[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF TREASURY
Table of Contents
Department of the Treasury
Treasury .001--Treasury Payroll and Personnel System.
Treasury .002--Grievance Records (formerly Treasury/DO .005)
Treasury .003--Treasury Child Care Tuition Assistance Records
(formerly Treasury/DO .006)
Treasury .004--Freedom of Information Act/Privacy Act Request
Records (formerly Treasury/DO .150)
Treasury .005--Public Transportation Incentive Program Records
(formerly Treasury/DO .203)
Treasury .006--Parking and Carpool Program Records (formerly
Treasury/DO .204)
Treasury .007--Personnel Security System (formerly Treasury/DO
.004)
Treasury .008--Treasury Emergency Management System (formerly
Treasury/DO .195)
Treasury .009--Treasury Financial Management Systems (formerly
Treasury/DO .210--Integrated Financial Management and Revenue
System)
Treasury .010--Telephone Call Detail Records (formerly Treasury/
DO .211)
Treasury .011--Treasury Safety Incident Management Information
System (SIMIS)
Departmental Offices (DO)
DO .003--Law Enforcement Retirement Claims Records
DO .007--General Correspondence Files
DO .010--Office of Domestic Finance, Actuarial Valuation System
DO .015--Political Appointee Files.
DO .060--Correspondence Files and Records on Employee Complaints
and/or Dissatisfaction
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 .183--Private Relief Tax Bill Files-Office of the Assistant
Secretary for Tax Policy
DO .190--Investigation Data Management System (formerly: General
Allegations and Investigative Records)
DO .191--Human Resources and Administrative Records System
(formerly: OIG Management Information System)
DO .193--Employee Locator and Automated Directory System
DO .194--Circulation System
DO .196--Security Information System
DO .201--Fitness Center Records
DO .202--Drug-Free Workplace Program Records
DO .207--Waco Administrative Review Group Investigation
DO .209--Personal Services Contracts (PSC)
DO .214--DC Pensions Retirement Records
DO .216--Treasury Security Access Control and Certificate System
DO .301-TIGTA General Personnel and Payroll
DO .302-TIGTA Medical Records
DO .303-TIGTA General Correspondence
DO .304-TIGTA General Training
DO .305-TIGTA Personal Property Management Records
DO .306-TIGTA Recruiting and Placement Records
DO .307-TIGTA Employee Relations Matters, Appeals, Grievances,
and Complaint Files
DO .308-TIGTA Data Extracts
DO .309-TIGTA Chief Counsel Case Files
DO .310-TIGTA Chief Counsel Disclosure Section
DO.311--TIGTA Office of Investigative Files
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
BEP .047--Employee Emergency Notification 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 Crimes Enforcement Network
FinCen .001--FinCen Data Base
FinCen .002--Suspicious Activity Report System (the
SAR System)
FinCen .003--Bank Secrecy Act Reports System
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.
FMS .17--Collections Records.
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 00.007--Employee Complaint and Al;legation Referral Records
IRS 00.008--Recorded Qualtiy Review 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 22.012--Health Coverage Tax Credit Program Records
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 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--U.S. Treasury Securities Fraud Information System
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 .001
System name:
Treasury Personnel and Payroll System--Treasury.
System location:
The Shared Development Center of the Treasury Personnel/Payroll
System is located at 1750 Pennsylvania Avenue NW., Suite 1300,
Washington, DC 20220. The Treasury Personnel System processing site
is located at the Internal Revenue Service Detroit Computing Center,
985 Michigan Avenue, Detroit, MI 48226. The Treasury Payroll
processing site is located at the United States Department of
Agriculture National Finance Center, 13800 Old Gentilly Road, New
Orleans, LA 70129.
The locations at which the system is maintained by all Treasury
components, except the Office of Thrift Supervision, and their
associated field offices are:
(1) Departmental Offices (DO):
a. 1500 Pennsylvania Ave., Washington, DC 20220.
b. The Office of Inspector General (OIG): 740 15th Street, NW.,
Washington, DC 20220.
c. Treasury Inspector General for Tax Administration (TIGTA):
1125 15th Street, Suite 700A, NW., Washington, DC 20005.
(2) Alcohol and Tobacco Tax and Trade Bureau (TTB): 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) Bureau of Engraving and Printing (BEP): 14th & C Streets,
SW., Washington, DC 20228.
(5) Financial Management Service (FMS): 401 14th Street, SW.,
Washington, DC 20227.
(6) Internal Revenue Service (IRS): 1111 Constitution Avenue,
NW., Washington, DC 20224.
(7) United States Mint (MINT): 801 9th Street, NW., Washington,
DC 20220.
(8) Bureau of Public Debt (BPD): 999-E Street, NW., Washington,
DC 20239.
(9) Financial Crimes Enforcement Network (FinCEN), PO Box 39,
Vienna, VA 22183-0039.
Categories of individuals covered by the system:
Employees, former employees, and applicants for employment, in
all Treasury Department bureaus and offices, except the Office of
Thrift Supervision.
Categories of records in the system:
Information contained in this 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) Employment history, and
(7) 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:
5 U.S.C. 301; 31 U.S.C. 321; Treasury Directive 80-05, Records
and Information Management Program.
Purpose(s):
The purposes of the system include, but are not limited to: (1)
Maintaining current and historical payroll records that 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; and (3) maintaining employment
history.
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) Furnish data to the Department of Agriculture, National
Finance Center (which provides payroll and personnel processing
services for Treasury under a cross-servicing agreement) affecting
the conversion of Treasury employee payroll and personnel processing
services; 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 employees' 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,
for the purpose of furnishing employees with IRS Forms W-2 that
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 with information necessary or
relevant 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 are arguably relevant 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, that 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 arguably 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 a 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 only to 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 money
owed under those programs (e.g., 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);
(17) Disclose information to contractors, grantees, experts,
consultants, students, and others performing or working on a
contract, service, grant, cooperative agreement, or other assignment
for the Department of the Treasury, when necessary to accomplish an
agency function.
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, Pub. L. 97-365; 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, 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:
Electronic records, 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 sub-organizational
element, employee identification or employee name. Secondary
identifiers are used to assure accuracy of data accessed, such as
master record number or date of birth.
Safeguards:
Entrances 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 similar sensitivity.
Retention and disposal:
The current payroll and personnel system and the personnel and
payroll system's master files are kept as electronic media.
Information rendered to hard copy in the form of reports and payroll
information documentation is also retained in an electronic media
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 80-05, ``Records and Information
Management Program.''
System manager(s) and address:
Department of the Treasury: Official prescribing policies and
practices: Director, Office of Human Resources Enterprise Solutions,
1750 Pennsylvania Avenue NW., Washington, DC 20220.
The systems managers for the Treasury components are:
(1) a. DO: Chief, Personnel Resources, 1500 Pennsylvania Avenue,
NW., Washington, DC 20220.
[[Page 38114]]
b. OIG: Personnel Officer, 740 15th Street NW., Suite 500,
Washington, DC 20220.
c. TIGTA: National Director, Human Resources, 1111 Constitution
Avenue, NW., Room 6408, TIGTA: MRS, Washington, DC 20224.
(2) TTB: Chief, Personnel Division, 650 Massachusetts Ave., NW.,
Washington, DC 20226.
(3) OCC: Director, Human Resources, 250 E Street, SW.,
Washington, DC 20219.
(4) BEP: Chief, Office of Human Resources, 14th & C Streets, SW.,
Room 202-13A, E&P Annex, Washington, DC 20228.
(5) FMS: Director, Personnel Management Division, 3700 East West
Hwy, Room 115-F, Hyattsville, MD 20782.
(6) IRS: Associate Director, Transactional Processing Operations,
1111 Constitution Avenue, NW., CP6, A:PS:TP, 2nd Floor, Washington,
DC 20224.
(7) MINT: Assistant Director for Human Resources, 801 9th Street,
NW., 6th Floor, Washington, DC 20220.
(8) BPD: Director, Human Resources Division, 999-E Street, NW.,
Washington, DC 20239.
(9) FinCEN: Chief of Personnel and Training, PO Box 39, Vienna,
VA 22183-0039.
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:
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 .002
System name:
Grievance Records--Treasury.
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 (CUSTOMS): 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 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.
(13) Financial Crimes Enforcement Network (FinCen), PO Box 39,
Vienna, VA 22182-0039.
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(s):
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 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, the Office of the Special Counsel, the Federal
Labor Relations Authority and its General Counsel, the Equal
Employment Opportunity Commission, or the Office of Personnel
Management when requested in performance of their authorized duties;
(9) To disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclosures to opposing Counsel or witnesses in the course
of civil discovery, litigation or settlement negotiations in response
to a subpoena, or in connection with criminal law proceedings;
(10) To provide information to officials of labor organizations
reorganized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
By the names of the individuals on whom they are maintained.
Safeguards:
Lockable metal filing cabinets to which only authorized personnel
have access.
Retention and disposal:
Disposed of 3 years after closing of the case. Grievances filed
against disciplinary adverse actions are retained by the United
States Secret Service for 4 years. Disposal is by shredding or
burning.
System manager(s) and address:
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: Assistant Director, Office of Management, 650
Massachusetts Avenue, NW, 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 .003
System name:
Treasury Child Care Tuition Assistance Records--Treasury.
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 (CUSTOMS): 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:
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. DO:
a. 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: Assistant Director, Office of Management, 650
Massachusetts Ave., NW, Washington, DC 20226.
3. OCC: Director, Human Resources Division Independence Square,
250 E St., SW, 4th Floor, Washington, DC 20219.
4. Customs: 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, PO 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 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:
Information is provided by Department of the Treasury employees
who apply for child care tuition assistance.
Exemptions claimed for the system:
None.
TREASURY .004
System name:
Freedom of Information Act/Privacy Act Request Records--
Treasury.
System location:
Disclosure Services, Department of the Treasury, 1500
Pennsylvania Avenue, NW., Washington, DC 20220. Other locations at
which the system is maintained by Treasury bureaus and their
associated offices are:
(1) Departmental Offices (DO): a. Office of Inspector General
(OIG): 740 15th Street, NW, Washington, DC 20220.b. 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 (CUSTOMS); 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, WV26101.
(10)(USSS): FOIA/PA Office, FOIA/PA Branch, 950 H Street, NW,
Suite 3000, Washington, DC 20001.
(11) Office of Thrift Supervision (OTS): 1700 G Street, NW,
Washington, Dc 20552.
(12) Financial Crimes Enforcement Network (FinCen), Vienna, VA
22182.
Categories of individuals covered by the system:
Individuals who have: (1) Requested access to records pursuant
to the Freedom of Information Act, 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 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:
1.(a) DO: Chief, disclosure Services, Department of the Treasury,
Washington, DC 20220.
(b) OIG: 740 15th Street, NW, Washington, DC 20220.
(c) TIGTA: Supervisor Analyst, 1111 Constitution Ave., NW,
IC:CC,Room 3039, Washington, DC 20224.
2. ATF: Assistant Director, Liaison and Public Information, 650
Massachusetts Avenue, NW., Washington, DC 20226.
3. BEP: Disclosure Officer, FOIA Office, 14th & C Streets, SW.,
Washington, DC 20228.
4. FLETC: FOIA/PA Officer, Department of the Treasury, Building
94, Glynco, GA 31524.
5. FMS: Disclosure Officer, 401 14th Street, SW., Washington, DC
20227.
6. Mint: Disclosure Officer, Judiciary Square Building, 801 9th
Street, NW., Washington, DC 20220.
7. OCC: Disclosure Officer, Communications Division, Washington,
DC 20219.
8. Customs: Chief, Disclosure Law Branch, Office of Regulations
and Rulings, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.
9. BPD: Disclosure Officer, Administrative Resource Center,
Bureau of the Public Debt, 200 /Third Street, Room 211, Parkersburg,
WV 26101-5312.
10. USSS: FOIA/PA Officer, FOIA/PA Branch, 950 H Street, NW.,
Suite 3000, Washington, DC 20001.
11. OTS: Manager, Dissemination Branch, 1700 G Street, NW.,
Washington, DC 20552.
12. FinCen: Director, PO Box 39, Vienna, VA 22183-0039.
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 .005
System name:
Public Transportation Incentive Program Records-Treasury.
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 (CUSTOMS): 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.
13. Financial Crimes Enforcement Network (FinCen), PO Box 39,
vienna, VA 22183-0039.
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) Departmental Offices:
a. Director, Occupational Safety and Health Office, Room 6204
Annex, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
b. Office of Inspector General: Office of Assistant Inspector for
Management Services, Office of Administrative Services, Suite 510,
740 15th St. NW., Washington, DC 20220.
(2) ATF: Assistant Director, 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) CUSTOMS: 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, Administrative Programs 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 Business Alignment, 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.
(13) FinCen: Director, PO Box 39, Vienna, VA 22183-0039.
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 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 .006
System name:
Parking and Carpool Program Records--Treasury.
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 (CUSTOMS): 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 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) DO:
a. Director, Occupational Safety and Health Office, Room 6204
Annex, 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: Assistant Director, 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) CUSTOMS: 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, 3700 East
West Highway, Hyattsville, MD 20782.
(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: Associate Director, Protection SBU, 801 9th St. NW,
Washington, DC 20220.
(10) BPD: Director, Washington Support Services, Bureau of the
Public Debt, 999 E Street, NW, Washington, DC 0239.
(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-M.
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 .007
System name:
Personnel Security System-Treasury.
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) Departmental Offices (DO):
a. 1500 Pennsylvania Ave., NW, Washington, DC 20220.
b. Financial Crimes Enforcement Network (FinCEN), 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 (CUSTOMS): 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.
(11) Financial Crimes Enforcement Network (FinCen), PO Box 39,
Vienna, VA 22183-0039.
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) DO:
a. Director of Security, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
b. OIG: Personnel Officer, 740 15th St., NW., Suite 510,
Washington, DC 20220.
c. TIGTA: Security Officer, 1111 Constitution Ave., NW.,
Washington, DC 20224.
d. FinCEN: Security Director, Vienna, VA 22182.
(2) ATF: Assistant Directors, Office of Management, and Office of
Inspection, 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) CUSTOMS: 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: Associate Director, Protection SBU, 801 9th Street,
NW., Washington, DC 20220.
(10) OTS: Director, Procurement and Administrative Services, 1700
G Street, NW., Washington, DC 20552.
(11)FinCen: Direcotr, PO Box 39, Vienna, VA 22183-0039.
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 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 .008
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) Departmental Offices (DO):
a. 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.
d. Financial Crimes Enforcement Network (FinCEN): Vienna, VA
22182.
(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 (CUSTOMS): 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.
(13) Financial Crimes Enforcement Network (FinCen), PO Box 39,
Vienna, VA 22183-0039.ro
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 71-10, 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. OIG: Personnel Officer, 740 15th St., NW., Suite 510,
Washington, DC 20220.
c. TIGTA: Security Officer, 1111 Constitution Ave., NW.,
Washington, DC 20224.
2. ATF: Assistant Director, Office of Management, 650
Massachusetts Avenue, NW., Washington, DC 20226.
3. CC: Director, Administrative Services Division, 250 E Street,
SW., Washington, DC 20219.
4. CUSTOMS: 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, Division of Administration, 200 Third Street,
P.O. Box 1328, Parkersburg, WV 26106-1328.
10. Mint: Associate Director, Protection SBU, 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.
13. FinCen, Director, PO Box 39, Vienna, VA 22183-0039.
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 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.
Exemptions claimed for the system:
None.
TREASURY .009
System name:
Treasury Financial Management Systems--Treasury.
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) Departmental Offices (DO):
a. Financial Management Division, 1500 Pennsylvania Avenue, 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.
d. Community Development Financial Institutions Fund (CDFI): 601
13th Street, NW., Suite 200 South, Washington, DC 20005.
e. Federal Financing Bank (FFB): 1500 Pennsylvania Avenue, NW.,
South Court One, Washington, DC 20220.
f. Financial Crimes Enforcement Network (FinCEN): Vienna, VA
22182.
g. Office of the Assistant Secretary for International Affairs
(OASIA): 1500 Pennsylvania Avenue, NW., Room 5441D, Washington, DC
20220.
h. Treasury Forfeiture Fund: 740 15th Street, NW., Suite 700,
Washington, DC 20220.
i. Treasury Franchise Fund: 1500 Pennsylvania Avenue, 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, NW., Washington, DC 20219-0001.
(4) United States Customs Service (CUSTOMS): 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 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.
(13) Financial Crimes Enforcement Network (FinCen), PO Box 39,
Vienna, VA 22183-0039.ro
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 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:
(1) DO: a. Director, Financial Management Division, 1500
Pennsylvania Avenue, NW., Attn: 1310 G Street, 2nd floor, Washington,
DC 20220.
b. OIG: Assistant Inspector General for Management Services, 740
15th St. NW., Suite 510, Washington, DC 20220.
c. FinCEN: Chief Financial Officer, Vienna, VA 22182.
d. CDFI Fund: Deputy Director for Management/CFO, 601 13th
Street, NW., Suite 200 South, Washington, DC 20005.
e. FFB: Chief Financial Officer, 1500 Pennsylvania Avenue, NW.,
South Court One, Washington, DC 20220.
f. FinCEN: Associate Director, Office of Resource Management/CFO,
Vienna, VA 22182.
g. OASIA: Financial Manager, 1500 Pennsylvania Avenue, NW., Room
5441D, Washington, DC 20220.
h. Treasury Forfeiture Fund: Assistant Director for Financial
Management/CFO, 740 15th Street, NW., Suite 700, Washington, DC
20220.
i. Treasury Franchise Fund: Director, Office of Financial
Management, 1500 Pennsylvania Avenue, NW. Attention: 1310 G Street,
NW, 2nd Floor, Washington, DC 20220.
(2) ATF: Assistant Director, Office of Management, 650
Massachusetts Avenue, NW., Washington, DC 20226.
(3) IRS: Chief Financial Officer, Internal Revenue Service, 1111
Constitution Avenue, NW., Room 3013, Washington, DC 20224.
(4) BPD: Director, Division of Financial Management, Bureau of
Public Debt, 200 Third Street, PO Box 1328, Parkersburg, WV 26106-
1328.
(5) CUSTOMS: Chief Financial Officer, U.S. Customs Service, 1300
Pennsylvania Avenue, NW., Room 4.5-D, Washington, DC 20229.
(6) FLETC: Comptroller, Budget and Finance Division, Federal Law
Enforcement Training Center, Glynco Facility, Bldg. 94, Glynco, GA
31524.
(7) CC: Chief Financial Officer, Comptroller of the Currency, 250
E Street, SW., Washington, DC 20219.
(8) BEP: Chief Financial Officer, Bureau of Engraving and
Printing, 14th and C Streets, NW., Room 113M, Washington, DC 20228.
(9) FMS: Chief Financial Officer, Financial Management Service,
3700 East West Highway, Room 106A, Hyattsville, MD 20782.
(10) Mint: Chief Financial Officer, U.S. Mint, 633 3rd Street,
NW., Room 625, Washington, DC 20220.
(11) USSS: Financial Management Division, U.S. Secret Service,
1800 G Street, NW., Room 748, Washington, DC 20226.
(12) OTS: Controller, Office of Thrift Supervision, 1700 G
Street, NW., Third Floor, Washington, DC 20552.
(13) FinCen: Director, PO Box 39, Vienna, VA 22183-0039.
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:
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 .010
System name:
Telephone Call Detail Records-Treasury.
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) Departmental Offices (DO):
a. 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 (CUSTOMS): 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 Crimes Enforcement Network (FinCEN) Vienna,
Virginia 22182.
(8) Financial Management Service (FMS): 401 14th Street, SW.,
Washington, DC 20227.
(9) Internal Revenue Service (IRS): 1111 Constitution Avenue,
NW., Washington, DC 20224.
(10) United States Mint (MINT): 801 9th Street, NW., Washington,
DC 20220.
(11) Bureau of the Public Debt (BPD): 200 Third Street,
Parkersburg, WV 26101.
(12) United States Secret Service (USSS): 950 H Street, NW.,
Washington, DC 20001.
(13) Office of Thrift Supervision (OTS): 1700 G Street, NW.,
Washington, DC 20552.
(14) Financial Crimes Enforcement Network (FinCen), PO Box 39,
Vienna, VA 22183-0039.
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. 522a(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, Customer Services Infrastructure and Operations,
Department of the Treasury, Room 2150, 1425 New York Avenue, NW,
Washington, DC 20220. The system managers for the Treasury components
are:
(1) a. DO: Chief, Telecommunications Branch, Automated Systems
Division, Room 1121, 1500 Pennsylvania Avenue, NW, Washington, DC
20220.
b. OIG: Assistant Inspector General for Management Services, 740
15th St. NW, Suite 510, Washington, DC 20220.
c. FinCEN: Deputy Director, Vienna, Virginia 22182.
(2) ATF: Assistant Director, Office of Science and Technology,
650 Massachusetts Avenue, NW, Washington, DC 20226.
(3) CC: Associate Director, Telecommunications, Systems Support
Division, Office of the Comptroller of the Currency, 835 Brightseat
Road, Landover, MD 20785.
(4) CUSTOMS: Chief, Voice Communications, Office of Systems
Engineering and Operations, Field Office Division, 7681 Boston
Boulevard, Springfield, VA 22153.
(5) 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.
(6) FLETC: Information Systems Officer, Information Systems
Division, ISD-Building 94, Glynco, GA 31524.
(7) FMS: Director, Platform and Support Management, Room 424E,
3700 East West Highway, Hyattsville, MD 20782.
(8) 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.
(9) Mint: Assistant Director for Information Resources
Management, 633 3rd Street, NW, Washington, DC 20220.
(10) 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.
(11) USSS: Chief, Information Resources Management Division, 950
H Street, NW, Washington, DC 20001.
(12) OTS: Director, Office of Information Systems, 1700 G Street,
NW, 2nd Floor, Washington, DC 20552.
(13) FinCen: director, PO Box 39, Vienna, VA 22183-0039.
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 .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) Departmental Offices (DO):
a. 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.
d. 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 (CUSTOMS): 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.
(13) Financial Crimes Enforcement Network (FinCen), PO Box 39,
Vienna, VA 22183-0039.
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 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. DO:
(a) Director, Occupational Safety and Health Office, Room 6204
Annex, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
(b) OIG: Safety and Occupational Health Manager, 740 15th Street,
NW., Washington, DC 20220.
(c) TIGTA: Safety and Occupational Health Manager, 1111
Constitution Ave., NW., Washington, DC 20224
(d) CDFI: Safety and Occupational Health Manager, 601 13th
Street, NW., Washington, DC 20005.
2. ATF: Assistant Director, Office of Management, 650
Massachusetts Avenue, NW., Washington, DC 20226.
3. OCC: Safety and Occupational Health Manager, 250 E Street, SW,
Washington, DC 20219-0001.
4. CUSTOMS: 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.
13. FinCen: Safety and Occupational Health Manager, PO Box 39,
Vienna, VA 22183-0039.
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.
Departmental Offices
TREASURY/DO. 003
System name:
Law Enforcement Retirement Claims Records--Treasury/DO.
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 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 addresses:
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. 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:
1. Office of Foreign Assets Control
2. Office of Tax Policy
3. Office of the Assistant Secretary for International Affairs
4. Office of the Executive Secretariat
5. Office of Public Correspondence
6. 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 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 addresses:
1. Director, Office of Foreign Assets Control, U.S. Treasury
Department, Room 2233, Treasury Annex, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
2. Freedom of Information Act Officer, Office of Tax Policy, U.S.
Treasury Department, Room 1041-MT, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
3. Director, OASIA Secretariat, U.S. Treasury Department, Room
5422-MT, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
4. Director, VIP Correspondence, Office of the Executive
Secretariat, U.S. Treasury Department, Room 3419-MT, Washington, DC
20220.
5. Office of Public Correspondence, U.S. Treasury Department,
Washington, DC 20220.
6. Deputy to the Assistant Secretary, Office of Legislative
Affairs, U.S. Treasury Department, Room 3025-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, 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, 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 is stored electronically.
Retrievability:
Alphabetically.
Safeguards:
Access is restricted to employees of the Office of the Government
Actuary. Passwords are required to access the data.
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, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Data for actuarial valuation are provided by organizations
responsible for pension funds listed under ``category of
individual,'' namely the Department of State, Department of
Agriculture, United States Information Agency, Agency for
International Development, Peace Corps, and the Department of
Commerce.
Exemptions claimed for the system:
None.
TREASURY/DO .015
System name:
Political Appointee Files--Treasury/DO.
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 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 .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 part 1, 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 Ch. V.
Purpose(s):
This system of records is used to identify and administer assets
of blocked foreign governments, groups or persons. Censuses are
undertaken at various times for specific sanction programs to
identify the location, type, and value of property frozen under OFAC
administered programs. The information is obtained by requiring
reports from all U.S. holders of blocked property subject to the
reporting requirements. The reports normally contain information such
as the name of the U.S. holder, the foreign account party, location
of the property and a description of the type and value of the asset.
In some instances, adverse claims by U.S. persons against the blocked
property are also reported.
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 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;
(6) disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence,
including disclsoure 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
when the United States or any agency or subdivision thereof is a
party to any of the above proceedings and such information is
determined to be arguably relevant to the proceeding.
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 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 Part 1, 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; Pub. L. 99-440, 100 Stat.
1086, as amended by Pub. L. 99-631, 100 Stat. 3515.
Purpose(s):
This system of records is used to document investigation and
administrative action taken with respect to individuals and
organizations suspected of violating statutes and regulations
administered and enforced by the Office of Foreign Assets Control.
Possible violations may relate to financial, commercial or other
transactions with foreign governments, entities or special designated
nationals. Suspected criminal violations are investigated primarily
by the U.S. Customs Service. Non-criminal cases are pursued
administratively for civil penalty consideration. This system is also
used to generate statistical information on the number of
investigative, criminal and civil cases upon which action has been
taken.
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 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
when the United States or any agency or subdivision thereof is a
party to any of the above proceedings and such information is
determined to be arguably relevant to the proceeding;
(4) Disclose information to foreign governments in accordance
with formal or informal international agreements;
(5) Provide information to a Congressional office in response to
an inquiry made at the request of the individual to whom the record
pertains;
(6) Provide information to 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 part 1 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; Pub. L. 99-440, 100 Stat.
1086, as amended by Pub. L, 99-631, 100 Stat. 35515.
Purpose(s):
This system of records contains requests from U.S. and foreign
persons or entities for licenses to engage in commercial
transactions, travel to foreign countries, to unblock property and
bank accounts or to engage in other activities otherwise prohibited
under economic sanctions administered by the Office of Foreign Assets
Control. This system is also used during enforcement investigations,
when applicable, and to generate information used in required reports
to the Congress by the President on the number and types of licenses
granted or denied under particular sanction programs.
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 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
when the United States or any agency or subdivision thereof is a
party to any of the above proceedings and such information is
determined to be arguably relevant to the proceeding;
(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 addresses:
Director, Office of Foreign Assets Control, Room 2233-Annex,
Department of the Treasury, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this
system of records, or to gain access to records maintained in the
system of records, must submit a written request containing the
following elements: (1) Identify the record system; (2) identify the
category and type of records sought; and (3) provide at least two
items of secondary identification (date of birth, employee
identification number, dates of employment or similar information).
Address inquiries to Assistant Director, Disclosure Services (See
``Record access procedures'' below).
Record access procedures:
Assistant Director, Disclosure Services, Department of the
Treasury, Room 1054, 1500 Pennsylvania Ave., NW, Washington, DC
20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Applicants for Treasury Department licenses under regulations
administered by the Office of Foreign Assets Control.
Exemptions claimed for the system:
None.
TREASURY/DO .144
System name:
General Counsel Litigation Referral and Reporting System-
Treasury/DO.
System location:
U.S. Department of the Treasury, Office of the General Counsel,
1500 Pennsylvania Avenue NW, Washington, DC 20220.
Categories of individuals covered by the system:
Persons who are parties, plaintiff or defendant, in civil
litigation or administrative proceedings involving or concerning the
Department of the Treasury or its officers or employees. The system
does not include information on every civil litigation or
administrative proceeding involving the Department of the Treasury or
its officers and employees.
Categories of records in the system:
This system of records consists of 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.
Purpose(s):
The purposes of this system are: (1) To record service of process
and the receipt of other documents relating to litigation or
administrative proceedings involving or concerning the Department of
the Treasury or its officers or employees, and (2) to respond to
inquiries from Treasury personnel, personnel from the Justice
Department and other agencies, and other persons concerning whether
service of process or other documents have been received by the
Department in a particular litigation or proceeding.
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,
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.
Printouts of the data may be made.
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 or
more after a record is created.
System manager(s) and address:
Counselor to the General Counsel, Office of the General Counsel,
Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington,
DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this
system of records, or gain access to records maintained in this
system must submit a written request containing the following
elements: (1) An identification of the record system; and (2) an
identification of the category and type of records sought. This
system contains records that are exempt under 31 CFR l.36; 5 U.S.C.
552a(j)(2); and (k)(2). Address inquiries to Assistant Director,
Disclosure Services, Department of the Treasury, 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 or other
matters involving the Office of Foreign Assets Control or involving
statutes and regulations administered by the agency found at 31 CFR
part 1 subpart B, chapter V.
Categories of records in the system:
Information and documents relating to litigation and other
matters 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
of matters related to the Office of Foreign Assets Control and the
statutes and regulations administered by the agency. These 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 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:
Chief Counsel, Foreign Assets Control, U.S. Treasury Department,
1500 Pennsylvania Ave., 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 .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, 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:
Investigation Data Management System--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 Francisco, CA; Miramar, FL, and Chicago, IL.
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 rules of ethical
conduct for employees of the Executive Branch, the Department's
supplemental standards of ethical conduct, the Department's rules of
conduct, merit system principles, or any other criminal or civil
misconduct, which affects the integrity or facilities of the
Department of Treasury. The names of individuals and the files in
their names may be: (1) Received by referral; or (2) initiated at the
discretion of the Office of the Inspector General in the conduct of
assigned duties.
(B) Individuals who are: Witnesses; complainants; confidential or
non-confidential 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;
5 U.S.C. 301; 31 U.S.C. 321.
Purpose(s):
The records and information collected and maintained in this
system are used to (a) receive allegations of violations of the
standards of ethical conduct for employees of the Executive Branch (5
CFR part 2635), the Treasury Department's supplemental standards of
ethical conduct (5 CFR part 3101), the Treasury Department's rules of
conduct (31 CFR part 0), the Office of Personnel Management merit
system principles, or any other criminal or civil law; and to (b)
prove or disprove allegations which the OIG receives that are made
against Department of the Treasury employees, contractors and other
individuals associated with 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 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;
(8) Provide information to the Office of Inspector General of the
Department of Justice with respect to investigations involving the
Bureau of Alcohol, Tobacco and Firearms; and to the Office of
Inspector General of the Department of Homeland Security with respect
to investigations involving the Secret Service, Customs Service, and
Federal Law Enforcement Training Center, for such OIGs' use in
carrying out their obligations under the Inspector General Act of
1978, as amended, 5 U.S.C.A. Appendix 3 and other applicable laws;
and
(9) Provide information to other OIGs, the President's Council on
Integrity and Efficiency, and the Department of Justice, in
connection with their review of Treasury OIG's exercise of statutory
law enforcement authority, pursuant to section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3.
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. Electronic records are password protected; backup media are
maintained in a locked room.
Retrievability:
Paper: Alphabetically by name of subject or complainant, by case
number, and by special agent name and/or employee identifying number.
Electronic: by complainant, subject, victim, or witness case number,
and by special agent name.
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 are stored on-site for 3 years at which time
they retired to the Federal Records Center, Suitland, Maryland, for
temporary storage. In most instances, the files are destroyed when 10
years old. However, if the files have significant or historical
value, they are retained on-site for 3 years, then retired to the
Federal Records Center for 22 years, at which time they are
transferred to the National Archives and Records Administration for
permanent retention. In addition, an automated investigative case
tracking system is maintained on-site; the case information deleted
15 years after the case is closed, or when no longer needed,
whichever is later.
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, or for
contesting the contents of a record.
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. 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.
TREASURY/DO .191
System name:
Human Resources and Administrative Records System.
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 electronic media.
Retrievability:
Most files are accessed by OIG employee name, employee
identifying 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 electronic 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 identifying 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, 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 90245-4341.
Department of the Treasury, Office of Inspector General, Offices
of Audit and Investigations, San Francisco, CA 94105.
Department of the Treasury, Office of Inspector General, Offices
of Audit and Investigations, Miramar, FL 33027.
Department of the Treasury, Offices of Audit and Investigations,
Chicago, IL 60603.
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, Boston, MA 02110-3350.
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 Services 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 1428-MT, 1500 Pennsylvania Avenue, NW, Washington, DC
20220.
Categories of individuals covered by the system:
Employees who borrow library materials or receive library
materials on distribution. The system also contains records
concerning interlibrary loans to local libraries which are not
subject to the Privacy Act.
Categories of records in the system:
Records of items borrowed from the Treasury Library collection
and patron records are maintained on central computer. Records are
maintained by name of borrower, office locator information, and title
of publication.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Track circulation of library materials and their borrowers.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records 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 1428-MT, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
Notification procedure:
Inquiries should be addressed to Assistant Director, Disclosure
Services, Department of the Treasury, 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 .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 3180
Treasury Annex, 1500 Pennsylvania Avenue, NW., Washington, DC 20220,
and Room 3170 Treasury Annex, 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 sensitive but unclassified information.
(7) Department of the Treasury personnel concerned with
classified national security and sensitive but unclassified 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, (5) Record of Security Violation, and (6) the Security
Orientation Acknowledgment.
Authority for maintenance of the system:
Executive Order No. 12958, dated April 17, 1995, as amended, 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 sensitive but unclassified information.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
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, 3180 Treasury Annex, 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, 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 .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 managers and address:
Director, Administrative Operations, Department of the Treasury,
Room 1212-MT, 1500 Pennsyl
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. 110................................... Reports of Suspicious
Activities.
CC. 120................................... Bank Fraud Information
System.
CC .500................................... Chief Counsel's Management
Information System.
CC. 510 Litigation 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. 100................................... Enforcement Action Report
system.
CC. 110................................... Reports of Suspicious
Activities.
CC. 120................................... Bank Fraud Information
System.
CC. 220................................... Section 914 Tracking System.
CC .500................................... Chief Counsel's Management
Information System.
CC. 510................................... Litigation Information
System.
CC. 600................................... Consumer Complaint Inquiry
and 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 00.007................................ Employee Complaint and
Allegation Records.
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 60.000................................ Employee {Protection System
Records.
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.
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
BPD.009................................... U.S. Treasury Securities
Fraud Information system.
------------------------------------------------------------------------
(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; 63 FR 34404, May 14, 2002; 67 FR 48387, Jul. 24, 2002;67 FR
62887, Oct. 9, 2002; 68 FR 67944, Dec. 5, 2003]
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, Disclosure
Officer, Administrative Resource Center, Bureau of the Public Debt,
Department of the Treasury, 200 Third Street, Room 211, Petersburg, WV
26101-5312.
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, Disclosure Officer, Administrative Resource Center,
Bureau of the Public Debt, Department of the Treasury, 200 Third Street,
Room 211, Parkersburg, WV 26101-5312.
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 Executive
Director, Administrative Resource Center, Bureau 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, 200
Third Street, Room G-15, Parkersburg, WVA 26106-1238.
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, 200 Third Street, Room G-15, Parkersburg, WV
26106-1328.
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.
[52 FR 26305, July 14, 1987, as amended at 67 FR 34403, May 14, 2002]
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]]
PART 323--DISCLOSURE OF RECORDS
Sec.
323.1 Purpose of regulations.
323.2 Rules governing availability of information.
323.3 Materials available for inspection and copying.
323.4 Requests for identifiable records.
323.5 Fees.
Authority: 80 Stat. 379; sec. 3, 60 Stat. 238, as amended; 5 U.S.C.
301, 552.
Source: 32 FR 9967, July 7, 1967, unless otherwise noted.
Sec. 323.1 Purpose of regulations.
The regulations of this part are issued to implement 5 U.S.C. 552(a)
(2) and (3). The requirements of 5 U.S.C. 552(a)(1) are met through the
publication in the Federal Register of the statement of the
organization, functions and procedures available of the Fiscal Service,
including the Bureau of the Public Debt, and revisions thereof, and
through the publication therein of substantive and procedural
regulations of the Bureau. A synopsis of the statements of Bureau
organization, functions and procedures available will be published
annually by the Office of the Federal Register in the U.S. Government
Organization Manual.
Sec. 323.2 Rules governing availability of information.
(a) General. The records of the Bureau of the Public Debt required by
5 U.S.C. 552 to be made available to the public shall be made available
in accordance with the regulations on the Disclosure of Records of the
Office of the Secretary issued under 5 U.S.C. 552 and published as part
I of title 31 of the Code of Federal Regulations, 32 FR 9562, July 1,
1967, except as specifically provided in this part.
(b) Limitations on the availability of records relating to securities.
Records relating to the purchase, ownership of, and transactions in
Treasury securities or other securities handled by the Bureau of the
Public Debt for government agencies or wholly or partially Government-
owned corporations will ordinarily be disclosed only to the owners of
such securities, their executors, administrators or other legal
representatives or to their survivors or to investigative and certain
other agencies of the Federal and State governments, to trustees in
bankruptcy, receivers of insolvents' estates or where a proper order has
been entered requesting disclosure of information to Federal and State
courts. These records are confidential because they relate to private
financial affairs of the owners under this Part. In addition, the
information falls within the category of ``personnel and medical files
and similar files the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy'' under the Freedom of
Information Act (FOIA), 5 U.S.C. 552(b)(6). FOIA Exemption (b)(6)
protects the privacy of living persons who own securities as well as the
close survivors of deceased owners. Privacy interests, in the sense of
the right to control, use, or disclose information about oneself, cease
at death. However, the exemption protects the deceased person's family-
related privacy interests that survive death where disclosure would
cause embarrassment, pain, grief, or disrupt the peace of mind, of the
surviving family. The Bureau of the Public Debt will determine, under
FOIA exemption (b)(6), whether disclosure of the records is in the
public interest by balancing the surviving family members' privacy
interest against the public's right to know the information.
[32 FR 9967, July 7, 1967, as amended at 68 FR 67944, Dec. 5, 2003]
Sec. 323.3 Materials available for inspection and copying.
(a) Availability. The materials which are required under 5 U.S.C.
552(a)(2) to be made available for inspection and copying are:
(1) Final opinions or orders made in the adjudication of cases. Any
issued by the Bureau of the Public Debt would be in the form of letters
or memorandums setting out determinations made in disposing of any
matter before the Bureau.
(2) Statements of policy and interpretations which have been adopted
by the Bureau but not published in the Federal Register.
(3) Administrative staff manuals and instructions to the staff that
affect any member of the public. Some Federal Reserve Bank memorandums
and Public Debt memorandums will be made available under this provision.
(b) Location. The materials listed in paragraph (a) of this section
are available for inspection and copy during office hours in the Public
Reading Room of the Treasury Department, 15th Street and Pennsylvania
Avenue NW., Washington, DC 20220.
Sec. 323.4 Requests for identifiable records.
(a) Procedure. (1) A written request for an identifiable record
relating to a U.S. savings bond or note shall be addressed to the Deputy
Commissioner, Bureau of the Public Debt, Chicago, IL 60605.
(2) A request for an identifiable record relating to any Treasury
Department security, other than a savings bond or note, or a security of
a Government agency or a wholly or partially Government-owned
corporation, the record of which is maintained by the Bureau of the
Public Debt, shall be addressed to the Chief, Division of Loans and
Currency, Bureau of the Public Debt, Washington, DC 20226.
(3) A request for an identifiable record relating to any security of a
Government agency or wholly or partially Government-owned corporation,
the record for which is maintained by the Federal Reserve Bank of New
York, shall be addressed to the Federal Reserve Bank of New York, New
York, NY 10045.
(4) A written request for any identifiable record that the Bureau of
the Public Debt has other than those set out in paragraphs (a) (1), (2),
and (3) of this section shall be addressed to the Commissioner of the
Public Debt, Washington, DC 20220.
(5) A request may be presented in person at the office to which a
written request would be addressed.
(b) Determination of availability. Determination as to whether or not
a requested record shall be disclosed will be made by the Officer to
whom the request should be directed under paragraph (a) of this section,
and by the Bureau of Public Debt Information Officer for requests
directed to the Office of the Commissioner, subject to an appeal to the
Commissioner of the Public Debt. The decision of the Commissioner shall
constitute final agency action unless he refers the appeal to the Fiscal
Assistant Secretary, in which case the decision of the Fiscal Assistant
Secretary shall constitute final agency action.
Sec. 323.5 Fees.
The fees provided in part 1 of title 31 of the CFR (32 FR 9562, July
1, 1967), shall apply to all requests for identifiable records under
this part except as follows:
(a) No charge will be made for verifying the record of a savings bond
or note identified by series and denomination and either the
registration and issue date or the serial number at the request of the
owner, coowner, or surviving beneficiary or person entitled to the
security under the applicable regulations.
(b) No charge will be made for verifying the record of a registered
Treasury security, other than a savings bond or note, or a registered
security of a Government agency or a wholly or partially Government-
owned corporation, identified as to loan and registration for an owner,
joint owner or person entitled to the security under the applicable
regulations.
(c) No charge will be made for advising a person who has submitted
satisfactory evidence of ownership as to the status of a bearer Treasury
security or a bearer security of a Government agency or a wholly or
partially Government-owned corporation.
(d) No charge will be made for furnishing an owner, coowner, joint
owner, surviving beneficiary, or person who is entitled to the security
under the applicable regulations a photocopy or similar reproduction of
any Treasury security, with any necessary supporting documents, which it
is alleged was improperly paid or was reissued, transferred or redeemed
on a forged or defective request, endorsement, or assignment.
(e) Fees may be waived for other classes of requested records upon a
finding by the Commissioner of the Public Debt that the person
requesting the information is entitled to the record requested without
charge.
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. 110................................... Reports of Suspicious
Activities.
CC. 120................................... Bank Fraud Information
System.
CC .500................................... Chief Counsel's Management
Information System.
CC. 510 Litigation 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. 100................................... Enforcement Action Report
system.
CC. 110................................... Reports of Suspicious
Activities.
CC. 120................................... Bank Fraud Information
System.
CC. 220................................... Section 914 Tracking System.
CC .500................................... Chief Counsel's Management
Information System.
CC. 510................................... Litigation Information
System.
CC. 600................................... Consumer Complaint Inquiry
and 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 00.007................................ Employee Complaint and
Allegation Records.
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 60.000................................ Employee {Protection System
Records.
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.
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
BPD.009................................... U.S. Treasury Securities
Fraud Information system.
------------------------------------------------------------------------
(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; 63 FR 34404, May 14, 2002; 67 FR 48387, Jul. 24, 2002;67 FR
62887, Oct. 9, 2002; 68 FR 67944, Dec. 5, 2003]
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, Disclosure
Officer, Administrative Resource Center, Bureau of the Public Debt,
Department of the Treasury, 200 Third Street, Room 211, Petersburg, WV
26101-5312.
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, Disclosure Officer, Administrative Resource Center,
Bureau of the Public Debt, Department of the Treasury, 200 Third Street,
Room 211, Parkersburg, WV 26101-5312.
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 Executive
Director, Administrative Resource Center, Bureau 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, 200
Third Street, Room G-15, Parkersburg, WVA 26106-1238.
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, 200 Third Street, Room G-15, Parkersburg, WV
26106-1328.
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.
[52 FR 26305, July 14, 1987, as amended at 67 FR 34403, May 14, 2002]
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]]
PART 323--DISCLOSURE OF RECORDS
Sec.
323.1 Purpose of regulations.
323.2 Rules governing availability of information.
323.3 Materials available for inspection and copying.
323.4 Requests for identifiable records.
323.5 Fees.
Authority: 80 Stat. 379; sec. 3, 60 Stat. 238, as amended; 5 U.S.C.
301, 552.
Source: 32 FR 9967, July 7, 1967, unless otherwise noted.
Sec. 323.1 Purpose of regulations.
The regulations of this part are issued to implement 5 U.S.C. 552(a)
(2) and (3). The requirements of 5 U.S.C. 552(a)(1) are met through the
publication in the Federal Register of the statement of the
organization, functions and procedures available of the Fiscal Service,
including the Bureau of the Public Debt, and revisions thereof, and
through the publication therein of substantive and procedural
regulations of the Bureau. A synopsis of the statements of Bureau
organization, functions and procedures available will be published
annually by the Office of the Federal Register in the U.S. Government
Organization Manual.
Sec. 323.2 Rules governing availability of information.
(a) General. The records of the Bureau of the Public Debt required by
5 U.S.C. 552 to be made available to the public shall be made available
in accordance with the regulations on the Disclosure of Records of the
Office of the Secretary issued under 5 U.S.C. 552 and published as part
I of title 31 of the Code of Federal Regulations, 32 FR 9562, July 1,
1967, except as specifically provided in this part.
(b) Limitations on the availability of records relating to securities.
Records relating to the purchase, ownership of, and transactions in
Treasury securities or other securities handled by the Bureau of the
Public Debt for government agencies or wholly or partially Government-
owned corporations will ordinarily be disclosed only to the owners of
such securities, their executors, administrators or other legal
representatives or to their survivors or to investigative and certain
other agencies of the Federal and State governments, to trustees in
bankruptcy, receivers of insolvents' estates or where a proper order has
been entered requesting disclosure of information to Federal and State
courts. These records are confidential because they relate to private
financial affairs of the owners under this Part. In addition, the
information falls within the category of ``personnel and medical files
and similar files the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy'' under the Freedom of
Information Act (FOIA), 5 U.S.C. 552(b)(6). FOIA Exemption (b)(6)
protects the privacy of living persons who own securities as well as the
close survivors of deceased owners. Privacy interests, in the sense of
the right to control, use, or disclose information about oneself, cease
at death. However, the exemption protects the deceased person's family-
related privacy interests that survive death where disclosure would
cause embarrassment, pain, grief, or disrupt the peace of mind, of the
surviving family. The Bureau of the Public Debt will determine, under
FOIA exemption (b)(6), whether disclosure of the records is in the
public interest by balancing the surviving family members' privacy
interest against the public's right to know the information.
[32 FR 9967, July 7, 1967, as amended at 68 FR 67944, Dec. 5, 2003]
Sec. 323.3 Materials available for inspection and copying.
(a) Availability. The materials which are required under 5 U.S.C.
552(a)(2) to be made available for inspection and copying are:
(1) Final opinions or orders made in the adjudication of cases. Any
issued by the Bureau of the Public Debt would be in the form of letters
or memorandums setting out determinations made in disposing of any
matter before the Bureau.
(2) Statements of policy and interpretations which have been adopted
by the Bureau but not published in the Federal Register.
(3) Administrative staff manuals and instructions to the staff that
affect any member of the public. Some Federal Reserve Bank memorandums
and Public Debt memorandums will be made available under this provision.
(b) Location. The materials listed in paragraph (a) of this section
are available for inspection and copy during office hours in the Public
Reading Room of the Treasury Department, 15th Street and Pennsylvania
Avenue NW., Washington, DC 20220.
Sec. 323.4 Requests for identifiable records.
(a) Procedure. (1) A written request for an identifiable record
relating to a U.S. savings bond or note shall be addressed to the Deputy
Commissioner, Bureau of the Public Debt, Chicago, IL 60605.
(2) A request for an identifiable record relating to any Treasury
Department security, other than a savings bond or note, or a security of
a Government agency or a wholly or partially Government-owned
corporation, the record of which is maintained by the Bureau of the
Public Debt, shall be addressed to the Chief, Division of Loans and
Currency, Bureau of the Public Debt, Washington, DC 20226.
(3) A request for an identifiable record relating to any security of a
Government agency or wholly or partially Government-owned corporation,
the record for which is maintained by the Federal Reserve Bank of New
York, shall be addressed to the Federal Reserve Bank of New York, New
York, NY 10045.
(4) A written request for any identifiable record that the Bureau of
the Public Debt has other than those set out in paragraphs (a) (1), (2),
and (3) of this section shall be addressed to the Commissioner of the
Public Debt, Washington, DC 20220.
(5) A request may be presented in person at the office to which a
written request would be addressed.
(b) Determination of availability. Determination as to whether or not
a requested record shall be disclosed will be made by the Officer to
whom the request should be directed under paragraph (a) of this section,
and by the Bureau of Public Debt Information Officer for requests
directed to the Office of the Commissioner, subject to an appeal to the
Commissioner of the Public Debt. The decision of the Commissioner shall
constitute final agency action unless he refers the appeal to the Fiscal
Assistant Secretary, in which case the decision of the Fiscal Assistant
Secretary shall constitute final agency action.
Sec. 323.5 Fees.
The fees provided in part 1 of title 31 of the CFR (32 FR 9562, July
1, 1967), shall apply to all requests for identifiable records under
this part except as follows:
(a) No charge will be made for verifying the record of a savings bond
or note identified by series and denomination and either the
registration and issue date or the serial number at the request of the
owner, coowner, or surviving beneficiary or person entitled to the
security under the applicable regulations.
(b) No charge will be made for verifying the record of a registered
Treasury security, other than a savings bond or note, or a registered
security of a Government agency or a wholly or partially Government-
owned corporation, identified as to loan and registration for an owner,
joint owner or person entitled to the security under the applicable
regulations.
(c) No charge will be made for advising a person who has submitted
satisfactory evidence of ownership as to the status of a bearer Treasury
security or a bearer security of a Government agency or a wholly or
partially Government-owned corporation.
(d) No charge will be made for furnishing an owner, coowner, joint
owner, surviving beneficiary, or person who is entitled to the security
under the applicable regulations a photocopy or similar reproduction of
any Treasury security, with any necessary supporting documents, which it
is alleged was improperly paid or was reissued, transferred or redeemed
on a forged or defective request, endorsement, or assignment.
(e) Fees may be waived for other classes of requested records upon a
finding by the Commissioner of the Public Debt that the person
requesting the information is entitled to the record requested without
charge.