[Federal Register Volume 75, Number 75 (Tuesday, April 20, 2010)]
[Notices]
[Pages 20676-20716]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-8926]
[[Page 20675]]
-----------------------------------------------------------------------
Part II
Department of the Treasury
-----------------------------------------------------------------------
Privacy Act of 1974; Systems of Records; Notice
Federal Register / Vol. 75 , No. 75 / Tuesday, April 20, 2010 /
Notices
[[Page 20676]]
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
Privacy Act of 1974; Systems of Records
AGENCY: Departmental Offices, Treasury.
ACTION: Notice of systems of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a, the Departmental Offices (DO) is
publishing its Privacy Act systems of records.
SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5
U.S.C. 552a) and the Office of Management and Budget (OMB) Circular No.
A-130, the Department has completed a review of its Privacy Act systems
of records notices to identify minor changes that will more accurately
describe these records. Such changes throughout the document are
editorial in nature and consist principally of changes to system
locations and system manager addresses, and revisions to organizational
titles. The notices were last published in their entirety on August 9,
2005, beginning at 70 FR 46268.
On May 22, 2007, the Office of Management and Budget (OMB) issued
M-07-16 ``Safeguarding Against and Responding to the Breach of
Personally Identifiable Information.'' This memorandum required
agencies to develop and implement breach notification policies within
120 days.
As part of that effort the Department published on October 3, 2007,
a new routine use for all Treasury systems of records. The routine use
permits the Department to disclose information ``to appropriate
agencies, entities, and persons when (a) The Department suspects or has
confirmed that the security or confidentiality of information in the
system of records has been compromised; (b) the Department has
determined that as a result of the suspected or confirmed compromise
there is a risk of harm to economic or property interests, identity
theft or fraud, or harm to the security or integrity of this system or
other systems or programs (whether maintained by the Department or
another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the Department's
efforts to respond to the suspected or confirmed compromise and
prevent, minimize, or remedy such harm.''
The routine use will facilitate an effective response to a
confirmed or suspected breach by allowing for disclosure to those
individuals affected by the breach, as well as to others who are in a
position to assist in the Department's response efforts, either by
assisting in notification to affected individuals or otherwise playing
a role in preventing, minimizing, or remedying harms from the breach or
compromise.
A routine use found in a number of DO systems of records notices,
permitting disclosure of information in response to a subpoena has been
revised. The revision limits the disclosure of records from a system of
records to those disclosures made in response to a court order.
Three systems of record have been added to the Department's
inventory of Privacy Act notices since August 9, 2005, as follows: DO
.217--National Financial Literacy Challenge Records, (March 10, 2008,
at 73 FR 12797); DO .219--TARP Standards for Compensation and Corporate
Governance--Executive Compensation Information System, (July 24, 2009,
at 74 FR 36823); and DO .218--Home Affordable Modification Program
Records, (October 28, 2009, at 74 FR 55621).
This publication also incorporates the amendments to several
systems of records maintained by DO: Treasury/DO .311--TIGTA Office of
Investigations Files (November 25, 2005 at 74 FR 29532); and Treasury/
DO .214--D.C. Pensions Retirement Records (June 22, 2009 at 74 FR
29532).
This notice covers all systems of records adopted up to October 30,
2009.
Dated: April 13, 2010.
Melissa Hartman,
Acting Deputy Assistant Secretary for Privacy and Treasury Records.
Departmental Offices (DO)
Table of Contents
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 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 .190-- Office of Inspector General Investigations Management
Information System (formerly: Investigation Data Management System)
DO .191--Human Resources and Administrative Records System
DO .193--Employee Locator and Automated Directory System
DO .194--Circulation System
DO .196--Security Information System
DO .202--Drug-Free Workplace Program Records
DO .207--Waco Administrative Review Group Investigation
DO .209--Personal Services Contracts (PSC)
DO .214--D.C. Pensions Retirement Records
DO .216--Treasury Security Access Control and Certificates Systems
DO .217--National Financial Literacy Challenge Records
DO .218--Home Affordable Modification Program Records
DO .219--TARP Standards for Compensation and Corporate Governance--
Executive Compensation Information
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 Investigations Files.
TREASURY/DO .003
System name:
Law Enforcement Retirement Claims Records--Treasury/DO.
System location:
These records are located in the Office of Human Capital Strategic
Management, Suite 1200, 1750 Pennsylvania Avenue, NW., 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.
[[Page 20677]]
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 court
order 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.
(10) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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 Human Capital Strategic Management, Suite 1200,
1750 Pennsylvania Avenue, NW., 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.
[[Page 20678]]
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 International Affairs.
4. Office of the Executive Secretariat.
5. Office of Legislative Affairs.
6. Office of Terrorism and Financial Intelligence.
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, and
(7) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
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 5037G-MT, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
3. Senior Director, International Affairs Business Office, U.S.
Treasury Department, Room 4456-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. Deputy to the Assistant Secretary, Office of Legislative
Affairs, U.S. Treasury Department, Room 3464-MT, Washington, DC 20220.
6. Senior Resource Manager, Office of Terrorism and Financial
Intelligence, U.S. Department of the Treasury, Room 4006, 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 Director, Disclosure Services (see ``Record access
procedures'' below).
Record Access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
[[Page 20679]]
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
Policy and Legislative Review, 1120 Vermont Avenue, NW., Washington, DC
20005.
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; pay-plan; department-
class; year of entry into system; service computation date; year of
birth; year of resignation or year of death, and refund 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; marital status; spouse's year of
birth; annuitant type; 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. 4058 and 22 U.S.C. 4071h.
Purpose(s):
22 U.S.C. 4058 and 22 U.S.C. 4071h require that the Secretary of
the Treasury prepare estimates of the annual appropriations required to
be made to the Foreign Service Retirement and Disability Fund. The
Secretary of the Treasury is also required, at least every five years,
to prepare valuations of the Foreign Pension System and the Foreign
Service Retirement and Disability System. 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:
(1) Data regarding specific individuals is released only to the
contributing agency for purposes of verification, and
(2) Other information may be disclosed to appropriate agencies,
entities, and persons when (a) The Department suspects or has confirmed
that the security or confidentiality of information in the system of
records has been compromised; (b) the Department has determined that as
a result of the suspected or confirmed compromise there is a risk of
harm to economic or property interests, identity theft or fraud, or
harm to the security or integrity of this system or other systems or
programs (whether maintained by the Department or another agency or
entity) that rely upon the compromised information; and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Department's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data is stored electronically.
Retrievability:
Alphabetically.
Safeguards:
Access is restricted to select employees of the Office of
Government Financial Policy. Passwords are required to access the data.
Retention and disposal:
Records are retained on a multiple year basis in order to perform
actuarial experience studies.
System manager(s) and address:
Director, Office of Policy and Legislative Review, 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, gain access to records maintained in this system, seek to
contest its content, 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). 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:
Data for actuarial valuation are provided by organizations
responsible for pension funds and pay records, namely the Department of
State and the National Finance Center.
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
[[Page 20680]]
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 court order 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;
(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, and
(7) To appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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:
White House Liaison, Department of the Treasury, Rm 3418, 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: Director, Disclosure
Services, Department of the Treasury, 1500 Pennsylvania Ave., 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 Dissatisfaction--Treasury/DO.
System location:
Office of Human Capital Strategic Management, Suite 1200, 1750
Pennsylvania Avenue, NW., Department of the Treasury, Washington, DC
20220.
Categories of individuals covered by the system:
Former and current Department employees who have submitted
complaints to the Office of Human Resources Strategy and Solutions
(HRSS) or whose correspondence concerning a matter of dissatisfaction
has been referred to HRSS.
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 inquiries filed
with the Departmental Office of Human Resources Strategy and Solutions.
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
[[Page 20681]]
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, and
(5) To appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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 Human Capital Strategic Management, Department
of the Treasury, Washington, DC 20220.
Notification procedure:
Persons inquiring as to the existence of a record on themselves may
contact: Director, Human Capital Strategic Management, Suite 1200, 1750
Pennsylvania Avenue, NW., Department of the Treasury, 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: Office of Human Resources Strategy and Solutions, Suite 1200,
1750 Pennsylvania Avenue, NW., Department of the Treasury, 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, Office of Human
Resources Strategy and Solutions 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, general public, 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 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, and
(7) To appropriate agencies, entities, and persons when (a) The
Department
[[Page 20682]]
suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the
Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records 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.
Records are retired to Federal Records Center or destroyed in
accordance with established procedures.
System Manager and address:
Director, Office of Foreign Assets Control, 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 Director,
Disclosure Services (See ``Record access procedures'' below.)
Record access procedures:
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:
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 court order
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, and
(7) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and magnetic media.
Retrievability:
By name of individual.
[[Page 20683]]
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, 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. 3515.
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 court order 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, and
(7) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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, 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 Director,
Disclosure Services (See ``Record access procedures'' below).
Record access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
[[Page 20684]]
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 court order or
in connection with criminal law proceedings;
(4) Disclose information to foreign governments in accordance with
formal or informal international agreements;
(5) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation, and
(7) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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:
Office of the General Counsel, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1) An
identification of the record system; and (2) an identification of the
category and type of records sought. This system contains records that
are exempt under 31 CFR 1.36; 5 U.S.C. 552a(j)(2); and (k)(2). Address
inquiries to: Director, Disclosure Services, Department of the
Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
Record access procedures:
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:
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). (See 31 CFR 1.36)
[[Page 20685]]
TREASURY/DO .149
System name:
Foreign Assets Control Legal Files--Treasury/DO.
System location:
U.S. Department of the Treasury, Office of the Chief Counsel
(Foreign Assets Control), 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 (OFAC) or
involving statutes and regulations administered by the OFAC found at 31
CFR subtitle B, chapter V.
Categories of records in the system:
Information and documents relating to litigation and other matters
involving the OFAC or statutes and regulations administered by the
OFAC.
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. 287(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 OFAC and the Department of the Treasury regarding issues of
compliance, enforcement, investigation, and implementation of matters
related to OFAC and the statutes and regulations administered by the
agency. These records are also maintained to assist in litigation
related to OFAC and the statutes and regulations administered by the
OFAC.
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
OFAC and statutes and regulations administered by OFAC,
(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, and
(6) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Folders in file cabinets and magnetic media.
Retrievability:
The information is accessible by the name of the non-government
party involved in the matter.
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:
Office of 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 identification as set forth in 31 CFR
Subpart C, Part 1, Appendix A, Section 8.
Record access procedures:
Address inquiries to: 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:
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 action; material
obtained pursuant to requests made to other Federal agencies; orders,
opinions, and decisions of courts.
Exemptions claimed for the system:
None.
TREASURY/DO .190
System name:
Office of Inspector General Investigations Management Information
System--Treasury/DO.
System location:
Office of Inspector General (OIG), Assistant Inspector General for
Investigations and Counsel to the Inspector General, 740 15th St., NW.,
Washington, DC 20220.
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 the Treasury. The
names of individuals and the files in their names may be: (1) Received
by referral; or (2) initiated at the discretion of the Office of
Inspector General in the conduct of assigned duties. Investigations of
allegations against OIG employees are managed by the Deputy Inspector
General and the Counsel to the Inspector General; records are
maintained in the Office of Counsel.
[[Page 20686]]
(B) Individuals who are: Witnesses; complainants; confidential or
non-confidential informants; suspects; defendants; parties who have
been identified by the Office of Inspector General, constituent units
of the Department of the 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 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 court order 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
former 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, the former 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, and
(10) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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 media are maintained in locked
safes and all access doors are locked when offices are vacant. Building
has guard; entrance to building, elevators, and other spaces are all
keycard-controlled. 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 are 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
[[Page 20687]]
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. For internal investigations: Counsel
to the Inspector General, 740 15th St., NW., Suite 510, 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), headquarters and Boston Field
office. (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, positions,
grade and series, salaries, and related information pertaining to OIG
employment; (2) Tracking records contain status information on audits,
investigations and other projects; (3) Timekeeping records contain
hours worked and leave taken; (4) Equipment inventory records contain
information about government property assigned to employees.
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 Government Accountability Office,
the Council of the Inspectors General 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
[[Page 20688]]
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 court order 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 purposes
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 Government Accountability Office,
the Council of the Inspectors General on Integrity and Efficiency and
other Federal agencies for mandated reports, and
(18) Disclosures are not made outside of the Department, except to
appropriate agencies, entities, and persons when (a) The Department
suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the
Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
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. Offices are locked. 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, 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
[[Page 20689]]
Director, Disclosure Services (see ``Record access procedures'' below).
Record access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., 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, 740 15th Street, NW.,
Suite 510, Washington, DC 20220.
Field Location:
Contact System Manager for addresses.
Department of the Treasury, Office of Inspector General, Office of
Audit, Boston, MA 02110-3350.
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, except to
appropriate agencies, entities, and persons when (a) The Department
suspects or has confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the
Department has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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, 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:
(1) 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; and
(2) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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.
[[Page 20690]]
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:
Chief Librarian, Department of the Treasury, Room 1428-MT, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Notification procedure:
Inquiries should be addressed to: 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.
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) 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.
(5) 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, and
(6) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Categories of records in the system:
The following records are maintained by the Director of Security
Programs: (1) Report of Authorized Downgrading and Declassification
Officials, (2) Report of Authorized Classifiers, (3) Record of Security
Violation, and (4) the Security Orientation Acknowledgment.
Authority for maintenance of the system:
Executive Order No. 12958 as amended, 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 as amended 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:
(1) To appropriate Federal agencies and for enforcing or
implementing a statute, rule, regulation or order, and
(2) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
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 Programs, 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
[[Page 20691]]
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 Director, Disclosure Services. (See ``Record access procedures''
below).
Record access procedures:
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 .202
System name:
Drug-Free Workplace Program Records--Treasury/DO.
System location:
Records are located within the Office of Human Capital Strategic
Management, Room 5224-MT, Department of the Treasury, Departmental
Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220
Categories of individuals covered by the system:
Employees of Departmental Offices.
Categories of records in the system:
Records related to selection, notification, testing of employees,
drug test results, and related documentation concerning the
administration of the Drug-Free Workplace Program within Departmental
Offices.
Authority for maintenance of the system:
Pub. L. 100-71; 5 U.S.C. 7301 and 7361; 21 U.S.C. 812; Executive
Order 12564, ``Drug-Free Federal Workplace''.
Purpose(s):
The system has been established to maintain records relating to the
selection, notification, and testing of Departmental Offices' employees
for use of illegal drugs and drugs identified in Schedules I and II of
21 U.S.C. 812.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
(1) these records may be disclosed to a court of competent
jurisdiction where required by the United States Government to defend
against any challenge against any adverse personnel action, and
(2) to appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and
magnetic media.
Retrievability:
Records are retrieved by name of employee, position, title, social
security number, I.D. number (if assigned), or any combination of
these.
Safeguards:
Records will be stored in secure containers, e.g., safes, locked
filing cabinets, etc. Access to such records is restricted to
individuals having direct responsibility for the administration of the
agency's Drug-Free Workplace Program. Procedural and documentary
requirements of Public Law 100-71 and the Department of Health and
Human Services Guidelines will be followed.
Retention and disposal:
Records are retained for two years and then destroyed by shredding,
or, in case of magnetic media, erasure. Written records and test
results may be retained up to five years or longer when necessary due
to challenges or appeals of adverse action by the employee.
System manager(s) and address:
Director, Office of Human Capital Strategic Management, Department
of the Treasury, 1500 Pennsylvania Ave., NW., Room 5224-MT, Washington,
DC 20220.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Director, Disclosure Services, Departmental
Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Individuals
must furnish their full name, Social Security Number, the title,
series, and grade of the position they occupied, the month and year of
any drug test(s) taken, and verification of identity as required by 31
CFR part 1, subpart C, appendix A.
Record Access procedures:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Director, Disclosure Services, Departmental
Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Individuals
must furnish their full name, Social Security Number, the title,
series, and grade of the position they occupied, the month and year of
any drug test(s) taken, and verification of identity as required by 31
CFR part 1, subpart C, appendix A.
Contesting Record procedures:
The Department of the Treasury rules for accessing records, for
contesting contents, and appealing initial determinations by the
individual concerned are published in 31 CFR part 1, subpart A,
appendix A.
Record source categories:
Records are obtained from the individual to whom the record
pertains; Departmental Offices employees involved in the selection and
notification of individuals to be tested; contractor laboratories that
test urine samples for the presence of illegal drugs; Medical Review
Officers; supervisors and managers and other Departmental Offices
official engaged in administering the Drug-Free Workplace Program; the
Employee Assistance Program, and processing adverse actions based on
drug test results.
Exemptions claimed for the system:
None.
[[Page 20692]]
TREASURY/DO .207
System name:
Waco Administrative Review Group Investigation--Treasury/DO.
System location:
Department of the Treasury, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
Categories of individuals covered by the system:
(A) Individuals who were employees or former employees of the
Department of the Treasury and its bureaus and persons whose
associations with current and former employees relate to the former
Bureau of Alcohol, Tobacco & Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas on February
28, 1993, or any other criminal or civil misconduct, which affects the
integrity or facilities of the Department of the Treasury. The names of
individuals and the files in their names may be: (1) Received by
referral; or (2) developed in the course of the investigation.
(B) Individuals who were: Witnesses; complainants; confidential or
non-confidential informants; suspects; defendants who have been
identified by the former Office of Enforcement, constituent units of
the Department of the Treasury, other agencies, or members of the
general public in connection with the authorized functions of the
former Office of Enforcement.
(C) Members of the general public who provided information
pertinent to the investigation.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal misconduct pertinent to the events leading to the
former Bureau of Alcohol, Tobacco & Firearms execution of search and
arrest warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993.
(B) Investigative files that include:
(1) Reports of investigations to resolve allegations of misconduct
or violations of law and to comply with the President's specific
directive for a fact finding report on the events leading to the former
Bureau of Alcohol, Tobacco & Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas, on February
28, 1993, with related exhibits, statements, affidavits, records or
other pertinent documents obtained during investigation;
(2) Transcripts and documentation concerning requests and approval
for consensual telephone and consensual 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;
(5) Reports of actions taken by management personnel regarding
misconduct and reports of legal actions resulting from violations of
statutes referred to the Department of Justice for prosecution;
(6) Videotapes of events pertinent to the events leading to the
former Bureau of Alcohol, Tobacco & Firearms execution of search and
arrest warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993, or to the Department of Justice criminal
prosecutions;
(7) Audiotapes with transcripts of events pertinent to the events
leading to the former Bureau of Alcohol, Tobacco & Firearms execution
of search and arrest warrants at the Branch Davidian compound, near
Waco, Texas, on February 28, 1993, or to the Department of Justice
criminal prosecutions;
(8) Photographs and blueprints pertinent to the events leading to
the former Bureau of Alcohol, Tobacco & Firearms execution of search
and arrest warrants at the Branch Davidian compound, near Waco, Texas,
on February 28, 1993, or to the Department of Justice criminal
prosecutions; and
(9) Drawings, sketches, models portraying events pertinent to the
events leading to the former Bureau of Alcohol, Tobacco & Firearms
execution of search and arrest warrants at the Branch Davidian
compound, near Waco, Texas, on February 28, 1993, or to the Department
of Justice criminal prosecutions.
Purpose(s):
The purpose of the system of records was to implement a data base
containing records of investigation conducted by the Waco
Administrative Review Group, and other relevant information with regard
to the events leading to the former Bureau of Alcohol, Tobacco &
Firearms execution of search and arrest warrants at the Branch Davidian
compound, near Waco, Texas, on February 28, 1993, and, where
appropriate, to disclose information to other law enforcement agencies
that have an interest in the information.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records 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 that has requested information relevant
to or necessary to the requesting agency's hiring or retention of an
employee, or the issuance of a security clearance, license, contract,
grant, or other benefit;
(4) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations in response to a court order,
where relevant and necessary, or in connection with criminal law
proceedings;
(5) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(6) Provide a report to the President and the Secretary of the
Treasury detailing the investigation and findings concerning the events
leading to the former Bureau of Alcohol, Tobacco & Firearms' execution
of search and arrest warrants at the Branch Davidian compound, near
Waco, Texas, on February 28, 1993, and
(7) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
[[Page 20693]]
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Paper records in binders and file jackets and all multi-source
media information are maintained in locked offices with access, through
the administrative documents and records control personnel for the
Department, available to personnel with a need to know. Records will be
maintained in locked offices during non-business hours. Records will be
maintained in the Departmental Offices, in the main Treasury building
and are subject to 24-hour security.
Retrievability:
Alphabetically by name, and or by number, or other alpha-numeric
identifiers.
Safeguards:
Records and word processing disks are maintained by administrative
documents and records control personnel of the Treasury Department. All
access doors are locked when office is vacant. The records are
available on a need-to-know basis to Treasury personnel upon
verification of the substance and propriety of the request.
Retention and disposal:
Investigative files are stored on-site for six years and indices to
those files are stored on-site for ten years. The word processing disks
will be retained indefinitely, and to the extent required they will be
updated periodically to reflect changes and will be purged when the
information is no longer required. Upon expiration of their respective
retention periods, the investigative files and their indices will be
transferred to the Federal Records Center, Suitland, Maryland, for
Storage and in most instances destroyed by burning, maceration or
pulping when 20 years old. The files are no longer active.
System manager(s) and address:
Department of the Treasury official prescribing policies and
practices: Office of the Under Secretary for Enforcement, Room 4312-MT,
1500 Pennsylvania Ave., NW., Washington, DC 20220.
Notification procedure:
Individuals seeking access to any record contained in the system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart c, appendix A.
Inquiries should be directed to the 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:
Individuals who were witnesses; complainants; confidential or non-
confidential informants; suspects; defendants, constituents of the
Department of the Treasury, other Federal, State or local agencies and
members of the public.
Exemptions claimed for the system:
None.
TREASURY/DO .209
System name:
Personal Services Contracts (PCSs)--Treasury/DO.
System location:
(1) Office of Technical Assistance, Department of the Treasury, 740
15th Street, NW., Washington, DC 20005.
(2) Procurement Services Division, Department of the Treasury, Mail
stop: 1425 New York Ave., Suite 2100, 1500 Pennsylvania Ave, NW.,
Washington, DC 20220.
Categories of individuals covered by the system:
Individuals who have been candidates or who have been awarded a
personal services contract (PSC) with the Department of the Treasury.
Categories of records in the system:
Name, address, telephone number, demographic data, education,
contracts, supervisory notes, personnel related information, financial,
payroll and medical data and documents pertaining to the individual
contractors.
Authority for maintenance of the system:
Support for Eastern European Democracy (SEED) Act of 1989 (Pub. L.
101-179), Freedom Support Act (Pub. L. 102-511), Executive Order 12703.
Purpose(s):
To maintain records pertaining to the awarding of personal services
contracts to individuals for the provision of technical services in
support of the SEED Act and the FSA, and which establish an employer/
employee relationship with the individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to disclose:
(1) Pertinent information to appropriate Federal, State, local, or
foreign agencies, or other public authority, responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation;
(2) Information to the Department of Justice for the purpose of
litigating an action or seeking legal advice;
(3) Information to a Federal, State, local, or other public
authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's,
bureau's, or authority's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit;
(4) Information in a proceeding before a court, adjudicative body,
or other administrative body before which the agency is authorized to
appear when: (a) The agency, or (b) any employee of the agency in his
or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency
has agreed to represent the employee; or (d) the United States, when
the agency determines that litigation is likely to affect the agency,
is party to litigation or has an interest in such litigation, and the
use of such records by the agency is deemed to be relevant and
necessary to the litigation or administrative proceeding and not
otherwise privileged;
(5) Information to a Congressional office in response to an inquiry
made at the request of the individual to whom the record pertains, and
(6) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made
[[Page 20694]]
to such agencies, entities, and persons is reasonably necessary to
assist in connection with the Department's efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders and on electronic media.
Retrievability:
Retrieved by name of the individual contractor and contract number.
Safeguards:
Records are maintained in a secured vault with locked file cabinets
with access limited to authorized personnel. Offices are locked during
non-working hours with security provided on a 24-hour basis. Electronic
media is password protected.
Retention and disposal:
Records are periodically updated when a contract is modified.
Contract records, including all biographical or other personal data,
are retained for the contract period, with disposal after contract
completion in accordance with the Federal Acquisition Regulation 4.805.
Other records are retained for two years then are destroyed when no
longer needed.
System manager(s) and address:
(1) Director, Office of Technical Assistance, Department of the
Treasury, 740 15th Street, NW., Washington, DC 20005.
(2) Director, Procurement Services Division, Department of the
Treasury, Mail stop: 1425 New York Ave, Suite 2100, 1500 Pennsylvania
Ave., NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access or seek to contest its contents, may
inquire in accordance with instructions appearing at 31 CFR part 1,
subpart C, appendix A. Inquiries should be addressed to the Director,
Disclosure Services, Departmental Offices, 1500 Pennsylvania Avenue,
NW., Washington, DC 20220.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedures'' above.
Record source categories:
Information is provided by the candidate, individual Personal
tractor, and Treasury employees.
Exemptions claimed for the system:
None.
TREASURY/DO .214
System name:
D.C. Pensions Retirement Records.
System Location:
Office of DC Pensions, Department of the Treasury, 1500
Pennsylvania Avenue, NW., Washington, DC 20220. Electronic and paper
records are also located at the District and bureaus of the Department,
including the Bureau of the Public Debt in Parkersburg, WV. In
addition, certain records are located with contractors engaged by the
Department.
Categories of individuals covered by the system:
a. Current and former police officers, firefighters, teachers, and
judges.
b. Surviving spouses, children, and/or dependent parents of current
and former police officers, firefighters, teachers, or judges.
c. Former spouses of current and former police officers,
firefighters, teachers, or judges.
Categories of records in the system:
The categories of records include, but is not limited to,
identifying information such as: Name(s); contact information; Social
Security number; employee identification number; service beginning and
end dates; annuity beginning and end dates; date of birth; sex;
retirement plan; base pay; average base pay; final salary; type(s) of
service and dates used to compute length of service; military base pay
amount; purchase of service calculation and amount; and/or benefit
payment amount(s).
The types of records in the system may be:
a. Documentation comprised of service history/credit, personnel
data, retirement contributions, and/or a refund claim upon which a
benefit payment(s) may be based.
b. Medical records and supporting evidence for disability
retirement applications and continued eligibility, and documentation
regarding the acceptance or rejection.
c. Records submitted by a surviving spouse and/or a child(ren) in
support of claims to a benefit payment(s).
d. Consent forms and other records related to the withholding of
income tax from a benefit payment(s).
e. Retirement applications, including supporting documentation, and
acceptance or denial of such applications.
f. Death claim, including supporting documentation, submitted by a
surviving spouse, child(ren), former spouse, and/or beneficiary, that
is required to determine eligibility for and receipt of a benefit
payment(s), or denial of such claims.
g. Documentation of enrollment and/or change in enrollment for
health and life insurance benefits/eligibility.
h. Designation(s) of a beneficiary(ies) for a life insurance
benefit and/or an unpaid benefit payment.
i. Court orders submitted by former spouses in support of claims to
a benefit payment(s).
j. Records relating to under- and/or over-payments of benefit
payments and other debts arising from the responsibility to administer
the retirement plans for District police officers, firefighters,
teachers, and judges; and, records relating to other Federal debts owed
by recipients of Federal benefit payments.
k. Records relating to bankruptcies, tax levies, and garnishments.
l. Records used to determine a total benefit payment and/or if the
benefit payment is a District or Federal liability.
m. Correspondence received from current and former police officers,
firefighters, teachers, and judges; including their surviving spouses,
children, former spouses, dependent parents, and/or beneficiaries.
n. Records relating to time served on behalf of a recognized labor
organization.
o. Records relating to benefit payment enrollment and/or change to
enrollment for direct deposit to an individual's financial institution.
Authority for maintenance of the system:
Title XI, subtitle A, chapters 1 through 9, and subtitle C, chapter
4, subchapter B of the Balanced Budget Act of 1997 (as amended), Public
Law 105-33.
Purpose(s):
These records may provide information on which to base
determinations of (1) Eligibility for, and computation of, benefit
payments; (2) direct deposit elections into a financial institution;
(3) eligibility and premiums for health insurance and group life
insurance; (4) withholding of income taxes; (5) under- or over-payments
to recipients of a benefit payment, and for overpayments, the
recipient's ability to repay the overpayment; (6) Federal payment made
from the General Fund to the District of Columbia Pension Fund and the
District of Columbia Judicial
[[Page 20695]]
Retirement and Survivors Annuity Fund; (7) impact to the Funds due to
proposed Federal and/or District legislative changes; and (8) District
or Federal liability for benefit payments to former District police
officers, firefighters, and teachers, including survivors and
dependents, who are receiving a Federal and/or District benefit.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and the information in these records may be used:
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 Department becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
2. To disclose information to a Federal agency, in response to its
request in connection with the hiring or retention of an employee, the
issuance of a security clearance, the conducting of a suitability or
security 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 the requesting agency's decision on the
matter.
3. To 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.
4. To 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 Federal
Government is a party to the judicial or administrative proceeding. In
those cases where the Federal Government is not a party to the
proceeding, records may be disclosed if a subpoena has been signed by a
judge.
5. To disclose information to the National Archives and Records
Administration for use in records management inspections and its role
as an Archivist.
6. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Department is authorized to appear, when:
(A) The Department or any component thereof;
(B) Any employee of the Department in his or her official capacity;
(C) Any employee of the Department in his or her individual
capacity where the Department of Justice or the Department has agreed
to represent the employee;
(D) The United States, when the Department determines that
litigation is likely to affect the Department or any of its components;
or
(E) The Federal funds established by the Act to pay benefit
payments 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 is deemed by the Department of Justice or the Department
to be relevant and necessary to the litigation provided that the
disclosure is compatible with the purpose for which records were
collected.
7. To disclose information to contractors, subcontractors,
financial agents, grantees, auditors, actuaries, or volunteers
performing or working on a contract, service, grant, cooperative
agreement, or job for the Department, including the District.
8. To disclose information needed to adjudicate a claim for benefit
payments or information needed to conduct an analytical study of
benefits being paid under such programs as: Social Security
Administration's Old Age, Survivor, and Disability Insurance and
Medical Programs; military retired pay programs; and Federal civilian
employee retirement programs (Civil Service Retirement System, Federal
Employees Retirement System, and other Federal retirement systems).
9. To disclose to the U.S. Office of Personnel Management (OPM) and
to the District, information necessary to verify the election,
declination, or waiver of regular and/or optional life insurance
coverage, or coordinate with contract carriers the benefit provisions
of such coverage.
10. To disclose to health insurance carriers contracting with OPM
to provide a health benefits plan under the Federal Employees Health
Benefits Program or health insurance carriers contracting with the
District to provide a health benefits plan under the health benefits
program for District employees, Social Security numbers and other
information necessary to identify enrollment in a plan, to verify
eligibility for payment of a claim for health benefits, or to carry out
the coordination for benefits provisions of such contracts.
11. To disclose to any person possibly entitled to a benefit
payment in accordance with the applicable order of precedence or to an
executor of a deceased person's estate, information that is contained
in the record of a deceased current or former police officer,
firefighter, teacher, or judge to assist in properly determining the
eligibility and amount of a benefit payment to a surviving recipient,
or information that results from such determination.
12. To disclose to any person who is legally responsible for the
care of an individual to whom a record pertains, or who otherwise has
an existing, facially-valid Power of Attorney, including care of an
individual who is mentally incompetent or under other legal disability,
information necessary to assure application or payment of benefits to
which the individual may be entitled.
13. To disclose to the Parent Locator Service of the Department of
Health and Human Services, upon its request, the present address of an
individual covered by the system needed for enforcing child support
obligations of such individual.
14. In connection with an examination ordered by the District or
the Department under:
(A) Medical examination procedures; or
(B) Involuntary disability retirement procedures to disclose to the
representative of an employee, notices, decisions, other written
communications, or any other pertinent medical evidence other than
medical evidence about which a prudent physician would hesitate to
inform the individual; such medical evidence will be disclosed only to
a licensed physician, designated in writing for that purpose by the
individual or his or her representative. The physician must be capable
of explaining the contents of the medical record(s) to the individual
and be willing to provide the entire record(s) to the individual.
15. To disclose information to any source from which the Department
seeks additional information that is relevant to a determination of an
individual's eligibility for, or entitlement to, coverage under the
applicable retirement, life insurance, and health benefits program, to
the extent necessary to obtain the information requested.
16. To disclose information to the Office of Management and Budget
at any stage of the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB Circular
No. A-19.
17. To disclose to an agency responsible for the collection of
income taxes the information required by an agreement authorized by law
to implement voluntary income tax withholdings from benefit payments.
[[Page 20696]]
18. To disclose to the Social Security Administration the names and
Social Security numbers of individuals covered by the system when
necessary to determine: (1) Their vital status as shown in the Social
Security Master Records; and (2) whether retirees receiving benefit
payments under the District's retirement plan for police officers and
firefighters with post-1956 military service credit are eligible for or
are receiving old age or survivors benefits under section 202 of the
Social Security Act based upon their wages and self-employment income.
19. To disclose to Federal, State, and local government agencies
information to help eliminate fraud and abuse in a benefits program
administered by a requesting Federal, State, or local government
agency; to ensure compliance with Federal, State, and local government
tax obligations by persons receiving benefits payments; and/or to
collect debts and overpayments owed to the requesting Federal, State,
or local government agency.
20. To disclose to a Federal agency, or a person or an organization
under contract with a Federal agency to render collection services for
a Federal agency as permitted by law, in response to a written request
from the head of the agency or his designee, or from the debt
collection contractor, data concerning an individual owing a debt to
the Federal Government.
21. To disclose, as permitted by law, information to a State court
or administrative agency in connection with a garnishment, attachment,
or similar proceeding to enforce alimony or a child support obligation.
22. To disclose information necessary to locate individuals who are
owed money or property by a Federal, State or local government agency,
or by a financial institution or similar institution, to the government
agency owing or otherwise responsible for the money or property (or its
agent).
23. To disclose information necessary in connection with the review
of a disputed claim for health benefits to a health plan provider
participating in the Federal Employees Health Benefits Program or the
health benefits program for employees of the District, and to a program
enrollee or covered family member or an enrollee or covered family
member's authorized representative.
24. To disclose information to another Federal agency for the
purpose of effecting administrative or salary offset against a person
employed by that agency, or who is receiving or eligible to receive
benefit payments from the agency when the Department as a creditor has
a claim against that person relating to benefit payments.
25. To disclose information concerning delinquent debts relating to
benefit payments to other Federal agencies for the purpose of barring
delinquent debtors from obtaining Federal loans or loan insurance
guarantees pursuant to 31 U.S.C. 3720B.
26. To disclose to State and local governments information used for
collecting delinquent debts relating to benefit payments.
27. To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
28. To disclose to a former spouse information necessary to explain
how his/her former spouse's benefit was computed.
29. To disclose to a surviving spouse, surviving child, dependent
parent, and/or legal guardian information necessary to explain how his/
her survivor benefit was computed.
30. To disclose to a spouse or dependent child (or court-appointed
guardian thereof) of an individual covered by the system, upon request,
whether the individual (a) changed his/her election from a self-and-
family to a self-only health and/or life insurance benefit enrollment,
(b) changed his/her additional survivor benefit election, and/or (c)
received a lump-sum refund of his/her retirement contributions.
Disclosures to consumer reporting agencies:
Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this
system to consumer reporting agencies in accordance with 31 U.S.C.
3711(e).
Policies and practices for storing, retrieving, safeguarding, retaining
and disposing of records in the system:
Storage:
These records are maintained in hard copy and in an electronic
format, including (but not limited to) on magnetic tapes, disks,
microfiche.
Retrievability:
These records are retrieved by various combinations of name; date-
of-birth; Social Security number; and/or an automatically assigned,
system generated number of the individual to whom they pertain.
Safeguards:
Paper records are kept in lockable metal file cabinets or in a
secured facility with access limited to those persons whose official
duties require access. Data in electronic format is encrypted or
password protected. Personnel screening and training are employed to
prevent unauthorized disclosure.
Retention and disposal:
Records on a claim for retirement, including salary and service
history, survivor annuity elections, and tax and other withholdings are
destroyed after 115 years from the date of the former police officer's,
firefighter's, teacher's or judge's birth; or 30 years after the date
of his/her death, if no application for benefits is received. If a
survivor or former spouse receives a benefit payment, such record is
destroyed after his/her death. All other records covered by this system
may be destroyed in accordance with approved District and Department
guidelines. Paper records are destroyed by shredding or burning.
Records in electronic media are electronically erased using accepted
techniques.
System manager(s) and address:
Director, Office of DC Pensions, U.S. Department of the Treasury,
Washington, DC 20220.
Notification procedure:
Individuals seeking notification and access to any record contained
in the system of records, or seeking to contest its contents, should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Name, including all former names.
b. Date of birth.
c. Social Security number.
d. Signature.
e. Contact information.
Individuals requesting amendment of their records must also follow
the Department's Privacy Act regulations regarding verification of
identity and amendment of records (31 CFR part 1 subpart C, appendix
A).
Record access procedure:
See ``Notification procedure,'' above.
[[Page 20697]]
Contesting record procedure:
See ``Notification procedure,'' above.
Record source categories:
The information in this system is obtained from:
a. The individual to whom the information pertains.
b. District pay, leave, and allowance records.
c. Health benefits and life insurance plan systems records
maintained by the Office of Personnel Management, the District, and
health and life insurance carriers.
d. Federal civilian retirement systems.
e. Military retired pay system records.
f. Social Security Old Age, Survivor, and Disability Insurance and
Medicare Programs.
g. Official personnel folders.
h. The individual's co-workers and supervisors.
i. Physicians who have examined or treated the individual.
j. Surviving spouse, child(ren), former spouse(s), and/or dependent
parent of the individual to whom the information pertains.
k. State courts or support enforcement agencies.
l. Credit bureaus and financial institutions.
m. Government Offices of the District of Columbia, including the DC
Retirement Board.
n. The General Services Administration National Payroll Center.
o. Educational institutions.
Exemptions claimed for the system:
None.
TREASURY/DO .216
System name:
Treasury Security Access Control and Certificates Systems.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
Categories of individuals covered by the system:
Treasury employees, contractors, media representatives, other
individuals requiring access to Treasury facilities or to receive
government property, and those who need to gain access to a Treasury DO
cyber asset including the network, LAN, desktops and notebooks.
Categories of records in the system:
Individual's application for security/access badge, individual's
photograph, fingerprint record, special credentials, allied papers,
registers, and logs reflecting sequential numbering of security/access
badges. The system also contains information needed to establish
accountability and audit control of digital certificates that have been
assigned to personnel who require access to Treasury DO cyber assets
including the DO network and LAN as well as those who transmit
electronic data that requires protection by enabling the use of public
key cryptography. It also contains records that are needed to authorize
an individual's access to a Treasury network.
Records may include the individual's name, organization, work
telephone number, Social Security Number, date of birth, Electronic
Identification Number, work e-mail address, username and password,
country of birth, citizenship, clearance and status, title, home
address and phone number, biometric data including fingerprint minutia,
and alias names.
Records on the creation, renewal, replacement or revocation of
digital certificates, including evidence provided by applicants for
proof of identity and authority, sources used to verify an applicant's
identity and authority, and the certificates issued, denied and
revoked, including reasons for denial and revocation.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321; the Electronic Signatures in Global
and National Commerce Act, Pub. L. 106-229, and E.O. 9397 (SSN).
Purpose(s):
The purpose is to: Improve security to both Treasury DO physical
and cyber assets; maintain records concerning the security/access
badges issued; restrict entry to installations and activities; ensure
positive identification of personnel authorized access to restricted
areas; maintain accountability for issuance and disposition of
security/access badges; maintain an electronic system to facilitate
secure, on-line communication between Federal automated systems,
between Federal employees or contractors, and/or the public, using
digital signature technologies to authenticate and verify identity;
provide a means of access to Treasury cyber assets including the DO
network, LAN, desktop and laptops; and to provide mechanisms for non-
repudiation of personal identification and access to DO sensitive cyber
systems including but not limited to human resource, financial,
procurement, travel and property systems as well as tax, econometric
and other mission critical systems. The system also maintains records
relating to the issuance of digital certificates utilizing public key
cryptography to employees and contractors for the purpose of
transmission of sensitive electronic material that requires protection.
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 court order
where relevant or potentially relevant to a proceeding, or in
connection with criminal law proceedings;
(3) 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 the Treasury officers and employees under the Privacy
Act;
(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;
(7) Representatives of the National Archives and Records
Administration (NARA) who are conducting records management inspections
under authority of 44 U.S.C. 2904 and 2906;
(8) Other Federal agencies or entities when the disclosure of the
existence of the individual's security clearance is needed for the
conduct of government business, and
(9) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has
[[Page 20698]]
been compromised; (b) the Department has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the
security or integrity of this system or other systems or programs
(whether maintained by the Department or another agency or entity) that
rely upon the compromised information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's efforts to respond to the suspected
or confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored as electronic media and paper records.
Retrievability:
Records are retrieved by individual's name, social security number,
electronic identification number and/or access/security badge number.
Safeguards:
Entrance to data centers and support organization offices is
restricted to those employees whose work requires them to be there for
the system to operate. Identification (ID) cards are verified to ensure
that only authorized personnel are present. Disclosure of information
through remote terminals is restricted through the use of passwords and
sign-on protocols which are periodically changed. Reports produced from
the remote printers are in the custody of personnel and financial
management officers and are subject to the same privacy controls as
other documents of like sensitivity. Access is limited to authorized
employees. Paper records 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 a locked
room.
Protection and control of any sensitive but unclassified (SBU)
records are in accordance with TD P 71-10, Department of the Treasury
Security Manual. 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 on government employees and contractor employees are
retained for the duration of their employment at the Treasury
Department. The records on separated employees are destroyed or sent to
the Federal Records Center in accordance with General Records Schedule
18.
System manager(s) and address:
Departmental Offices:
a. Director, Office of Security Programs, 1500 Pennsylvania Ave.,
NW., Washington, DC 20220.
b. Chief Information Officer, 1750 Pennsylvania Ave., NW.,
Washington, DC 20006.
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, appendix A.
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 individual of the record, supervisors, other
personnel documents, and non-Federal sources such as private employers.
Exemptions claimed for the system:
None.
TREASURY/DO .217
System name:
National Financial Literacy Challenge--Treasury/DO.
System location:
Department of the Treasury, Office of Financial Education, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
Categories of individuals covered by the system:
Individuals covered by the system will be those high school
students age 13 and older and their teachers who participate in the
test.
Categories of records in the system:
The system of records will include, for Challenge participants, the
high schools' names and addresses; students' names and scores; high
school names of award winners; teachers' names, teachers' business
email addresses and business phone numbers.
Authority for maintenance of the system:
5 U.S.C. 301 and Executive Order 13455.
Purpose(s):
The records in this system will be used to identify students whose
scores on the Challenge meet the guidelines for award recognition and
to distribute the awards to the teachers, who in turn will distribute
the awards to the students. Aggregate data and reports related to the
program that may be generated and used for analysis will be in a form
that is not individually identifiable.
Routine uses of records maintained in the system including categories
of users and purposes of such uses
These records may be used to disclose information to:
(1) A court, magistrate, or administrative tribunal, in the course
of presenting evidence, including disclosures to opposing counsel or
witnesses, for the purpose of civil discovery, litigation, or
settlement negotiations or in response to a court order, where relevant
or potentially relevant to a proceeding, or in connection with criminal
law proceedings;
(2) A congressional office in response to an inquiry made at the
request of the individual (or the individual's parents or guardians) to
whom the record pertains;
(3) A contractor or a sponsor, operating in conjunction with the
Office of Financial Education to the extent necessary to present
appropriate awards;
(4) Appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm, and
(5) These records may be used to disclose award winners to the
participant's high school.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Paper records and electronic media.
[[Page 20699]]
Retrievability:
Students' scores will be retrievable by name, teacher, and school.
Teacher data is retrievable by the name and contact information of the
teacher. School information is retrievable by the name and location of
the school.
Retention and disposal:
Records will be destroyed at the earliest possible date consistent
with applicable records retention policies.
Safeguards:
All official access to the system of records is on a need-to-know
basis only, as authorized by the Office of Financial Education of the
U.S. Treasury Department. Procedural and physical safeguards, such as
personal accountability, audit logs, and specialized communications
security, will be utilized. Each user of computer systems containing
records will have individual passwords (as opposed to group passwords)
for which the user is responsible. Access to computerized records will
be limited, through use of access codes, encryption techniques, and/or
other internal mechanisms, to those whose official duties require
access. Storage facilities will be secured by various means such as
locked file cabinets with key entry.
System manager(s) and address:
Director of Outreach, Department of the Treasury, 1500 Pennsylvania
Avenue, NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, gain access to records maintained in this system, or seek
to contest its content, 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 (See 31 CFR part 1, appendix A). Address
inquiries to: Director, Disclosure Services, Department of the
Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
Records access procedures:
See ``Notification procedure'' above.
Contesting records procedures:
See ``Notification procedure'' above.
Records source categories:
Student test takers; high school points of contact; and Department
of the Treasury records.
Exemptions claimed for the system:
None.
TREASURY/DO .218
System Name:
Home Affordable Modification Program Records--Treasury/DO.
System Location:
The Office of Financial Stability, Department of the Treasury,
Washington, DC. Other facilities that maintain this system of records
are located in: Urbana, MD, Dallas, TX, and a backup facility located
in Reston, VA, all belonging to the Federal National Mortgage
Association (``Fannie Mae''); and in McLean, VA, Herndon, VA, Reston,
VA, Richardson, TX, and Denver, CO, facilities operated by or on behalf
of the Federal Home Loan Mortgage Corporation (``Freddie Mac''). Both
Fannie Mae and Freddie Mac have been designated as Financial Agents for
the Home Affordable Modification Program (``HAMP'').
Categories of Individuals Covered By the System:
This system of records contains information about mortgage
borrowers that is submitted to the Department or its Financial Agents
by loan servicers that participate in HAMP. Information collected
pursuant to HAMP is subject to the Privacy Act only to the extent that
it concerns individuals; information pertaining to corporations and
other business entities and organizations is not subject to the Privacy
Act.
Categories of Records in the System:
This system of records contains loan-level information about
individual mortgage borrowers (including loan records and financial
records). Typically, these records include, but are not limited to, the
individual's name, Social Security Number, mailing address, and monthly
income, as well as the location of the property subject to the loan,
property value information, payment history, and type of mortgage.
Authority for Maintenance of the System:
Emergency Economic Stabilization Act of 2008 (Pub. L. 110-343) (the
``EESA'').
Purpose(s):
The purpose of this system of records is to facilitate
administration of HAMP by the Department and its Financial Agents,
including by enabling them to (i) collect and utilize information
collected from mortgage loan servicers, including loan-level
information about individual mortgage holders; and (ii) produce reports
on the performance of HAMP, such as reports that concern loan
modification eligibility and ``exception reports'' that identify
certain issues that loan servicers may experience with servicing loans.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
These records may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
local or foreign agencies responsible for investigating or prosecuting
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 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 court order
where arguably relevant to a proceeding, or in connection with criminal
law proceedings;
(4) Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(5) Provide information to third parties during the course of a
Department investigation as it relates to HAMP to the extent necessary
to obtain information pertinent to that investigation;
(6) Disclose information to a consumer reporting agency to use in
obtaining credit reports;
(7) Disclose information to a debt collection agency for use in
debt collection services;
(8) Disclose information to a Financial Agent of the Department,
its employees, agents, and contractors, or to a contractor of the
Department, for the purpose of ensuring the efficient administration of
HAMP and compliance with relevant guidelines, agreements, directives
and requirements, and subject to the same or equivalent limitations
applicable to Department's officers and employees under the Privacy
Act;
(9) Disclose information originating or derived from participating
loan servicers back to the same loan servicers as needed, for the
purposes of audit,
[[Page 20700]]
quality control, and reconciliation and response to borrower requests
about that same borrower;
(10) Disclose information to Financial Agents, financial
institutions, financial custodians, and contractors to: (a) Process
mortgage loan modification applications, including, but not limited to,
enrollment forms; (b) implement, analyze and modify programs relating
to HAMP; (c) investigate and correct erroneous information submitted to
the Department or its Financial Agents; (d) compile and review data and
statistics and perform research, modeling and data analysis to improve
the quality of services provided under HAMP or otherwise improve the
efficiency or administration of HAMP; or (e) develop, test and enhance
computer systems used to administer HAMP; with all activities subject
to the same or equivalent limitations applicable to Department's
officers and employees under the Privacy Act;
(11) Disclose information to financial institutions, including
banks and credit unions, for the purpose of disbursing payments and/or
investigating the accuracy of information required to complete
transactions pertaining to HAMP and for administrative purposes, such
as resolving questions about a transaction;
(12) Disclose information to the appropriate Federal financial
regulator or State financial regulator, or to the appropriate Consumer
Protection agency, if that agency has jurisdiction over the subject
matter of a complaint or inquiry, or the entity that is the subject of
the complaint or inquiry;
(13) Disclose information and statistics to the Department of
Housing & Urban Development and the Federal Housing Finance Agency to
improve the quality of services provided under HAMP and to report on
the program's overall execution and progress;
(14) Disclose information to appropriate agencies, entities, and
persons when (a) The Department suspects or has confirmed that the
security or confidentiality of information in the system of records has
been compromised; (b) the Department has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the
security or integrity of this system or other systems or programs
(whether maintained by the Department or another agency or entity) that
rely upon the compromised information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's efforts to respond to the suspected
or confirmed compromise and prevent, minimize, or remedy such harm;
(15) Disclose information to the U.S. Department of Justice
(``DOJ'') for its use in providing legal advice to the Department or in
representing the Department in a proceeding before a court,
adjudicative body, or other administrative body before which the
Department is authorized to appear, where the use of such information
by the DOJ is deemed by the Department to be relevant and necessary to
the litigation, and such proceeding names as a party or interests:
(a) The Department or any component thereof, including the Office
of Financial Stability (``OFS'');
(b) Any employee of the Department in his or her official capacity;
(c) Any employee of the Department in his or her individual
capacity where DOJ has agreed to represent the employee; or
(d) The United States, where the Department determines that
litigation is likely to affect the Department or any of its components,
including OFS.
Policies and Practices for Storing, Retrieving, Accessing, Retaining
and Disposing of Records in the System:
Storage:
Information contained in the system of records is stored in a
transactional database and an operational data store. Information from
the system will also be captured in hard-copy form and stored in filing
cabinets managed by personnel working on HAMP.
Retrievability:
Information about individuals may be retrieved from the system by
reference including the mortgage borrower's name, Social Security
Number, address, or loan number.
Safeguards:
Safeguards designed to protect information contained in the system
against unauthorized disclosure and access include, but are not limited
to: (i) Department and Financial Agent policies and procedures
governing privacy, information security, operational risk management,
and change management; (ii) requiring Financial Agent employees to
adhere to a code of conduct concerning the aforementioned policies and
procedures; (iii) conducting background on all personnel with access to
the system of records; (iv) training relevant personnel on privacy and
information security; (v) tracking and reporting incidents of suspected
or confirmed breaches of information concerning borrowers; (vi)
establishing physical and technical perimeter security safeguards;
(vii) utilizing antivirus and intrusion detection software; (viii)
performing risk and controls assessments and mitigation, including
production readiness reviews; (ix) establishing security event response
teams; and (x) establishing technical and physical access controls,
such as role-based access management and firewalls.
Loan servicers that participate in HAMP (i) have agreed in writing
that the information they provide to Treasury or to its Financial
Agents is accurate, and (ii) have submitted a ``click through''
agreement on a Web site requiring the loan servicer to provide accurate
information in connection with using the Program Web site. In addition,
the Treasury's Financial Agents will conduct loan servicer compliance
reviews to validate data collection controls, procedures, and records.
Retention And Disposal:
Information is retained in the system on back-up tapes or in hard-
copy form for seven years, except to the extent that either (i) the
information is subject to a litigation hold or other legal retention
obligation, in which case the data is retained as mandated by the
relevant legal requirements, (ii) or the Treasury and its financial
agents need the information to carry out the Program. Destruction is
carried out by degaussing according to industry standards. Hard copy
records are shredded and recycled.
System Manager(s) And Address(es):
Deputy Assistant Secretary, Fiscal Operations and Policy,
Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington,
DC 20220.
Notification Procedure:
Individuals wishing to be notified if they are named in this system
of records, to gain access to records maintained in this system, or to
amend or correct information maintained in this system, must submit a
written request to do so in accordance with the procedures set forth in
31 CFR 1.26-.27. Address such requests to: Director, Disclosure
Services Director, Disclosure Services, Department of the Treasury,
1500 Pennsylvania Ave., NW., Washington, DC 20220.
Record Access Procedures:
See ``Notification Procedure'' above.
Contesting Record Procedure:
See ``Notification Procedure'' above.
Record Source Categories:
Information about mortgage borrowers contained in the system of
records is
[[Page 20701]]
obtained from loan servicers who participate in HAMP or developed by
the Treasury and its Financial Agents in connection with HAMP.
Information is not obtained directly from individual mortgage borrowers
to whom the information pertains.
Exemptions Claimed For The System:
None.
TREASURY/DO .219
System name:
TARP Standards for Compensation and Corporate Governance--Executive
Compensation Information.
System Location:
Office of Financial Stability, Department of the Treasury, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
Categories of individuals covered by the system:
a. Senior Executive Officers or ``SEOs.'' SEOs of TARP recipients
will be covered by the system. The term ``SEO'' means an employee of
the TARP recipient who is a ``named executive officer,'' as that term
is defined by Instruction 1 to Item 402(a)(3) of Regulation S-K of the
Federal securities laws. 17 CFR 229.402(a). A TARP recipient that is a
``smaller reporting company,'' as that term is defined by Item 10 of
Regulation S-K, 17 CFR 229.10, is required to identify SEOs consistent
with the immediately preceding sentence. A TARP recipient that is a
``smaller reporting company'' must identify at least five SEOs, even if
only three named executive officers are provided in the disclosure
pursuant to Item 402(m)(2) of Regulation S-K, 17 CFR 229.402(m)(2),
provided that no employee must be identified as an SEO if the
employee's total annual compensation does not exceed $100,000 as
defined in Item 402(a)(3)(1) of Regulation S-K. 17 CFR
229.402(a)(3)(1).
b. Most highly compensated employees. Most highly compensated
employees of TARP recipients will be covered by the system. The term
``most highly compensated employee'' means the employee of the TARP
recipient whose annual compensation is determined to be the highest
among all employees of the TARP recipient, provided that, for this
purpose, a former employee who is no longer employed as of the first
day of the relevant fiscal year of the TARP recipient is not a most
highly compensated employee unless it is reasonably anticipated that
such employee will return to employment with the TARP recipient during
such fiscal year.
c. Other employees. Certain other employees of TARP recipients may
be covered by the system in the event that the TARP recipient or the
employee requests guidance from the Department with respect to the
employee's compensation or the Department otherwise provides guidance
with respect to the employee's compensation.
Categories of records in the system:
The categories of records include, but are not limited to,
identifying information such as: name(s), employer; employee
identification number, position, and quantitative and qualitative
information with respect to the employee's performance.
The types of records in the system may be:
a. Comprehensive compensation data provided by the individual's
employer for current and prior years.
b. Information relating to compensation plan design and
documentation.
c. Company performance data relating to compensation plans.
Authority for maintenance of the system:
This system of records is authorized by 31 U.S.C. 321 as well as
section 111 of the Emergency Economic Stabilization Act of 2008
(``EESA''), as amended by the American Recovery and Reinvestment Act of
2009 (``ARRA''). 12 U.S.C. 5221.
Purpose(s):
The Department of the Treasury collects this information from each
TARP recipient in connection with the review of compensation payments
and compensation structures applicable to SEOs and certain highly
compensated employees. Information with respect to certain payments to
highly compensated employees will also be reviewed in connection with a
determination of whether such payments were inconsistent with the
purposes of section 111 of EESA or TARP, or were otherwise contrary to
the public interest.
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 or prosecuting a
violation of, or enforcing or implementing, a statute, rule,
regulation, or order, where the Department becomes aware of a potential
violation of civil or criminal law or regulation, rule or order.
2. To 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 the individual who is the subject of the
record.
3. To 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 Federal
Government is a party to the judicial or administrative proceeding. In
those cases where the Federal Government is not a party to the
proceeding, records may be disclosed if a subpoena has been signed by a
court of competent jurisdiction and Agency Touhy regulations are
followed. See 31 CFR 1.8 et seq.
4. To disclose information to the National Archives and Records
Administration (NARA) for use in its records management inspections and
its role as an Archivist.
5. To disclose information to the United States Department of
Justice (``DOJ''), for the purpose of representing or providing legal
advice to the Department in a proceeding before a court, adjudicative
body, or other administrative body before which the Department is
authorized to appear, when such proceeding involves:
(A) The Department or any component thereof;
(B) Any employee of the Department in his or her official capacity;
(C) Any employee of the Department in his or her individual
capacity where the Department of Justice or the Department has agreed
to represent the employee; or
(D) The United States, when the Department determines that
litigation is likely to affect the Department or any of its components;
and the use of such records by the DOJ is deemed by the DOJ or the
Department to be relevant and necessary to the litigation provided that
the disclosure is compatible with the purpose for which records were
collected.
6. To contractors and their agents, grantees, experts, consultants,
and others performing or working on a contract, service, grant,
cooperative agreement, or other assignment for the Department, when
necessary to accomplish an agency function related to this system of
records. Individuals provided information under this routine use are
subject to the same Privacy Act requirements and limitations on
disclosure as are applicable to Department officers and employees.
7. To appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the
[[Page 20702]]
security or confidentiality of information in the system of records has
been compromised; (b) the Department has determined that as a result of
the suspected or confirmed compromise that there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the
security or integrity of this system or other systems or programs
(whether maintained by the Department or another agency or entity) that
rely upon the compromised information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's efforts to respond to the suspected
or confirmed compromise and prevent, minimize, or remedy such harm.
8. In limited circumstances, for the purpose of compiling or
otherwise refining records that may be disclosed to the public in the
form of summary reports or other analyses provided on a Department Web
site.
Policies and practices for storing, retrieving, safeguarding, retaining
and disposing of records in the system:
Storage:
These records are maintained in both an electronic format,
including (but not limited to) on magnetic tapes, disks, microfiche,
and hardcopy paper reports.
Retrievability:
These records may be retrieved by various combinations of employer
name, individual name, position and/or level of compensation.
Safeguards:
Data in electronic format is encrypted or password protected.
Direct access is limited to employees within the Office of Financial
Stability whose duties require access. The building where the records
are maintained is locked after hours and has a 24-hour security guard.
Personnel screening and training are employed to prevent unauthorized
disclosure.
Retention and disposal:
The records will be maintained indefinitely until a record
disposition schedule submitted to the National Archives Records
Administration has been approved.
System manager(s) and address:
Director, Office of Compliance, U.S. Department of the Treasury,
1500 Pennsylvania Avenue, Washington, DC 20220.
Notification procedure:
Individuals seeking notification and access to any record contained
in the system of records, or seeking to contest its contents, should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Employer.
c. Signature.
d. Contact information.
[Individuals requesting amendment of their records must also follow
the Department's Privacy Act regulations regarding verification of
identity and amendment of records (31 CFR part 1 subpart C, appendix
A).]
Record access procedure:
See ``Notification procedure,'' above.
Contesting record procedure:
See ``Notification procedure,''' above.
Record source categories:
The information in this system is obtained from the individual's
employer.
Exemptions claimed for the system:
None.
TREASURY/DO .301
System name:
TIGTA General Personnel and Payroll.
System location:
National Headquarters, 1125 15th Street, NW., Washington, DC 20005,
field offices listed in Appendices A and B, Bureau of Public Debt, 200
Third Street, Parkersburg, WV 26106-1328, and Transaction Processing
Center, U.S. Department of Agriculture, National Finance Center.
Categories of individuals covered by the system:
Current and former TIGTA employees.
Categories of records in the system:
This system consists of a variety of records relating to personnel
actions and determinations made about TIGTA employees. These records
contain data on individuals required by the Office of Personnel
Management (OPM) and which may also be contained in the Official
Personnel File (OPF). This system may also contain letters of
commendation, recommendations for awards, awards, reprimands, adverse
or disciplinary charges, and other records which OPM and TIGTA require
or permit to be maintained. This system may include records that are
maintained in support of a personnel action such as a position
management or position classification action, a reduction-in-force
action, and priority placement actions. Other records maintained about
an individual in this system are performance appraisals and related
records, expectation and payout records, employee performance file
records, suggestion files, award files, financial and tax records, back
pay files, jury duty records, outside employment statements, clearance
upon separation documents, unemployment compensation records, adverse
and disciplinary action files, supervisory drop files, records relating
to personnel actions, furlough and recall records, work measurement
records, emergency notification records, and employee locator and
current address records. This system includes records created and
maintained for purposes of administering the payroll system. Time-
reporting records include timesheets and records indicating the number
of hours by TIGTA employee attributable to a particular project, task,
or audit. This system also includes records related to travel expenses
and/or costs. This system includes records concerning employee
participation in the mobile-workplace (telecommuting) program. This
system also contains records relating to life and health insurance,
retirement coverage, designations of beneficiaries, and claims for
survivor or death benefits.
Authority for maintenance of the system:
5 U.S.C. app. 3, and 5 U.S.C. 301, 1302, 2951, 4506, Ch. 83, 87,
and 89.
Purpose(s):
This system consists of records compiled for personnel, payroll and
time-reporting purposes. In addition, this system contains all records
created and/or maintained about employees as required by the Office of
Personnel Management (OPM) as well as documents relating to personnel
matters and determinations. Retirement, life, and health insurance
benefit records are collected and maintained in order to administer the
Federal Employee's Retirement System (FERS), Civil Service Retirement
System (CSRS), Federal Employee's Group Life Insurance Plan, and, the
Federal Employees' Health Benefit Program.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
(1) Disclose pertinent information to Federal, State, local, or
foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or
[[Page 20703]]
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which the agency
is authorized to appear when: (a) The agency, or (b) any employee of
the agency in his or her official capacity, or (c) any employee of the
agency in his or her individual capacity where the Department of
Justice or the agency has agreed to represent the employee, or (d) the
United States, when the agency determines that litigation is likely to
affect the agency, is a party of the 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;
(4) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties in order to obtain
information pertinent and necessary for the hiring or retention of an
individual and/or to obtain information pertinent to an investigation;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
(10) Provide information to educational institutions for
recruitment and cooperative education purposes;
(11) Provide information to a Federal, State, or local agency so
that the agency may adjudicate an individual's eligibility for a
benefit;
(12) Provide information to a Federal, State, or local agency or to
a financial institution as required by law for payroll purposes;
(13) Provide information to Federal agencies to effect inter-agency
salary offset and administrative offset;
(14) Provide information to a debt collection agency for debt
collection services;
(15) Respond to State and local authorities for support garnishment
interrogatories;
(16) Provide information to private creditors for the purpose of
garnishment of wages of an employee if a debt has been reduced to a
judgment;
(17) Provide information to a prospective employer of a current or
former TIGTA employee;
(18) In situations involving an imminent danger of death or
physical injury, disclose relevant information to an individual or
individuals who are in danger;
(19) Provide information to the Office of Workers' Compensation,
Veterans Administration Pension Benefits Program, Social Security Old
Age, Survivor and Disability Insurance and Medicare Programs, Federal
civilian employee retirement systems, and other Federal agencies when
requested by that program, for use in determining an individual's claim
for benefits;
(20) Provide information necessary to support a claim for health
insurance benefits under the Federal Employees' Health Benefits Program
to a health insurance carrier or plan participating in the program;
(21) Provide information to hospitals and similar institutions to
verify an employee's coverage in the Federal Employees' Health Benefits
Program;
(22) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(23) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt
information concerning a claim against an individual may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and dispensing of records in the system:
Storage:
Electronic media, paper records, and microfiche.
Retrievability:
Name, Social Security Number, and/or claim number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Records are maintained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedule, Nos. 1 and 2.
System manager(s) and address:
General Personnel Records--Assistant Inspector General for Mission
Support/Chief Financial Officer. Time-reporting records: (1) For Office
of Audit employees--Deputy Inspector General for Audit; (2) For Office
of Chief Counsel employees--Chief Counsel; (3)
[[Page 20704]]
For Office of Investigations employees--Deputy Inspector General for
Investigations; and(4) For Office of Mission Support/Chief Financial
Officer employees--Assistant Inspector General for Mission Support/
Chief Financial Officer--1125 15th Street, NW., Room 700A, Washington,
DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
Record access procedures:
See ``Notification Procedures'' above.
Contesting records procedures:
See ``Notification Procedures'' above.
Record source categories:
Information in this system of records either comes from the
individual to whom it applies, is derived from information supplied by
that individual, or is provided by Department of the Treasury and other
Federal agency personnel and records.
Exemptions claimed for the system:
None.
TREASURY/DO .302
System name:
TIGTA Medical Records.
System location:
(1) Health Improvement Plan Records--Office of Investigations, 1125
15th Street, NW., Washington, DC 20005 and field division offices
listed in Appendix A; and, (2) All other records of: (a) Applicants and
current TIGTA employees: Office of Mission Support/Chief Financial
Officer, TIGTA, 1125 15th Street, NW., Washington, DC 20005 and/or
Bureau of Public Debt, 200 Third Street, Parkersburg, WV 26106-1328;
and, (b) former TIGTA employees: National Personnel Records Center,
9700 Page Boulevard, St. Louis, MO 63132.
Categories of individuals covered by the system:
(1) Applicants for TIGTA employment; (2) Current and former TIGTA
employees; (3) Applicants for disability retirement; and, (4) Visitors
to TIGTA offices who require medical attention while on the premises.
Categories of records in the system:
(1) Documents relating to an applicant's mental/physical ability to
perform the duties of a position; (2) Information relating to an
applicant's rejection for a position because of medical reasons; (3)
Documents relating to a current or former TIGTA employee's mental/
physical ability to perform the duties of the employee's position; (4)
Disability retirement records; (5) Health history questionnaires,
medical records, and other similar information for employees
participating in the Health Improvement Program; (6) Fitness-for-duty
examination reports; (7) Employee assistance records; (8) Injury
compensation records relating to on-the-job injuries of current or
former TIGTA employees; and, (9) Records relating to the drug testing
program.
Authority for maintenance of the system:
5 U.S.C. app. 3, 5 U.S.C. 301, 3301, 7301, 7901, and Ch. 81, 87 and
89.
Purpose(s):
To maintain records related to employee physical exams, fitness-
for-duty evaluations, drug testing, disability retirement claims,
participation in the Health Improvement Program, and worker's
compensation claims. In addition, these records may be used for
purposes of making suitability and fitness-for duty determinations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
With the exception of Routine Use ``(1),'' none of the other
Routine Uses identified for this system of records are applicable to
records relating to drug testing under Executive Order 12564 ``Drug-
Free Federal Work Place.'' Further, such records shall be disclosed
only to a very limited number of officials within the agency, generally
only to the agency Medical Review Official (MRO), the administrator of
the agency Employee Assistance Program, and the management official
empowered to recommend or take adverse action affecting the individual.
Records may be used to:
(1) Disclose the results of a drug test of a Federal employee
pursuant to an order of a court of competent jurisdiction where
required by the United States Government to defend against any
challenge against any adverse personnel action;
(2) 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 a potential violation of civil or
criminal law, or regulation;
(3) 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;
(4) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which the agency
is authorized to appear when (a) the agency, or (b) any employee of the
agency in his or her official capacity, or (c) any employee of the
agency in his or her individual capacity where the Department of
Justice or the agency has agreed to represent the employee, or (d) the
United States, when the agency determines that litigation is likely to
affect the agency, is a party to litigation or has an interest in such
litigation, and the use of such records by the agency is deemed to be
relevant and necessary to the litigation or administrative proceeding
and not otherwise privileged;
(5) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(6) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(7) Provide information to third parties in order to obtain
information pertinent and necessary for the hiring or retention of an
individual and/or to obtain information pertinent to an investigation;
(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) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
[[Page 20705]]
(10) Provide information to Federal or State agencies responsible
for administering Federal benefits programs and private contractors
engaged in providing benefits under Federal contracts;
(11) Disclose information to an individual's private physician
where medical considerations or the content of medical records indicate
that such release is appropriate;
(12) Disclose information to other Federal or State agencies to the
extent provided by law or regulation;
(13) In situations involving an imminent danger of death or
physical injury, disclose relevant information to an individual or
individuals who are in danger;
(14) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(15) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and dispensing of records in the system:
Storage:
Paper records, electronic media, and x-rays.
Retrievability:
Records are retrievable by name, Social Security Number, date of
birth and/or claim number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Records are maintained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedule, No. 1.
System manager(s) and address:
(1) Health Improvement Program records--Deputy Inspector General
for Investigations, TIGTA, 1125 15th Street, NW., Room 700A,
Washington, DC 20005; and, (2) All other records--Assistant Inspector
General for Mission Support/Chief Financial Officer, TIGTA, 1125 15th
Street, NW., Room 700A, Washington, DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart c, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Section, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
(1) The subject of the record; (2) Medical personnel and
institutions; (3) Office of Workers' Compensation personnel and
records; (4) Military Retired Pay Systems Records; (5) Federal civilian
retirement systems; (6) General Accounting Office pay, leave allowance
cards; (7) OPM Retirement, Life Insurance and Health Benefits Records
System and Personnel Management Records System; (8) Department of
Labor; and, (9) Federal Occupation Health Agency.
Exemptions claimed for the system:
None.
TREASURY/DO .303
System name:
TIGTA General Correspondence.
System location:
National Headquarters, 1125 15th Street, NW., Washington, DC 20005,
and field offices listed in Appendices A and B.
Categories of individuals covered by the system:
(1) Initiators of correspondence; and, (2) Persons upon whose
behalf the correspondence was initiated.
Categories of records in the system:
(1) Correspondence received by TIGTA and responses generated
thereto; and, (2) Records used to respond to incoming correspondence.
Special Categories of correspondence may be included in other systems
of records described by specific notices.
Authority for maintenance of the system:
5 U.S.C. app. 3 and 5 U.S.C. 301.
Purpose(s):
This system consists of correspondence received by TIGTA from
individuals and their representatives, oversight committees, and others
who conduct business with TIGTA and the responses thereto; it serves as
a record of in-coming correspondence and the steps taken to respond
thereto.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
(1) Disclose 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 a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA is
authorized to appear when (a) the agency, or (b) any employee of the
agency in his or her
[[Page 20706]]
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;
(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 or in response to a subpoena where arguably relevant to
a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(7) Provide information to the news media, in accordance with
guidelines contained in 28 CFR 50.2;
(8) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(9) Provide information to other Offices of Inspectors General, the
President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA'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, and
(10) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and dispensing of records in the system:
Storage:
Paper records and electronic media.
Retrievability:
By name of the correspondent and/or name of the individual to whom
the record applies.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Paper records are maintained and disposed of in accordance with a
record disposition schedule approved by the National Archives Records
Administration. TIGTA is in the process of requesting approval for a
record retention schedule for electronic records maintained in this
system. These electronic records will not be destroyed until TIGTA
receives such approval.
System manager(s) and address:
Assistant Inspector General for Mission Support/Chief Financial
Officer, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that
are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and
(k)(2).
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Some records contained within this system of records are exempt
from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2). Non-
exempt sources of information include: (1) Initiators of the
correspondence; and (2) Federal Treasury personnel and records.
Exemptions claimed for the system:
Some records contained within this system of records are 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 .304
System name:
TIGTA General Training Records.
System location:
National Headquarters, 1125 15th Street, NW., Washington, DC 20005;
Federal Law Enforcement Training Center (FLETC), Glynco, GA 31524.
Categories of individuals covered by the system:
(1) TIGTA employees; and, (2) Other Federal or non-Government
individuals who have participated in or assisted with training programs
as instructors, course developers, or interpreters.
Categories of records in the system:
(1) Course rosters; (2) Student registration forms; (3) Nomination
forms; (4) Course evaluations; (5) Instructor lists; (6) Individual
Development Plans (IDPs); (7) Counseling records; (8) Examination and
testing materials; (9) Payment records; (10) Continuing professional
education requirements; (11) Officer safety files and firearm
qualification records; and, (12) Other training records necessary for
reporting and evaluative purposes.
Authority for maintenance of the system:
5 U.S.C. app. 3, 5 U.S.C. 301 and Ch. 41, and Executive Order
11348, as amended by Executive Order 12107.
Purpose(s):
These records are collected and maintained to document training
received by TIGTA employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be used to:
[[Page 20707]]
(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 a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(4) Disclose information to a court, magistrate or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties to the extent necessary to
obtain information pertinent to the training request or requirements
and/or in the course of an investigation to the extent necessary to
obtain information pertinent to the investigation;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
(10) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(11) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and dispensing of records in the system:
Storage:
Paper and electronic media.
Retrievability:
Name, Social Security Number, course title, date of training, and/
or location of training.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Records are maintained and disposed in accordance with the
appropriate National Archives and Records Administration General
Records Schedule, No. 1.
System manager(s) and address:
(1) For records concerning Office of Investigations employees--
Deputy Inspector General for Investigations; (2) For records concerning
Office of Audit employees--Deputy Inspector General for Audit; (3) For
Office of Chief Counsel employees--Chief Counsel; and, (4) For Office
of Mission Support/Chief Financial Officer employees--Assistant
Inspector General for Mission Support/Chief Financial Officer--1125
15th Street, NW., Room 700A, Washington, DC, 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
(1) The subject of the record; and, (2) Treasury personnel and
records.
Exemptions claimed for the system:
None.
TREASURY/DO .305
System name:
TIGTA Personal Property Management Records.
System location:
Office of Information Technology, TIGTA 1125 15th, NW., Washington,
DC 20005.
Categories of individuals covered by the system:
Current and former TIGTA employees.
Categories of records in the system:
Information concerning personal property assigned to TIGTA
employees including descriptions and identifying information about the
property, custody receipts, property passes, maintenance records, and
other similar records.
Authority for maintenance of the system:
5 U.S.C. app. 3, 5 U.S.C. 301, and 41 CFR Subtitle C Ch. 101 and
102.
[[Page 20708]]
Purpose(s):
The purpose of this system is to maintain records concerning
personal property, including but not limited to, computers and other
similar equipment, motor vehicles, firearms and other law enforcement
equipment, communication equipment, computers, fixed assets, credit
cards, telephone calling cards, credentials, and badges assigned to
TIGTA employees for use in their official duties.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies, 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 a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(4) Disclose information to a court, magistrate or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
(10) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(11) To appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper and electronic media.
Retrievability:
Indexed by name and/or identification number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Records are maintained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedules, Nos. 4 and 10.
System manager(s) and address:
Assistant Inspector General for Mission Support/Chief Financial
Officer, Office of Mission Support/Chief Financial Officer, 1125 15th
Street, NW., Room 700A, Washington, DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
(1) The subject of the record; (2) Treasury personnel and records;
(3) Vehicle maintenance facilities; (4) Property manufacturer; and, (5)
Vehicle registration and licensing agencies.
Exemptions claimed for the system:
None.
TREASURY/DO .306
System name:
TIGTA Recruiting and Placement Records.
System location:
Office of Mission Support/Chief Financial Officer, 1125 15th
Street, NW., Washington, DC 20005 and/or Bureau of Public Debt, 200
Third Street, Parkersburg, WV 26106-1328.
[[Page 20709]]
Categories of individuals covered by the system:
(1) Applicants for employment; and, (2) Current and former TIGTA
employees.
Categories of records in the system:
(1) Application packages and Resumes; (2) Related correspondence;
and, (3) Documents generated as part of the recruitment and hiring
process.
Authority for maintenance of the system:
5 U.S.C. app. 3, 5 U.S.C. 301 and Ch. 33, and Executive Orders
10577 and 11103.
Purpose(s):
The purpose of this system is to maintain records received from
applicants applying for positions with TIGTA and relating to
determining eligibility for employment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(4) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties to the extent necessary to
obtain information pertinent to the recruitment, hiring, and/or
placement determination and/or during the course of an investigation to
the extent necessary to obtain information pertinent to the
investigation;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
(10) Disclose information to officials of Federal agencies for
purposes of consideration for placement, transfer, reassignment, and/or
promotion of TIGTA employees;
(11) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(12) To appropriate agencies, entities, and persons when: (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper and electronic media.
Retrievability:
Records are indexed by name, Social Security Number, and/or vacancy
announcement number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access disposal.
Retention and Disposal:
Records in this system are maintained and disposed of in accordance
with the appropriate National Archives and Records Administration
General Records Schedule, No. 1.
System manager(s) and address:
Assistant Inspector General for Mission Support/Chief Financial
Officer, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that
are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(k)(5) and
(k)(6).
Record access procedures:
See ``Notification Procedures'' above.
[[Page 20710]]
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
(1) The subject of the record; (2) Office of Personnel Management;
and, (3) Treasury personnel and records.
Exemptions claimed for the system:
Some records in this system have been designated as exempt from 5
U.S.C. 552a (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H),
and (I), and (f) pursuant to 5 U.S.C. 552a (k)(5) and (k)(6). See 31
CFR 1.36.
TREASURY/DO .307
System name:
TIGTA Employee Relations Matters, Appeals, Grievances, and
Complaint Files.
System location:
Office of Mission Support/Chief Financial Officer, TIGTA 1125 15th
Street, NW., Washington, DC 20005.
Categories of individuals covered by the system:
Current, former, and prospective TIGTA employees.
Categories of records in the system:
(1) Requests, (2) Appeals, (3) Complaints, (4) Letters or notices
to the subject of the record, (5) Records of hearings, (6) Materials
relied upon in making any decision or determination, (7) Affidavits or
statements, (8) Investigative reports, and, (9) Documents effectuating
any decisions or determinations.
Authority for maintenance of the system:
5 U.S.C. app 3 and 5 U.S.C. 301, Ch. 13, 31, 33, 73, and 75.
Purpose(s):
This system consists of records compiled for administrative
purposes concerning personnel matters affecting current, former, and/or
prospective TIGTA employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(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 or in response to a court order where arguably relevant
to a proceeding;
(5) Diclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Provide information to Executive agencies, including, but not
limited to the Office of Personnel Management, Office of Government
Ethics, and General Accounting Office in order to obtain legal and/or
policy guidance;
(10) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
(11) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(12) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper and electronic media.
Retrievability:
Indexed by the name of the individual and case number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subjects of a background investigation, on a need-to-know
basis. Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Records are maintained and disposed of in accordance with the
appropriate National Archives and Records Administration General
Records Schedule, No. 1.
[[Page 20711]]
System manager(s) and address:
Assistant Inspector General for Mission Support/Chief Financial
Officer, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that
are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and
(k)(2).
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
(1) The subject of the records; (2) Treasury personnel and records;
(3) Witnesses; (4) Documents relating to the appeal, grievance, or
complaint; and, (5) EEOC, MSPB, and other similar organizations.
Exemptions claimed for the system:
This system may contain investigative records that are 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 .308
System name:
TIGTA Data Extracts.
System location:
National Headquarters, 1125 15th Street N.W., Washington, DC 20005,
Office of Mission Support/Chief Financial Officer, 4800 Buford Highway,
Chamblee, GA 30341, and Office of Investigations, Strategic Enforcement
Division, 550 Main Street, Cincinnati, OH 45202.
Categories of individuals covered by the system:
(1) The subjects or potential subjects of investigations; (2)
Individuals who have filed, are required to file tax returns, or are
included on tax returns, forms, or other information filings; (3)
Entities who have filed or are required to file tax returns, IRS forms,
or information filings as well as any individuals listed on the
returns, forms and filings; and, (4) Taxpayer representatives.
Categories of records in the system:
Data extracts from various databases maintained by the Internal
Revenue Service consisting of records collected in performance of its
tax administration responsibilities as well as records maintained by
other governmental agencies, entities, and public record sources. This
system also contains information obtained via TIGTA's program of
computer matches.
Authority for maintenance of the system:
5 U.S.C. app. 3 and 5 U.S.C. 301.
Purpose(s):
This system consists of data extracts from various electronic
systems of records maintained by governmental agencies and other
entities. The data extracts generated by TIGTA are used for audit and
investigative purposes and are necessary to identify and deter fraud,
waste, and abuse in the programs and operations of the Internal Revenue
Service (IRS) and related entities as well as to promote economy,
efficiency, and integrity in the administration of the internal revenue
laws and detect and deter wrongdoing by IRS and TIGTA employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(4) Disclose information to a court, magistrate or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
(10) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(11) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has
[[Page 20712]]
been compromised; (b) the Department has determined that as a result of
the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the
security or integrity of this system or other systems or programs
(whether maintained by the Department or another agency or entity) that
rely upon the compromised information; and (c) the disclosure made to
such agencies, entities, and persons is reasonably necessary to assist
in connection with the Department's efforts to respond to the suspected
or confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and dispensing of records in the system:
Storage:
Paper records and electronic media.
Retrievability:
By name, Social Security Number, Taxpayer Identification Number,
and/or employee identification number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
TIGTA is in the process of requesting approval of a new record
retention schedule concerning the records in this system of records.
These records will not be destroyed until TIGTA receives approval from
the National Archives and Records Administration.
System manager(s) and address:
Deputy Inspector General for Mission Support/Chief Financial
Officer, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that
are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and
(k)(2).
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above. 26 U.S.C. 7852(e) prohibits
Privacy Act amendment of tax records.
Record source categories:
Some records contained within this system of records are exempt
from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2). Non-
exempt record source categories include the following: Department of
the Treasury personnel and records.
Exemptions claimed for the system:
Some records contained within this system of records are 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 .309
System name:
TIGTA Chief Counsel Case Files.
System location:
Office of Chief Counsel, TIGTA, 1125 15th Street, NW., Washington,
DC 20005.
Categories of individuals:
Parties to and persons involved in litigations, actions, personnel
matters, administrative claims, administrative appeals, complaints,
grievances, advisories, and other matters assigned to, or under the
jurisdiction of, the Office of Chief Counsel.
Categories of records in the system:
(1) Memoranda, (2) Complaints, (3) Claim forms, (4) Reports of
Investigations, (5) Accident reports, (6) Witness statements and
affidavits, (7) Pleadings, (8) Correspondence, (9) Administrative
files, (10) Case management documents, and (11) Other records collected
or generated in response to matters assigned to the Office of Chief
Counsel.
Purpose(s):
This system contains records created and maintained by the Office
of Chief Counsel for purposes of providing legal service to TIGTA.
Authority for maintenance of the system:
5 U.S.C. app. 3, and 5 U.S.C. 301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be 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 a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(4) Disclose information to a court, magistrate or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purposes of litigating an action or seeking legal advice;
[[Page 20713]]
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to an investigation or matter under consideration;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Provide information to Executive agencies, including, but not
limited to the Office of Personnel Management, Office of Government
Ethics, and General Accounting Office;
(10) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing any personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
authorized duties;
(11) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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, and
(12) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12). Disclosures of debt
information concerning a claim against an individual may be made from
this system to consumer reporting agencies as defined in the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims
Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and electronic media.
Retrievability:
Records are retrievable by the name of the person to whom they
apply and/or by case number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of a background investigation, on a need-to-know
basis. Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Paper records are maintained and disposed of in accordance with a
record disposition schedule approved by the National Archives and
Records Administration. TIGTA is in the process of requesting approval
for a record retention schedule for electronic records maintained in
this system. These electronic records will not be destroyed until TIGTA
receives such approval.
System manager(s) and address:
Office of Chief Counsel, TIGTA, 1125 15th Street, NW., Room 700A,
Washington, DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that
are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and
(k)(2).
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Some records in this system are exempt from the requirement that
the record source categories be disclosed pursuant to the provisions of
5 U.S.C. 552a(j)(2) and (k)(2). Non-exempt record source categories
include the following: (1) Department of Treasury personnel and
records, (2) The subject of the record, (3) Witnesses, (4) Parties to
disputed matters of fact or law, (5) Congressional inquiries, and, (6)
Other Federal agencies including, but not limited to, the Office of
Personnel Management, the Merit Systems Protection Board, and the Equal
Employment Opportunities Commission.
Exemptions claimed for the system:
Some of the records in this system are exempt from 5 U.S.C.
552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (d)(5)(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 .310
System Name:
TIGTA Chief Counsel Disclosure Branch Records.
System location:
Office of Chief Counsel, Disclosure Branch, TIGTA, 1125 15th
Street, NW., Washington, DC 20005.
Categories of individuals covered by the system:
(1) Requestors for access and amendment pursuant to the Privacy Act
of 1974, 5 U.S.C. 552a; (2) Subjects of requests for disclosure of
records; (3) Requestors for access to records pursuant to 26 U.S.C.
6103; (4) TIGTA employees who have been subpoenaed or requested to
produce TIGTA documents or testimony on behalf of TIGTA in judicial or
administrative proceedings; (5) Subjects of investigations who have
been referred to another law enforcement authority; (6) Subjects of
investigations who are parties to a judicial or administrative
proceeding in which testimony of TIGTA employees or production of TIGTA
documents has been sought; and, (7) Individuals initiating
correspondence or inquiries processed or controlled by the Disclosure
Section.
Categories of records in the system:
(1) Requests for access to and/or amendment of records, (2)
Responses to such requests, (3) Records processed and released in
response to such requests, (4) Processing records, (5) Requests or
subpoenas for testimony, (6)
[[Page 20714]]
Testimony authorizations, (7) Referral letters, (8) Documents referred,
(9) Record of disclosure forms, and (10) Other supporting
documentation.
Authority for maintenance of the system:
5 U.S.C. 301 and 552a, 26 U.S.C 6103, and 31 CFR 1.11.
Purpose(s):
The purpose of this system is to enable compliance with applicable
Federal disclosure laws and regulations, including statutory record-
keeping requirements. In addition, this system will be utilized to
maintain records obtained and/or generated for purposes of responding
to requests for access, amendment, and disclosure of TIGTA records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing, or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law, or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(4) Disclose information to a court, magistrate or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to an investigation or matter under consideration.
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Provide information to other Offices of Inspectors General, the
President's Council on Integrity and Efficiency, and the Department of
Justice, in connection with their review of TIGTA'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, and
(10) To appropriate agencies, entities, and persons when (a) The
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (b) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (c) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and/or electronic media.
Retrievability:
Name of the requestor, name of the subject of the investigation,
and/or name of the employee requested to produce documents or to
testify.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
TIGTA is in the process of requesting approval for a record
retention schedule for records maintained in this system. These records
will not be destroyed until TIGTA receives such approval.
System manager(s) and address:
Chief Counsel, TIGTA, 1125 15th Street, NW., Room 700A, Washington,
DC 20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that
are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and
(k)(2).
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Some records in this system are exempt from the requirement that
the record source categories be disclosed pursuant to the provisions of
5 U.S.C. 552a(j)(2) and (k)(2). Non-exempt record source categories
include the following: (1) Department of Treasury personnel and
records, (2) Incoming requests, and (3) Subpoenas and requests for
records and/or testimony.
[[Page 20715]]
Exemptions claimed for the system:
This system may contain records that are 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 .311
System name:
TIGTA Office of Investigations Files.
System location:
National Headquarters, Office of Investigations, 1125 15th Street,
NW., Washington, DC 20005 and Field Division offices listed in Appendix
A.
Categories of individuals covered by the system:
(1) The subjects or potential subjects of investigations; (2) The
subjects of complaints received by TIGTA; (3) Persons who have filed
complaints with TIGTA; (4) Confidential informants; and (5) TIGTA
Special Agents.
Categories of records in the system:
(1) Reports of investigations, which may include, but are not
limited to, witness statements, affidavits, transcripts, police
reports, photographs, documentation concerning requests and approval
for consensual telephone and consensual non-telephone monitoring, the
subject's prior criminal record, vehicle maintenance records, medical
records, accident reports, insurance policies, and other exhibits and
documents collected during an investigation; (2) Status and disposition
information concerning a complaint or investigation including
prosecutive action and/or administrative action; (3) Complaints or
requests to investigate; (4) General case materials and documentation
including, but not limited to, Chronological Case Worksheets (CCW),
fact sheets, agent work papers, Record of Disclosure forms, and other
case management documentation; (5) Subpoenas and evidence obtained in
response to a subpoena; (6) Evidence logs; (7) Pen registers; (8)
Correspondence; (9) Records of seized money and/or property; (10)
Reports of laboratory examination, photographs, and evidentiary
reports; (11) Digital image files of physical evidence; (12) Documents
generated for purposes of TIGTA's undercover activities; (13) Documents
pertaining to the identity of confidential informants; and (14) Other
documents collected and/or generated by the Office of Investigations
during the course of official duties.
Authority for maintenance of the system:
5 U.S.C. app. 3 and 5 U.S.C. 301.
Purpose(s):
The purpose of this system of records is to maintain information
relevant to complaints received by TIGTA and collected as part of
investigations conducted by TIGTA's Office of Investigations. This
system also includes investigative material compiled by the IRS's
Office of the Chief Inspector, which was previously maintained in the
following systems of records: Treasury/IRS 60.001-60.007 and 60.009-
60.010.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of returns and return information may be made only as
provided by 26 U.S.C. 6103. Records other than returns and return
information may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies, or other public authority responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of a potential violation of civil or
criminal law or regulation;
(2) 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;
(3) Disclose information in a proceeding before a court,
adjudicative body, or other administrative body before which TIGTA 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;
(4) Disclose information to a court, magistrate or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witness in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings or in response to a court order where arguably relevant
to a proceeding;
(5) Disclose information to the Department of Justice for the
purpose of litigating an action or seeking legal advice;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(7) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(8) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2;
(9) Disclose information to the Equal Employment Opportunity
Commission, Merit Systems Protection Board, arbitrators, and other
parties responsible for processing personnel actions or conducting
administrative hearings or appeals, or if needed in the performance of
other authorized duties;
(10) In situations involving an imminent danger of death or
physical injury, disclose relevant information to an individual or
individuals who are in danger; and
(11) Provide information to other Offices of Inspectors General,
the President's Council on Integrity and Efficiency, and the Department
of Justice, in connection with their review of TIGTA'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; and,
(12) Disclose information to complainants, victims, or their
representatives (defined for purposes here to be a complainant's or
victim's legal counsel or a Senator or Representative whose assistance
the complainant or victim has solicited) concerning the status and/or
results of the investigation or case arising from the matters of which
they complained and/or of which they were a victim, including, once the
investigative subject has exhausted all reasonable appeals, any action
taken. Information concerning the status of the investigation or case
is limited strictly to whether the investigation or case is open or
closed. Information concerning the results of the investigation or case
is limited strictly to whether the allegations made in the complaint
were substantiated or were not substantiated
[[Page 20716]]
and, if the subject has exhausted all reasonable appeals, any action
taken.
Policies and practices for storing, retrieving, accessing, retaining,
and dispensing of records in the system:
Storage:
Paper records and electronic media.
Retrievability:
By name, Social Security Number, and/or case number.
Safeguards:
The records are accessible to TIGTA personnel, all of whom have
been the subject of background investigations, on a need-to-know basis.
Disclosure of information through remote terminals is restricted
through the use of passwords and sign-on protocols, which are
periodically changed; these terminals are accessible only to authorized
persons. Paper records are maintained in locked facilities and/or
cabinets with restricted access.
Retention and disposal:
Some of the records in this system are maintained and disposed of
in accordance with a record disposition schedule approved by the
National Archives and Records Administration. TIGTA is in the process
of requesting approval of new records schedules concerning all records
in this system of records. Records not currently covered by an approved
record retention schedule will not be destroyed until TIGTA receives
the National Archives and Records Administration.
System manager(s) and address:
Deputy Inspector General for Investigations, Office of
Investigations, TIGTA, 1125 15th Street, NW., Room 700A, Washington, DC
20005.
Notification procedure:
Individuals seeking notification and access to any record contained
in this system of records, or seeking to contest its content, may
inquire in writing in accordance with instructions appearing at 31 CFR
part 1, subpart C, appendix A. Written inquiries should be addressed to
the Office of Chief Counsel, Disclosure Branch, Treasury Inspector
General for Tax Administration, 1125 15th Street, NW., Room 700A,
Washington, DC 20005. This system of records may contain records that
are exempt from the notification, access, and contesting records
requirements pursuant to the provisions of 5 U.S.C. 552a(j)(2) and
(k)(2).
Record access procedures:
See ``Notification Procedures'' above.
Contesting record procedures:
See ``Notification Procedures'' above.
Record source categories:
Some records contained within this system of records are exempt
from the requirement that the record source categories be disclosed
pursuant to the provisions of 5 U.S.C. 552a(j)(2) and (k)(2). Non-
exempt record source categories include the following: Department of
the Treasury personnel and records, complainants, witnesses,
governmental agencies, tax returns and related documents, subjects of
investigations, persons acquainted with the individual under
investigation, third party witnesses, Notices of Federal Tax Liens,
court documents, property records, newspapers or periodicals, financial
institutions and other business records, medical records, and insurance
companies.
Exemptions claimed for the system:
Some records contained within this system of records are 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)
Appendix A--Office of Investigations, TIGTA
Field Division SAC Offices
Treasury IG for Tax Administration, 401 West Peachtree St.,
Atlanta, GA 30308.
Treasury IG for Tax Administration, 200 W. Adams, Chicago, IL
60606.
Treasury IG for Tax Administration, 4050 Alpha Rd., Dallas, TX
75244-4203.
Treasury IG for Tax Administration, 600 17th St., Denver, CO
80202.
Treasury IG for Tax Administration, 201 Varick Street, New York,
NY 10014.
Treasury IG for Tax Administration, 1301 Clay Street, Oakland,
CA 94612.
Treasury IG for Tax Administration, New Carrollton Federal
Bldg., 5000 Ellin Road, Lanham, MD 20706.
Treasury IG for Tax Administration, 12119 Indian Creek Court,
Beltsville, MD 20705.
Appendix B--Audit Field Offices, TIGTA
Treasury IG for Tax Administration, 310 Lowell Street, Andover,
MA 01812.
Treasury IG for Tax Administration, 401 W. Peachtree St.,
Atlanta, GA 30308-3539.
Treasury IG for Tax Administration, Atlanta Service Center, 4800
Buford Highway, Chamblee, GA 30341.
Treasury IG for Tax Administration, 3651 South Interstate 35,
Austin, TX 78741.
Treasury IG for Tax Administration, 31 Hopkins Plaza, Fallon
Federal Building, Baltimore, MD 21201.
Treasury IG for Tax Administration, 1040 Waverly Ave,
Holtsville, NY 11742.
Treasury IG for Tax Administration, 200 W Adams, Chicago, IL
60606.
Treasury IG for Tax Administration, Peck Federal Office Bldg,
550 Main Street, Room 5028, Cincinnati, OH 45201.
Treasury IG for Tax Administration, 4050 Alpha Road, Dallas, TX
75244.
Treasury IG for Tax Administration, 600 17th Street, Denver, CO
80202.
Treasury IG for Tax Administration, 197 State Route 18 South,
East Brunswick NJ 08816.
Treasury IG for Tax Administration, Fresno Service Center, 5045
E. Butler Stop 11, Fresno, CA 93888.
Treasury IG for Tax Administration, 7850 SW 6th Court,
Plantation, FL 33324.
Treasury IG for Tax Administration, 333 West Pershing Road,
Kansas City, MO 64131.
Treasury Inspector General for Tax Administration--Audit, 24000
Avila Road, Laguna Niguel, CA 92677.
Treasury IG for Tax Administration, 312 East First Street, Los
Angeles, CA 90012.
Treasury IG for Tax Administration, 5333 Getwell Rd, Memphis, TN
38118.
Treasury IG for Tax Administration, 201 Varick Street, Room
1054, New York, NY 10014.
Treasury IG for Tax Administration, 1160 West 1200 South, Ogden,
Utah 84201.
Treasury IG for Tax Administration, Federal Office Building, 600
Arch Street, Philadelphia, PA 19106.
Treasury IG for Tax Administration, Philadelphia Service Center,
11601 Roosevelt Boulevard, Philadelphia, PA 19154.
Treasury IG for Tax Administration, 915 2nd Avenue, Seattle, WA
98174.
Treasury IG for Tax Administration, 1222 Spruce, St. Louis, MO
63103.
Treasury IG for Tax Administration, 92 Montvale Avenue,
Stoneham, MA 02180.
Treasury IG for Tax Administration, Ronald Dellums Federal
Bldg., 1301 Clay Street, Oakland, CA 94612.
[FR Doc. 2010-8926 Filed 4-19-10; 8:45 am]
BILLING CODE 4810-25-P