[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF TREASURY
Table of Contents
Departmental Offices (DO)
DO .002--Treasury Integrated Management Information System
(TIMIS)
DO. 003--Law Enforcement Retirement Claims Records.
DO .004--Personnel Security System
DO .005--Grievance Records
DO .006--Treasury Child Care Tuition Assistance Records
DO .007--General Correspondence Files
DO .010--Office of Domestic Finance, Actuarial Valuation System
DO. 011--Treasury Safety Incident Management Information System
(SIMIS).
DO. 015--Political Appointee Files
DO .060--Correspondence Files and Records on Employee Complaints
and/or Dissatisfaction
DO .068--Time-In-Grade Exception Files
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--Freedom of Information Act/Privacy Act Request 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 (formerly Document Delivery Control
System)
DO .195--Treasury Emergency Management 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 .204--Parking and Carpool Program Records
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
DO .212--Suspicious Activity Reporting System (SARS)
DO .213--Bank Secrecy Act Reports System (formerly CS .067--Bank
Secrecy Act Reports File)
Bureau of Alcohol, Tobacco, and Firearms (ATF)
ATF .001--Administrative Record System
ATF .002--Correspondence Record System
ATF .003--Criminal Investigation Report 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 .013--Enforcement and Compliance Information System
CC .015--Chain Banking Organizations System
CC .016--Litigation Information System
CC. 100--Enforcement Action Report System
CC. 110--Reports of Suspicious Activities
CC. 120--Bank Fraud Information System
CC. 200--Chain Banking Organizations System
CC. 210--Bank Securities Dealers System
CC. 220--Section 914 Tracking System
CC .221--Registration Records for Municipal and United States
Government Securities Dealers (formerly: Professional Qualification
Records for Municipal Securities Principals, Municipal Securities
Representatives, and U.S. Government Securities Associated Persons)
CC .300--Administrative Personnel System
CC .310--Financial System
CC .320--General Personnel System
CC. 340--Access Control System,
CC. 500--Chief Counsel's Management Information System
CC. 510--Litigation Information System
CC. 600--Consumer Complaint and Inquiry Information System
CC. 700--Correspondence Tracking 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.021--Arrest/Seizure/Search Report and Notice of Penalty File
CS.022--Attorney Case File
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 (Associate Chief Counsel--Gulf Customs
Management Center
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.069--Customs Brokers File
CS.077--Disciplinary Action, Grievance and Appeal Case Files
CS.081--Dock Passes
CS.083--Employee Relations Case Files
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 Affairs 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.162--Organization (Customs) and Automated Position Management
System (COAPMS)
CS.163--Outside Employment Requests
CS.165--Overtime Earnings
CS.170--Overtime Reports
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
CS.208--Restoration of Forfeited Annual Leave Cases
CS.209--Resumes of Professional Artists
CS.211--Sanction List
CS.212--Search/Arrest/Seizure Report
CS.213--Seized Asset and Case Tracking System (SEACATS)
CS.214--Seizure File
CS.215--Seizure Report File
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.278--Automated Commercial System (ACS)
CS.284--Personnel Verification System (PVS)
CS.285--Automated Index to Central Investigative Files
CS.286--Electronic Job Application Processing System
Appendix A--US Customs Service
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 .027--Programmable Access Security System (PASS)
BEP .035--Tort Claims (Against the United States)
BEP .038--Unscheduled Absence Record
BEP .041--Record of Discrimination Complaints
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 .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.
FMS .016--Payment Records for Other Than Regular Recurring
Benefit Payments.
Internal Revenue Service (IRS)
IRS 00.001--Correspondence Files (including Stakeholder
Relationship files) and Correspondence Control Files
IRS 00.002--Correspondence Files/Inquiries About Enforcement
Activities
IRS 00.003--Taxpayer Advocate Service and Customer Feedback and
Survey Records
IRS 00.333--Third Party Contact Records
IRS 00.334--Third Party Contact Reprisal Records
IRS 10.001--Biographical Files, Chief, Communications and Liaison
IRS 10.004--Stakeholder Relationship Management and Subject
Files, Chief, Communications and Liaison
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 22.028--Disclosure Authorizations for U.S. Residency
Certification Letters
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)
IRS 22.061--Individual Return Master File (IRMF)
IRS 22.062 Electronic Filing Records
IRS 24.013--Combined Account Number File, Taxpayer Services
IRS 24.029--Individual Account Number File (IANF)
IRS 24.030--CADE Individual Master File (IMF), (Formerly:
Individual Master File (IMF))
IRS 24.046--CADE Business Master File (BMF) (Formerly: Business
Master File (BMF))
IRS 24.047--Audit Underreporter Case File
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--Trust Fund Recovery Cases/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 SB/SE,
W&I, LMSB 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 34.007--Record of Government Books of Transportation Requests
IRS 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 34.020--IRS Audit Trail Lead Analysis System (ATLAS)
IRS 34.021--Personnel Security Investigations, National
Background Investigations Center (formerly: IRS 60.008--Security,
Background, and Character Investigation Files, Inspection)
IRS 34.022--National Background Investigations Center Management
Information System (NBICMIS) (formerly: IRS 60.011--Internal
Security Management Information System (ISMIS))
IRS 34.037--IRS Audit Trail and Security Records System
IRS 36.001--Appeals, Grievances and Complaints Records
IRS 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 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 42.030--Discriminant Function File (DIF)
IRS 44.001--Appeals Case Files
IRS 44.003--Appeals Centralized Data System (Formerly 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)
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), Evaluation and Processing of Information (EOI),
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 46.050--Automated Information Analysis System
IRS 46.051--Criminal Investigation Audit Trail Records System
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--Tax Treaty Information Management System
IRS 49.003--Financial Statements File
IRS 49.007--Overseas Compliance Projects System
IRS 49.008--International Correspondence System
IRS 50.001--Employee Plans/Exempt Organizations Correspondence
Control Records
IRS 50.003--Employee Plans/Exempt Organizations, Reports of
Significant Matters in Technical
IRS 60.000--Employee Protection Records
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 60.009--Special Inquiry Investigation Files, Inspection
IRS 60.010--Tort Investigation Files, Inspection
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 90.007--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 and Associate Chief Counsels
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--Addresses of System Locations
United States Mint (Mint)
Mint .001--Cash Receivable Accounting Information System
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
Mint .005--Employee-Supervisor Performance Evaluation,
Counseling, and Time and Attendance Records
Mint .007--General Correspondence
Mint .008--Employee Background Investigations File.
Mint .009--Mail Order and Catalogue Sales System (MACS), Customer
Mailing List, Order Processing Record for Coin Sets, Medals and
Numismatic Items, and Records of Undelivered Orders, Product
Descriptions, Availability and Iinventory.
Mint .012--Grievances. Union/Agency Negotiated Grievances,
Adverse Performance Based Personnel Actions; Discrimination
Complaints; Third Party Actions
Bureau of the Public Debt (BPD)
BPD .001--Human Resources 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 .009--Retail Treasury Securities Access Application
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 .006--Non-Criminal Investigation System
USSS .007--Protection System
USSS .008--Public Affairs Record System
USSS .009--Training Information System
Office of Thrift Supervision (OTS)
OTS .001--Confidential Individual Information System
OTS .002--Correspondence/Correspondence Tracking
OTS .003--Consumer Complaint
OTS .004--Criminal Referral Database
OTS .005--Employee Counseling Service
OTS .006--Employee Locator File
OTS .008--Employee Training Database
OTS .011--Positions/Budget
OTS .012--Payroll/Personnel Systems & Payroll Records
TREASURY/DO .002
System name:
Treasury Integrated Management Information Systems (TIMIS)--
Treasury/DO.
System location:
The system management staff of TIMIS is located at 740 15th
Street NW, Suite 400, Washington, DC 20005. The TIMIS processing site
is located at the United States Department of Agriculture National
Finance Center, 13800 Old Gentilly Road, New Orleans, LA 70129.
Categories of individuals covered by the system:
Current and historical payroll/personnel data of employees of all
Treasury bureaus and organizations, except the Office of Thrift
Supervision (OTS).
Categories of records in the system:
Information contained in the records of the 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
may 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); (16) disclose to the Office of
Child Support Enforcement, Administration for Children and Families,
Department of Health and Human Services, the names, social security
numbers, home addresses, dates of birth, dates of hire, quarterly
earnings, employer identifying information, and State of hire of
employees, for the purposes of locating individuals to establish
paternity, establishing and modifying orders of child support,
identifying sources of income, and for other child support
enforcement activities as required by the Personal Responsibility and
Work Opportunity Reconciliation Act (Welfare Reform Law, Pub. L. 104-
193).
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 Systems (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 Systems
(System Manager for TIMIS), 740 15th Street NW, Suite 400,
Washington, DC 20005.
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.203
System name:
Public Transportation Incentive Program Records-Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220. The locations at which the system is maintained
by Treasury bureaus and their associated field offices are:
1. a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
2. Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
3. Office of the Comptroller of the Currency (OCC): 250 E Street,
SW, Washington, DC 20219-0001.
4. United States Customs Service (CS): 1300 Pennsylvania Avenue,
NW, Washington DC 20229.
5. Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
6. Federal Law Enforcement Training Center (FLETC): Glynco, Ga.
31524.
7. Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
8. Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
9. United States Mint (MINT): 801 9th St. NW, Washington, DC
20220.
10. Bureau of the Public Debt (BPD): 200 Third Street,
Parkersburg, WV 26101.
11. United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
12. Office of Thrift Supervision (OTS): 1700 G Street, NW,
Washington, DC 20552.
Categories of individuals covered by the system:
Employees who have applied for or who 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, last four digits of the social
security number, place of residence, office address, office
telephone, grade level, duty hours, previous method of
transportation, costs of transportation, and the type of fare
incentive requested. Incentives authorized under the Federal
Workforce Transportation Program may be included in this program.
(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, 26 U.S.C. 132(f), and Pub. L. 101-509.
Purpose(s):
The records are used to administer the public transportation
incentive or subsidy programs provided by Treasury bureaus for
eligible employees. The system also enables the Department to compare
these records with other Federal agencies to ensure that employee
transportation programs benefits are not abused.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used to disclose 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 where relevant
or potentially relevant to a proceeding, 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/or
7114;
(5) Agencies, contractors, and others to administer Federal
personnel or payroll systems, and for debt collection and employment
or security investigations;
(6) Other Federal agencies for matching to ensure that employees
receiving PTI Program benefits are not listed as a carpool or vanpool
participant, the holder of a parking permit; and to prevent the
program from being abused;
(7) The Department of Justice when seeking legal advice, or when
(a) the Department of the Treasury (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;
(8) The Office of Personnel Management, the Merit Systems
Protection Board, the Equal Employment Opportunity Commission, and
the Federal Labor Relations Authority or other third parties when
mandated or authorized by statute; and
(9) A contractor for the purpose of compiling, organizing,
analyzing, programming, or otherwise refining records to accomplish
an agency function subject to the same limitations applicable to U.S.
Department of Treasury officers and employees under the Privacy Act.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system
Storage:
Paper records, file folders and/or electronic media.
Retrievability:
By name of individual, badge number or office.
Safeguards:
Access is limited to authorized employees. Files are maintained
in locked safes and/or file cabinets. Electronic records are
password-protected. During non-work hours, records are stored in
locked safes and/or cabinets in 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:
The system managers for the Treasury Bureaus are:
(1) a. Departmental Offices: Assistant Director, Parking, Safety
and Farecard Office, Facilities Management Division, 1500
Pennsylvania Ave., NW, Washington, DC 20220.
[[Page 3648]]
b. Office of Inspector General: Office of Assistant Inspector for
Resources, Office of Administrative Services, Suite 510, 740 15th St.
NW., Washington, DC 20220.
(2) ATF: Chief, Safety Program Branch, Administrative Programs
Division, Office of Management, 650 Massachusetts Ave., NW.,
Washington, DC 20226.
(3) BEP: Chief, Office of Administrative Services, Bureau of
Engraving and Printing, 14th and C Streets, SW., Washington, DC
20228.
(4) OCC: Building Manager, Building Services, Office of the
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219-
0001.
(5) CS: Chief, Headquarters Facilities Service Branch, 1300
Pennsylvania Avenue, NW., Suite 3.2C, Washington, DC 20229.
(6) FLETC: Associate Director for Planning & Resources Federal
Law Enforcement Training Center, Glynco, GA 31524
(7) FMS: Director, Facilities Management Division, Financial
Management Service, 3700 East West Hwy., Room 144, Hyattsville, MD
20782.
(8) IRS: Official prescribing policies and practices--Chief,
National Office, Protective Program Staff, Director, Personnel Policy
Division, 2221 S. Clark Street-CP6, Arlington, VA 20224. Officials
maintaining the system--Supervisor of local offices where the records
reside. (See IRS Appendix A for addresses.)
(9) Mint: Office of Management Services, 801 9th St. NW.,
Washington, DC 20220.
(10) BPD: Executive Director, Administrative Resources Center,
200 Third Street, Parkersburg, WV 26106.
(11) USSS: Assistant Director, Office of Administration, 950 H
Street, NW., Washington DC 20373-5802.
(12) OTS: Director, Planning, Budget and Finance, Office of
Thrift Supervision, Department of the Treasury, 1700 G Street, NW.,
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 given in the
Appendix for each Treasury bureau appearing at 31 CFR part 1, subpart
C.
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 incentive program managers and other
appropriate agency officials, or other Federal agencies.
Exemptions claimed for the system:
None.
Treasury/DO .004
System name:
Personnel Security System-Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue NW, Room
3180 Annex, Washington, DC 20220. Other locations at which the system
is maintained by Treasury bureaus and their associated offices are:
1. a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. Financial Crimes Enforcement Network (FinCEN): 2070 Chain
Bridge Road, Vienna, VA 22182.
c. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
d. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
2. Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
3. Office of the Comptroller of the Currency (OCC): 250 E Street,
SW, Washington, DC 20219-0001.
4. United States Customs Service (CS): 1300 Pennsylvania Avenue,
NW, Washington DC 20229
5. Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
6. Federal Law Enforcement Training Center (FLETC): Glynco, GA.
31524.
7. Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
8. United States Mint (MINT): 801 9th Street, NW, Washington, DC
20220.
9. Bureau of the Public Debt (BPD): 200 Third Street,
Parkersburg, WV 26101.
10. Office of Thrift Supervision (OTS): 1700 G Street, NW,
Washington, DC 20552.
Categories of individuals covered by the system:
(1) Current and former government employees, applicants and
contractor employees occupying or applying for sensitive positions in
the Department, (2) current and former senior officials of the
Department and Treasury bureaus, and those within the Department who
are involved in personnel security matters, and (3) current
employees, applicants and contractor employees who are appealing a
denial or a revocation of a security clearance.
Categories of records in the system:
(1) Background investigations, (2) FBI and other agency name
checks, (3) investigative information relating to personnel
investigations conducted by the Department of the Treasury and other
Federal agencies and departments on a pre-placement and post-
placement basis to make suitability and employability determinations
and for granting security clearances, (4) card records comprised of
Notice of Personnel Security Investigation (TD F 67-32.2) or similar
previously used card indexes, and (5) an automated data system
reflecting identification data on applicants, incumbents and former
employees, disclosure and authorization forms, and record of
investigations, level and date of security clearance, if any, as well
as status of investigations, and (6) records pertaining to the appeal
of a denial or a revocation of a security clearance.
Authority for maintenance of the system:
Executive Order 10450, Sections 2 and 3, Executive Order 12958,
and Executive Order 12968.
Purpose(s):
This system is used to maintain records that assure the
Department is upholding the highest standards of integrity, loyalty,
conduct, and security among its personnel and contract employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used to disclose information to:
(1) 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;
(2) 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
where relevant or potentially relevant to a proceeding, or in
connection with criminal law proceedings;
(3) The Department of Justice, or in a proceeding before a court,
adjudicative body, or other administrative body before which the
Department of the Treasury is authorized to appear, when: (a) The
Department of the Treasury, or any component thereof; or (b) any
employee of the Department of the Treasury in his or her official
capacity; or (c) any employee of the Department of the Treasury in
his or her individual capacity where the Department of Justice or the
Department of the Treasury has agreed to represent the employee; or
(d) the United States, when the Department of the Treasury determines
that litigation is likely to affect the Department of the Treasury 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 or the Department of the Treasury is deemed by the Department
of the Treasury to be relevant and necessary to the litigation;
provided, however, that the disclosure is compatible with the purpose
for which records were collected;
(4) A congressional office in response to an inquiry made at the
request of the individual to whom the record pertains;
(5) Third parties during the course of an investigation to the
extent necessary to obtain information pertinent to the
investigation;
(6) The Office of Personnel Management, Merit Systems Protection
Board, Equal Employment Opportunity Commission, Federal Labor
Relations Authority, and the Office of Special Counsel for the
purpose of properly administering Federal personnel systems or other
agencies' systems in accordance with applicable laws, Executive
Orders, and regulations; and
(7) Unions recognized as exclusive bargaining representatives
under 5 U.S.C. chapter 71, 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:
File folders, index cards, and magnetic media.
Retrievability:
Records are retrieved by name.
Safeguards:
Paper records are stored in locked metal containers and in locked
rooms. Electronic records are password protected. Access is limited
to officials who have a need to know in the performance of their
official duties and whose background investigations have been
favorably adjudicated.
Retention and disposal:
The records on government employees and contractor employees are
retained for the duration of their employment at the Treasury
Department. The records on applicants not selected and separated
employees are destroyed or sent to the Federal Records Center in
accordance with General Records Schedule 18.
System manager(s) and address:
Department of the Treasury: Official prescribing policies and
practices: Director of Security, 1500 Pennsylvania Avenue, NW., Room
3180 Annex, Washington, DC 20220.
The system managers for the Treasury components are:
1. (a) DO: Director of Security, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
(b) FinCEN: Security Director, 2070 Chain Bridge Road, Vienna, VA
22182.
(c) OIG: Personnel Officer, 740 15th St., NW, Suite 510,
Washington, DC 20220.
(d) TIGTA: Security Officer, 1111 Constitution Ave., NW,
Washington, DC 20224.
2. ATF: Deputy Assistant Director (Management), 650 Massachusetts
Avenue, NW, Washington, DC 20226.
3. BPD: Director, Division of Administrative Services, 200 Third
Street, PO Box 1328, Parkersburg, WV 26106-1318.
4. USCS: Chief, Security Management Branch, 1300 Pennsylvania
Avenue, NW, Washington, DC 20229.
5. FLETC: Associate Director for Planning & Resources, Glynco, GA
31524.
6. OCC: Director, Administrative Services Division, 250 E Street,
SW, Washington, DC 20219.
7. BEP: Chief, Office of Security, 14th & C Streets, NW, Room
113M, Washington, DC 20228.
8. FMS: Director, Administrative Programs Division, 3700 East
West Highway, Hyattsville, MD 20782.
9. Mint: Director of Security, 801 9th Street, NW, Washington, DC
20220.
10. OTS: Director, Procurement and Administrative Services, 1700
G Street, NW, Washington, DC 20552.
Notification procedure:
Individuals wishing to be notified if they are named in this
system of records, or who seek access to any record contained in the
system of records, or seek 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.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' 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)(1), (2),
(3), and (4), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy
Act pursuant to 5 U.S.C. 552a(k)(5). (See 31 CFR 1.36).
TREASURY/DO .005
System name:
Grievance Records--Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Ave., NW,
Washington, DC 20220. These records are located in personnel or
designated offices in the bureaus in which the grievances were filed.
The locations at which the system is maintained are:
(1)a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
c. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
(2) Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
(3) Office of the Comptroller of the Currency (OCC): 250 E
Street, NW, Washington, DC 20219-0001.
(4) United States Customs Service (CS): 1301 Constitution Avenue,
NW, Washington DC 20229.
(5) Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
(6) Federal Law Enforcement Training Center (FLETC): Glynco, Ga.
31524.
(7) Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
(7) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
(8) United States Mint (MINT): Judiciary Square Building, 633-3rd
Street, NW Washington, DC 20220.
(9) Bureau of the Public Debt (BPD): 999-E Street, NW,
Washington, DC 20239.
(10) United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
(11) Office of Thrift Supervision (OTS): 1700 G Street,
NW.,Washington, DC 20552.
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.
Purpose:
To adjudicate employee administrative grievances filed under the
authority of 5 CFR Part 771 and the Department's Administrative
Grievance Procedure.
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 adrress:
Records pertaining to administrative grievances filed at the
Departmental level: Director, Office of Personnel Policy, 1500
Pennsylvania Ave., NW., Metropolitan Square, Washington, DC 20220.
Records pertaining to administrative grievances filed at the bureau
level:
(1)a. DO: Chief, Personnel Resources, 1500 Pennsylvania Ave. NW.,
Metropolitan Square, Washington, DC 20220.
b. OIG: Personnel Officer, 740-15th St. NW, Rm. 510, Washington,
DC 20220.
c. TIGTA: National Director, Human Resources, 1111 Constitution
Ave. NW, Rm. 6408, TIGTA: MRS, Washington, DC 20224.
(2) ATF: Chief, Personnel Division, 650 Massachusetts Ave. NW,
Rm. 4100, Washington, DC 20226.
(3) OCC: Director, Human Resources, 250 E Street, SW, Washington,
DC 20219.
(4) Customs: Assistant Commissioner, Office of Human Resources
Management, Ronald Reagan Building, Room 2.4A, 1300 Pennsylvania
Avenue, NW, Washington, DC 20229.
(5) BEP: Chief, Office of Human Resources, 14th & C Streets, SW,
Room 202-13A, E&P Annex, Washington, DC 20228.
(6) FLETC: Human Resources Officer, Glynco, GA 31524.
(7) FMS: Director, Personnel Management Division, 3700 East West
Hwy, Room 115-F, Hyattsville, MD 20782.
(8) IRS: Director, Office of Workforce Relations (M:S:L) 1111
Constitution Ave. NW, Room 1515IR, Washington, DC 20224.
(9) Mint: Assistant Director for Human Resources, 801 9th Street,
NW, 6th Floor, Washington, DC 20220
(10) BPD: Director, Human Resources Division, 200 Third Street,
Parkersburg, WV 26106-1328.
(11) USSS: Chief, Personnel Division, 950 H Street, NW, Suite
7000, Washington, DC 20373-5802.
(12) OTS: Director, Human Resources Division, 2nd Floor, 1700 G
Street, NW, Washington, DC 20552.''
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 .006
System name:
Treasury Child Care Tuition Assistance Records.
System location:
Department of the Treasury,1500 Pennsylvania Ave., NW,
Washington, DC 20220. The locations at which the system is maintained
by Treasury components are:
1. a. Departmental Offices (DO):
1500 Pennsylvania Ave., NW, Washington, DC 20220.
b. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
c. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
2. Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
3. Office of the Comptroller of the Currency (OCC): 250 E Street,
NW, Washington, DC 20219-0001.
4. United States Customs Service (CS): 1301 Constitution Avenue,
NW, Washington DC 20229.
5. Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
6. Federal Law Enforcement Training Center (FLETC): Glynco, Ga.
31524.
7. Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
8. Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
9. United States Mint (MINT): 801 9th Street, NW, Washington, DC
2022.
10. Bureau of the Public Debt (BPD): 200 Third Street,
Parkersburg, WV 26101.
11. United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
12. Office of Thrift Supervision (OTS): 1700 G Street, NW,
Washington, DC 20552.
Categories of individuals covered by the system:
Employees of the Department of the Treasury who voluntarily apply
for child care tuition assistance, the employee's spouse, their
children and their child care providers.
Categories of records in the system:
Records may include application forms for child care tuition
assistance containing personal information, including employee
(parent) name, Social Security Number, pay grade, home and work
numbers, addresses, telephone numbers, total family income, names of
children on whose behalf the parent is applying for tuition
assistance, each child's date of birth, information on child care
providers used (including name, address, provider license number and
State where issued, tuition cost, and provider tax identification
number), and copies of IRS Form 1040 and 1040A for verification
purposes. Other records may include the child's social security
number, weekly expense, pay statements, records relating to direct
deposits, verification of qualification and administration for the
child care tuition assistance.
Authority for maintenance of the system:
Pub. L. 106-58, section 643 and E.O. 9397.
Purpose(s):
To establish and verify Department of the Treasury employees'
eligibility for child care subsidies in order for the Department of
the Treasury to provide monetary assistance to its employees. Records
are also maintained so the Department can make payments to child care
providers on an employee's behalf.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used to: (1) 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 Department of the Treasury
becomes aware of an indication of a violation or potential violation
of civil or criminal law or regulation;
(2) Provide information to a congressional office from the record
of an individual in response to an inquiry from that congressional
office made at the request of that individual;
(3) Disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Government
is a party to the judicial or administrative proceeding. In those
cases where the Government is not a party to the proceeding, records
may be disclosed if a subpoena has been signed by a judge;
(4) Disclose information to the National Archives and Records
Administration for use in records management inspections;
(5) Disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Department of the Treasury is authorized to
appear, when: (a) The Department of the Treasury, or any component
thereof; or (b) any employee of the Department of the Treasury in his
or her official capacity; or (c) any employee of the Department of
the Treasury in his or her individual capacity where the Department
of Justice or the Department of the Treasury has agreed to represent
the employee; or (d) the United States, when the Department of the
Treasury determines that litigation is likely to affect the
Department of the Treasury 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 or the Department of the
Treasury is deemed by the Department of the Treasury to be relevant
and necessary to the litigation; provided, however, that the
disclosure is compatible with the purpose for which records were
collected;
(6) Provide records to the Office of Personnel Management, Merit
Systems Protection Board, Equal Employment Opportunity Commission,
Federal Labor Relations Authority, the Office of Special Counsel, 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;
(7) Disclose information to contractors, grantees, or volunteers
performing or working on a contract, service, grant, or cooperative
agreement, or job for the Federal Government;
(8) Disclose information to a court, magistrate, or
administrative tribunal when necessary and relevant 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;
(9) Disclose information to unions recognized as exclusive
bargaining representatives under 5 U.S.C. chapter 71, 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:
Information may be collected on paper or electronically and may
be stored as paper forms or on computers.
Retrievability:
By name; may also be cross-referenced to Social Security Number.
Safeguards:
When not in use by an authorized person, paper records are stored
in lockable file cabinets or secured rooms. Electronic records are
protected by the use of passwords.
Retention and disposal:
Disposition of records is according to the National Archives and
Records Administration (NARA) guidelines.
System manager(s) and address:
Treasury official prescribing policies and practices: Director,
Office of Personnel Policy, Room 6018-Metropolitan Square, Department
of the Treasury, Washington, DC 20220. Officials maintaining the
system and records for the Treasury components are:
1. a. DO: Director, Office of Personnel Resources, Department of
the Treasury, Room 1462-MT, Washington, DC 20220.
b. Office of General Counsel: Administrative Officer, Department
of the Treasury, Room 1417-MT, Washington, DC 20220.
c. OIG: Personnel Officer, 740 15th St., NW, Suite 510,
Washington, DC 20220.
d. TIGTA: Director, Management Resources & Support, 1111
Constitution Ave., NW, TIGTA: IG:NS:HR, Room 6402, Washington, DC
20224.
2. ATF: Chief, Personnel Division 650 Massachusetts Ave., NW,
Room 4100, Washington, DC 20226.
3. OCC: Director, Human Resources Division Independence Square,
250 E St., SW, 4th Floor, Washington, DC 20219.
4. USCS: Personnel Director, HRM, 1300 Pennsylvania Ave., NW Room
2.4a, International Trade Center, Washington, DC 20229.
5. BEP: Chief, Office of Human Resources. 14th & C St., SW, Room
202-13a, Washington, DC 20228.
6. FLETC: Human Resources Officer, Bldg 94, Room E-2, Glynco, GA
31524.
7. FMS: Director, Human Resources Division, PG Center II Bldg,
Rm. 114f, 3700 East West Highway, Hyattsville, MD 20782.
8. IRS: Director Personnel Policy Division, 1111 Constitution
Ave., Building CP6--M:S:P, Washington, DC 20224.
9. MINT: Assistant Director, Human Resources 801 9th Street, NW,
Room 6S34, Washington, DC 20220.
10. BPD: Child Care Assistance Program (CCAP) Coordinator P.O.
Box 1328, Room 302, Parkersburg, W. VA 26106-1328.
11. USSS: Chief, Personnel Division 950 H St., NW, 7th Floor,
Washington, DC 20223.
12. OTS: Director, Human Resources Division, 1700 G St., NW, 2nd
Floor, Washington, DC 20552.
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.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Information is provided by Department of the Treasury employees
who apply for child care tuition assistance.
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, Office of Tax Policy, U.S.
Treasury Department, Room 1041-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.
Purpose(s):
Public Law 95-595 requires that annual actuarial valuations be
conducted for Federal retirement systems. In order to satisfy this
requirement, participant data must be collected so that liabilities
for the Foreign Service Retirement and Disability System and the
Foreign Service Pension System can be actuarially determined.
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 .011
System name:
Treasury Safety Incident Management Information System (SIMIS)--
Treasury
System location:
Department of the Treasury, 1500 Pennsylvania Ave., NW,
Washington, DC 20220. Other locations at which the system is
maintained by Treasury components and their associated field offices
are:
(1)a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. Financial Crimes Enforcement Network (FinCEN): 2070 Chain
Bridge Road, Vienna, VA 22182.
c. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
d. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
e. Community Development Financial Institutions Fund (CDFI): 601
13th Street, NW, Washington, DC 20005.
(2) Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
(3) Office of the Comptroller of the Currency (OCC): 250 E
Street, SW, Washington, DC 20219-0001.
(4) United States Customs Service (CS): 1300 Pennsylvania Avenue,
NW, Washington, DC 20229.
(5) Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
(6) Federal Law Enforcement Training Center (FLETC): Glynco, GA
31524.
(7) Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
(8) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
(9) United States Mint (MINT): 801 9th Street, NW, Washington, DC
20220.
(10) Bureau of the Public Debt (BPD): 200 Third Street,
Parkersburg, WV 26101.
(11) United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
(12) Office of Thrift Supervision (OTS): 1700 G Street, NW,
Washington, DC 20552.
Categories of individuals covered by the system:
Current and past Treasury employees and contractors who are
injured on Department of the Treasury property or while in the
performance of their duties offsite. Members of the public who are
injured on Department of the Treasury property are also included in
the system.
Categories of records in the system:
Records in this system pertain to medical injuries and
occupational illnesses of employees which include social security
numbers, full names, job titles, government and home addresses (city,
state, zip code), home telephone numbers, work telephone numbers,
work shifts, location codes, and gender. Mishap information on
environmental
[[Page 43042]]
incidents, vehicle accidents, property losses and tort claims will be
included also. In addition, there will be records such as results of
investigations, corrective actions, supervisory information, safety
representatives names, data as to chemicals used, processes affected,
causes of losses, etc. Records relating to contractors include full
name, job title, work addresses (city, state, zip code), work
telephone number, location codes, and gender. Records pertaining to a
member of the public include full name, home address (city, state,
zip code), home telephone number, location codes and gender.
(Official compensation claim file, maintained by the Department of
Labor's Office of Workers' Compensation Programs (OWCP), is part of
that agency's system of records and not covered by this notice.)
Authority for maintenance of the system:
5 U.S.C. 301, Executive Order 12196, section 1-2.
Purpose(s):
This system of records supports the development and maintenance
of a Treasury-wide incident tracking and reporting system and will
make it possible to streamline a cumbersome paper process. Current
web technology will be employed and facilitate obtaining real-time
data and reports related to injuries and illnesses. As an enterprise
system for the Department and its component bureaus, incidents
analyses can be performed instantly to affect a more immediate
implementation of corrective actions and to prevent future
occurrences. Information pertaining to past and all current employees
and contractors injured on Treasury property or while in the
performance of their duties offsite, as well as members of the public
injured while on Federal property, will be gathered and stored in
SIMIS. This data will be used for analytical purposes such as trend
analysis, and the forecasting/projecting of incidents. The data will
be used to generate graphical reports resulting from the analyses.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records 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 pertinent information to the Department of Justice
for the purpose of litigating an action or seeking legal advice;
(3) Disclose information to the Office of Workers' Compensation
Programs, Department of Labor, which is responsible for the
administration of the Federal Employees' Worker Compensation Act
(FECA);
(4) Disclose 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;
(5) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which the
Department of the Treasury (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;
(6) Disclose information to a congressional office in response to
an inquiry made at the request of the individual to whom the record
pertains;
(7) Disclose information to a contractor for the purpose of
processing administrative records and/or compiling, organizing,
analyzing, programming, or otherwise refining records subject to the
same limitations applicable to U.S. Department of the Treasury
officers and employees under the Privacy Act;
(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 or in
connection with criminal law proceedings or in response to a subpoena
where relevant or potentially relevant to a proceeding;
(9) Disclose information to 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;
(10) Disclose information to the Equal Employment Opportunity
Commission, 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) Disclose information to a Federal, State, or local public
health service agency as required by applicable law, concerning
individuals who have contracted or who have been exposed to certain
communicable diseases or conditions. Such information is used to
prevent further outbreak of the disease or condition;
(12) Disclose information to representatives of the General
Services Administration (GSA) or the National Archives and Records
Administration (NARA) who are conducting records management
inspections under authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in hardcopy and electronic media.
Retrievability:
Records can be retrieved by name, or by categories listed above
under ``Categories of records in the system.''
Safeguards:
Protection and control of any sensitive but unclassified (SBU)
records are in accordance with TD P 7110, Department of the Treasury
Security Manual. The hardcopy files and electronic media are secured
in locked rooms. Access to the records is available only to employees
responsible for the management of the system and/or employees of
program offices who have a need for such information and have been
subject to a background check and/or security clearance.
Retention and disposal:
Records are retained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedule No. 1.
System manager(s) and address:
Department of the Treasury official prescribing policies and
practices: Director, Office of Safety, Health and Environment,
Department of the Treasury, Washington, DC 20220.
The system managers for the Treasury components are:
1. (a) DO: Safety and Occupational Health Manager, 1500
Pennsylvania Avenue, Room 1400 Annex, NW, Washington, DC 20220.
(b) FinCEN: Safety and Occupational Health Manager, 2070 Chain
Bridge Road, Vienna, VA 22182.
(c) OIG: Safety and Occupational Health Manager, 740 15th Street,
NW, Washington, DC 20220.
(d) TIGTA: Safety and Occupational Health Manager, 1111
Constitution Ave., NW, Washington, DC 20224.
(e) CDFI: Safety and Occupational Health Manager, 601 13th
Street, NW, Washington, DC 20005.
2. ATF: Safety and Occupational Health Manager, 650 Massachusetts
Avenue, NW, Washington, DC 20226.
3. OCC: Safety and Occupational Health Manager, 250 E Street, SW,
Washington, DC 20219-0001.
4. CS: Safety and Occupational Health Manager, 1300 Pennsylvania
Avenue, NW, Washington, DC 20229.
5. BEP: Safety and Occupational Health Manager, 14th & C Streets,
SW, Washington, DC 20228.
6. FLETC: Safety and Occupational Health Manager, Glynco, GA,
31524.
7. FMS: Safety and Occupational Health Manager, PG 3700 East-West
Highway, Hyattsville, MD 20782.
8. IRS: Safety and Occupational Health Manager, 1111 Constitution
Avenue, NW, Washington, DC 20224.
9. MINT: Safety and Occupational Health Manager, 801 9th Street,
NW, Washington, DC 20220.
10. BPD: Safety and Occupational Health Manager, 200 Third
Street, Parkersburg, WV 26101.
11. USSS: Safety and Occupational Health Manager, 950 H Street,
NW, Washington, DC 20001.
12. OTS: Safety and Occupational Health Manager, 1700 G Street,
NW, 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 Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Information is obtained from current Treasury employees,
contractors, members of the public, witnesses, medical providers, and
relevant industry experts.
Exemptions claimed for the system:
None.
Treasury/DO .015
System name:
Political Appointee Files.
System location:
Department of the Treasury, Departmental Offices, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
Categories of individuals covered by the system:
Individuals who may possibly be appointed to political positions
in the Department of the Treasury, consisting of Presidential
appointees requiring Senate confirmation; non-career Senior Executive
Service appointees; and Schedule C appointees.
Categories of records in the system:
Files may consist of the following: Referral letters; White House
clearance letters; information about an individual's professional
licenses (if applicable); IRS results of inquiries; notation of
National Agency Check (NAC) results (favorable or otherwise);
internal memoranda concerning an individual; Financial Disclosure
Statements (Standard Form 278); results of inquiries about the
individual; Questionnaire for National Security Positions Standard
Form 86; Personal Data Statement and General Counsel Interview
sheets; published works including books, newspaper and magazine
articles, and treatises by the individual; newspaper and magazine
articles written about or referring to the individual; and or
articles containing quotes by the individual, and other
correspondence relating to the selection and appointment of political
appointees.
Authority for maintenance of the system:
5 U.S.C. 3301, 3302 and E.O. 10577.
Purpose(s):
These records are used by authorized personnel within the
Department to determine a potential candidate's suitability for
appointment to non-career positions within the Department of the
Treasury.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be disclosed to:
(1) 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;
(2) 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;
(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 subpoena where relevant or potentially
relevant to a proceeding, 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) Third parties during the course of an investigation to the
extent necessary to obtain information pertinent to the
investigation; and
(6) 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Correspondence and forms in file folders. Records are also
maintained in electronic media.
Retrievability:
Information accessed by last name of individual and Social
Security Number.
Safeguards:
Building employs security guards. Data is kept in locked file
cabinets and is accessible to authorized personnel only. Electronic
media is password protected.
Retention and disposal:
Records are destroyed at the end of the Presidential
administration during which the individual is hired. For non-
selectees, records of individuals who are not hired are destroyed one
year after the file is closed, but not later than the end of the
Presidential administration during which the individual is
considered.
System manager(s) and address:
Chief of Staff, Department of the Treasury, Rm 3420, 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, Department of the Treasury,
1500 Pennsylvania Avenue, NW., Washington, DC 20220.
Record access procedures:
See ``Record notification procedure'' above.
Contesting record procedures:
See ``Record notification procedure'' above.
Record source categories:
Records are submitted by the individuals and compiled from
interviews with those individuals seeking non-career positions.
Additional sources may include The White House, Office of Personnel
Management, Internal Revenue Service, Department of Justice and
international, state, and local jurisdiction law enforcement
components for clearance documents, and other correspondence and
public record sources.
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.
Purpose(s):
to maintain a record of correspondence related to employee
complaints filed with the Departmental Office of Personnel Policy.
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,
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 .068
System name:
Time-In-Grade Exception Files--Treasury/DO. System location: Room
1462-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 1462-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 .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:
Records stored on magnetic media and/or as hard copy documents.
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(s) 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) Indentify 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 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 computerized records are maintained in computer data banks
and printouts.
Retrievability:
The computer information is accessible by the name of the non-
government party involved in the case, and case number and docket
number (when available).
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 computer information is maintained for up to ten years after
a record is created.
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 1.36; 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 3133-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.
Purpose(s):
These records are maintained to assist in providing legal advice
to the Office of Foreign Assets Control and the agency regarding
issues of compliance, enforcement, investigation, and implementation
matters related to the Office of Foreign Assets Control and the
statutes and regulations administered by the agency. Thjese records
are also maintained to assist in litigation related to the Office of
Foreign Assets Control and the statutes and regulations administered
by the agency.
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 courts.
Exemptions claimed for the system:
None.
Treasury/DO .150
System name:
Freedom of Information Act/ Privacy Act Request Records--
Treasury/DO
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220. The locations at which the system is maintained
by Treasury components and their associated field offices are:
(a) Departmental Offices (DO), which includes the Financial
Crimes Enforcement Network (FinCEN), and the Office of Inspector
General (OIG);
(b) Bureau of Alcohol, Tobacco and Firearms (ATF);
(c) Office of the Comptroller of the Currency (OCC);
(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) United States Mint (MINT);
(i) Bureau of the Public Debt (BPD);
(j) United States Secret Service (USSS):
(k) Office of Thrift Supervision (OTS).
(l) Treasury Inspector General for Tax Administration (TIGTA)
Categories of individuals covered by the system:
Individuals who have: (1) Requested access to records pursuant to
the Freedom of Information Act of 1974, as amended, 5 U.S.C. 552,
(FOIA) or who have appealed initial denials of their requests; and/or
(2) made a request for access, amendment or other action pursuant to
the Privacy Act of 1974, 5 U.S.C. 552a (PA).
Categories of records in the system:
Requests for records or information pursuant to the FOIA and/or
PA which includes the names of individuals making written requests
for records under the FOIA or the PA, the mailing addresses of such
individuals, and the dates of such requests and their receipt.
Supporting records include the written correspondence received from
requesters and responses made to such requests; internal processing
documents and memoranda, referrals and copies of records provided or
withheld, and may include legal memoranda and opinions. Comparable
records are maintained in this system with respect to any appeals
made from initial denials of access, refusal to amend records and
lawsuits under the FOIA/PA.
Authority for maintenance of the system:
Freedom of Information Act, 5 U.S.C. 552; Privacy Act of 1974, 5
U.S.C. 552a; and 5 U.S.C. 301.
Purpose(s):
The system is used by officials to administratively control and/
or process requests for records to ensure compliance with the FOIA/PA
and to collect data for the annual and biennial reporting
requirements of the FOIA/PA and other Department management report
requirements.
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,
foreign, State, local, tribal or other public authorities or self-
regulatory organizations 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) Disclose information to another Federal agency to (a) permit
a decision as to access, amendment or correction of records to be
made in consultation with or by that agency, or (b) verify the
identity of an individual or the accuracy of information submitted by
an individual who has requested access to or amendment or correction
of records.
(5) 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.
(6) Disclose information to the appropriate foreign, State,
local, tribal, or other public authority or self-regulatory
organization for the purpose of (a) consulting as to the propriety of
access to or amendment or correction of information obtained from
that authority or organization, or (b) verifying the identity of an
individual who has requested access to or amendment or correction of
records.
(7) Disclose information to contractors and other agents who have
been engaged by the Department or one of its bureaus to provide
products or services associated with the Department's or bureau's
responsibility arising under the FOIA/PA.
(8) Disclose information to the National Archives and Records
Administration for use in records management inspections.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic media, computer paper printout, index file cards, and
paper records in file folders.
Retrievability:
Retrieved by name, subject, request file number or other data
element as may be permitted by an automated system.
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
bureaus. Access to the records is available only to employees
responsible for the management of the system and/or employees of
program offices who have a need for such information.
Retention and disposal:
The records pertaining to Freedom of Information Act and Privacy
Act requests are retained and disposed of in accordance with the
National Archives and Records Administration's General Record
Schedule 14--Information Services Records.
System manager(s) and address:
Department of the Treasury: Official prescribing policies and
practices--Departmental Disclosure Officer, Department of the
Treasury, Room 1054 MT, 1500 Pennsylvania Avenue, NW., Washington, DC
20220.
The system managers for the Treasury components are:
DO: Assistant Director, Disclosure Services, Room 1054-MT, Department
of the Treasury, Washington, DC 20220
ATF: Chief, Disclosure Division, 650 Massachusetts Avenue, NW,
Washington, DC 20226
BEP: Disclosure Officer, FOIA Office, 14th & C Streets, SW,
Washington, DC 20228
FLETC: FOIA/PA Officer, Department of the Treasury, Building 94,
Glynco, GA 31524
FMS: Disclosure Officer, 401 14th Street, SW, Washington, DC 20227
Mint: FOIA/PA Officer, Judiciary Square Building, 633 3rd Street, NW,
Washington, DC 20220
OCC: Disclosure Officer, Communications Division, Washington, DC
20219
USCS: Chief, Disclosure Law Branch, Office of Regulations and
Rulings, 1300 Pennsylvania Avenue, NW, Washington, DC 20229
BPD: Information Disclosure Officer, 999 E Street, NW, Washington, DC
20239
USSS: FOIA/PA Officer, FOIA/PA Branch, 950 H Street, NW, Suite
3000,Washington, DC 20001
OTS: Manager, Dissemination Branch, 1700 G Street, NW, Washington, DC
20552.
TIGTA: Supervisory Analyst, 1111 Constitution Ave., NW, IC:CC, Room
3039, Washington, DC 20224.
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:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The information contained in these files originates from
individuals who make FOIA/PA requests and agency officials responding
to those requests.
Exemptions claimed for the system:
None. The Department has claimed one or more exemptions (see 31
CFR 1.36) for a number of its other systems of records under 5 U.S.C.
552a (j)(2) and (k) (1), (2), (3), (4), (5), and (6). During the
course of a FOIA/PA action, exempt materials from those other systems
may become a part of the case records in this system. To the extent
that copies of exempt records from those other systems have been
recompiled and/or entered into these FOIA/PA case records, the
Department claims the same exemptions for the records as they have in
the original primary systems of records of which they are a part.
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.
Purpose(s:
To maintain records about candidates for appointment to the Tax
Court in order to make recommendations to the President.
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 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.
Purpose(s):
The files of private relief tax bills contain records of policy
positions and issues involved in Congressional private relief tax
bills.
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:
Management Services, Office of Tax Policy, Room 1041-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 Inspector General (OIG), Assistant Inspector General
for Investigations, 740 15th St., NW, Suite 500, Washington, DC
20220; Field Offices in Alexandria, VA; Marlton, NJ; Houston, TX; Los
Angeles, CA; San Diego, CA; Miami, FL; and Chicago, IL. Addresses may
be obtained from the system manager. 1201 Constitution Avenue, NW,
Washington, DC 20220; Regional Inspectors General for Investigations
in Washington, DC; Houston, TX; Los Angeles, CA; and Chicago, IL; and
Office of Investigations field offices in New York, NY, and Glynco,
GA. Addresses may be obtained from the system manager.
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 the 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:
The Inspector General Act of 1978, as Amended, 5 U.S.C.A. App.3.
Purpose(s):
The records and information collected for and maintained in this
system are used to (a) receive allegations of violations of the
Department's rules of conduct, the Office of Personnel Management
merit system, or any other criminal or civil misconduct and to (b)
prove or disprove, to the extent possible, allegations which the OIG
receives that are made against Department of the Treasury employees.
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 are maintained in a secured locked
room. Also, magnetic media maintained on the case tracking systems
are password protected, secured by an internal lock and locked in a
secured room. Backup of the magnetic media is maintained in a locked
safe.
Retrievability:
Alphabetically by name of subject or complainant, by case number,
and by special agent name and/or employee number.
Safeguards:
Paper records and word processing disks are maintained in locked
safes and all access doors are locked when offices are vacant.
Automated records are controlled by computer security programs which
limit access to authorized personnel who have a need for such
information in the course of their duties. The records are available
to Office of Inspector General personnel who have an appropriate
security clearance on a need-to-know basis.
Retention and disposal:
Investigative files and paper indices are stored on-site for 3
years. Indices to those files are stored on-site on magnetic media
for an indefinite time. The magnetic media will be retained
indefinitely; however, they will be updated periodically to reflect
changes. Upon expiration of their respective retention periods, the
investigative files 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:
Assistant Inspector General for Investigations, 740 15th St., NW,
Suite 500, 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) Personnel system records contain OIG employee name, office,
start of employment, series/grade, title, separation date; (2)
Tracking records contain status information on audits, investigations
and other projects from point of request or annual planning through
follow-up and closure; (3) Timekeeping records contain assigned
projects and distribution of time; (4) Equipment inventory records
contain assigned equipment; (5) Travel records contain dates, type of
travel and costs; (6) Training records contain dates, title of
training, and costs.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended; (5 U.S.C. Appendix 3)
5 U.S.C. 301; and 31 U.S.C. 321.
Purpose(s):
The purpose of the 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.
Disclosure to consumer reporting agencies:
Debtor information may also be furnished, in accordance with 5
U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) 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 network server is
password protected by account name and user password. Access to
records on magnetic media is controlled by computer passwords. Access
to specific system 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 Management Services, 740 15th St.
NW, Suite 510, 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 records 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 the Treasury, Office of Inspector
General, Office of the Assistant Inspector General for Management
Services, 740 15th Street, NW, Suite 510, Washington, DC 20220.
FIELD LOCATIONS: Contact System Manager for addresses.
Department of the Treasury, Office of Inspector General, (Offices
of Audit and Investigations), El Segundo, CA 90245-4320.
Department of the Treasury, Office of Inspector General, Office
of Investigations, San Diego, CA 92101.
Department of the Treasury, Office of Inspector General, Office
of Audit, San Francisco, CA 94105.
Department of the Treasury, Office of Inspector General, Offices
of Audit and Investigations, Miami, FL 33166-7710.
Department of the Treasury, Offices of Audit and Investigations,
Chicago, IL 60690.
Department of the Treasury, Office of Inspector General, Office
of Audit, Indianapolis, IN 46278.
Department of the Treasury, Office of Inspector General, Office
of Audit, New Orleans, LA 70130.
Department of the Treasury, Office of Inspector General, Office
of Audit, Boston, MA 02110.
Department of the Treasury, Office of Inspector General, Offices
of Audit and Investigations, Marlton, NJ 08053.
Department of the Treasury, Office of Inspector General, Offices
of Audit and Investigations, Houston, TX 77057.
Department of the Treasury, Office of Inspector General, Office
of Investigations, Alexandria, VA 22314.
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.
Purpose(s):
The Employee Locator and Automated Directory System is maintained
for the purpose of providing current locator and emergency
information on all DO employees.
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.
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:
Manager, Telephone Operator Serrvices Branch, 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.
Purposes(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 on-line. 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 procedure'' above.
Record source categories:
Patron information records are completed by borrowers and library
staff.
Exemptions claimed for the system:
None.
Treasury/DO .195
System name:
Treasury Emergency Management System.
System location:
Department of the Treasury, Annex Building, Room 3180, 1500
Pennsylvania Avenue, NW., Washington, DC 20220. Other locations at
which the system is maintained by Treasury components and their
associated field offices are:
(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. Financial Crimes Enforcement Network (FinCEN): 2070 Chain
Bridge Road, Vienna, VA 22182.
c. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
d. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
(2) Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
(3) Office of the Comptroller of the Currency (OCC): 250 E
Street, SW, Washington, DC 20219-0001.
(4) United States Customs Service (CS): 1300 Pennsylvania Avenue,
NW, Washington DC 20229.
(5) Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
(6) Federal Law Enforcement Training Center (FLETC): Glynco, Ga.
31524.
(7) Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
(8) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
(9) United States Mint (MINT): 801 9th Street, NW, Washington, DC
20220.
(10) Bureau of the Public Debt (BPD): 999-E Street, NW,
Washington, DC 20239.
(11) United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
(12) Office of Thrift Supervision (OTS): 1700 G Street,
NW.,Washington, DC 20552.
Categories of individuals covered by the system:
Current Treasury employees, contractors, and Treasury Emergency
Executive Reservists.
Categories of records in the system:
Treasury employees, contractors, or Treasury Emergency Executive
Reservists identification number, social security number, first name
and middle initial, last name, job title, government and home
addresses (city, state, zip code, zip code extension), home telephone
number, work telephone number, alternate telephone number (e.g.,
pager, cellular phone), work shift, email addresses, office code,
office name, gender and other employee attributes, date of birth,
place of birth, and related personnel security clearance information,
emergency team assignment and emergency team location.
Authority for maintenance of the system:
5 U.S.C. 301, Executive Order 12656, section 201 and part 15,
Executive Order 12472, Presidential Decision Directive 67.
Purpose(s):
The purpose of this system of records is to support the
development of and maintain a continuity of operations plans (COOP)
for the Department and its component bureaus. COOP activities involve
ensuring the continuity of minimum essential Department of the
Treasury functions through plans and procedures governing succession
to office and the emergency delegation of authority (where
permissible). Vital records and critical information pertaining to
all current employees, contractors, and Treasury Emergency Executive
Reservists will be gathered and stored in an emergency employee
locator system. This data will be used for alert and notification
purposes, determining team and task assignments, developing and
maintaining an emergency contact system for general emergency
preparedness programs and specific situations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records 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 pertinent information to the Department of Justice
for the purpose of litigating an action or seeking legal advice;
(3) Disclose information to the Federal Emergency Management
Agency (FEMA) or other agency with national security and emergency
preparedness responsibilities in order to carry out continuity of
government activities;
(4) Disclose 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;
(5) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which the
Department of the Treasury (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;
(6) Disclose information to a Congressional office in response to
an inquiry made at the request of the individual to whom the record
pertains;
(7) Disclose information to a contractor for the purpose of
processing administrative records and/or compiling, organizing,
analyzing, programming, or otherwise refining records subject to the
same limitations applicable to U.S. Department of the Treasury
officers and employees under the Privacy Act;
(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 or in
connection with criminal law proceedings or in response to a subpoena
where relevant or potentially relevant to a proceeding;
(9) Disclose information 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;
(10) Disclose information to a telecommunications company
providing telecommunications support to permit servicing the account;
(11) Disclose information to representatives of the General
Services Administration (GSA) or the National Archives and Records
Administration (NARA) who are conducting records management
inspections under authority of 44 U.S.C. 2904 and 2906.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Maintained in hardcopy and electronic media.
Retrievability:
Records can be retrieved by name, or by the categories listed
above under ``Categories of records in the system.''
Safeguards:
Protection and control of any sensitive but unclassified (SBU)
records are in accordance with TD P 7110, Department of the Treasury
Security Manual. 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/or employees of
program offices who have a need for such information and have been
subject to a background check and/or have a security clearance.
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:
Department of the Treasury: Official prescribing policies and
practices: Director, Office of Security, Department of the Treasury,
Washington, DC 20220.
The system managers for the Treasury components are:
1.(a) DO: Director of Security, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
(b) FinCEN: Security Director, 2070 Chain Bridge Road Vienna, VA
22182.
(c) OIG: Personnel Officer, 740 15th St., NW, Suite 510
Washington, DC 20220.
(d) TIGTA: Security Officer, 1111 Constitution Ave., NW,
Washington, DC 20224.
2. ATF: Deputy Assistant Director (Management), 650 Massachusetts
Avenue, NW., Washington, DC 20226.
3. CC: Director, Administrative Services Division, 250 E Street,
SW, Washington, DC 20219.
4. USCS: Chief, Security Management Branch, 1300 Pennsylvania
Avenue, NW, Washington, DC 20229.
5. BEP: Director of Security, 14th & C Streets, NW, Room 113M
Washington, DC 20228.
6. FLETC: Director, Glynco Facility, Glynco, GA 31524.
7. FMS: Director, Administrative Programs Division, 3700 East
West Highway, Hyattsville, MD 20782.
8. IRS: Director, Security Standards and Evaluation, 5000 Ellin
Road, Lanham, MD 20706.
9. BPD: Director, Administration, 200 Third Street, PO Box 1328,
Parkersburg, WV 261061328.
10. Mint: Director of Security, 801 9th Street, NW, Washington,
DC 20220.
11. USSS: Deputy Assistant Director, Office of Administration 950
H Street NW, Washington, DC 20001.
12. OTS: Director, Procurement and Administrative Services 1700 G
Street, NW, 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 Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Information is obtained from current Treasury employees,
contractors, Treasury Emergency Executive Reservists, and Management.
[[Page 9138]]
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 3210
Treasury Annex, 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 Treasury Order 102-10. (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. 12958, dated April 17, 1995, and Office of
Security Manual, TDP 71-10.
Purpose(s):
The system is designed to (1) oversee compliance with Executive
Order No. 12958 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 purposes 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, 3210 Treasury Annex, 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).
Purpose(s):
The purpose of this sytem of records is to support FINCEN's
efforts to provide a government-wide, multi-source intelligence and
analytical network to support the detection, investigation, and
prosecution of domestic and international money laundering and other
financial crimes, and other domestic and international criminal, tax,
and regulatory matters.
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 22020.
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 1450-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, Office of Personnel Resources, Department
of the Treasury, 1500 Pennsylvania Ave., Room 1450-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 .003
System name:
Law Enforcement Retirement Claims Records.
System location:
These records are located in the Office of Personnel Policy,
Department of the Treasury, Washington, DC 20220.
Categories of individuals covered by the system:
Current or former Federal employees who have submitted claims for
law enforcement retirement coverage (claims) with their bureaus in
accordance with 5 U.S.C. 8336(c)(1) and 5 U.S.C. 8412(d).
Categories of records in the system:
The system contains records relating to claims filed by current
and former Treasury employees under 5 U.S.C. 8336(c)(1) and 5 U.S.C.
8412(d). These case files contain all documents related to the claim
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.
Authority for maintenance of the system:
5 U.S.C. 8336(c)(1), 8412(d), 1302, 3301, and 3302; E.O. 10577; 3
CFR 1954-1958 Comp., p. 218 and 1959-1963 Comp., p. 519; and E.O.
10987.
Purpose(s):
The purpose of the system is to make determinations concerning
requests by Treasury employees that the position he or she holds
qualifies as a law enforcement position for the purpose of
administering employment and retirement benefits.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
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
[[Page 3649]]
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 a claim, to the
extent necessary to identify the individual whose claim is being
adjudicated, 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 which is necessary and relevant to
the Department of Justice or to a court when the Government is party
to a judicial proceeding before the court;
(6) To provide information to the National Archives and Records
Administration for use in records management inspections conducted
under authority of 44 U.S.C. 2904 and 2908;
(7) To disclose information to officials of the Merit Systems
Protection Board, the Office of the Special Counsel, the Federal
Labor Relations Authority, the Equal Employment Opportunity
Commission, or the Office of Personnel Management when requested in
performance of their authorized duties;
(8) 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 where relevant or potentially relevant to a proceeding,
or in connection with criminal law proceedings; and
(9) To provide information to officials of labor organizations
recognized 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 and electronic media.
Retrievability:
By the names of the individuals on whom they are maintained.
Safeguards:
Lockable metal filing cabinets to which only authorized personnel
have access. Automated databases are password protected.
Retention and disposal:
Disposed of after closing of the case in accordance with General
Records Schedule 1, Civilian Personnel Records, Category 7d.
System manager(s) and address:
Director, Office of Personnel Policy, Room 6018-Metropolitan
Square, Department of the Treasury, Washington, DC 20220.
Notification procedure:
It is required that individuals submitting claims be provided a
copy of the record under the claims 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 claims be provided a
copy of the record under the claims process. However, after the
action has been closed, an individual may request access to the
official copy of the claim file by contacting the system manager.
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 system manager.
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 .204
System name:
Parking and Carpool Program Records--Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220. The locations at which the system is maintained
by Treasury bureaus and their associated field offices are:
1. a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
c. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
2. Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
3. Office of the Comptroller of the Currency (OCC): 250 E Street,
SW, Washington, DC 20219-0001.
4. United States Customs Service (CS): 1300 Pennsylvania Avenue,
NW, Washington, DC 20229.
5. Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
6. Federal Law Enforcement Training Center (FLETC): Glynco, Ga.
31524.
7. Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
8. Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
9. United States Mint (MINT): Judiciary Square Building, 633-3rd
Street, NW, Washington, DC 20220.
10. Bureau of the Public Debt (BPD): 200 Third Street,
Parkersburg, WV 26101.
11. United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
12. Office of Thrift Supervision (OTS): 1700 G Street, NW,
Washington, DC 20552.
Categories of individuals covered by the system:
Current employees of the Department and individuals from other
Government agencies or private sector organizations who may use, or
apply to use, parking facilities or spaces controlled by the
Department. Individuals utilizing handicapped or temporary guest
parking controlled by the Department.
Categories of records in the system:
Records may include the name, position title, manager's name,
organization, vehicle identification, arrival and departure time,
home addresses, office telephone numbers, social security numbers,
badge number, and service computation date or length of service with
a component of an 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, permit number, priority group
(handicapped, job requirements/executive officials (SES) or carpool/
vanpool). Medical information may also be included when necessary to
determine disability of applicant when applying for handicapped
parking spaces.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101; Treasury Department Order No. 165,
revised as amended. Federal Property and Administrative Services Act
of 1949, as amended.
Purpose(s):
The records are used to administer parking, carpool and vanpool
programs within the Department. The system enables the Department to
allocate and check parking spaces assigned to government or
privately-owned vehicles operated by visitors, handicapped personnel,
key personnel, employees eligible to participate in a parking program
and carpools or vanpools. The Department is also able to compare
these records with other Federal agencies to ensure parking
privileges or other employee transportation benefits are not abused.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used to disclose information to:
(1) 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) A Congressional office in response to an inquiry made at the
request of the individual to whom the record pertains;
(3) A physician for making a determination on a person's
eligibility for handicapped parking;
(4) A contractor who needs to have access to this system of
records to perform an assigned activity;
(5) Parking coordinators of Government agencies and private
sector organizations for verification of employment and participation
of pool members;
(6) Unions recognized as exclusive bargaining representatives
under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114;
(7) Department of Justice when seeking legal advice, or when (a)
the Department of the Treasury (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;
(8) Third parties when mandated or authorized by statute or when
necessary to obtain information that is relevant to an inquiry
concerned with the possible abuse of parking privileges or other
employee transportation benefits;
(9) 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 where relevant or potentially relevant to a
proceeding, and
(10) Officials of the Merit Systems Protection Board, the Federal
Labor Relations Authority, the Equal Employment Opportunity
Commission or the Office of Personnel Management when requested in
the performance of their authorized duties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Hard copy and/or electronic media.
Retrievability:
Name, address, social security number, badge number, permit
number, vehicle tag number, and agency name or organization code on
either the applicant or pool members as needed by a bureau. Records
are filed alphabetically by location.
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. Protection
and control of 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 bureaus.
The IRS access controls will not be less than those provided by the
Automated Information System Security Handbook, IRM 2(10)00, and the
Manager's Security Handbook, IRM 1(16)12.
Retention and disposal:
Generally, record maintenance and disposal is in accordance with
NARA General Retention Schedule 11, and any supplemental guidance
issued by individual components. Disposal of manual records is by
shredding or burning; electronic data is erased. Destroyed upon
change in, or revocation of, parking assignment.
For the IRS, records are maintained in accordance with Records
Control Schedule 301--General Records Schedule 11, Space and
Maintenance Records, Item 4(a), IRM 1(15)59.31.
System manager(s) and address:
The system managers for the Treasury components are:
(1)(a) DO: Assistant Director, Parking, Safety and Farecard
Office, Facilities Management Division, 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
(b) OIG: Director, Administrative Services Division, Office of
Management Services, Room 510, 740 15th Street, NW., Washington, DC
20220.
(c) TIGTA: Security Officer, 1111 Constitution Ave., NW,
Washington, DC 20224.
(2) ATF: Chief, Safety Program Branch, Administrative Programs
Division, Office of Management, 650 Massachusetts Ave., NW,
Washington, DC 20226.
(3) OCC: Building Manager, Building Services, Office of the
Comptroller of the Currency, 250 E Street, SW, Washington, DC 20219.
(4) CS: Chief Financial Officer, U.S. Customs Service
Headquarters, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.
(5) BEP: Chief, Office of Administrative Services, Bureau of
Engraving and Printing, 14th and C Streets, SW, Washington, DC 20228.
(6) FLETC: Associate Director for Planning & Resources, Federal
Law Enforcement Training Center, Glynco, GA 31524.
(7) FMS: Director, Administrative Programs Division, 401 14th
Street, SW, Washington, DC 20227.
(8) IRS: Chief, Security and Safety Branch; Regional
Commissioners, District Directors, Internal Revenue Service Center
Directors, and Computing Center Directors. (See IRS Appendix A for
addresses.)
(9) MINT: Office of Management Services, 801 9th St. NW,
Washington, DC 20220.
(10) BPD: Director, Washington Support Services, Bureau of the
Public Debt, 999 E Street, NW, Washington, DC 20239.
(11) USSS: Assistant Director, Office of Administration, 950 H
Street, NW, Washington, DC 20373-5802.
(12) OTS: Director, Procurement and Administrative Services,
Office of Thrift Supervision, 1700 G Street, NW., 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:
Parking permit applicants, members of carpools or vanpools, other
Federal agencies, medical doctor if disability determination is
requested.
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 SC-1, 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 non-
confidential 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 multi-source
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:
None.
TREASURY/DO .209
System name:
Personal Services Contracts (PCSs)--Treasury/DO.
System location:
(1) Office of Technical Assistance, Department of the Treasury,
1730 K Street, NW., Suite 204, Washington, DC 20006. (2) Procurement
Services Division, Departmental Offices, Department of the Treasury,
1310 G St., NW., Suite 400 East, Washington, DC 20005.
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, Department of the
Treasury, 1730 K Street, NW., Suite 204, Washington, DC 20006.
(2) Director, Procurement Services Division, Departmental
Offices, Department of the Treasury, 1310 G St., NW., Suite 400 East,
Washington, DC 20005.
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 Ave., NW,
Washington, DC 20220. The locations at which the system is maintained
by Treasury components and their associated field offices are:
(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
c. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
(2) Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
(3) Office of the Comptroller of the Currency (OCC): 250 E
Street, NW, Washington, DC 20219-0001.
(4) United States Customs Service (CS): 1301 Constitution Avenue,
NW, Washington DC 20229.
(5) Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
(6) Federal Law Enforcement Training Center (FLETC): Glynco, Ga.
31524.
(7) Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
(7) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
(8) United States Mint (MINT): Judiciary Square Building, 633-3rd
Street, NW Washington, DC 20220.
(9) Bureau of the Public Debt (BPD): 999-E Street, NW,
Washington, DC 20239.
(10) United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
(11) Office of Thrift Supervision (OTS): 1700 G Street,
NW.,Washington, DC 20552.
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 parts 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: Director, Financial Management Division,
1500 Pennsylvania Avenue, NW, Room 4101-Annex, Washington, DC 20220.
Chief Financial Officer, FinCEN, 2070 Chain Bridge Road, Vienna,
VA 22182.
OIG: Assistant Inspector General for Management Services, 740
15th St. NW., Suite 510, 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, 200 Third Street, PO Box 1328, Parkersburg, WV 26106-1328.
CS: Chief Financial Officer, U.S. Customs Service, 1300
Pennsylvania Avenue, NW., Room 4.5-D, 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: Chief, Financial Management Division, U.S. Secret Service,
1800 G Street, NW., Room 748, Washington, DC 20226.
OTS: Director, Planning, Budget and Finance Division, 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, 1500 Pennsylvania Ave., NW,
Washington, DC 20220. The locations at which the system is maintained
by Treasury components and their associated field offices are:
(1) a. Departmental Offices (DO): 1500 Pennsylvania Ave., NW,
Washington, DC 20220.
b. The Office of Inspector General (OIG): 740 15th Street, NW,
Washington, DC 20220.
c. Treasury Inspector General for Tax Administration (TIGTA):
1111 Constitution Ave., NW, Washington, DC 20224.
(2) Bureau of Alcohol, Tobacco and Firearms (ATF): 650
Massachusetts Avenue, NW, Washington, DC 20226.
(3) Office of the Comptroller of the Currency (OCC): 250 E
Street, NW, Washington, DC 20219-0001.
(4) United States Customs Service (CS): 1301 Constitution Avenue,
NW, Washington DC 20229.
(5) Bureau of Engraving and Printing (BEP): 14th & C Streets, SW,
Washington, DC 20228.
(6) Federal Law Enforcement Training Center (FLETC): Glynco, Ga.
31524.
(7) Financial Management Service (FMS): 401 14th Street, SW,
Washington, DC 20227.
(7) Internal Revenue Service (IRS): 1111 Constitution Avenue, NW,
Washington, DC 20224.
(8) United States Mint (MINT): Judiciary Square Building, 633-3rd
Street, NW Washington, DC 20220.
(9) Bureau of the Public Debt (BPD): 999-E Street, NW,
Washington, DC 20239.
(10) United States Secret Service (USSS): 950 H Street, NW,
Washington, DC 20001.
(11) Office of Thrift Supervision (OTS): 1700 G Street,
NW.,Washington, DC 20552.
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; telephone
calling card 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; telephone calling card numbers; 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 3. 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, Corporate Systems 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 Management Services, 740
15th St. NW., Suite 510, Washington, DC 20220.
ATF: Chief, Voice Communications 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: Director, Platform and Support Management, Room 424E, 3700
East West Highway, Hyattsville, MD 20782.
IRS: Official prescribing policies and practices: National
Director, Operations and Customer Support, 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 Information Resources Management,
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 Communication, 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: Director, Office of Information Systems, 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.
TREASURY/DO .212
System name:
Suspicious Activity Reporting System (the ``SAR System'').
System location:
The SAR System is housed at the Internal Revenue Service
Computing Center (``DCC'') in Detroit, Michigan and is managed by the
Financial Crimes Enforcement Network (``FinCEN''), 2070 Chain Bridge
Road, Suite 200, Vienna, VA 22182, with the assistance of the staff
of DCC.
Categories of individuals covered by the system:
The SAR System contains information about: (1) Individuals or
entities that are known perpetrators or suspected perpetrators of a
known or suspected federal criminal violation, or pattern of criminal
violations, committed or attempted against a financial institution,
or participants in a transaction or transactions conducted through
the financial institution, that has been reported by the financial
institution, either voluntarily or because such a report is required
under the rules of FinCEN, one or more of the Federal Supervisory
Agencies (the Board of Governors of the Federal Reserve System (``the
Board''), the Office of the Comptroller of the Currency (``OCC''),
the Federal Deposit Insurance Corporation (``FDIC''), the Office of
Thrift Supervision (``OTS''), and the National Credit Union
Administration (``NCUA'') (collectively, the ``Federal Supervisory
Agencies'')), or both. (2) Individuals or entities that are
participants in transactions, conducted or attempted by, at or
through a financial institution, that have been reported because the
institution knows, suspects, or has reason to suspect that: (a) The
transaction involves funds derived from illegal activities, the
transaction is intended or conducted to hide or disguise funds or
assets derived from illegal activities as part of a plan to violate
or evade any law or regulation or to avoid any transaction reporting
requirement under Federal law; (b) the transaction is designed to
evade any regulations promulgated under the Bank Secrecy Act, Pub. L.
91-508, as amended, codified at 12 U.S.C. 1829b, 12 U.S.C. 1951-1959,
and 31 U.S.C. 5311-5330; or (c) the transaction has no business or
apparent lawful purpose or is not the sort in which the particular
customer would normally be expected to engage, and the financial
institution knows of no reasonable explanation for the transaction
after examining the available facts, including the background and
possible purpose of the transaction; (3) Individuals who are
directors, officers, employees, agents, or otherwise affiliated with
a financial institution; (4) Individuals or entities that are actual
or potential victims of a criminal violation or series of violations;
(5) Individuals who are named as possible witnesses in connection
with matters arising from any such report; (6) Individuals or
entities named as preparers of any such report; (7) Individuals or
entities named as persons to be contacted for assistance by
government agencies in connection with any such report; (8)
Individuals or entities who have or might have information about
individuals or criminal violations described above; and (9)
Individuals or entities involved in evaluating or investigating any
matters arising from any such report.
Categories of records in the system:
The SAR System contains information reported to FinCEN by
financial institutions on a Suspicious Activity Report (``SAR'')
required under the authority of FinCEN or one or more of the Federal
Supervisory Agencies, or both. SARs contain information about the
categories of persons or entities specified in ``Categories of
Individuals Covered by the System.'' The SAR System may also contain
records pertaining to criminal prosecutions, civil actions,
enforcement proceedings, and investigations resulting from or
relating to SARs. Additionally, it will contain records pertaining to
criminal prosecutions, civil actions, enforcement proceedings, and
investigations relating to institutions required to file reports or
under the supervision of one or more of the Federal Supervisory
agencies.
Authority for maintenance of the system:
The system is established and maintained in accordance with 31
U.S.C. 5318(g); 31 CFR part 103; 31 U.S.C. 321; and Department of the
Treasury Order 105-08.
Purpose(s):
The requirements of FinCEN and the Federal Supervisory Agencies
create an integrated process for reporting suspicious activity and
known or suspected crimes by, at, or through depository institutions
and certain of their affiliates. The process is based on a single
uniform SAR filed with FinCEN.
The SAR System has been created, as a key part of this integrated
reporting process, to permit coordinated and enhanced analysis and
tracking of such information, and rapid dissemination of SAR
information to appropriate law enforcement and supervisory agencies.
The provisions of 31 U.S.C. 5318(g)(4)(B) specifically require that
the agency designated as repository for SARs refer those reports to
any appropriate law enforcement or supervisory agency.
Data from the SAR System will be exchanged, retrieved, and
disseminated, both manually and electronically among FinCEN, the
Federal Supervisory Agencies, appropriate federal, state, and local
law enforcement agencies, and state banking supervisory agencies.
Agencies to which information will be referred electronically, which
in certain cases may involve electronic transfers of batch
information, include the Federal Supervisory Agencies, the Federal
Bureau of Investigation (FBI), the Criminal Investigation Division of
the Internal Revenue Service, the United States Secret Service, the
United States Customs Service, the Executive Office of the United
States Attorneys and the Offices of the 93 United States Attorneys,
and state bank supervisory agencies and certain state law enforcement
agencies, which have entered into appropriate agreements with FinCEN.
(The FBI and Secret Service may receive electronic transfers of batch
information as forms are filed to permit those agencies more
efficiently to carry out their investigative responsibilities.)
Organizations to which information is regularly disseminated are
referred to as SAR System Users. It is anticipated that information
from the SAR system will also be disseminated to other appropriate
federal, state, or local law enforcement organizations and regulatory
agencies that enter into appropriate agreements with FinCEN. In
addition, information may be disseminated to non-United States
financial regulatory and law enforcement agencies.
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 or records, electronically or manually, to
SAR System Users relevant to the enforcement and supervisory programs
and operations of those Users; (2) Provide SAR System Users and their
Executive Departments with reports that indicate the number, amount,
individual identity, and other details concerning potential
violations of the law that have been the subject of Suspicious
Activity Reports; (3)Provide information or records to any
appropriate domestic or non-United States governmental agency or
self-regulatory organization charged with the responsibility of
administering law or investigating or prosecuting violations of law,
or charged with the responsibility of enforcing or implementing a
statute, rule, regulation, order, or policy, or charged with the
responsibility of issuing a license, security clearance, contract,
grant, or benefit, when relevant to the responsibilities of these
agencies or organizations; (4) Provide information or records, when
appropriate, to international and foreign governmental authorities in
accordance with law and formal or informal international agreement;
(5) Disclose on behalf of a SAR System User, the existence, but not
necessarily the content, of information or records to a third party,
in cases where a SAR System User is a party or has a direct interest
and where the SAR System User has concluded that such disclosure is
necessary; (6)Provide information or records to the Department of
Justice, or in a proceeding before a court, adjudicative body, or
other administrative body before which the SAR System User is
authorized to appear, when (a) the SAR System User, or any component
thereof; or (b) any employee of the SAR System User in his or her
official capacity; or (c) any employee of the SAR System User, where
the Department of Justice or the SAR System User has agreed to
represent the employee; or (d) the United States is a party to
litigation or has an interest in such litigation, when the SAR System
User determines that litigation is likely to affect the SAR System
User or any of its components and the use of such records by the
Department of Justice or the SAR System User is deemed by the SAR
System User to be relevant and necessary to the litigation, provided,
however, that in each case it has been determined that the disclosure
is compatible with the purpose for which the records were collected;
(7) Disclose information or records to individuals or entities to the
extent necessary to elicit information pertinent to the
investigation, prosecution, or enforcement of civil or criminal
statutes, rules, regulations, or orders; (8) In accordance with
Executive Order 12968 (August 2, 1995), provide information or
records to any appropriate government authority in connection with
investigations and reinvestigations to determine eligibility for
access to classified information to the extent relevant for matters
that are by statute permissible subjects of inquiry; (9) Provide,
when appropriate, information or records to a bar association, or
other trade or professional organization performing similar
functions, for possible disciplinary action; (10) Provide information
or records to the Department of State and to the United States
Intelligence Community, within the meaning of Executive Order 12333
(December 4, 1981) to further those agencies' efforts with respect to
national security and international narcotics trafficking; (11)
Furnish analytic and statistical reports to government agencies and
the public providing information about trends and patterns derived
from information contained on Suspicious Activity Reports, in a form
in which individual identities are not revealed; and (12) Disclose
information or records to any person with whom FinCEN, the DCC or a
SAR System User contracts to provide consulting, data processing,
clerical, or secretarial functions relating to the official programs
and operations of FinCEN, DCC, or the SAR System User.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in magnetic media and on hard paper copy.
Retrievability:
Data in the SAR System may be retrieved by sectionalized data
fields (i.e., name of financial institution or holding company, type
of suspected violation, individual suspect name, witness name, and
name of individual authorized to discuss the referral with government
officials) or by the use of search and selection criteria.
Safeguards:
The system is located in a guarded building that has restricted
access. Access to the computer facilities and any paper records is
subject to additional physical safeguards that restrict access.
Access to any electronic records in the system is restricted by means
of passwords and non-transferable identifiers issued to authorized
SAR System Users. The system complies with all applicable security
requirements of the Department of the Treasury.
Retention and disposal:
Records in this system will be updated periodically to reflect
changes, and will be maintained in electronic form as long as needed
for the purpose for which the information was collected. Records will
then be disposed of in accordance with applicable law.
System manager(s) and address:
Deputy Director, Financial Crimes Enforcement Network, United
States Department of the Treasury, 2070 Chain Bridge Road, Suite 200,
Vienna, Virginia 22182.
Notification procedure:
This system is exempt from notification requirements, record
access requirements, and requirements that an individual be permitted
to contest its contents, pursuant to the provisions of 5 U.S.C.
552a(j)(2) and (k)(2).
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Records in this system may be provided by or obtained from:
Individuals; financial institutions and certain of their affiliates;
Federal Supervisory Agencies; State financial institution supervisory
agencies; domestic or foreign governmental agencies; foreign or
international organizations; and commercial sources. Pursuant to the
provisions of 5 U.S.C. 552a(j)(2) and (k)(2), this system is exempt
from the requirement that the record source categories be disclosed.
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), (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)(2) and (k)(2).
TREASURY/DO .213.
System name:
Bank Secrecy Act Reports System--Treasury/DO .213.
System location:
Electronic Records: Currency and Banking Retrieval System,
Internal Revenue Service Detroit Computing Center, 985 Michigan
Avenue, Detroit, Michigan 48226-1129 and Treasury Enforcement
Communications System, United States Customs Service Newington, 7681
Boston Boulevard, Springfield, Virginia, 22153-3140. Paper Records:
Form 4790-U.S. Customs Service, Newington, VA. All other forms,
including, but not limited to, Form 4789, TDF 90.22-1 and Form 8362--
Internal Revenue Service, Detroit, MI.
Categories of individuals covered by the system:
Persons identified in reports required to be filed under the Bank
Secrecy Act and its implementing regulations (31 CFR part 103)
including, but not limited to, reports made on IRS Form 4789
(Currency Transaction Report), IRS Form 8362 (Currency Transaction
Report by Casinos), Customs Form 4790 (Report of International
Transportation of Currency or Monetary Instruments), Treasury Form
TDF 90-22.1 (Report of Foreign Bank and Financial Accounts), and
forms filed by casinos located in the State of Nevada in lieu of Form
8362. (This system of records does not cover persons identified in
Suspicious Activity Reports, TDF 90-22.47. Those reports are included
in another system of records, ``Suspicious Activity Reporting
System--Treasury/DO .212.'')
Categories of records in the system:
Reports required to be filed under the Bank Secrecy Act and its
implementing regulations (31 CFR part 103) including, but not limited
to, reports made on IRS Form 4789 (Currency Transaction Report), IRS
Form 8362 (Currency Transaction Report by Casinos), Customs Form 4790
(Report of International Transportation of Currency or Monetary
Instruments), Treasury Form TDF 90-22.1 (Report of Foreign Bank and
Financial Accounts), and forms filed by casinos located in the State
of Nevada in lieu of Form 8362. (This system does not include
Suspicious Activity Reports, TDF 90-22.47, required under 31 CFR part
103. Those reports are included in another system of records,
``Suspicious Activity Reporting System--Treasury/DO .212.'') These
reports include names of individuals and other entities filing the
reports, names of the owners of monetary instruments, the amounts and
kinds of currency or other monetary instruments transported,
reported, or in foreign banking accounts, account numbers, addresses,
dates of birth, and other personal identifiers.
Authority for maintenance of the system:
12 U.S.C. 1829b and 1951-1959; 31 U.S.C. 5311-5314, 5316-5330; 5
U.S.C. 301; 31 CFR part 103; Treasury Department Order No. 105-08.
Purpose(s):
The Bank Secrecy Act, codified at 12 U.S.C. 1829b and 1951-1959
and 31 U.S.C. 5311-5314, 5316-5330, authorizes the Secretary of the
Treasury to issue regulations requiring records and reports that are
determined to have a high degree of usefulness in criminal, tax, and
regulatory matters. The Secretary's authority has been implemented
through regulations promulgated at 31 CFR part 103. The purpose of
this system of records is to maintain the information contained on
the reports required under these regulations. This information is
disseminated, both electronically and manually, in accordance with
strict safeguards, to appropriate Federal, State, local and foreign
criminal law enforcement and regulatory personnel in the official
performance of their duties. The information is used in a wide range
of criminal investigations, including, but not limited to,
investigation of international and domestic money laundering, tax
evasion, fraud, and other financial crimes.
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:
(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 Federal, State, or local agencies, maintaining civil,
criminal or other relevant 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
to appropriate Federal, State, or local agencies engaged in the
identification, investigation, and prosecution of violations or
potential violations of criminal statutes, information, in a
computerized format, to identify or to permit the identification of
patterns of suspected criminal activity that fall within the
jurisdiction of the agency requesting the information; (4) Disclose
information to Federal or State regulatory agencies or self
regulatory agencies responsible for supervising compliance with the
Bank Secrecy Act, limited to information relevant to meeting
supervisory or compliance responsibilities; (5) Disclose relevant
information on individuals to authorized Federal and State agencies
through computer matching in order to help eliminate waste, fraud,
and abuse in Government programs and identify individuals who are
potentially in violation of civil law, criminal law, or regulation;
(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, or
in connection with criminal law proceedings; (7) Provide information
to the news media, in accordance with guidelines contained in 28 CFR
50.2, that relates to an agency's functions relating to civil and
criminal proceedings; 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:
Records are maintained in magnetic media and on hard paper copy.
Retrievability:
By name and other unique identifier.
Safeguards:
All persons with electronic access to records in the system will
have successfully completed a background investigation. All State and
local agency personnel, and all Federal personnel outside the U. S.
Department of the Treasury with electronic access will have
successfully completed appropriate training. Passwords and access
controls will be utilized. Signed agreements outlining usage and
dissemination rules are required of all non-Treasury agencies before
electronic access is authorized. Procedural and physical safeguards
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
documents and magnetic tapes; encryption of electronic
communications; intruder alarms and other security devices; and 24-
hour building guards. The system complies with all applicable
security requirements of the Department of the Treasury.
Retention and disposal:
Indefinite.
System manager(s) and address:
General Policy: Director, Financial Crimes Enforcement Network,
2070 Chain Bridge Road, Vienna, Virginia 22182-2536.
Computer Systems Maintenance and Administration:
Director, IRS Computing Center, 985 Michigan Avenue, Detroit,
Michigan, 48226-1129 and Director, Office of Information Technology,
U.S. Customs Service Newington, 7681 Boston Boulevard, Springfield,
Virginia, 22153-3140.
Notification procedure:
This system is exempt from notification requirements, record
access requirements, and requirements that an individual be permitted
to contest its contents, pursuant to the provisions of 5 U.S.C.
552a(j)(2) and (k)(2).
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2),
this system is exempt from the requirement that the record source
categories be disclosed.
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), (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)(2) and (k)(2). See 31 CFR 1.36.
Bureau of Alcohol, Tobacco, and Firearms
Bureau of Alcohol, Tobacco and Firearms (ATF)
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 Division, Room 8400, 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--vehicle; (2) Fatality reports; (3) Injury
reports; (4) 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. (7)
5 U.S.C. 1302, 3301, 3302.
Purpose(s):
The purpose of this system is to resolve claims submitted to the
Bureau of Alcohol, Tobacco and Firearms.
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 in accordance with provisions contained in
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. Records are also stored in electronic media.
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. The records stored in electronic
media are password protected.
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:
Assistant Director, Office of Management/Chief Financial Officer,
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
8400, 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 Division, Room 8400, 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.
Purpose(s):
The purpose of this system is to respond to inquiries from the
public and Congress.
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. Records are also stored in electronic media.
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. The
records stored in electronic media are password protected.
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, 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
8400, 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 8400, Bureau of Alcohol, Tobacco and
Firearms, 650 Massachusetts Avenue, NW., Washington, DC 20226.
Appeals may be delivered personally to Room 8400, 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 Division, Room 8400, 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
[[Page 45896]]
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. 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 in accordance with provisions contained in
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 in electronic media.
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. The records stored in
electronic media are password protected.
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:
Assistant Director, Firearms Explosive & Arson; Assistant
Director, Alcohol and Tobacco; Assistant Director, Field Operations;
and Assistant Director, Science & Technology, 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)(2). See 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 Division, Room 8400, 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
records. (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. (42) Government passport records.
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; 31 C.F.R. 2.28; 5 C.F.R. 550.122, 550.183.
(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) Public Law 92-261
(Equal Employment Act of 1972). (16) Public Law 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.
Purpose(s):
The purpose of this system is to provide the basic source of
factual data about a person's Federal employment while in the service
of the Bureau of Alcohol, Tobacco and Firearms.
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 in accordance with provisions contained in
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 in electronic media.
Retrievability:
Records are retrievable by name, date of birth, social security
number, employee identification number, or a combination of any of
these four.
[[Page 45898]]
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. The records stored in electronic media are password
protected.
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, Office of Science and Technology; Assistant
Director, Liaison and Public Information; and 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)(5). See 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 Division, Room 8400, 650 Massachusetts Avenue,
NW, Washington, DC 20226.
Categories of individuals covered by the system:
Individuals who have been issued permits or licenses, have filed
applications with ATF, or have registered with ATF including:
(a) Alcohol licensees; (b) Claimants for refund, abatement,
credit, allowance or drawback of excise or special occupational
taxes; (c) Federal Firearms Licenses (d) Collectors of firearms or
ammunition; (e) Importers of firearms or ammunition, and (f) 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
F.R. 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 in 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 and in
electronic media.
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. The records stored in electronic
media are password protected.
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:
Assistant Director, Firearms Explosive & Arson; Assistant
Director, Alcohol and Tobacco; Assistant Director, Field Operations;
and Assistant Director, Science & Technology, 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). See 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 Division, Room 8400, 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
[[Page 45900]]
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 and in electronic media.
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. The records
stored in electronic media are password protected.
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:
Assistant Director, Firearms Explosive & Arson; Assistant
Director, Alcohol and Tobacco; Assistant Director, Field Operations;
and Assistant Director, Science & Technology, 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 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). See 31 CFR 1.36.
Comptroller of the Currency
TREASURY/COMPTROLLER .004
System name:
Consumer Complaint and Inquiry Information System--Treasury/
Comptroller.
System location:
Office of the Comptroller of the Currency, Customer Assistance
Group, 1301 McKinney Street, Suite 3710, Houston, Texas 77010.
Categories of individuals covered by the system:
Persons who file complaints against national banks and those who
make inquiries about banks or banking issues, whether filed or made
directly or through second parties--e.g., attorneys, Congressional
representatives, or others.
Categories of records in the system:
Records maintained in the system include: The name and address of
the correspondent; the name and charter number of the involved
national bank(s); the dates of the incoming correspondence and its
receipt, numeric codes identifying the nature of the complaint or
inquiry, the source of the complaint or inquiry, and the type of
resolution; identification of the involved OCC district or
supervisory office and the OCC personnel assigned to review the
correspondence; the resolution date; and, if appropriate, the amount
of reimbursement. Supporting records include documents and
correspondence submitted by complainants and individuals making
inquiries.
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.
Purpose(s):
The information in these and supporting records is maintained by
OCC staff in its consumer affairs program for the investigation and
resolution of consumer complaints and inquiries; and by OCC staff in
the supervision of national banks.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The information in these records may be disclosed by OCC staff to
respond to Congressional inquiries and the referral of complaints or
inquiries made on behalf of constituents and to provide statistical
data to Congress and federal or state agencies. 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 comprising this system are stored electronically.
Supporting records or materials are maintained in file folders and
cabinets.
Retrievability:
Correspondence records are retrieved from the Customer Assistance
Group's office using either: (a) The name of the correspondent, the
correspondent's representative, or the Congressman or Senator who has
made inquiry on behalf of a constituent; or (b) the identification
number assigned to the correspondence.
Safeguards:
Access to electronic records is limited to users in appropriate
OCC units having appropriate identification codes and passwords.
Supporting records or materials are maintained in locked file rooms.
Retention and disposal:
Electronic records are maintained indefinitely. Supporting
records and materials are retained in accordance with the OCC's
record management policies.
System manager(s) and address:
Ombudsman, Office of the Comptroller of the Currency, 1301
McKinney Street, Suite 3710, Houston, Texas 77010.
Notification procedure:
Individuals who wish to be notified if they are named in the
system may write or call the Disclosure Officer, Communications,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Telephone 202-874-4700. Persons requesting such
information must provide their name, address, name of the involved
bank, the date of their complaint or inquiry, and, if available, the
complaint identification number.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
The initial source is the person filing a complaint against a
national bank or 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 .013
System name:
Enforcement and Compliance Information System--Treasury/
Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Enforcement and
Compliance Division, 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 a direct interest and where
the OCC, in its sole discretion, has concluded that such disclosure
is necessary; and (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 maintained indefinitely.
System manager(s) and address:
Director, Enforcement and Compliance Division, OCC, 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
exemption should be sent to the OCC's Disclosure Officer,
Communications, Office of the Comptroller of the Currency, 250 E
Street, SW, Washington, DC 20219. Telephone 202-874-4700. Requesters
must attest to their identity and provide data supporting this
identification.
Record access procedures:
See ``Notification procedures'' above.
Contesting record procedures:
See ``Notification procedures'' above.
Record source categories:
Suspicious activity reports and related historical information
and updating forms and administrative actions taken against
individuals 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.
Exemptions claimed for the system:
Components of this system have been designated as exempt from 5
U.S.C. 552a (c)(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).
TREASURY/COMPTROLLER .015
System name:
Chain Banking Organizations System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), 250 E Street,
SW, Washington, DC 20219, and the OCC's district offices, as follows:
(1) Northeastern District: New York District Office, 1114 Avenue
of the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial
Place, Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
Categories of individuals covered by the system:
Individuals who directly, or indirectly, or in concert with
others, own and/or control a chain banking organization.
Categories of records in the system:
Records consist of 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 each bank
in the chain, 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).
Purpose(s):
These records are maintained and used within the OCC to carry out
the agency's supervisory responsibilities with respect to national
and district banks.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records 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 or 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:
Records comprising this system are stored electronically or in
hard copy printouts stored in file cabinets.
Retrievability:
Records may be retrieved by district location, state,
alphabetically by surname of the individual(s) and/or entity
controlling the chain banking organization.
Safeguards:
Access to electronic records is restricted to personnel of the
OCC's Core Policy Development unit and the OCC's district offices.
Access to hard copy printouts is restricted to OCC personnel who have
a need for such records in the performance of their duties.
Retention and disposal:
Electronic records are maintained indefinitely. Hard copy
printouts are maintained in accordance with the OCC's record
management policies.
System manager(s) and address:
Director, Core Policy Development, Office of the 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 should contact the OCC's Disclosure Officer, Communications,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Telephone 202-874-4700. Individuals must
provide the name and location of the bank(s) which they control
individually or in concert with others. Requesters may also be
required to attest to their identity and/or submit data
substantiating such identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedure:
See ``Notification procedure'' above.
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 (OCC), Litigation
Division, 250 E Street, SW, Washington, DC 20219.
Categories of individuals covered by the system:
(A) Individuals who file administrative or judicial claims
against the OCC and/or officials or employees of the OCC in their
capacity as such; (B) individuals against whom the OCC files
administrative or judicial claims; (C) individuals named as party-
plaintiffs or defendants in administrative or judicial claims in
which the OCC participates as a nonparty; (D) 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; and (E) persons submitting requests for testimony and/or
production of documents pursuant to 12 CFR part 4, subpart C.
Categories of records in the system:
All records generated in connection with the claim or litigation,
including evidentiary material, transcripts of testimony, documents
prepared for administrative or judicial proceedings, correspondence,
and staff memoranda and records relating to requests for information
pursuant to 12 CFR part 4, subpart C.
Authority for maintenance of the system:
12 U.S.C. 1 and 481; 15 U.S.C. 78c(a)(34), 78(I), 78o-4.
Purpose(s):
The information maintained in this system is utilized within the
OCC to assist in the representation of the agency's interests in
administrative and judicial claims by or against the OCC.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
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 in 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 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; and (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),
witness(es), or requester(s).
Safeguards:
Records are accessible only to authorized personnel.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies.
System manager(s) and address:
Director, Litigation Division, Office of the 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 should contact the OCC's Disclosure Officer, Communications,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Telephone 202-874-4700. Individuals wishing to
be notified if they are named in the system must provide: (1) The
name of the action in which a claim has been asserted; (2) the date
in which the action was initiated or completed; and (3) attestation
to their identity and at least two items of secondary identification.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals who file claims against or otherwise are involved in
legal proceedings to which the OCC or an official or employee in such
capacity is a party or in which the OCC otherwise participates;
communications and documents generated or received by the OCC or its
officials or employees in the course of legal proceedings; persons
submitting requests for testimony and/or production of documents.
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .100
System name:
Enforcement Action Report System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Enforcement and
Compliance Division, 250 E Street, SW, Washington, DC 20219-0001.
Categories of individuals covered by the system:
Individuals covered by this system are:
(1) Current and former directors, officers, employees,
shareholders, and independent contractors of financial institutions
who have had enforcement actions taken against them by the OCC, the
Board of Governors of the Federal Reserve System, the Federal Deposit
Insurance Corporation, the Office of Thrift Supervision, or the
National Credit Union Administration;
(2) Current and former directors, officers, employees,
shareholders, and independent contractors of financial institutions
who are the subjects of pending enforcement actions initiated by the
OCC; and
(3) Individuals who must obtain the consent of the Federal
Deposit Insurance Corporation pursuant to 12 U.S.C. 1829 to become or
continue as an institution-affiliated party within the meaning of 12
U.S.C. 1813(u) of a federally-insured depository institution, a
direct or indirect owner or controlling person of such an entity, or
a direct or indirect participant in the conduct of the affairs of
such an entity.
Categories of records in the system:
Records maintained in this system may contain the names of
individuals, their positions or titles with financial institutions,
descriptions of offenses and enforcement actions, and descriptions of
offenses requiring Federal Deposit Insurance Corporation approval
under 12 U.S.C. 1829.
Authority for maintenance of the system:
12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i.
Purpose(s):
This system of records is used by the OCC to monitor enforcement
actions and to assist it in its regulatory responsibilities,
including review of the qualifications and fitness of individuals who
are or propose to become responsible for the business operations of
OCC-regulated entities.
Routine uses of records maintained in The System Including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) An OCC-regulated entity when the information is relevant to
the entity's operations;
(2) Third parties to the extent necessary to obtain information
that is relevant to an examination or investigation;
(3) The news media in accordance with guidelines contained in 28
CFR 50.2;
(4) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers, including the review of
the qualifications and fitness of individuals who are or propose to
become responsible for the business operations of such providers;
(5) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(6) A congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(7) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(8) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Director, Enforcement and Compliance Division, Law Department,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Non-exempt information maintained in this system is obtained from
OCC personnel, OCC-regulated entities, other federal financial
regulatory agencies, and criminal law enforcement authorities.
Exemptions claimed for this System:
Records maintained in this system have been designated as exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1),
(e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). See 31 CFR 1.36.
TREASURY/COMPTROLLER .110
System name:
Reports of Suspicious Activities--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Enforcement and
Compliance Division, 250 E Street, SW., Washington, DC 20219-0001.
Suspicious Activity Reports (SARs) are managed by the Financial
Crimes Enforcement Network (FinCEN), Department of the Treasury, 2070
Chain Bridge Road, Vienna, Virginia 22182, and stored at the IRS
Computing Center in Detroit, Michigan. Information extracted from or
relating to SARs or reports of crimes and suspected crimes filed by
OCC personnel or by national banks, District of Columbia banks
operating under the OCC's regulatory authority, or federal branches
or agencies of foreign banks (OCC-regulated entities) is maintained
in an OCC electronic database. This database, as well as the database
managed by FinCEN, is accessible to designated OCC headquarters and
district office personnel.
Categories of individuals covered by the system:
Individuals covered by this system are individuals who have been
designated as suspects or witnesses in SARs or reports of crimes and
suspected crimes.
Categories of records in the system:
Records maintained in this system may contain the name of the
entity to which a report pertains, the names of individual suspects
and witnesses, the types of suspicious activity involved, and the
amounts of known losses. Other records maintained in this system may
contain arrest, indictment and conviction information, and
information relating to administrative actions taken or initiated in
connection with activities reported in a SAR or a report of crime and
suspected crime.
Authority for maintenance of the system:
12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C.
5318.
Purpose(s):
This system of records is used by the OCC to monitor criminal law
enforcement actions taken with respect to known or suspected criminal
activities affecting OCC-regulated entities. System information is
used to determine whether matters reported in SARs warrant the OCC's
supervisory action. Information in this system also may be used for
other supervisory and licensing purposes, including the review of the
qualifications and fitness of individuals who are or propose to
become responsible for the business operations of OCC-regulated
entities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) The Department of Justice through periodic reports containing
the identities of individuals suspected of having committed
violations of criminal law;
(2) An OCC-regulated entity if the SAR relates to that
institution;
(3) Third parties to the extent necessary to obtain information
that is relevant to an examination or investigation;
(4) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation and
supervision of financial service providers, including the review of
the qualifications and fitness of individuals who are or propose to
become responsible for the business operations of such providers;
(5) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is
relevant to a known or suspected violation of a law or licensing
standard within that organization's jurisdiction;
(6) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(7) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(8) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Director, Enforcement and Compliance Division, Law Department,
Office of the Comptroller of the Currency, 250 E Street, SW.,
Washington, DC 20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW., Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record Procedures
See ``Notification Procedure'' above.
Record source categories:
Non-exempt information maintained in this system is obtained from
OCC personnel, OCC-regulated entities, other financial regulatory
agencies, criminal law enforcement authorities, and FinCEN.
Exemptions claimed for the system:
Records in this system have been designated as exempt from 5
U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (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). See 31
CFR 1.36.
TREASURY/COMPTROLLER .120
System name:
Bank Fraud Information System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Bank Supervision
Operations, 250 E Street, SW, Washington, DC 20219-0001.
Categories of individuals covered by the system:
Individuals covered by this system are those who submit
complaints or inquiries about fraudulent or suspicious financial
instruments or transactions or who are the subjects of complaints or
inquiries.
Categories of records in the system:
Records maintained in this system may contain: the name, address,
or telephone number of the individual who submitted a complaint or
inquiry; the name, address, or telephone number of the individual or
entity who is the subject of a complaint or inquiry; the types of
activity involved; the date of a complaint or inquiry; and numeric
codes identifying a complaint or inquiry's nature or source.
Supporting records may contain correspondence between the OCC and the
individual or entity submitting a complaint or inquiry,
correspondence between the OCC and an OCC-regulated entity, or
correspondence between the OCC and other law enforcement or
regulatory bodies. Other records maintained in this system may
contain arrest, indictment and conviction information, and
information relating to administrative actions taken or initiated in
connection with complaints or inquiries.
Authority for maintenance of the system:
12 U.S.C. 1, 27, 481, 1817(j), 1818, 1820, and 1831i; 31 U.S.C.
5318.
Purpose(s):
This system of records tracks complaints or inquiries concerning
fraudulent or suspicious financial instruments and transactions.
These records assist the OCC in its efforts to protect banks and
their customers from fraudulent or suspicious banking activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to.
(1) An OCC-regulate entity to the extent that such entity is the
subject of a complaint, inquiry, or fraudulent activity;
(2) Third parties to the extent necessary to obtain information
that is relevant to the resolution of a complaint or inquiry, an
examination, or an investigation;
(3) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers;
(4) An appropriate governmental, international, tribal, self-
regulatory, or professional organization if the information is
relevant to a known or suspected violation of a law or licensing
standard within that organization's jurisdiction;
(5) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
[[Page 54330]]
(6) A congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(7) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(8) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically, in
card files, and in file folders.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords. Other records are maintained in locked file cabinets or
rooms.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Director, Special Supervision/Fraud, Bank Supervision Operations,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record Procedures
See ``Notification Procedure'' above.
Record source categories:
Non-exempt information maintained in this system is obtained from
individuals and entities who submit complaints or inquiries, OCC
personnel, OCC-regulated entities, criminal law enforcement
authorities, and governmental or self-regulatory bodies.
Exemptions claimed for the system:
Records maintained in this system have been designated as exempt
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (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) and (k)(2). See 31
CFR 1.36.
TREASURY/COMPTROLLER .200
System name:
Chain Banking Organizations System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Core Policy
Development, 250 E Street, SW, Washington, DC 20219-0001, and the
OCC's district offices, as follows:
(1) Northeastern District Office, 1114 Avenue of the Americas,
Suite 3900, New York, NY 10036-7780;
(2) Southeastern District Office, Marquis One Tower, Suite 600,
245 Peachtree Center Ave., NE, Atlanta, GA 30303-1223;
(3) Central District Office, One Financial Plaza, Suite 2700, 440
South LaSalle Street, Chicago, IL 60605-1073;
(4) Midwestern District Office, 2345 Grand Boulevard, Suite 700,
Kansas City, MO 64108-2683;
(5) Southwestern District Office, 500 North Akard Street, Suite
1600, Dallas, TX 75201-3394; and
(6) Western District Office, 50 Fremont Street, Suite 3900, San
Francisco, CA 94105-2292.
Categories of individuals covered by the system:
Individuals covered by this system are individuals who directly,
indirectly, or acting through or in concert with one or more other
individuals, own or control a chain banking organization. A chain
banking organization exists when two or more independently chartered
financial institutions, including at least one OCC-regulated entity,
are controlled either directly or indirectly by the same individual,
family, or group of individuals closely associated in their business
dealings. Control generally exists when the common ownership has the
ability or power, directly or indirectly, to:
(1) Control the vote of 25 percent or more of any class of an
organization's voting securities;
(2) Control in any manner the election of a majority of the
directors of an organization; or
(3) Exercise a controlling influence over the management or
policies of an organization. A registered multibank holding company
and its subsidiary banks are not ordinarily considered a chain
banking group unless the holding company is linked to other banking
organizations through common control.
Categories of records in the system:
Records maintained in this system contain the names of
individuals who, either alone or in concert with others, own or
control a chain banking organization. Other information may contain:
the name, location, charter number, charter type, and date of last
examination of each organization comprising a chain; the percentage
of outstanding stock owned or controlled by controlling individuals
or groups; and the name of any intermediate holding entity and the
percentage of such entity owned or controlled by the individual or
group.
Authority for maintenance of the system:
12 U.S.C. 1, 481, 1817(j), and 1820.
Purpose(s):
Information maintained in this system is used by the OCC to carry
out its supervisory responsibilities with respect to national banks
and District of Columbia banks operating under the OCC's regulatory
authority, including the coordination of examinations, supervisory
evaluations and analyses, and administrative enforcement actions with
other financial regulatory agencies.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) An OCC-regulated entity when information is relevant to the
entity's operation;
(2) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers;
(3) An appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within the
organization's jurisdiction;
(4) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(5) A Congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(6) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(7) Third parties when mandated or authorized by statute.
[[Page 54336]]
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Director, Core Policy Development, Office of the Comptroller of
the Currency, 250 E Street, SW, Washington, DC 20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Information maintained in this system is obtained from OCC
personnel, other Federal financial regulatory agencies, and
individuals who file notices of their intention to acquire control
over an OCC-regulated financial institution.
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .210
System name:
Bank Securities Dealers System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Treasury and
Market Risk Division, 250 E Street, SW, Washington, DC 20219-0001.
Categories of individuals covered by the system:
Individuals covered by this system are individuals who are or
seek to be associated with a municipal securities dealer or a
government securities broker/dealer that is a national bank, a
District of Columbia bank operating under the OCC's regulatory
authority, or a department or division of any such bank in the
capacity of a municipal securities principal, municipal securities
representative, or government securities associated person.
Categories of records in the system:
Records maintained in this system may contain an individual's
name, address history, date and place of birth, social security
number, educational and occupational history, certain professional
qualifications and testing information, disciplinary history, or
information about employment termination.
Authority for maintenance of the system:
12 U.S.C. 1, 481, 1818, and 1820; 15 U.S.C. 78o-4, 78o-5, 78q,
and 78w.
Purpose(s):
This system of records will be used by the OCC to carry out its
responsibilities under the Federal securities laws relating to the
professional qualifications and fitness of individuals who engage or
propose to engage in securities activities on behalf of national
banks and District of Columbia banks operating under the OCC's
regulatory authority.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) An OCC-regulated entity in connection with its filing
relating to the qualifications and fitness of an individual serving
or proposing to serve the entity in a securities-related capacity;
(2) Third parties to the extent needed to obtain additional
information concerning the professional qualifications and fitness of
an individual covered by the system;
(3) Third parties inquiring about the subject of an OCC
enforcement action;
(4) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers, including the review of
the qualifications and fitness of individuals who are or propose to
become involved in the provider's securities business;
(5) An appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within that
organization's jurisdiction;
(6) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(7) A Congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(8) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(9) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically and
in file folders.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to the electronic database is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords. Other records are maintained in locked file cabinets or
rooms.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Director, Treasury and Market Risk Division, Office of the
Comptroller of the Currency, 250 E Street SW, Washington, DC 20219-
0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Information maintained in this system is obtained from OCC-
regulated entities that are: municipal securities dealers and/or
government securities brokers/dealers; individuals who are or propose
to become municipal securities principals, municipal securities
representatives, or government securities associated persons; or
governmental and self-regulatory organizations that regulate the
securities industry.
Exemptions claimed for the system:
None.
TREASURY/COMPTROLLER .220
System name:
Section 914 Tracking System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Special
Supervision, 250 E Street, SW, Washington, DC 20219-0001.
Categories of individuals covered by the system:
Individuals covered by this system are those who are named in
notices filed under 12 CFR 5.51 as proposed directors or senior
executive officers of national banks, District of Columbia banks
operating under the OCC's regulatory authority, or federal branches
of foreign banks (OCC-regulated entities). OCC-regulated entities
file notices if they:
(1) Have a composite rating of 4 or 5 under the Uniform Financial
Institutions Rating System;
(2) Are subject to cease and desist orders, consent orders, or
formal written agreements;
(3) Have been determined by the OCC to be in ``troubled
condition;''
(4) Are not in compliance with minimum capital requirements
prescribed under 12 CFR part 3; or
(5) Have been advised by the OCC, in connection with its review
of an entity's capital restoration plan, that such filings are
appropriate.
Categories of records in the system:
Records maintained in this electronic database may contain: the
names, charter numbers, and locations of the OCC-regulated entities
that have submitted notices pursuant to 5 CFR 5.51; the names,
addresses, dates of birth, and social security numbers of individuals
proposed as either directors or senior executive officers; and the
actions taken by the OCC in connection with these notices.
Authority for maintenance of the system:
12 U.S.C. 1, 27, 93a, 481, 1817(j), 1818, 1820, and 1831i.
Purpose(s):
Information maintained in this system is used by the OCC to carry
out its statutory and other regulatory responsibilities, including
other reviews of the qualifications and fitness of individuals who
propose to become responsible for the business operations of OCC-
regulated entities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) An OCC-regulated entity in connection with review and action
on a notice filed by that entity pursuant to 12 CFR 5.51;
(2) Third parties to the extent necessary to obtain information
that is pertinent to the OCC's review and action on a notice received
under 12 CFR 5.51;
(3) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers, including the review of
the qualifications and fitness of individuals who are or propose to
become responsible for the business operations of such providers;
(4) An appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within that
organization's jurisdiction;
(5) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is
[[Page 54331]]
relevant and necessary to a proceeding in which the OCC, any OCC
employee in his or her official capacity, any OCC employee in his or
her individual capacity represented by the Department of Justice or
the OCC, or the United States is a party or has an interest;
(6) A congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(7) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(8) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Director, Special Supervision/Fraud, Office of the Comptroller of
the Currency, 250 E Street, SW, Washington, DC 20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Information maintained in this system is obtained from OCC-
regulated entities, individuals named in notices filed pursuant to 5
CFR 5.51, federal or state financial regulatory agencies, criminal
law enforcement authorities, credit bureaus, and OCC personnel.
Exemptions claimed for the system:
Records maintained in this system have been designated as exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1),
(e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). See 31 CFR 1.36.
TREASURY/COMPTROLLER .221
System name:
Registration Records for Municipal and United States Government
Securities Dealers--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Treasury and
Market Risk Division, 250 E Street SW, Washington, DC 20219.
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 or division of
any such bank, in the capacity of municipal securities principals,
municipal securities representatives, or government security
associated persons.
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:
12 U.S.C. 1 et seq and 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), 78o-5(b)(2)(C)(ii), 78q(c) and 78w).
Purpose(s):
These records are maintained and used within the OCC to carry out
the agency's supervisory responsibilities with respect to national
and district banks, the securities activities of such institutions,
and the professional qualifications of bank officials engaged in
these activities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such systems:
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 OCC 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 selfregulatory
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; and (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 comprising this system are stored electronically.
Supporting records or materials are maintained in file folders.
Retrievability:
Records are indexed by name of individual and by a numerical
identifier assigned by the OCC.
Safeguards:
Computerized data base is accessible to only authorized
personnel. File folders are stored in lockable metal cabinets.
Retention and disposal:
Electronic records are maintained indefinitely. Supporting
records and materials are retained in accordance with the OCC's
records management policies.
System manager(s) and address:
Director, Treasury and Market Risk Division, Office of the
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 should contact the OCC's Disclosure Officer, Communications,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219. Telephone 202-874-4700. Individuals may be
required to attest to their identity and/or submit data
substantiating such identity.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
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 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 (OCC), Administrative
Services Division, 250 E Street, SW, Washington, DC 20219. Components
of this system are geographically dispersed throughout the following
six district offices:
(1) Northeastern District: New York District Office, 1114 Avenue
of the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial
Place, Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
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, 481, 482 and 5 U.S.C. 301.
Specific authority is derived from a number of laws, regulations and
Executive Orders.
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.
System manager(s) and address:
Director, Administrative Services Division, Office of the
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 should contact the OCC's Disclosure Officer, Communications,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219, Telephone 202-874-4700. Individuals wishing to
be notified if they are named in the system must provide: (1) The
category and type of record sought; (2) the location of the OCC
office where last employed; and (3) attestation to their identity and
at least two items of secondary identification.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
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 (OCC), Financial
Services, 250 E Street, SW, Washington, DC 20219. Components of this
system are geographically dispersed throughout the following six
district offices:
(1) Northeastern District: New York District Office, 1114 Avenue
of the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial
Place, Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
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, 481, 482; 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) 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.
System manager(s) and address:
Chief Financial Officer, Financial Services, Office of the
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 should contact the OCC's Disclosure Officer, Communications,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219, Telephone 202-874-4700. Individuals wishing to
be notified if they are named in the system must provide: (1) The
category and type of record sought; (2) the location of the OCC
office where last employed; and (3) attestation to their identity and
at least two items of secondary identification.
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 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 (OCC), Human Resources,
250 E Street, SW, Washington, DC 20219. Components of this system are
geographically dispersed throughout the following six district
offices:
(1) Northeastern District: New York District Office, 1114 Avenue
of the Americas, Suite 3900, New York, NY 10036.
(2) Southeastern District: Atlanta District Office, Marquis One
Tower, Suite 600, 245 Peachtree Center Ave., NE, Atlanta, GA 30303.
(3) Central District: Chicago District Office, One Financial
Place, Suite 2700, 44 South La Salle Street, Chicago, IL 60605.
(4) Midwestern District: Kansas City District Office, 2345 Grand
Boulevard, Suite 700, Kansas City, MO 64108-2683.
(5) Southwestern District: Dallas District Office, 1600 Lincoln
Plaza, 500 North Akard, Dallas, TX 75201-3394.
(6) Western District: San Francisco District Office, 50 Fremont
Street, Suite 3900, San Francisco, CA 94105.
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.
Authority for maintenance of the system:
General authority--12 U.S.C. 1, 481, 482, and 5 U.S.C. 301.
Specific authority is derived from a number of laws, regulations and
Executive Orders.
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).
Safeguard:
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.
System manager(s) and address:
Director, Human Resources, Office of the 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 should contact the OCC's Disclosure Officer, Communications,
Office of the Comptroller of the Currency, 250 E Street, SW,
Washington, DC 20219, Telephone 202-874-4700. Individuals wishing to
be notified if they are named in the system must provide: (1) The
category and type of record sought; (2) the location of the OCC
office where last employed; and (3) attestation to their identity and
at least two items of secondary identification.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
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 .340
System name:
Access Control System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Security Office,
Administrative Services Division, 250 E Street, SW, Washington, DC
20219-0001.
Categories of individuals covered by the system:
Individuals covered by this system are OCC employees,
contractors, agents, and volunteers who have been issued an OCC
identification card.
Categories of records in the system:
Records maintained in this system may contain an individual's
name, social security number, picture, and authorizations to use the
OCC's fitness facility or its headquarters parking garage, if
applicable. This system of records also may contain time records of
entrances and exits and attempted entrances and exits of OCC
premises.
Authority for maintenance of the system:
12 U.S.C. 1, 481, and 482; 5 U.S.C. 301.
Purpose(s):
The OCC has an electronic security system linked to
identification cards which limits access to its premises to
authorized individuals and records the time that individuals are on
the premises. This system of records is used to assist the OCC in
maintaining the security of its premises and to permit the OCC to
identify individuals on its premises at particular times.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) Third parties to the extent necessary to obtain information
that is relevant to an investigation concerning access to or the
security of the OCC's premises;
(2) An appropriate governmental authority if the information is
relevant to a known or suspected violation of a law within that
organization's jurisdiction;
(3) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(4) A congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(5) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(6) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically and
in file folders.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords. Other records are maintained in locked file cabinets or
rooms.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Security Officer, Office of the Comptroller of the Currency, 250
E Street, SW, Washington, DC 20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record Procedures
See ``Notification Procedure'' above.
Record source categories:
Information maintained in this system is obtained from
individuals and the OCC's official personnel records. Information
concerning entry and exit of OCC premises is obtained from
identification card scanners.
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 (OCC), Office of Chief
Counsel, 250 E Street, SW, Washington, DC 20219-0001.
Categories of individuals covered by the system:
Individuals covered by the system are: individuals who have
requested information or action from the OCC; parties or witnesses in
civil proceedings or administrative actions; individuals who have
submitted requests for testimony and/or production of documents
pursuant to 12 CFR part 4, subpart C; individuals who have been the
subjects of administrative actions or investigations initiated by the
OCC, including current or former shareholders, directors, officers,
employees and agents of OCC-regulated entities, current, former, or
potential bank customers, and OCC employees.
Categories of records in the system:
Records maintained in this system may contain the names of:
banks; requestors; parties; witnesses; current or former
shareholders; directors, officers, employees and agents of OCC-
regulated entities; current, former or potential bank customers; and
current or former OCC employees. These records contain summarized
information concerning the description and status of Law Department
work assignments. Supporting records may include pleadings and
discovery materials generated in connection with civil proceedings or
administrative actions, and correspondence or memoranda related to
work assignments.
Authority for maintenance of the system:
12 U.S.C. 1, 93(d)(second), 481, 1818, and 1820.
Purpose(s):
This system of records is used to track the progress and
disposition of OCC Law Department work assignments.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) An OCC-regulated entity involved in an assigned matter;
(2) Third parties to the extent necessary to obtain information
that is relevant to the resolution of an assigned matter;
(3) The news media in accordance with guidelines contained in 28
CFR 50.2;
(4) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers;
(5) An appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within that
organization's jurisdiction;
(6) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(7) A Congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(8) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(9) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically and
in file folders.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords. Other records are maintained in locked file cabinets or
rooms.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Executive Assistant to the Chief Counsel, Law Department, Office
of the Comptroller of the Currency, 250 E Street, SW., Washington, DC
20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW., Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures:
See ``Notification Procedure'' above.
Record source categories:
Non-exempt information maintained in this system is obtained from
individuals who request information or action from the OCC,
individuals who are involved in legal proceedings in which the OCC is
a party or has an interest, OCC personnel, and OCC-regulated entities
and other entities, including governmental, tribal, self-regulatory,
and professional organizations.
Exemptions claimed for the system:
Records maintained in this system have been designated as exempt
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (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) and (k)(2). See 31
CFR 1.36.
TREASURY/COMPTROLLER .510
System name:
Litigation Information System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Office of Chief
Counsel, Litigation Division, 250 E Street, SW., Washington, DC
20219-0001.
Categories of individuals covered by the system:
Individuals covered by the system are parties or witnesses in
civil proceedings or administrative actions, and individuals who have
submitted requests for testimony or the production of documents
pursuant to 12 CFR part 4, subpart C.
Categories of records in the system:
Records maintained in this system are those generated in
connection with civil proceedings or administrative actions, such as
discovery materials, evidentiary materials, transcripts of testimony,
pleadings, memoranda, correspondence, and requests for information
pursuant to 12 CFR part 4, subpart C.
Authority for maintenance of the system:
12 U.S.C. 1, 93(d)(second), 481, 1818, and 1820.
Purpose(s):
This system of records is used by the OCC in representing its
interests in legal actions and proceedings in which the OCC, its
employees, or the United States is a party or has an interest.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) Third parties to the extent necessary to obtain information
that is relevant to the subject matter of civil proceedings or
administrative actions involving the OCC;
(2) The news media in accordance with guidelines contained in 28
CFR 50.2;
(3) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers;
(4) An appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within that
organization's jurisdiction;
(5) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(6) A Congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(7) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(8) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored in file folders.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
System records are maintained in locked file cabinets or rooms.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System managers and Address:
Director, Litigation Division, Law Department, Office of the
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the
[[Page 54339]]
Disclosure Officer, Communications Division, Office of the
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219-
0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record Procedures
See ``Notification Procedure'' above.
Record source categories:
Non-exempt information maintained in this system is obtained
from: individuals or entities involved in legal proceedings in which
the OCC is a party or has an interest; OCC-regulated entities; and
governmental, tribal, self-regulatory or professional organizations.
Exemptions claimed for the system:
Records maintained in this system have been designated as exempt
from 5 U.S.C. 552a(c)(3) and (4), (d)(1), (2), (3), and (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) and (k)(2). See 31
CFR 1.36.
TREASURY/COMPTROLLER .600
System name:
Consumer Complaint and Inquiry Information System--Treasury/
Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Customer
Assistance Group, 1301 McKinney Street, Suite 3725, Houston, Texas
77010-3034.
Categories of individuals covered by the system:
Individuals covered by this system are individuals who submit
complaints or inquiries about national banks, District of Columbia
banks operating under OCC's regulatory authority, federal branches
and agencies of foreign banks, or subsidiaries of any such entity
(OCC-regulated entities), and other entities that the OCC does not
regulate. This includes individuals who file complaints and inquiries
directly with the OCC or through other parties, such as attorneys,
members of Congress, or other governmental organizations.
Categories of records in the system:
Records maintained in this system may contain: the name and
address of the individual who submitted the complaint or inquiry;
when applicable, the name of the individual or organization referring
a matter; the name of the entity that is the subject of the complaint
or inquiry; the date of the incoming correspondence and its receipt;
numeric codes identifying the complaint or inquiry's nature, source,
and resolution; the OCC office and personnel assigned to review the
correspondence; the status of the review; the resolution date; and,
when applicable, the amount of reimbursement. Supporting records may
contain correspondence between the OCC and the individual submitting
the complaint or inquiry, correspondence between the OCC and the
regulated entity, and correspondence between the OCC and other law
enforcement or regulatory bodies.
Authority for maintenance of the system:
12 U.S.C. 1, 481, and 1820; 15 U.S.C. 41 et seq.
Purpose(s)
This system of records is used to administer the OCC's Customer
Assistance Program and to track the processing and resolution of
complaints and inquiries.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) An OCC-regulated entity that is the subject of a complaint or
inquiry;
(2) Third parties to the extent necessary to obtain information
that is relevant to the resolution of a complaint or inquiry;
(3) The appropriate governmental, tribal, self-regulatory or
professional organization if that organization has jurisdiction over
the subject matter of the complaint or inquiry, or the entity that is
the subject of the complaint or inquiry;
(4) An appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within that
organization's jurisdiction;
(5) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(6) A Congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(7) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(8) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically and
in file folders.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferrable access codes and
passwords. Other records are maintained in locked file cabinets or
rooms.
Retention and disposal:
Records are retained in accordance with the OCC's records
management policies and National Archives and Records Administration
regulations.
System manager(s) and address:
Ombudsman, Office of the Comptroller of the Currency, 1301
McKinney Street, Suite 3725, Houston, Texas 77010-3034.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature.
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record procedures
See ``Notification Procedure'' above.
Record source categories:
Non-exempt information maintained in this system is obtained from
individuals and entities filing complaints and inquiries, other
governmental authorities, and OCC-regulated entities that are the
subjects of complaints and inquiries.
Exemptions claimed for the system:
Records maintained in this system have been designated as exempt
from 5 U.S.C. 552a(c)(3), (d)(1), (2), (3), and (4), (e)(1),
(e)(4)(G), (H), and (I), and (f) of the Privacy Act pursuant to 5
U.S.C. 552a(k)(2). See 31 CFR 1.36.
TREASURY/COMPTROLLER .700
System name:
Correspondence Tracking System--Treasury/Comptroller.
System location:
Office of the Comptroller of the Currency (OCC), Office of Chief
Counsel, 250 E Street, SW, Washington, DC 20219-0001. Components of
this record system are maintained in the Comptroller of the
Currency's Office and the Chief Counsel's Office.
Categories of individuals covered by the system:
Individuals covered by this system are those whose correspondence
is submitted to the Comptroller of the Currency or the Chief Counsel.
Categories of records in the system:
Records maintained in this system may contain the names of
individuals who correspond with the OCC, information concerning the
subject matter of the correspondence, correspondence disposition
information, correspondence tracking dates, and internal office
assignment information. Supporting records may contain correspondence
between the OCC and the individual.
Authority for maintenance of the system:
12 U.S.C. 1; 5 U.S.C. 301.
Purpose(s):
This system of records is used by the OCC to track the
Comptroller of the Currency's or the Chief Counsel's correspondence,
including the progress and disposition of the OCC's response.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information maintained in this system may be disclosed to:
(1) The OCC-regulated entity involved in correspondence;
(2) Third parties to the extent necessary to obtain information
that is relevant to the response;
(3) Appropriate governmental or self-regulatory organizations
when the OCC determines that the records are relevant and necessary
to the governmental or self-regulatory organization's regulation or
supervision of financial service providers;
(4) An appropriate governmental, tribal, self-regulatory, or
professional organization if the information is relevant to a known
or suspected violation of a law or licensing standard within that
organization's jurisdiction;
(5) The Department of Justice, a court, an adjudicative body, a
party in litigation, or a witness if the OCC determines that the
information is relevant and necessary to a proceeding in which the
OCC, any OCC employee in his or her official capacity, any OCC
employee in his or her individual capacity represented by the
Department of Justice or the OCC, or the United States is a party or
has an interest;
(6) A congressional office when the information is relevant to an
inquiry made at the request of the individual about whom the record
is maintained;
(7) A contractor or agent who needs to have access to this system
of records to perform an assigned activity; or
(8) Third parties when mandated or authorized by statute.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records maintained in this system are stored electronically and
in file folders.
Retrievability:
Records maintained in this system may be retrieved by the name of
an individual covered by the system.
Safeguards:
Access to electronic records is restricted to authorized
personnel who have been issued non-transferable access codes and
passwords. Other records are maintained in locked file cabinets or
rooms.
Retention and disposal:
Electronic and other records are retained in accordance with the
OCC's records management policies and National Archives and Records
Administration regulations.
System manager(s) and address:
Deputy to the Chief of Staff, Office of the Comptroller of the
Currency, 250 E Street, SW, Washington, DC 20219-0001.
Special Assistant to the Chief Counsel, Office of the Comptroller
of the Currency, 250 E Street, SW, Washington, DC 20219-0001.
Notification procedure:
An individual wishing to be notified if he or she is named in
non-exempt records maintained in this system must submit a written
request to the Disclosure Officer, Communications Division, Office of
the Comptroller of the Currency, 250 E Street, SW, Washington, DC
20219-0001. See 31 CFR part 1, subpart C, appendix J.
Identification Requirements: An individual seeking notification
through the mail must establish his or her identity by providing a
signature and an address as well as one other identifier bearing the
individual's name and signature (such as a photocopy of a driver's
license or other official document). An individual seeking
notification in person must establish his or her identity by
providing proof in the form of a single official document bearing a
photograph (such as a passport or identification badge) or two items
of identification that bear both a name and signature (such as credit
cards).
Alternatively, identity may be established by providing a
notarized statement, swearing or affirming to an 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
information under false pretenses.
Additional documentation establishing identity or qualification
for notification may be required, such as in an instance where a
legal guardian or representative seeks notification on behalf of
another individual.
Record access procedures:
See ``Notification Procedure'' above.
Contesting record Procedures
See ``Notification Procedure'' above.
Record source categories:
Information maintained in this system is obtained from
individuals who submit correspondence and OCC personnel.
Exemptions claimed for the system:
None.
Customs Service
TREASURY/CS .001
System name:
Acceptable Level of Competence, Negative Determination-Treasury/
Customs.
System location:
Located in Customs Headquarters Offices and in each Customs
Management Center, Port, 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.
[[Page 52985]]
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 Labor and Employee Relations
Office, Customs Management Center Headquarters, or appropriate
managerial official in employee's, 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. (See 31 CFR 1.36.)
TREASURY/CS .002
System name:
Accident Reports--Treasury/Customs.
System location:
Field Mission Support, U. S. Customs Service, 555 Battery Street,
Rm. 326, San Francisco, CA 94111.
Categories of individuals covered by the system:
Any employee 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:
Management Program Technician, Field Mission Support, U. S.
Customs Service, 555 Battery Street, 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 originates with employees who have been injured and/
[[Page 52986]]
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/CS .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; 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, 423 Canal Street, New
Orleans, LA 70130.
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, Customs Management Center, U.S. Customs Service, 6
World Trade Center, New York, NY 10048; Financial Management
Division, U.S. Customs Service, Gulf Customs Management Center, 423
Canal Street, New Orleans, LA 70130.
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/CS .009
System name:
Acting Customs Inspector (Excepted)--Treasury/Customs.
System location:
Director, East Texas Customs Management Center, 2323 South
Shepherd Drive, Suite 1200, Houston, TX 77019; Office of the Port
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, P.O. Box 111, Port 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 Port 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, East Texas Customs Management Center, 2323 South
Shepherd Drive, Suite 1200, Houston, TX 77019; Port Directors within
the San Diego Customs District (see appendix A); Port Director, U.S.
Customs Service, St. Albans, VT 05478, Port Director, 1, LaPontilla
St. Room 203, 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/CS .021
System name:
Arrest/Seizure/Search Report and Notice of Penalty File--
Treasury/Customs.
System location:
Port Director, United States Customs Service, PO Box 1641,
Honolulu, HI 96806.
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). (See 31 CFR 1.36.)
TREASURY/CS .022
System name:
Attorney Case File--Treasury/Customs.
System location:
The Chief Counsel, U.S. Customs Service Headquarters, 1300
Pennsylvania Avenue, NW., Washington, DC 20229; Office of the
Associate Chief Counsel of each Region (for addresses see ``Customs
Management Center Directors'' section, appendix A). Assistant Chief
Counsel, Charleston, SC; Assistant Chief Counsel, San Diego, CA;
Assistant Chief Counsel, Seattle, WA; Assistant Chief Counsel, 9400
Viscount Drive, Suite 102, 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, P.O. 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). (See 31 CFR 1.36.)
TREASURY/CS .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, 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/CS .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, 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/CS .032
System name:
Biographical Files (Headquarters)--Treasury/Customs.
System location:
Public Information Division, U.S. Customs Service Headquarters,
1300 Pennsylvania Avenue, NW, Washington, DC 20229, and the Customs
Management Center 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 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:
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, 1300 Pennsylvania 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/CS .040
System name:
Carrier File--Treasury/Customs.
System location:
Located in the Office of the Area Port Director, Terminal Island,
San Pedro, CA; Office of the Port Director, San Diego, CA; Office of
the Port Director, Los Angeles International Airport, Los Angeles,
CA; Office of the Port 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:
Customs Management Center Director and Service Port Directors,
within the San Diego Customs District; Area Port Director, Terminal
Island, San Pedro, CA; Area Port Director, Los Angeles International
Airport;and Port 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/CS .041
System name:
Cartmen or Lightermen--Treasury/Customs.
System location:
Customs ports and Customs Management Centers. (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:
Area Port Directors and Customs Management Center Directors. (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). (See 31 CFR 1.36.)
Treasury/CS .042
System name:
Case and Complaint File--Treasury/Customs.
System location:
Office of Associate Chief Counsel (Chicago), U.S. Customs
Service, 610 S. Canal St., 7th floor, Chicago, IL 60607.
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 Associate Chief 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 Associate Chief Counsel (Chicago), U.S. Customs Service, 610 S.
Canal St., 7th floor, Chicago, IL 60607. 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 Associate
Chief 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:
Associate Chief Counsel (Chicago), U.S. Customs Service, 610 S.
Canal St., 7th floor, Chicago, IL 60607.
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 Assistant Chief 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/CS .043
System name:
Case Files (Associate Chief Counsel--Gulf Customs Management
Center)--Treasury/Customs.
System location:
The system is located at 423 Canal Street, New Orleans, LA 70130;
Associate Chief Counsel--Gulf Customs Management Center, 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 Gulf Region; employees who have filed tort claims under
the Military Personnel and Civilian Employees Act; employees of the
Associate Chief Counsel's staff with regard to travel, training,
evaluations, and other related personnel records; and applications
for employment submitted to the Office of the Associate Chief 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 Gulf 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 Gulf Region; criminal
case reports for pending litigation and prosecution of cases in the
Gulf Region; supplemental petitions for civil and technical
violations committed within the Gulf Region; and employment
applications for positions in the Office of the Associate Chief
Counsel, Gulf 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
Assistant Chief Counsel (New Orleans), and they are maintained under
lock and key outside the ordinary business hours.
Retrievability:
Records maintained by the Office of the Assistant Chief Counsel
(New Orleans), 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 Assistant Chief Counsel (New
Orleans), 423 Canal Street, New Orleans, LA 70130. 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
Assistant Chief Counsel regarding access controls are that only
members of the staff of the Office of the Assistant Chief 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 Assistant Chief Counsel is the
Assistant Chief Counsel (New Orleans), 423 Canal Street, New Orleans,
LA 70130.
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). (See 31 CFR 1.36.)
Treasury/CS .044
System name:
Certificates of Clearance--Treasury/Customs.
System location:
North Atlantic Customs Management Center, 10 Causeway Street,
Boston, MA 02222.
Categories of individuals covered by the system:
All employees of the North Atlantic 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 Port and name of employee in a
metal file cabinet in the work area of the Payment Section.
Retrievability:
The file is retrievable by Port 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:
Director, North Atlantic Customs Management Center, 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/CS .045
System name:
Claims Act File--Treasury/Customs.
System location:
Office of the Associate Chief Counsel (Los Angeles), U.S. Customs
Service, One World Trade Center, Suite 741, P.O. Box 32709, Long
Beach, CA 90832.
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 Associate Chief 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:
Associate Chief Counsel (Los Angeles), U.S. Customs Service, One
World Trade Center, Suite 741, PO Box 32709, Long Beach, CA 90832.
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
[[Page 52994]]
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/CS .046
System name:
Claims Case File--Treasury/Customs.
System location:
Assistant Chief Counsel (Boston), 10 Causeway Street, Boston, MA
02222; Office of the Assistant Chief Counsel (San Francisco), 555
Battery Street, San Francisco, CA 94111; Office of the Associate
Chief Counsel (Houston), U.S. Customs Service, 2323 South Shepherd
Drive, Suite 1246, Houston, TX 77019.
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
Assistant Chief Counsel and his staff only; closed case files
maintained in locked cabinet with keys retained by Assistant Chief
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:
Assistant Chief Counsel (Boston), 10 Causeway Street, Boston, MA
02222; Office of the Assistant Chief Counsel (San Francisco), 555
Battery Street, San Francisco, CA 94111; Office of the Associate
Chief Counsel (Houston), U.S. Customs Service, 2323 South Shepherd
Drive, Suite 1246, Houston, TX 77019.
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). (See 31 CFR 1.36.)
Treasury/CS .050
System name:
Community Leader Survey--Treasury/Customs.
System location:
Equal Employment Opportunity Officer, U.S. Customs Service, East
Texas Customs Management Center, 2323 South Shepherd Drive., Suite
1200, Houston, TX 77019.
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, East
Texas Customs Management Center, 2323 South Shepherd Drive, Suite
1200, Houston, TX 77019.
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/CS .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, 1300
Pennsylvania 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 Investigations 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, 1300 Pennsylvania 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, 1300 Pennsylvania
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). (See 31 CFR 1.36.)
Treasury/CS .054
System name:
Confidential Statements of Employment and Financial Interests--
Treasury/Customs.
System location:
Located in each Assistant Commissioner Office, Headquarters, and
Customs Management Centers.
Categories of individuals covered by the system:
Covered individuals to be determined by agency, in accordance
with 5 CFR part 2634.
Categories of records in the system:
Form OGE-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:
Maintained for 6 years for any covered position. Records are
destroyed two (2) years after the employee leaves the position, or
two (2) years after leaving the agency, whichever is earlier.
System manager(s) and address:
Assistant Commissioner (Internal Affairs) and Directors, Customs
Management Centers.
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 OGE-450.
Exemptions claimed for the system:
None.
Treasury/CS .056
System name:
Congressional and Public Correspondence File--Treasury/Customs.
System location:
Office of Field Operations (Administrative Staff), U.S. Customs
Service, 1300 Pennsylvania 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, 1300 Pennsylvania 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/CS .057
System name:
Container Station Operator Files--Treasury/Customs.
System location:
Office of Process Owner, Passenger Operations Div., Office of
Field Operations, U.S. Customs, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229; Director, Mid-America Customs Management
Center, 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
[[Page 52997]]
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 Port Director's office within the Mid-America
Customs Management Center, 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
Port 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:
Process Owner, Office of Field Operations, U.S. Customs, 1300
Pennsylvania Avenue, NW., Washington, DC 20229; Director, each Port
within the Mid-America Customs Management Center, 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). (See 31 CFR 1.36.)
Treasury/CS .058
System name:
Cooperating Individual Files--Treasury/Customs.
System location:
These files are located in field 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 Investigations 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 Commissioner (Investigations); the Special Agent in
Charge in regional SAC Offices; and the Resident Agent in Charge in
sub-offices 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). (See 31 CFR 1.36.)
Treasury/CS .061
System name:
Court Case File--Treasury/Customs.
[[Page 52998]]
System location:
Office of the Associate Chief Counsel, One World Trade Center,
Suite 741, P.O. Box 32709, Los Angeles, CA 90832; Office of the
Assistant Chief Counsel, 555 Battery Street, San Francisco, CA 94111;
Office of the Associate Chief Counsel, Mid-America Customs Management
Center, 55 E. Monroe Street, Room 1417, Chicago, IL 60603; Office of
the Assistant Chief Counsel, 1000 Second Avenue, Suite 2200, Seattle,
Washington 98104.
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 Associate Chief 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:
Associate Chief Counsel, One World Trade Center, Suite 741, PO
Box 32709, Los Angeles, CA 90832; Assistant Chief Counsel, 555
Battery Street, San Francisco, CA 94111; Associate Chief Counsel,
Mid-America Customs Management Center, 55 E. Monroe Street, Room
1417, Chicago, IL 60603; Office of the Assistant Chief Counsel, U.S.
Customs Service 1000 Second Avenue, Suite 2200, Seattle, Washington
98104.
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 the Port 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). (See 31 CFR 1.36.)
Treasury/CS .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, 1300 Pennsylvania
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/CS .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, 1300 Pennsylvania Avenue, NW., Washington, DC 20229,
and Customs Management Centers and Service Ports.
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, 1300
Pennsylvania Avenue, NW., Washington, DC 20229, Directors, Customs
Management Centers, 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). (See 31 CFR 1.36.)
Treasury/CS .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 Customs Management Centers, 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 Customs Management Centers Labor
and Employee Relations Office, or appropriate managerial official in
employee' s 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). (See 31 CFR 1.36.)
Treasury/CS .081
System name:
Dock Passes--Treasury/Customs.
System location:
Port Director, U.S. Customs Service, PO Box 1641, Honolulu, HI
96806.
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, looseleaf binder.
Retrievability:
By name.
Safeguards:
Building locked during non-working hours. Retention and disposal:
Retained until expiration.
System manager(s) and address:
Port 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/CS .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, Customs Management Centers, Port,
SAC, and appropriate post of duty offices.
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, Customs
Management Center, Labor and Employee Relations Office, and in 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/CS .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, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229, and each Customs Service Port, Fines, Penalties
and Forfeitures 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:
(1) 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, 1300
Pennsylvania Avenue, NW., Washington, DC 20229 and the Area Port
Directors of Customs for each Customs Port 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/CS .098
System name:
Fines, Penalties and Forfeitures Records--Treasury/Customs.
System location:
Customs Fines, Penalties and Forfeitures offices, Customs Ports.
(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:
Area Port 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). (See 31 CFR 1.36.)
Treasury/CS .099
System name:
Fines, Penalties, and Forfeiture Files (Supplemental Petitions)--
Treasury/Customs.
System location:
Office of the Assistant Chief Counsel, 555 Battery Street, San
Francisco, CA 94111; Office of Associate Chief Counsel, One World
Trade Center, Suite 741, PO Box 32709, Long Beach, CA 90832-2709;
Office of the Associate Chief Counsel, U.S. Customs Service, 55 E.
Monroe Street, Room 1417, Chicago, IL 60603; Office of the Assistant
Chief Counsel, 1000 Second Avenue, Suite 2200, Seattle, WA 98104-
1049; Fines, Penalties and Forfeitures Office, Laredo, TX, and
National Seizure and Penalties Office (NSPO), U.S. Customs,
Hemisphere Center, Newark, NJ.
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
[[Page 53003]]
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:
Assistant Chief Counsel, 555 Battery Street, San Francisco, CA
94111; Associate Chief Counsel, One World Trade Center, Suite 741, PO
Box 32709, Long Beach, CA 90832-2709; Associate Chief Counsel, Room
1417, U.S. Customs Service, 55 E. Monroe Street, Chicago, IL 60603;
Assistant Chief Counsel, 1000 Second Avenue, Suite 2200, Seattle, WA
98104-1049; and NSPO, U.S. Customs, Hemisphere Center, Newark, NJ.
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 Port 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). (See 31 CFR 1.36.)
Treasury/CS .100
System name:
Fines, Penalties and Forfeiture Records (Headquarters)--Treasury/
Customs.
System location:
Penalties Branch, International Trade Compliance Division, U.S.
Customs Service Headquarters, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229 and Fines, Penalties, and Forfeiture Offices at
each Customs Port 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 under 19
U.S.C. 1619 based on their having provided original information on
violations of Customs, navigation or other laws enforced by Customs.
Categories of records in the system:
Entry documentation, notices, investigative and other reports,
memoranda of information received, petitions, recommendations,
referrals and dispositions of fines, and penalties 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 Management
Center.
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, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229, and each Fines, Penalties and Forfeitures
Officer for the United States Customs Service Ports.
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). (See 31 CFR 1.36.)
Treasury/CS .105
System name:
Former Employees--Treasury/Customs.
System location:
U.S. Customs Laboratory, Suite 1429, 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:
Laboratory Director, U.S. Customs Laboratory, Suite 1429, 630
Sansome Street, 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/CS .109
System name:
Handicapped Employee File--Treasury/Customs.
System location:
Human Resources Division, Mid-America Customs Management Center,
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/CS .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 Port
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 Port 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:
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; Regional
Agent In Charge, 423 Canal St., New Orleans, LA 70130; Directors,
Customs Management Centers, Port Directors, and 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). (See 31 CFR 1.36.)
Treasury/CS .123
System name:
Injury Notice--Treasury/Customs.
System location:
Director, Gulf Customs Management Center, 423 Canal Street, New
Orleans, LA 70130; Port Director, 423 Canal Street, New Orleans, LA
70130; Port 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;
Port Director, 423 Canal St., New Orleans, LA 70130; Port 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/CS .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). (See 31 CFR 1.36.)
Treasury/CS .127
System name:
Internal Affairs Records System--Treasury/Customs
System location:
Security Programs Division, Office of Internal Affairs, 1300
Pennsylvania Avenue, NW., Room 8.4.D, Washington, DC 20229.
Categories of individuals covered by the system:
Present and past employees; contractor applicants/employees; and
applicants for positions that require an investigation; and others
that are principals or non-principals in an investigation or
integrity issue.
Categories of records in the system:
Background investigations, integrity investigations, and
photographic images.
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order Number 165, revised, as
amended.
Purpose(s):
To maintain all records on applicants, employees, contractors,
and contractor applicants relating to investigations conducted by
Internal Affairs, and to support personnel and administrative
programs of the Customs Service.
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, assessing,
retaining, and disposing of records in the system:
Storage:
Investigative records are maintained in computers, as well as in
file folders, in metal security cabinets secured by government
approved three-position combination locks, and in a mobile filing
system within a secured area that is alarmed with motion detectors.
Retrievability:
These records are indexed by name and/or numerical identifier in
a manual filing system and/or computerized system.
Safeguards:
In addition to being stored in secured metal containers with
government approved combination locks, mobile filing system, etc.,
the containers are located in a locked, alarmed room, 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 then for 1
year after the subject terminates employment. The files are then
transferred to the Federal Records Center for retention. After
transfer, records are retained by the Federal Records Center for the
following period of time and then destroyed: Background
Investigations--15 years; Conduct and Special Inquiry
Investigations--25 years.
System manager(s) and address:
Director, Security Programs Division, Office of Internal Affairs,
1300 Pennsylvania Avenue, NW., Room 8.4.D, Washington, DC 20229.
Notification procedure:
See Customs appendix A (31 CFR part 1, subpart C).
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Sources of information are: Employers; educational institutions;
police; government agencies; credit bureaus; references; neighborhood
checks; confidential sources; medical sources; personal interviews;
photographic images, military, financial, citizenship, birth and tax
records; and the applicant's, employee's or contractor'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). (See 31 CFR 1.36.)
Treasury/CS .129
System name:
Investigations Record System--Treasury/Customs.
System location:
All Office of Investigations offices located in the United States
and within each Office of Investigations 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
[[Page 53008]]
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, 1300 Pennsylvania 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). (See 31 CFR 1.36.)
Treasury/CS .133
System name:
Justice Department Case File--Treasury/Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters,
1300 Pennsylvania Ave., NW., Washington, DC, 20229. Office of the
Assistant Chief Counsel, U. S Customs Service, 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, 1300
Pennsylvania Avenue, NW., Washington, DC, 20229; Assistant Chief
Counsel, 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). (See 31 CFR 1.36.)
Treasury/CS .136
System name:
All Liquidated Damage, Penalty, and Seizure Cases; Prior
Violators--Treasury/Customs.
System location:
Office of the Director, Fines and Penalties Office, U.S. Customs
Service, 10 Causeway Street, Boston, MA 02109; Office of the
Director, Fines and Penalties Office, U.S. Customs Service, PO Box
1490, St. Albans, VT 05478; and Fines, Penalties and Forfeitures
Office, Laredo, TX 78044.
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; and Fines and Penalties Officer, Laredo, TX
78044.
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/CS .137
System name:
List of Vessel Agents Employees--Treasury/U.S. Customs.
System location:
Office of Director, Mid-America Customs Management Center,
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 Office of the Director,
Mid-America Customs Management Center, 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:
Director, as appropriate, Mid-America Customs Management Center,
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/CS .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 Ports of Entry 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). (See 31 CFR 1.36.)
Treasury/CS .144
System name:
Mail Protest File--Treasury/Customs.
System location:
Foreign Mail Branch, 1751 NW 79th Avenue, Miami, FL 33166; Port
Director of Customs, PO Box 17423, Washington, DC 20041; 300 2nd
Ave., South Great Falls, MT 59405; PO Box 1641, Honolulu, HI 96806;
1000 2nd Ave., suite 2100, Seattle, WA 98104-1049; U.S. Customs Mail
Facility, Room 416, 1675--7th Street, Oakland, California 94615.
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:
Port Director of Customs, 1751 NW 79th Avenue, Miami, FL 33166;
PO Box 17423, Washington, DC 20041; 405 W. Fourth Ave., Anchorage, AK
99501; 300 2nd Ave. South, Great Falls, MT 59405; 335 Merchant,
Honolulu, HI 96813; 511 NW. Broadway, Portland, OR 97209; 555 Battery
Street, San Francisco, CA 94126; 1000 2nd Ave., Suite 2100, Seattle,
WA 98104-1049.
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/CS .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,
1300 Pennsylvania Avenue, NW., Washington, DC 20229; Office of the
Assistant Chief Counsel, Room 125, U.S. Customhouse, 40 S. Gay
Street, Baltimore, MD 21202; Associate Chief 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, 1300
Pennsylvania Avenue, NW., Washington, DC 20229; Assistant Counsel,
U.S. Customhouse, 40 S. Gay Street, Baltimore, MD 21202; Associate
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/CS .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 Customs Management Center. 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:
Director, National Finance Center, U.S. Customs Service, 6026
Lakeside Blvd., Indianapolis, IN 46278.
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/CS .156
System name:
Narcotic Violator File--Treasury/Customs.
System location:
Fines, Penalties and Forfeitures Office, East Great Lakes Customs
Management Center, 4455 Genessee St., Buffalo, NY 14225.
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:
Director, East Great Lakes Customs Management Center, 4455
Genessee St., Buffalo, NY 14225.
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 area.
Exemptions claimed for the system:
None.
Treasury/CS .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, East Texas Customs Management Center,
2323 S. Shepherd St., Suite 1200, Houston, TX 77019.
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. 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, East Texas Customs Management
Center, 2323 S. Shepherd St., Suite 1200, Houston, TX 77019.
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). (See 31 CFR 1.36.)
Treasury/CS .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 magnetic tape.
Retrievability:
Records are indexed by organizational segment, code, position
control number, and name.
Safeguards:
Limited access.
Retention and disposal:
Records are maintained on magnetic tape 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.
[[Page 53014]]
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/CS .163
System name:
Outside Employment Requests--Treasury/Customs.
System location:
Located in Headquarters and Customs Management Centers and/or
appropriate 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, Customs
Management Centers, 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/CS .165
System name:
Overtime Earnings--Treasury/Customs.
System location:
Passenger Processing Port of San Francisco, San Francisco
International Airport, P.O. Box 251867, San Francisco, CA 94125-1867;
Los Angeles International Airport, 1099 S. LaCienega Blvd., Los
Angeles, CA 90045; Port Director, 300 S. Ferry Street, Terminal
Island, San Pedro, CA 90731; Port Director, 9 North Grande Ave.,
Nogales, AZ 85620; Customs Management Center Director, 4740 N. Oracle
Rd., Suite 310, Tucson, AZ 85705; 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; Pembina, ND; Detroit, MI; Minneapolis,
MN; Cleveland, OH; St. Louis, MO; Duluth, MN; Milwaukee, WI; Office
of the Supervisory Warehouse Officer, U.S. Customhouse, Room 103, 2nd
and Chestnut Streets, Philadelphia, PA 19106; Port Director, U.S.
Customs Service, 40 S. Gay St., Baltimore, MD 21202-2004; Port
Director, U.S. Customs Service, 111 West Huron Street, Buffalo, NY
14202; Port Director, U.S. Customs Service, 127 North Water Street,
Ogdenburg, NY 13669; Port Director, U.S. Customs Service, 312 Fore
Street, Box 4688, Portland, ME 04112; Port Director, U.S. Customs
Service, 49 Pavilion Avenue, Providence, RI 02905; Port Director,
U.S. Customs Service, PO Box 1490, St. Albans, VT 05478; Port
Director, U.S. Customs Service, 10 Causeway Street, Boston, MA 02222;
U.S. Customs Service, Honolulu International Airport, Honolulu, HI
96816, and maintained at each individual port within the south Texas
Customs Management Center.
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 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; Director,
(Airport), Los Angeles International Airport, 1109 S. LaCienega
Blvd., Los Angeles, CA 90045; Port Director, 300 S. Ferry Street,
Terminal Island, San Pedro, CA 90731; Port Director, 9 North Grande
Ave., Nogales, AZ 85620; Customs
[[Page 53015]]
Management Center Director, 4740 N. Oracle Rd., Suite 310, Tucson, AZ
85705; 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; Directors:
Chicago, IL; Pembina, ND; Detroit, MI; Minneapolis, MN; Cleveland,
OH; St. Louis, MO; Duluth, MN; Milwaukee, WI. Port Director of
Customs, 77 SE 5th Street, Miami, FL 33131; Port Director of Customs,
U.S. Customhouse, 2nd and Chestnut Streets, Philadelphia, PA 19106;
Port Director of Customs, U.S. Customs Service, Honolulu, HI 96819.
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 actual overtime earnings made by
each employee in the system.
Exemptions claimed for the system:
None.
Treasury/CS .170
System name:
Overtime Reports--Treasury/Customs.
System location:
U.S. Customs Service, Office of Investigations, South Central
Region, RDI, 423 Canal Street, New Orleans, LA 70130; SAC, 423 Canal
Street, New Orleans, LA 70130; RA, 1719 West End Building, Room 303,
Nashville, TN 37203, and each port within the South Texas Customs
Management Centers.
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 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/CS .171
System name:
Pacific Basin Reporting Network.
System location:
Office of the Special Agent in Charge, U.S. Customs Service, 300
Ala Moana Boulevard, Room 7238, Honolulu, Hawaii 96813.
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 the 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 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 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
[[Page 53016]]
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 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 7238, Honolulu, Hawaii 96813.
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). (See 31 CFR 1.36.)
Treasury/CS .186
System name:
Personnel Search--Treasury/Customs.
System location:
Office of Investigations, 423 Canal 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.
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 Investigations, U.S. Customs Service,423
Canal Street, New Orleans, LA 70130; Port Directors, as applicable,
in Mid-America Customs Management Center, Chicago, IL; Port Director
of Customs, U.S. Customs Service, Honolulu, HI 96819; Port Directors
at the various ports of entry in the Nogales, AZ.
Notification procedure:
See Customs appendix A.
[[Page 53017]]
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). (See 31 CFR 1.36.)
Treasury/CS .190
System name:
Personnel Case File--Treasury/Customs.
System location:
Office of the Chief Counsel, U.S. Customs Service Headquarters,
1300 Pennsylvania Avenue, NW., Washington, DC 20229; Office of the
Associate Chief Counsel, U.S. Customs Service, Mid-America, 610 S.
Canal St., Chicago, IL 60607; Associate Chief Counsel of Customs, 6
World Trade Center, New York, NY, 10048; Office of Assistant Chief
Counsel, 555 Battery St., San Francisco, CA 94111; Associate Chief
Counsel, 2323 S. Shepherd St., Houston, TX 77019.
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, 1300
Pennsylvania Avenue, NW., Washington, DC 20229; Associate Chief
Counsel of Customs, U.S. Customs Service, Mid-America, 610 S. Canal
St., Chicago, IL 60607; Associate Chief Counsel of Customs, New York,
NY, 10048; Assistant Chief Counsel, 555 Battery St., 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:
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). (See 31 CFR 1.36.)
Treasury/CS .193
System name:
Operating Personnel Folder Files--Treasury/Customs.
System location:
Files are located in Headquarters, Customs Management Centers,
SACs, Area Ports 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 uses:
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,
ledgers, and computer disc.
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:
Program Management Officers at Headquarters, local Management
Program Officers (MPOs) in Customs Management Centers and SAC
offices, 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/CS .196
System name:
Preclearance Costs--Treasury/Customs.
System location:
Customs Management Center, 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 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, 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:
Director, Customs Management Center, 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/CS .197
System name:
Private Aircraft/Vessel Inspection Reporting System--Treasury/
Customs.
System location:
Office of Field Operations, U.S. Customs Service, 1300
Pennsylvania 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 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 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:
Customs Form 178 (Private Aircraft Inspection Report) is
destroyed after entry into data system.
System manager(s) and address:
Process Owner, Passenger Operations Division, U.S. Customs
Service, 1300 Pennsylvania 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). (See 31 CFR 1.36.)
Treasury/CS .201
System name:
Property File-Non-Expendable-Treasury/Customs.
System location:
Offices of each Port within the Mid-America Customs Management
Center (see Customs appendix A.); Office of Logistics Management,
U.S. Customs Headquarters, 1300 Pennsylvania Avenue, NW., Washington,
DC 20229; Office of the Director, Customs Management Center, 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; Port Directors Office, Entry Control Section (see
Customs appendix A.); United States Customs Service, PO Box 1641,
Honolulu, HI 96806; Federal Building, Room 198, 511 NW. Broadway,
Portland, OR 97209; Management Program Specialist, U.S. Customs
Service, 555 Battery Street, Room 329, San Francisco, CA 94126.
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 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:
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:
Port Directors in Mid-America Region; Director, Office of
Logistics Management, U.S. Customs Service, Headquarters, 1300
Pennsylvania Avenue, NW., Washington, DC, 20229; Customs Management
Center Directors, 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, 1300 Pennsylvania Avenue, NW.,
Washington, DC 20229; Local Property Officer, Room 228, Federal
Building, Entry Control Section, 335 Merchant Street, Honolulu, HI
96813; Director, Federal Building, Room 198, 511 NW. Broadway,
Portland, OR 97209; Administrative Officer, U.S. Customs Service, 555
Battery Street, Room 327, 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:
The information in this system consists of receipts of employees
receiving non-expendable property.
Exemptions claimed for the system:
None.
Treasury/CS .206
System name:
Regulatory Audits of Customhouse Brokers--Treasury/Customs.
System location:
Office of Regulatory Audit, United States Customs Service
Headquarters, 1300 Pennsylvania 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 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 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, assessing,
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, 1300 Pennsylvania Avenue, NW., Washington, DC
20229, and the Regional Directors, Regulatory Audit at each of the
regional offices (see Customs appendix A for addresses).
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
[[Page 53021]]
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). (See 31 CFR 1.36.)
Treasury/CS .207
System name:
Reimbursable Assignment/Workticket System-Treasury/Customs.
System location:
U.S. Customs Service Headquarters, 1300 Pennsylvania 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 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 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, 1300 Pennsylvania 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/CS .208
System name:
Restoration of Forfeited Annual Leave Cases--Treasury/Customs.
System location:
Located in U.S. Customs Service, National Finance Center,
Indianapolis, Indiana, and Mission support Office of each Customs
Management Center. (see Customs appendix A for addresses).
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 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 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:
Mission Support Officer in each Customs Management Center, and
the Director, National Finance Center, Indianapolis, Indiana.
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/CS .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 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:
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/CS .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 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 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, P.O. 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/CS .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 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 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). (See 31 CFR 1.36.)
Treasury/Customs .213
System name:
Seized Asset and Case Tracking System (SEACATS).
System location:
Office of Information and Technology, U.S. Customs Service, 1300
Pennsylvania Ave. NW., Washington, DC 20229.
Categories of individuals covered by the system:
(1) Owners, claimants, and other interested parties to seized
property; (2) those who have been administratively or criminally
charged with violations of Customs laws and regulations, and other
laws and regulations enforced by the Customs Service, U.S. Secret
Service, Bureau of Alcohol, Tobacco and Firearms, and the Internal
Revenue Service; (3) purchasers of forfeited property.
Categories of records in the system:
Includes records containing information related to property that
was forfeited or seized by the U.S. Customs Service, the U.S. Secret
Service, the Bureau of Alcohol, Tobacco and Firearms, such as: (1)
Individual and business names, (2) phone numbers, (3) identifying
numbers, (4) dates, (5) types of violations, (6) parties entitled to
legal notice, (7) parties who are legally liable, (8) case
information pertaining to violation, (9) bond information, (10) entry
documentation, (11) petitions and supplemental petitions, (12)
reports of investigation concerning the fine, penalty or forfeiture,
(13) information related to internal review and consideration of
request for relief, (14) offer information.
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.
Purpose(s):
The purpose is to provide Customs and the Treasury Executive
Office of Asset Forfeiture with a comprehensive system for tracking
seized and forfeited property, penalties, and liquidated damages from
case initiation to final resolution.
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 disclosure 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) 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
bureau's hiring or retention of an individual, or issuance of a
security clearance, license, contract, grant, or other benefit; (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 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By identification codes, name, phone number, identifying number,
and date and type of violation.
Safeguards:
Access to the computer area is controlled by a security pass
arrangement and personnel not connected with the operation of the
computer are prohibited from entering. At ports of processing,
terminal rooms are under close supervision during working hours and
locked after the close of business. Users gain access to the system
by unique identification code and password. Access is on a need-to-
know basis only. Passwords are changed frequently to enhance
security.
Retention and disposal:
Files are periodically updated to reflect changes and are
disposed of in accordance with the requirements of the National
Archives and Records Administration's record retention schedule.
System manager(s) and address:
Assistant Commissioner, Office of Information and Technology,
U.S. Customs Service, 1300 Pennsylvania Ave. 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 of records is exempt from the Privacy Act provision
which requires that record source categories be reported. (See
``Exemptions Claimed for the System,'' below.)
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 (8), (f) and (g) of the Privacy Act pursuant to 5
U.S.C. 552a (j)(2) and (k)(2). (See 31 CFR 1.36.)
Treasury/CS .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 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 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). (See 31 CFR 1.36.)
Treasury/CS .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 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 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/CS .224
System name:
Suspect Persons Index-Treasury/Customs.
System location:
U.S. Customs Officers located at the following addresses: 300 2nd
Avenue, So., Great Falls, MT 59405; 555 Battery Street, San
Francisco, CA 94111; 1000 2nd Ave., Suite 2100, Seattle, WA 98104.
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 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 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:
Port Directors 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). (See 31 CFR 1.36.)
Treasury/CS .226
System name:
Television System--Treasury/Customs.
System location:
Office of Port Directors at ports of entry.
[[Page 53026]]
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 Directors offices.
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/CS .227
System name:
Temporary Importation Under Bond (TIB) Defaulter Control System--
Treasury/Customs.
System location:
U.S. Customs Service, Office of Investigations, 1300 Pennsylvania
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, 1300 Pennsylvania Avenue, NW, Washington, DC 20229.
Notification procedure:
See Customs appendix A.
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Access, above.
[[Page 53027]]
Record source categories:
Customs officers completing Customs Form 164 (TECS-TIB Defaulter
Control).
Exemptions claimed for the system:
None.
Treasury/CS .232
System name:
Tort Claims Act File--Treasury/Customs.
System location:
Office of the Associate Chief Counsel, U. S. Customs Service, One
World Trade Center, Suite 740, Long Beach, CA 90831; Associate Chief
Counsel of Customs, 6 World Trade Center, New York, NY 10048; Office
of the Associate Chief Counsel, U.S. Customs Service (Chicago), 610
South Canal St., Chicago, IL 60607; Office of Associate Chief Counsel
(Houston), 2323 South Shepherd Drive., Houston, TX 77019; Office of
the Chief Counsel, U.S. Customs Service Headquarters, 1300
Pennsylvania Avenue, NW, Washington, DC 20229; Office of Assistant
Chief Counsel, 555 Battery Street, San Francisco, CA 94126; and
Office of Assistant Chief Counsel, 1000 Second Avenue, Suite 2200,
Seattle, WA 98104.
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:
Associate Chief Counsel, U. S. Customs Service, One World Trade
Center, Suite 741, Long Beach, CA 90832; Associate Chief Counsel,
U.S. Customs Service, 6 World Trade Center, New York, NY 10048;
Associate Chief Counsel of Customs, 610 South Canal St., Chicago, IL
60607; Associate Chief Counsel, 2323 South Shepherd Drive., Suite
1246, Houston, TX 77019; Chief Counsel, U.S. Customs Service
Headquarters, 1300 Pennsylvania Avenue, NW, Washington, DC 20229;
Office of Assistant Chief Counsel, 555 Battery Street, San Francisco,
CA 94126; and Office of Assistant Chief Counsel, 1000 Second Ave.,
Suite 2200, Seattle, WA 98104-1049.
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). (See 31 CFR 1.36.)
Treasury/CS .234
System name:
Tort Claims Act File--Treasury/Customs.
System location:
Offices of the Director, Customs Management Center, Mid-America,
Chicago, IL, Ports, and South Texas Customs Management Center. (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.
[[Page 53028]]
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 Port 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 Port 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:
Port Director as appropriate in the Mid-America Customs
Management Center, 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/CS .238
System name:
Training and Career Individual Development Plans--Treasury/
Customs.
System location:
Located at the Mission Support Office at each Customs Management
Center.
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, and in electronic media.
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:
Mission Support Officer at each Customs Management Center.
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/CS .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, 1300
[[Page 53029]]
Pennsylvania 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/CS .244
System name:
Treasury Enforcement Communications System (TECS)--Treasury/
Customs.
System location:
Office of Investigations, U.S. Customs Service, 1300 Pennsylvania
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; (6) provide passenger archive information and other
TECS data relevant to the National Center for Missing and Exploited
Children (NCMEC) investigation through Department of the Treasury law
enforcement officers to personnel of the NCMEC to assist in
investigations of missing or exploited children.
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 Investigations, U.S. Customs
Service, 1300 Pennsylvania 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). (See 31 CFR 1.36.)
Treasury/CS .249
System name:
Uniform Allowances--Unit Record--Treasury/Customs.
System location:
Financial Management Office, 99 SE First Street, Miami, FL 33131;
Management Services Branch, Administration Division, Port Director,
[[Page 53030]]
San Juan, PR 00903; Financial Management Division, U.S. Customs
Service, 10 Causeway St., Room 801, Boston, MA 02222.
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:
Director of Financial Management, 99 SE First Street, Miami, FL
33131; Port Director, U.S. Customs Service, Room 203, Old San Juan,
PR 00903; Director, Financial Management Division, U.S. Customs
Service, 10 Causeway St., Room 801, Boston, MA 02222.
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 Ports. Data transcribed from Payment
Vouchers.
Exemptions claimed for the system:
None.
Treasury/CS .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
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/CS .252
System name:
Valuables Shipped Under the Government Losses in Shipment Act--
Treasury/Customs.
System location:
Director, Customs Management Center, 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:
Port Director, as appropriate, in the Mid-America Customs
Management Center, Chicago, IL 60607.
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/CS .258
System name:
Violator's Case Files--Treasury/Customs.
System location:
Port Director of Customs, U.S. Customs Service, 50 South Main
St., Suite 10012, 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:
Port 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). (See 31 CFR 1.36.)
Treasury/CS .260
System name:
Warehouse Proprietor Files-Treasury/Customs.
System location:
Mid-America Customs Management Center, 610 S. Canal St., Suite
900, Chicago, IL 60607.(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
[[Page 53032]]
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 Port Director's office within the Mid-America
Customs Management Center, Chicago, IL 60607.
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:
Port Director, as appropriate, in the Mid-America Customs
Management Center, Chicago, IL 60607. (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). (See 31 CFR 1.36.)
Treasury/CS .262
System name:
Warnings to Importers in lieu of Penalty--Treasury/Customs.
System location:
Located in the Office of the Director, Customs Management Center,
610 S. Canal St., Suite 900, San Diego, CA 92101; 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:
Port Directors, and Directors within the Customs Management
Center/Southern California 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/CS .268
System name:
Military Personnel and Civilian Employees' Claims Act File--
Treasury/Customs.
System location:
Office of the Associate Chief Counsel, U. S. Customs Service,
2323 South Shepherd Drive, Houston, TX 77019.
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 Director, East Texas Customs Management Center,
Houston, TX, for ultimate transportation to the Federal Record
Center.
System manager(s) and address:
Associate Chief Counsel, U. S. Customs Service, 2323 South
Shepherd Drive., Houston, TX 77019.
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/CS .269
System name:
Accounts Payable Voucher File--Treasury/Customs.
System location:
Financial Management Division, U.S. Customs Service, Gulf Customs
Management Center, 423 Canal Street, New Orleans, LA 70130.
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,
Gulf Customs Management Center, 423 Canal Street, New Orleans, LA
70130.
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/CS .270
System name:
Background--Record File of Non-Customs Employees--Treasury/
Customs.
System location:
Office of Internal Affairs, U.S. Customs Service, 1300
Pennsylvania Ave. NW Washington, D.C.
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 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
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:
Personnel Security Division, Office of Internal Affairs, Customs
Headquarters. (For addresses see 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). (See 31 CFR 1.36.)
Treasury/CS .271
System name:
Cargo Security Record System--Treasury/Customs.
System location:
Director, Customs Management Center, 423 Canal Street, New
Orleans, LA 70130; Port 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:
Director, Customs Management Center, 423 Canal Street, New
Orleans, LA 70130; Port Director, PO Box 2748, Mobile, AL 36601.
Notification procedure:
See Customs appendix A.
[[Page 53035]]
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). (See 31 CFR 1.36.)
Treasury/CS .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 Port 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:
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/CS .274
System name:
Importers, Brokers, Carriers, Individuals and Sureties Master
Files--Treasury/Customs.
System location:
Office of Financial Management, 909 SE First Avenue, 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, Office of Financial Management, 909 SE First Avenue,
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 and Ports.
Exemptions claimed for the system:
None.
Treasury/CS .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.
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, 1300 Pennsylvania 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/CS .284
System name:
Personnel Verification System (PVS)-Treasury/Customs.
System location:
Office of Information and Technical Services, U.S. Customs
Service, 1300 Pennsylvania 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, 1300 Pennsylvania 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/CS .285
System name:
Automated Index to Central Investigative Files--Treasury/Customs.
System location:
Office of Investigations, U.S. Customs Service, 1300 Pennsylvania
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
[[Page 53038]]
receipt records, guard patrolling restricted areas, alarm protection
systems, special communication security. (4) Access is limited to all
Office of Investigations 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, 1300 Pennsylvania 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). (See 31 CFR 1.36.)
Treasury/CS .286
System name:
Electronic Job Application Processing System--Treasury/Customs.
System location:
Located in U.S. Customs Headquarters Offices, 1300 Pennsylvania
Avenue, NW, Washington DC 20229 and at contractor's premises (contact
the system administrator for the contractor address).
Categories of individuals covered by the system:
Individuals applying for job vacancies within the United States
Customs Service.
Categories of records in the system:
Vacancy announcements, applications, applicant resumes,
certificates of eligibles, rating information, test data, interview
results and answers to Knowledge, Skill and Ability questions.
Applicant data includes but is not limited to, name, address, social
security number (SSN) and date of birth (DOB).
Authority for maintenance of the system:
5 U.S.C. 301; Treasury Department Order No. 165, Revised, as
amended.
Purpose(s):
The purpose of this electronic system of records is to more
efficiently acquire, process, rate and rank job applicants for
positions with the U.S. Customs Service. This system should result in
positions being filled more quickly with the most qualified
applicant.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
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 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 relevant to the requesting agency's or the Customs
Service'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
where relevant or potentially relevant to a proceeding, 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 an investigation; (5)
Disclose information to an agency contractor for the purpose of
compiling, organizing, analyzing, programming, utilizing or otherwise
refining records subject to the same limitations applicable to
officers and employees of the U.S. Customs Service under the Privacy
Act; (6) Provide information to the National Archives and Records
Administration for use in records management inspections conducted
under authority of 44 U.S.C. 2904 and 2908; (7) Disclose information
to officials of the Merit Systems Protection Board, the Office of the
Special Counsel, the Federal Labor Relations Authority, the Equal
Employment Opportunity Commission, or the Office of Personnel
Management when requested in performance of their authorized duties;
(8) Disclose information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains, and (9) provide information to officials of labor
organizations recognized 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:
Magnetic media.
Retrievability:
Records are indexed by name and Social Security Number.
Safeguards:
Records are accessed through Internet firewalls by authorized
Customs employees through IRE Virtual Private Network (VPN) and a
secure connection. The host servers are protected by controlled
access procedures, which includes card key entry control and cipher
locks.
Retention and disposal:
Merit promotion case files are maintained for two years after the
closing date of the announcement, or the final disposition of
appeals, whichever is later in accordance with National Archives and
Records Administration GRS-1.
System manager(s) and address:
Director, Staffing Policy, Office of Human Resources, U.S.
Customs Service, 1300 Pennsylvania Ave., NW., Washington, DC 20229.
Notification procedure:
See Customs appendix A.
[[Page 53039]]
Record access procedures:
See Customs appendix A.
Contesting record procedures:
See Customs appendix A.
Record source categories:
Job applicants, and present and past employers, and other federal
agencies.
Exemptions claimed for the system:
None.
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 Assistant Commissioner, Office of
Regulations and Rulings, U.S. Customs Service, Rm. 3.4A, Ronald
Reagan Bldg., 1300 Pennsylvania Avenue, NW, Washington, DC 20229, or
to the Customs Management Center Director 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 Assistant Commissioner, Office of Regulations and
Rulings, U.S. Customs Service, 1300 Pennsylvania Avenue, NW,
Washington, DC 20229, or to the Director of the Customs Management
Center of the region in which the records are located. (See addresses
below.)
II. Location
Addresses of Headquarters, U.S. Customs Service, Customs
Management Centers, Regional Directors (Internal Affairs), Port
Directors of Customs, and Customs Office of Enforcement field
offices:
Headquarters U.S. Customs Service: 1300 Pennsylvania Avenue, NW,
Washington, DC 20229.
Customs Management Centers
Arizona--4740 North Oracle Road, Suite 310, Tucson, AZ 85705,
(520) 670-5900.
Caribbean Area--1 La Puntilla St., Room 203, San Juan PR 00901,
(787) 729-6950.
East Great Lakes--4455 Genesee St., Buffalo, NY 14225, (716) 626-
0400.
East Texas--2323 S. Shepherd St., Suite 1200, Houston, TX 77019,
(713) 313-2843.
Gulf--423 Canal St., Room 337, New Orleans, LA 70130, (504) 670-
2404.
Mid-America--610 S. Canal St. Suite 900, Chicago, IL 60607, (312)
353-4733.
Mid Atlantic--103 S. Gay St., Suite 208, Baltimore, MD 21202,
(410) 962-6200.
Mid Pacific--33 New Montgomery St., Suite 1601, San Francisco, CA
94105, (415) 744-1530,
New York--6 World Trade Center, Room 716, New York, NY 10048,
(212) 466-4444.
North Atlantic--10 Causeway St., Room 801, Boston, MA 02222,
(617) 565-6210.
North Florida--1624 E. Seventh Ave., Suite 301, Tampa, FL 33605,
(813) 228-2381.
North Pacific--90332 N.E. Alderwood Rd., Portland, OR 97220,
(503) 326-7625.
Northwest Great Plains--1000 Second Ave., Suite 2000, Seattle, WA
98104, (206) 553-6944.
South Atlantic--1691 Phoenix Blvd., Suite 270, College Park, GA
30349, (770) 994-2306
South Florida--909 SE First Ave. Suite 980, Miami, FL 33131,
(305) 536-6600.
South Pacific--One World Trade Center, Suite 705, Long Beach, CA
90831 (562) 980-3100.
South Texas--PO Box 3130, Laredo, TX 78044, (956) 718-4161
Southern California--610 W. Ash St., Suite 1200, San Diego, CA
92101, (619) 557-5455.
West Great Lakes--613 Abbott St., 3rd Floor, Detroit, MI 48226,
(313) 226-2955.
West Texas/New Mexico--9400 Viscount Blvd., Suite 104, El Paso,
TX 79925, (915) 540-5800.
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--Federal Law Enforcement Training Center
Appendix L--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 include the offices of:
(1) The Secretary of the Treasury, including immediate staff;
(2) The Deputy Secretary of the Treasury, including immediate staff;
(3) The Chief of Staff, including immediate staff;
(4) The Executive Secretary and all offices reporting to such
official, including immediate staff;
(5) The Under Secretary of the Treasury for International Affairs and
all offices reporting to such official, including immediate staff;
(6) The Under Secretary of the Treasury for Domestic Finance and all
offices reporting to such official, including immediate staff;
(7) The Under Secretary for Enforcement and all offices reporting to
such official, including immediate staff;
(8) The Assistant Secretary of the Treasury for Financial Institutions
and all offices reporting to such official, including immediate staff;
(9) The Assistant Secretary of the Treasury for Economic Policy and
all offices reporting to such official, including immediate staff;
(10) The Fiscal Assistant Secretary and all offices reporting to such
official, including immediate staff;
(11) The General Counsel and all offices reporting to such official,
including immediate staff; except legal counsel to the components listed
in paragraphs (a)(17) and (b) through (l) of this section;
(12) The Inspector General and all offices reporting to such official,
including immediate staff;
(13) The Assistant Secretary of the Treasury for International Affairs
and all offices reporting to such official, including immediate staff;
(14) The Assistant Secretary of the Treasury for Legislative Affairs
and Public Liaison and all offices reporting to such official, including
immediate staff;
(15) The Assistant Secretary of the Treasury for Management and Chief
Financial Officer and all offices reporting to such official, including
immediate staff;
(16) The Assistant Secretary of the Treasury for Public Affairs and
all offices reporting to such official, including immediate staff;
(17) The Assistant Secretary of the Treasury for Tax Policy and all
offices reporting to such official, including immediate staff;
(18) The Treasurer of the United States, including immediate staff;
(19) The Treasury Inspector General for Tax Administration and all
offices reporting to such official, including immediate staff.
(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 Secret Service.
(l) The Office of Thrift Supervision.
(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;
65 FR 2335, Jan.14, 2000]
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.
(a) In General. In accordance with 5 U.S.C. 552a(j) and (k) and
Sec. 1.23(c), the Department of the Treasury hereby exempts the systems
of records identified below from the following provisions of the Privacy
Act for the reasons indicated.
(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 of Sec. 123(c).
(c) General exemptions under 5 U.S.C. 552a(j)(2). (1) 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
Department of the Treasury have as their principal function activities
pertaining to the enforcement of criminal laws and protective service
activities which are necessary to assure the safety of individuals
protected by the Department pursuant to the provisions of 18 U.S.C.
3056. This paragraph applies to the following systems of records
maintained by the Department of the Treasury:
(i) Departmental Offices:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .190................................... Investigation Data
Management System
DO .200................................... FinCEN Database.
DO .212................................... Suspicious Activity
Reporting System
DO .213 Bank Secrecy Act Report
SystemG
------------------------------------------------------------------------
(ii) Bureau of Alcohol, Tobacco and Firearms:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
ATF .003.................................. Criminal Investigation
Report System.
------------------------------------------------------------------------
(iii) Comptroller of the Currency:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CC .013................................... Enforcement and Compliance
Information.
CC .500................................... Chief Counsel's Management
Information System.
------------------------------------------------------------------------
(iv) U.S. Customs Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CS .053................................... Confidential Source
Identification File.
CS .127................................... Internal Affairs Records
System.
CS .129................................... Investigations Record
System.
CS .171................................... Pacific Basin Reporting
Network.
CS .213................................... Seized Assets and Caste
Tracking System (SEACATS).
CS .244................................... Treasury Enforcement
Communications System
(TECS).
CS .270................................... Background-Record File of
Non-Customs Employees.
CS .285................................... Automated Index to Central
Enforcement Files.
------------------------------------------------------------------------
(v) Bureau of Engraving and Printing.
(vi) Federal Law Enforcement Training Center.
(vii) Financial Management Service.
(viii) Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 34.022................................ National Background
Investigations Center
Management Information
System (NBICMIS).
IRS 46.002................................ Case Management and Time
Reporting System, Criminal
Investigation Division.
IRS 46.003................................ Confidential Informants,
Criminal Investigation
Division.
IRS 46.005................................ Electronic Surveillance
Files, Criminal
Investigation Division.
IRS 46.009................................ Centralized Evaluation and
Processing of Information
Items (CEPIIs), 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).
IRS 46.050................................ Automated Information
Analysis System.
IRS 60.001................................ Assault and Threat
Investigation Files.
IRS 60.002................................ Bribery Investigation Files.
IRS 60.004................................ Disclosure Investigation
Files.
IRS 90.001................................ Chief Counsel Criminal Tax
Case Files.
------------------------------------------------------------------------
(ix) U.S. Mint
(x) Bureau of the Public Debt
(xi) U.S. Secret Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
USSS .003................................. Criminal Investigation
Information System.
USSS .006................................. Non-Criminal Investigation
Information System.
USSS .007................................. Protection Information
System.
------------------------------------------------------------------------
(xii) Office of Thrift Supervision:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
OTS .001.................................. Confidential Individual
Information System.
OTS .004.................................. Criminal Referral Database
------------------------------------------------------------------------
(2) The Department hereby exempts the systems of records listed in
paragraphs (c)(1)(i) through (xii) of this section from the following
provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(j)(2): 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), and 5 U.S.C. 552a(g).
(d) Reasons for exemptions under 5 U.S.C. 552a(j)(2). (1) 5 U.S.C.
552a(e)(4)(G) and (f)(l) enable individuals to inquire whether a system
of records contains records pertaining to them. Application of these
provisions to the systems of records would give individuals an
opportunity 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 the Department'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 systems of records would compromise the
Department's ability to provide useful tactical and strategic
information to law enforcement agencies.
(i) Permitting access to records contained in the systems of records
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 the
Department's ability to carry out its mandate.
(iv) Furthermore, providing access to records contained in the systems
of records 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 systems of
records for the reasons outlined in paragraphs (d)(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 the Department and thus
would restrict the Department's access to information necessary to
accomplish its mission most effectively.
(vi) Limitation on access to the material contained in the protective
intelligence files is considered necessary to the preservation of the
utility of intelligence files and in safeguarding those persons the
Department is authorized to protect. Access to the protective
intelligence files could adversely affect the quality of information
available to the Department; compromise confidential sources, hinder the
ability of the Department to keep track of persons of protective
interest; and interfere with the Department's protective intelligence
activities by individuals gaining access to protective intelligence
files.
(vii) Many of the persons on whom records are maintained in the
protective intelligence suffer from mental aberrations. Knowledge of
their condition and progress comes from authorities, family members and
witnesses. Many times this information comes to the Department 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 to 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.
(viii) Finally, the dissemination of certain information that the
Department may maintain in the systems of records 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 exempt the systems of records from
the provisions of 5 U.S.C. 552a relating to access to records, for the
reasons set out in paragraph (d)(2) of this section, these provisions
should not apply to the systems of records.
(4) 5 U.S.C. 552a(c)(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 the Department. Making
accountings of disclosures available to the subjects of an investigation
would alert 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. In the case of a delinquent account, such
release might enable the subject of the investigation to dissipate
assets before levy.
(ii) Moreover, providing accountings to the subjects of investigations
would alert them to the fact that the Department 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 the Department's information-gathering and analysis systems
and permit violators to take steps to avoid detection or apprehension.
(iii) The release of such information to the subject of a protective
intelligence file would provide significant information concerning the
nature of an investigation, and could result in impeding or compromising
the efforts of Department 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.
(5) 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 exempt the systems of records from the
provisions of 5 U.S.C. 552a relating to access to and amendment of
records, for the reasons set out in paragraph (f)(3) of this section,
this provision should not apply to the systems of records.
(6) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a general
notice listing the categories of sources for
[[Page 69869]]
information contained in a system of records. The application of this
provision to the systems of records could compromise the Department'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 systems of records could impair the
Department's ability to collect and disseminate valuable law enforcement
information.
(i) At the time that the Department collects information, it often
lacks sufficient time to determine whether the information is relevant
and necessary to accomplish a Treasury Department purpose.
(ii) In many cases, especially in the early stages of investigation,
it may be impossible to immediately determine whether information
collected is relevant and necessary, and information that initially
appears irrelevant and unnecessary often may, upon further evaluation or
upon collation with information developed subsequently, prove
particularly relevant to a law enforcement program.
(iii) Compliance with the records maintenance criteria listed in the
foregoing provision would require the periodic up-dating of the
Department's protective intelligence files to insure that the records
maintained in the system remain timely and complete.
(iv) Not all violations of law discovered by the Department fall
within the investigative jurisdiction of the Department of the Treasury.
To promote effective law enforcement, the Department 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, the Department
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 the Department'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 systems of records would impair
the Department'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 systems of records
should be exempted from this provision to avoid impairing the
Department'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) 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.
(vi) 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
systems of records 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 the Department'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
[[Page 69870]]
enforcement and regulatory agencies, it is often impossible to determine
accuracy, relevance, timeliness, or completeness prior to dissemination,
because the Department 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.
(iii) Compliance with the records maintenance criteria listed in the
foregoing provision would require the periodic up-dating of the
Department's protective intelligence files to insure that the records
maintained in the system remain timely and complete.
(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 systems of records
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 systems of records 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 exempt the systems of records,
since there should be no civil remedies for failure to comply with
provisions from which the Department is exempted. Exemption from this
provision will also protect the Department from baseless civil court
actions that might hamper its ability to collate, analyze, and
disseminate investigative, intelligence, and law enforcement data.
(e) Specific exemptions under 5 U.S.C. 552a(k)(1). (1) Under 5 U.S.C.
552a(k)(1), 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 to the extent that the system contains information
subject to the provisions of 5 U.S.C. 552(b)(1). This paragraph applies
to the following system of records maintained by the Department of the
Treasury:
Departmental Offices:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .200................................... FinCEN Database.
------------------------------------------------------------------------
(2) The Department of the Treasury hereby exempts the system of
records listed in paragraph (e)(1) of this section 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).
(f) Reasons for exemptions under 5 U.S.C. 552a(k)(1). The reason for
invoking the exemption is to protect material required to be kept secret
in the interest of national defense or foreign policy pursuant to
Executive Order 12958 (or successor or prior Executive Order).
(g) Specific exemptions under 5 U.S.C. 552a(k)(2). (1) 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 and for the purposes of assuring the safety of
individuals protected by the Department pursuant to the provisions of 18
U.S.C. 3056. This paragraph applies to the following systems of records
maintained by the Department of the Treasury:
(i) Departmental Offices:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .114................................... Foreign Assets Control
Enforcement Records.
DO .144................................... Investigation Data
Management System
DO .190................................... General Allegations and
Investigative File.
DO .200................................... FinCEN Database.
DO. 212 Suspicious Activity Reporting
System..
DO .213................................... Bank Secrecy Act Reports
System.
------------------------------------------------------------------------
(ii) Bureau of Alcohol, Tobacco and Firearms:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
ATF .008.................................. Regulatory Enforcement
Record System.
ATF .009.................................. Technical and Scientific
Services Record System.
------------------------------------------------------------------------
(iii) Comptroller of the Currency
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CC .013................................... Enforcement and Compliance
Information.
CC .500................................... Chief Counsel's Management
Information System.
------------------------------------------------------------------------
(iv) U.S. Customs Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CS .021................................... Arrest/Seizure/Search Report
and Notice of Penalty File.
CS .022................................... Attorney Case File.
CS .041................................... Cartmen or Lightermen.
CS .043................................... Case Files (Associate Chief
Counsel--Gulf Custom
Management Center).
CS .046................................... Claims Case File.
CS .053................................... Confidential Source
Identification File.
CS .057................................... Container Station Operator
Files.
CS .058................................... Cooperating Individual
Files.
CS .061................................... Court Case File.
CS .069................................... Customhouse Brokers File
(Chief Counsel).
CS .077................................... Disciplinary Action,
Grievances and Appeal Case
Files.
CS .098................................... Fines, Penalties, and
Forfeitures Records.
CS .099................................... Fines, Penalties, and
Forfeiture Files
(Supplemental Petitions).
CS .100................................... Fines, Penalties, and
Forfeiture Records
(Headquarters).
CS .122................................... Information Received File.
CS .125................................... Intelligence Log.
CS .127................................... Internal Affairs Records
System.
CS .129................................... Investigations Record
System.
CS .133................................... Justice Department Case
File.
CS .138................................... Litigation Issue Files.
CS .159................................... Notification of Personnel
Management Division when an
employee is placed under
investigation by the Office
of Internal Affairs.
CS .171................................... Pacific Basin Reporting
Network.
CS .186................................... Personnel Search.
CS .190................................... Personnel Case File.
CS .197................................... Private Aircraft/Vessel
Inspection Reporting
System.
CS .206................................... Regulatory Audits of
Customhouse Brokers.
CS .212................................... Search/Arrest/Seizure
Report.
CS. 213................................... Seized Assets and Case
Tracking System (SEACATS).
CS .214................................... Seizure File.
CS .224................................... Suspect Persons Index.
CS .232................................... Tort Claims Act File.
CS .244................................... Treasury Enforcement
Communications System
(TECS).
CS .258................................... Violator's Case Files.
CS .260................................... Warehouse Proprietor Files.
CS .270................................... Background-Record File of
Non-Customs Employees.
CS .271................................... Cargo Security Record
System.
CS .285................................... Automated Index to Central
Investigative Files.
------------------------------------------------------------------------
(v) Bureau of Engraving and Printing:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
BEP .021.................................. Investigative files.
------------------------------------------------------------------------
(vi) Federal Law Enforcement Training Center
(vii) Financial Management Service
(viii) Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 00.002................................ Correspondence File-
Inquiries about Enforcement
Activities.
IRS 00.334................................ Third Party Contact Reprisal
Records.
IRS 22.061................................ Wage and Information Returns
Processing (IRP).
IRS 26.001................................ Acquired Property Records.
IRS 26.006................................ Form 2209, Courtesy
Investigations.
IRS 26.008................................ IRS and Treasury Employee
Delinquency.
IRS 26.011................................ Litigation Case Files.
IRS 26.012................................ Offer in Compromise (OIC)
Files.
IRS 26.013................................ One-hundred Per Cent Penalty
Cases.
IRS 26.016................................ Returns Compliance Programs
(RCP).
IRS 26.019................................ TDA (Taxpayer Delinquent
Accounts).
IRS 26.020................................ TDI (Taxpayer Delinquency
Investigations) Files.
IRS 26.021................................ Transferee Files.
IRS 26.022................................ Delinquency Prevention
Programs.
IRS 34.020................................ IRS Audit Trail Lead
Analysis System.
IRS 34.037................................ IRS Audit Trail and Security
Records System.
IRS 37.002................................ Applicant Appeal Files.
IRS 37.003................................ Closed Files Containing
Derogatory Information
about individuals' Practice
before the IRS 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 Proceeding.
IRS 37.007................................ Inventory.
IRS 37.009................................ Resigned Enrolled Agents
(action pursuant to 31 CFR
Section 10.55(b)).
IRS 37.011................................ Present Suspensions from
Practice Before the
Internal Revenue Service.
IRS 42.001................................ Examination Administrative
File.
IRS 42.008................................ Audit Information Management
System (AIMS).
IRS 42.012................................ Combined Case Control Files.
IRS 42.016................................ Classification and
Examination Selection
Files.
IRS 42.017................................ International Enforcement
Program Files.
IRS 42.021................................ Compliance Programs and
Projects Files.
IRS 42.029................................ Audit Underreporter Case
Files.
IRS 42.030................................ Discriminant Function File
(DIF) Appeals Case Files.
IRS 44.001................................ Appeals Case Files.
IRS 46.050................................ Automated Information
Analysis System.
IRS 48.001................................ Disclosure Records.
IRS 49.001................................ Collateral and Information
Requests System.
IRS 49.002................................ Component Authority and
Index Card Mircofilm
Retrieval System.
IRS 49.007................................ Overseas Compliance Projects
System.
IRS 60.003................................ Conduct Investigation Files.
IRS 60.006................................ Enrollee Charge
Investigation Files.
IRS 60.007................................ Miscellaneous Information
File.
IRS 60.009................................ Special Inquiry
Investigation Files.
IRS 90.002................................ Chief Counsel Disclosure
Litigation Division Case
Files.
IRS 90.004................................ Chief Counsel General Legal
Services Case Files.
IRS 90.005................................ Chief Counsel General
Litigation Case Files.
IRS 90.009................................ Chief Counsel Field Case
Service Files.
IRS 90.010................................ 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.
IRS 90.013................................ Legal case files of the
Chief Counsel, Deputy Chief
Counsel, Associate Chief
Counsels (Enforcement
Litigation) and
(technical).
IRS 90.016................................ Counsel Automated Tracking
System (CATS).
------------------------------------------------------------------------
(ix) U.S. Mint:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
Mint .008................................. Criminal investigation files
(formerly: Investigatory
Files on Theft of Mint
Property).
------------------------------------------------------------------------
(x) Bureau of the Public Debt.
(xi) U.S. Secret Service:.
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
USSS .003................................. Criminal Investigation
Information System.
USSS .006................................. Non-Criminal Investigation
Information System.
USSS .007................................. Protection Information
System.
------------------------------------------------------------------------
(xii) Office of Thrift Supervision:.
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
OTS .001.................................. Confidential Individual
Information System.
OTS .004.................................. Criminal Referral Database.
------------------------------------------------------------------------
(2) The Department hereby exempts the systems of records listed in
paragraphs (g)(1)(i) through (xii) of this section 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).
(h) Reasons for exemptions under 5 U.S.C. 552a(k)(2). (1) 5 U.S.C.
552a(c)(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 the
Department and of law enforcement agencies outside the Department of the
Treasury to make effective use of information provided by the
Department. Making accountings of disclosures available to the subjects
of an investigation would alert them to the fact that another agency is
conducting an investigation into their illegal activities and could
reveal the geographic location of the 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 illegal activities to other
geographical areas, or by destroying or concealing evidence that would
form the basis for detection or apprehension. In the case of a
delinquent account, such release might enable the subject of the
investigation to dissipate assets before levy.
(ii) Providing accountings to the subjects of investigations would
alert them to the fact that the Department has information regarding
illegal activities and could inform them of the general nature of that
information.
(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 systems of records would compromise the
Department's ability to utilize and provide useful useful tactical and
strategic information to law enforcement agencies.
(i) Permitting access to records contained in the systems of records
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
detection or apprehension;
(B) Enabling them to destroy or alter evidence of illegal conduct that
would form the basis for their detection or apprehension, and
(C) Using knowledge that criminal investigators had reason to believe
that a violation of law was about to be committed, to delay the
commission of the violation 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 non-criminal acts
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 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 the
Department's ability to carry out its mandate.
(iv) Furthermore, providing access to records contained in the systems
of records could reveal the identities of undercover law enforcement
officers or other persons who compiled information regarding the
individual's illegal activities and thereby endanger the physical safety
of those undercover officers, persons, or their families by exposing
them to possible reprisals.
(v) By compromising the law enforcement value of the systems of
records for the reasons outlined in paragraphs (h)(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 the Department and thus
would restrict the Department's access to information necessary to
accomplish its mission most effectively.
(vi) Finally, the dissemination of certain information that the
Department may maintain in the systems of records 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 exempt the systems of records from
the provisions of 5 U.S.C. 552a relating to access to records, for the
reasons set out in paragraph (h)(2) of this section, these provisions
should not apply to the systems of records.
(4) 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 system of records could impair the
Department's ability to collect, utilize and disseminate valuable law
enforcement information.
(i) At the time that the Department collects information, it often
lacks sufficient time to determine whether the information is relevant
and necessary to accomplish a Department 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 irrelevant 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 the Department analysts
fall within the investigative jurisdiction of the Department of the
Treasury. To promote effective law enforcement, the Department 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, the Department
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 the Department's attention
during the collation and analysis of information in its records.
(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 systems of records 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 the Department'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.
(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 systems of
records could compromise the Department's ability to complete or
continue investigations or 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
investigators for fear of having their identities as sources disclosed.
(i) Specific exemptions under 5 U.S.C. 552a(k)(3). (1) 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 it is
maintained in connection with providing protective intelligence to the
President of the United States or other individuals pursuant to section
3056 of Title 18. This paragraph applies to the following system of
records maintained by the Department which 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 material and investigatory material compiled for
law enforcement purposes, for which exemption is claimed under 5 U.S.C.
552a(k)(3):
U.S. Secret Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
USSS .007................................. Protection Information
System.
------------------------------------------------------------------------
(2) The Department hereby exempts the system of records listed in
(i)(1) of this section from the following provisions of 5 U.S.C. 552a,
pursuant to 5 U.S.C. 552a(k)(3): 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).
(j) Reasons for exemptions under 5 U.S.C. 552a(k)(3). (1) 5 U.S.C.
552a(c)(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 the Department. Making
accountings of disclosures available to the subjects of an investigation
would alert 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 the 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) Providing accountings to the subjects of investigations would
alert them to the fact that the Department 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 the Department's information-gathering and analysis systems and
permit violators to take steps to avoid detection or apprehension.
(iii) The release of such information to the subject of a protective
intelligence file would provide significant information concerning the
nature and scope of an investigation, and could result in impeding or
compromising the efforts of Department 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.
(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 systems of records would compromise the
Department's ability to provide useful tactical and strategic
information to law enforcement agencies.
(i) Permitting access to records contained in the systems of records
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 the
Department's ability to carry out its mandate.
(iv) Furthermore, providing access to records contained in the systems
of records 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 systems of
records for the reasons outlined in paragraphs (j)(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 the Department and thus
would restrict the Department's access to information necessary to
accomplish its mission most effectively.
(vi) Limitation on access to the materials contained in the protective
intelligence files is considered necessary to the preservation of the
utility of intelligence files and in safeguarding those persons the
Department is authorized to protect. Access to the protective
intelligence files could adversely affect the quality of information
available to the Department; compromise confidential sources; hinder the
ability of the Department to keep track of persons of protective
interest; and interfere with the Department's protective intelligence
activities by individuals gaining access to protective intelligence
files.
(vii) Many of the persons on whom records are maintained in the
protective intelligence files suffer from mental aberrations. Knowledge
of their condition and progress comes from authorities, family members
and witnesses. Many times this information comes to the Department as a
result of two-party conversations where it would
[[Page 69874]]
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.
(viii) Finally, the dissemination of certain information that the
Department may maintain in the systems of records 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 exempt the systems of records from
the provisions of 5 U.S.C. 552a relating to access to records, for the
reasons set out in paragraph (j)(2) of this section, these provisions
should not apply to the systems of records.
(4) 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 systems of records could impair the
Department's ability to collect and disseminate valuable law enforcement
information.
(i) At the time that the Department collects information, it often
lacks sufficient time to determine whether the information is relevant
and necessary to accomplish a Department 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 irrelevant 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 the Department analysts
fall within the scope of the protective intelligence jurisdiction of the
Department of the Treasury. To promote effective law enforcement, the
Department 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, the Department 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 the Department's attention during the collation and analysis of
information in its records.
(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 systems of records 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 the Department's
ability to carry out its mission to safeguard those persons the
Department is authorized to protect, 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.
(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 systems of
records could compromise the Department'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
subject(s) of a protective intelligence file; and
(iii) Cause informers to refuse to give full information to criminal
investigators for fear of having their identities as sources disclosed.
(k) Specific exemptions under 5 U.S.C. 552a(k)(4). (1) 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. This paragraph
applies to the following system of records maintained by the Department,
for which exemption is claimed under 5 U.S.C. 552a(k)(4):
Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 70.001................................ Statistics of Income-
Individual Tax Returns.
------------------------------------------------------------------------
(2) The Department hereby exempts the system of records listed in
paragraph (k)(1) of this section from the following provisions of 5
U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(4): 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).
(3) The system of records 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.''
(l) Reasons for exemptions under 5 U.S.C. 552a(k)(4). The reason for
exempting the 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.
(m) Specific exemptions under 5 U.S.C. 552a(k)(5). (1) 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 the records in this system can be
disclosed without revealing the identity of a confidential source, they
are not within the scope of this
[[Page 69875]]
exemption and are subject to all the requirements of the Privacy Act.
This paragraph applies to the following systems of records maintained by
the Department or one of its bureaus:
(i) Departmental Offices:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .004................................... Personnel Security System.
------------------------------------------------------------------------
(ii) Bureau of Alcohol, Tobacco and Firearms:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
ATF .007.................................. Personnel Record System.
------------------------------------------------------------------------
(iii) Comptroller of the Currency:
(iv) U.S. Customs Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CS .127................................... Internal Affairs Records.
------------------------------------------------------------------------
(v) Bureau of Engraving and Printing:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
------------------------------------------------------------------------
(vi) Federal Law Enforcement Training Center
(vii) Financial Management Service
(viii) Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 34.021................................ Personnel Security
Investigations, National
Background Investigations
Center.
IRS 36.008................................ Recruiting, Examining and
Placement Records.
IRS 90.003................................ Chief Counsel General
Administrative Systems.
IRS 90.011................................ Attorney Recruiting Files.
------------------------------------------------------------------------
(ix) U.S. Mint
(x) Bureau of the Public Debt
(xi) U.S. Secret Service
(xii) Office of Thrift Supervision
(2) The Department hereby exempts the systems of records listed in
paragraphs (m)(1)(i) through (xii) of this section from the following
provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(5): 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).
(n) Reasons for exemptions under 5 U.S.C. 552a(k)(5). (1) The sections
of 5 U.S.C. 552a from which the systems of records are 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 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 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 Department 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.
(2) 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.
(o) Exemption under 5 U.S.C. 552a(k)(6). (1) 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. This paragraph
applies to the following system of records maintained by the Department,
for which exemption is claimed under 5 U.S.C. 552a(k)(6):
Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 36.008................................ Recruiting, Examining and
Placement Records.
------------------------------------------------------------------------
(2) The Department hereby exempts the system of records listed in
paragraph (o)(1) of this section from the following provisions of 5
U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(6): 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).
(p) Reasons for exemptions under 5 U.S.C. 552a(k)(6). The reason for
exempting the system of records is that disclosure of the material in
the system would compromise the objectivity or fairness of the
examination process.
(q) 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.
[65 FR 69867, Nov. 21, 2000; 65 FR 76005, Dec. 5, 2000, as amended at 66
FR 16603, Mar. 27, 2001; 66 FR 18192, Apr. 6, 2002; 66 FR 485565, Sept.
21, 2001]
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 26
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,
Suite 3000, 950 H Street, NW, Washington, DC 20373-5802.
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, Suite 3000, 950 H Street NW,
Washington, DC 20373-5802.
4. Administrative appeal of initial determinations refusing amendment
of records. Appellate determinations including extensions of time on
appeal, with respect to records of the United States Secret Service will
be made by the Deputy Director, United States Secret Service. Appeals
may be mailed or delivered personally to: Privacy Act Amendment Appeal,
Deputy Director, United States Secret Service, 950 H Street, NW, Suite
8300, Washington, DC 30373-5802.
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,
Suite 8300, 950 H Street, NW, Washington, DC 20373-5802.
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.
[52 FR 26305, July 14, 1987, as amended at 66 FR 9959, Feb. 13, 2001]
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--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.
[52 FR 29305. , July 14,1987. Redesignated at 65 FR 2334, Jan. 14, 2000]
Appendix L--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, June 16, 1996. Redesignated at 65 FR 2334, Jan. 14, 2000]]