Privacy Act: Systems of records,
[Federal Register: August 9, 2005 (Volume 70, Number 152)]
[Notices]
[Page 46267-46301]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr09au05-139]
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Part II
Department of the Treasury
Privacy Act of 1974; Systems of Records; Notice
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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. Other changes include the deletion of a routine use from DO .144-General Counsel Litigation Referral and Reporting System, and the title of DO .060 being changed from ``Correspondence Files and Records on Employee Complaints and/or Dissatisfaction'' to ``Correspondence Files and Records on Dissatisfaction.''
This publication also incorporates the amendments to several systems of records maintained by the Departmental Offices that were published on October 4, 2002, and March 31, 2003, at 67 FR 62290 and 68 FR 15555 respectively.
Twelve systems of records have been added to the Department's inventory of Privacy Act notices since February 19, 2002, as follows:
DO .214-D.C. Pensions Retirement Records (October 9, 2002, at 67 FR 63012). DO .311-TIGTA Office of Investigations Files (May 22, 2003, at 68 FR 28046).
On September 22, 2003, systems of records for the Treasury Inspector General for Tax Administration (TIGTA) were published beginning at 68 FR 55086:
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.
Prior to October 26, 2001, The Financial Crimes Enforcement Network (FinCEN) was an office located within the Departmental Offices of the Department of the Treasury. Pursuant to Section 361 of the USA Patriot Act, Pub. L. 107-56, FinCEN was established as a separate Treasury bureau. The following systems of records were transferred to FinCEN and renumbered on November 25, 2003, (see 68 FR 66159):
DO .200--FinCEN Data Base DO .212--Suspicious Activity Reporting System (SARS) DO .213--Bank Secrecy Act Reports System
The following systems of records are being removed from the Department's inventory of Privacy Act notices:
DO .183--Private Relief Tax Bill Files DO .201--Fitness Center Records
The systems notices are reprinted in their entirety following the Table of Contents.
This notice covers all systems of records adopted up to July 1, 2005.
Dated: July 28, 2005. Nicholas Williams, Deputy Assistant Secretary for Headquarters Operations.y
Table of Contents
Departmental Offices (DO) DO .003--Law Enforcement Retirement Claims Records DO .007--General Correspondence Files DO .010--Office of Domestic Finance, Actuarial Valuation System DO .015--Political Appointee Files. DO .060--Correspondence Files and Records on Dissatisfaction (formerly: Correspondence Files and Records On Employee Complaints and/or Dissatisfaction) DO .111--Office of Foreign Assets Control Census Records DO .114--Foreign Assets Control Enforcement Records DO .118--Foreign Assets Control Licensing Records DO .144--General Counsel Litigation Referral and Reporting System DO .149--Foreign Assets Control Legal Files DO .190--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 .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 Resources Strategy and Solutions, 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.
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.
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Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
These records may be used:
(1) To disclose pertinent information to the appropriate Federal, state, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
(2) To disclose information to any source from which additional information is requested in the course of processing a claim, to the extent necessary to identify the individual whose claim is being adjudicated, inform the source of the purpose(s) of the request, and identify the type of information requested;
(3) To disclose information to a Federal agency, in response to its request, in connection with the hiring or retention of an individual, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to requesting the agency's decision on the matter;
(4) To provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
(5) To disclose information which is necessary and relevant to the Department of Justice or to a court when the Government is party to a judicial proceeding before the court;
(6) To provide information to the National Archives and Records Administration for use in records management inspections conducted under authority of 44 U.S.C. 2904 and 2908;
(7) To disclose information to officials of the Merit Systems Protection Board, the Office of the Special Counsel, the Federal Labor Relations Authority, the Equal Employment Opportunity Commission, or the Office of Personnel Management when requested in performance of their authorized duties;
(8) To disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing Counsel or witnesses in the course of civil discovery, litigation or settlement negotiations in response to a subpoena where relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings; and
(9) To provide information to officials of labor organizations recognized under the Civil Service Reform Act when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices, and matters affecting work conditions.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
File folders and electronic media.
Retrievability:
By the names of the individuals on whom they are maintained.
Safeguards:
Lockable metal filing cabinets to which only authorized personnel have access. Automated databases are password protected.
Retention and disposal:
Disposed of after closing of the case in accordance with General Records Schedule 1, Civilian Personnel Records, Category 7d.
System manager(s) and addresses:
Director, Office of Human Resources Strategy and Solutions, 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. 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:
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Office of Foreign Assets Control.
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Office of Tax Policy.
-
Office of International Affairs.
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Office of the Executive Secretariat.
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Office of Legislative Affairs.
Categories of individuals covered by the system:
Members of Congress, U.S. Foreign Service officials, officials and employees of the Treasury Department, officials of municipalities and state governments, and the general public, foreign nationals, members of the news media, businesses, officials and employees of other Federal Departments and agencies.
Categories of records in the system:
Incoming correspondence and replies pertaining to the mission, function, and operation of the Department, tasking sheets, and internal Treasury memorandum.
Authority for maintenance of the system:
5 U.S.C. 301.
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Purpose(s):
The manual systems and/or electronic databases (e.g., Treasury Automated Document System (TADS)) used by the system managers are to manage the high volume of correspondence received by the Departmental Offices and to accurately respond to inquiries, suggestions, views and concerns expressed by the writers of the correspondence. It also provides the Secretary of the Treasury with sentiments and statistics on various topics and issues of interest to the Department.
Routine uses of records maintained in the system including categories of users and the purposes of such uses:
These records may be used to:
(1) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
(2) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions relating to civil and criminal proceedings;
(3) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114;
(4) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation;
(5) Provide information to appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license;
(6) Provide information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings.
Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system: Storage:
Paper records, file folders and magnetic media.
Retrievability:
By name of individual or letter number, address, assignment control number, or organizational relationship.
Safeguards:
Access is limited to authorized personnel with a direct need to know. Rooms containing the records are locked after business hours. Some folders are stored in locked file cabinets in areas of limited accessibility except to employees. Others are stored in electronically secured areas and vaults. Access to electronic records is by password.
Retention and disposal:
Some records are maintained for three years, then destroyed by burning. Other records are updated periodically and maintained as long as needed. Some electronic records are periodically updated and maintained for two years after date of response; hard copies of those records are disposed of after three months in accordance with the NARA schedule. Paper records of the Office of the Executive Secretary are stored indefinitely at the Federal Records Center.
System manager(s) and addresses:
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Director, Office of Foreign Assets Control, U.S. Treasury Department, Room 2233, Treasury Annex, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
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Freedom of Information Act Officer, Office of Tax Policy, U.S. Treasury Department, Room 5037G-MT, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
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Manager, International Affairs Business Office, U.S. Treasury Department, Room 4456-MT, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
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Director, VIP Correspondence, Office of the Executive Secretariat, U.S. Treasury Department, Room 3419-MT, Washington, DC 20220.
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Deputy to the Assistant Secretary, Office of Legislative Affairs, U.S. Treasury Department, Room 3464-MT, Washington, DC 20220.
Notification Procedure:
Individuals wishing to be notified if they are named in this system of records, or to gain access to records maintained in this system may inquire in accordance with instructions appearing at 31 CFR part 1, subpart C, appendix A. Individuals must submit a written request containing the following elements: (1) Identify the record system; (2) identify the category and type of records sought; and (3) provide at least two items of secondary identification (date of birth, employee identification number, dates of employment or similar information). Address inquiries to 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:
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
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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:
Data regarding specific individuals is released only to the contributing agency for purposes of verification.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Data is stored electronically.
Retrievability:
Alphabetically.
Safeguards:
Access is restricted to 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, or gain access to records maintained in this system must submit a written request containing the following elements: (1) Identify the record system; (2) identify the category and type of records sought; and (3) provide at least two items of secondary identification (date of birth, employee identification number, dates of employment or similar information). Address inquiries to Assistant Director, Disclosure Services (see ``Record access procedures'' below).
Record Access procedures:
Director, Disclosure Services, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
Contesting Record procedures:
See ``Record access procedures'' above.
Record source categories:
Data for actuarial valuation are provided by organizations responsible for pension funds 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 individual; newspaper and magazine articles written about or referring to the individual; and or articles containing quotes by the individual, and other correspondence relating to the selection and appointment of political appointees.
Authority for maintenance of the system:
5 U.S.C. 3301, 3302 and E.O. 10577.
Purpose(s):
These records are used by authorized personnel within the Department to determine a potential candidate's suitability for appointment to non-career positions within the Department of the Treasury.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
These records may be disclosed to:
(1) The Office of Personnel Management, Merit Systems Protection Board, Equal Employment Opportunity Commission, and General Accounting Office for the purpose of properly administering Federal personnel systems or other agencies' systems in accordance with applicable laws, Executive Orders, and regulations;
(2) A Federal, state, local or foreign agency maintaining civil, criminal or other relevant enforcement information or other pertinent information which has requested information relevant to or necessary to the requesting agency's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
(3) A court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation or settlement negotiations in response to a subpoena where relevant or potentially relevant to a proceeding, or in connection with criminal law proceedings;
(4) A congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
(5) Third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation; and
(6) Appropriate Federal, state, local or foreign agencies responsible for investigating or prosecuting the violation of, or for implementing a statute, regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Correspondence and forms in file folders. Records are also maintained in electronic media.
Retrievability:
Information accessed by last name of individual and Social Security Number.
Safeguards:
Building employs security guards. Data is kept in locked file cabinets and is accessible to authorized personnel only. Electronic media is password protected.
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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 3024, 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 Resources Strategy and Solutions, 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 investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or potential civil or criminal law or regulation;
(2) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
(3) Provide information to unions recognized as exclusive bargaining representatives under the Civil Service Reform Act of 1978, 5 U.S.C. 7111 and 7114;
(4) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
File folders, file cabinets.
Retrievability:
By bureau and employee name.
Safeguards:
Maintained in filing cabinet and released only to Office of Personnel staff or other Treasury officials on a need-to-know basis.
Retention and disposal:
Records are maintained and disposed of in accordance with Department of the Treasury Directive 25-02, ``Records Disposition Management Program'' and the General Records Schedule.
System manager(s) and address:
Director, Office of Human Resources Strategy and Solutions, Department of the Treasury, Washington, DC 20220.
Notification procedure:
Persons inquiring as to the existence of a record on themselves may contact: Director, 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.
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
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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.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Records stored on magnetic media and/or as hard copy documents.
Retrievability:
By name of holder or custodian or owner of blocked property.
Safeguards:
Locked room, or in locked file cabinets located in areas in which access is limited to Foreign Assets Control employees. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated and maintained as long as needed. When no longer needed, records are retired to Federal Records Center or destroyed in accordance with established procedures.
System Manager and address:
Director, Office of Foreign Assets Control, 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;
[[Page 46274]]
(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosure to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in response to a subpoena or in connection with criminal law proceedings when the United States or any agency or subdivision thereof is a party to any of the above proceedings and such information is determined to be arguably relevant to the proceeding;
(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
(5) Provide information to a Congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
File folders and magnetic media.
Retrievability:
By name of individual.
Safeguards:
Folders in locked file cabinets are located in areas of limited accessibility. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated and are maintained as long as necessary. When no longer needed, records are retired to Federal Records Center or destroyed in accordance with established procedures.
System manager(s) and address:
Director, Office of Foreign Assets Control, 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 subpoena or in connection with criminal law proceedings when the United States or any agency or subdivision thereof is a party to any of the above proceedings and such information is determined to be arguably relevant to the proceeding;
(5) Disclose information to foreign governments in accordance with formal or informal international agreements;
(6) Provide information to a Congressional office in response to an inquiry made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
File folders and magnetic media.
Retrievability:
The records are retrieved by license or letter number.
Safeguards:
Folders in locked filed cabinets are located in areas of limited accessibility. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated to reflect changes and maintained as long as needed. When no longer needed, records are retired to Federal Records Center or destroyed in accordance with established procedures.
System manager(s) and addresses:
Director, Office of Foreign Assets Control, 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)
[[Page 46275]]
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 Pennsylvania Ave., NW., Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Applicants for Treasury Department licenses under regulations administered by the Office of Foreign Assets Control.
Exemptions claimed for the system:
None. TREASURY/DO .144
System name:
General Counsel Litigation Referral and Reporting System--Treasury/ DO.
System location:
U.S. Department of the Treasury, Office of the General Counsel, 1500 Pennsylvania Avenue NW., Washington, DC 20220.
Categories of individuals covered by the system:
Persons who are parties, plaintiff or defendant, in civil litigation or administrative proceedings involving or concerning the Department of the Treasury or its officers or employees. The system does not include information on every civil litigation or administrative proceeding involving the Department of the Treasury or its officers and employees.
Categories of records in the system:
This system of records consists of a computer data base containing information related to litigation or administrative proceedings involving or concerning the Department of the Treasury or its officers or employees.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 301.
Purpose(s):
The purposes of this system are: (1) To record service of process and the receipt of other documents relating to litigation or administrative proceedings involving or concerning the Department of the Treasury or its officers or employees, and (2) to respond to inquiries from Treasury personnel, personnel from the Justice Department and other agencies, and other persons concerning whether service of process or other documents have been received by the Department in a particular litigation or proceeding.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
These records may be used to:
(1) Disclose pertinent information to appropriate Federal, State, or foreign agencies responsible for investigating or prosecuting the violations of, or for implementing, a statute, rule, regulation, order, or license, where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
(2) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or retention of an individual, or issuance of a security clearance, license, contract, grant, or other benefit;
(3) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations in response to a subpoena or in connection with criminal law proceedings;
(4) Disclose information to foreign governments in accordance with formal or informal international agreements;
(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
(6) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
The computerized records are maintained in computer data banks. Printouts of the data may be made.
Retrievability:
The computer information is accessible by the name of the non- government party involved in the case, and case number and docket number (when available).
Safeguards:
Access is limited to employees who have a need for such records in the course of their work. Background checks are made on employees. All facilities where records are stored have access limited to authorized personnel.
Retention and disposal:
The computer information is maintained for up to ten years or more after a record is created.
System manager(s) and address:
Office of the General Counsel, Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system of records, or gain access to records maintained in this system must submit a written request containing the following elements: (1) An identification of the record system; and (2) an identification of the category and type of records sought. This system contains records that are exempt under 31 CFR l.36; 5 U.S.C. 552a(j)(2); and (k)(2). Address inquiries to: 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). TREASURY/DO .149
System name:
Foreign Assets Control Legal Files--Treasury/DO
System location:
U.S. Department of the Treasury, Room 3133-Annex, Washington, DC 20220.
Categories of individuals covered by the system:
Persons who are or who have been parties in litigation or other matters
[[Page 46276]]
involving the Office of Foreign Assets Control or involving statutes and regulations administered by the agency found at 31 CFR part 1 subpart B, chapter V.
Categories of records in the system:
Information and documents relating to litigation and other matters involving the Office of Foreign Assets Control or statutes and regulations administered by the agency.
Authority for maintenance of the system:
31 U.S.C. 301; 50 U.S.C. App. 5(b); 50 U.S.C. 1701 et seq; 22 U.S.C. 278(c); and other statutes relied upon by the President to impose economic sanctions.
Purpose(s):
These records are maintained to assist in providing legal advice to the Office of Foreign Assets Control and the agency regarding issues of compliance, enforcement, investigation, and implementation of matters related to the Office of Foreign Assets Control and the statutes and regulations administered by the agency. These records are also maintained to assist in litigation related to the Office of Foreign Assets Control and the statutes and regulations administered by the agency.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
These records may be used to:
(1) Prosecute, defend, or intervene in litigation related to the Office of Foreign Assets Control and statutes and regulations administered by the agency, (2) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing or implementing, a statute, rule, regulation, order or license;
(3) Disclose information to a Federal, State, or local agency, maintaining civil, criminal, or other relevant enforcement information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's official functions;
(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations or in connection with criminal law proceedings;
(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Folders in file cabinets and magnetic media.
Retrievability:
By name of private plaintiff or defendant.
Safeguards:
Folders are in lockable file cabinets located in areas of limited public accessibility. Where records are maintained on computer hard drives, access to the files is password-protected.
Retention and disposal:
Records are periodically updated and maintained as long as needed.
System manager(s) and address:
Chief Counsel, Foreign Assets Control, U.S. Treasury Department, 1500 Pennsylvania Ave., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system of records, or gain access to records maintained in this system must submit a written request containing the following elements: (1) Identify the record system; (2) identify the category and type of records sought; and (3) provide at least two items of secondary identification (date of birth, employee identification number, dates of employment or similar information).
Record access procedures:
Address inquiries to: 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 investigation; material obtained pursuant to requests made to other Federal agencies; orders, opinions, and decisions of courts.
Exemptions claimed for the system:
None. TREASURY/DO .190
System name:
Investigation Data Management System--Treasury/DO.
System location:
Office of Inspector General (OIG), Assistant Inspector General for Investigations, 740 15th St., NW., Suite 500, Washington, DC 20220.
Categories of individuals covered by the system:
(A) Current and former employees of the Department of the Treasury and persons whose association with current and former employees relate to the alleged violations of the rules of ethical conduct for employees of the Executive Branch, the Department's supplemental standards of ethical conduct, the Department's rules of conduct, merit system principles, or any other criminal or civil misconduct, which affects the integrity or facilities of the Department of Treasury. The names of individuals and the files in their names may be: (1) Received by referral; or (2) initiated at the discretion of the Office of the Inspector General in the conduct of assigned duties.
(B) Individuals who are: Witnesses; complainants; confidential or non-confidential informants; suspects; defendants; parties who have been identified by the Office of the Inspector General, constituent units of the Department of Treasury, other agencies, or members of the general public in connection with the authorized functions of the Inspector General.
(C) Current and former senior Treasury and bureau officials who are the subject of investigations initiated and conducted by the Office of the Inspector General.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of alleged criminal or administrative misconduct.
(B) Investigative files which include: (1) Reports of investigations to resolve allegations of misconduct or violations of law with related exhibits, statements, affidavits, records or other pertinent documents obtained during investigations; (2) transcripts and documentation concerning requests and approval for consensual (telephone and consensual non-telephone) monitoring; (3) reports from or to other law enforcement bodies; (4) prior criminal or noncriminal records of individuals as they relate to the investigations; and (5) reports of actions taken by management personnel regarding misconduct and reports of legal actions resulting from violations of statutes referred to the Department of Justice for prosecution.
Authority for maintenance of the system:
The Inspector General Act of 1978, as amended, 5 U.S.C.A. App.3; 5 U.S.C. 301; 31 U.S.C. 321.
[[Page 46277]]
Purpose(s):
The records and information collected and maintained in this system are used to (a) receive allegations of violations of the standards of ethical conduct for employees of the Executive Branch (5 CFR part 2635), the Treasury Department's supplemental standards of ethical conduct (5 CFR part 3101), the Treasury Department's rules of conduct (31 CFR part 0), the Office of Personnel Management merit system principles, or any other criminal or civil law; and to (b) prove or disprove allegations which the OIG receives that are made against Department of the Treasury employees, contractors and other individuals associated with the Department of the Treasury.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
These records may be used to:
(1) Disclose information to the Department of Justice in connection with actual or potential criminal prosecution or civil litigation;
(2) Disclose pertinent information to appropriate Federal, State, local, or foreign agencies responsible for investigating or prosecuting the violations of, or for enforcing or implementing a statute, rule, regulation, order, or license, or where the disclosing agency becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
(3) Disclose information to a Federal, State, or local agency, maintaining civil, criminal or other relevant enforcement information or other pertinent information, which has requested information relevant to or necessary to the requesting agency's or the bureau's hiring or retention of an employee, or the issuance of a security clearance, license, contract, grant, or other benefit;
(4) Disclose information to a court, magistrate, or administrative tribunal in the course of presenting evidence, including disclosures to opposing counsel or witnesses in the course of civil discovery, litigation, or settlement negotiations in response to a subpoena or in connection with criminal law proceedings;
(5) Provide information to a congressional office in response to an inquiry made at the request of the individual to whom the record pertains;
(6) Provide information to the news media in accordance with guidelines contained in 28 CFR 50.2 which relate to an agency's functions relating to civil and criminal proceedings;
(7) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation.
(8) Provide information to the Office of Inspector General of the Department of Justice with respect to investigations involving the Bureau of Alcohol, Tobacco and Firearms; and to the Office of Inspector General of the Department of Homeland Security with respect to investigations involving the Secret Service, Customs Service, and Federal Law Enforcement Training Center, for such OIGs' use in carrying out their obligations under the Inspector General Act of 1978, as amended, 5 U.S.C.A. Appendix 3 and other applicable laws; and
(9) Provide information to other OIGs, the President's Council on Integrity and Efficiency, and the Department of Justice, in connection with their review of Treasury OIG's exercise of statutory law enforcement authority, pursuant to section 6(e) of the Inspector General Act of 1978, as amended, 5 U.S.C.A. Appendix 3.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Paper records in file jackets are maintained in a secured locked room. Electronic records are password protected; backup media are maintained in a locked room.
Retrievability:
Paper: Alphabetically by name of subject or complainant, by case number, and by special agent name and/or employee identifying number. Electronic: by complainant, subject, victim, or witness case number, and by special agent name.
Safeguards:
Paper records and word processing disks are maintained in locked safes and all access doors are locked when offices are vacant. 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 have significant or historical value, they are retained on-site for 3 years, then retired to the Federal Records Center for 22 years, at which time they are transferred to the National Archives and Records Administration for permanent retention. In addition, an automated investigative case tracking system is maintained on-site; the case information deleted 15 years after the case is closed, or when no longer needed, whichever is later.
System manager(s) and address:
Assistant Inspector General for Investigations, 740 15th St., NW., Suite 500, Washington, DC 20220.
Notification procedure:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this system of records may not be accessed for purposes of determining if the system contains a record pertaining to a particular individual, or for contesting the contents of a record.
Record Access procedures:
See ``Notification procedure'' above.
Contesting Record procedures:
See ``Notification procedure'' above.
Record source categories:
See ``Categories of individuals'' above. This system contains investigatory material for which sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36. TREASURY/DO .191
System name:
Human Resources and Administrative Records System.
System location:
Office of Inspector General (OIG), all headquarters, and field offices. (See appendix A.)
Categories of individuals covered by the system:
Current and former employees of the Office of Inspector General.
Categories of records in the system:
(1) Personnel system records contain OIG employee name, positions, grade and series, salaries, and related information pertaining to OIG employment; (2) Tracking records contain status information on audits,
[[Page 46278]]
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; (5) Travel records contain information regarding dates, locations, costs, and purpose of official travel conducted by employees; (6) Training records contain information about dates, locations, subjects, and costs of training provided 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 General Accounting Office, the President's Council on Integrity and Efficiency and other Federal agencies; and (3) provide accurate information critical to the OIG's daily operation, including employee performance and conduct.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
(1) A record from the system of records, which indicates, either by itself or in combination with other information, a violation or potential violation of law, whether civil or criminal, and whether arising by statute, regulation, rule or order issued pursuant thereto, may be disclosed to a Federal, State, local, or foreign agency or other public authority that investigates or prosecutes or assists in investigation or prosecution of such violation, or enforces or implements or assists in enforcement or implementation of the statute, rule, regulation or order.
(2) A record from the system of records may be disclosed to a Federal, State, local, or foreign agency or other public authority, or to private sector (i.e., non-Federal, State, or local government) agencies, organizations, boards, bureaus, or commissions, which maintain civil, criminal, or other relevant enforcement records or other pertinent records, such as current licenses in order to obtain information relevant to an agency investigation, audit, or other inquiry, or relevant to a decision concerning the hiring or retention of an employee or other personnel action, the issuance of a security clearance, the letting of a contract, the issuance of a license, grant or other benefit, the establishment of a claim, or the initiation of administrative, civil, or criminal action. Disclosure to the private sector may be made only when the records are properly constituted in accordance with agency requirements; are accurate, relevant, timely and complete; and the disclosure is in the best interest of the Government.
(3) A record from the system of records may be disclosed to a Federal, State, local, or foreign agency or other public authority, or private sector (i.e., non-Federal, State, or local government) agencies, organizations, boards, bureaus, or commissions, if relevant to the recipient's hiring or retention of an employee or other personnel action, the issuance of a security clearance, the letting of a contract, the issuance of a license, grant or other benefit, the establishment of a claim, or the initiation of administrative, civil, or criminal action. Disclosure to the private sector may be made only when the records are properly constituted in accordance with agency requirements; are accurate, relevant, timely and complete; and the disclosure is in the best interest of the Government.
(4) A record from the system of records may be disclosed to any source, private or public, to the extent necessary to secure from such source information relevant to a legitimate agency investigation, audit, or other inquiry.
(5) A record from the system of records may be disclosed to the Department of Justice when the agency or any component thereof, or any employee of the agency in his or her official capacity, or any employee of the agency in his or her individual capacity where the Department of Justice has agreed to represent the employee, or the United States, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the use of such records by the Department of Justice is deemed by the agency to be relevant and necessary to the litigation and the use of such records by the Department of Justice is therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records.
(6) A record from the system of records may be disclosed in a proceeding before a court or adjudicative body, when the agency, or any component thereof, or any employee of the agency in his or her official capacity, or any employee of the agency in his or her individual capacity where the agency has agreed to represent the employee, or the United States, where the agency determines that litigation is likely to affect the agency or any of its components, is a party to litigation or has an interest in such litigation, and the agency determines that use of such records is relevant and necessary to the litigation and the use of such records is therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the agency collected the records.
(7) A record from the system of records may be disclosed to a Member of Congress from the record of an individual in response to an inquiry from the Member of Congress made at the request of that individual.
(8) A record from the system of records may be disclosed to the Department of Justice and the Office of Government Ethics for the purpose of obtaining advice regarding a violation or possible violation of statute, regulation, rule or order or professional ethical standards.
(9) A record from the system of records may be disclosed to the Office of Management and Budget for the purpose of obtaining its advice regarding agency obligations under the Privacy Act, or in connection with the review of private relief legislation.
(10) A record from the system of records may be disclosed in response to a subpoena issued by a Federal agency having the power to subpoena records of other Federal agencies if, after careful review, the OIG determines that the records are both relevant and necessary to the requesting agency's needs and the purpose for which the records will be used is compatible with the purpose for which the records were collected.
(11) A record from the system of records may be disclosed to a private contractor for the purpose of compiling, organizing, analyzing, programming, or otherwise refining records subject to the same limitations applicable to U.S. Department of Treasury officers and employees under the Privacy Act.
(12) A record from the system of records may be disclosed to a grand jury agent pursuant either to a Federal or State grand jury subpoena, or to a prosecution request that such record be released for the purpose of its introduction to a grand jury provided that the Grand Jury channels its request through the cognizant U.S. Attorney, that the U.S. Attorney has been delegated the authority to make such requests by the Attorney General, that she or he actually signs the letter specifying both the information sought and the law enforcement purpose
[[Page 46279]]
served. In the case of a State Grand Jury subpoena, the State equivalent of the U.S. Attorney and Attorney General shall be substituted.
(13) A record from the system of records may be disclosed to a Federal agency responsible for considering suspension or debarment action where such record would be relevant to such action.
(14) A record from the system of records may be disclosed to an entity or person, public or private, where disclosure of the record is needed to enable the recipient of the record to take action to recover money or property of the United States Department of the Treasury, where such recovery will accrue to the benefit of the United States, or where disclosure of the record is needed to enable the recipient of the record to take appropriate disciplinary action to maintain the integrity of the programs or operations of the Department of the Treasury.
(15) A record from the system of records may be disclosed to a Federal, state, local or foreign agency, or other public authority, for use in computer matching programs to prevent and detect fraud and abuse in benefit programs administered by an agency, to support civil and criminal law enforcement activities of any agency and its components, and to collect debts and over payments owed to any agency and its components.
(16) A record from the system of records may be disclosed to a public or professional licensing organization when such record indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
(17) A record from the system of records may be disclosed to the Office of Management and Budget, the General Accounting Office, the President's Council on Integrity and Efficiency and other Federal agencies for mandated reports.
Disclosure to consumer reporting agencies:
Debtor information may also be furnished, in accordance with 5 U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) to consumer reporting agencies to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Paper records and electronic media.
Retrievability:
Most files are accessed by OIG employee name, employee identifying number, office, or cost center. Some records may be accessed by entering equipment or project information.
Safeguards:
Access is limited to OIG employees who have a need for such information in the course of their work. 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 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 Services, 740 15th Street, NW., Suite 510, Washington, DC 20220.
Field Locations:
Contact System Manager for addresses.
Department of the Treasury, Office of Inspector General, Office of Audit, San Francisco, CA 94105.
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.
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.
[[Page 46280]]
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 1318-MT, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
Categories of individuals covered by the system:
Employees who borrow library materials or receive library materials on distribution. The system also contains records concerning interlibrary loans to local libraries which are not subject to the Privacy Act.
Categories of records in the system:
Records of items borrowed from the Treasury Library collection and patron records are maintained on central computer. Records are maintained by name of borrower, office locator information, and title of publication.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Track circulation of library materials and their borrowers.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
These records may be used to disclose information to a congressional office in response to an inquiry made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Electronic media.
Retrievability:
Data can be retrieved from the system by borrower name or bar code number and publication title or its associated bar code number.
Safeguards:
Access to the system requires knowledge of password identification codes and protocols for calling up the data files. Access to the records is limited to staff of the Readers Services Branch who have a need-to-know the information for the performance of their duties.
Retention and disposal:
Only current data are maintained on-line. Records for borrowers are deleted when employee leaves Treasury.
System manager(s) and address:
Chief Librarian, Department of the Treasury, Room 1318-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.
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 to appropriate Federal agencies and for enforcing or
[[Page 46281]]
implementing a statute, rule, regulation or order.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Hard Copy paper files.
Retrievability:
Manually filed and indexed by office or bureau, date, name of official and position title, where appropriate.
Safeguards:
Secured in security equipment to which access is limited to personnel with the need to know.
Retention and disposal:
With the exception of the Record of Security Violation, which is maintained for a period of two years, and the Security Orientation Acknowledgment, the remaining records are destroyed and/or updated on an annual basis. Destruction is effected by shredding or other comparable means.
System manager(s) and address:
Director of Security 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 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 Resources for Departmental Offices Advisory Services, 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:
These records may be disclosed to a court of competent jurisdiction where required by the United States Government to defend against any challenge against any adverse personnel action.
Policies and practices for storing, retrieving, accessing, retaining and disposing of records in the system: Storage:
Records consist of paper records maintained in file folders and magnetic media.
Retrievability:
Records are retrieved by name of employee, position, title, social security number, I.D. number (if assigned), or any combination of these.
Safeguards:
Records will be stored in secure containers, e.g., safes, locked filing cabinets, etc. Access to such records is restricted to individuals having direct responsibility for the administration of the agency's Drug-Free Workplace Program. Procedural and documentary requirements of Pub. L. 100-71 and the Department of Health and Human Services Guidelines will be followed.
Retention and disposal:
Records are retained for two years and then destroyed by shredding, burning, or, in case of magnetic media, erasure. Written records and test results may be retained up to five years or longer when necessary due to challenges or appeals of adverse action by the employee.
System manager(s) and address:
Departmental Offices, Office of Human Resources for Departmental Offices, 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;
[[Page 46282]]
contractor laboratories that test urine samples for the presence of illegal drugs; Medical Review Officers; supervisors and managers and other Departmental Offices official engaged in administering the Drug- Free Workplace Program; the Employee Assistance Program, and processing adverse actions based on drug test results.
Exemptions claimed for the system:
None. TREASURY/DO .207
System name:
Waco Administrative Review Group Investigation--Treasury/DO.
System location:
(a) Department of the Treasury, 1500 Pennsylvania Ave., NW. Washington, DC 20220.
(b) Bureau of Alcohol, Tobacco, Firearms And Explosives (ATFE), 650 Massachusetts Avenue, NW., Washington, DC 20226.
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 nontelephone monitoring;
(3) Reports from or to other law enforcement bodies;
(4) Prior criminal or noncriminal records of individuals as they relate to the investigations;
(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 subpoena, where relevant and necessary, or in connection with criminal law proceedings;
(5) Provide information to third parties during the course of an investigation to the extent necessary to obtain information pertinent to the investigation; and
(6) Provide a report to the President and the Secretary of the Treasury detailing the investigation and findings concerning the events leading to the former Bureau of Alcohol, Tobacco & Firearms' execution of search and arrest warrants at the Branch Davidian compound, near Waco, Texas, on February 28, 1993.
[[Page 46283]]
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 ATFE Headquarters which 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 and ATFE. All access doors are locked when office is vacant. The records are available on a need-to-know basis to Treasury personnel and the ATFE Office of Chief Counsel 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 are transferred to the Federal Records Center, Suitland, Maryland, for Storage and in most instances destroyed by burning, maceration or pulping when 20 years old.
System manager(s) and address:
(a) 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.
(b) Official maintaining records at the ATFE: Chief Counsel, Bureau of Alcohol, Tobacco, Firearms and Explosives (ATFE), 650 Massachusetts Avenue, NW., Washington, DC 20226.
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, and
(5) Information to a Congressional office in response to an inquiry made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Maintained in file folders and on electronic media.
Retrievability:
Retrieved by name of the individual contractor and contract number.
[[Page 46284]]
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 Services Contractor, and Treasury employees.
Exemptions claimed for the system:
None. TREASURY/DO .214
System name:
DC Pensions Retirement Records.
System Location:
Office of DC Pensions, Department of the Treasury, Metropolitan Square, Washington, DC 20220. Certain records pertaining to Federal benefit payments are located with contractors engaged by the Department of the Treasury (Department), bureaus of the Department, and the government of the District of Columbia (District).
Categories of individuals covered by the system:
-
Former District teachers, police officers and firefighters who performed service subject to the District's retirement plans for teachers, and police officers and firefighters, on or before June 30, 1997.
-
Former District judges, regardless of their dates of service.
-
Current District teachers, police officers, firefighters, who have performed service prior to July 1, 1997:
(1) That may make them eligible to receive Federal benefit payments;
(2) Who have filed a designation of beneficiary for Federal benefit payments; or
(3) Who have filed a service credit application in connection with former Federal service; or
(4) Who have filed an application for disability retirement with the District or the Secretary of the Treasury (Secretary) and who are waiting for a final decision, whose disability retirement application has been approved by the District or the Secretary, or whose disability retirement application has been disapproved by the District or the Secretary, and who will receive or would have received Federal benefit payments if their applications are or had been approved.
-
Current District judges;
-
Former District teachers, police officers, firefighters, and judges who died entitled to or while receiving Federal benefit payments, or their surviving spouses, and/or children and/or dependent parents.
-
Former spouses of District teachers, police officers, firefighters, and judges, who have received or are receiving Federal benefit payments, or who have filed a court order awarding future benefits.
Categories of records in the system:
This system comprises retirement service history records of employee service in the District, the Federal Government, and other entities upon which Federal benefit payments may be based. Also included in the system are current personnel data pertaining to active District teachers, police officers, firefighters, and judges who, by virtue of the Act, may be eligible for Federal benefit payments. It also contains information concerning health benefit and group life insurance enrollment/change in enrollment. Also included are medical records and supporting evidence for disability retirement applications, and documentation regarding their acceptance or rejection. Consent forms and other records related to the withholding of State income tax from annuitant payments, whether physically maintained by the State or the Department, are included in this system.
These records contain the following information:
-
Documentation of District service subject to the retirement plans for District teachers, police officers, firefighters, and judges.
-
Documentation of service credit and refund claims made by District teachers, police officers, firefighters, and judges under their retirement plans who are potentially eligible for Federal benefit payments.
-
Documentation of retirement contributions made by eligible teachers, police officers, firefighters, and judges.
-
Retirement and death claims files applicable to Federal benefit payments, including documents supporting the retirement application, health benefits, and life insurance eligibility, medical records supporting disability claims, and designations of beneficiary.
-
Enrollment and change in enrollment information under the Federal Employees Health Benefits Program, the employee health benefits program for District employees, the Federal Employee Group Life Insurance Program and the employee group life insurance program for District employees.
-
Court orders submitted by former spouses of District teachers, police officers, firefighters, and judges in support of claims for Federal benefit payments.
-
Records relating to overpayments of Federal benefit payments and other debts arising from the Federal Government's responsibility to administer the retirement plans for District judges, police officers, firefighters, and teachers, and records relating to other Federal debts owed by recipients of Federal benefit payments.
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, Pub. L. 105-33.
Purpose(s):
These records provide information on which to base determinations of: Eligibility for, and computation of, Federal benefit payments; eligibility and premiums for health insurance and group life insurance; and withholding of State income taxes from annuities. These records also may be used to locate individuals for personnel research.
[[Page 46285]]
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 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.
-
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.
-
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.
-
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.
-
To disclose information to the National Archives and Records Administration for use in records management inspections.
-
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 Federal 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, however, that the disclosure is compatible with the purpose for which records were collected.
-
To disclose information to contractors, subcontractors, financial agents, grantees, or volunteers performing or working on a contract, service, grant, cooperative agreement, or job for the Department, including the District.
-
To disclose, to the following recipients, information needed to adjudicate a claim for Federal benefit payments under the retirement plans for District teachers, police officers, firefighters, and judges, 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).
-
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.
-
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.
-
To disclose to any inquirer, if sufficient information is provided to assure positive identification of an individual on whom the Department maintains records, the fact that an individual is or is not on the retirement rolls, and if so, the type of annuity (employment or survivor, but not retirement on disability) being paid, or if not, whether a refund has been paid.
-
When an individual to whom a record pertains dies, to disclose to any person possibly entitled in the applicable order of precedence for lump-sum benefits, information in the individual's record that might properly be disclosed to the individual, and the name and relationship of any other person whose claim for benefits takes precedence or who is entitled to share the benefits payable.
-
To disclose information 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, information necessary to assure payment of Federal benefit payments to which the individual is entitled.
-
To disclose to the Parent Locator Service of the Department of Health and Human Services, upon its request, the present address of a Federal benefit payments annuitant or survivor, or a former employee entitled to deferred Federal benefit payments, for enforcing child support obligations of such individual.
-
In connection with an examination ordered by the District or the Secretary of the Treasury 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.
-
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.
-
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.
-
To disclose to a Federal agency, in response to its request, the address of an annuitant or applicant for refund of retirement deductions, if the agency requires that information in connection with the collection of a debt due the United States.
-
To disclose to a State agency responsible for the collection of State
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income taxes the information required by an agreement authorized by law to implement voluntary State income tax withholdings from Federal benefit payments.
-
To disclose to the Social Security Administration the names and Social Security Numbers of Federal benefit payment annuitants when necessary to determine: (1) Their vital status as shown in the Social Security Master Records; and (2) whether retirees receiving Federal 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.
-
To disclose to Federal, State, and local government agencies information about retirees and survivors under the retirement plans administered by the Department pursuant to the Act, including name, Social Security Number, date of birth, sex, health benefit enrollment code, retirement date, retirement code (type of retirement), annuity rate, pay status of case, correspondence address, and ZIP code, 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 Federal benefits payments under such retirement plans, and to collect debts and overpayments owed to the requesting Federal, State, or local government agency.
-
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, the following data concerning an individual owing a debt to the Federal Government: (A) The debtor's name, address, Social Security Number, and other information necessary to establish the identity of the individual; and (B) the amount, status, and history of the debtor's Federal benefit payments.
-
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 an alimony or a child support obligation.
-
To disclose to a former spouse information necessary to explain how that former spouse's benefit was computed.
-
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).
-
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.
-
To disclose to an agency of a State or local government, or a private individual or association engaged in volunteer work, identifying and address information and other pertinent facts, for the purpose of developing an application by such an entity or person to serve as a representative payee for a person who is mentally incompetent or under other legal disability and who is or may be eligible for Federal benefit payments.
-
To disclose information to another Federal agency for the purpose of effecting administrative or salary offset against a person employed by that agency or receiving or eligible to receive benefit payments from the agency when the Department as a creditor has a claim against that person relating to Federal benefit payments.
-
To disclose information concerning delinquent debts relating to Federal 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.
-
To disclose information concerning delinquent debts relating to Federal benefit payments to State and local governments, for the purpose of collecting such debts.
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 on magnetic tapes, disks, microfiche, and in paper folders.
Retrievability:
These records are retrieved by the name and/or Social Security Number and/or an automatically assigned, system generated number, of the individual to whom they pertain.
Safeguards:
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 may also be password protected. Personnel screening and training are employed to prevent unauthorized disclosure.
Retention and disposal:
All records on a claim for retirement, including salary and service history, survivor annuity elections and tax and other withholdings are maintained permanently. Records not relevant to the calculation, administration, and payment of Federal benefit payments are disposed of in accordance with Department guidelines. Disposal of paper records and microfiche is by shredding or burning; magnetic tapes and discs are erased.
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:
-
Name, including all former names.
-
Date of birth.
-
Social Security Number.
-
Name and address of office in which currently and/or formerly employed in the District.
-
Annuity, service credit, or voluntary contributions account number, if assigned.
-
Automatically assigned, system generated number, if known.
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:
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-
The individual to whom the information pertains.
-
District pay, leave, and allowance records.
-
Health benefits and life insurance plan systems records maintained by the Office of Personnel Management and the District.
-
Federal civilian retirement systems.
-
Military retired pay system records.
-
Social Security Old Age, Survivor, and Disability Insurance and Medicare Programs.
-
Health insurance carriers and plans participating in the Federal Employee Health Benefits Program and the health benefits program for employees of the District.
-
Official personnel folders.
-
The individual's co-workers and supervisors.
-
Physicians who have examined or treated the individual.
-
Former spouses of the individual to whom the information pertains.
-
State courts or support enforcement agencies.
-
Credit bureaus.
-
The District Police and Firefighters' Retirement and Relief Board.
-
The District Board of Education.
-
The District Public Charter School Board.
-
District public charter schools.
-
The Executive Office of the District of Columbia Courts.
-
The General Services Administration National Payroll Center.
-
The District Retirement Board.
-
The District Office of Personnel.
-
The District Office of the Chief Financial Officer.
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 purpose of the 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 subpoena 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; and
(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.
[[Page 46288]]
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 are restricted to those employees whose work requires them to be there for the system to operate. Identification (ID) cards are verified to ensure that only authorized personnel are present. Disclosure of information through remote terminals is restricted through the use of passwords and sign-on protocols which are periodically changed. Reports produced from the remote printers are in the custody of personnel and financial management officers and are subject to the same privacy controls as other documents of like sensitivity.
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 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:
-
Director, Office of Security Programs, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
-
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 .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 record 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 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;
[[Page 46289]]
(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 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 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; and,
(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.
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 Management Services. Time-reporting records: (1) For Office of Audit employees--Deputy Inspector General for Audit; (2) For Office of Chief Counsel employees--Chief Counsel; (3) For Office of Investigations employees--Deputy Inspector General for Investigations; (4) For Office of Management Services employees--Assistant Inspector General for Management Services; and, (5) For Office of Information Technology employees--Assistant Inspector General for Information Technology. Address--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.
[[Page 46290]]
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 Management Services, 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 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 subpoena 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;
(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; and,
(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
[[Page 46291]]
of 1978,as amended, 5 U.S.C.A. Appendix 3.
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 Management Services, 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 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 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; and,
(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.
[[Page 46292]]
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 Management Services, 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. 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.
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:
(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 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 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
[[Page 46293]]
for processing any personnel actions or conducting administrative hearings or appeals, or if needed in the performance of authorized duties; and,
(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.
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; (4) For Office of Information Technology employees--Assistant Inspector General for Information Technology; and, (5) For Office of Management Service employees--Assistant Inspector General for Management Services. Address--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; 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.
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 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 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; and, (10) Provide
[[Page 46294]]
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.
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 Information Technology, Office of Information Technology, 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) 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 Management Services, 1125 15th Street, NW., Washington, DC 20005 and/or Bureau of Public Debt, 200 Third Street, Parkersburg, WV 26106-1328.
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 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 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; 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
[[Page 46295]]
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage:
Paper 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.
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 Management Service, 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. 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.
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 Management Services, 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 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 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; and,
(11) Provide information to other Offices of Inspectors General, the President's Council on Integrity and Efficiency, and the Department of
[[Page 46296]]
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.
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.
System manager(s) and address:
Assistant Inspector General for Management Services, 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. 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:
Office of Information Technology, 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 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;
[[Page 46297]]
(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; and,
(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.
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 Information Technology, 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. 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
[[Page 46298]]
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 subpoena 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;
(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; 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.
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 Section, 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 Section Records.
System location:
Office of Chief Counsel, Disclosure Section, 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) 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.
[[Page 46299]]
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 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 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; and,
(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.
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 Section, 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.
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,
[[Page 46300]]
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, police reports, 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 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 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.
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 approval from 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
[[Page 46301]]
addressed to the Office of Chief Counsel, Disclosure Section, 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 B--Office of Investigations, TIGTA
Field Division SAC Offices
Treasury IG for Tax Administration, 401 West Peachtree St., Atlanta, GA 30365.
Treasury IG for Tax Administration, 550 Main Street, Cincinnati, OH 45202.
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, 200 W. Forsyth St., Jacksonville, FL 32202.
Treasury IG for Tax Administration, 312 East First Street, Los Angeles, CA 90012.
Treasury IG for Tax Administration, 201 Varick Street, New York, NY 10008.
Treasury IG for Tax Administration, 600 Arch Street, Philadelphia, PA 19106.
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, 1739-H Brightseat Road, Landover, MD 20785.
Treasury IG for Tax Administration, 8484 Georgia Ave., Silver Spring, MD 20910.
Appendix C--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, Koger Center-Fordham Building, 2980 Brandywine Road, Chamblee, GA 30341.
Treasury IG for Tax Administration, 3651 South Interstate 35, Austin, TX 78767.
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, 2306 E. Bannister Rd, 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, 1600 Riviera Avenue, Walnut Creek, CA 94596.
[FR Doc. 05-15420 Filed 8-8-05; 8:45 am]
BILLING CODE 4811-33-P
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