals.
(b) Scope of review. The responsible officers shall review each form
for the purpose of eliminating any requirement for information that is
not relevant and necessary to carry out an agency function and to
accomplish the following objectives;
(1) To insure that no information concerning religion, political
beliefs or activities, association memberships (other than those
required for a professional license), or the exercise of First Amendment
rights is required to be disclosed unless such requirement of disclosure
is expressly authorized by statute or is pertinent to, and within the
scope of, any authorized law enforcement activity;
(2) To insure that the form or a separate form that can be retained by
the individual makes clear to the individual which information he is
required by law to disclose and the authority for that requirement and
which information is voluntary;
(3) To insure that the form or a separate form that can be retained by
the individual states clearly the principal purpose or purposes for
which the information is being collected, and summarizes concisely the
routine uses that will be made of the information;
(4) To insure that the form or a separate form that can be retained by
the individual clearly indicates to the individual the effect in terms
of rights, benefits or privileges of not providing all or part of the
requested information; and
(5) To insure that any form requesting disclosure of a Social Security
Number, or a separate form that can be retained by the individual,
clearly advises the individual of the statute or regulation requiring
disclosure of the number or clearly advises the individual that
disclosure is voluntary and that no consequence will follow from the
refusal to disclose it, and the uses that will be made of the number
whether disclosed mandatorily and voluntarily.
(c) Revision of Forms. Any form which does not meet the objectives
specified in the Privacy Act and in this section, shall be revised to
conform thereto. A separate statement may be used in instances when a
form does not conform. This statement will accompany a form and shall
include all the information necessary to accomplish the objectives
specified in the Privacy Act and this section.
Sec. 1.36 Systems exempt in whole or in part from provisions of 5
U.S.C. 552a and this part.
In accordance with 5 U.S.C. 552a (j) and (k) and Sec. 1.23(c),
constituent units of the Department of the Treasury exempt the following
systems of records from certain provisions of the Privacy Act for the
reasons indicated:
Office of the Secretary
Office of the General Counsel
Notice Exempting a System of Records from Requirements of the Privacy
Act.
(a)In general.The General Counsel of the Treasury exempts athe system
of rcords entitled ``Treasury Interagency Automated Litigation System
(TRIALS)'' from the provisions of subsection (c)(3), (d), (e)(1),
(e)(4)(G), (H) and (I), and (f) of 5 U.S.C. 552a. The manual part of
this system of records contains information or documents relating to
litigation or administrative proceedings involving or concerning the
Department or its officials, and includes pending, active and closed
files. The manual records consist of copies of pleadings, investigative
reports, information compiled in reasonable anticipation of a civil
action or proceeding, legal memoranda, and related correspondence.
Pleadings which have been filed with a court or administrative tribunal
are matters of public record and no exemption is claimed as to them. The
computerized part of the system contains summary data on Treasury
Department non-tax litigation and administrative proceeding, e.g.,
plaintiff, defendant, attorney, witness, judge and/or hearing officer
names, type of case, relief sought, date, docket number, pertinent
dates, and issues. The purpose of the exemptions is to maintain the
confidentiality of investigatory materials compiled for law enforcement
purposes; information compiled in reasonable anticiption of a civil
action proceeding is exempt from access under section (d)(5) until the
file is closed; thereafter section (k)(2) may apply in part to the
information. Legal memorandum and related correspondence contain no
personal information and are not subject to disclosure under section
552a. Determinations concerning whether particular information contained
in this section is exempt from disclosure will be made at the time a
request is received from an individual to gain accss to information
pertaining to him.
(b)Authority.These rules are promulgated pursuant to the authority
vested in the Secretary of the Treasury by 5 U.S.C. 552a(k), and
pursuant to the authority vested in the General Counsel by 31 CFR
1.23(c).
(c)Name of System.Treasury Interagency Automated Litigation System
(TRIALS).
(d) Provisions from which exempted. This system contains records
described in 5 U.S.C. 552a(k), the Privacy Act of 1974. Exemption will
be claimed for such records only where appropriate from the following
provisions, subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I),
and (f) of 5 U.S.C. 552a.
(e) Reasons for claimed exemptions. Those sections would otherwise
require the Department to notify an individual of investigatory
materials maintained in a record pertaining to him, permit access to
such record, permit requests for its correction (section 552a(d),
(e)(4)(G), (H), and (f)); make available to him any required accounting
of disclosures made of the record (section 552a(c)(3)), publish the
sources of records in the system (section 552a(e)(4)(I)); and screen
records to insure that there is maintained only such information about
an individual as is relevant to accomplish a required purpose of the
Department (section 552a(e)(1)). The records compiled for the
prosecution or defense of civil litigation on behalf of the Department
or its officials contain investigatory materials compiled for litigation
purposes, together with memoranda concerning the applicable law, and
related correspondence. The use of investigatory material in court
proceedings is governed by due process and statutory procedural
requirements. Informing individuals that they are on record in a
particular system enables such individuals to learn the nature of the
investigatory material and the evidentiary basis for prosecuting or
defending legal proceedings to which they are a party; furthermore, the
disclosure of certain investigatory material compiled for law
enforcement purposes may disclose investigative techniques and
procedures so that future law enforcement efforts would be hindered.
Access to an accounting of disclosures of such records would have a
similar detrimental effort upon the successful prosecution of legal
claims. In addition, screening for relevancy to Department purposes, and
correction or attempted correction of such materials could require
excessive amounts of time and effort on the part of all concerned.
Accordingly, the General Counsel finds that the public interest and
public policy in maintaining an effective legal services program
requires exemption from the stated sections of the Act to the extent
that they are applicable to appropriate materials in this system.
Office of the Inspector General
Notice exempting a system of records from the disclosure requirements of
the Privacy Act of 1974
(a) In general. The Office of the Inspector General, Department of the
Treasury exempts the system of records entitled, ``General Allegations
and Investigative Records'' from certain provisions of the Privacy Act
of 1974. The purpose of the exemption is to maintain confidentiality of
data obtained from various sources that may ultimately accomplish a
statutory or executively ordered purpose.
(b) Authority. The authority to issue exemptions is vested in the
Office of the Inspector General, as a constituent unit of the Treasury
Department by 31 CFR 1.20.
(c) Exemptions under 5 U.S.C. 552a(j)(2): (1) Under 5 U.S.C.
552a(j)(2), the head of any agency may exempt any system of records
within the agency from certain provisions of the Privacy Act of 1974, if
the agency or component that maintains the system performs as its
principal function any activities pertaining to the enforcement of
criminal laws. The Office of the Inspector General is authorized under
Treasury Department Order No. 256 to initiate, organize, direct, and
control investigations of any allegations of illegal acts, violations,
and any other misconduct, concerning any official or employee of any
Treasury Office or Bureau.
(2) To the extent that the exemption under 5 U.S.C. 552a(j)(2) does
not apply to the above named system of records, then the exemption under
5 U.S.C. 552a(k)(2) relating to investigatory material compiled for law
enforcement purposes is claimed for this system.
(3) The provisions of the Privacy Act of 1974 from which exemptions
are claimed under 5 U.S.C. 552a(j)(2) are as follows:
5 U.S.C. 552a(c)(3) and (4)
5 U.S.C. 552a(d)(1), (2), (3), (4)
5 U.S.C. 552a(e)(1)(2) and (3)
5 U.S.C. 552a(e)(4)(G), (H), and (I)
5 U.S.C. 552a(e)(5) and (8)
5 U.S.C. 552a(f)
5 U.S.C. 552a(g)
(d) Exemptions under 5 U.S.C. 552a(k)(2). (1) Under 5 U.S.C.
552a(k)(2), the head of any agency may exempt any system of records
within the agency from certain provisions of the Privacy Act of 1974 if
the system is investigatory material compiled for law enforcement
purposes.
(2) To the extent that information contained in the above named system
has as its principal purpose the enforcement of criminal laws, the
exemption for such information under 5 U.S.C. 552a(j)(2) is claimed.
(3) Provisions of the Privacy Act of 1974 from which exemptions are
claimed under 5 U.S.C. 552a(k)(2) are as follows:
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a(d)(1), (2), (3), and (4)
5 U.S.C. 552a(e)(1)
5 U.S.C. 552a(e)(4)(G), (H), and (I)
5 U.S.C. 552a(f)
(e) Reasons for exemptions under 5 U.S.C. 552a(j)(2) and (k)(2). (1) 5
U.S.C. 552a(c)(3) requires that an agency make accountings of
disclosures of records available to individuals named in the records at
their request. These accountings must state the date, nature and purpose
of each disclosure of the record and the name and address of the
recipient. The application of this provision would alert subjects of an
investigation to the existence of the investigation and that such
persons are subjects of that investigation. Since release of such
information to subjects of an investigation would provide the subjects
with significant information concerning the nature of the investigation,
it could result in the altering or destruction of documentary evidence,
improper influencing of witnesses, and other activities that could
impede or compromise the investigation.
(2) 5 U.S.C. 552a(c)(4), (d)(1), (2), (3), and (4), (e)(4)(G) and (H),
(f) and (g) relate to an individual's right to be notified of the
existence of records pertaining to such individual; requirements for
identifying an individual who requests access to records; the agency
procedures relating to access to records and the contest of information
contained in such records; and the civil remedies available to the
individual in the event of adverse determinations by an agency
concerning access to or amendment of information contained in record
systems. This system is exempt from the foregoing provisions for the
following reasons: To notify an individual at the individual's request
of the existence of records in an investigative file pertaining to such
individual or to grant access to an investigative file could interfere
with investigative and enforcement proceedings; co-defendants of a right
to a fair trial; constitute an unwarranted invasion of the personal
privacy of others, disclose the identity of confidential sources and
reveal confidential information supplied by these sources; and disclose
investigative techniques and procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the categories
of sources of records in each system of records. The application of this
provision could disclose investigative techniques and procedures and
cause sources to refrain from giving such information because of fear of
reprisal, or fear of breach of promises of anonymity and
confidentiality. This would compromise the ability to conduct
investigations, and to identify, detect, and apprehend violators.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
(A) Because it is not possible to detect relevance or necessity of
specific information in the early stages of a criminal or other
investigation.
(B) Relevance and necessity are questions of judgment and timing. What
appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance and necessity of such information can be
established.
(C) In any investigation the Inspector General may obtain information
concerning the violations of laws other than those within the scope of
his jurisdiction. In the interest of effective law enforcement, the
Inspector General should retain this information as it may aid in
establishing patterns of criminal activity, and provide leads for those
law enforcement agencies charged with enforcing other segments of
criminal or civil law.
(D) In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the investigator
which relate to matters incidental to the main purpose of the
investigation but which may relate to matters under the investigative
jurisdiction of another agency. Such information cannot readily be
segregated.
(5) 5 U.S.C. 552a(e)(2) requires an agency to collect information to
the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privilege under Federal programs. The
application of the provision would impair investigations of illegal
acts, violations of the rules of conduct, merit system and any other
misconduct for the following reasons:
(A) In certain instances the subject of an investigation cannot be
required to supply information to investigators. In those instances,
information relating to a subject's illegal acts, violations of rules of
conduct, or any other misconduct, etc., must be obtained from other
sources.
(B) Most information collected about an individual under investigation
is obtained from third parties such as witnesses and informers. It is
not feasible to rely upon the subject of the investigation as a source
for information regarding his activities.
(C) The subject of an investigation will be alerted to the existence
of an investigation if an attempt is made to obtain information from the
subject. This would afford the individual the opportunity to conceal any
criminal activities to avoid apprehension.
(D) In any investigation it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation in order
to verify the evidence necessary for successful litigation.
(6) 5 U.S.C. 552a(e)(3) requires that an agency must inform the
subject of an investigation who is asked to supply information of:
(A) The authority under which the information is sought and whether
disclosure of the information is mandatory or voluntary.
(B) The purposes for which the information is intended to be used,
(C) The routine uses which may be made of the information, and
(D) The effects on the subject, if any of not providing the requested
information. The reasons for exempting this system of records from the
foregoing provision are as follows:
(i) The disclosure to the subject of the investigation as stated in
(B) above would provide the subject with substantial information
relating to the nature of the investigation and could impede or
compromise the investigation.
(ii) If the subject were informed of the information required by this
provision, it could seriously interfere with undercover activities by
requiring disclosure of undercover agents identity and impairing their
safety, as well as impairing the successful conclusion of the
investigation.
(iii) Individuals may be contacted during preliminary information
gathering in investigations authorized by Treasury Department Order No.
256 before any individual is identified as the subject of an
investigation. Informing the individual of the matters required by this
provision would hinder or adversely affect any present or subsequent
investigations.
(7) 5 U.S.C. 552a(e)(5) requires that records be maintained with such
accuracy, relevance, timeliness, and completeness as is reasonably
necessary to assure fairness to the individual in making any
determination about an individual. Since the law defines ``maintain'' to
include the collection of information, complying with this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment of its collection. In
gathering information during the course of an investigation it is not
possible to determine this prior to collection of the information. Facts
are first gathered and then placed into a logical order which
objectively proves or disproves criminal behavior on the part of the
suspect. Material which may seem unrelated, irrelevant, incomplete,
untimely, etc., may take on added meaning as an investigation
progresses. The restrictions in this provision could interfere with the
preparation of a complete investigative report.
(8) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable efforts
to serve notice on an individual when any record on such individual is
made available to any person under compulsory legal process when such
process becomes a matter of public record. The notice requirement of
this provision could prematurely reveal an ongoing criminal
investigation to the subject of the investigation.
(f) Exempt information included in another system. Any information
from a system of records for which an exemption is claimed under 5
U.S.C. 552a(j) or (k) which also is included in another system of
records retains the same exempt status as in the system for which an
exemption is claimed.
Assistant Secretary for Administration
The Assistant Secretary for Administration exempts under section (k)
of the Privacy Act of 1974, 5 U.S.C. 552a, the Department`s Personnel
Security Files and Personnel Security Files and Indices from sections
(c)(3), (d), (e)(1), (e)(4)(G) through (e)(4)(I), and (f) of the Act.
The records maintained in the exempt systems of appropriate materials in
this system.
Exemption of Foreign Assets Control Enforcement Records from certain
provisions of the Privacy Act of 1974 (Pub. L.93-579, 5 U.S.C. 552a)
The new regulations promulgated by the Office of Foreign Assets
Control (as amendments to the Foreign Assets Control Regulations;
Transaction Control Regulations; Cuban Assets Control Regulations; and
Rhodesian Sanction Regulations) read as follows:
Pursuant to subsection (k)(2) of 5 U.S.C. 552a, the Privacy Act of
1974, the Enforcement Records of the Office of Foreign Assets Control
are hereby exempted from the requirements of subsections (c)(3), (d),
(e)(1), (e)(4)(G-1), and (f) of 5 U.S.C. 552a, as materials which are
compiled and maintained for the purpose of conducting and recording
investigations of criminal violations of relevant statutes and
regulations administered by the Office of Foreign Assets Control. These
records contain, among other things, information and evidence which
furnished in confidence by individuals, corporations, partnerships and
other entities, and foreign government sources. If it should appear that
the individual concerning whom a record is maintained has been or will
be denied any right, privilege, or benefit to which he would otherwise
be entitled by Federal law, or for which he would otherwise be eligible,
except for the maintenance of such material, such material shall be
disclosed to such individual, except: (1) To the extent that disclosure
would reveal the identity of a source who furnished information to the
government under an express promise that the identity of the source
would be held in confidence; or (2) to the extent that disclosure would
reveal the identity of a source who furnished information prior to the
effective date of the Privacy Act (September 27, 1975) under an implied
promise that the identity of the source would be held in confidence.
Office of the Assistant Secretary for Enforcement
Financial Crimes Enforcement Network
Notice of Exempt System
(a) In general. The Assistant Secretary of the Treasury for
Enforcement exempts the system of records entitled ``FinCEN Data Base''
(Treasury/DO .200) from certain provisions of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a.
(b) Authority: 5 U.S.C. 552a(j) and (k); 31 CFR 1.23(c).
(c) General exemptions under 5 U.S.C. 552a(j)(2). Pursuant to 5 U.S.C.
552a(j)(2), the Assistant Secretary for Enforcement hereby exempts the
FinCEN Data Base system of records, maintained by the Financial Crimes
Enforcement Network (``FinCEN''), an office reporting to the Assistant
Secretary for Enforcement, from the following provisions of the Privacy
Act of 1974:
5 U.S.C. 552a(c) (3) and (4);
5 U.S.C. 552a(d) (1), (2), (3) and (4);
5 U.S.C. 552a (e) (1), (2) and (3);
5 U.S.C. 552a(e)(4) (G), (H) and (I);
5 U.S.C. 552a(e) (5) and (8);
5 U.S.C. 552a(f); and
5 U.S.C. 552a(g).
(d) Specific exemptions under 5 U.S.C. 552a(k)(1). To the extent that
the system of records may contain information subject to the provisions
of 5 U.S.C. 552(b)(1), regarding national defense and foreign policy
information classified pursuant to Executive order, the Assistant
Secretary for Enforcement hereby exempts the FinCEN Data Base system of
records from the following provisions of 5 U.S.C. 552a, pursuant to 5
U.S.C. 552a(k)(1):
5 U.S.C. 552a(c)(3);
5 U.S.C. 552a(d) (1), (2), (3), and (4);
5 U.S.C. 552a(e)(1);
5 U.S.C. 552a(e)(4) (G), (H), and (I); and
5 U.S.C. 552a(f).
(e) Specific exemptions under 5 U.S.C. 552a(k)(2). To the extent that
the exemption under 5 U.S.C. 552a(j)(2) does not apply to the FinCEN
Data Base, the Assistant Secretary for Enforcement hereby exempts the
FinCEN Data Base system of records from the following provisions of 5
U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(2):
5 U.S.C. 552a(c)(3);
5 U.S.C. 552a(d) (1), (2), (3), and (4);
5 U.S.C. 552a(e)(1);
5 U.S.C. 552a(e)(4) (G), (H), and (I); and
5 U.S.C. 552a(f).
(f) Reasons for exemptions under 5 U.S.C. 552a(j)(2) and (k)(2). (1) 5
U.S.C. 552a(e)(4)(G) and (f)(1) enable individuals to inquire whether a
system of records contains records pertaining to them. Application of
these provisions to the FinCEN Data Base would allow individuals to
learn whether they have been identified as suspects or subjects of
investigation. As further described in the following paragraph, access
to such knowledge would impair FinCEN's ability to carry out its
mission, since individuals could (i) take steps to avoid detection, (ii)
inform associates that an investigation is in progress, (iii) learn the
nature of the investigation, (iv) learn whether they are only suspects
or identified as law violators, (v) begin, continue, or resume illegal
conduct upon learning that they are not identified in the system of
records, or (vi) destroy evidence needed to prove the violation.
(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f)(2), (3) and (5) grant
individuals access to records pertaining to them. The application of
these provisions to the FinCEN Data Base would compromise FinCEN's
ability to provide useful tactical and strategic information to law
enforcement agencies.
(i) Permitting access to records contained in the FinCEN Data Base
would provide individuals with information concerning the nature of any
current investigations and would enable them to avoid detection or
apprehension by (A) discovering the facts that would form the basis for
their arrest, (B) enabling them to destroy or alter evidence of criminal
conduct that would form the basis for their arrest, and (C) using
knowledge that criminal investigators had reason to believe that a crime
was about to be committed, to delay the commission of the crime or
commit it at a location that might not be under surveillance.
(ii) Permitting access to either on-going or closed investigative
files would also reveal investigative techniques and procedures, the
knowledge of which could enable individuals planning crimes to structure
their operations so as to avoid detection or apprehension.
(iii) Permitting access to investigative files and records could,
moreover, disclose the identity of confidential sources and informers
and the nature of the information supplied and thereby endanger the
physical safety of those sources by exposing them to possible reprisals
for having provided the information. Confidential sources and informers
might refuse to provide criminal investigators with valuable information
unless they believed that their identities would not be revealed through
disclosure of their names or the nature of the information they
supplied. Loss of access to such sources would seriously impair FinCEN's
ability to carry out its mandate.
(iv) Furthermore, providing access to records contained in the FinCEN
Data Base could reveal the identities of undercover law enforcement
officers who compiled information regarding the individual's criminal
activities and thereby endanger the physical safety of those undercover
officers or their families by exposing them to possible reprisals.
(v) By compromising the law enforcement value of the FinCEN Data Base
for the reasons outlined in paragraphs (f)(2)(i) through (iv) of this
section, permitting access in keeping with these provisions would
discourage other law enforcement and regulatory agencies, foreign and
domestic, from freely sharing information with FinCEN and thus would
restrict FinCEN's access to information necessary to accomplish its
mission most effectively.
(vi) Finally, the dissemination of certain information that FinCEN may
maintain in the FinCEN Data Base is restricted by law.
(3) 5 U.S.C. 552a(d) (2), (3) and (4), (e)(4)(H), and (f)(4) permit an
individual to request amendment of a record pertaining to him or her and
require the agency either to amend the record, or to note the disputed
portion of the record and to provide a copy of the individual's
statement of disagreement with the agency's refusal to amend a record to
persons or other agencies to whom the record is thereafter disclosed.
Since these provisions depend on the individual's having access to his
or her records, and since these rules propose to exempt the FinCEN Data
Base from the provisions of 5 U.S.C. 552a relating to access to records,
for the reasons set out in paragraph (f)(2) of this section, these
provisions should not apply to the FinCEN Data Base.
(4) 5 U.S.C. 552(c)(4) requires an agency to inform any person or
other agency about any correction or notation of dispute that the agency
made in accordance with 5 U.S.C. 552a(d) to any record that the agency
disclosed to the person or agency if an accounting of the disclosure was
made. Since this provision depends on an individual's having access to
and an opportunity to request amendment of records pertaining to him or
her, and since these rules proposed to exempt the FinCEN Data Base from
the provisions of 5 U.S.C. 552a relating to access to and amendment of
records, for the reeasons set out in paragraph (f)(3) of this section,
this provision ought not apply to the FinCEN Data Base.
(5) 5 U.S.C. 552a(3) requires an agency to make accountings of
disclosures of a record available to the individual named in the record
upon his or her request. The accountings must state the date, nature,
and purpose of each disclosure of the record and the name and address of
the recipient.
(i) The application of this provision would impair the ability of law
enforcement agencies outside the Department of the Treasury to make
effective use of information provided by FinCEN. Making accountings of
disclosures available to the subjects of an investigation would alter
them to the fact that another agency is conducting an investigation into
their criminal activities and could reveal the geographic location of
the other agency's investigation, the nature and purpose of that
investigation, and the dates on which that investigation was active.
Violators possessing such knowledge would be able to take measures to
avoid detection or apprehension by altering their operations, by
transferring their criminal activities to other geographical areas, or
by destroying or concealing evidence that would form the basis for
arrest.
(ii) Moreover, providing accountings to the subjects of investigations
would alert them to the fact that FinCEN has information regarding their
criminal activities and could inform them of the general nature of that
information. Access to such information could reveal the operation of
FinCEN's information-gathering and analysis systems and permit violators
to take steps to avoid detection or apprehension.
(6) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a general
notice listing the categories of sources for information contained in a
system of records. The application of this provision to the FinCEN Data
Base could compromise FinCEN's ability to provide useful information to
law enforcement agencies, since revealing sources for the information
could (i) disclose investigative techniques and procedures, (ii) result
in threats or reprisals against informers by the subjects of
investigations, and (iii) cause informers to refuse to give full
information to criminal investigators for fear of having their
identities as sources disclosed.
(7) 5 U.S.C. 552a(e)(1) requires an agency to maintain in its records
only such information about an individual as is relevant and necessary
to accomplish a purpose of the agency required to be accomplished by
statute or executive order. The term ``maintain,'' as defined in 5
U.S.C. 552a(a)(3), includes ``collect'' and ``disseminate.'' The
application of this provision to the FinCEN Data Base could impair
FinCEN's ability to collect and disseminate valuable law enforcement
information.
(i) At the time that FinCEN collects information, it often lacks
sufficient time to determine whether the information is relevant and
necessary to accomplish a FinCEN purpose.
(ii) In many cases, especially in the early stages of investigation,
it may be impossible immediately to determine whether information
collected is relevant and necessary, and information that initially
appears irrelevent and unnecessary often may, upon further evaluation or
upon collation with information developed subsequently, prove
particularly relevant to a law enforcement program.
(iii) Not all violations of law discovered by FinCEN analysts fall
within the investigative jurisdiction of the Department of the Treasury.
To promote effective law enforcement, FinCEN will have to disclose such
violations to other law enforcement agencies, including State, local and
foreign agencies, that have jurisdiction over the offenses to which the
information relates. Otherwise, FinCEN might be placed in the position
of having to ignore information relating to violations of law not within
the jurisdiction of the Department of the Treasury when that information
comes to FinCEN's attention during the collation and analysis of
information in its records.
(8) 5 U.S.C. 552a(e)(2) requires an agency to collect information to
the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs.
The application of this provision to the FinCEN Data Base would impair
FinCEN's ability to collate, analyze, and disseminate investigative,
intelligence, and enforcement information.
(i) Most information collected about an individual under criminal
investigation is obtained from third parties, such as witnesses and
informants. It is usually not feasible to rely upon the subject of the
investigation as a source for information regarding his criminal
activities.
(ii) An attempt to obtain information from the subject of a criminal
investigation will often alert that individual to the existence of an
investigation, thereby affording the individual an opportunity to
attempt to conceal his criminal activities so as to avoid apprehension.
(iii) In certain instances, the subject of a criminal investigation is
not required to supply information to criminal investigators as a matter
of legal duty.
(iv) During criminal investigations it is often a matter of sound
investigative procedure to obtain information from a variety of sources
to verify information already obtained.
(9) 5 U.S.C. 552a(e)(3) requires an agency to inform each individual
whom it asks to supply information, on the form that it uses to collect
the information or on a separate form that the individual can retain, of
the agency's authority for soliciting the information; whether
disclosure of information is voluntary or mandatory; the principal
purposes for which the agency will use the information; the routine uses
that may be made of the information; and the effects on the individual
of not providing all or part of the information. The FinCEN Data Base
should be exempted from this provision to avoid impairing FinCEN's
ability to collect and collate investigative, intelligence, and
enforcement data.
(i) Confidential sources or undercover law enforcement officers often
obtain information under circumstances in which it is necessary to keep
the true purpose of their actions secret so as not to let the subject of
the investigation or his or her associates know that a criminal
investigation is in progress.
(ii) If it became known that the undercover officer was assisting in a
criminal investigation, that officer's physical safety could be
endangered through reprisal, and that officer may not be able to
continue working on the investigation.
(iii) Individuals often feel inhibited in talking to a person
representing a criminal law enforcement agency but are willing to talk
to a confidential source or undercover officer whom they believe not to
be involved in law enforcement activities.
(iv) Providing a confidential source of information with written
evidence that he or she was a source, as required by this provision,
could increase the likelihood that the source of information would be
subject to retaliation by the subject of the investigation.
(v) Finally, application of this provision could result in an
unwarranted invasion of the personal privacy of the subject of the
criminal investigation, particularly where further investigation reveals
that the subject was not involved in any criminal activity.
(10) 5 U.S.C. 552a(e)(5) requires an agency to maintain all records it
uses in making any determination about any individual with such
accuracy, relevance, timeliness, and completeness as is reasonably
necessary to assure fairness to the individual in the determination.
(i) Since 5 U.S.C. 552a(a)(3) defines ``maintain'' to include
``collect'' and ``disseminate,'' application of this provision to the
FinCEN Data Base would hinder the initial collection of any information
that could not, at the moment of collection, be determined to be
accurate, relevant, timely, and complete. Similarly, application of this
provision would seriously restrict FinCEN's ability to disseminate
information pertaining to a possible violation of law to law enforcement
and regulatory agencies. In collecting information during a criminal
investigation, it is often impossible or unfeasible to determine
accuracy, relevance, timeliness, or completeness prior to collection of
the information. In disseminating information to law enforcement and
regulatory agencies, it is often impossible to determine accuracy,
relevance, timeliness, or completeness prior to dissemination, because
FinCEN may not have the expertise with which to make such
determinations.
(ii) Information that may initially appear inaccurate, irrelevant,
untimely, or incomplete may, when collated and analyzed with other
available information, become more pertinent as an investigation
progresses. In addition, application of this provision could seriously
impede criminal investigators and intelligence analysts in the exercise
of their judgment in reporting results obtained during criminal
investigations.
(11) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable efforts
to serve notice on an individual when the agency makes any record on the
individual available to any person under compulsory legal process, when
such process becomes a matter of public record. The FinCEN Data Base
should be exempted from this provision to avoid revealing investigative
techniques and procedures outlined in those records and to prevent
revelation of the existence of an ongoing investigation where there is
need to keep the existence of the investigation secret.
(12) 5 U.S.C. 552a(g) provides for civil remedies to an individual
when an agency wrongfully refuses to amend a record or to review a
request for amendment, when an agency wrongfully refuses to grant access
to a record, when an agency fails to maintain accurate, relevant,
timely, and complete records which are used to make a determination
adverse to the individual, and when an agency fails to comply with any
other provision of 5 U.S.C. 552a so as to adversely affect the
individual. The FinCEN Data Base should be exempted from this provision
to the extent that the civil remedies may relate to provisions of 5
U.S.C. 552a from which these rules propose to exempt the FinCEN Data
Base, since there should be no civil remedies for failure to comply with
provisions from which FinCEN is exempted. Exemption from this provision
will also protect FinCEN from baseless civil court actions that might
hamper its ability to collate, analyze, and disseminate investigative,
intelligence, and law enforcement data.
(g) Exempt information included in another system. Any information
from a system of records for which an exemption is claimed under 5
U.S.C. 552a (j) or (k) which is also included in another system of
records retains the same exempt status such information has in the
system for which such exemption is claimed.
The Internal Revenue Service
Notice of Exempt Systems
The Commissioner of Internal Revenue finds that the orderly and
efficient administration of the internal revenue laws necessitates that
certain systems of records maintained by the Internal Revenue Service be
exempted from certain sections of the Privacy Act of 1974 (88 Stat.
1986).
(a) Exemptions under 5 U.S.C. 552a (j) (2). (1) This paragraph applies
to the following systems of records maintained by the Internal Revenue
Service, for which exemptions are claimed under 5 U.S.C. 552a(j) (2).
------------------------------------------------------------------------
Name of system No.
------------------------------------------------------------------------
Case Management and Time Reporting System, Criminal
Investigation Division........................................ 46.002
Confidential Informants, Criminal Investigation Division....... 46.003
Electronic Surveillance Files, Criminal Investigation Division. 46.005
Centralized Evaluation and Processing of Information Items
(CEPIIs), Criminal Investigation Division..................... 46.009
Internal Security Management Information System (SMIS)......... 60.011
Relocated Witnesses, Criminal Investigation Division........... 46.015
Secret Service Details, Criminal Investigation Division........ 46.016
Treasury Enforcement Communications System (TECS).............. 46.022
Assault and Threat Investigation Files......................... 60.001
Bribery Investigation Files.................................... 60.002
Disclosure Investigation Files................................. 60.004
Chief Counsel Criminal Tax Case Files.......................... 90.001
------------------------------------------------------------------------
(2) Under 5 U.S.C. 552a(j)(2), the head of any agency may promulgate
rules to exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974 if the agency or component thereof
that maintains the system performs as its principal function any
activities pertaining to the enforcement of criminal laws. Certain
components of the Internal Revenue Service have as their principal
function activities pertaining to the enforcement of criminal laws.
(3) To the extent the exemption under 5 U.S.C. 552a(j)(2) does not
apply to any of the above-named systems, then exemptions under 5 U.S.C.
552a(k)(2), relating to investigatory material compiled for law
enforcement purposes, are hereby claimed for such systems.
(4) The provisions of the Privacy Act of 1974 from which exemptions
are claimed under 5 U.S.C. 552a(j)(2) are as follows:
5 U.S.C. 552a(c) (3) and (4)
5 U.S.C. 552a(d) (1), (2), (3), and (4)
5 U.S.C. 552a(e) (1), (2), and (3)
5 U.S.C. 552a(e) (4) (G), (H), and (I)
5 U.S.C. 552a(e) (5) and (8)
5 U.S.C. 552a(f)
5 U.S.C. 552a(g)
(5) See paragraph (c) for reasons for the exemptions.
(b) Exemptions under 5 U.S.C. 552a (k)(2). (1) This paragraph applies
to the following systems of records maintained by the Internal Revenue
Service, for which exemptions are claimed under 5 U.S.C. 552a(k)(2):
------------------------------------------------------------------------
Name of system No.
------------------------------------------------------------------------
Wage and Information Returns Processing (IRP).................. 22.061
Acquired Property Records...................................... 26.001
Form 2209, Courtesy Investigations............................. 26.006
IRS and Treasury Employee Delinquency.......................... 26.008
Litigation Case Files.......................................... 26.011
Offer in Compromise (OIC) Files................................ 26.012
One-hundred Per Cent Penalty Cases............................. 26.013
Returns Compliance Programs (RCP).............................. 26.016
TDA (Taxpayer Delinquent Accounts)............................. 26.019
TDI (Taxpayer Delinquency Investigations) Files................ 26.020
Transferee Files............................................... 26.021
Delinquency Prevention Programs................................ 26.022
Applicant Appeal Files......................................... 37.002
Closed Files containing Derogatory Information about
Individuals' practice before the IRS and Files of attorneys
and certified public accountants formerly enrolled to Practice 37.003
Derogatory Information (No Action)............................. 37.004
Present Suspensions and Disbarments Resulting from
Administrative Proceeding..................................... 37.005
Inventory...................................................... 37.007
Resigned Enrolled Agents (action pursuant to 31 CFR Section
10.55(b))..................................................... 37.009
Present Suspensions from Practice Before the Internal Revenue
Service....................................................... 37.011
Examination Administrative File................................ 42.001
Audit Information Management System (AIMS)..................... 42.008
Classification and Examination Selection Files................. 42.016
Compliance Programs and Projects Files......................... 42.021
International Enforcement Program Files........................ 42.017
Combined Case Control Files.................................... 42.012
Audit Underreporter Case Files................................. 42.029
Discriminant Function File (DIF)............................... 42.030
Appeals Case Files............................................. 44.001
Disclosure Records............................................. 48.001
Collateral and Information Requests System..................... 49.001
Component Authority and Index Card Mircofilm Retrieval System.. 49.002
Overseas Compliance Projects System............................ 49.007
Conduct Investigation Files.................................... 60.003
Enrollee Charge Investigation Files............................ 60.006
Miscellaneous Information File................................. 60.007
Special Inquiry Investigation Files............................ 60.009
Chief Counsel Disclosure Litigation Division Case Files........ 90.002
Chief Counsel General Legal Services Case Files................ 90.004
Chief Counsel General Litigation Case Files.................... 90.005
Chief Counsel Tax Litigation Case Files........................ 90.009
File Digest Room Files containing briefs, Legal opinions,
Digests of Documents generated internally or by the Department
of Justice relating to the Administration of the Revenue Laws. 90.010
Legal Case Files of the Chief Counsel, Deputy Chief Counsel,
Associate Chief Counsels (Litigation) and (Technical)......... 90.013
Reports and Information Retrieval Activity Computer and
Microfilm Records............................................. 90.016
Correspondence File--Inquiries about Enforcement Activities.... 00.002
------------------------------------------------------------------------
(2) Under 5 U.S.C. 552a (k)(2), the head of any agency may promulgate
rules to exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974 if the system is investigatory
material compiled for law enforcement purposes. To the extent that
information contained in the above-named systems has as its principal
purpose the enforcement of criminal laws, exemption for such information
under 5 U.S.C. 552a (j)(2) is hereby claimed.
(3) The provisions of the Privacy Act of 1974 from which exemptions
are claimed under 5 U.S.C. 552a(k)(2) are as follows:
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a(d) (1), (2), (3), and (4)
5 U.S.C. 552a (e)(1)
5 U.S.C. 552a(e)(4) (G), (H), and (I)
5 U.S.C. 552a(f)
(4) See paragraph (c) for reasons for the exemptions.
(c) Reasons for exemptions. The following are the reasons for
exempting systems of records maintained by the Internal Revenue Service
pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) of the Privacy Act of 1974.
(1) 5 U.S.C. 552a(c)(3). This provision of the Privacy Act provides
for the release of the disclosure accounting required by 5 U.S.C.
552a(c) (1) and (2) to the individual named in the record at his
request. The reasons for exempting systems of records from the foregoing
provision are as follows:
(i) The release of disclosure accounting would put the subject of an
investigation on notice of the existence of an investigation and that
such person is the subject of that investigation;
(ii) Such release would provide the subject of an investigation with
an accurate accounting of the date, nature, and purpose of each
disclosure and the name and address of the person or agency to whom the
disclosure is made. The release of such information to the subject of an
investigation would provide the subject with significant information
concerning the nature of the investigation and could result in the
altering or destruction of documentary evidence, the improper
influencing of witnesses, and other activities that could impede or
compromise the investigation. In the case of a delinquent account, such
release might enable the subject of the investigation to dissipate
assets before levy;
(iii) Release to the individual of the disclosure accounting would
alert the individual as to which agencies were investigating this person
and the scope of the investigation, and could aid the individual in
impeding or compromising investigations by those agencies.
(2) 5 U.S.C. 552a(c)(4), (d)(1), (2), (3), and (4), (e)(4) (G) and
(H), (f), and (g). These provisions of the Privacy Act relate to an
individual's right to notification of the existence of records
pertaining to such individual; requirements for identifying an
individual who requests access to records; the agency procedures
relating to access to records and the contest of the information
contained in such records; and the civil remedies available to the
individual in the event of adverse determinations by an agency
concerning access to or amendment of information contained in record
systems. The reasons for exempting systems of records from the foregoing
provisions are as follows: To notify an individual at the individual's
request of the existence of records in an investigative file pertaining
to such individual or to grant access to an investigative file could
interfere with investigative and enforcement proceedings; deprive co-
defendants of a right to a fair trial or an impartial adjudication;
constitute an unwarranted invasion of the personal privacy of others;
disclose the identity of confidential sources and reveal confidential
information supplied by such sources; and disclose investigative
techniques and procedures.
(3) 5 U.S.C. 552a(e)(4)(I). This provision of the Privacy Act requires
the publication of the categories of sources of records in each system
of records. In cases where an exemption from this provision has been
claimed, the reasons are as follows:
(i) Revealing categories of sources of information could disclose
investigative techniques and procedures;
(ii) Revealing categories of sources of information could cause
sources who supply information to investigators to refrain from giving
such information because of fear of reprisal, or fear of breach of
promises of anonymity and confidentiality.
(4) 5 U.S.C. 552a(e)(1). This provision of the Privacy Act requires
each agency to maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency required to be accomplished by statute or executive order. The
reasons for exempting systems of records from the foregoing provision
are as follows:
(i) The Internal Revenue Service will limit its inquiries to
information which is necessary for the enforcement and administration of
tax laws. However, an exemption from the foregoing provision is needed
because, particularly in the early stages of a tax audit or other
investigation, it is not possible to determine the relevance or
necessity of specific information.
(ii) Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may subsequently be
determined to be irrelevant or unnecessary. It is only after the
information is evaluated that the relevance and necessity of such
information can be established with certainty.
(iii) When information is received by the Internal Revenue Service
relating to violations of law within the jurisdiction of other agencies,
the Service processes this information through Service systems in order
to forward the material to the appropriate agencies.
(5) 5 U.S.C. 552a(e)(2). This provision of the Privacy Act requires an
agency to collect information to the greatest extent practicable
directly from the subject individual when the information may result in
adverse determinations about an individual's rights, benefits, and
privileges under Federal programs. The reasons for exempting systems of
records from the foregoing provisions are as follows:
(i) In certain instances the subject of a criminal investigation
cannot be required to supply information to investigators. In those
instances, information relating to a subject's criminal activities must
be obtained from other sources;
(ii) In a criminal investigation it is necessary to obtain evidence
from a variety of sources other than the subject of the investigation in
order to accumulate and verify the evidence necessary for the successful
prosecution of persons suspected of violating the criminal laws.
(6) 5 U.S.C. 552a(e)(3). This provision of the Privacy Act requires
that an agency must inform the subject of an investigation who is asked
to supply information of (A) the authority under which the information
is sought and whether disclosure of the information is mandatory or
voluntary, (B) the purposes for which the information is intended to be
used, (C) the routine uses which may be made of the information, and (D)
the effects on the subject, if any, of not providing the requested
information. The reasons for exempting systems of records from the
foregoing provision are as follows:
(i) The disclosure to the subject of an investigation of the purposes
for which the requested information is intended to be used would provide
the subject with significant information concerning the nature of the
investigation and could result in impeding or compromising the
investigation.
(ii) Informing the subject of an investigation of the matters required
by this provision could seriously undermine the actions of undercover
officers, requiring them to disclose their identity and impairing their
safety, as well as impairing the successful conclusion of the
investigation.
(iii) Individuals may be contacted during preliminary information
gathering, surveys, or compliance projects concerning the administration
of the internal revenue laws before any individual is identified as the
subject of an investigation. Informing the individual of the matters
required by this provision would impede or compromise subsequent
investigations.
(7) 5 U.S.C. 552a(e)(5). This provision of the Privacy Act requires an
agency to maintain all records which are used in making any
determination about an individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual in the determination. The reasons for
exempting systems of records from the foregoing provision are as
follows: Since the law defines ``maintain'' to include the collection of
information, compliance with the foregoing provision would prohibit the
initial collection of any data not shown to be accurate, relevant,
timely, and complete at the moment of its collection. In gathering
information during the course of a criminal investigation, it is not
feasible or possible to determine completeness, accuracy, timeliness, or
relevancy prior to collection of the information. Facts are first
gathered and then placed into a cohesive order which objectively proves
or disproves criminal behavior on the part of a suspect. Seemingly
nonrelevant, untimely, or incomplete information when gathered may
acquire new significance as an investigation progresses. The
restrictions of the foregoing provision could impede investigators in
the preparation of a complete investigative report.
(8) 5 U.S.C. 552a(e)(8). This provision of the Privacy Act requires an
agency to make reasonable efforts to serve notice on an individual when
any record on such individual is made available to any person under
compulsory legal process when such process becomes a matter of public
record. The reasons for exempting systems of records from the foregoing
provision are as follows: The notice requirement of the foregoing
provision could prematurely reveal the existence of criminal
investigations to individuals who are the subject of such
investigations.
(d) Exemption under 5 U.S.C. 552a (k)(4). (1) This paragraph applies
to the following system of records maintained by the Internal Revenue
Service, for which exemption is claimed under 5 U.S.C. 552a(k)(4):
Statistics of Income--Individual Tax Returns 70.001.
(2) Under 5 U.S.C. 552a(k)(4), the head of any agency may promulgate
rules to exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974 if the system is required by
statute to be maintained and used solely as statistical records.
(3) The above-named system is maintained under section 6108 of the
Internal Revenue Code, which provides that ``the Secretary or his
delegate shall prepare and publish annually statistics reasonably
available with respect to the operation of the income tax laws,
including classifications of taxpayers and of income, the amounts
allowed as deductions, exemptions, and credits, and any other facts
deemed pertinent and valuable''.
(4) The reason for exempting the above-named system of records is that
disclosure of statistical records (including release of accounting for
disclosures) would in most instances be of no benefit to a particular
individual since the records do not have a direct effect on a given
individual.
(5) The provisions of the Privacy Act of 1974 from which exemption is
claimed under 5 U.S.C. 552a(k)(4) are as follows:
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a(d) (1), (2), (3), and (4)
5 U.S.C. 552a(e)(1)
5 U.S.C. 552a(e)(4) (G), (H), and (I)
5 U.S.C. 552a(f)
(e) Exemptions under 5 U.S.C. 552a (k)(5). (1) This paragraph applies
to the following systems of records maintained by the Internal Revenue
Service, for which exemptions are claimed under 5 U.S.C. 552a(k)(5):
------------------------------------------------------------------------
Name of system No.
------------------------------------------------------------------------
Recruiting, Examining and Placement Records.................... 36.008
Security, Background, and Character Investigations Files....... 60.008
Chief Counsel General Administrative Systems................... 90.003
Employee Recruiting Files Maintained by the Operations Division 90.011
Management Files Maintained by Operations Division and the
Deputy Chief Counsel other than the Office of Personnel
Management's Official Personnel Files......................... 90.014
------------------------------------------------------------------------
(2) Under 5 U.S.C. 552a(k)(5), the head of any agency may promulgate
rules to exempt any system of records within the agency from certain
provisions of the Privacy Act of 1974 if the system is investigatory
material compiled solely for the purpose of determining suitability,
eligibility, and qualifications for Federal civilian employment or
access to classified information, but only to the extent that the
disclosure of such material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or, prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence. Thus, to the extent that records in
the above-named systems can be disclosed without revealing the identity
of a confidential source, they are not within the scope of this
exemption and are subject to all the requirements of the Privacy Act.
(3) The provisions of the Act from which exemptions are claimed for
the above-named systems of records are in general those providing for
individual access to records. When such access would cause the identity
of a confidential source to be revealed, it would impair the future
ability of the Service to compile investigatory material for the purpose
of determining suitability, eligibility, or qualifications for Federal
civilian employment, Federal contracts, or access to classified
information. In addition, the systems are to be exempt from 5 U.S.C.
552a(e)(1), which requires that the agency maintain in its records only
such information about an individual as is relevant and necessary to
accomplish a statutory or executively ordered purpose. The Service finds
that to fulfill the requirements of 5 U.S.C. 552a(e)(1) would unduly
restrict the agency in its information gathering inasmuch as it is often
not until well after the investigation that it is possible to determine
the relevance and necessity of particular information.
(4) If any investigatory material contained in the above-named systems
becomes involved in criminal or civil matters, exemptions of such
material under 5 U.S.C. 552a (j)(2) or (k)(2) is hereby claimed.
(5) The provisions of the Privacy Act of 1974 from which exemptions
are claimed under 5 U.S.C. 552a(k)(5) are as follows:
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a (d) (1), (2), (3), and (4)
5 U.S.C. 552a(e)(1)
5 U.S.C. 552a(e)(4) (G), (H), and (I)
5 U.S.C. 552a (f)
(f) Exemption under 5 U.S.C. 552a(k)(6). (1) This paragraph applies to
the following system of records maintained by the Internal Revenue
Service, for which exemption is claimed under 5 U.S.C. 552a(k)(6):
Recruiting, Examining and Placement Records 36.008
(2) Under 5 U.S.C. 552a(k)(6), the head of any agency may promulgate
rules to exempt any system of records that is testing or examination
material used solely to determine individual qualifications for
appointment or promotion in the Federal service the disclosure of which
would compromise the objectivity or fairness of the testing or
examination process.
(3) The reason for exempting the above-named system is that disclosure
of the material in the system would compromise the objectivity or
fairness of the examination process.
(4) The provisions of the Privacy Act of 1974 from which exemptions
are claimed under 5 U.S.C. 552a(k)(6) are as follows:
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a(d)(1), (2), (3), and (4)
5 U.S.C. 552a(e)(1)
5 U.S.C. 552a(e)(4) (G), (H), and (I)
5 U.S.C. 552a (f)
(g) Exempt information included in another system. Any information
from a system of records for which an exemption is claimed under 5
U.S.C. 552a (j) or (k) which also is included in another system of
records retains the same exempt status such information has in the
system for which such exemption is claimed.
United States Customs Service
notice of exempt systems
In accordance with 5 U.S.C. 552a(j) and (k), general notice is hereby
given of rulemaking pursuant to the Privacy Act of 1974 by the
Commissioner, United States Customs Service, under authority delegated
to him by the Secretary of the Treasury. The Commissioner, United States
Customs Service, exempts the systems of records identified in the
paragraphs below from certain provisions of the Privacy Act of 1974 as
set forth in such paragraphs.
a. General exemptions under 5 U.S.C. 552a(j)(2). Pursuant to the
provisions of 5 U.S.C. 552a(j)(2), the Commissioner, United States
Customs Service, hereby exempts certain systems of records, maintained
by the United States Customs Service, from the provisions of 5 U.S.C.
552a(c) (3) and (4), (d) (1), (2), (3) and (4), (e)(1), (2), (3),
(4)(G), (H) and (I), (5) and (8), (f) and (g).
1. Exempt systems. The following systems of records, which contain
information of the type described in 5 U.S.C. 552a(j)(2), shall be
exempt from the provisions of 5 U.S.C. 552a listed in paragraph a. above
except as otherwise indicated below and in the general notice of the
existence and character of systems of records which appears elsewhere in
the Federal Register:
00.285--Automated Index to Central Enforcement Files
00.270--Background--Record File of Non-Customs Employees
00.037--Cargo Security Record System
00.053--Confidential Source Identification File
00.067--Bank Secrecy Act Reports File
00.287--Customs Automated Licensing Information System (CALIS)
[Proposed]
00.127--Internal Security Records System
00.129--Investigations Record System
00.244--Treasury Enforcement Communications System (TECS)
2. Reasons for exemptions, (a). 5 U.S.C. 552a(e)(4)(G) and (f)(1)
enable individuals to be notified whether a system of records contains
records pertaining to them. The Customs Service believes that
application of these provisions to the above-listed systems of records
would give individuals an opportunity to learn whether they are of
record either as suspects or as subjects of a criminal investigation;
this would compromise the ability of the Customs Service to complete
investigations and to detect and apprehend violators of the Customs and
related laws in that individuals would thus be able (1) to take steps to
avoid detection, (2) to inform co-conspirators of the fact that an
investigation is being conducted, (3) to learn the nature of the
investigation to which they are being subjected, (4) to learn the type
of surveillance being utilized, (5) to learn whether they are only
suspects or identified law violators, (6) to continue or resume their
illegal conduct without fear of detection upon learning that they are
not in a particular system of records, and (7) to destroy evidence
needed to prove the violation.
(b). 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f) (2), (3) and (5) enable
individuals to gain access to records pertaining to them. The Customs
Service believes that application of these provisions to the above-
listed systems of records would compromise its ability to complete or
continue criminal investigations and to detect and apprehend violators
of the Customs and related criminal laws. Permitting access to records
contained in the above-listed systems of records would provide
individuals with significant information concerning the nature of the
investigation, and this could enable them to avoid detection or
apprehension in the following ways: (1) By discovering the collection of
facts which would form the basis for their arrest, (2) by enabling them
to destroy contraband or other evidence of criminal conduct which would
form the basis for their arrest and, (3) by learning that the criminal
investigators had reason to believe that a crime was about to be
committed, they could delay the commission of the crime or change the
scene of the crime to a location which might not be under surveillance.
Granting access to on-going or closed investigative files would also
reveal investigative techniques and procedures, the knowledge of which
could enable individuals planning criminal activity to structure their
future operations in such a way as to avoid detection or apprehension,
thereby neutralizing law enforcement officer's established investigative
tools and procedures. Further, granting access to investigative files
and records could disclose the identity of confidential sources and
other informers and the nature of the information which they supplied,
thereby endangering the life or physical safety of those sources of
information by exposing them to possible reprisals for having provided
information relating to the criminal activities of those individuals who
are the subjects of the investigative files and records; confidential
sources and other informers might refuse to provide criminal
investigators with valuable information if they could not be secure in
the knowledge that their identities would not be revealed through
disclosure of either their names or the nature of the information they
supplied, and this would seriously impair the ability of the Customs
Service to carry out its mandate to enforce the Customs criminal and
related laws. Additionally, providing access to records contained in the
above-listed systems of records could reveal the identities of
undercover law enforcement officers who compiled information regarding
individual's criminal activities, thereby endangering the life or
physical safety of those undercover officers or their families by
exposing them to possible reprisals.
(c). 5 U.S.C. 552a(d) (2), (3) and (4), (e) (4) (H) and (f) (4), which
are dependent upon access having been granted to records pursuant to the
provisions cited in paragraph (b) above, enable individuals to contest
(seek amendment to) the content of records contained in a system of
records and require an agency to note an amended record and to provide a
copy of an individual's statement (of disagreement with the agency's
refusal to amend a record) to persons or other agencies to whom the
record has been disclosed. The Customs Service believes that the reasons
set forth in paragraph (b) above are equally applicable to this
subparagraph and, accordingly, those reasons are hereby incorporated
herein by reference.
(d). 5 U.S.C. 552a(c)(3) requires that an agency make accountings of
disclosures of records available to individuals named in the records at
their request; such accountings must state the date, nature and purpose
of each disclosure of a record and the name and address of the
recipient. The Customs Service believes that application of this
provision to the above-listed systems of records would impair the
ability of other law enforcement agencies to make effective use of
information provided by the Customs Service in connection with the
investigation, detection and apprehension of violators of the criminal
laws enforced by those other law enforcement agencies. Making
accountings of disclosure available to violators would alert those
individuals to the fact that another agency is conducting an
investigation into their criminal activities, and this could reveal the
geographic location of the other agency's investigation, the nature and
purpose of that investigation, and the dates on which that investigation
was active. Violators possessing such knowledge would thereby be able to
take appropriate measures to avoid detection or apprehension by altering
their operations, by transferring their criminal activities to other
geographical areas or by destroying or concealing evidence which would
form the basis for their arrest. In addition, providing violators with
accountings of disclosure would alert those individuals to the fact that
the Customs Service has information regarding their criminal activities
and could inform those individuals of the general nature of that
information; this, in turn, would afford those individuals a better
opportunity to take appropriate steps to avoid detection or apprehension
for violations of the Customs and related criminal laws.
(e). 5 U.S.C. 552a(c)(4) requires that an agency inform any person or
other agency about any correction or notation of dispute made by the
agency in accordance with 5 U.S.C. 552a(d) of any record that has been
disclosed to the person or agency if an accounting of the disclosure was
made. Since this provision is dependent on an individual's having been
provided an opportunity to contest (seek amendment to) records
pertaining to him, and since the above-listed systems of records are
proposed to be exempted from those provisions of 5 U.S.C. 552a relating
to amendments of records as indicated in paragraph (c) above, the
Customs Service believes that this provision should not be applicable to
the above-listed systems of records.
(f). 5 U.S.C. 552a(e)(4)(I) requires that an agency publish a public
notice listing the categories of sources for information contained in a
system of records. The Customs Service believes that application of this
provision to the above-listed systems of records could compromise its
ability to conduct investigations and to identify, detect and apprehend
violators of the Customs and related criminal laws for the reasons that
revealing sources for information could (1) disclose investigative
techniques and procedures, (2) result in threatened or actual reprisal
directed to informers by the subject under investigation, and (3) result
in the refusal of informers to give information or to be candid with
criminal investigators because of the knowledge that their identities as
sources might be disclosed.
(g). 5 U.S.C. 552a(e)(1) requires that an agency maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required to be
accomplished by statute or executive order. The term ``maintain'' as
defined in 5 U.S.C. 552a(a)(3) includes ``collect'' and ``disseminate.''
At the time that information is collected by the Customs Service, there
is often insufficient time to determine whether the information is
relevant and necessary to accomplish a purpose of the Customs Service;
in many cases information collected may not be immediately susceptible
to a determination of whether the information is relevant and necessary,
particularly in the early stages of investigation, and in many cases
information which initially appears to be irrelevant and unnecessary
may, upon further evaluation or upon continuation of the investigation,
prove to have particular relevance to an enforcement program of the
Customs Service. Further, not all violations of law discovered during a
Customs Service criminal investigation fall within the investigative
jurisdiction of the Customs Service; in order to promote effective law
enforcement, it often becomes necessary and desirable to disseminate
information pertaining to such violations to other law enforcement
agencies which have jurisdiction over the offense to which the
information relates. The Customs Service should not be placed in a
position of having to ignore information relating to violations of law
not within its jurisdiction where that information comes to the
attention of the Customs Service through the conduct of a lawful Customs
Service investigation. The Customs Service therefore believes that it is
appropriate to exempt the above-listed systems of records from the
provisions of 5 U.S.C. 552a(e)(1).
(h). 5 U.S.C. 552a(e)(2) requires that an agency collect information
to the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs.
The Customs Service believes that application of this provision to the
above-listed systems of records would impair the ability of the Customs
Service to conduct investigations and to identify, detect and apprehend
violators of the Customs and related criminal laws for the following
reasons: (1) Most information collected about an individual under
criminal investigation is obtained from third parties such as witnesses
and informers, and it is usually not feasible to rely upon the subject
of the investigation as a source for information regarding his criminal
activities, (2) an attempt to obtain information from the subject of a
criminal investigation will often alert that individual to the existence
of an investigation, thereby affording the individual an opportunity to
attempt to conceal his criminal activities so as to avoid apprehension,
(3) in certain instances the subject of a criminal investigation is not
required to supply information to criminal investigators as a matter of
legal duty, and (4) during criminal investigations it is often a matter
of sound investigative procedure to obtain information from a variety of
sources in order to verify information already obtained.
(i). 5 U.S.C. 552a(e)(3) requires that an agency inform each
individual whom it asks to supply information, on the form which it uses
to collect the information or on a separate form that can be retained by
the individual: The authority which authorizes the solicitation of the
information and whether disclosure of such information is mandatory or
voluntary; the principal purposes for which the information is intended
to be used; the routine uses which may be made of the information; and
the effects on the individual of not providing all or part of the
requested information. The Customs Service believes that the above-
listed systems of records should be exempted from this provision in
order to avoid adverse effects on its ability to identify, detect and
apprehend violators of the Customs and related criminal laws. In many
cases information is obtained by confidential sources or other informers
or by undercover law enforcement officers under circumstances where it
is necessary that the true purpose of their actions be kept secret so as
to not let it be known by the subject of the investigation or his
associates that a criminal investigation is in progress. Further, if it
became known that the undercover officer was assisting in a criminal
investigation, that officer's life or physical safety could be
endangered through reprisal, and, further, under such circumstances it
may not be possible to continue to utilize that officer in the
investigation. In many cases individuals for personal reasons would feel
inhibited in talking to a person representing a criminal law enforcement
agency but would be willing to talk to a confidential source or
undercover officer who they believed was not involved in law enforcement
activities. In addition, providing a source of information with written
evidence that he was a source, as required by this provision, could
increase the likelihood that the source of information would be the
subject of retaliatory action by the subject of the investigation.
Further, application of this provision could result in an unwarranted
invasion of the personal privacy of the subject of the criminal
investigation, particularly where further investigation would result in
a finding that the subject was not involved in any criminal activity.
(j). 5 U.S.C. 552a(e)(5) requires that an agency maintain all records
used by the agency in making any determination about any individual with
such accuracy, relevance, timeliness and completeness as is reasonably
necessary to assure fairness to the individual in the determination.
Since 5 U.S.C. 552a(a)(3) defines ``maintain'' to include ``collect''
and ``disseminate,'' application of this provision to the above-listed
systems of records would hinder the initial collection of any
information which could not, at the moment of collection, be determined
to be accurate, relevant, timely and complete. Similarly, application of
this provision would seriously restrict the necessary flow of
information from the Customs Service to other law enforcement agencies
where a Customs Service investigation revealed information pertaining to
a violation of law which was under the investigative jurisdiction of
another agency. In collecting information during the course of a
criminal investigation, it is not possible or feasible to determine
accuracy, relevance, timeliness or completeness prior to collection of
the information; in disseminating information to other law enforcement
agencies it is often not possible to determine accuracy, relevance,
timeliness or completeness prior to dissemination because the
disseminating agency may not have the expertise with which to make such
determinations. Further, information which may initially appear to be
inaccurate, irrelevant, untimely or incomplete may, when gathered,
grouped, and evaluated with other available information, become more
pertinent as an investigation progresses. In addition, application of
this provision could seriously impede criminal investigators and
intelligence analysts in the exercise of their judgment in reporting on
results obtained during criminal investigations. The Customs Service
therefore believes that it is appropriate to exempt the above-listed
systems of records from the provisions of 5 U.S.C. 552a(e)(5).
(k). 5 U.S.C. 552a(e)(8) requires that an agency make reasonable
efforts to serve notice on an individual when any record on the
individual is made available to any person under compulsory legal
process when such process becomes a matter of public record. The Customs
Service believes that the above-listed systems of records should be
exempt from this provision in order to avoid revealing investigative
techniques and procedures outlined in those records and in order to
prevent revelation of the existence of an on-going investigation where
there is a need to keep the existence of the investigation secret.
(l). 5 U.S.C. 552a(g) provides civil remedies to an individual for an
agency refusal to amend a record or to make a review of a request for
amendment, for an agency refusal to grant access to a record, for an
agency failure to maintain accurate, relevant, timely and complete
records which are used to make a determination which is adverse to the
individual, and for an agency failure to comply with any other provision
of 5 U.S.C. 552a in such a way as to have an adverse effect on an
individual. The Customs Service believes that the above-listed systems
of records should be exempted from this provision to the extent that the
civil remedies provided therein may relate to provisions of 5 U.S.C.
552a from which the above-listed systems of records are proposed to be
exempt. Since the provisions of 5 U.S.C. 552a enumerated in paragraphs
(a) through (k) above are proposed to be inapplicable to the above-
listed systems of records for the reasons stated therein, there should
be no corresponding civil remedies for failure to comply with the
requirements of those provisions to which the exemption is proposed to
apply. Further, the Customs Service believes that application of this
provision to the above-listed systems of records would adversely affect
its ability to conduct criminal investigations by exposing to civil
court action every stage of the criminal investigative process in which
information is compiled or used in order to identify, detect, apprehend
and otherwise investigate persons suspected or known to be engaged in
criminal conduct in violation of the Customs and related laws.
b. Specific exemptions under 5 U.S.C. 552a(k) (2). Pursuant to the
provisions of 5 U.S.C. 552a(k) (2), the Commissioner, United States
Customs Service, hereby exempts certain systems of records, maintained
by the United States Customs Service, from the provisions of 5 U.S.C.
552a(c) (3), (d) (1), (2), (3) and (4), (e) (1) and (4) (G), (H) and (I)
and (f).
1. Exempt systems. The following systems of records, which contain
information of the type described in 5 U.S.C. 552a(k) (2), shall be
exempt from the provisions of 5 U.S.C. 552a listed in paragraph b. above
except as otherwise indicated below and in the general notice of the
existence and character of systems of records which appears elsewhere in
the Federal Register:
00.014--Advice Requests (Legal) (Pacific Region)
00.021--Arrest/Seizure/Search Report and Notice of Penalty File
00.022--Attorney Case File
00.285--Automated Index to Central Enforcement Files
00.270--Background--Record File of Non-Customs Employees
00.037--Cargo Security File
00.271--Cargo Security Record System
00.041--Cartmen or Lightermen
00.043--Case Files (Regional Counsel--South Central Region)
00.046--Claims Case File
00.053--Confidential Source Identification File
00.057--Container Station Operator Files
00.058--Cooperating Individual Files
00.061--Court Case File
00.067--Bank Secrecy Act Reports File
00.069--Customhouse Brokers File (Chief Counsel)
00.287--Customs Automated Licensing Information System (CALIS)
00.077--Disciplinary Action and Resulting Grievances or Appeal Case
Files
00.078--Disclosure of Information File
00.098--Fines, Penalties, and Forfeitures Records
00.099--Fines, Penalties, and Forfeiture Files (Supplemental Petitions)
00.100--Fines, Penalties, and Forfeiture Records (Headquarters)
00.122--Information Received File
00.125--Intelligence Log
00.127--Internal Security Records System
00.129--Investigations Record System
00.133--Justice Department Case File
00.138--Litigation Issue Files
00.140--Lookout Notice
00.155--Narcotics Suspect File
00.159--Notification of Personnel Management Division when an employee
is placed under investigation by the Office of Internal Affairs.
00.182--Penalty Case File
00.186--Personal Search
00.190--Personal Case File
00.197--Private Aircraft/Vessel Inspection Reporting System
00.206--Regulatory Audits of Customhouse Brokers
00.212--Search/Arrest/Seizure Report
00.214--Seizure File
00.224--Suspect Persons Index
00.232--Tort Claims Act File
00.244--Treasury Enforcement Communications System (TECS)
00.258--Violator's Case Files
00.260--Warehouse Proprietor Files
2. Reasons for exemptions. (a). 5 U.S.C. 552a(e)(4)(G) and (f)(1)
enable individuals to be notified whether a system of records contains
records pertaining to them. The Customs Service believes that
application of these provisions (to those of the above-listed systems of
records for which no notification procedures have been provided in the
general notice of the existence and character of systems of records
which appears elsewhere in the Federal Register) would impair the
ability of the Customs Service to successfully complete investigations
and inquiries of suspected violators of civil and criminal laws and
regulations under its jurisdiction. In many cases investigations and
inquiries into violations of civil and criminal laws and regulations
involve complex and continuing patterns of behavior. Individuals, if
informed that they have been identified as suspected violators of civil
or criminal laws and regulations, would have an opportunity to take
measures to prevent detection of illegal action so as to avoid
prosecution or the imposition of civil sanctions. They would also be
able to learn the nature and location of the investigation or inquiry
and the type of surveillance being utilized, and they would be able to
transmit this knowledge to co-conspirators. Finally, violators might be
given the opportunity to destroy evidence needed to prove the violation
under investigation or inquiry.
(b). 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f) (2), (3) and (5) enable
individuals to gain access to records pertaining to them. The Customs
Service believes that application of these provisions to the above-
listed systems of records would impair its ability to complete or
continue civil or criminal investigations and inquiries and to detect
and apprehend violators of the Customs and related laws. Permitting
access to records contained in the above-listed systems of records would
provide violators with significant information concerning the nature of
the civil or criminal investigation or inquiry. Knowledge of the facts
developed during an investigation or inquiry would enable violators of
criminal and civil laws and regulations to learn the extent to which the
investigation or inquiry has progressed, and this could provide them
with an opportunity to destroy evidence that would form the basis for
prosecution or the imposition of civil sanctions. In addition, knowledge
gained through access to investigatory material could alert a violator
to the need to temporarily postpone commission of the violation or to
change the intended point where the violation is to be committed so as
to avoid detection or apprehension. Further, access to investigatory
material would disclose investigative techniques and procedures which,
if known, could enable violators to structure their future operations in
such a way as to avoid detection or apprehension, thereby neutralizing
investigators' established and effective investigative tools and
procedures. In addition, investigatory material may contain the identity
of a confidential source of information or other informer who would not
want his identity to be disclosed for reasons of personal privacy or for
fear of reprisal at the hands of the individual about whom he supplied
information. In some cases mere disclosure of the information provided
by an informer would reveal the identity of the informer either through
the process of elimination or by virtue of the nature of the information
supplied. If informers cannot be assured that their identities (as
sources for information) will remain confidential, they would be very
reluctant in the future to provide information pertaining to violations
of criminal and civil laws and regulations, and this would seriously
compromise the ability of the Customs Service to carry out its mission.
Further, application of 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f) (2), (3)
and (5) to the above-listed systems of records would make available
attorney's work product and other documents which contain evaluations,
recommendations, and discussions of ongoing civil and criminal legal
proceedings; the availability of such documents could have a chilling
effect on the free flow of information and ideas within the Customs
Service which is vital to the agency's predecisional deliberative
process, could seriously prejudice the agency's or the Government's
position in a civil or criminal litigation, and could result in the
disclosure of investigatory material which should not be disclosed for
the reasons stated above. It is the belief of the Customs Service that,
in both civil actions and criminal prosecutions, due process will assure
that individuals have a reasonable opportunity to learn of the existence
of, and to challenge, investigatory records and related materials which
are to be used in legal proceedings.
(c). 5 U.S.C. 552a(d) (2), (3) and (4), (e)(4)(H) and (f)(4), which
are dependent upon access having been granted to records pursuant to the
provisions cited in subparagraph (b) above, enable individuals to
contest (seek amendment to) the content of records contained in a system
of records and require an agency to note an amended record and to
provide a copy of an individual's statement (of disagreement with the
agency's refusal to amend a record) to persons or other agencies to whom
the record has been disclosed. The Customs Service believes that the
reasons set forth in subparagraph (b) above are equally applicable to
this subparagraph, and, accordingly, those reasons are hereby
incorporated herein by reference.
(d). 5 U.S.C. 552a(c)(3) requires that an agency make accountings of
disclosures of records available to individuals named in the records at
their request; such accountings must state the date, nature and purpose
of each disclosure of a record and the name and address of the
recipient. The Customs Service believes that application of this
provision to the above-listed systems of records would impair the
ability of the Customs Service and other law enforcement agencies to
conduct investigations and inquiries into civil and criminal violations
under their respective jurisdictions. Making accountings available to
violators would alert those individuals to the fact that the Customs
Service or another law enforcement authority is conducting an
investigation or inquiry into their activities, and such accountings
could reveal the geographic location of the investigation or inquiry,
the nature and purpose of the investigation or inquiry and the nature of
the information disclosed, and the dates on which that investigation or
inquiry was active. Violators possessing such knowledge would thereby be
able to take appropriate measures to avoid detection or apprehension by
altering their operations, transferring their activities to other
locations or destroying or concealing evidence which would form the
basis for prosecution or the imposition of civil sanctions.
(e). 5 U.S.C. 552a(e)(1) requires that an agency maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required to be
accomplished by statute or executive order. The term ``maintain'' as
defined in 5 U.S.C. 552a(a)(3) includes ``collect'' and ``disseminate.''
At the time that information is collected by the Customs Service there
is often insufficient time to determine whether the information is
relevant and necessary to accomplish a purpose of the Customs Service;
in many cases information collected may not be immediately susceptible
to a determination of whether the information is relevant and necessary,
particularly in the early stages of investigation or inquiry, and in
many cases information which initially appears to be irrelevant and
unnecessary may, upon further evaluation or upon continuation of the
investigation or inquiry, prove to have particular relevance to an
enforcement program of the Customs Service. Further, not all violations
of law uncovered during a Customs Service investigation or inquiry fall
within the civil or criminal jurisdiction of the Customs Service; in
order to promote effective law enforcement it often becomes necessary
and desirable to disseminate information pertaining to such violations
to other law enforcement agencies which have jurisdiction over the
offense to which the information relates. The Customs Service should not
be placed in a position of having to ignore information relating to
violations of law not within its jurisdiction where that information
comes to the attention of the Customs Service through the conduct of a
lawful Customs Service civil or criminal investigation or inquiry. The
Customs Service therefore believes that it is appropriate to exempt the
above-listed systems of records from the provisions of 5 U.S.C.
552a(e)(1).
c. Specific exemptions under 5 U.S.C. 552a(k)(5). Pursuant to the
provisions of 5 U.S.C. 552a(k)(5), the Commissioner, United States
Customs Service, hereby exempts the Internal Security Records System
from the provisions of 5 U.S.C. 552a(c)(3), (d) (1), (2), (3) and (4),
(e) (1) and (4) (G), (H) and (I) and (f). The records maintained in the
exempt system of records are of the type described in 5 U.S.C.
552a(k)(5): ``investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information, but only to the extent that disclosure of such
material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the
source would be held in confidence, or, prior to the effective date of
this section, under an implied promise that the identity of the source
would be held in confidence.''
Thus to the extent that the records in this system can be disclosed
without revealing the identity of a confidential source, they are not
within the scope of this exemption and are subject to all the
requirements of 5 U.S.C. 552a, except where those records contain other
information which is exempt under the provisions of 5 U.S.C. 552a(k)(2)
for the reasons stated under paragraph b. above.
The sections of 5 U.S.C. 552a from which this system of records is
exempt include in general those providing for individuals' access to or
amendment of records. When such access or amendment would cause the
identity of a confidential source to be revealed, it would impair the
future ability of the Customs Service to compile investigatory material
for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, Federal contracts, or
access to classified information.
In addition, the systems shall be exempt from 5 U.S.C. 552a(e)(1)
which requires that an agency maintain in its records only such
information about an individual as is relevant and necessary to
accomplish a purpose of the agency required to be accomplished by
statute or executive order. The Customs Service believes that to fulfill
the requirements of 5 U.S.C. 552a(e)(1) would unduly restrict the agency
in its information gathering inasmuch as it is often not until well
after the investigation that it is possible to determine the relevance
and necessity of particular information.
If any investigations within the scope of 5 U.S.C. 552a(k)(5) become
involved with civil or criminal matters, exemptions from 5 U.S.C. 552a
could also be asserted under 5 U.S.C. 552a (k)(2) or (j)(2).
United States Secret Service
Notice of rules exempting certain systems from requirements of the
Privacy Act
(a) In general. The Director of the U.S. Secret Service hereby issues
rules exempting the Criminal Investigation Information System of
records, the Non-Criminal Investigation Information System of records,
and the Protection Information System of records from the provisions of
certain subsections of 5 U.S.C. 552a, the Privacy Act of 1974. The
purpose of the exemptions is to maintain the confidentiality of
information compiled for the purpose of criminal, non-criminal, and
protective investigations.
(b) Authority. These rules are promulgated pursuant to the authority
vested in the Secretary of the Treasury by 5 U.S.C. 552a(j) and (k) and
pursuant to the authority vested in the Director, U.S. Secret Service by
paragraph 123(c) of subpart C of part 1 of subtitle A of title 31 of the
Code of Federal Regulations.
(c) Exempted Systems. I. U.S. Secret Service Criminal Investigation
Information System. The Criminal Investigation Information System is
further described in ``Notices of Records Systems'' published by the
General Services Administration.
(1) Provisions from which exempted. The Criminal Investigation
Information System maintained by the Secret Service contains records
described in 5 U.S.C. 552a(j) and (k), the Privacy Act of 1974.
Exemptions are claimed for such described records only where appropriate
from the following provisions of the Privacy Act of 1974 subsections (c)
(3) and (4); (d) (1), (2), (3) and (4); (e) (1), (2), and (3); (e) (4)
(G), (H) and (I); (e) (5) and (8); (f) and (g) of 5 U.S.C. 552a.
(2) Reasons for claimed exemptions. a. 5 U.S.C. 552a(c)(3): This
provision of the Privacy Act provides for the release of the disclosure
accounting required by 5 U.S.C. 552a(c) (1) and (2) to the individual
named in the record at his request. The reasons why the Criminal
Investigation Information System is exempted from the foregoing
provision are as follows:
(i) The release of accounting disclosures would put the subject of a
criminal investigation on notice of the existence of an investigation
and that he is the subject of that investigation;
(ii) It would provide the subject of a criminal investigation with an
accurate accounting of the date, nature, and purpose of each disclosure
and the name and address of the person or agency to whom the disclosure
is made. Obviously, the release of such information to the subject of a
criminal investigation would provide him with significant information
concerning the nature of the investigation and could result in impeding
or compromising the efforts of law enforcement personnel to detect and
arrest persons suspected of criminal activity;
(iii) Disclosure to the individual of the disclosure accounting after
the investigation is closed would alert the individual as to which
agencies were investigating him and would put him on notice concerning
the scope of his suspected criminal activities and could aid him in
avoiding detection and apprehension.
b. 5 U.S.C. 552a(c)(4); (d); (e)(4) (G) and (H); (f) and (g): The
foregoing provisions of the Privacy Act relate to an individual's right
to notification of the existence of records pertaining to him and access
to such records; the agency procedures relating to notification, access
and contest of the information contained in such records; and the civil
remedies available to the individual in the event of adverse
determinations by an agency concerning access to or amendment of
information contained in record systems. The reasons why the Criminal
Investigation Information System of records is exempted from the
foregoing provisions are as follows:
(i) To notify an individual at his request of the existence of records
pertaining to him in the Criminal Investigation Information System would
inform the individual of the existence of an investigation and that he
is the subject of that investigation. This would enable the individual
to avoid detection and would further enable him to inform co-
conspirators of the fact that an investigation is being conducted;
(ii) To permit access to the records contained in the Criminal
Investigation Information System would not only inform an individual
that he is or was the subject of a criminal investigation, but would
also provide him with significant information concerning the nature of
the investigation which might enable him to avoid detection or
apprehension;
(iii) To grant access to an on-going or closed criminal investigative
file could interfere with Secret Service investigative and enforcement
proceedings, deprive co-defendants of a right to a fair trial or an
impartial adjudication, constitute an unwarranted invasion of the
personal privacy of others, disclose the identity of confidential
sources and reveal confidential information supplied by such sources,
and disclose investigative techniques and procedures, or endanger the
life or physical safety of law enforcement personnel, informants,
witnesses, and other persons supplying information to investigators.
c. 5 U.S.C. 552a(e)(4)(I). This provision of the Privacy Act requires
the publication of the categories of sources of records, in each system
of records. The reasons why the Criminal Investigation Information
System of records is exempted from the foregoing provision are as
follows:
(i) Revealing sources of information could disclose investigative
techniques and procedures;
(ii) Revealing sources of information could result in retaliation and
threat of reprisal by the subject under investigation against such
sources;
(iii) Revealing sources of information could cause witnesses,
informants and others who supply information to criminal investigators
to refrain from giving such information because of fear of reprisal, or
fear of breach of promises of anonymity and confidentiality;
(iv) Revealing sources of information could result in the refusal of
some sources to give full and complete information or to be candid with
investigators because of the knowledge that the identity of such sources
may be disclosed.
d. 5 U.S.C. 552a(e)(1): This provision of the Privacy Act requires
each agency to maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency. The reasons why the Criminal Investigation Information System of
records is exempted from the foregoing provisions are as follows:
(i) In a criminal investigation it is difficult to accurately
determine the relevancy and necessity of information during the process
of information gathering. Only after the information is evaluated can
the relevancy and necessity of such information be ascertained;
(ii) In a criminal investigation, the Secret Service often obtains
information concerning the violations of laws other than those within
the scope of its criminal investigative jurisdiction. In the interest of
effective law enforcement, the Secret Service should retain this
information as it may aid in establishing patterns of criminal activity,
and provide valuable leads for those law enforcement agencies charged
with enforcing other segments of the criminal law;
(iii) In interviewing persons, or obtaining other forms of evidence
during a criminal investigation, information will be supplied to the
investigator which relates to matters which are ancillary to the main
purpose of the investigation but which may relate to matters under the
investigative jurisdiction of another agency. Such information is not
readily susceptible to segregation.
e. 5 U.S.C. 552a(e)(2): This provision of the Privacy Act requires an
agency to collect information to the greatest extent practicable
directly from the subject individual when the information may result in
adverse determinations about an individual's right, benefits and
privileges under Federal programs. The reasons why the Criminal
Investigation Information System is exempted from the foregoing
provision are as follows:
(i) In certain instances, the subject of a criminal investigation is
not required to supply information to investigators as a matter of legal
right. In those instances, information relating to a subject's criminal
activities must be obtained from other sources;
(ii) A requirement that information be collected from an individual
who is the subject of a criminal investigation would put the individual
on notice of the existence of the investigation and could enable him to
avoid detection or apprehension;
(iii) In a criminal investigation it is necessary to obtain evidence
from a variety of sources other than the subject of the investigation in
order to accumulate and verify the evidence necessary for the successful
prosecution of persons suspected of violating the criminal laws.
f. 5 U.S.C. 552a(e)(3): This provision of the Privacy Act requires an
agency to inform each individual whom it asks to supply information of
the authority which authorizes the solicitation of the information and
whether disclosure of such information is mandatory or voluntary; the
principle purposes for which the information is intended to be used; the
routine uses which may be made of the information; and the effect on the
individual of not providing the requested information. The reasons why
the Criminal Investigation Information System is exempted from the
foregoing provision are as follows:
(i) Informing each individual who is asked to supply information in a
criminal investigation of the information required under the foregoing
provision could inform the individual of the existence of a confidential
investigation; reveal the identity of confidential sources of
information; and endanger the life or physical safety of confidential
informants;
(ii) Informing each individual who is asked to supply information in a
criminal investigation of the information required under the foregoing
provision could result in an unwarranted invasion of the privacy of
individuals who may be the subject of a criminal investigation or who
are suspected of engaging in criminal activity;
(iii) Informing each individual who is asked to supply information in
a criminal investigation of the information required under the foregoing
provision would inhibit such individuals from supplying the requested
information and thereby present a serious impediment to the successful
investigation and prosecution of violations of the criminal law.
g. 5 U.S.C. 552a(e)(5): This provision of the Privacy Act requires an
agency to maintain all records which are used in making any
determination about an individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual in the determination. The reasons why the
Criminal Investigation Information System is exempted from the foregoing
provisions are as follows:
(i) In gathering information during the course of a criminal
investigation it is usually not possible to determine in advance what
information is accurate, relevant, timely, and complete. Seemingly
nonrelevant or untimely information may acquire new significance as an
investigation progresses;
(ii) The restrictions on the maintenance of the records contained in
the foregoing provision could impede investigators and intelligence
analysts in the exercise of their judgment and discretion in reporting
on criminal investigations;
(iii) Compliance with the records maintenance criteria listed in the
foregoing provision could require the periodic up-dating of Secret
Service criminal investigations to insure that the records maintained in
the system remain timely and complete.
h. 5 U.S.C. 552a(e)(8): This provision of the Privacy Act requires an
agency to make reasonable efforts to serve notice to an individual when
any record on such individual is made available to any person under
compulsory legal process becomes a matter of public record. The reasons
why the Criminal Investigation Information System is exempted from the
foregoing provision are as follows:
(i) The notice requirement of the foregoing provision could impede law
enforcement by revealing investigative techniques and procedures;
(ii) The notice requirement of the foregoing provision could reveal
the existence of confidential investigations to individuals who are the
subjects of such investigations.
i. The foregoing exemptions are claimed for materials maintained in
the Criminal Investigation Information System to the extent that such
materials contain information and reports described in 5 U.S.C. 552a(j)
(2). Further, records maintained in the Criminal Investigation
Information System described in 5 U.S.C. 552a(k) are exempted from
subsections (c) (3), (d) (1), (2), (3) & (4); (e) (1), (e) (4) (G), (H)
and (I) and (f) of 5 U.S.C. 552a for the reasons previously stated.
II. U.S. Secret Service Non-Criminal Investigation Information System.
The Non-Criminal Investigation Information System is further described
in ``Notices of Records Systems'' published by the General Services
Administration.
(1) Provisions from which exempted: The Non-Criminal Investigation
Information System maintained by the Secret Service contains records
similar to those described in 5 U.S.C. 552a(k), the Privacy Act of 1974.
Exemptions are claimed for such described records where appropriate from
the following provisions of the Privacy Act of 1974: subsections (c)
(3), (d) (1), (2), (3) & (4); (e) (1); (e) (4) (G), (H), and (I) and (f)
of 5 U.S.C. 552(a).
(2) Reasons for claimed exemptions. a. 5 U.S.C. 552a(c) (3): This
provision of the Privacy Act provides for the release of the disclosure
accounting required by 5 U.S.C. 552a(c) (1) and (2) to the individual
named in the record at his request. The reasons why the Non-Criminal
Investigation Information System is exempted from the foregoing
provision are as follows;
(i) The release of accounting disclosures would put the subject of an
investigation on notice of the existence of an investigation and that he
is the subject of that investigation;
(ii) It would provide the subject of an investigation with an accurate
accounting of the date, nature, and purpose of each disclosure and the
name and address of the person or agency to whom the disclosure is made.
Obviously, the release of such information to the subject of an
investigation would provide him with significant information concerning
the nature of the investigation and could result in impeding or
compromising the efforts of law enforcement personnel to obtain
information essential to the successful conclusion of the investigation;
(iii) Disclosure to the individual of the disclosure accounting after
the investigation is closed would alert the individual as to which
agencies were investigating him; put him on notice concerning the scope
of his suspected activities and reveal investigatory techniques and the
identity of confidential informants. It could result in an invasion of
privacy of private citizens who provide information in connection with a
particular investigation.
(3) 5 U.S.C. 552a; (d), (e) (4) (G), (H) and (f): The foregoing
provisions of the Privacy Act relate to an individual's right to
notification of the existence of records pertaining to him and access to
such records and the agency procedures relating to notification, access
and contest of the information contained in such records. The reasons
why the Non-Criminal Investigation Information System of records is
exempted from the foregoing provisions are as follows:
(i) To notify an individual at his request of the existence of records
pertaining to him in the Non-Criminal Investigation Information System
would inform the individual of the existence of an investigation and
that he is the subject of that investigation. This could enable the
individual to secrete or destroy evidence essential to the successful
completion of the investigation;
(ii) To permit access to the records contained in the Non-Criminal
Investigation System would not only inform an individual that he is or
was the subject of an investigation, but would also provide him with
significant information concerning the nature of the investigation which
might enable him to avoid detection or apprehension;
(iii) To grant access to an on-going or closed non-criminal
investigative file would interfere with Secret Service investigative and
enforcement proceedings; deprive other parties involved in the
investigations of a right to a fair trial or an impartial adjudication;
constitute an unwarranted invasion of the personal privacy of others;
disclose the identity of confidential sources and reveal confidential
information supplied by such sources; and disclose investigative
techniques and procedures.
(3) 5 U.S.C. 552a(e) (4) (I). This provision of the Privacy Act
requires the publication of the categories of sources of records in each
system of records. The reasons why the Non-Criminal Investigation
Information System of records is exempted from the foregoing provision
are as follows:
(i) Revealing sources of information would disclose investigative
techniques and procedures;
(ii) Revealing sources of information would result in retaliation and
threat of reprisal by the subject under investigation against such
sources;
(iii) Revealing sources of information could cause witnesses,
informants and others who supply information to investigators to refrain
from giving such information because of fear of reprisal, or fear of
breach of promises of anonymity and confidentiality;
(iv) Revealing sources of information could result in the refusal of
some sources to give full and complete information or to be candid with
investigators because of the knowledge that the identity of such sources
may be disclosed.
(4) 5 U.S.C. 552a(e) (1): This provision of the Privacy Act requires
each agency to maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency. The reasons why the Criminal Investigation Information System of
records is exempted from the foregoing provision are as follows:
(i) In a non-criminal investigation it is difficult to determine
accurately the relevancy and necessity of information during the process
of information gathering. It is only after the information is evaluated
that the relevancy and necessity of such information can be ascertained;
(ii) In a non-criminal investigative case, the Secret Service often
obtains information concerning the violation of laws other than those
within the scope of its jurisdiction. In the interest of effective law
enforcement, it is desirable that the Secret Service retain this
information since it can aid in establishing patterns of unlawful
activity and provide valuable leads for those law enforcement agencies
that are charged with enforcing other segments of the criminal,
regulatory and civil laws;
(iii) In interviewing persons, or obtaining other forms of evidence
during an investigation, information will be supplied to the
investigator which relates to matters which are ancillary to the main
purpose of the investigation but which may relate to matters under the
investigative jurisdiction of another agency. Such information is not
readily susceptible to segregation.
(5) The foregoing exemptions are claimed for records maintained in the
Non-Criminal Investigation Information System only to the extent that
such records contain materials described in subsection (k) of 5 U.S.C.
552a, the Privacy Act of 1974.
III. U.S. Secret Service Protection Information System. The Protection
Information System is further described in ``Notices of Records
Systems'' published by the General Services Administration.
(1) Provisions from which exempted. The Protection Information System
maintained by the Secret Service contains records similar to those
described in 5 U.S.C. 552a(j) and (k), the Privacy Act of 1974. The
Protection Information System contains material relating to criminal
investigations concerned with the enforcement of criminal statutes
involving the security of persons and property. Further, this system
contains records described in 5 U.S.C. 552a(k) including, but not
limited to, classified materials and investigatory material compiled for
law enforcement purposes. There are maintained in the Protection
Information System, in addition to the categories of records described
above, records which are considered necessary to assuring the safety of
individuals protected by the Secret Service pursuant to the provisions
of 18 U.S.C. 3056 and Pub. L. 90-331 (5 U.S.C. 552a(k)(3)). Exemptions
are claimed for the above described records only where appropriate from
the following provisions of the Privacy Act of 1974: subsections (c)(3)
and (d) (1), (2), (3) and (4); (e) (1), (2) and (3); (e)(4) (G), (H) and
(I); (e) (5) and (8); (f) and (g) of 5 U.S.C. 552a.
(2) Reasons for claimed exemptions. a. 5 U.S.C. 552a(c)(3): This
provision of the Privacy Act provides for the release of the disclosure
accounting required by 5 U.S.C. 552a(c) (1) and (2) to the individual
named in the record at his request. The reasons why the Protection
Information System is exempted from the foregoing provision are as
follows:
(i) The release of accounting disclosures would put the subject of a
protective intelligence file on notice of the existence of an
investigation and that he is the subject of that investigation;
(ii) It would provide the subject of a protective intelligence file
with an accurate accounting of the date, nature, and purpose of each
disclosure and the name and address of the person or agency to whom the
disclosure is made. Obviously, the release of such information to the
subject of a protective intelligence file would provide him with
significant information concerning the nature of the investigation, and
could result in impeding or compromising the efforts of Secret Service
personnel to detect persons suspected of criminal activities or to
collect information necessary for the proper evaluation of persons
considered to be of protective interest;
(iii) Disclosures of the disclosure accounting after the protective
intelligence file is closed would alert the individual as to which
agencies were investigating him and would put him on notice concerning
the scope of the protective intelligence investigation and could aid him
in avoiding detection.
b. 5 U.S.C. 552a(c)(4); (d); (e)(4) (G) and (H); (f) and (g): The
foregoing provisions of the Privacy Act relate to an individual's right
to notification of the existence of records pertaining to him and access
to such records; the agency procedures relating to notification; access
and contest of the information contained in such records; and the civil
remedies available to the individual in the event of adverse
determinations by an agency concerning access to or amendment of
information contained in record systems. The reasons why the Protection
Information System of records is exempted from the foregoing provisions
are as follows:
(i) To notify an individual at his request of the existence of records
pertaining to him in the Protection Information System would be
injurious to the protective intelligence activities of the Secret
Service if the existence of files on the subject were even acknowledged.
Granting access to the criminal and the unstable person would
necessarily lead to knowledge of the sources of Secret Service
information and could endanger other enforcement and intelligence
operations and confidential sources including co-workers, friends and
relatives of the subjects of such records;
(ii) Limitation on access to the materials contained in the Protection
Information System is considered necessary to the preservation of the
utility of intelligence files and in safeguarding those persons the
Secret Service is authorized to protect. Without such denial of access
the Protection Information System could adversely effect in the poor
quality of information available; in compromised confidential sources;
in the inability to keep track of persons of protective interest; and
from interference with Secret Service protective intelligence activities
by individuals gaining access to protective intelligence files. Many of
the persons on whom records are maintained in the Protection Information
System suffer from mental aberrations. Knowledge of their condition and
progress comes from authorities, family members and witnesses. Many
times this information comes to the Secret Service as a result of two
party conversations where it would be impossible to hide the identity of
informants. Sources of information must be developed, questions asked
and answers recorded. Trust must be extended and guarantees of
confidentiality and anonymity must be maintained. Allowing access of
information of this kind to individuals who are the subjects of
protective interest may well lead to violence directed against an
informant by a mentally disturbed individual;
(iii) Permitting access to protective intelligence files would reveal
techniques and procedures, not only of Secret Service protective
investigations but could reveal the criteria by which protective
intelligence subjects are evaluated;
(iv) To notify an individual at his request of the existence of
records pertaining to him in the Protection Information System would
inform the individual of the existence of an investigation and that he
is the subject of protective interest. This would enable the individual
to avoid detection and would further enable him to inform co-
conspirators of the fact that an investigation is being conducted;
(v) To permit access to the records contained in the Protection
Information System would not only inform an individual that he is or was
the subject of protective interest, but would also provide him with
significant information concerning the nature of any investigation
concerning his activities;
(vi) To grant access to current or closed protective intelligence
files would interfere with Secret Service investigative and enforcement
proceedings; deprive co-defendants of a right to a fair trial or an
impartial adjudication; constitute an unwarranted invasion of the
personal privacy of others; disclose the identity of confidential
sources; reveal confidential information supplied by such sources; and
disclose investigative techniques and procedures, and endanger the life
or physical safety of law enforcement personnel, informants, witnesses,
and other persons suppling information to investigators.
c. 5 U.S.C. 552a(e)(4)(I). This provision of the Privacy Act requires
the publication of the categories of sources of records in each system
of records. The reasons why the Protection Information System of records
is exempted from the foregoing provision are as follows:
(i) Revealing sources of information would disclose investigative
techniques and procedures;
(ii) Revealing sources of information would result in retaliation and
threat of reprisal by the subject of a protective intelligence file;
(iii) Revealing sources of information would cause witnesses,
informants and others who supply information to Secret Service
investigators to refrain from giving such information because of fear of
reprisal, or fear of breach of promises of anonymity and
confidentiality;
(iv) Revealing sources of information would result in the refusal of
some sources to give full and complete information or to be candid with
investigators because of the knowledge that the identity of such sources
may be disclosed.
d. 5 U.S.C. 552a(e)(1): This provision of the Privacy Act requires
each agency to maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency. The reasons why the Protection Information System of records is
exempted from the foregoing provisions are as follows:
(i) In gathering protective intelligence information it is difficult
to determine accurately the relevancy and necessity of information
during the process of information gathering. It is only after the
information is evaluated that the relevancy and necessity of such
information can be ascertained;
(ii) In carrying out protective intelligence responsibilities the
Secret Service often obtains information concerning the violation of
laws other than those within the scope of its protective intelligence
jurisdiction. In the interest of effective law enforcement, it is
desirable that the Secret Service retain this information since it can
aid in establishing patterns of criminal activity and provide valuable
leads for those law enforcement agencies that are charged with enforcing
other segments of the criminal law;
(iii) During protective intelligence investigations, information will
be supplied to the investigator which relates to matters which are
ancillary to the main purpose of the investigation but which may relate
to matters under the investigative jurisdiction of another agency. Such
information is not readily susceptible to segregation.
e. 5 U.S.C. 552a(c)(2): This provision of the Privacy Act requires an
agency to collect information to the greatest extent practicable
directly from the subject individual when the information may result in
adverse determinations about an individual's rights, benefits and
privileges under Federal programs. The reasons why the Protection
Information System is exempted from the foregoing provision are as
follows:
(i) In certain instances, where the protective intelligence subject is
suspected of criminal activity, he is not required to supply information
to investigators as a matter of legal right. In those instances,
information relating to a subject's criminal activities must be obtained
from other sources;
(ii) A requirement that information be collected from an individual
who is of protective interest would put the individual on notice of the
existence of the intelligence investigation and such knowledge would
enable him to avoid detection in the event that the individual attempted
to physically harm persons protected by the Secret Service;
(iii) In a protective intelligence investigation where the subject of
the investigation is suspected of engaging in criminal activities it is
necessary to obtain evidence from a variety of sources other than the
subject of the investigation in order to accumulate and verify the
evidence necessary for the successful prosecution of persons suspected
of violating the criminal laws.
f. 5 U.S.C. 552a(e)(3): This provision of the Privacy Act requires an
agency to inform each individual whom it asks to supply information of
the authority which authorizes the solicitation of the information and
whether disclosure of such information is mandatory or voluntary; the
principle purposes for which the information is intended to be used; the
routine uses which may be made of the information; and the effect on the
individual of not providing the requested information. The reasons why
the Protection Information System is exempted from the foregoing
provision are as follows:
(i) Informing each individual who is asked to supply information in a
protective intelligence investigation of the information required under
the foregoing provision would inform the individual of the existence of
a confidential investigation; reveal the identity of confidential
sources of information; and endanger the life or physical safety of
confidential informants;
(ii) Informing each individual who is asked to supply information in a
protective intelligence investigation of the information required under
the foregoing provision would result in an unwarranted invasion of the
privacy of individuals who may be the subject of a criminal
investigation or who are suspected of engaging in criminal activity;
(iii) Informing each individual who is asked to supply information in
a protective intelligence investigation of the information required
under the foregoing provision would inhibit such individuals from
supplying the requested information and thereby present a serious
impediment to the success of the Secret Service in carrying out its
protective intelligence activities.
g. 5 U.S.C. 552a(e)(5): This provision of the Privacy Act requires an
agency to maintain all records which are used in making any
determination about an individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure
fairness to the individual in the determination. The reasons why the
Protection Information System is exempted from the foregoing provisions
are as follows:
(i) In gathering information during the course of a protective
intelligence investigation it is usually not possible to determine in
advance what information is accurate, relevant, timely, and complete.
Seemingly nonrelevant or untimely information may acquire new
significance as an investigation progresses;
(ii) The restrictions on the maintenance of the records contained in
the foregoing provision would impede investigators and intelligence
analysts in the exercise of their judgment and discretion in reporting
on protective intelligence subjects;
(iii) Compliance with the records maintenance criteria listed in the
foregoing provision would require the periodic up-dating of Secret
Service protective intelligence files to insure that the records
maintained in the system remain timely and complete.
h. 5 U.S.C. 552a(e)(8): This provision of the Privacy Act requires an
agency to make reasonable efforts to serve notice to an individual when
any record on such individual is made available to any person under
compulsory legal process becomes a matter of public record. The reasons
why the Protection Information System is exempted from the foregoing
provision are as follows:
(i) The notice requirement of the foregoing provision could impede
Secret Service protective efforts by revealing techniques and
procedures;
(ii) The notice requirements of the foregoing provision could reveal
the existence of confidential investigations to individuals who are the
subjects of such investigations.
i. The foregoing exemptions are claimed for materials maintained in
the Protection Information System to the extent that such materials
contain information and reports described in 5 U.S.C. 552a(j)(2).
Further, records maintained in the Protection Information System
described in 5 U.S.C. 552a(k) are to be exempted from subsections
(c)(3), (d) (1), (2), (3) and (4); (e)(1), (e)(4) (G), (H) and (I) and
(f) of 5 U.S.C. 552a for the reasons previously stated.
Bureau of Alcohol, Tobacco and Firearms
notice of systems exempt from certain provisions of the privacy act of
1974
In accordance with 5 U.S.C. 552a(j) and (k), general notice is hereby
given of rulemaking under the Privacy Act of 1974 by the Director,
Bureau of Alcohol, Tobacco and Firearms. The Director, Bureau of
Alcohol, Tobacco and Firearms, exempts the systems of records identified
in paragraphs (a), (b) and (c) of this section from certain provisions
of the Privacy Act of 1974 as set forth in such paragraphs.
exemptions
(a) General exemptions. Under the provisions of 5 U.S.C. 552a(j), the
Director, Bureau of Alcohol, Tobacco and Firearms, hereby determines
that certain provisions of the Privacy Act of 1974 shall not apply to
the Treasury--ATF Criminal Investigation Report System.
(1) The Privacy Act of 1974 creates several methods by which
individuals who are of record in this system of records may discover
information collected about their criminal activities. These methods are
as follows: Subsections (e)(4)(G) and (f)(1) allow individuals to
ascertain whether their criminal activities have been recorded;
subsections (d)(1), (e)(4)(H), and (f) (2), (3) and (5) establish the
ability of individuals to gain access into the investigatory files
maintained on their criminal activities; subsections (d) (2), (3) and
(4), (e)(4)(H), and (f)(4) presuppose access and further enable
individuals to contest the contents of their criminal files; subsection
(c)(3) allows individuals to discover if other law enforcement agencies
are investigating their criminal activities and subsection (e)(4)(I)
discloses the categories of sources of records in the system. Since
these subsections are variations upon the criminal subjects' ability to
ascertain whether a Federal law enforcement agency has uncovered their
criminal misdeeds, these subsections have been grouped together for
purposes of this notice.
(A) With respect to subsections (e)(4)(G) and (f)(1), the Bureau of
Alcohol, Tobacco and Firearms believes that imposition of these
requirements would identify to individuals the fact that they are of
record, and in so doing, compromise the ability of ATF to successfully
complete an investigation into violations of law. Where individuals have
the ability to discover the location and specific character of their
investigative records in this system, they will be able to determine the
nature of the investigation, the type of surveillance utilized and the
precise stage of the investigation into their criminal activities. When
individuals can determine that the investigation into their criminal
activities has been closed, they are placed on notice that they may
safely resume their illegal conduct. For these reasons, ATF seeks
exemption of this system from subsections (e)(4)(G) and (f)(1).
(B) With respect to subsections (d)(1), (e)(4)(H) and (f) (2), (3) and
(5), the Bureau of Alcohol, Tobacco and Firearms believes that access
into criminal investigative files poses present and future dangers on
the ability of this agency to effectively enforce the criminal laws
committed to its administration. Where individuals may break into an
ongoing criminal investigative file they discover the collection of
facts which will form the basis of their arrests. Knowledge of these
facts enables them to destroy valuable contraband or other evidence of
their activities prior to lawful seizure and thereby prevent enforcement
proceedings. The ongoing investigative file may reveal that reasonable
cause exists to believe that a crime is about to be committed.
Disclosure of these facts enable individuals with criminal intent to
either postpone the commission of their criminal acts or relocate the
scene of the crime to an alternatively acceptable location where Federal
agents will not be anticipated. After a criminal investigation has been
closed, information in the file nevertheless reveals to the investigated
subjects the techniques and procedures utilized by a law enforcement
agency. Knowledge of these investigative techniques and procedures by
individuals and groups devoted to crime enables them to structure their
future operations in such a way as to place these activities beyond
discovery until after the crime has been committed. Thus, the ability of
Federal agents to prevent crime by apprehension of the criminals at the
precise moment of commission of the criminal act is seriously
jeopardized.
Disclosure of investigative techniques and procedures could further
render the commission of the criminal act itself not susceptible to
reconstruction and tracing to its originator. Armed with a knowledge of
forensic science and the applied technology of criminal investigation
contained in their own files, individuals and groups of individuals
devoted to crime have the necessary information to develop counter-
techniques which may effectively neutralize established investigative
tools and procedures. Additionally, a closed criminal file reveals the
identities of informers and undercover agents who have possibly risked
their lives and the lives of their families by contributing information
concerning the criminal activities of individuals and groups.
Oftentimes, friends, family, neighbors and business associates of the
subject under investigation, secure in the assured anonymity of a
Federal criminal investigation, are not afraid to furnish valuable
information relating to the criminal activities of the subjects of
investigation. Where criminal subjects have access to the confidential
information in their criminal files (with or without the identities of
the sources) they can determine from the nature of the information and
by process of elimination the identity of those individuals against whom
to retaliate. This legitimate fear of reprisal exists in the minds of
neighbors, relatives, and co-workers, especially with regard to
individuals who are violence-prone or emotionally unstable. As a direct
result of this fear of discovery through access to the investigative
file, sources close to the criminal subject would decline to be
interviewed or otherwise refrain from contact with the Bureau. This
absence of information would render the Bureau unable to comply
effectively with the mandates of the statutes committed to its
administration. For these reasons, ATF seeks exemption of this system
from subsections (d)(1), (e)(4)(H) and (f) (2), (3) and (5).
(C) With respect to subsections (d) (2), (3) and (4), (e)(4)(H), and
(f)(4), which presuppose access and provide for contest of the content
of records contained in this system, the Bureau of Alcohol, Tobacco and
Firearms believes that the reasons set forth in subparagraph (B) of
paragraph (1) of this subsection are equally applicable to this
subparagraph, and are hereby incorporated by reference. For these
reasons, ATF seeks exemption of this system from subsections (d) (2),
(3) and (4), (e)(4)(H) and (f)(4).
(D) With respect to subsection (c)(3) which provides for making the
accounting of disclosures available to the requester, the Bureau of
Alcohol, Tobacco and Firearms believes that access to this accounting by
a subject under investigation would impair the ability of other law
enforcement agencies to utilize information developed by ATF for their
investigations into violations of criminal laws not enforced by ATF.
Where the interstate criminal activities of individuals or groups span
the jurisdictions of several law enforcement agencies, information will
be shared by these agencies in their attempts to bring these violators
to justice. Disclosure of the accounting will alert such individuals to
which agencies are conducting investigations, the geographic locations
of such investigations, the nature and purpose of the investigations,
and the date during which the investigation received information
maintained by ATF. Supplied with this information, individuals or groups
may ascertain which of their criminal activities have been discovered
and the law enforcement agencies which are in current pursuit. For these
reasons, ATF seeks exemption of this system from subsection (c)(3).
(E) With respect to subsection (e)(4)(I), which requires publication
of the categories of sources for a record system, the Bureau of Alcohol,
Tobacco and Firearms believes that imposition of subsection (e)(4)(I)
upon this system would reveal investigative techniques and procedures.
For this reason, ATF seeks exemption of this system from subsection
(e)(4)(I).
(2) The Privacy Act of 1974 provides, at subsection (e)(1), that an
agency may maintain only such information about an individual as is
relevant and necessary to accomplish a purpose of the agency required to
be accomplished by a statute or executive order of the President. The
term ``maintain'' is defined in the Privacy Act to include the initial
collection of information. The Bureau of Alcohol, Tobacco and Firearms
believes that exemption of this system from subsection (e)(1) is
appropriate because not all violations uncovered in an investigation are
capable of enforcement by ATF. Where individuals or groups are engaged
in a multiplicity of criminal violations, this evidence should be
recorded by ATF and transferred to the appropriate law enforcement
agencies. This Bureau should not and cannot legally ignore violations of
law uncovered in a lawful ATF investigation merely because ATF has no
authority to bring the criminal to justice for these non-ATF violations.
Where other agencies uncover evidence of ATF violations, this
information must be susceptible to collection and preservation by that
agency for subsequent use by ATF. Where an investigation by ATF uncovers
only ATF violations, information may initially appear irrelevant and
unnecessary when collected. However, a later stage of the investigation
may uncover additional facts which when placed together with the
initially collected irrelevant information, form the basis for
reasonable cause to believe that additional suspects are involved or
additional crimes have been or are being committed. Until all facts have
been gathered and evaluated at the conclusion of the investigation it
may not be possible to determine relevancy and necessity. For these
reasons, ATF seeks exemption of this system from subsection (e)(1).
(3) The Privacy Act of 1974 provides at subsection (e)(2) that an
agency must collect information to the greatest extent practicable
directly from the subject individual. The Bureau of Alcohol, Tobacco and
Firearms believes that this system should be exempted from subsection
(e)(2) because most information gathered upon a subject under
investigation is obtained from third parties and witnesses. There is a
minimal degree of practicability in contacting a criminal subject for
purposes of seeking information as to his criminal activities. Such
contact alerts the individual that he is under investigation and affords
him opportunity to conceal his criminal activities or otherwise avoid
detection or apprehension. In certain instances, the subject of a
criminal investigation is not required to supply information to
investigators as a matter of legal right. Law violators seldom give
self-incriminatory information about their involvement in criminal
activities. In those instances, information relating to the subject's
criminal activities must be obtained from other sources. For these
reasons, ATF seeks exemption of this system from subsection (e)(2).
(4) The Privacy Act of 1974 provides at subsection (e)(3) that each
individual must be informed of the authority, principle purposes, and
routine uses and effects on the individual when requested to provide
information. The Bureau of Alcohol, Tobacco and Firearms believes that
this system should be exempted from subsection (e)(3). When information
is obtained by undercover officers, conformity to (e)(3) discloses their
identity as agents of a law enforcement authority and thereby impairs
their physical safety as well as the successful conclusion of the
investigation. When presented with a written statement complying with
(e)(3) by special agents acting in undercover capacity, the individual
may not thereafter be completely open with such agents. For these
reasons, ATF seeks exemption of this system from subsection (e)(3).
(5) The Privacy Act of 1974 provides at subsection (e)(5) that an
agency maintain all records which are used in making any determination
about an individual with such accuracy, relevance, timeliness, and
completeness as is reasonably necessary to assure fairness to the
individual in the determination. Since the law defines ``maintain'' to
include collection of information, the Bureau of Alcohol, Tobacco and
Firearms believes that this system should be exempt from subsection
(e)(5) because it would prohibit the initial collection of any data not
shown to be accurate, relevant, timely or complete at the moment of its
collection. In gathering information during the course of a criminal
investigation it is not feasible or possible to determine completeness,
accuracy, timeliness or relevancy prior to collection of the
information. Facts are first gathered then placed into a cohesive order
which objectively proves or disproves criminal behavior on the part of a
suspect. Seemingly irrelevant, untimely and incomplete information when
gathered may acquire new significance as an investigation progresses.
The restrictions of (e)(5) could impede special agents in the
preparation of a complete investigative report. For these reasons, ATF
seeks exemption of this system from subsection (e)(5).
(6) The Privacy Act of 1974 provides, at subsection (e)(8), that an
agency must make reasonable efforts to serve notice on an individual
when his records are made available pursuant to compulsory legal
process, when such process becomes a matter of public record. Such a
requirement would impose unnecessary and unusual administrative demands
on the Bureau of Alcohol, Tobacco and Firearms by requiring a record
system to follow up on legal process emanating from court proceedings to
which ATF is not a party. The Bureau of Alcohol, Tobacco and Firearms
believes the duty of serving notice in such a case properly rests with
the moving party who seeks disclosure by utilization of the court's
compulsory legal process. Further, in most cases where an individual's
criminal records have been disclosed pursuant to compulsory legal
process, the individual who is the subject of the records will be a
party to the proceedings and will have actual notice of the disclosure.
For these reasons, ATF seeks exemption of this system from subsection
(e)(8).
(7) The Privacy Act of 1974 provides, at subsection (g), civil
remedies for agency failure to grant access, agency failure to amend
records, agency failure to maintain accurate, relevant, timely and
complete records and agency failure to comply with provisions of the
Privacy Act which have an adverse effect on an individual. The Bureau of
Alcohol, Tobacco and Firearms believes that this system should be
exempted from subsection (g) because the civil remedies provided in this
subsection apply to provisions in the Privacy Act which have been
exempted from application to this system by virtue of this notice. Since
these provisions are not intended to apply to this system, there should
be no corresponding civil penalty for failure to comply with the
requirements of these sections due to exercise of the exemption
authority. ATF believes that application of this subsection to this
system of records would impair ATF's ability to conduct investigations
into the criminal behavior of suspects because every step in the
investigation process in which information is compiled for prosecution
purposes would be susceptible to civil action under this subsection. For
these reasons, ATF seeks exemption of this system from subsection (g).
(b) Specific exemptions under Sec. 552a(k)(2). Under the provisions of
5 U.S.C. 552a(k)(2), the Director, Bureau of Alcohol, Tobacco and
Firearms, hereby determines that certain provisions of the Privacy Act
of 1974 shall not apply to the Treasury--ATF--Regulatory Enforcement
Record System, the Treasury--ATF--Technical and Scientific Services
Record System, and that portion of the Treasury--ATF--Internal Security
Record System relating to ``conduct of employees'' and ``integrity of
employees'' records.
(1) The Privacy Act of 1974 creates several methods by which
individuals may discover records containing information on such
individuals and consisting of investigatory material compiled for law
enforcement purposes. These methods are as follows: Subsection (c)(3)
allows individuals to discover if other agencies are investigating such
individuals; subsections (d)(1), (e)(4)(H), and (f) (2), (3) and (5)
establish the ability of individuals to gain access to investigatory
material compiled on such individuals; subsections (d) (2), (3) and (4),
(e)(4)(H) and (f)(4) presuppose access and enable individuals to contest
the contents of investigatory material compiled on these individuals;
and subsections (e)(4)(G) and (f)(1) allow individuals to determine
whether or not they are under investigation. Since these subsections are
variations upon the individuals' ability to ascertain whether their
civil or criminal misdeeds have been discovered, these subsections have
been grouped together for purposes of this notice.
(A) The Bureau of Alcohol, Tobacco and Firearms believes that
imposition of the requirements of subsection (c) (3), requiring
accounting of disclosures be made available to individuals, would impair
the ability of ATF and other investigative entities to conduct
investigations of alleged or suspected violations of civil or criminal
laws. Making the accounting of disclosures available identifies to
individuals which investigative entities are investigating the
individuals, the nature of the violations of which they are suspected,
and the purpose for the exchange of information. Supplied with this
information, the individuals concerned would be able to alter their
ongoing and future illegal activities, conceal or destroy evidentiary
materials and documents, and otherwise seriously impair the successful
completion of investigations. Further, where individuals learn the
geographic location and identity of the investigative entities which are
interested in them, such individuals are able to move the site of their
illegal activities or become secure in the knowledge that their illegal
activities have not been detected in particular geographic locations.
For these reasons, ATF seeks an exemption from the requirements of
subsection (c)(3).
(B) With respect to subsections (d) (1), (e)(4)(H), and (f) (2), (3)
and (5), the Bureau of Alcohol, Tobacco and Firearms believes that
access into investigatory material would prevent the successful
completion of ongoing investigations. Individuals who gain access to
investigatory material compiled on them discover the nature and extent
of the violations of civil or criminal laws which they are suspected or
alleged to have committed. By gaining access, such individuals also
learn the facts developed during an investigation. Knowledge of the
facts and the nature and extent of the suspected or alleged violations
enables these individuals to destroy materials or documents which would
have been used as evidence against them. In addition, knowledge of the
facts and the suspected violations gives individuals, who are committing
ongoing violations or who are about to commit violations of civil or
criminal laws, the opportunity to temporarily postpone the commission of
the violations or to effectively disguise the commission of these
violations. Access to material compiled on investigated individuals
reveals investigative techniques and the procedures followed in
conducting investigations. Disclosure of these techniques and procedures
enables individuals who intend to violate civil or criminal laws to
structure their future illegal activities in such a way that they escape
detection. Investigative material may contain the identity of
confidential sources of information. Individuals who gain access to
investigatory material compiled on them learn the identity of these
confidential sources. Even where the name of the source is not revealed,
investigated individuals may learn the identity of confidential sources
by the process of elimination or by the very nature of the information
contained in the files. Where the identity of confidential sources has
been revealed, they may be subject to various forms of reprisal. If
confidential sources of information are subjected to reprisals or the
fear of reprisals, they would become reluctant to provide information
necessary to identify or prove the guilt of individuals who violate
civil or criminal laws. Without the information that is often supplied
by confidential sources, the ability of investigative entities would be
seriously impaired. For the reasons stated in this paragraph, ATF seeks
exemption from the requirements of subsections (d)(1), (e)(4)(H), and
(f) (2), (3) and (5).
(C) With respect to subsections (d) (2), (3) and (4), (e) (4) (H), and
(f) (4), the Bureau of Alcohol, Tobacco and Firearms believes that the
imposition of these requirements, which presuppose access and provide
for amending records, would impair ATF's ability to conduct
investigations for the same reasons stated in the preceding paragraph
(b)(1)(B), and are incorporated by reference herein. Therefore, ATF
seeks exemption from the requirements of subsections (d) (2), (3) and
(4), (e)(4)(H), and (f)(4).
(D) With respect to subsections (e) (4)(G) and (f)(1), the Bureau of
Alcohol, Tobacco and Firearms believes that informing individuals that
they are of record would impair the ability of ATF to successfully
complete the investigations of suspected or alleged violators of civil
or criminal laws. Individuals, who are informed that they have been
identified as suspected violators of civil or criminal laws, are given
the opportunity to destroy evidence or other material needed to prove
the alleged violations. Such individuals would also be able to impair
investigations by temporarily suspending ongoing illegal activities or
by restructuring intended illegal activities. Informing individuals that
they are of record in a particular system of records enables such
individuals to learn the nature of the investigation, the character of
the investigatory material and the specific civil or criminal laws they
are suspected of violating. For these reasons, ATF seeks exemption from
the requirements of subsections (e)(4)(G) and (f)(1).
(2) Subsection (e) (1) of the Privacy Act of 1974 requires that ATF
maintain in its records only information that is relevant and necessary
to accomplish a purpose of ATF required to be accomplished by statute or
by executive order of the President. The Bureau of Alcohol, Tobacco and
Firearms believes that imposition of such requirement would seriously
impair the ability of ATF and other investigative entities to
effectively investigate suspected or alleged violations of civil or
criminal laws. Where individuals are engaged in a broad variety of
violations, if ATF were only to collect information necessary and
relevant to laws under ATF's jurisdiction, ATF would be unable to
perform one of its functions, i.e., working with other governmental
agencies which have similar jurisdictional concerns. Additionally, it is
often impossible to determine whether or not information is relevant and
necessary until the investigation is completed. When initially
collected, information may appear irrelevant or immaterial. However,
when this information is placed together with additional data gathered
at a later stage of the investigation, the initially collected
irrelevant information may form the basis for reasonable cause to
believe additional violations of law are present or additional suspects
are involved. Until all facts have been gathered and evaluated it may
not be possible to determine relevancy and materiality. For these
reasons, ATF seeks an exemption from the requirement of subsection (e)
(1).
(c) Specific exemptions under Sec. 552a (k) (5). The Director, Bureau
of Alcohol, Tobacco and Firearms exempts under Sec. (k) of the Privacy
Act of 1974, 5 U.S.C. 552a, that portion of the Treasury--ATF--Internal
Security Record System relating to ``security clearances for employees''
records, and the Treasury-- ATF--Personnel Record System from sections
(c)(3), (d) (1) through (4), (e)(1), (e)(4)(G) through (e)(4)(I), and
(f) of the Act. The records maintained in the exempt systems of records
are of the type described in section (k)(5) of the Act: Investigatory
material compiled solely for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment, military
service, Federal contracts, or access to classified information, but
only to the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government under
an express promise that the identity of the source would be held in
confidence, or, prior to the effective date of this section, under an
implied promise that the identity of the source would be held in
confidence.
Thus to the extent that the records in this system can be disclosed
without revealing the identity of a confidential source, they are not
within the scope of this proposed exemption and are subject to all the
requirements of the Privacy Act.
The sections of the Act from which this system of records are exempt
are in general those providing for individual access to records. When
such access would cause the identity of a confidential source to be
revealed, it would impair the future ability of the Treasury Department
to compile investigatory material for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, Federal contracts, or access to classified information.
In addition, the systems are exempt from section (e)(1) which requires
that the agency maintain in its records only such information about an
individual as is relevant and necessary to accomplish a statutory or
executively ordered purpose. The Director finds that to fulfill the
requirements of section (e) (1) would unduly restrict the agency in its
information gathering inasmuch as it is often not until well after the
investigation that it is possible to determine the relevance and
necessity of particular information.
If any investigations within the scope of section (k)(5) become
involved with civil or criminal matters, exemptions from the Act could
also be asserted under sections (k)(2) or (j)(2).
(d) Application of exemptions to records exempt in whole or in part.
(1) When an individual requests records about himself which have been
exempted from individual access pursuant to 5 U.S.C. 552a(j) or which
have been compiled in reasonable anticipation of a civil action or
proceeding in either a court or before an administrative tribunal, the
Bureau of Alcohol, Tobacco and Firearms will neither confirm nor deny
the existence of the record but shall advise the individual only that no
record available to him pursuant to the Privacy Act of 1974 has been
identified.
(2) When there is a request for information which has been classified
by ATF pursuant to Executive Order 11652 and Treasury Order 160, ATF
will review the information to determine whether it continues to warrant
classification under the criteria of sections 1 and 5 (B), (C), (D), and
(E) of the Executive Order. Information which no longer warrants
classification under these criteria shall be declassified. After
declassification, the information shall be made available to the
individual, unless an exemption is claimed. If the information continues
to warrant classification, the provisions of EO 11652 shall apply.
(3) Requests for information which have been exempted from disclosure
pursuant to 5 U.S.C. 552a(k)(2) shall be responded to in the manner
provided in paragraph (d)(1) of this section unless a review of the
information indicates that the information has been used to deny the
individual any right, privilege, or benefit for which he is eligible or
to which he would otherwise be entitled under federal law. In that
event, the individual shall be advised of the existence of the
information and shall be provided the information except to the extent
it would reveal the identity of a source who furnished information to
the Government under an express promise that the identity of the source
would be held in confidence, or, prior to September 27, 1975, under an
implied promise that the identity of the source would be held in
confidence.
(4) Information compiled as part of an employee background
investigation which has been exempted pursuant to 5 U.S.C. 552a(k)(5)
shall be made available to an individual upon request except to the
extent it would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence, or, prior to September 27,
1975, under an implied promise that the identity of the source would be
held in confidence.
(5) Even though the exemptions described in paragraphs (a), (b) and
(c) of this section may be fully applicable, the Bureau may, if not
precluded by law, elect under the circumstances of a particular case not
to apply the exemption; or to exempt only a part. The fact that the
exemption is not applied by the Bureau in a particular case has no
precedential significance as to the application of the exemption to such
matter in other cases. It is merely an indication that in the particular
case involved, the Bureau finds no compelling necessity for applying the
exemption to such matter. Where the Bureau has elected not to apply an
exemption, in whole or in part, appendix E of 31 CFR part 1, subpart C,
relating to ATF's notice, access and amendment procedures shall apply to
the records requested only to the extent that the exemption was not
asserted.
Bureau of Engraving and Printing, Department of the Treasury
Notice of rules exempting certain systems from requirements of the
Privacy Act
(a) In general. The Director of the Bureau of Engraving and Printing
exempts the Office of Security Investigative Files from the provisions
of certain subsections of 5 U.S.C. 552a, the Privacy Act of 1974. The
purpose of the exemptions is to maintain the confidentiality of
information compiled for the purpose of criminal, non-criminal, employee
suitability and security investigations.
(b) Authority. These rules are promulgated pursuant to the authority
vested in the Secretary of the Treasury by 5 U.S.C. 552a(k) and pursuant
to the authority vested in the Director, Bureau of Engraving and
Printing.
(c) Exempted System. Bureau of Engraving and Printing, Office of
Security, Investigative Files.
(1) Provisions from which exempted. The Investigative Files maintained
by the Office of Security contain records described in 5 U.S.C.
552a(k)(2), the Privacy Act of 1974. Exemptions will be claimed for such
described records only where appropriate from the following provisions
of the Privacy Act of 1974: Subsections (c)(3); (d) (1), (2), (3), (4);
(e)(1); (e)(4) (G), (H), and (I); and (f) of 5 U.S.C. 552a.
(2) Reasons for claimed exemptions. a. 5 U.S.C. 552a(c)(3): This
provision of the Privacy Act provides for the release of the disclosure
accounting required by 5 U.S.C. 552a(c) (1) and (2) to the individual
named in the Investigative Files. The reasons why these files are
exempted from the foregoing provision are as follows:
(i) The release of accounting disclosures would put the subject of a
security investigation on notice of the existence of an investigation
and that he is the subject of that investigation;
(ii) It would provide the subject of an investigation with an accurate
accounting of the date, nature, and purpose of each disclosure and the
name and address of the person or agency to whom the disclosure is made.
Obviously, the release of such information to the subject of a security
investigation would provide him with significant information concerning
the nature of the investigation and could result in impeding or
compromising the efforts of Bureau Security personnel to detect and
report persons suspected of illegal, unlawful, or unauthorized activity;
(iii) Disclosure to the individual of the disclosure accounting after
the investigation is closed would alert the individual as to which
agencies were investigating him and would put him on notice concerning
the scope of his suspected improper activities and could aid him in
avoiding detection and apprehension.
b. 5 U.S.C. 552a(d) (1), (2), (3), (4); (e)(4) (G) and (H); and (f):
The foregoing provisions of the Privacy Act relate to an individual's
right to notification of the existence of records pertaining to him and
access to such records; the agency procedures relating to notification,
access and contest of the information continued in such records. The
reasons why the Investigative Files are exempted from the foregoing
provisions are as follows:
(i) To notify an individual at his request of the existence of records
pertaining to him in the Investigative Files would inform the individual
of the existence of an investigation and that he is the subject of that
investigation. This would enable the individual to avoid detection and
would further enable him to inform co-conspirators of the fact that an
investigation is being conducted;
(ii) To permit access to the records contained in the Investigative
Files would not only inform an individual that he is or was the subject
of a security investigation, but would also provide him with significant
information concerning the nature of the investigation which might
enable him to avoid detection or apprehension;
(iii) To grant access to an on-going or closed investigative file
could interfere with Office of Security investigative proceedings,
disclose the identity of confidential sources and reveal confidential
information supplied by such sources, and disclose investigative
techniques and procedures, or endanger the life or physical safety of
Office of Security personnel, informants, witnesses, and other persons
supplying information to investigators.
c. 5 U.S.C. 552a(e)(4)(I). This provision of the Privacy Act requires
the publication of the categories of sources of records in each system
of records. The reasons why the Investigative Files are exempted from
the foregoing provision are as follows:
(i) Revealing sources of information could disclose investigative
techniques and procedures;
(ii) Revealing sources of information could result in retaliation and
threat of reprisal by the subject under investigation against such
sources;
(iii) Revealing sources of information could cause witnesses,
informants and others who supply information to Office of Security
investigators to refrain from giving such information because of fear of
reprisal, or fear of breach of promises of anonymity and
confidentiality;
(iv) Revealing sources of information could result in the refusal of
some sources to give full and complete information or to be candid with
investigators because of the knowledge that the identity of such sources
may be disclosed.
d. 5 U.S.C. 552a(e)(1): This provision of the Privacy Act requires
each agency to maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency. The reasons why the Investigative Files are exempted from the
foregoing provision are as follows:
(i) In a security investigation it is difficult to determine
accurately the relevancy and necessity of information during the process
of information gathering. It is only after the information is evaluated
that the relevancy and necessity of such information can be ascertained;
(ii) In a security investigation, the Office of Security often obtains
information concerning the violation of laws other than those within the
scope of its responsibilities. In the interest of effective law
enforcement, it is desirable that the Office of Security retain this
information since it can aid in establishing patterns of criminal
activity and provide valuable leads for those law enforcement agencies
that are charged with enforcing other segments of the criminal law;
(iii) In interviewing persons, or obtaining other forms of evidence
during a criminal investigation, information will be supplied to the
investigator which relates to matters which are ancillary to the main
purpose of the investigation but which may relate to matters under the
investigative jurisdiction of another agency. Such information is not
readily susceptible to segregation.
e. The foregoing exemptions are claimed for materials maintained in
the Investigative Files to the extent that such materials contain
information and reports described in 5 U.S.C. 552a(k)(2).
The Bureau of Engraving and Printing exempts under section (k) of the
Privacy Act of 1974, 5 U.S.C. 552a, the Bureau's Personnel Security
Files and Personnel Security Files and Indices from sections (c)(3),
(d), (e)(1), (e)(4)(G) through (e)(4)(I), and (f) of the Act. The
records maintained in the exempt systems of records are of the type
described in section (k)(5) of the Act:
Investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, Federal contracts, or access to classified
information, but only to the extent that the disclosure of such material
would reveal the identity of a source who furnished the information to
the Government under an express promise that the identity of the source
would be held in confidence, or, prior to the effective date of this
section, under an implied promise that the identity of the source would
be held in confidence.
Thus to the extent that the records in this system can be disclosed
without revealing the identity of a confidential source, they are not
within the scope of this exemption and are subject to all the
requirements of the Privacy Act.
The sections of the Act from which this system of records are exempt
are in general those providing for individual access to records. When
such access would cause the identity of a confidential source to be
revealed, it would impair the future ability of the Treasury Department
to compile investigatory material for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, Federal contracts, or access to classified information.
In addition, the systems are exempt from section (e)(1) which requires
that the agency maintain in its records only such information about an
individual as is relevant and necessary to accomplish a statutory or
executively ordered purpose. The Director finds that to fulfill the
requirements of section (e)(1) would unduly restrict the agency in its
information gathering inasmuch as it is often not until well after the
investigation that it is possible to determine the relevance and
necessity of particular information.
If any investigations within the scope of section (k)(5) become
involved with civil and criminal matters, exemptions from the Act should
also be asserted under sections (k) (2) or (j) (2).
Bureau of the Mint
Notice of rules exempting certain systems from requirements of the
Privacy Act
(a) In general. The Director of the Mint exempts investigatory files
on theft of Mint property and examination reports of coins forwarded to
the Mint by the U.S. Secret Service from certain subsections of 5 U.S.C.
552a, the Privacy Act of 1974. The purpose of the exemption is to
maintain the confidentiality of investigatory material compiled for law
enforcement purposes.
(b) Authority. These rules are promulgated pursuant to the authority
vested in the Secretary of the Treasury by 5 U.S.C. 552(a)(k)(2), and
pursuant to the authority vested in the Director of the Mint by section
1.23(c) of subpart C of part 1 of subtitle A of title 31 of the Code of
Federal Regulations.
(c) Name of systems. Examination Reports of Coins Forwarded to Mint
from U.S. Secret Service and Investigatory Files on Theft of Mint
Property.
(d) Provisions from which exempted. These two systems consist in large
part of records generated by the U.S. Secret Service in connection with
its responsibilities to enforce various criminal laws. Those records are
described in 5 U.S.C. 552a(j) and are exempted from various provisions
of the Privacy Act of 1974 by the Director of the U.S. Secret Service.
To a lesser extent, these two systems also contain records generated and
compiled by the Bureau of the Mint in assisting the U.S. Secret Service
in its law enforcement efforts. Those records are described in 5 U.S.C.
552a(k)(2), the Privacy Act of 1974. Exemptions will be claimed for such
records only where appropriate from the following provisions,
subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I) and (f) of 5
U.S.C. 552a.
(e) Reasons for claimed exemptions. Those provisions of the Privacy
Act would otherwise require the Bureau of the Mint to notify an
individual of investigatory material maintained in a record pertaining
to him, permit access to such record, permit request for its correction
(section 552a(d), (e)(4) (G), (H) and (f)); make available to him any
required accounting of disclosures made of the record (section
552a(c)(3)), publish the sources of records in the system (section
552a(e)(4) (I)); and screen records to insure that there is maintained
only such information about an individual as is relevant to accomplish a
required purpose of the Bureau (section 552a(e)(1)). Disclosure to an
individual of investigatory material pertaining to him would hamper law
enforcement by prematurely disclosing the knowledge of illegal
activities and the evidentiary bases for possible enforcement actions.
Furthermore, the disclosure of certain investigatory material compiled
for law enforcement purposes may disclose investigative techniques and
procedures, so that future law enforcement efforts would be hindered.
Access to an accounting of disclosures of such records would have a
similar detrimental effect on law enforcement. Accordingly, the Director
of the Mint finds that the public interest and public policy in
protecting the coinage and property of the United States require
exemption from the stated sections of the Act to the extent that they
are applicable to appropriate materials in these two systems.
Comptroller of the Currency
Notice of Rules Exempting Certain Systems of Records From the
Requirements of the Privacy Act
(a) In General. The Office of the Comptroller of the Currency exempts
the following systems of records from certain provisions of the Privacy
Act: (1) Enforcement and Compliance Information; (2) Federal Bureau of
Investigation Report Card index; (3) Chief Counsel's Management
Information System. The purpose of the exemption is to maintain
confidentiality of data obtained from various sources that may
ultimately accomplish a statutory or executively-ordered purpose.
(b) Authority. The authority to issue exemptions is vested in the
Office of the Comptroller of the Currency, as a constituent unit of the
Treasury Department, by 31 CFR 1.20 and 1.23(c).
(c) Exemptions under 5 U.S.C. 552a(j)(2). (1) Under 5 U.S.C.
552a(j)(2), the head of any agency may issue rules to exempt any system
of records within the agency from certain provisions of the Privacy Act
of 1974, if the agency or component that maintains the system performs
as its principal function any activities pertaining to the enforcement
of criminal laws. Components of the Office of the Comptroller of the
Currency are involved in the investigation of fraudulent or other
illegal activities as well as other sensitive matters, in order to carry
out their bank supervisory function. Exemptions will be claimed for such
records only where appropriate.
(2) To the extent that the exemption under 5 U.S.C. 552a(j)(2) does
not apply to the above named systems of records, then the exemption
under 5 U.S.C. 552a(k)(2) relating to investigatory material compiled
for law enforcement purposes is claimed for certain records in the
systems. Exemptions will be claimed for such records only where
appropriate.
(3) The provisions of the Privacy Act of 1974 from which exemptions
are claimed under 5 U.S.C. 552a(j)(2) are as follows:
5 U.S.C. 552a(c)(3) and (4)
5 U.S.C. 552a(d)(1), (2), (3), (4)
5 U.S.C. 552a(e)(1), (2), and (3)
5 U.S.C. 552a(e)(4)(G), (H), and (I)
5 U.S.C. 552a(e)(5) and (8)
5 U.S.C. 552a(f)
5 U.S.C. 552a(g)
(d) Exemptions under 5 U.S.C. 552a(k)(2). (1) Under 5 U.S.C.
552a(k)(2), the head of any agency may issue rules to exempt any system
of records within the agency from certain provisions of the Privacy Act
of 1974 if the system is investigatory material compiled or law
enforcement purposes.
(2) To the extent that information contained in the above-named
systems has as its principal purpose the enforcement of criminal laws,
the exemption for such information under 5 U.S.C. 552a(j)(2) is claimed.
(3) Provisions of the Privacy Act of 1974 from which exemptions are
claimed under 5 U.S.C. 552a(k)(2) are as follows:
5 U.S.C. 552a(c)(3)
5 U.S.C. 552a(d)(1), (2), (3), and (4)
5 U.S.C. 552a(e)(1)
5 U.S.C. 552a(e)(4)(G), (H), and (I)
5 U.S.C. 552a(f)
(e) Reasons for exemptions under 5 U.S.C. 552a(j)(2) and (k)(2). (1) 5
U.S.C. 552a(c)(3) requires that an agency make accountings of
disclosures of records available to individuals named in the records at
their request. These accountings must state the date, nature and purpose
of each disclosure of the record and the name and address of the
recipient. The application of this provision would alert subjects of an
investigation to the existence of the investigation and that such
persons are the subjects of that investigation. Since release of such
information to subjects of an investigation would provide the subjects
with significant information concerning the nature of the investigation,
it could result in the altering or destruction of documentary evidence,
improper influencing of witnesses, and other activities that could
impede or compromise the investigation.
(2) 5 U.S.C. 552a(c)(4), (d)(1), (2), (3), and (4), (e)(4)(G) and (H),
(f), and (g) relate to an individual's right to be notified of the
existence of records pertaining to such individual; requirements for
identifying an individual who requests access to records; the agency
procedures relating to access to records and the content of information
contained in such records; and the civil remedies available to the
individual in the event of adverse determinations by an agency
concerning access to or amendment of information contained in record
systems. These systems are exempt from the foregoing provisions for the
following reasons: To notify an individual at the individual's request
of the existence of records in an investigative file pertaining to such
individual or to grant access to an investigative file could: Interfere
with investigative and enforcement proceedings; interfere with co-
defendants' rights to a fair trial; constitute an unwarranted invasion
of the personal privacy of others; disclose the identity of confidential
sources and reveal confidential information supplied by these sources;
or disclose investigative techniques and procedures.
(3) 5 U.S.C. 552a(e)(4)(I) requires the publication of the categories
of sources of records in each system of records. The application of this
provision could disclose investigative techniques and procedures and
cause sources to refrain from giving such information because of fear of
reprisal, or fear of breach of promises of anonymity and
confidentiality. This would compromise the ability to conduct
investigations, and to identify, detect, and apprehend violators.
(4) 5 U.S.C. 552a(e)(1) requires each agency to maintain in its
records only such information about an individual that is relevant and
necessary to accomplish a purpose of the agency required by statute or
Executive Order. An exemption from the foregoing is needed:
(i) Because it is not possible to detect relevance or necessity of
specific information in the early stages of a criminal or other
investigation.
(ii) Relevance and necessity are questions of judgment and timing.
What appears relevant and necessary when collected may ultimately be
determined to be unnecessary. It is only after the information is
evaluated that the relevance can be established.
(iii) In any investigation the Comptroller of the Currency may obtain
information concerning violations of laws other than those within the
scope of its jurisdiction. In the interest of effective law enforcement,
the Comptroller of the Currency should retain this information as it may
aid in establishing patterns of criminal activity, and provide leads for
those law enforcement agencies charged with enforcing other segments of
criminal or civil law.
(iv) In interviewing persons, or obtaining other forms of evidence
during an investigation, information may be supplied to the investigator
which relates to matters incidental to the main purpose of the
investigation but which may relate to matters under the investigative
jurisdiction of another agency. Such information cannot readily be
segregated.
(5) 5 U.S.C. 552a(e)(2) requires an agency to collect information to
the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs.
The application of the provision would impair investigations for the
following reasons:
(i) In certain instances the subject of an investigation cannot be
required to supply information to investigators. In those instances,
information relating to a subject's illegal acts, violations of rules of
conduct, or any other misconduct, etc., must be obtained from other
sources.
(ii) Most information collected about an individual under
investigation is obtained from third parties such as witnesses and
informers. It is not feasible to rely upon the subject of the
investigation as a source for information regarding his activities.
(iii) The subject of an investigation will be alerted to the existence
of an investigation if an attempt is made to obtain information from the
subject. This would afford the individual the opportunity to conceal any
criminal activities in order to avoid apprehension.
(iv) In any investigation it is necessary to obtain evidence from a
variety of sources other than the subject of the investigation in order
to verify the evidence necessary for successful litigation.
(6)(i) 5 U.S.C. 552a(e)(3) requires that an agency must inform the
subject of an investigation who is asked to supply information of:
(A) The authority under which the information is sought and whether
disclosure of the information is mandatory or voluntary,
(B) The purposes for which the information is intended to be used,
(C) The routine uses which may be made of the information, and
(D) The effects on the subject, if any, of not providing the requested
information.
(ii) The reasons for exempting these systems of records from the
foregoing provision are as follows:
(A) The disclosure to the subject of the investigation as stated in
paragraph (e)(6)(i)(B) would provide the subject with substantial
information relating to the nature of the investigation and could impede
or compromise the investigation.
(B) If the subject were informed as required by this provision, it
could seriously interfere with information-gathering activities by
requiring disclosure of sources of information and, therefore, impairing
the successful conclusion of the investigation.
(C) Individuals may be contacted during preliminary information-
gathering in investigations before any individual is identified as the
subject of an investigation. Informing the individual of the matters
required by this provision would hinder or adversely affect any present
or subsequent investigations.
(7) 5 U.S.C. 552a(e)(5) requires that records be maintained with such
accuracy, relevance, timeliness, and completeness as is reasonably
necessary to assure fairness to the individual in making any
determination about an individual. Since the law defines ``maintain'' to
include the collection of information, complying with this provision
would prevent the collection of any data not shown to be accurate,
relevant, timely, and complete at the moment of its collection. In
gathering information during the course of an investigation it is not
possible to determine this prior to collection of the information. Facts
are first gathered and then placed in a logical order which objectively
proves or disproves suspected behavior on the part of the suspect.
Material which may seem unrelated, irrelevant, incomplete, untimely,
etc., may take on added meaning as an investigation progresses. The
restrictions in this provision could interfere with the preparation of a
complete investigative report.
(8) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable efforts
to serve notice on an individual when any record on such individual is
made available to any person under compulsory legal process when such
process becomes a matter of public record. The notice requirement of
this provision could prematurely reveal an ongoing investigation to the
subject of the investigation.
(f) Documents exempted. Exemption will be claimed for certain records
only where appropriate under the above provisions.
[40 FR 45692, Oct. 2, 1975, as amended at 44 FR 7141, Feb. 6, 1979, 44
FR 42189, July 19, 1979; 45 FR 13455, Feb. 29, 1980; 48 FR 48460, Oct.
19, 1983; 52 FR 11990, Apr. 14, 1987; 58 FR 12447, Mar. 26, 1991; 59 FR
47538, Sept. 16, 1994]
Appendices to Subpart C
Appendix A--Departmental Offices
1. In general. This appendix applies to the Departmental Offices as
defined in 31 CFR part 1, subpart C, Sec. 1.20. 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, the
officers designated to make the initial and appellate determinations
with respect to requests for amendment of records, the officers
designated to grant extensions of time on appeal, the officers with whom
``Statement 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(e)(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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Departmental Offices, will be made by the head of
the organizational unit having immediate custody of the records
requested, or the delegate of such official. This information is
contained in the appropriate system notice in the ``Privacy Act
Issuances'', published annually by the Office of the Federal Register.
Requests for information and specific guidance on where to send requests
for records should be addressed to:
Privacy Act Request, DO, Department of the Treasury, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
Requests may be delivered personally to the Main Treasury Building,
Room 5030, 1500 Pennsylvania Avenue NW, Washington, DC.
3. Requests for amendments of records. Initial determinations under 31
CFR 1.27(a) through (d) with respect to requests to amend records for
records maintained by the Departmental Offices will be made by the head
of the organization or unit having immediate custody of the records or
the delegate of such official. Requests for amendment of records should
be addressed as indicated in the appropriate system notice in ``Privacy
Act Issuances'' published by the Office of the Federal Register.
Requests for information and specific guidance on where to send these
requests should be addressed to: Privacy Act Amendment Request, DO,
Department of the Treasury, 1500 Pennsylvania Avenue, NW, Washington, DC
20220.
4. Administrative appeal of initial determination refusing to amend
record. Appellate determinations under 31 CFR 1.27(e) with respect to
records of the Departmental Offices, including extensions of time on
appeal, will be made by the Secretary, Deputy Secretary, Under
Secretary, General Counsel, or Assistant Secretary having jurisdiction
over the organizational unit which has immediate custody of the records,
or the delegate of such official, as limited by 5 U.S.C. 552a(d) (2) and
(3). Appeals made by mail should be addressed as indicated in the letter
of initial decision or to:
Privacy Act Amendment Request, DO Department of the Treasury, 1500
Pennsylvania Avenue, NW, Washington, DC 20220. Appeals may be delivered
personally to the Library, Room 5030, Main Treasury Building, 1500
Pennsylvania Avenue, NW, Washington, DC.
5. Statements of Disagreement. ``Statements of Disagreement'' as
described in 31 CFR 1.27(e)(4) shall be filed with the official signing
the notification of refusal to amend at the address indicated in the
letter of notification within 35 days of the date of notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
General Counsel of the Department of the Treasury or the delegate of
such official and shall be delivered to the following location:
General Counsel, Department of the Treasury, Room 3000, Main Treasury
Building, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
7. Annual notice of systems of records. The annual notice of systems
of records required to be published by the Office of the Federal
Register in the publication entitled ``Privacy Act Issuances'', as
specified in 5 U.S.C. 552a (f). Any specific requirements for access,
including identification requirements, in addition to the requirements
set forth in 31 CFR 1.26 and 1.27 and (8) below, and locations for
access are indicated in the notice for the pertinent system.
8. Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, must satisfy one of the
following identification requirements before action will be taken by the
Departmental Offices on any such request:
(i) An individual seeking notification or access to records in person,
or seeking to amend a record in person, may establish identity by the
presentation of a single official document bearing a photograph (such as
a passport or identification badge) or by the presentation of two items
of identification which do not bear a photograph but do bear both a name
and signature (such as a driver's license or credit card).
(ii) An individual seeking notification or access to records by mail,
or seeking to amend a record by mail, may establish identity by a
signature, address, and one other identifier such as a photocopy of a
driver's license or other official document bearing the individual's
signature.
(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph,
an individual seeking notification or access to records by mail or in
person, or seeking to amend a record by mail or in person, who so
desires, may establish identity by providing a notarized statement,
swearing or affirming to such individual's identity and to the fact that
the individual understands the penalties provided in 5 U.S.C. 552a(i)(3)
for requesting or obtaining access to records under false pretenses.
Notwithstanding subdivision (i), (ii), or (iii) of this subparagraph, a
designated official may require additional proof of an individual's
identity before action will be taken on any request, if such official
determines that it is necessary to protect against unauthorized
disclosure of information in a particular case. In addition, a parent of
any minor or a legal guardian of any individual will be required to
provide adequate proof of legal relationship before such person may act
on behalf of such minor or such individual.
Appendix B--Internal Revenue Service
1. Purpose. The purpose of this section is to set forth the procedures
that have been established by the Internal Revenue Service for
individuals to exercise their rights under the Privacy Act of 1974 (88
Stat. 1896) with respect to systems of records maintained by the
Internal Revenue Service, including the Office of the Chief Counsel. The
procedures contained in this section are to be promulgated under the
authority of 5 U.S.C. 552a(f). The procedures contained in this section
relate to the following:
(a) The procedures whereby an individual can be notified in response
to a request if a system of records named by the individual contains a
record pertaining to such individual (5 U.S.C. 552a(f)(1)).
(b) The procedures governing reasonable times, places, and
requirements for identifying an individual who requests a record of
information pertaining to such individual before the Internal Revenue
Service will make the record or information available to the individual
(5 U.S.C. 552a(f)(2)).
(c) The procedures for the disclosure to an individual upon a request
of a record of information pertaining to such individual, including
special procedures for the disclosure to an individual of medical
records, including psychological records. (5 U.S.C. 552a(f)(3)).
(d) The procedures for reviewing a request from an individual
concerning the amendment of any record or information pertaining to the
individual, for making a determination on the request, for an appeal
within the Internal Revenue Service of an initial adverse agency
determination, and for whatever additional means may be necessary for
individuals to be able to exercise fully their right under 5 U.S.C. 552a
(5 U.S.C. 552a(f)(4)).
Any individual seeking to determine whether a system of records
maintained by any office of the Internal Revenue Service contains a
record or information pertaining to such individual, or seeking access
to, or amendment of, such a record, must comply fully with the
applicable procedure contained in paragraph (3) or (4) of this section
before the Internal Revenue Service will act on the request. Neither the
notification and access (or accounting of disclosures) procedures under
paragraph (3) of this section nor the amendment procedures under
paragraph (4) of this section are applicable to (i) systems of records
exempted pursuant to 5 U.S.C. 552a (j) and (k), (ii) information
compiled in reasonable anticipation of a civil action or proceeding (see
5 U.S.C. 552a (d)(5)), or (iii) information pertaining to an individual
which is contained in, and inseparable from, another individual's
record.
2. Access to and amendment of tax records. The provisions of the
Privacy Act of 1974 may not be used by an individual to amend or correct
any tax record. The determination of liability for taxes imposed by the
Internal Revenue Service Code, the collection of such taxes, and the
payment (including credits or refunds of overpayments) of such taxes are
governed by the provisions of the Internal Revenue Service Code and by
the procedural rules of the Internal Revenue Service. These provisions
set forth the established procedures governing the determination of
liability for tax, the collection of such taxes, and the payment
(including credits or refunds of overpayments) of such taxes. In
addition, these provisions set forth the procedures (including
procedures for judicial review) for resolving disputes between taxpayers
and the Internal Revenue Service involving the amount of tax owed, or
the payment or collection of such tax. These procedures are the
exclusive means available to an individual to contest the amount of any
liability for tax or the payment or collection thereof. See, for
example, 26 CFR 601.103 for summary of general tax procedures.
Individuals are advised that Internal Revenue Service procedures permit
the examination of tax records during the course of an investigation,
audit, or collection activity. Accordingly, individuals should contact
the Internal Revenue Service employee conducting an audit or effecting
the collection of tax liabilities to gain access to such records, rather
than seeking access under the provisions of the Privacy Act. Where, on
the other hand, an individual desires information or records not in
connection with an investigation, audit, or collection activity, the
individual may follow these procedures.
3. Procedures for access to records--(a) In general. This paragraph
sets forth the procedure whereby an individual can be notified in
response to a request if a system of records named by the individual
which is maintained by the Internal Revenue Service contains a record
pertaining to such individual. In addition, this paragraph sets forth
the procedure for the disclosure to an individual upon a request of a
record or information pertaining to such individual, including the
procedures for verifying the identity of the individual before the
Internal Revenue Service will make a record available, and the procedure
for requesting an accounting of disclosures of such records. An
individual seeking to determine whether a particular system of records
contains a record or records pertaining to such individual and seeking
access to such records (or seeking an accounting of disclosures of such
records) shall make a request for notification and access (or a request
for an accounting of disclosures) in accordance with the rules provided
in paragraph 3(b) of this section.
(b) Form of request for notification and access or request for an
accounting of disclosures. (i) A request for notification and access (or
request for an accounting of disclosures) shall be made in writing and
shall be signed by the person making the request.
(ii) Such request shall be clearly marked, ``Request for notification
and access,'' or ``Request for accounting of disclosures.''
(iii) Such a request shall contain a statement that it is being made
under the provisions of the Privacy Act of 1974.
(iv) Such request shall contain the name and address of the individual
making the request. In addition, if a particular system employs an
individual's social security number as an essential means of accessing
the system, the request must include the individual's social security
number. In the case of a record maintained in the name of two or more
individuals (e.g., husband and wife), the request shall contain the
names, addresses, and social security numbers (if necessary) of both
individuals.
(v) Such request shall specify the name and location of the particular
system of records (as set forth in the Notice of Systems) for which the
individual is seeking notification and access (or an accounting of
disclosures), and the title and business address of the official
designated in the access section for the particular system (as set forth
in the Notice of Systems). In the case of two or more systems of records
which are under the control of the same designated official at the same
systems location, a single request may be made for such systems. In the
case of two or more systems of records which are not in the control of
the same designated official at the same systems location, a separate
request must be made for each such system.
(vi) If an individual wishes to limit a request for notification and
access to a particular record or records, the request should identify
the particular record. In the absence of a statement to the contrary, a
request for notification and access for a particular system of records
shall be considered to be limited to records which are currently
maintained by the designated official at the systems location specified
in the request.
(vii) If such request is seeking notification and access to material
maintained in a system of records which is exempt from disclosure and
access under 5 U.S.C. 552a(k)(2), the individual making the request must
establish that such individual has been denied a right, privilege, or
benefit that such individual would otherwise be entitled to under
Federal law as a result of the maintenance of such material.
(viii) Such request shall state whether the individual wishes to
inspect the record in person, or desires to have a copy made and
furnished without first inspecting it. If the individual desires to have
a copy made, the request must include an agreement to pay the fee for
duplication ultimately determined to be due. If the individual does not
wish to inspect a record, but merely wishes to be notified whether a
particular system or records contains a record pertaining to such
individual, the request should so state.
(c) Time and place for making a request. A request for notification
and access to records under the Privacy Act (or a request for accounting
of disclosures) shall be addressed to or delivered in person to the
office of the official designated in the access section for the
particular system of records for which the individual is seeking
notification and access (or an accounting of disclosures). The title and
office address of such official is set forth for each system of records
in the Notice of Systems of Records. A request delivered to an office in
person must be delivered during the regular office hours of that office.
(d) Sample request for notification and access to records. The
following are sample requests for notification and access to records
which will satisfy the requirements of this paragraph:
Request for Notification and Access to Records by Mail
I, John Doe, of 100 Main Street, Boston, MA 02108 (soc. sec. num. 000-
00-0000) request under the Privacy Act of 1974 that the following system
of records be examined and that I be furnished with a copy of any record
(or a specified record) contained therein pertaining to me. I agree that
I will pay the fees ultimately determined to be due for duplication of
such record. I have enclosed the necessary information.
System Name:
System Location:
Designated Official:
--
John Doe
Request for Notification and access to records in person
I, John Doe, of 100 Main Street, Boston, MA 02108 (soc. sec. num. 000-
00-0000) request under the provisions of the Privacy Act of 1974, that
the following system of records be examined and that I be granted access
in person to inspect any record (or a specified record) contained
therein pertaining to me. I have enclosed the necessary identification.
System Name:
System Location:
Designated Official:
--
John Doe
(e) Processing a request for notification and access to records or a
request for an accounting of disclosures. (i) If a request for
notification and access (or request for an accounting of disclosures)
omits any information which is essential to processing the request, the
request will not be acted upon and the individual making the request
will be promptly advised of the additional information which must be
submitted before the request can be processed.
(ii) Within 30 days (not including Saturdays, Sundays, and legal
public holidays) after the receipt of a request for notification and
access (or a request for an accounting of disclosures), to a particular
system of records by the designated official for such system, a
determination will be made as to whether the particular system of
records is exempt from the notification and access provisions of the
Privacy Act, and if such system is not exempt, whether it does or does
not contain a record pertaining to the individual making the request. If
a determination cannot be made within 30 days, the individual will be
notified of the delay, the reasons therefor, and the approximate time
required to make a determination. If it is determined by the designated
official that the particular system of records is exempt from the
notification and access provisions of the Privacy Act, the individual
making the request will be notified of the provisions of the Privacy Act
under which the exemption is claimed. On the other hand, if it is
determined by the designated official that the particular system of
records is not exempted from the notification and access provisions of
the Privacy Act and that such system contains a record pertaining to the
individual making the request, the individual will be notified of the
time and place where inspection may be made. If an individual has not
requested that access be granted to inspect the record in person, but
merely requests that a copy of the record be furnished, or if it is
determined by the designated official that the granting of access to
inspect a record in person is not feasible in a particular case, then
the designated official will furnish a copy of the record with the
notification, or if a copy cannot be furnished at such time, a statement
indicating the approximate time such copy will be furnished. If the
request is for an accounting of disclosures from a system of records
which is not exempt from the accounting of disclosure provisions of the
Privacy Act, the individual will be furnished with an accounting of such
disclosures.
(f) Granting of access. Normally, an individual will be granted access
to inspect a record in person within 30 days (excluding Saturdays,
Sundays, and legal public holidays) after the receipt for a request for
notification and access by the designated official. If access cannot be
granted within 30 days, the notification will state the reasons for the
delay and the approximate time such access will be granted. An
individual wishing to inspect a record may be accompanied by another
person of his choosing. Both the individual seeking access and the
individual accompanying him may be required to sign a form supplied by
the IRS indicating that the Service is authorized to disclose or discuss
the contents of the record in the presence of both individuals. See CFR
601.502 for requirements to be met by taxpayer's representatives in
order to discuss the contents of any tax records.
(g) Medical records. When access is requested to medical records
(including psychological records), the designated official may determine
that release of such records will be made only to a physician designated
by the individual to have access to such records.
(h) Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, must satisfy one of the
following identification requirements before action will be taken by the
IRS on any such request:
(i) An individual seeking notification or access to records in person,
or seeking to amend a record in person, may establish identity by the
presentation of a single document bearing a photograph (such as a
passport or identification badge) or by the presentation of two items of
identification which do not bear a photograph but do bear both a name
and signature (such as a driver's license or credit card).
(ii) An individual seeking notification or access to records by mail,
or seeking to amend a record by mail, may establish identity by a
signature, address, and one other identifier such as a photocopy of a
driver's license or other document bearing the individual's signature.
(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph,
an individual seeking notification or access to records by mail or in
person, or seeking to amend a record by mail or in person, who so
desires, may establish identity by providing a notarized statement,
swearing or affirming to such individual's identity and to the fact that
the individual understands the penalties provided in 5 U.S.C. 552a(i)(3)
for requesting or obtaining access to records under false pretenses.
(iv) Notwithstanding subdivisions (i), (ii), or (iii) of this
subparagraph, a designated official may require additional proof of an
individual's identity before action will be taken on any request if such
official determines that it is necessary to protect unauthorized
disclosure of information in a particular case. In addition, a parent of
any minor or a legal guardian of any individual will be required to
provide adequate proof of legal relationship before such person may act
on behalf of such minor or such individual.
(i) Fees. The fee for costs required of the IRS in copying records
pursuant to this paragraph is $0.15 per page. However, no fee will be
charged if the aggregate costs required of the IRS in copying records is
less than $3.00. If an individual who has requested access to inspect a
record in person is denied such access by the designated official
because it would not be feasible in a particular case, copies of such
record will be furnished to the individual without payment of the fees
otherwise required under this subparagraph. If the IRS estimates that
the total fees for costs incurred in complying with a request for copies
of records will amount to $50 or more, the individual making the request
may be required to enter into a contract for the payment of the actual
fees with respect to the request before the Service will furnish the
copies requested. Payment of fees for copies of records should be made
by check or money order payable to the Internal Revenue Service.
4. Procedures for amendment of records. (a) In general. This paragraph
sets forth the procedures for reviewing a request from an individual
concerning the amendment of any record or information pertaining to such
individual, for making a determination on the request, for making an
appeal within the IRS of an initial adverse determination, and for
judicial review of a final determination.
(b) Amendment of record. Under 5 U.S.C. 552a(d)(2), an individual who
has been granted access to a record pertaining to such individual may,
after inspecting the record, request that the record be amended to make
any correction of any portion thereof which the individual believes is
not accurate, relevant, timely, or complete. An individual may seek to
amend a record in accordance with the rules provided in paragraph (d)(3)
of this section. See paragraph (b) of this section for prohibition
against amendment of tax records.
(c) Form of request for amendment of record. (i) A request for
amendment of a record shall be in writing and shall be signed by the
individual making the request.
(ii) Such request shall be clearly marked ``Request for amendment of
record.''
(iii) Such request shall contain a statement that it is being made
under the provisions of the Privacy Act of 1974.
(iv) Such request shall contain the name and address of the individual
making the request. In addition, if a particular system employs an
individual's social security number as an essential means of accessing
the system, the request must include the individual's social security
number. In the case of a record maintained in the name of two or more
individuals (e.g., husband and wife), the request shall contain the
names, addresses, and social security numbers (if necessary) of both
individuals.
(v) Such request shall specify the name and location of the system of
records (as set forth in the Notice of Systems) in which such record is
maintained, and the title and business address of the official
designated in the access section for such system (as set forth in the
Notice of Systems).
(vi) Such request shall specify the particular record in the system
which the individual is seeking to amend.
(vii) Such request shall clearly state the specific changes which the
individual wishes to make in the record and a concise explanation of the
reasons for the changes. If the individual wishes to correct or add any
information, the request shall contain specific language making the
desired correction or addition.
(d) Time and place for making request. A request to amend a record
under the Privacy Act shall be addressed to or delivered in person to
the office of the official designated in the access section for the
particular system of records. The title and office address of such
official is set forth for each system of records in the Notice of
Systems of Records. A request delivered to an office in person must be
delivered during the regular office hours of that office.
(e) Processing a request for amendment of a record. (i) Within 10 days
(not including Saturdays, Sundays, and legal public holidays) after the
receipt of a request to amend a record by the designated official, the
individual will be sent a written acknowledgement that will state that
the request has been received, that action is being taken thereon, and
that the individual will be notified within 30 days (not including
Saturdays, Sundays, and legal public holidays) after the receipt of the
request whether the requested amendments will or will not be made. If a
request for amendment of a record omits any information which is
essential to processing the request, the request will not be acted upon
and the individual making the request will be promptly advised on the
additional information which must be submitted before the request can be
processed.
(ii) Within 30 days (not including Saturdays, Sundays, and legal
public holidays) after the receipt of a request to amend a record by the
designated official, a determination will be made as to whether to grant
the request in whole or part. The individual will then be notified in
writing of the determination. If a determination cannot be made within
30 days, the individual will be notified in writing within such time of
the reasons for the delay and the approximate time required to make a
determination. If it is determined by the designated official that the
request will be granted, the requested changes will be made in the
record and the individual will be notified of the changes. In addition,
to the extent an accounting was maintained, all prior recipients of such
record will be notified of the changes. Upon request, an individual will
be furnished with a copy of the record, as amended, subject to the
payment of the appropriate fees. On the other hand, if it is determined
by the designated official that the request, or any portion thereof,
will not be granted, the individual will be notified in writing of the
adverse determination. The notification of an adverse determination will
set forth the reasons for refusal to amend the record. In addition, the
notification will contain a statement informing the individual of such
individual's right to request an independent review of the adverse
determination by a reviewing officer in the national office of the IRS
and the procedures for requesting such a review.
(f) Administrative review of adverse determination. Under 5 U.S.C.
552a (d)(3), an individual who disagrees with the refusal of the agency
to amend a record may, within 35 days of being notified of the adverse
determination, request an independent review of such refusal by a
reviewing officer in the national office of the IRS. The reviewing
officer for the IRS is the Commission of Internal Revenue, the Deputy
Commissioner, or an Assistant Commissioner. In the case of an adverse
determination relating to a system of records maintained by the Office
of General Counsel for the IRS, the reviewing officer is the Chief
Counsel or his delegate. An individual seeking a review of an adverse
determination shall make a request for review in accordance with the
rules provided in paragraph (d)(7) of this section.
(g) Form of request for review. (i) A request for review of an adverse
determination shall be in writing and shall be signed by the individual
making the request.
(ii) Such request shall be clearly marked ``Request for review of
adverse determination''.
(iii) Such request shall contain a statement that it is being made
under the provisions of the Privacy Act of 1974.
(iv) Such request shall contain the name and address of the individual
making the request. In addition, if a particular system employs an
individual's social security number as an essential means of accessing
the system, the request must include the individual's social security
number. In the case of a record maintained in the name of two or more
individuals (e.g. husband and wife), the request shall contain the
names, addresses, and social security numbers (if necessary) of both
individuals.
(v) Such request shall specify the particular record which the
individual is seeking to amend, the name and location of the system of
records (as set forth in the Notice of Systems) in which such record is
maintained, and the title and business address of the designated
official for such system (as set forth in the Notice of Systems).
(vi) Such request shall include the date of the initial request for
amendment of the record, and the date of the letter notifying the
individual of the initial adverse determination with respect to such
request.
(vii) such request shall clearly state the specific changes which the
individual wishes to make in the record and a concise explanation of the
reasons for the changes. If the individual wishes to correct or add any
information, the request shall contain specific language making the
desired correction or addition.
(h) Time and place for making the request. A request for review of an
adverse determination under the Privacy Act shall be addressed to or
delivered in person to the Director, Office of Disclosure, Attention:
OP:EX:D Internal Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224. A request for review of an adverse determination
will be promptly referred by the Director, Office of Disclosure to the
appropriate reviewing officer for his review and final determination.
(i) Processing a request for review of adverse determination. Within
30 days (not including Saturdays, Sundays, and legal public holidays)
after the receipt of a request for review of an adverse determination by
the appropriate reviewing officer, the reviewing officer will review the
initial adverse determination, make a final determination whether to
grant the request to amend the record in whole or in part, and notify
the individual in writing of the final determination. If a final
determination cannot be made within 30 days, the Commissioner of
Internal Revenue may extend such 30-day period. The individual will be
notified in writing within the 30 day period of the cause for the delay
and the approximate time required to make a final determination. If it
is determined by the reviewing officer that the request to amend the
record will be granted, the reviewing officer will cause the requested
changes to be made and the individual will be so notified. Upon request,
an individual will be furnished with a copy of the record as amended
subject to the payment of appropiate fees. On the other hand, if it is
determined by the reviewing officer that the request to amend the
record, or any portion thereof, will not be granted, the individual will
be notified in writing of the final adverse determination. The
notification of a final adverse determination will set forth the reasons
for the refusal of the reviewing officer to amend the record. The
notification shall include a statement informing the individual of the
right to submit a concise statement for insertion in the record setting
forth the reasons for the disagreement with the refusal of the reviewing
officer to amend the record. In addition, the notification will contain
a statement informing the individual of the right to seek judicial
review by a United States district court of a final adverse
determination.
(j) Statement of disagreement. Under 5 U.S.C. 552a(d)(3), an
individual who disagrees with a final adverse determination not to amend
a record subject to amendment under the Privacy Act may submit a concise
statement for insertion in the record setting forth the reasons for
disagreement with the refusal of the reviewing officer to amend the
record. A statement of disagreement should be addressed to or delivered
in person to the Director, Office of Disclosure, Attention: OP:EX:D,
Internal Revenue Service, 1111 Constitution Avenue, NW, Washington, DC
20224. The Director, Office of Disclosure will foward the statement of
disagreement to the appropriate designated official who will cause the
statement to be inserted in the individual's record. Any such statement
will be available to anyone to whom the record is subsequently disclosed
and the prior recipients of the record will be provided with a copy of
the statement of disagreement, to the extent an accounting of
disclosures was maintained.
(k) Judicial review. If, after a review and final determination on a
request to amend a record by the appropriate reviewing officer, the
individual is notified that the request will not be granted, or if,
after the expiration of 30 days (not including Sundays, Saturdays, and
legal public holidays) from the receipt of such request by the Director,
Disclosure Operations Division, action is not taken thereon in
accordance with the requirements of paragraph (d)(9) of this section, an
individual may commence an action within the time prescribed by law in a
U.S. District Court pursuant to 5 U.S.C. 552a (g)(1). The statute
authorizes an action only against the agency. With respect to records
maintained by the IRS, the agency is the Internal Revenue Service, not
an officer or employee thereof. Service of process in such an action
shall be in accordance with the Federal Rules of Civil Procedure (28
U.S.C. App.) applicable to actions against an agency of the United
States. Where provided in such Rules, delivery of process upon the IRS
must be directed to the Commissioner of Internal Revenue, Attention:
CC:GLS, 1111 Constitution Avenue, NW, Washington, DC 20224. The district
court will determine the matter de novo.
5. Records transferred to Federal Records Centers. Records transferred
to the Administrator of General Services for storage in a Federal
Records Center are not used by the Internal Revenue Service in making
any determination about any individual while stored at such location and
therefore are not subject to the provisions of 5 U.S.C. 552a (e)(5)
during such time.
Appendix C--United States Customs Service
1. In general. This appendix applies to the United States Customs
Service. It sets forth specific notification and access procedures with
respect to particular systems of records, identifies the officer
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(e)(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 accounting of
disclosures. (a) For records which are maintained at the United States
Customs Service Headquarters, initial requests for notification and
access to records and accountings of disclosures under 31 CFR 1.26,
should be mailed or personally delivered to the Director, Office of
Regulations & Rulings, U.S. Customs Service, 1301 Constitution Avenue
NW, Washington, DC 20229. The official who has authority over the
maintenance of the file will have the authority to grant or deny the
request.
(b) For records maintained at Regional Offices, initial requests for
notification and access to records and accountings of disclosures under
31 CFR 1.26, should be mailed or personally delivered to the Regional
Commissioner of Customs in whose region the records are located. This
official shall have the authority to grant the request or deny the
request. The appropriate location of the regional offices is specified
in Customs appendix A in ``Privacy Act Issuances'' published annually by
the Office of the Federal Register.
(c) Each request shall comply with the identification and other
requirements set forth in 31 CFR 1.26, and in the appropriate system
notice in the ``Privacy Act Issuances'' published annually by the Office
of the Federal Register. Each request should be conspicuously labeled on
the face of the envelope ``Privacy Act Request''.
3. Request for amendment of records. (a) For records which are
maintained at Customs Service Headquarters, initial requests for
amendment of records under 31 CFR 1.27 (a) through (d) should be mailed
or personally delivered to the Director, Office of Regulations &
Rulings, U.S. Customs Service, 1301 Constitution Avenue NW, Washington,
DC 20229. The official who has authority over the maintenance of the
file will have the authority to grant or deny the request.
(b) For records not maintained at Customs Service Headquarters,
initial requests for amendment of records under 31 CFR 1.27 (a) through
(d) should be mailed or personally delivered to the Regional
Commissioner of Customs in whose region the records are located. This
official shall have the authority to grant or deny the request. A
request directed to a Regional Commissioner should be mailed to or
personally delivered at the appropriate location specified in Customs
appendix A in ``Privacy Act Issuances'' published annually by the Office
of the Federal Register.
(c) Each request shall comply with the identification and other
requirements set forth in 31 CFR 1.27, and in the appropriate system
notice in ``Privacy Act Issuance published by the Office of the Federal
Register. Each request should be conspicuously labeled on the face of
the envelope ``Privacy Act Amendment Request''.
4. Administrative appeal of initial determination refusing to amend
records. Appellate determinations (including extensions of time on
appeal under 31 CFR 1.27 (e) with respect to all Customs Service records
will be made by the Director, Office of Regulations & Rulings or the
delegate of such official. All such appeals should be mailed or
personally delivered to the United States Customs Service, Office of
Regulations & Rulings, 1301 Constitution Avenue NW, Washington, DC
20229. Each appeal should be conspicuously labeled on the face of the
envelope ``Privacy Act Amendment Appeal''.
5. Statements of Disagreement. ``Statements of Disagreement'' pursuant
to 31 CFR 1.27 (e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
Chief Counsel, United States Customs Service, 1301 Constitution Avenue
NW, Washington, DC 20229.
7. Annual notice of systems of records. The annual notice of the
United States Customs Service systems of records required to be
published by the Office of the Federal Register, as specified in 5
U.S.C. 552a(f), is included in the publication entitled ``Privacy Act
Issuances''.
8. Verification of Identity. Each request shall comply with the
identification and other requirements set forth in 31 CFR 1.26 and in
the appropriate system notice published by the Office of the Federal
Register. Each request should be conspicuously labeled on the face of
the envelope ``Privacy Act Request''.
Appendix D--United States Secret Service
1. In general. This appendix applies to the United States Secret
Service. It sets forth specific notification and access procedures with
respect to particular systems of records including identification
requirements, and time and places where records may be reviewed;
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 (e)(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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the United States Secret Service, will be made by the
Freedom of Information and Privacy Act Officer, United States Secret
Service. Requests for notification should be made by mail or delivered
personally between the hours of 9 a.m. and 5:30 of any day excluding
Saturdays, Sundays, and legal holidays to: Privacy Act Request, Freedom
of Information and Privacy Act Officer, United States Secret Service,
Room 720, 1800 G Street NW, Washington, DC 20223.
a. Identification Requirements. In addition to the requirements
specified in 31 CFR 1.26, each request for notification, access or
amendment of records made by mail shall contain the requesting
individual's date and place of birth and a duly notarized statement
signed by the requester asserting his or her identity and stipulating
that the requesting individual understands that knowingly or willfully
seeking or obtaining access to records about another person under false
pretenses is punishable by a fine of up to $5,000.
b. Individuals making requests in person. Individuals making requests
in person will be required to exhibit acceptable identifying documents
such as employee identification numbers, drivers licenses, medical cards
or other documents sufficient to verify the identity of the requester.
c. 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
requested records may be inspected. The inspection of records will be
conducted at the Secret Service 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
Secret Service Field Office or other facility where the disclosure is
made. A person of his or her own choosing may accompany the individual
making the request provided the individual furnishes a written statement
authorizing the disclosure of that individual's record in the
accompanying person's presence. Any disclosure of a record will be made
in the presence of a representative of the United States Secret Service.
3. Requests for amendment of records. Initial determination under 31
CFR part 1, whether to grant requests to amend records will be made by
the Freedom of Information and Privacy Act Officer. Requests should be
mailed or delivered personally between the hours of 9 a.m. and 5:30 p.m.
to: Privacy Act Amendment Request, Freedom of Information and Privacy
Acts Officer, United States Secret Service, Room 720, 1800 G Street NW,
Washington, DC 20223.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27 including extensions of time on appeal, with respect to
records of the United States Secret Service will be made by the
Assistant Secretary of the Treasury for Enforcement. Appeals made by
mail should be addressed to, or delivered personally to: Privacy Act
Amendment Appeal, Assistant Secretary of the Treasury for Enforcement,
Department of the Treasury, 1500 Pennsylvania Avenue NW, Washington, DC
20220.
5. Statements of Disagreement. ``Statements of Disagreements'' under
31 CFR 1.27 (e)(4)(i) shall be filed with the official signing of the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of Process. Service of process will be received by the
United States Secret Service General Counsel and shall be delivered to
the following location: General Counsel, United States Secret Service,
Room 843, 1800 G Street NW, Washington, DC 20223.
7. 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 the pertinent
system.
Appendix E--Bureau of Alcohol, Tobacco and Firearms
1. In general. This appendix applies to the Bureau of Alcohol, Tobacco
and Firearms. 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(e)(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 Bureau of Alcohol, Tobacco, and Firearms, will be
made by the Chief, Disclosure Branch, Office of the Assistant to the
Director or the delegate of such officer. Requests may be mailed or
delivered in person to: Privacy Act Request, Chief, Disclosure Branch,
Room 4406, Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania
Avenue, NW, Washington, DC 20226.
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 Bureau of Alcohol, Tobacco and Firearms will be made
by the Chief, Disclosure Branch, Office of the Assistant to the
Director. Requests for amendment of records may be mailed or delivered
in person to: Privacy Act Request, Chief, Disclosure Branch, Room 4406,
Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania Avenue, NW,
Washington, DC 20226.
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 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 Bureau of Alcohol, Tobacco and Firearms 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 Bureau of Alcohol, Tobacco and Firearms 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 Bureau of Alcohol, Tobacco and
Firearms field office or other facility located nearest to the residence
of the individual making the request. 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, 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 Bureau of Alcohol, Tobacco and Firearms, including
extensions of time on appeal, will be made by the Director or the
delegate of such officer. Appeals should be addressed to, or delivered
in person to: Privacy Act Amendment Appeal, Director, Bureau of Alcohol,
Tobacco and Firearms, Room 4406, 1200 Pennsylvania Avenue, NW,
Washington, DC 20226.
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
Director of the Bureau of Alcohol, Tobacco and Firearms or the delegate
of such official and shall be delivered to the following location:
Director, Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania
Avenue, NW., Washington, DC 20226, 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.
Appendix F--Bureau of Engraving and Printing
1. In general. This appendix applies to the Bureau of Engraving and
Printing. It sets forth specific notification and access procedures with
respect to particular systems of records including identification
requirements, 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 (e)(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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Bureau of Engraving and Printing, will be made by
the head of the organizational unit having immediate custody of the
records requested, or the delegate of such official. Requests for access
to records contained within a particular system of records should be
submitted to the address indicated for that system in the access section
of the notices published by the Office of the Federal Register in
``Privacy Act Issuances.'' Requests for information and specific
guidance should be addressed to: Privacy Act Request, Disclosure Officer
(Executive Assistant to the Director), Room 104--18M, Bureau of
Engraving and Printing, Washington, DC 20228.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27 (a) through (d), whether to grant request to amend records will
be made by the head of the organizational unit having immediate custody
of the records or the delegate of such official. Requests for amendment
should be addressed as indicated in the appropriate system notice in
``Privacy Act Issuances'' published by the Office of the Federal
Register. Requests for information and specific guidance on where to
send requests for amendment should be addressed to: Privacy Act
Amendment Request, Disclosure Officer (Executive Assistant to the
Director), Bureau of Engraving and Printing, Room 104-18M, Washington,
DC 20228.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27(e) including extensions of time on appeal, with respect to
records of the Bureau of Engraving and Printing will be made by the
Director of the Bureau or the delegate of such officer. Appeals made by
mail should be addressed to, or delivered personally to: Privacy Act
Amendment Appeal, Disclosure Officer (Executive Assistant to the
Director), Room 104-18M, Bureau of Engraving and Printing, Washington,
DC 20228.
5. Statements of Disagreement. ``Statements of Disagreement'' under 31
CFR 1.27(e)(4)(8) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of Process. Service of process will be received by the
Chief Counsel of the Bureau of Engraving and Printing and shall be
delivered to the following location: Chief Counsel, Bureau of Engraving
and Printing, Room 109-M, 14th and C Streets, SW, Washington, DC 20228.
7. Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, or seeking an
accounting of disclosures, must satisfy one of the following
identification requirements before action will be taken by the Bureau of
Engraving and Printing on any such request:
(i) An individual appearing in person may establish identity by the
presentation of a single document bearing a photograph (such as a
passport or identification badge) or by the presentation of two items of
identification which do not bear a photograph, but do bear both a name
and signature (such as a credit card).
(ii) An individual may establish identity through the mail by a
signature, address, and one other identifier such as a photocopy of a
driver's license or other document bearing the individual's signature.
(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph,
an individual who so desires, may establish identity by providing a
notarized statement, swearing or affirming to such individual's identity
and to the fact that the individual understands the penalties provided
in 5 U.S.C. 552a(1)(3) for requesting or obtaining access to records
under false pretenses.
Notwithstanding subdivision (i), (ii), or (iii) of this subparagraph,
the Executive Assistant or other designated official may require
additional proof of an individual's identity before action will be taken
on any request if such official determines that it is necessary to
protect against unauthorized disclosure of information in a particular
case. In addition, a parent of any minor or a legal guardian of any
individual will be required to provide adequate proof of legal
relationship before such person may act on behalf of such minor or such
individual.
8. 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. 522a(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 the pertinent
system.
Appendix G--Financial Management Service
1. In general. This appendix applies to the Financial Management
Service. 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(e) (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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Financial Management Service, will be made by the
head of the organizational unit having immediate custody of the records
requested or an official designated by this official. This is indicated
in the appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests for information
and specific guidance on where to send requests for records may be
mailed or delivered personally to: Privacy Act Request, Disclosure
Officer, Financial Management Service, Room 108, Treasury Department
Annex No. 1, Pennsylvania Avenue and Madison Place, NW, Washington, DC
20226.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27(a) through (d), whether to grant requests to amend records will
be made by the head of the organzational unit having immediate custody
of the records or the delegate of such official. Requests for amendment
should be addressed as indicated in the appropriate system notice in
``Privacy Act Issuances'' published by the Office of the Federal
Register. Requests for information and specific guidance on where to
send requests for amendment should be addressed to: Privacy Act
Amendment Request, Disclosure Officer, Financial Management Service,
Department of the Treasury, Treasury Annex No. 1, Washington, DC 20226.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27(e) incuding extensions of time on appeal, with respect to
records of the Financial Management Service will be made by the
Commissioner or the delegate of such official. Appeals made by mail
should be addressed to, or delivered personally to: Privacy Act
Amendment Appeal Commissioner, Financial Management Service (Privacy),
Department of the Treasury, Room 618, Treasury Annex No. 1, Pennsylvania
Avenue and Madison Place, NW, Washington, DC 20226.
5. Statements of Disagreement. ``Statements of Disagreement'' under 31
CFR 1.27(e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of Process. Service of process will be received by the
Commissioner, Financial Management Service or the delegate of such
official and shall be delivered to the following location: Commissioner,
Financial Management Service (Privacy), Department of the Treasury, Room
618, Treasury Annex No. 1, Pennsylvania Avenue and Madison Place, NW,
Washington, DC 20226.
7. 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 the pertinent
system.
Appendix H--United States Mint
1. In general. This appendix applies to the United States Mint. It
sets forth specific notification and access procedures with respect to
particluar 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(e) (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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the United States Mint will be made by the head of the
organizational unit having immediate custody of the records requested or
an official designated by this official. This is indicated in the
appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests should be
directed to the Superintendent or Officer in charge of the facility in
which the records are located or to the Chief, Administrative Programs
Division. Requests for information and specific guidance on where to
send requests for records may be mailed or delivered personally to:
Privacy Act Request, Chief, Administrative Programs Division, United
States Mint, Judiciary Square Building, 633 3rd Street, NW, Washington,
DC 20220.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27 (a) through (d), whether to grant requests to amend records
will be made by the head of the Mint installation having immediate
custody of the records or the delegated official. Requests should be
mailed or delivered personally to: Privacy Act Amendment Request,
Freedom of Information and Privacy Acts Officer, United States Mint,
Judiciary Square Building, 633 3rd Street, NW, Washington, DC 20220.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27 including extensions of time on appeal, with respect to
records of the United States Mint will be made by the Director of the
Mint or the delegate of the Director. Appeals made by mail should be
addressed to, or delivered personally to: Privacy Act Amendment Appeal,
United States Mint, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220.
5. Statements of Disagreement. ``Statements of Disagreement'' under 31
CFR 1.27 (e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of Process. Service of process will be received by the
Director of the Mint and shall be delivered to the following location:
Director of the Mint, Judiciary Square Building, 633 3rd street, NW,
Washington, DC 20220.
7. 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 the pertinent
system.
Appendix I--Bureau of the Public Debt
1. In general. This appendix applies to the Bureau of the Public Debt.
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 officer designated to grant extension 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(e) (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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Bureau of Public Debt, will be made by the head of
the organizational unit having immediate custody of the records
requested or an official designated by this official. This is indicated
in the appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests for information
and specific guidance on where to send requests for records may be
mailed or delivered personnaly to: Privacy Act Request, Information
Officer, Bureau of the Public Debt, Department of the Treasury, 999 E
Street NW, Room 553, Washington, DC 20239.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27(a) through (d), whether to grant requests to amend records will
be made by the head of the organizational unit having immediate custody
of the records or the delegate of such official. Requests for amendment
should be addressed as indicated in the appropriate system notice in
``Privacy Act Issuances'' published by the Office of the Federal
Register. Requests for information and specific guidance on where to
send requests for amendment should be addressed to: Privacy Act
Amendment Request, Information Officer, Bureau of the Public Debt,
Department of the Treasury, 999 E Street NW, Room 553, Washington, DC
20239.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27(e) including extensions of time on appeal, with respect to
records of the Bureau of the Public Debt will be made by the
Commissioner of the Public Debt or the delegate of such officer. Appeals
made by mail should be addressed to, or delivered personally to: Privacy
Act Amendment Appeal, Chief Counsel, Bureau of the Public Debt,
Department of the Treasury, 999 E Street NW, Room 503, Washington, DC
20239.
5. Statements of Disagreement. ``Statements of Disagreement'' under 31
CFR 1.27 (e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of Process. Service of process will be received by the
Chief Counsel of the Bureau of the Public Debt and shall be delivered to
the following location: Chief Counsel, Bureau of the Public Debt,
Department of the Treasury, 999 E Street, NW, Room 503, Washington, DC
20239.
7. 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 the pertinent
system.
Appendix J--Office of the Comptroller of the Currency
1. In general. This appendix applies to the Office of the Comptroller
of the Currency. 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 intial 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(e) (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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Office of the Comptroller of the Currency, will be
made by the head of the organizational unit having immediate custody of
the records requested or an official designated by this official. This
is indicated in the appropriate system notice in ``Privacy Act
Issuances'' published annually by the Office of the Federal Register.
Requests for information and specific guidance on where to send requests
for records may be mailed or delivered personally to: Privacy Act
Request, Communications Division, Comptroller of the Currency, 5th
Floor, 490 L'Enfant Plaza East, SW, Washington, DC 20219.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27(a) through (d), whether to grant requests to amend records will
be made by the head of the organizational unit having immediate custory
of the records or the delegate of such official. Requests for amendment
should be addressed to: Privacy Act Amendment Request, Communications
Division, 5th Floor, Comptroller of the Currency, 490 L'Enfant Plaza
East, SW, Washington, DC 20219.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27(e) including extensions of time on appeal, with respect to
records of the Office of the Comptroller of the Currency will be made by
the Comptroller of the Currency or Chief Counsel or the delegate of such
officer. Appeals made by mail should be addressed to, or delivered
personally to: Privacy Act Amendment Appeal, Communications Division,
5th Floor, Comptroller of the Currency, 490 L'Enfant Plaza East, SW,
Washington, DC 20219.
5. Statements of Disagreement. ``Statements of Disagreement'' under 31
CFR 1.27(e)(4)(i) shall be filed with the Director, Communications
Division at the address indicated in the letter of notification within
35 days of the date of such notification and should be limited to one
page.
6. Service of Process. Service of process will be received by the
Office of the Chief Counsel of the Comptroller of the Currency or the
delegate of such official and shall be delivered to the following
location: Office of Chief Counsel, Comptroller of the Currency, Fifth
Floor, 490 L'Enfant Plaza East, SW, Washington, DC 20219.
7. 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 the pertinent
system.
Appendix K--U.S. Savings Bonds Division
1. In general. This appendix applies to the U.S. Savings Bonds
Division. 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(e) (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 determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Financial Management Service, will be made by the
head of the organizational unit having immediate custody of the records
requested or an official designated by this official. This is indicated
in the appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests for information
and specific guidance on where to send requests for records may be
mailed or delivered personally to: Privacy Act Request, U.S. Savings
Bonds Division, Department of the Treasury, 1111 20th Street, NW,
Washington, DC 20226.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27 (a) through (d), whether to grant requests to amend records
will be made by the head of the organizational unit having immediate
custody of the records or the delegate of such official. Requests for
amendment should be addressed as indicated in the appropriate system
notice in ``Privacy Act Issuances'' published by the Office of the
Federal Register. Requests for information and specific guidance on
where to send requests for amendment should be addressed to: Privacy Act
Amendment Request, Privacy Act Contact, U.S. Savings Bonds Division,
Department of the Treasury, 1111 20th Street, NW, Washington, DC 20226.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27(e) including extensions of time on appeal, with respect to
records of the U .S. Savings Bonds Division will be made by the National
Director, U.S. Savings Bonds Division or the delegate of such officer.
Appeals made by mail should be addressed to, or delivered personally to:
Privacy Act Amendment Appeal, National Director, U.S. Savings Bonds
Division, Department of the Treasury, 1111 20th Street, NW, Washington,
DC 20226.
5. Statements of Disagreement. ``Statements of Disagreement'' under 31
CFR 1.27 (e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of Process. Service of process will be received by the
General Counsel of the Department of the Treasury or the delegate of
such official and shall be delivered to the following location: General
Counsel, Room 3000-MT, Department of the Treasury, 1500 Pennsylvania
Avenue, NW, Washington, DC 20220.
7. 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 the pertinent
system.
Appendix L--Federal Law Enforcement Training Center
1. In general. This appendix applies to the Federal Law Enforcement
Training Center. 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 disclosure 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(e) (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 accounting of
disclosures. Initial determinations under 31 CFR 1.26, whether to grant
requests for notification and acesss to records and accounting of
disclosures for the Federal Law Enforcement Training Center, will be
made by the head of the organizational unit having immediate custody of
the records requested or an official designated by this official. This
is indicated in the appropriate system notice in ``Privacy Act
Issuances'' published annually by the Office of the Federal Register.
Requests for information and specific guidance on where to send requests
for records may be mailed or delivered personally to: Privacy Act
Request, Library Building 262, Federal Law Enforcement Training Center,
Glynco, Georgia 31524.
3. Requests for amendment of records. Initial determinations under 31
CFR 1.27 (a) through (d), whether to grant requests to amend records
will be made by the head of the organizational unit having immediate
custody of the records or the delegate of such official. Requests for
amendment should be addressed as indicated in the appropriate system
notice in ``Privacy Act Issuances'' published by the Office of the
Federal Register. Requests for information and specific guidance on
where to send requests for amendment should be addressed to: Privacy Act
Amendment Request, Federal Law Enforcement Training Center, Glynco,
Georgia 31524.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations refusing amendment of records under
31 CFR 1.27(e) including extensions of time on appeal, with respect to
records of the Federal Law Enforcement Training Center will be made by
the Assistant Secretary (Enforcement), Department of the Treasury or the
delegate of such officer. Appeals made by mail should be addressed to,
or delivered personally to: Privacy Act Amendment Appeal, FLETC,
Assistant Secretary (Enforcement), Department of the Treasury, 1500
Pennsylvania Avenue, NW, Room 4312, Washington, DC 20220.
5. Statements of Disagreement. ``Statements of Disagreement'' under 31
CFR 1.27(e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of Process. Service of process will be received by the
General Counsel of the Department of the Treasury or the delegate of
such official and shall be delivered to the following location: General
Counsel, Department of the Treasury, Room 3000, Main Treasury Building,
1500 Pennsylvania Avenue, NW, Washington, DC 20220.
7. 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 the pertinent
system.
Appendix M--Office of Thrift Supervision
1. In general. This appendix applies to the Office of Thrift
Supervision. It sets forth specific notification and access procedures
with respect to particular systems of records, and identifies the
officers designated to make the initial determinations with respect to
notification and access to records, the officers designated to make the
initial and appellate determinations with respect to requests for
amendment of records, the officers designated to grant extensions of
time on appeal, the officers with whom ``Statement of Disagreement'' may
be filed, the officer designated to receive services 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(e) (4) and (11) and published biennially by the Office of the
Federal Register in ``Privacy Act Issuances.''
2. Requests for notification and access to records and accounting of
disclosures. Initial determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Office of Thrift Supervision, will be made by the
head of the organizational unit having immediate custody of the records
requested, or the delegate of such official. This information is
contained in the appropriate system notice in the ``Privacy Act
Issuances,'' published biennially by the Office of the Federal Register.
Requests for information and specific guidance on where to send requests
for records should be addressed to: Privacy Act Request, Chief,
Disclosure Branch, Information Services Division, Office of Thrift
Supervision, 1700 G Street, NW, Washington, DC 20552.
Requests may be delivered in person to: Office of Thrift Supervision,
Information Services Division, 1700 G Street, NW, Washington, DC.
3. Requests for amendments of records. Initial determinations under 31
CFR 1.27 (a) through (d) with respect to requests to amend records
maintained by the Office of Thrift Supervision will be made by the head
of the organization or unit having immediate custody of the records or
the delegates of such official. Requests for amendment of records should
be addressed as indicated in the appropriate system notice in ``Privacy
Act Issuances'' published by the Office of the Federal Register.
Requests for information and specific guidance on where to send these
requests should be addressed to: Privacy Act Amendment Request, Chief,
Disclosure Branch, Information Services Division, Office of Thrift
Supervision, 1700 G Street, NW, Washington, DC 20552.
Privacy Act Amendment Requests may be delivered in person to: Office
of Thrift Supervision, Information Services Division, 1700 G Street, NW,
Washington, DC.
4. Administrative appeal of initial determination refusing to amend
record. Appellate determination under 31 CFR 1.27(e) with respect to
records of the Office of Thrift Supervision, including extensions of
time on appeal, will be made by the Director, Public Affairs, Office of
Thrift Supervision, or the delegate of such official, as limited by 5
U.S.C. 552a(d) (2) and (3). Appeals made by mail should be addressed as
indicated in the letter of initial decision or to: Privacy Act Amendment
Request, Chief, Disclosure Branch, Information Services Division, Office
of Thrift Supervision, 1700 G Street, NW, Washington, DC 20552.
Appeals may be delivered in person to: Office of Thrift Supervision,
Information Services Division, 1700 G Street, NW, Washington, DC.
5. Statements of Disagreement. ``Statements of Disagreement'' as
described in 31 CFR 1.27(e)(4) shall be filed with the official signing
the notification of refusal to amend at the address indicated in the
letter of notification within 35 days of the date of notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
Corporate Secretary of the Office of Thrift Supervision or the delegate
of such official and shall be delivered to the following location:
Corporate Secretary, Office of Thrift Supervision, 1700 G Street, NW,
Washington, DC 20552.
7. Annual notice of systems of record. The annual notice of systems of
records required to be published by the Office of the Federal Register
is included in the publication entitled ``Privacy Act Issuances,'' as
specified in 5 U.S.C. 552a(f). Any specific requirements for access,
including identification requirements, in addition to the requirements
set forth in 31 CFR 1.26 and 1.27 and (8) below, and locations for
access are indicated in the notice for the pertinent system.
8. Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, must satisfy one of the
following identification requirements before action will be taken by the
Office of Thrift Supervision on any such request:
(i) An individual seeking notification or access to records in person,
or seeking to amend a record in person, may establish identity by the
presentation of a single official document bearing a photograph (such as
a passport or identification badge) or by the presentation of two items
of identification which do not bear a photograph but do bear both a name
and signature (such as a driver's license or credit card).
(ii) An individual seeking notification or access to records by mail,
or seeking to amend a record by mail, may establish identity by a
signature, address, and one other identifier such as a photocopy of a
driver's license or other official document bearing the individual's
signature.
(iii) Notwithstanding subdivisions (i) and (ii) of this subparagraph,
an individual seeking notification or access to records by mail or in
person, or seeking to amend a record by mail or in person, who so
desires, may establish identity by providing a notarized statement,
swearing or affirming to such individual's identity and to the fact that
the individual understands the penalties provided in 5 U.S.C. 552a(i)(3)
for requesting or obtaining access to records under false pretenses.
Alternatively, an individual may provide a statement that the individual
understands the penalties provided in 5 U.S.C. 552a(i)(3) for requesting
or obtaining access to records under false pretenses which is subscribed
by the individual as true and correct under penalty of perjury pursuant
to 28 U.S.C. 1746. Notwithstanding subdivision (i), (ii), or (iii) of
this subparagraph, a designated official may require additional proof of
an individual's identity before action will be taken on any request, if
such official determines that it is necessary to protect against
unauthorized disclosure of information in a particular case. In
addition, a parent of any minor or a legal guardian of any individual
will be required to provide adequate proof of legal relationship before
such person may act on behalf of such minor or such individual.
[60 FR 31633, Jun. 16, 1996]
DEPARTMENT OF THE TREASURY
TABLE OF CONTENTS
Departmental Offices (DO)
DO .002--Treasury Integrated Management Information System (TIMIS)
DO .004--Personnel Security System
DO .005--Grievance Records
DO .007--General Correspondence Files
DO .010--Office of Domestic Finance, Actuarial Valuation System
DO .060--Correspondence Files and Records on Employee Complaints and/
or Dissatisfaction
DO .062--Executive Inventory Files
DO .065--Appointment at Above the Minimum Rate of the Grade File
DO .066--Combined Applicant/Applicant Correspondence Files
DO .067--Detailed Employee Files
DO .068--Time-In-Grade Exception Files
DO .070--Automated Systems Division, ASD Project Recording System
DO .111--Office of Foreign Assets Control Census Records
DO .114--Foreign Assets Control Enforcement Records
DO .118--Foreign Assets Control Licensing Records
DO .144-General Counsel Litigation Referral and Reporting System
DO .149--Foreign Assets Control Legal Files
DO .150--Disclosure Records
DO .156--Tax Court Judge Applicants
DO .183--Private Relief Tax Bill Files--Office of the Assistant
Secretary for Tax Policy
DO .190--General Allegations and Investigative Records
DO .191--OIG Management Information System
DO .193--Employee Locator and Automated Directory System
DO .194--Circulation System
DO .196--Security Information System
DO .200--FinCEN Data Base
DO .201--Fitness Center Records
DO .202--Drug-Free Workplace Program Records
DO .203--Public Transportation Incentive Program Records
DO .205--Executive Information System (EIS)
DO .206--Office Tracking System (OTS)
DO .207--Waco Administrative Review Group Investigation
DO .209--Personal Services Contracts (PSC)
DO .210--Integrated Financial Management and Revenue System.
DO .211-- Telephone Call Detail Records
Bureau of Alcohol, Tobacco, and Firearms (ATF)
ATF .001--Administrative Record System
ATF .002--Correspondence Record System
ATF .003--Criminal Investigation Report System
ATF .005--Freedom of Information Requests
ATF .006--Internal Security Record System
ATF .007--Personnel Record System
ATF .008--Regulatory Enforcement Record System
ATF .009--Technical and Scientific Services Record System
Comptroller of the Currency (CC)
CC .004--Consumer Complaint Information System
CC .012--Freedom of Information Index and Log
CC .013--Enforcement and Compliance Information System
CC .014--Investigation Files/Employee Reference File
CC .015--Chain Banking Organizations System
CC .016--Litigation Information System
CC .221--Professional Qualification Records for Municipal Securities
Principals and Municipal Securities Representatives
CC .300--Administrative Personnel System
CC .310--Financial System
CC .320--General Personnel System
CC .500--Chief Counsel's Management Information System
U.S. Customs Service (CS)
CS .001--Acceptable Level of Competence, Negative Determination
CS .002--Accident Reports
CS .005--Accounts Receivable
CS .009--Acting Customs Inspector (Excepted)
CS .014--Advice Requests (Legal) (Pacific Region)
CS .021--Arrest/Seizure/Search Report and Notice of Penalty File
CS .022--Attorney Case File
CS .028--Baggage Declaration
CS .030--Bankrupt Parties--In-Interest
CS .031--Bills Issued Files
CS .032--Biographical Files (Headquarters)
CS .040--Carrier File
CS .041--Cartmen or Lightermen
CS .042--Case and Complaint File
CS .043--Case Files (Regional Counsel--South Central Region)
CS .044--Certificates of Clearance
CS .045--Claims Act File
CS .046--Claims Case File
CS .050--Community Leader Survey
CS .053--Confidential Source Identification File
CS .054--Confidential Statements of Employment and Financial Interests
CS .056--Congressional and Public Correspondence File
CS .057--Container Station Operator Files
CS .058--Cooperating Individual Files
CS .061--Court Case File
CS .064--Credit Card File
CS .067--Bank Secrecy Act Reports File
CS .069--Customs Brokers File
CS .077--Disciplinary Action, Grievance and Appeal Case Files
CS .078--Disclosure of Information File
CS .081--Dock Passes
CS .083--Employee Relations Case Files
CS .092--Exit Interview
CS .096--Fines, Penalties and Forfeiture Control and Information
Retrieval System
CS .098--Fines, Penalties and Forfeitures Records
CS .099--Fines, Penalties and Forfeiture Records (Supplemental
Petitions)
CS .100--Fines, Penalties and Forfeiture Record (Headquarters)
CS .105--Former Employees
CS .109--Handicapped Employee File
CS .122--Information Received File
CS .123--Injury Notice
CS .125--Intelligence Log
CS .127--Internal Security Records System
CS .129--Investigations Record System
CS .133--Justice Department Case File
CS .136--All Liquidated Damage Penalty, and Seizure Cases; Prior
Violators
CS .137--List of Vessel Agents Employees
CS .138--Litigation Issue Files
CS .144--Mail Protest File
CS .148--Military Personnel and Civilian Employees' Claims Act File
CS .151--Motor Vehicle Accident Reports
CS .156--Narcotics Violator File
CS .159--Notification of Personnel Management Division when an
Employee is placed under investigation by the Office of Internal
Affairs
CS .161--Optional Retirement List
CS .162--Organization (Customs) and Automated Position Management
System (COAPMS)
CS .163--Outside Employment Requests
CS .165--Overtime Earnings
CS .170--Overtime Reports
CS .172--Parking Permits File
CS .171--Pacific Basin Reporting Network
CS .186--Personnel Search
CS .190--Personnel Case File
CS .193--Operating Personnel Folder Files
CS .196--Preclearance Costs
CS .197--Private Aircraft/Vessel Inspection Reporting System
CS .201--Property File, Non-Expendable
CS .206--Regulatory Audits of Customhouse Brokers
CS .207--Reimbursable Assignment/Workticket System (formerly
Reimbursable Assignment System)
CS .208--Restoration of Forfeited Annual Leave Cases
CS .209--Resumes of Professional Artists
CS .210--Revocation of I. D. Privileges and ``Cash Basis Only'' for
Reimbursable Services List
CS .211--Sanction List
CS .212--Search/Arrest/Seizure Report
CS .214--Seizure File
CS .215--Seizure Report File
CS .217--Set Off Files
CS .219--Skills Inventory Records
CS .220--Supervisory Notes and Files
CS .224--Suspect Persons Index
CS .226--Television System
CS .227--Temporary Importation Under Bond (TIB) Defaulter Control
System
CS .232--Tort Claims Act File
CS .234--Tort Claims Act File
CS .238--Training and Career Individual Development Plans
CS .239--Training Records
CS .244--Treasury Enforcement Communications System
CS .249--Uniform Allowance--Unit Record
CS .251--Unscheduled Overtime Report
CS .252--Valuables Shipped Under Government Losses in Shipment Act
CS .258--Violator's Case Files
CS .260--Warehouse Proprietor Files
CS .262--Warnings to Importers in Lieu of Penalty
CS .268--Military Personnel and Civilian Employees' Claim Act File
CS .269--Accounts Payable Voucher File
CS .270--Background-Record File on Non-Customs Employees
CS .271--Cargo Security Record System
CS .272--Currency Declaration File (Customs Form 4790)
CS .274--Importers, Brokers, Carriers, Individuals and Sureties Master
File
CS .277--Drivers License File
CS .278--Automated Commercial System (ACS)
CS .284--Personnel Verification System
CS .285--Automated Index to Central Investigative Files (formerly
Automated Index to Central Enforcement Files)
CS Appendix A
Bureau of Engraving and Printing (BEP)
BEP .002--Personal Property Claim File
BEP .004--Counseling Records
BEP .005--Compensation Claims
BEP .006--Debt Files (Employees)
BEP .014--Employee's Production Record
BEP .016--Employee Suggestions
BEP .020--Industrial Truck Licensing Records
BEP .021--Investigative Files
BEP .023--Motor Vehicle Licensing Records
BEP .027--Programmable Access Security System (PASS)
BEP .035--Tort Claims (Against the United States)
BEP .038--Unscheduled Absence Record
BEP .040--Freedom of Information and Privacy Act Requests
BEP .041--Record of Discrimination Complaints
BEP .043--Parking Program Records
BEP .044--Personnel Security Files and Indices
BEP .045--Mail Order Sales Customer Files
BEP .046--Automated Mutilated Currency Tracking System
Federal Law Enforcement Training Center (FLETC)
FLETC .001--FLETC Payroll/Personnel Records System
FLETC .002--FLETC Trainee Records
FLETC .004--FLETC Administrative Employee Records
Financial Management Service (FMS)
FMS .001--Administrative Records
FMS .002--Payment Issue Records for Regular Recurring Benefit Payments
FMS .003--Claims and Inquiry Records on Treasury Checks, and
International Claimants
FMS .005--FMS Personnel Records
FMS .007--Payroll and Pay Administration
FMS .008--Personnel Security Records
FMS .010--Records of Accountable Officers' Authority with Treasury
FMS .012--Pre-complaint Counseling and Complaint Activities
FMS .013--Gifts to the United States
FMS .014--Debt Collection Operations System
Internal Revenue Service (IRS)
IRS 00.001--Correspondence Files and Correspondence Control Files
IRS 00.002--Correspondence Files/Inquiries About Enforcement
Activities
IRS 10.001--Biographical Files, Public Affairs
IRS 10.004--Subject Files, Public Affairs
IRS 21.001--Tax Administration Resources File, Office of Tax
Administration Advisory Services
IRS 22.003--Annual Listing of Undelivered Refund Checks
IRS 22.011--File of Erroneous Refunds
IRS 22.026--Form 1042S Index by Name of Recipient
IRS 22.027--Foreign Information System (FIS)
IRS 22.032--Individual Microfilm Retention Register
IRS 22.034--Individual Returns Files, Adjustments and Miscellaneous
Documents Files
IRS 22.043--Potential Refund Litigation Case Files
IRS 22.044--P.O.W.-M.I.A. Reference File
IRS 22.054--Subsidiary Accounting Files
IRS 22.059--Unidentified Remittance File
IRS 22.060--Automated Non-Master File (ANMF) (formerly Manual
Accounting Replacement Systems)
IRS 22.061--Individual Return Master File (IRMF) (formerly Wage and
Information Returns Processing (IRP) File)
IRS 24.013--Combined Account Number File, Taxpayer Services (formerly
Combined Account Number File, Returns Processing)
IRS 24.029--Individual Account Number File (IANF), Taxpayer Services
(formerly Individual Account Number (IANF), Returns Processing)
IRS 24.030--Individual Master File (IMF), Taxpayer Services (formerly
Individual Master File (IMF), Returns Processing)
IRS 24.046--Business Master File (BMF), Taxpayer Services (formerly
Business Master File (BMF), Returns Processing)
IRS 24.070--Debtor Master File (DMF)
IRS 26.001--Acquired Property Records
IRS 26.006--Form 2209, Courtesy Investigations
IRS 26.008--IRS and Treasury Employee Delinquency
IRS 26.009--Lien Files (Open and Closed)
IRS 26.010--Lists of Prospective Bidders at Internal Revenue Sales of
Seized Property
IRS 26.011--Litigation Case Files
IRS 26.012--Offer in Compromise (OIC) File
IRS 26.013--One Hundred Percent Penalty Cases
IRS 26.014--Record 21, Record of Seizure and Sale of Real Property
IRS 26.016--Returns Compliance Programs (RCP)
IRS 26.019--Taxpayer Delinquent Accounts (TDA) Files including
subsystems: (a) Adjustments and Payment Tracers Files, (b) Collateral
Files, (c) Seized Property Records, (d) Tax Collection Waiver, Forms
900, Files, and (e) Accounts on Child Support Obligations
IRS 26.020--Taxpayer Delinquency Investigation (TDI) Files
IRS 26.021--Transferee Files
IRS 26.022--Delinquency Prevention Programs
IRS 30.003--Requests for Printed Tax Materials Including Lists
IRS 30.004--Security Violations
IRS 34.003--Assignment and Accountability of Personal Property Files
IRS 34.005--Parking Space Application and Assignment
IRS 34.007--Record of Government Books of Transportation Requests
RS 34.009--Safety Program Files
IRS 34.012--Emergency Preparedness Cadre Assignments and Alerting
Rosters Files
IRS 34.013--Identification Media Files System for Employees and Others
Issued IRS ID
IRS 34.014--Motor Vehicle Registration and Entry Pass Files
IRS 34.016--Security Clearance Files
IRS 34.018--Integrated Data Retrieval System (IDRS) Security Files
IRS 36.001--Appeals, Grievances and Complaints Records
RS 36.002--Employee Activity Records
IRS 36.003--General Personnel and Payroll Records
IRS 36.005--Medical Records
IRS 36.008--Recruiting, Examining and Placement Records
IRS 36.009--Retirement, Life Insurance and Health Benefits Records
System
IRS 37.001--Abandoned Enrollment Applications
IRS 37.002--Files Containing Derogatory Information About Individuals
Whose Applications for Enrollment to Practice Before the IRS Have Been
Denied and Applicant Appeal Files
IRS 37.003--Closed Files Containing Derogatory Information About
Individuals' Practice Before the Internal Revenue Service and Files of
Attorneys and Certified Public Accountants Formerly Enrolled to
Practice
IRS 37.004--Derogatory Information (No Action)
IRS 37.005--Present Suspensions and Disbarments Resulting from
Administrative Proceedings
IRS 37.006--General Correspondence File
IRS 37.007--Inventory
IRS 37.008--Register of Docketed Cases and Applicant Appeals
IRS 37.009--Enrolled Agents and Resigned Enrolled Agents (Action
Pursuant to 31 CFR, Section 10.55(b))
IRS 37.010--Roster of Former Enrollees
IRS 37.011--Present Suspensions from Practice Before the Internal
Revenue Service
IRS 38.001--General Training Records
IRS 42.001--Examination Administrative File
IRS 42.008--Audit Information Management System (AIMS)
IRS 42.013--Project Files for the Uniform Application of Laws as a
Result of Technical Determinations and Court Decisions
IRS 42.014--Internal Revenue Service Employees' Returns Control Files
IRS 42.016--Classification/ Centralized Files and Scheduling Files
IRS 42.017--International Enforcement Program Files
IRS 42.021--Compliance Programs and Projects Files
IRS 42.027--Data on Taxpayers Filing on Foreign Holdings
IRS 42.029--Audit Underreporter Case Files
IRS 42.030--Discriminant Function File (DIF)
IRS 44.001--Appeals Case Files
IRS 44.003--Unified System for Time and Appeals Records (Unistar)
IRS 44.004--Art Case File
IRS 44.005--Expert Witness and Fee Appraiser Files
IRS 46.002--Criminal Investigation Management Information System
(CIMIS) (formerly Case Management and Time Reporting System, Criminal
Investigation Division)
IRS 46.003--Confidential Informants, Criminal Investigation Division
IRS 46.004--Controlled Accounts--Open and Closed
IRS 46.005--Electronic Surveillance File, Criminal Investigation
Division
IRS 46.009--Centralized Evaluation and Processing of Information Items
(CEPIIs), Criminal Investigation Division
IRS 46.011--Illinois Land Trust Files, Criminal Investigation
Division
IRS 46.015--Relocated Witnesses, Criminal Investigation Division
IRS 46.016--Secret Service Details, Criminal Investigation Division
IRS 46.022--Treasury Enforcement Communications System (TECS),
Criminal Investigation Division
IRS 48.001--Disclosure Records
IRS 48.008--Defunct Special Service Staff File Being Retained Because
of Congressional Directive
IRS 49.001--Collateral and Information Requests System
IRS 49.002--Competent Authority and Index Card--Microfilm Retrieval
System
RS 49.003--Financial Statements File
IRS 49.007--Overseas Compliance Projects System
IRS 49.008--Taxpayer Service Correspondence System
IRS 50.001--Employee Plans/Exempt Organizations Correspondence
Control Records (Form 5961)
IRS 50.003--Employee Plans/Exempt Organizations, Reports of
Significant Matters in Technical (M--5945)
IRS 60.001--Assault and Threat Investigation Files, Inspection
IRS 60.002--Bribery Investigation Files, Inspection
IRS 60.003--Conduct Investigation Files, Inspection
IRS 60.004--Disclosure Investigation Files, Inspection
IRS 60.005--Enrollee Applicant Investigation Files, Inspection
IRS 60.006--Enrollee Charge Investigation Files, Inspection
IRS 60.007--Miscellaneous Information File, Inspection
IRS 60.008--Security, Background, and Character Investigation Files,
Inspection
IRS 60.009--Special Inquiry Investigation Files, Inspection
IRS 60.010--Tort Investigation Files, Inspection
IRS 60.011--Internal Security Management Information System (ISMIS)
IRS 70.001--Individual Income Tax Returns, Statistics of Income
IRS 90.001--Chief Counsel Criminal Tax Case Files
IRS 90.002--Chief Counsel Disclosure Litigation Case Files
IRS 90.003--Chief Counsel General Administrative Systems
IRS 90.004--Chief Counsel General Legal Services Case Files
IRS 90.005--Chief Counsel General Litigation Case Files
IRS 90.006--Former Chief Counsel Interpretative Case Files
IRS 90.007--Chief Counsel Legislation and Regulations Division,
Employee Plans and Exempt Organizations Division, and Associate Chief
Counsel (Technical and International) Correspondence and Private Bill
File
IRS 90.009--Chief Counsel Field Services Case Files
IRS 90.010--Digest Room Files Containing Briefs, Legal Opinions, and
Digests of Documents Generated Internally or by the Department of
Justice Relating to the Administration of the Revenue Laws
IRS 90.011--Attorney Recruiting Files
IRS 90.013--Legal Case Files of the Chief Counsel, Deputy Chief
Counsel, Associate Chief Counsels (Enforcement Litigation),
(Domestic), (International), (Finance and Management), Special Counsel
(Large Case), and their immediate staffs.
IRS 90.015--Reference Records of the Library in the Office of Chief
Counsel
IRS 90.016--Counsel Automated Tracking System (CATS) Records
IRS 90.017--Correspondence Control and Records, Associate Chief
Counsel (Technical and International)
IRS 90.018--Expert Witness Library
IRS Appendix A
United States Mint (Mint)
Mint .001--Cash Receivable Accounting Information System
Mint .002--Current Employee Security Identification Record
Mint .003--Employee and Former Employee Travel & Training Accounting
Information System
Mint .004--Occupational Safety and Health, Accident and Injury
Records, and Claims for Injuries or Damage Compensation Records
(formerly Employees, Former Employees and Members of the Public
Medical Records, Personnel Records, Occupational Safety and Health,
Accident and Injury Records, and Claims for Injuries or Damage
Compensation Records)
Mint .005--Employee-Supervisor Performance Evaluation, Counseling,
and Time and Attendance Records
Mint .007--General Correspondence
Mint .008--Criminal Investigations Files (formerly Investigatory
Files on Theft of Mint Property)
Mint .009--Numismatic Coin Operations System (NUCOS) Records,
Customer Mailing List, Order Processing Record for Coin Sets, Medals
and Numismatic Items, and records of undelivered orders
Mint .012--Grievances. Union/Agency Negotiated Grievances, Adverse
Action Procedures; Performance Based Personnel Actions; Discrimination
Complaints; Third Party Actions (formerly Grievances. Union/Agency
Negotiated)
Office of Thrift Supervision (OTS)
Treasury/OTS .001 Confidential Individual Information System
Treasury/OTS .002 Correspondence/Correspondence Tracking
Treasury/OTS .003 Consumer Complaint
Treasury/OTS .004 Criminal Referral Database
Treasury/OTS .005 Employee Counseling Service
Treasury/OTS .006 Employee Locator File
Treasury/OTS .007 Employee Parking
Treasury/OTS .008 Employee Training Database
Treasury/OTS .009 Health Files
Treasury/OTS .010 Inquiry/Request Control
Treasury/OTS .011 Positions/Budget
Treasury/OTS .012 Payroll/Personnel System & Payroll Records
Treasury/OTS .013 Personnel Security and Suitability Program
Bureau of the Public Debt (BPD)
BPD .001--Personnel and Administrative Records
BPD .002--United States Savings Type Securities
BPD .003--United States Securities (Other than Savings Type
Securities)
BPD .004--Controlled Access Security System
BPD .005--Employee Assistance Records
BPD .006--Health Services Program Records
BPD .007--Gifts to Reduce the Public Debt
BPD .008--Savings Bonds Sales Promotion/Volunteer Record System
(formerly numbered USSBD .002)
BPD .009--Savings Bond Sales Record System (formerly numbered USSBD
.003)
United States Secret Service (USSS)
USSS .001--Administrative Information System
USSS .002--Chief Counsel Record System
USSS .003--Criminal Investigation Information System
USSS .004--Financial Management Information System
USSS .005--Freedom of Information Request System
USSS .006--Non-Criminal Investigation Information System
USSS .007--Protection Information System
USSS .008--Public Affairs Record System
USSS .009--Training Information System