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Tuesday,

February 19, 2002

Part II

Department of theTreasuryPrivacy Act of 1974; System of Records;Notice

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7460 Federal Register / Vol. 67, No. 33 / Tuesday, February 19, 2002 / Notices

DEPARTMENT OF THE TREASURY

Privacy Act of 1974; System ofRecords

AGENCY: Departmental Offices, Treasury.ACTION: Notice of systems of records.

SUMMARY: In accordance with therequirements of the Privacy Act of 1974,as amended, 5 U.S.C. 552a, theDepartmental Offices (DO) is publishingits Privacy Act systems of records.SUPPLEMENTARY INFORMATION: Pursuantto the Privacy Act of 1974 (5 U.S.C.552a) and the Office of Management andBudget (OMB) Circular No. A–130, theDepartment has completed a review ofits Privacy Act systems of recordsnotices to identify minor changes thatwill more accurately describe theserecords.

The following six systems of recordshave been added to the Department’sinventory of Privacy Act notices sinceSeptember 30, 1998:

1. DO .006—Treasury Child CareTuition Assistance Records (PublishedAugust 31, 2000, at 65 FR 53083).

2. DO .015—Political Appointee Files.(Published September 8, 2000, at 65 FR54599).

3. DO .204—Parking and CarpoolProgram Records (Published December14, 2000, at 65 FR 78263).

4. DO .003—Law EnforcementRetirement Claims Records (PublishedJanuary 16, 2001, at 66 FR 3648).

5. DO .195—Treasury EmergencyManagement System (PublishedFebruary 6, 2001, at 66 FR 9136).

6. Treasury .011—Treasury SafetyIncident Management InformationSystem (Published August 16, 2001 at66 FR 43041).

During the past three years, theDepartment has published several newor revised Privacy Act noticespertaining to records maintained by theDepartment involving two or morebureaus. Originally ten of these systemsof records had been designated as a‘‘Treasury/DO’’ system of records. Aspart of this republication, thedesignation of the systems of recordsthat pertain to two or more Treasurybureaus is being changed. Rather thanbeing identified as ‘‘DO’’ systems ofrecords, those systems are beingdesignated as ‘‘Treasury’’ systems andare being renumbered as well. Inaddition, titles of two Treasury-widesystems of records are being changed.The systems of records which are beingdesignated as Treasury-wide systems ofrecords are:

1. Treasury/DO .002—TreasuryIntegrated Management InformationSystem (TIMIS), last published in its

entirety on December 17, 1998, at 63 FR69719, is designated as ‘‘Treasury .001’’and is being renamed as ‘‘TreasuryPayroll and Personnel System’’;

2. Treasury/DO .004—PersonnelSecurity System, last published in itsentirety on December 14, 2000, at 65 FR78261, is designated as ‘‘Treasury .007’’;

3. Treasury/DO .005—GrievanceRecords, last published in its entiretyAugust 21, 2000, at 65 FR 53085, isdesignated as ‘‘Treasury .002’’;

4. Treasury/DO .006—Treasury ChildCare Tuition Assistance Records,published as a new Treasury-widesystem of records on August 31, 2000,at 65 FR 53083, is designated as‘‘Treasury .003’’;

5. Treasury/DO .150—Freedom ofInformation Act/Privacy Act RequestRecords, last published in its entirety onDecember 3, 1999, at 64 FR 67966, isdesignated as ‘‘Treasury .004’’;

6. Treasury/DO .195—TreasuryEmergency Management System,published as a new Treasury-widesystem of records on February 6, 2001,at 66 FR 9136, is designated as‘‘Treasury .008’’;

7. Treasury/DO .203—PublicTransportation Incentive ProgramRecords, last published in its entirety onJanuary 16, 2001, at 66 FR 3646, isdesignated as ‘‘Treasury .005’’;

8. Treasury/DO .204—Parking andCarpool Program Records, published asa new Treasury-wide system onDecember 14, 2000, at 65 FR 78263, isdesignated as ‘‘Treasury .006’’;

9. Treasury/DO .210—IntegratedFinancial Management and RevenueSystem, last published in its entirety onAugust 31, 2000, at 65 FR 53085, isdesignated as ‘‘Treasury .009’’ and isbeing renamed as ‘‘Treasury FinancialManagement Systems’’;

10. Treasury/DO .211—TelephoneCall Detail Records, last published in itsentirety on August 31, 2000, at 65 FR53085, is designated as ‘‘Treasury .010’’;

11. Treasury .011—Treasury SafetyIncident Management InformationSystem (SIMIS), was published as a newTreasury-wide system on August 16,2001, at 66 FR 43041.

Other changes throughout thedocument are editorial in nature andconsist principally of changes to systemlocations and system manageraddresses, retention and disposalschedules, revisions to organizationaltitles and transfers of functions.

On August 31, 2000, the Departmentchanged the title of Treasury/DO .190from ‘‘General Allegations andInvestigative Records’’ to ‘‘InvestigationData Management System,’’ and the titleof Treasury/DO .191 was changed from‘‘OIG Management Information System

(MIS)’’ to ‘‘Human Resources andAdministrative Records System.’’ Inaddition, Treasury/DO .068—Time-In-Grade Exception Files was deletedeffective August 31, 2000. (65 FR 53085)The following systems of records,‘‘Treasury/DO .206-Office TrackingSystem,’’ and ‘‘Treasury/DO .156—TaxCourt Judge Applicants,’’ are removedfrom the Department’s inventory ofPrivacy Act systems of records.

The systems notices are reprinted intheir entirety following the Table ofContents.

Systems Covered by This NoticeThis notice covers all systems of

records adopted up to September 30,2001.

Dated: February 4, 2002.W. Earl Wright, Jr.,Chief Management and AdministrativePrograms Officer.

Table of Contents

Department of the Treasury

Treasury .001—Treasury Payroll andPersonnel System (formerly Treasury/DO.002—Treasury Integrated ManagementInformation System)

Treasury .002—Grievance Records (formerlyTreasury/DO .005)

Treasury .003—Treasury Child Care TuitionAssistance Records (formerly Treasury/DO .006)

Treasury .004—Freedom of Information Act/Privacy Act Request Records (formerlyTreasury/DO .150)

Treasury .005—Public TransportationIncentive Program Records (formerlyTreasury/DO .203)

Treasury .006—Parking and Carpool ProgramRecords (formerly Treasury/DO .204)

Treasury .007—Personnel Security System(formerly Treasury/DO .004)

Treasury .008—Treasury EmergencyManagement System (formerly Treasury/DO .195)

Treasury .009—Treasury FinancialManagement Systems (formerlyTreasury/DO .210—Integrated FinancialManagement and Revenue System)

Treasury .010—Telephone Call DetailRecords (formerly Treasury/DO .211)

Treasury .011—Treasury Safety IncidentManagement Information System (SIMIS)

Departmental Offices (DO)

DO .003—Law Enforcement RetirementClaims Records

DO .007—General Correspondence FilesDO .010—Office of Domestic Finance,

Actuarial Valuation SystemDO .015—Political Appointee Files.DO .060—Correspondence Files and Records

on Employee Complaints and/orDissatisfaction

DO .111—Office of Foreign Assets ControlCensus Records

DO .114—Foreign Assets ControlEnforcement Records

DO .118—Foreign Assets Control LicensingRecords


7461Federal Register / Vol. 67, No. 33 / Tuesday, February 19, 2002 / Notices

DO .144—General Counsel Litigation Referraland Reporting System

DO .149—Foreign Assets Control Legal FilesDO .183—Private Relief Tax Bill Files-Office

of the Assistant Secretary for Tax PolicyDO .190—Investigation Data Management

System (formerly: General Allegationsand Investigative Records)

DO .191—Human Resources andAdministrative Records System(formerly: OIG Management InformationSystem)

DO .193—Employee Locator and AutomatedDirectory System

DO .194—Circulation SystemDO .196—Security Information SystemDO .200—FinCEN Data BaseDO .201—Fitness Center RecordsDO .202—Drug-Free Workplace Program

RecordsDO .207—Waco Administrative Review

Group InvestigationDO .209—Personal Services Contracts (PSC)DO .212—Suspicious Activity Reporting

System (SARS)DO .213—Bank Secrecy Act Reports System

TREASURY .001

SYSTEM NAME:

Treasury Payroll and PersonnelSystem-Treasury.

SYSTEM LOCATION:

Department of the Treasury, 1500Pennsylvania Avenue, NW.,Washington, DC 20220. The processingsite is located at the United StatesDepartment of Agriculture NationalFinance Center, 13800 Old GentillyRoad, New Orleans, LA 70129.

CATEGORIES OF INDIVIDUALS COVERED BY THESYSTEM:

Current and historical payroll/personnel data of employees of allTreasury bureaus and organizations,except the Office of Thrift Supervision(OTS).

CATEGORIES OF RECORDS IN THE SYSTEM:

Information contained in the recordsof the system include such data as:

(1) Employee identification and statusdata such as name, social securitynumber, date of birth, sex, race andnational origin designator, awardsreceived, suggestions, work schedule,type of appointment, education, trainingcourses attended, veterans preference,and military service.

(2) Employment data such as servicecomputation for leave, dateprobationary period began, date ofperformance rating, and date of within-grade increases.

(3) Position and pay data such asposition identification number, payplan, step, salary and pay basis,occupational series, organizationlocation, and accounting classificationcodes.

(4) Payroll data such as earnings(overtime and night differential),deductions (Federal, state and localtaxes, bonds and allotments), and timeand attendance data.

(5) Employee retirement and ThriftSavings Plan data.

(6) Tables of data for editing,reporting and processing personnel andpay actions. These include nature ofaction codes, civil service authoritycodes, standard remarks, signature blocktable, position title table, financialorganization table, and salary tables.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Office of Personnel ManagementManual, 50 U.S.C. App. 1705–1707; 31U.S.C. and Departmental Circular 145and 830. The Department of theTreasury Fiscal Requirements Manual; 5U.S.C. 301; FPM Letter 298–10, Office ofPersonnel Management; FederalPersonnel Manual (Chapter 713Subchapter 3A).

PURPOSE(S):

The purposes of the system include,but are not limited to: (1) Maintainingcurrent and historical payroll recordswhich are used to compute and auditpay entitlement; to record history of paytransactions; to record deductions, leaveaccrued and taken, bonds due andissued, taxes paid; maintaining anddistributing Leave and Earningsstatements; commence and terminateallotments; answer inquiries andprocess claims, and (2) maintainingcurrent and historical personnel recordsand preparing individual administrativetransactions relating to education andtraining, classification; assignment;career development; evaluation;promotion, compensation, separationand retirement; making decisions on therights, benefits, entitlements and theutilization of individuals; providing adata source for the production ofreports, statistical surveys, rosters,documentation, and studies required forthe orderly personnel administrationwithin Treasury.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSES OF SUCH USES:

These Records may be used to:(1) Furnish data to the Department of

Agriculture, National Finance Center(which provides payroll/personnelprocessing services for TIMIS under across-servicing agreement) affecting theconversion of Treasury employeepayroll and personnel processingservices to TIMIS; the issuance ofpaychecks to employees anddistribution of wages; and thedistribution of allotments and

deductions to financial and otherinstitutions, some through electronicfunds transfer;

(2) Furnish the Internal RevenueService and other jurisdictions whichare authorized to tax the employee’scompensation with wage and taxinformation in accordance with awithholding agreement with theDepartment of the Treasury pursuant to5 U.S.C. 5516, 5217, and 5520, for thepurpose of furnishing employees withForms W–2 which report such taxdistributions;

(3) Provide records to the Office ofPersonnel Management, Merit SystemsProtection Board, Equal EmploymentOpportunity Commission, and GeneralAccounting Office for the purpose ofproperly administering Federalpersonnel systems or other agencies’systems in accordance with applicablelaws, Executive Orders, and regulations;

(4) Furnish another Federal agencyinformation to effect interagency salaryor administrative offset, except thataddresses obtained from the InternalRevenue Service shall not be disclosedto other agencies; to furnish a consumerreporting agency information to obtaincommercial credit reports; and tofurnish a debt collection agencyinformation for debt collection services.Current mailing addresses acquiredfrom the Internal Revenue Service areroutinely released to consumerreporting agencies to obtain creditreports and to debt collection agenciesfor collection services;

(5) Disclose information to a Federal,state, local or foreign agencymaintaining civil, criminal or otherrelevant enforcement information orother pertinent information which hasrequested information relevant to ornecessary to the requesting agency’shiring or retention of an individual, orissuance of a security clearance, license,contract, grant, or other benefit;

(6) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation or settlementnegotiations in response to a subpoenawhere relevant or potentially relevant toa proceeding, or in connection withcriminal law proceedings;

(7) Disclose information to foreigngovernments in accordance with formalor informal international agreements;

(8) Provide information to acongressional office in response to aninquiry made at the request of theindividual to whom the record pertains;

(9) Provide information to the newsmedia in accordance with guidelines



contained in 28 CFR 50.2 which relatesto civil and criminal proceedings;

(10) Provide information to thirdparties during the course of aninvestigation to the extent necessary toobtain information pertinent to theinvestigation;

(11) Provide information to unionsrecognized as exclusive bargainingrepresentatives under the Civil ServiceReform Act of 1978, 5 U.S.C. 7111 and7114;

(12) Provide wage and separationinformation to another agency, such asthe Department of Labor or SocialSecurity Administration, as required bylaw for payroll purposes;

(13) Provide information to a Federal,state, or local agency so that the agencymay adjudicate an individual’seligibility for a benefit, such as a stateemployment compensation board,housing administration agency andSocial Security Administration;

(14) Disclose pertinent information toappropriate Federal, state, local orforeign agencies responsible forinvestigating or prosecuting theviolation of, or for implementing astatute, regulation, order, or license,where the disclosing agency becomesaware of an indication of a violation orpotential violation of civil, or criminallaw or regulation;

(15) Disclose information aboutparticular Treasury employees torequesting agencies or non-Federalentities under approved computermatching efforts, limited to only thosedata elements considered relevant tomaking a determination of eligibilityunder particular benefit programsadministered by those agencies orentities or by the Department of theTreasury or any constituent unit of theDepartment, to improve programintegrity, and to collect debts and othermonies owed under those programs (i.e.,matching for delinquent loans or otherindebtedness to the government);

(16) Disclose to the Office of ChildSupport Enforcement, Administrationfor Children and Families, Departmentof Health and Human Services, thenames, social security numbers, homeaddresses, dates of birth, dates of hire,quarterly earnings, employer identifyinginformation, and State of hire ofemployees, for the purposes of locatingindividuals to establish paternity,establishing and modifying orders ofchild support, identifying sources ofincome, and for other child supportenforcement activities as required by thePersonal Responsibility and WorkOpportunity Reconciliation Act(Welfare Reform Law, Pub. L. 104–193).

DISCLOSURE TO CONSUMER REPORTINGAGENCIES:

Disclosures may be made pursuant to5 U.S.C. 552a(b)(12) and section 3 of theDebt Collection Act of 1982; debtinformation concerning a governmentclaim against an individual is alsofurnished, in accordance with 5 U.S.C.552a(b)(12) and section 3 of the DebtCollection Act of 1982 (Pub. L. 97–365),to consumer reporting agencies toencourage repayment of an overduedebt. Disclosures may be made to aconsumer reporting agency as defined inthe Fair Credit Reporting Act, 15 U.S.C.1681a(f) or the Federal ClaimsCollection Act of 1966, 31 U.S.C.701(a)(3).

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING, ANDDISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:Magnetic media, microfiche, and hard

copy. Disbursement records are stored atthe Federal Records Center.

RETRIEVABILITY:Records are retrieved generally by

social security number, positionidentification number within a bureauand region, or employee name.Secondary identifiers are used to assureaccuracy of data accessed, such asmaster record number or date of birth.

SAFEGUARDS:Entrance to data centers and support

organization offices are restricted tothose employees whose work requiresthem to be there for the system tooperate. Identification (ID) cards areverified to ensure that only authorizedpersonnel are present. Disclosure ofinformation through remote terminals isrestricted through the use of passwordsand sign-on protocols which areperiodically changed. Reports producedfrom the remote printers are in thecustody of personnel and financialmanagement officers and are subject tothe same privacy controls as otherdocuments of like sensitivity.

RETENTION AND DISPOSAL:The current payroll and personnel

system and the Treasury IntegratedManagement Information Systems(TIMIS) master files are kept onmagnetic media. Information renderedto hard copy in the form of reports andpayroll information documentation isalso retained in automated magneticformat. Employee records are retainedin automated form for as long as theemployee is active on the system(separated employee records aremaintained in an ‘‘inactive’’ status).Files are purged in accordance with

Treasury Directives Manual TD 25–02,‘‘Records Disposition ManagementProgram.’’

SYSTEM MANAGER(S) AND ADDRESS:Director, Treasury Integrated

Management Information Systems(System Manager for TIMIS), 740 15thStreet NW., Suite 400, Washington, DC20005.

NOTIFICATION PROCEDURE:Individuals seeking notification and

access to any record contained in thesystem of records, or seeking to contestits content, may inquire in accordancewith instructions pertaining toindividual Treasury componentsappearing at 31 CFR part 1, subpart C,appendices A–M.

RECORD ACCESS PROCEDURES:See ‘‘Notification procedure’’ above.

CONTESTING RECORD PROCEDURES:See ‘‘Notification procedure’’ above.

RECORD SOURCE CATEGORIES:The information contained in these

records is provided by or verified by thesubject of the record, supervisors, andnon-Federal sources such as privateemployers.

EXEMPTIONS CLAIMED FOR THE SYSTEM:None.

TREASURY .002

SYSTEM NAME:Grievance Records—Treasury.

SYSTEM LOCATION:Department of the Treasury, 1500

Pennsylvania Ave., NW., Washington,DC 20220. These records are located inpersonnel or designated offices in thebureaus in which the grievances werefiled. The locations at which the systemis maintained are:

(1) a. Departmental Offices (DO): 1500Pennsylvania Ave., NW., Washington,DC 20220.

b. The Office of Inspector General(OIG): 740 15th Street, NW.,Washington, DC 20220.

c. Treasury Inspector General for TaxAdministration (TIGTA): 1111Constitution Ave., NW., Washington,DC 20224.

(2) Bureau of Alcohol, Tobacco andFirearms (ATF): 650 MassachusettsAvenue, NW., Washington, DC 20226.

(3) Office of the Comptroller of theCurrency (OCC): 250 E Street, NW.,Washington, DC 20219–0001.

(4) United States Customs Service(CUSTOMS): 1301 Constitution Avenue,NW., Washington DC 20229.

(5) Bureau of Engraving and Printing(BEP): 14th & C Streets, SW.,Washington, DC 20228.



(6) Federal Law Enforcement TrainingCenter (FLETC): Glynco, Ga 31524.

(7) Financial Management Service(FMS): 401 14th Street, SW.,Washington, DC 20227.

(8) Internal Revenue Service (IRS):1111 Constitution Avenue, NW.,Washington, DC 20224.

(9) United States Mint (MINT): 8019th Street, NW., Washington, DC 20220.

(10) Bureau of the Public Debt (BPD):200 Third Street, Parkersburg, WV26101.

(11) United States Secret Service(USSS): 950 H Street, NW., Washington,DC 20001.

(12) Office of Thrift Supervision(OTS): 1700 G Street, NW., Washington,DC 20552.


Current or former Federal employeeswho have submitted grievances withtheir bureaus in accordance with part771 of the Office of PersonnelManagement’s (OPM) regulations (5 CFRpart 771), the Treasury EmployeeGrievance System (TPM Chapter 771),or a negotiated procedure.

CATEGORIES OF RECORDS IN THE SYSTEM:The system contains records relating

to grievances filed by Treasuryemployees under part 771 of the OPM’sregulations. These case files contain alldocuments related to the grievanceincluding statements of witnesses,reports of interviews and hearings,examiner’s findings andrecommendations, a copy of the originaland final decision, and relatedcorrespondence and exhibits. Thissystem includes files and records ofinternal grievance and arbitrationsystems that bureaus and/or theDepartment may establish throughnegotiations with recognized labororganizations.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 1302, 3301, 3302; E.O. 10577;

3 CFR 1954–1958 Comp., p. 218; E.O.10987; 3 CFR 1959–1963 Comp., p. 519;agency employees, for personal relief ina matter of concern or dissatisfactionwhich is subject to the control of agencymanagement.

PURPOSE(S):To adjudicate employee

administrative grievances filed underthe authority of 5 CFR part 771 and theDepartment’s Administrative GrievanceProcedure.


These records may be used:

(1) To disclose pertinent informationto the appropriate Federal, state, or localagency responsible for investigating,prosecuting, enforcing, or implementinga statute, rule, regulation, or order,where the disclosing agency becomesaware of an indication of a violation orpotential violation of civil or criminallaw or regulation;

(2) To disclose information to anysource from which additionalinformation is requested in the course ofprocessing in a grievance, to the extentnecessary to identify the individual,inform the source of the purpose(s) ofthe request, and identify the type ofinformation requested;

(3) To disclose information to aFederal agency, in response to itsrequest, in connection with the hiring orretention of an individual, the issuanceof a security clearance, the conductingof a security or suitability investigationof an individual, the classifying of jobs,the letting of a contract, or the issuanceof a license, grant, or other benefit bythe requesting agency, to the extent thatthe information is relevant andnecessary to requesting the agency’sdecision on the matter;

(4) To provide information to acongressional office in response to aninquiry made at the request of theindividual to whom the record pertains;

(5) To disclose information to anotherFederal agency or to a court when theGovernment is party to a judicialproceeding before the court;

(6) By the National Archives andRecords Administration in recordsmanagement inspections conductedunder authority of 44 U.S.C. 2904 and2908;

(7) By the bureau maintaining therecords of the Department in theproduction of summary descriptivestatistics and analytical studies insupport of the function for which therecords are collected and maintained, orfor related work force studies. Whilepublished statistics and studies do notcontain individual identifiers, in someinstances the selection of elements ofdata included in the study may bestructured in such a way as to make thedata individually identifiable byinference;

(8) To disclose information to officialsof the Merit Systems Protection Board,the Office of the Special Counsel, theFederal Labor Relations Authority andits General Counsel, the EqualEmployment Opportunity Commission,or the Office of Personnel Managementwhen requested in performance of theirauthorized duties;

(9) To disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,

including disclosures to opposingCounsel or witnesses in the course ofcivil discovery, litigation or settlementnegotiations in response to a subpoena,or in connection with criminal lawproceedings;

(10) To provide information toofficials of labor organizationsreorganized under the Civil ServiceReform Act when relevant andnecessary to their duties of exclusiverepresentation concerning personnelpolicies, practices, and matters affectingwork conditions.


STORAGE:

File folders.

RETRIEVABILITY:

By the names of the individuals onwhom they are maintained.

SAFEGUARDS:

Lockable metal filing cabinets towhich only authorized personnel haveaccess.

RETENTION AND DISPOSAL:

Disposed of 3 years after closing of thecase. Grievances filed againstdisciplinary adverse actions are retainedby the United States Secret Service for4 years. Disposal is by shredding orburning.

SYSTEM MANAGER(S) AND ADDRESS:

Records pertaining to administrativegrievances filed at the Departmentallevel: Director, Office of PersonnelPolicy, 1500 Pennsylvania Ave., NW,Metropolitan Square, Washington, DC20220. Records pertaining toadministrative grievances filed at thebureau level:

(1) a. DO: Chief, Personnel Resources,1500 Pennsylvania Ave. NW,Metropolitan Square, Washington, DC20220.

b. OIG: Personnel Officer, 740–15thSt. NW, Rm. 510, Washington, DC20220.

c. TIGTA: National Director, HumanResources, 1111 Constitution Ave. NW,Rm. 6408, TIGTA: MRS, Washington,DC 20224.

(2) ATF: Assistant Director, Office ofManagement, 650 MassachusettsAvenue, NW, Washington, DC 20226.

(3) OCC: Director, Human Resources,250 E Street, SW, Washington, DC20219.

(4) Customs: Assistant Commissioner,Office of Human ResourcesManagement, Ronald Reagan Building,Room 2.4A, 1300 Pennsylvania Avenue,NW, Washington, DC 20229.



(5) BEP: Chief, Office of HumanResources, 14th & C Streets, SW, Room202–13A, E&P Annex, Washington, DC20228.

(6) FLETC: Human Resources Officer,Glynco, GA 31524.

(7) FMS: Director, PersonnelManagement Division, 3700 East WestHwy, Room 115–F, Hyattsville, MD20782.

(8) IRS: Director, Office of WorkforceRelations (M:S:L), 1111 ConstitutionAve. NW, Room 1515IR, Washington,DC 20224.

(9) Mint: Assistant Director forHuman Resources, 801 9th Street, NW,6th Floor, Washington, DC 20220.

(10) BPD: Director, Human ResourcesDivision, 200 Third Street, Parkersburg,WV 26106–1328.

(11) USSS: Chief, Personnel Division,950 H Street, NW, Suite 7000,Washington, DC 20373–5802.

(12) OTS: Director, Human ResourcesDivision, 2nd Floor, 1700 G Street, NW,Washington, DC 20552.

NOTIFICATION PROCEDURE:It is required that individuals

submitting grievances be provided acopy of the record under the grievanceprocess. They may, however, contact theagency personnel or designated officewhere the action was processed,regarding the existence of such recordson them. They must furnish thefollowing information for their recordsto be located and identified: (1) Name,(2) date of birth, (3) approximate date ofclosing of the case and kind of actiontaken, (4) organizational componentinvolved.

RECORD ACCESS PROCEDURES:It is required that individuals

submitting grievances be provided acopy of the record under the grievanceprocess. However, after the action hasbeen closed, an individual may requestaccess to the official copy of thegrievance file by contacting the bureaupersonnel or designated office where theaction was processed. Individuals mustprovide the following information fortheir records to be located andidentified: (1) Name, (2) date of birth, (3)approximate date of closing of the caseand kind of action taken, (4)organizational component involved.

CONTESTING RECORD PROCEDURES:

Review of requests from individualsseeking amendment of their recordswhich have been the subject of ajudicial or quasi-judicial action will belimited in scope. Review of amendmentrequests of these records will berestricted to determining if the recordaccurately documents the action of the

agency ruling on the case, and will notinclude a review of the merits of theaction, determination, or finding.

Individuals wishing to requestamendment to their records to correctfactual errors should contact the bureaupersonnel or designated office where thegrievance was processed. Individualsmust furnish the following informationfor their records to be located andidentified: (1) Name, (2) date of birth, (3)approximate date of closing of the caseand kind of action taken, (4)organizational component involved.

RECORD SOURCE CATEGORIES:Information in this system of records

is provided: (1) By the individual onwhom the record is maintained, (2) bytestimony of witnesses, (3) by agencyofficials, (4) from relatedcorrespondence from organizations orpersons.


TREASURY .003

SYSTEM NAME:Treasury Child Care Tuition

Assistance Records—Treasury.

SYSTEM LOCATION:Department of the Treasury,1500

Pennsylvania Ave., NW, Washington,DC 20220. The locations at which thesystem is maintained by Treasurycomponents are:

1. a. Departmental Offices (DO): 1500Pennsylvania Ave., NW, Washington,DC 20220.

b. The Office of Inspector General(OIG): 740 15th Street, NW, Washington,DC 20220.

c. Treasury Inspector General for TaxAdministration (TIGTA): 1111Constitution Ave., NW, Washington, DC20224.

2. Bureau of Alcohol, Tobacco andFirearms (ATF): 650 MassachusettsAvenue, NW, Washington, DC 20226.

3. Office of the Comptroller of theCurrency (OCC): 250 E Street, NW,Washington, DC 20219–0001.

4. United States Customs Service(CUSTOMS): 1300 PennsylvaniaAvenue, NW, Washington DC 20229.

5. Bureau of Engraving and Printing(BEP): 14th & C Streets, SW,Washington, DC 20228.

6. Federal Law Enforcement TrainingCenter (FLETC): Glynco, Ga. 31524.

7. Financial Management Service(FMS): 401 14th Street, SW,Washington, DC 20227.

8. Internal Revenue Service (IRS):1111 Constitution Avenue, NW,Washington, DC 20224.

9. United States Mint (MINT): 801 9thStreet, NW, Washington, DC 20220.

10. Bureau of the Public Debt (BPD):200 Third Street, Parkersburg, WV26101.

11. United States Secret Service(USSS): 950 H Street, NW, Washington,DC 20001.

12. Office of Thrift Supervision (OTS):1700 G Street, NW, Washington, DC20552.


Employees of the Department of theTreasury who voluntarily apply forchild care tuition assistance, theemployee’s spouse, their children andtheir child care providers.

CATEGORIES OF RECORDS IN THE SYSTEM:Records may include application

forms for child care tuition assistancecontaining personal information,including employee (parent) name,Social Security Number, pay grade,home and work numbers, addresses,telephone numbers, total family income,names of children on whose behalf theparent is applying for tuition assistance,each child’s date of birth, informationon child care providers used (includingname, address, provider license numberand State where issued, tuition cost, andprovider tax identification number), andcopies of IRS Form 1040 and 1040A forverification purposes. Other recordsmay include the child’s social securitynumber, weekly expense, paystatements, records relating to directdeposits, verification of qualificationand administration for the child caretuition assistance.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Pub. L. 106–58, section 643 and E.O.

9397.

PURPOSE(S):To establish and verify Department of

the Treasury employees’ eligibility forchild care subsidies in order for theDepartment of the Treasury to providemonetary assistance to its employees.Records are also maintained so theDepartment can make payments to childcare providers on an employee’s behalf.


These records may be used to:(1) Disclose pertinent information to

the appropriate Federal, State, or localagency responsible for investigating,prosecuting, enforcing, or implementinga statute, rule, regulation, or order,where the Department of the Treasurybecomes aware of an indication of aviolation or potential violation of civilor criminal law or regulation;

(2) Provide information to acongressional office from the record of



an individual in response to an inquiryfrom that congressional office made atthe request of that individual;

(3) Disclose information to anotherFederal agency, to a court, or a party inlitigation before a court or in anadministrative proceeding beingconducted by a Federal agency, whenthe Government is a party to the judicialor administrative proceeding. In thosecases where the Government is not aparty to the proceeding, records may bedisclosed if a subpoena has been signedby a judge;

(4) Disclose information to theNational Archives and RecordsAdministration for use in recordsmanagement inspections;

(5) Disclose information to theDepartment of Justice, or in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the Department of theTreasury is authorized to appear, when:(a) The Department of the Treasury, orany component thereof; or (b) anyemployee of the Department of theTreasury in his or her official capacity;or (c) any employee of the Departmentof the Treasury in his or her individualcapacity where the Department ofJustice or the Department of theTreasury has agreed to represent theemployee; or (d) the United States,when the Department of the Treasurydetermines that litigation is likely toaffect the Department of the Treasury orany of its components; is a party tolitigation or has an interest in suchlitigation, and the use of such records bythe Department of Justice or theDepartment of the Treasury is deemedby the Department of the Treasury to berelevant and necessary to the litigation;provided, however, that the disclosureis compatible with the purpose forwhich records were collected;

(6) Provide records to the Office ofPersonnel Management, Merit SystemsProtection Board, Equal EmploymentOpportunity Commission, Federal LaborRelations Authority, the Office ofSpecial Counsel, and GeneralAccounting Office for the purpose ofproperly administering Federalpersonnel systems or other agencies’systems in accordance with applicablelaws, Executive Orders, and regulations;

(7) Disclose information tocontractors, grantees, or volunteersperforming or working on a contract,service, grant, or cooperative agreement,or job for the Federal Government;

(8) Disclose information to a court,magistrate, or administrative tribunalwhen necessary and relevant in thecourse of presenting evidence, includingdisclosures to opposing counsel orwitnesses in the course of civil

discovery, litigation, or settlementnegotiations or in connection withcriminal law proceedings or in responseto a subpoena;

(9) Disclose information to unionsrecognized as exclusive bargainingrepresentatives under 5 U.S.C. chapter71, and other parties responsible for theadministration of the Federal labor-management program if needed in theperformance of their authorized duties.


STORAGE:

Information may be collected onpaper or electronically and may bestored as paper forms or on computers.

RETRIEVABILITY:

By name; may also be cross-referenced to Social Security Number.

SAFEGUARDS:

When not in use by an authorizedperson, paper records are stored inlockable file cabinets or secured rooms.Electronic records are protected by theuse of passwords.


Disposition of records is according tothe National Archives and RecordsAdministration (NARA) guidelines.


Treasury official prescribing policiesand practices: Director, Office ofPersonnel Policy, Room 6018–Metropolitan Square, Department of theTreasury, Washington, DC 20220.Officials maintaining the system andrecords for the Treasury componentsare:

1. DO:a. Director, Office of Personnel

Resources, Department of the Treasury,Room 1462–MT, Washington, DC 20220.

b. Office of General Counsel:Administrative Officer, Department ofthe Treasury, Room 1417–MT,Washington, DC 20220.

c. OIG: Personnel Officer, 740 15thSt., NW, Suite 510, Washington, DC20220.

d. TIGTA: Director, ManagementResources & Support, 1111 ConstitutionAve., NW, TIGTA:IG:NS:HR, Room6402, Washington, DC 20224.

2. ATF: Assistant Director, Office ofManagement, 650 Massachusetts Ave.,NW, Washington, DC 20226.

3. OCC: Director, Human ResourcesDivision Independence Square, 250 ESt., SW, 4th Floor, Washington, DC20219.

4. Customs: Personnel Director, HRM,1300 Pennsylvania Ave., NW, Room

2.4a, International Trade Center,Washington, DC 20229.

5. BEP: Chief, Office of HumanResources. 14th & C St., SW, Room 202–13a, Washington, DC 20228.

6. FLETC: Human Resources Officer,Bldg 94, Room E–2, Glynco, GA 31524.

7. FMS: Director, Human ResourcesDivision, PG Center II Bldg, Rm. 114f,3700 East West Highway, Hyattsville,MD 20782.

8. IRS: Director Personnel PolicyDivision, 1111 Constitution Ave.,Building CP6—M:S:P, Washington, DC20224.

9. MINT: Assistant Director, HumanResources, 801 9th Street, NW, Room6S34, Washington, DC 20220.

10. BPD: Child Care AssistanceProgram (CCAP) Coordinator, PO Box1328, Room 302, Parkersburg, W. VA26106–1328.

11. USSS: Chief, Personnel Division,950 H St., NW, 7th Floor, Washington,DC 20223.

12. OTS: Director, Human ResourcesDivision, 1700 G St., NW, 2nd Floor,Washington, DC 20552.

NOTIFICATION PROCEDURE:

Individuals seeking notification andaccess to any record contained in thesystem of records, or seeking to contestits content, may inquire in accordancewith instructions pertaining toindividual Treasury componentsappearing at 31 CFR part 1, subpart C,appendices A–M.

RECORD ACCESS PROCEDURES:

See ‘‘Notification procedure’’ above.



RECORD SOURCE CATEGORIES:

Information is provided byDepartment of the Treasury employeeswho apply for child care tuitionassistance.

EXEMPTIONS CLAIMED FOR THE SYSTEM:

None.

TREASURY .004

SYSTEM NAME:

Freedom of Information Act/PrivacyAct Request Records—Treasury.

SYSTEM LOCATION:

Department of the Treasury, 1500Pennsylvania Avenue, NW.,Washington, DC 20220. The locations atwhich the system is maintained byTreasury components and theirassociated field offices are:

(1) Departmental Offices (DO), whichincludes the Office of Inspector General(OIG), the Treasury Inspector General



for Tax Administration (TIGTA), andFinancial Crimes Enforcement Network(FinCEN);

(2) Bureau of Alcohol, Tobacco andFirearms (ATF);

(3) Office of the Comptroller of theCurrency (OCC);

(4) United States Customs Service(CUSTOMS);

(5) Bureau of Engraving and Printing(BEP);

(6) Federal Law Enforcement TrainingCenter (FLETC);

(7) Financial Management Service(FMS);

(8) United States Mint (MINT);(9) Bureau of the Public Debt (BPD);(10) United States Secret Service

(USSS):(11) Office of Thrift Supervision

(OTS).


Individuals who have: (1) Requestedaccess to records pursuant to theFreedom of Information Act, 5 U.S.C.552, (FOIA) or who have appealedinitial denials of their requests; and/or(2) made a request for access,amendment or other action pursuant tothe Privacy Act of 1974, 5 U.S.C. 552a(PA).


Requests for records or informationpursuant to the FOIA and/or PA whichincludes the names of individualsmaking written requests for recordsunder the FOIA or the PA, the mailingaddresses of such individuals, and thedates of such requests and their receipt.Supporting records include the writtencorrespondence received fromrequesters and responses made to suchrequests; internal processing documentsand memoranda, referrals and copies ofrecords provided or withheld, and mayinclude legal memoranda and opinions.Comparable records are maintained inthis system with respect to any appealsmade from initial denials of access,refusal to amend records and lawsuitsunder the FOIA/PA.


Freedom of Information Act, 5 U.S.C.552; Privacy Act of 1974, 5 U.S.C. 552a;and 5 U.S.C. 301.

PURPOSE(S):

The system is used by officials toadministratively control and/or processrequests for records to ensurecompliance with the FOIA/PA and tocollect data for the annual and biennialreporting requirements of the FOIA/PAand other Department managementreport requirements.



appropriate Federal, foreign, State,local, tribal or other public authoritiesor self-regulatory organizationsresponsible for investigating orprosecuting the violations of, or forenforcing or implementing, a statute,rule, regulation, order, or license, wherethe disclosing agency becomes aware ofan indication of a violation or potentialviolation of civil or criminal law orregulation;

(2) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations, in response to a subpoena,or in connection with criminal lawproceedings;


(4) Disclose information to anotherFederal agency to (a) permit a decisionas to access, amendment or correction ofrecords to be made in consultation withor by that agency, or (b) verify theidentity of an individual or the accuracyof information submitted by anindividual who has requested access toor amendment or correction of records;

(5) The Department of Justice whenseeking legal advice, or when (a) theagency or (b) any component thereof, or(c) any employee of the agency in his orher official capacity, or (d) anyemployee of the agency in his or herindividual capacity where theDepartment of Justice has agreed torepresent the employee, or (e) theUnited States, where the agencydetermines that litigation is likely toaffect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice is deemed by theagency to be relevant and necessary tothe litigation;

(6) Disclose information to theappropriate foreign, State, local, tribal,or other public authority or self-regulatory organization for the purposeof (a) consulting as to the propriety ofaccess to or amendment or correction ofinformation obtained from thatauthority or organization, or (b)verifying the identity of an individualwho has requested access to oramendment or correction of records;

(7) Disclose information to contractorsand other agents who have been

engaged by the Department or one of itsbureaus to provide products or servicesassociated with the Department’s orbureau’s responsibility arising under theFOIA/PA;

(8) Disclose information to theNational Archives and RecordsAdministration for use in recordsmanagement inspections.


STORAGE:Electronic media, computer paper

printout, index file cards, and paperrecords in file folders.

RETRIEVABILITY:Retrieved by name, subject, request

file number or other data element asmay be permitted by an automatedsystem.

SAFEGUARDS:Protection and control of any

sensitive but unclassified (SBU) recordsare in accordance with TD P 71–10,Department of the Treasury SecurityManual, and any supplementalguidance issued by individual bureaus.Access to the records is available onlyto employees responsible for themanagement of the system and/oremployees of program offices who havea need for such information.

RETENTION AND DISPOSAL:The records pertaining to Freedom of

Information Act and Privacy Actrequests are retained and disposed of inaccordance with the National Archivesand Records Administration’s GeneralRecord Schedule 14—InformationServices Records.

SYSTEM MANAGER(S) AND ADDRESS:Department of the Treasury: Official

prescribing policies and practices—Departmental Disclosure Officer,Department of the Treasury, 1500Pennsylvania Avenue, NW.,Washington, DC 20220.

The system managers for the Treasurycomponents are:

1. DO: Assistant Director, DisclosureServices, Department of the Treasury,Washington, DC 20220.

2. ATF: Assistant Director, Liaisonand Public Information, 650Massachusetts Avenue, NW.,Washington, DC 20226.

3. BEP: Disclosure Officer, FOIAOffice, 14th & C Streets, SW.,Washington, DC 20228.

4. FLETC: FOIA/PA Officer,Department of the Treasury, Building94, Glynco, GA 31524.

5. FMS: Disclosure Officer, 401 14thStreet, SW., Washington, DC 20227.



6. Mint: Disclosure Officer, JudiciarySquare Building, 801 9th Street, NW.,Washington, DC 20220.

7. OCC: Disclosure Officer,Communications Division, Washington,DC 20219.

8. CUSTOMS: Chief, Disclosure LawBranch, Office of Regulations andRulings, 1300 Pennsylvania Avenue,NW., Washington, DC 20229.

9. BPD: Information DisclosureOfficer, 999 E Street, NW., Washington,DC 20239.

10. USSS: FOIA/PA Officer, FOIA/PABranch, 950 H Street, NW., Suite 3000,Washington, DC 20001.

11. OTS: Manager, DisseminationBranch, 1700 G Street, NW.,Washington, DC 20552.

12. TIGTA: Supervisory Analyst, 1111Constitution Ave., NW., IC:CC, Room3039, Washington, DC 20224.





RECORD SOURCE CATEGORIES:The information contained in these

files originates from individuals whomake FOIA/PA requests and agencyofficials responding to those requests.

EXEMPTIONS CLAIMED FOR THE SYSTEM:None. The Department has claimed

one or more exemptions (see 31 CFR1.36) for a number of its other systemsof records under 5 U.S.C. 552a (j)(2) and(k)(1), (2), (3), (4), (5), and (6). Duringthe course of a FOIA/PA action, exemptmaterials from those other systems maybecome a part of the case records in thissystem. To the extent that copies ofexempt records from those othersystems have been recompiled and/orentered into these FOIA/PA caserecords, the Department claims the sameexemptions for the records as they havein the original primary systems ofrecords of which they are a part.

TREASURY .005

SYSTEM NAME:Public Transportation Incentive

Program Records-Treasury.


Pennsylvania Avenue, NW.,

Washington, DC 20220. The locations atwhich the system is maintained byTreasury bureaus and their associatedfield offices are:

1. a. Departmental Offices (DO): 1500Pennsylvania Ave., NW., Washington,DC 20220.

b. The Office of Inspector General(OIG): 740 15th Street, NW.,Washington, DC. 20220.

2. Bureau of Alcohol, Tobacco andFirearms (ATF): 650 MassachusettsAvenue, NW., Washington, DC 20226.

3. Office of the Comptroller of theCurrency (OCC): 250 E Street, SW.,Washington, DC 20219–0001.

4. United States Customs Service(CUSTOMS): 1300 PennsylvaniaAvenue, NW., Washington DC 20229.

5. Bureau of Engraving and Printing(BEP): 14th & C Streets, SW.,Washington, DC 20228.


7. Financial Management Service(FMS): 401 14th Street, SW.,Washington, DC 20227.

8. Internal Revenue Service (IRS):1111 Constitution Avenue, NW.,Washington, DC 20224.

9. United States Mint (MINT): 801 9thSt. NW., Washington, Dc 20220.

10. Bureau of the Public Debt (BPD):200 Third Street, Parkersburg, WV26101.

11. United States Secret Service(USSS): 950 H Street, NW., Washington,DC 20001.

12. Office of Thrift Supervision (OTS):1700 G Street, NW., Washington, DC20552.


Employees who have applied for orwho participate in the PublicTransportation Incentive Program.


(1) Public Transportation IncentiveProgram application form containing theparticipant’s name, last four digits of thesocial security number, place ofresidence, office address, officetelephone, grade level, duty hours,previous method of transportation, costsof transportation, and the type of fareincentive requested. Incentivesauthorized under the Federal WorkforceTransportation Program may beincluded in this program.

(2) Reports submitted to theDepartment of the Treasury inaccordance with Treasury Directive 74–10.


5 U.S.C. 301, 26 U.S.C. 132(f), andPub. L. 101–509.

PURPOSE(S):

The records are used to administer thepublic transportation incentive orsubsidy programs provided by Treasurybureaus for eligible employees. Thesystem also enables the Department tocompare these records with otherFederal agencies to ensure thatemployee transportation programsbenefits are not abused.


These records may be used to discloseinformation to:

(1) Appropriate Federal, state, local,or foreign agencies responsible forinvestigating or prosecuting theviolations of, or for enforcing orimplementing, a statute, rule,regulation, order or license;

(2) A court, magistrate, oradministrative tribunal in the course ofpresenting evidence, includingdisclosures to opposing counsel orwitnesses in the course of civildiscovery, litigation, or settlementnegotiations, in response to a court-ordered subpoena where relevant orpotentially relevant to a proceeding, orin connection with criminal lawproceedings;

(3) A congressional office in responseto an inquiry made at the request of theindividual to whom the record pertains;

(4) Unions recognized as exclusivebargaining representatives under theCivil Service Reform Act of 1978, 5U.S.C. 7111 and/or 7114;

(5) Agencies, contractors, and othersto administer Federal personnel orpayroll systems, and for debt collectionand employment or securityinvestigations;

(6) Other Federal agencies formatching to ensure that employeesreceiving PTI Program benefits are notlisted as a carpool or vanpoolparticipant, the holder of a parkingpermit; and to prevent the program frombeing abused;

(7) The Department of Justice whenseeking legal advice, or when (a) theDepartment of the Treasury (agency) or(b) any component thereof, or (c) anyemployee of the agency in his or herofficial capacity, or (d) any employee ofthe agency in his or her individualcapacity where the Department ofJustice has agreed to represent theemployee, or (e) the United States,where the agency determines thatlitigation is likely to affect the agency orany of its components, is a party tolitigation or has an interest in suchlitigation, and the use of such records bythe Department of Justice is deemed by



the agency to be relevant and necessaryto the litigation;

(8) The Office of PersonnelManagement, the Merit SystemsProtection Board, the EqualEmployment Opportunity Commission,and the Federal Labor RelationsAuthority or other third parties whenmandated or authorized by statute; and

(9) A contractor for the purpose ofcompiling, organizing, analyzing,programming, or otherwise refiningrecords to accomplish an agencyfunction subject to the same limitationsapplicable to U.S. Department ofTreasury officers and employees underthe Privacy Act.


STORAGE:

Paper records, file folders and/orelectronic media.

RETRIEVABILITY:

By name of individual, badge numberor office.

SAFEGUARDS:

Access is limited to authorizedemployees. Files are maintained inlocked 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.


Active records are retainedindefinitely. Inactive records are heldfor three years and then destroyed.


The system managers for the Treasurybureaus are:

(1) Departmental Offices:a. Director, Occupational Safety and

Health Office, Room 6204 Annex, 1500Pennsylvania Ave., NW., Washington,DC 20220.

b. Office of Inspector General: Officeof Assistant Inspector for ManagementServices, Office of AdministrativeServices, Suite 510, 740 15th St. NW.,Washington, DC 20220.

(2) ATF: Assistant Director, Office ofManagement, 650 Massachusetts Ave.,NW., Washington, DC 20226.

(3) BEP: Chief, Office ofAdministrative Services, Bureau ofEngraving and Printing, 14th and CStreets, SW., Washington, DC 20228.

(4) OCC: Building Manager, BuildingServices, Office of the Comptroller ofthe Currency, 250 E Street, SW.,Washington, DC 20219–0001.

(5) CUSTOMS: Chief, HeadquartersFacilities Service Branch, 1300

Pennsylvania Avenue, NW., Suite 3.2C,Washington, DC 20229.

(6) FLETC: Associate Director forPlanning & Resources, Federal LawEnforcement Training Center, Glynco,GA 31524

(7) FMS: Director, AdministrativePrograms Division, FinancialManagement Service, 3700 East WestHwy., Room 144, Hyattsville, MD20782.

(8) IRS: Official prescribing policiesand practices—Chief, National Office,Protective Program Staff, Director,Personnel Policy Division, 2221 S. ClarkStreet–CP6, Arlington, VA 20224.Officials maintaining the system—Supervisor of local offices where therecords reside. (See IRS Appendix A foraddresses.)

(9) Mint: Office of BusinessAlignment, 801 9th St. NW.,Washington, DC 20220.

(10) BPD: Executive Director,Administrative Resources Center, 200Third Street, Parkersburg, WV 26106.

(11) USSS: Assistant Director, Officeof Administration, 950 H Street, NW.,Washington DC 20373–5802.

(12) OTS: Director, Planning, Budgetand Finance, Office of ThriftSupervision, Department of theTreasury, 1700 G Street, NW.,Washington, DC 20552.








The source of the data are employeeswho have applied for the transportationincentive, the incentive programmanagers and other appropriate agencyofficials, or other Federal agencies.


None.

TREASURY .006

SYSTEM NAME:

Parking and Carpool ProgramRecords—Treasury.

SYSTEM LOCATION:

Department of the Treasury, 1500Pennsylvania Avenue, NW, Washington,

DC 20220. The locations at which thesystem is maintained by Treasurybureaus and their associated fieldoffices are:

1. a. Departmental Offices (DO): 1500Pennsylvania Ave., NW, Washington,DC 20220.

b. The Office of Inspector General(OIG): 740 15th Street, NW, Washington,DC 20220.


2. Bureau of Alcohol, Tobacco andFirearms (ATF): 650 MassachusettsAvenue, NW, Washington, DC 20226.

3. Office of the Comptroller of theCurrency (OCC): 250 E Street, SW,Washington, DC 20219–0001.

4. United States Customs Service(CUSTOMS): 1300 PennsylvaniaAvenue, NW, Washington DC 20229.

5. Bureau of Engraving and Printing(BEP): 14th & C Streets, SW,Washington, DC 20228.


7. Financial Management Service(FMS): 401 14th Street, SW,Washington, DC 20227.

8. Internal Revenue Service (IRS):1111 Constitution Avenue, NW,Washington, DC 20224.

9. United States Mint (MINT): 801 9thStreet, NW, Washington, DC 20220.

10. Bureau of the Public Debt (BPD):999 E Street, NW, Washington, DC20239.

11. United States Secret Service(USSS): 950 H Street, NW, Washington,DC 20001.

12. Office of Thrift Supervision (OTS):1700 G Street, NW, Washington, DC20552.


Current employees of the Departmentand individuals from other Governmentagencies or private sector organizationswho may use, or apply to use, parkingfacilities or spaces controlled by theDepartment. Individuals utilizinghandicapped or temporary guest parkingcontrolled by the Department.


Records may include the name,position title, manager’s name,organization, vehicle identification,arrival and departure time, homeaddresses, office telephone numbers,social security numbers, badge number,and service computation date or lengthof service with a component of anindividual or principal carpoolapplicant. Contains name, place ofemployment, duty telephone, vehicle



license number and service computationdate of applicants, individuals orcarpool members. For parking spaces,permit number, priority group(handicapped, job requirements/executive officials (SES) or carpool/vanpool). Medical information may alsobe included when necessary todetermine disability of applicant whenapplying for handicapped parkingspaces.


5 U.S.C. 301; 44 U.S.C. 3101; TreasuryDepartment Order No. 165, revised asamended. Federal Property andAdministrative Services Act of 1949, asamended.

PURPOSE(S):

The records are used to administerparking, carpool and vanpool programswithin the Department. The systemenables the Department to allocate andcheck parking spaces assigned togovernment or privately-owned vehiclesoperated by visitors, handicappedpersonnel, key personnel, employeeseligible to participate in a parkingprogram and carpools or vanpools. TheDepartment is also able to comparethese records with other Federalagencies to ensure parking privileges orother employee transportation benefitsare not abused.



(1) Appropriate Federal, State, local,or foreign agencies, or other publicauthority responsible for investigatingor prosecuting the violations of or forenforcing or implementing a statute,rule, regulation, order, or license, wherethe disclosing agency becomes aware ofan indication of a violation or potentialviolation of civil or criminal law orregulation;

(2) A Congressional office in responseto an inquiry made at the request of theindividual to whom the record pertains;

(3) A physician for making adetermination on a person’s eligibilityfor handicapped parking;

(4) A contractor who needs to haveaccess to this system of records toperform an assigned activity;

(5) Parking coordinators ofGovernment agencies and private sectororganizations for verification ofemployment and participation of poolmembers;

(6) Unions recognized as exclusivebargaining representatives under theCivil Service Reform Act of 1978, 5U.S.C. 7111 and 7114;

(7) Department of Justice whenseeking legal advice, or when (a) theDepartment of the Treasury (agency) or(b) any component thereof, or (c) anyemployee of the agency in his or herofficial capacity, or (d) any employee ofthe agency in his or her individualcapacity where the Department ofJustice has agreed to represent theemployee, or (e) the United States,where the agency determines thatlitigation is likely to affect the agency orany of its components, is a party tolitigation or has an interest in suchlitigation, and the use of such records bythe Department of Justice is deemed bythe agency to be relevant and necessaryto the litigation;

(8) Third parties when mandated orauthorized by statute or when necessaryto obtain information that is relevant toan inquiry concerned with the possibleabuse of parking privileges or otheremployee transportation benefits;

(9) A court, magistrate, oradministrative tribunal in the course ofpresenting evidence, includingdisclosures to opposing counsel orwitnesses in the course of civildiscovery, litigation, or settlementnegotiations or in connection withcriminal law proceedings or in responseto a subpoena where relevant orpotentially relevant to a proceeding, and

(10) Officials of the Merit SystemsProtection Board, the Federal LaborRelations Authority, the EqualEmployment Opportunity Commissionor the Office of Personnel Managementwhen requested in the performance oftheir authorized duties.


STORAGE:Hard copy and/or electronic media.

RETRIEVABILITY:Name, address, social security

number, badge number, permit number,vehicle tag number, and agency name ororganization code on either theapplicant or pool members as needed bya bureau. Records are filedalphabetically by location.

SAFEGUARDS:Paper records are maintained in

locked file cabinets. Access is limited topersonnel whose official duties requiresuch access and who have a need toknow the information in a record for ajob-related purpose. Access tocomputerized records is limited,through use of a password, to thosewhose official duties require access.Protection and control of sensitive butunclassified (SBU) records are in

accordance with TD P 71–10,Department of the Treasury SecurityManual, and any supplementalguidance issued by individual bureaus.The IRS access controls will not be lessthan those provided by the AutomatedInformation System Security Handbook,IRM 2(10)00, and the Manager’sSecurity Handbook, IRM 1(16)12.

RETENTION AND DISPOSAL:Generally, record maintenance and

disposal is in accordance with NARAGeneral Retention Schedule 11, and anysupplemental guidance issued byindividual components. Disposal ofmanual records is by shredding orburning; electronic data is erased.Destroyed upon change in, or revocationof, parking assignment.

For the IRS, records are maintained inaccordance with Records ControlSchedule 301—General RecordsSchedule 11, Space and MaintenanceRecords, Item 4(a), IRM 1(15)59.31.

SYSTEM MANAGER(S) AND ADDRESS:The system managers for the Treasury

components are:(1) DO:a. Director, Occupational Safety and

Health Office, Room 6204 Annex, 1500Pennsylvania Ave., NW, Washington,DC 20220.

b. OIG: Director, AdministrativeServices Division, Office of ManagementServices, Room 510, 740 15th Street,NW, Washington, DC 20220.

c. TIGTA: Security Officer, 1111Constitution Ave., NW, Washington, DC20224.

(2) ATF: Assistant Director, Office ofManagement, 650 Massachusetts Ave.,NW, Washington, DC 20226.

(3) OCC: Building Manager, BuildingServices, Office of the Comptroller ofthe Currency, 250 E Street, SW,Washington, DC 20219;

(4) CUSTOMS: Chief FinancialOfficer, U.S. Customs ServiceHeadquarters, 1300 PennsylvaniaAvenue, NW, Washington, DC 20229.

(5) BEP: Chief, Office ofAdministrative Services, Bureau ofEngraving and Printing, 14th and CStreets, SW, Washington, DC 20228.

(6) FLETC: Associate Director forPlanning & Resources, Federal LawEnforcement Training Center, Glynco,GA 31524

(7) FMS: Director, AdministrativePrograms Division, 3700 East WestHighway, Hyattsville, MD 20782.

(8) IRS: Chief, Security and SafetyBranch; Regional Commissioners,District Directors, Internal RevenueService Center Directors, andComputing Center Directors. (See IRSAppendix A for addresses.)



(9) MINT: Associate Director,Protection SBU, 801 9th St. NW,Washington, DC 20220.

(10) BPD: Director, WashingtonSupport Services, Bureau of the PublicDebt, 999 E Street, NW, Washington, DC0239.

(11) USSS: Assistant Director, Officeof Administration, 950 H Street, NW,Washington, DC 20373–5802.

(12) OTS: Director, Procurement andAdministrative Services, Office of ThriftSupervision, 1700 G Street, NW,Washington, DC 20552.








Parking permit applicants, membersof carpools or vanpools, other Federalagencies, medical doctor if disabilitydetermination is requested.


None.

TREASURY .007

SYSTEM NAME:

Personnel Security System-Treasury.

SYSTEM LOCATION:

Department of the Treasury, 1500Pennsylvania Avenue NW, Room 3180Annex, Washington, DC 20220. Otherlocations at which the system ismaintained by Treasury bureaus andtheir associated offices are:

(1) Departmental Offices (DO):a. 1500 Pennsylvania Ave., NW,

Washington, DC 20220.b. Financial Crimes Enforcement

Network (FinCEN), Vienna, VA 22182.c. The Office of Inspector General

(OIG): 740 15th Street, NW, Washington,DC 20220.

d. Treasury Inspector General for TaxAdministration (TIGTA): 1111Constitution Ave., NW, Washington, DC20224.

(2) Bureau of Alcohol, Tobacco andFirearms (ATF): 650 MassachusettsAvenue, NW, Washington, DC 20226.

(3) Office of the Comptroller of theCurrency (OCC): 250 E Street, SW,Washington, DC 20219–0001.

(4) United States Customs Service(CUSTOMS): 1300 PennsylvaniaAvenue, NW, Washington DC 20229

(5) Bureau of Engraving and Printing(BEP): 14th & C Streets, SW,Washington, DC 20228.

(6) Federal Law Enforcement TrainingCenter (FLETC): Glynco, Ga. 31524.

(7) Financial Management Service(FMS): 401 14th Street, SW,Washington, DC 20227.

(8) United States Mint (MINT): 8019th Street, NW, Washington, DC 20220.


(10) Office of Thrift Supervision(OTS): 1700 G Street, NW, Washington,DC 20552.


(1) Current and former governmentemployees, applicants and contractoremployees occupying or applying forsensitive positions in the Department,(2) current and former senior officials ofthe Department and Treasury bureaus,and those within the Department whoare involved in personnel securitymatters, and (3) current employees,applicants and contractor employeeswho are appealing a denial or arevocation of a security clearance.

CATEGORIES OF RECORDS IN THE SYSTEM:(1) Background investigations, (2) FBI

and other agency name checks, (3)investigative information relating topersonnel investigations conducted bythe Department of the Treasury andother Federal agencies and departmentson a pre-placement and post-placementbasis to make suitability andemployability determinations and forgranting security clearances, (4) cardrecords comprised of Notice ofPersonnel Security Investigation (TD F67–32.2) or similar previously used cardindexes, and (5) an automated datasystem reflecting identification data onapplicants, incumbents and formeremployees, disclosure and authorizationforms, and record of investigations,level and date of security clearance, ifany, as well as status of investigations,and (6) records pertaining to the appealof a denial or a revocation of a securityclearance.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Executive Order 10450, sections 2 and

3, Executive Order 12958, and ExecutiveOrder 12968.

PURPOSE(S):This system is used to maintain

records that assure the Department isupholding the highest standards ofintegrity, loyalty, conduct, and security

among its personnel and contractemployees.



(1) Appropriate Federal, state, localand foreign agencies for the purpose ofenforcing and investigatingadministrative, civil or criminal lawrelating to the hiring or retention of anemployee; issuance of a securityclearance, license, contract, grant orother benefit;

(2) A court, magistrate, oradministrative tribunal in the course ofpresenting evidence, includingdisclosures to opposing counsel orwitnesses in the course of or inpreparation for civil discovery,litigation, or settlement negotiations, inresponse to a subpoena where relevantor potentially relevant to a proceeding,or in connection with criminal lawproceedings;

(3) The Department of Justice, or in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the Department of theTreasury is authorized to appear, when:(a) The Department of the Treasury, orany component thereof; or (b) anyemployee of the Department of theTreasury in his or her official capacity;or (c) any employee of the Departmentof the Treasury in his or her individualcapacity where the Department ofJustice or the Department of theTreasury has agreed to represent theemployee; or (d) the United States,when the Department of the Treasurydetermines that litigation is likely toaffect the Department of the Treasury orany of its components; is a party tolitigation or has an interest in suchlitigation, and the use of such records bythe Department of Justice or theDepartment of the Treasury is deemedby the Department of the Treasury to berelevant and necessary to the litigation;provided, however, that the disclosureis compatible with the purpose forwhich records were collected;


(5) Third parties during the course ofan investigation to the extent necessaryto obtain information pertinent to theinvestigation;

(6) The Office of PersonnelManagement, Merit Systems ProtectionBoard, Equal Employment OpportunityCommission, Federal Labor RelationsAuthority, and the Office of SpecialCounsel for the purpose of properlyadministering Federal personnel



systems or other agencies’ systems inaccordance with applicable laws,Executive Orders, and regulations; and

(7) Unions recognized as exclusivebargaining representatives under 5U.S.C. chapter 71, and other partiesresponsible for the administration of theFederal labor-management program ifneeded in the performance of theirauthorized duties.


STORAGE:File folders, index cards, and

magnetic media.

RETRIEVABILITY:Records are retrieved by name.

SAFEGUARDS:Paper records are stored in locked

metal containers and in locked rooms.Electronic records are passwordprotected. Access is limited to officialswho have a need to know in theperformance of their official duties andwhose background investigations havebeen favorably adjudicated.

RETENTION AND DISPOSAL:The records on government

employees and contractor employees areretained for the duration of theiremployment at the TreasuryDepartment. The records on applicantsnot selected and separated employeesare destroyed or sent to the FederalRecords Center in accordance withGeneral Records Schedule 18.


prescribing policies and practices:Director of Security, 1500 PennsylvaniaAvenue, NW., Room 3180 Annex,Washington, DC 20220.


(1) DO:a. Director of Security, 1500

Pennsylvania Avenue, NW.,Washington, DC 20220.

b. OIG: Personnel Officer, 740 15thSt., NW., Suite 510, Washington, DC20220.

c. TIGTA: Security Officer, 1111Constitution Ave., NW., Washington,DC 20224.

d. FinCEN: Security Director, Vienna,VA 22182.

(2) ATF: Assistant Directors, Office ofManagement, and Office of Inspection,650 Massachusetts Avenue, NW.,Washington, DC 20226.

(3) BPD: Director, Division ofAdministrative Services, 200 ThirdStreet, P.O. Box 1328, Parkersburg, WV26106–1318.

(4) CUSTOMS: Chief, SecurityManagement Branch, 1300 PennsylvaniaAvenue, NW., Washington, DC 20229.

(5) FLETC: Associate Director forPlanning & Resources, Glynco, GA31524.

(6) OCC: Director, AdministrativeServices Division, 250 E Street, SW.,Washington, DC 20219.

(7) BEP: Chief, Office of Security, 14th& C Streets, NW., Room 113M,Washington, DC 20228.

(8) FMS: Director, AdministrativePrograms Division, 3700 East WestHighway, Hyattsville, MD 20782.

(9) Mint: Associate Director,Protection SBU, 801 9th Street, NW.,Washington, DC 20220.

(10) OTS: Director, Procurement andAdministrative Services, 1700 G Street,NW., Washington, DC 20552.








The information provided or verifiedby applicants or employees whose filesare on record as authorized by thoseconcerned, information obtained fromcurrent and former employers, co-workers, neighbors, acquaintances,educational records and instructors, andpolice and credit record checks.


This system is exempt from 5 U.S.C.552a (c)(3), (d)(1), (2), (3), and (4), (e)(1),(e)(4)(G), (H), and (I), and (f) of thePrivacy Act pursuant to 5 U.S.C.552a(k)(5). (See 31 CFR 1.36)

TREASURY .008

SYSTEM NAME:

Treasury Emergency ManagementSystem.

SYSTEM LOCATION:

Department of the Treasury, AnnexBuilding, Room 3180, 1500Pennsylvania Avenue, NW.,Washington, DC 20220. Other locationsat which the system is maintained byTreasury components and theirassociated field offices are:

(1) Departmental Offices (DO):

a. 1500 Pennsylvania Ave., NW.,Washington, DC 20220.



d. Financial Crimes EnforcementNetwork (FinCEN): Vienna, VA 22182.


(3) Office of the Comptroller of theCurrency (OCC): 250 E Street, SW.,Washington, DC 20219–0001.

(4) United States Customs Service(CUSTOMS): 1300 PennsylvaniaAvenue, NW., Washington DC 20229.


(6) Federal Law Enforcement TrainingCenter (FLETC): Glynco, GA. 31524.








Current Treasury employees,contractors, and Treasury EmergencyExecutive Reservists.

Categories of records in the system:Treasury employees, contractors, or

Treasury Emergency ExecutiveReservists identification number, socialsecurity number, first name and middleinitial, last name, job title, governmentand home addresses (city, state, zipcode, zip code extension), hometelephone number, work telephonenumber, alternate telephone number(e.g., pager, cellular phone), work shift,email addresses, office code, officename, gender and other employeeattributes, date of birth, place of birth,and related personnel security clearanceinformation, emergency teamassignment and emergency teamlocation.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 301, Executive Order 12656,

section 201 and part 15, Executive



Order 12472, Presidential DecisionDirective 67.

PURPOSES(S):The purpose of this system of records

is to support the development of andmaintain a continuity of operationsplans (COOP) for the Department and itscomponent bureaus. COOP activitiesinvolve ensuring the continuity ofminimum essential Department of theTreasury functions through plans andprocedures governing succession tooffice and the emergency delegation ofauthority (where permissible). Vitalrecords and critical informationpertaining to all current employees,contractors, and Treasury EmergencyExecutive Reservists will be gatheredand stored in an emergency employeelocator system. This data will be usedfor alert and notification purposes,determining team and task assignments,developing and maintaining anemergency contact system for generalemergency preparedness programs andspecific situations.



appropriate Federal, State, local, orforeign agencies, or other publicauthority responsible for investigatingor prosecuting the violations of, or forenforcing or implementing a statute,rule, regulation, order, or license, wherethe disclosing agency becomes aware ofan indication of a violation or potentialviolation of civil or criminal law orregulation;

(2) Disclose pertinent information tothe Department of Justice for thepurpose of litigating an action orseeking legal advice;

(3) Disclose information to the FederalEmergency Management Agency(FEMA) or other agency with nationalsecurity and emergency preparednessresponsibilities in order to carry outcontinuity of government activities;

(4) Disclose information to a Federal,State, local, or other public authoritymaintaining civil, criminal or otherrelevant enforcement information orother pertinent information, which hasrequested information relevant to ornecessary to the requesting agency’s,bureau’s, or authority’s hiring orretention of an individual, or issuanceof a security clearance, license, contract,grant, or other benefit;

(5) Disclose information in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the Department of theTreasury (agency) is authorized to

appear when: (a) The agency, or (b) anyemployee of the agency in his or herofficial capacity, or (c) any employee ofthe agency in his or her individualcapacity where the Department ofJustice or the agency has agreed torepresent the employee; or (d) theUnited States, when the agencydetermines that litigation is likely toaffect the agency, is a party to litigationor has an interest in such litigation, andthe use of such records by the agency isdeemed to be relevant and necessary tothe litigation or administrativeproceeding and not otherwiseprivileged;

(6) Disclose information to aCongressional office in response to aninquiry made at the request of theindividual to whom the record pertains;

(7) Disclose information to acontractor for the purpose of processingadministrative records and/orcompiling, organizing, analyzing,programming, or otherwise refiningrecords subject to the same limitationsapplicable to U. S. Department of theTreasury officers and employees underthe Privacy Act;

(8) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations or in connection withcriminal law proceedings or in responseto a subpoena where relevant orpotentially relevant to a proceeding;

(9) Disclose information to unionsrecognized as exclusive bargainingrepresentatives under the Civil ServiceReform Act of 1978, 5 U.S.C. 7111 and7114, the Merit Systems ProtectionBoard, arbitrators, the Federal LaborRelations Authority, and other partiesresponsible for the administration of theFederal labor management program forthe purpose of processing any correctiveactions or grievances, or conductingadministrative hearings or appeals, or ifneeded in the performance of otherauthorized duties;

(10) Disclose information to atelecommunications company providingtelecommunications support to permitservicing the account;

(11) Disclose information torepresentatives of the General ServicesAdministration (GSA) or the NationalArchives and Records Administration(NARA) who are conducting recordsmanagement inspections underauthority of 44 U.S.C. 2904 and 2906.


STORAGE:Maintained in hardcopy and

electronic media.

RETRIEVABILITY:Records can be retrieved by name, or

by the categories listed above under‘‘Categories of records in the system.’’


sensitive but unclassified (SBU) recordsare in accordance with TD P 71–10,Department of the Treasury SecurityManual. The files and magnetic mediaare secured in locked rooms. Access tothe records is available only toemployees responsible for themanagement of the system and/oremployees of program offices who havea need for such information and havebeen subject to a background check and/or have a security clearance.

RETENTION AND DISPOSAL:Records are retained and disposed of

in accordance with the appropriateNational Archives and RecordsAdministration General RecordsSchedules.


prescribing policies and practices:Director, Office of Security, Departmentof the Treasury, Washington, DC 20220.


1. a. DO: Director of Security, 1500Pennsylvania Avenue, NW.,Washington, DC 20220.

b. OIG: Personnel Officer, 740 15thSt., NW., Suite 510, Washington, DC20220.

c. TIGTA: Security Officer, 1111Constitution Ave., NW., Washington,DC 20224.

2. ATF: Assistant Director, Office ofManagement, 650 MassachusettsAvenue, NW., Washington, DC 20226.

3. CC: Director, AdministrativeServices Division, 250 E Street, SW.,Washington, DC 20219.

4. CUSTOMS: Chief, SecurityManagement Branch, 1300 PennsylvaniaAvenue, NW., Washington, DC 20229.

5. BEP: Director of Security, 14th & CStreets, NW., Room 113M, Washington,DC 20228.

6. FLETC: Director, Glynco Facility,Glynco, GA 31524.

7. FMS: Director, AdministrativePrograms Division, 3700 East WestHighway, Hyattsville, MD 20782.

8. IRS: Director, Security Standardsand Evaluation, 5000 Ellin Road,Lanham, MD 20706.



9. BPD: Director, Division ofAdministration, 200 Third Street, P.O.Box 1328, Parkersburg, WV 26106–1328.

10. Mint: Associate Director,Protection SBU, 801 9th Street, NW.,Washington, DC 20220.

11. USSS: Deputy Assistant Director,Office of Administration, 950 H StreetNW., Washington, DC 20001.

12. OTS: Director, Procurement andAdministrative Services, 1700 G Street,NW., Washington, DC 20552.


access to any record contained in thesystem of records, or seeking to contestits content, may inquire in accordancewith instructions pertaining toindividual Treasury componentsappearing at 31 CFR part 1, subpart C,appendices A—M.

RECORD ACCESS PROCEDURES:See ‘‘Notification procedures’’ above.

CONTESTING RECORD PROCEDURES:See ‘‘Notification procedures’’ above.

RECORD SOURCE CATEGORIES:Information is obtained from current

Treasury employees, contractors,Treasury Emergency ExecutiveReservists, and Management.


TREASURY .009

SYSTEM NAME:Treasury Financial Management

Systems—Treasury.


Pennsylvania Ave., NW, Washington,DC 20220. The locations at which thesystem is maintained by Treasurycomponents and their associated fieldoffices are:

(1) Departmental Offices (DO):a. Financial Management Division,

1500 Pennsylvania Avenue, NW,Washington, DC 20220.



d. Community Development FinancialInstitutions Fund (CDFI): 601 13thStreet, NW., Suite 200 South,Washington, DC 20005.

e. Federal Financing Bank (FFB): 1500Pennsylvania Avenue, NW., SouthCourt One, Washington, DC 20220.

f. Financial Crimes EnforcementNetwork (FinCEN): Vienna, VA 22182.

g. Office of the Assistant Secretary forInternational Affairs (OASIA): 1500Pennsylvania Avenue, NW., Room5441D, Washington, DC 20220.

h. Treasury Forfeiture Fund: 740 15thStreet, NW., Suite 700, Washington, DC20220.

i. Treasury Franchise Fund: 1500Pennsylvania Avenue, NW.,Washington, DC 20220.













(1) Current and former Treasuryemployees, non-Treasury personnel ondetail to the Department, current andformer vendors, all debtors includingemployees or former employees; (2)persons paying for goods or services,returning overpayment or otherwisedelivering cash; (3) individuals, privateinstitutions and business entities whoare currently doing business with, orwho have previously conductedbusiness with the Department of theTreasury to provide various goods andservices; (4) individuals who are now orwere previously involved in tort claimswith Treasury; (5) individuals who arenow or have previously been involvedin payments (accounts receivable/revenue) with Treasury; and (6)individuals who have been recipients ofawards. Only records reflecting personalinformation are subject to the PrivacyAct. The system also contains recordsconcerning corporations, other businessentities, and organizations whose

records are not subject to the PrivacyAct.


The financial systems used by theTreasury components to collect,maintain and disseminate informationinclude the following types of records:Routine billing, payment, propertyaccountability, and travel informationused in accounting and financialprocessing; administrative claims byemployees for lost or damaged property;administrative accounting documents,such as relocation documents, purchaseorders, vendor invoices, checks,reimbursement documents, transactionamounts, goods and servicesdescriptions, returned overpayments, orotherwise delivering cash, reasons forpayment and debt, travel-relateddocuments, training records, uniformallowances, payroll information, studentintern documents, etc., which reflectamount owed by or to an individual forpayments to or receipt from businessfirms, private citizens and orinstitutions. Typically, these documentsinclude the individual’s name, socialsecurity number, address, and taxpayeridentification number. Records in thesystem also include employment data,payroll data, position and pay data.


31 U.S.C. 3512, 31 U.S.C. 3711, 31U.S.C. 3721, 5 U.S.C. 5701 et seq., 5U.S.C. 4111(b), Pub. L. 97–365, 26U.S.C. 6103(m)(2), 5 U.S.C. 5514, 31U.S.C. 3716, 31 U.S.C. 321, 5 U.S.C. 301,5 U.S.C. 4101 et seq., 41 CFR parts 301–304, EO 11348, and Treasury Order140–01.

PURPOSE(S):

The Treasury Integrated FinancialManagement and Revenue System is toaccount for and control appropriatedresources; maintain accounting andfinancial information associated withthe normal operations of governmentorganizations such as billing and follow-up, for paying creditors, to account forgoods and services provided andreceived, to account for monies paidand received, process travelauthorizations and claims, processtraining claims, and process employeeclaims for lost or damaged property. Therecords management and statisticalanalysis subsystems provide a datasource for the production of reports,statistical surveys, documentation andstudies required for integrated internalmanagement reporting of costsassociated with the Department’soperation.




These records may be used to discloseinformation: (1) To appropriate Federal,State, local, or foreign agencies, or otherpublic authority responsible forinvestigating or prosecuting theviolations of or for enforcing orimplementing a statute, rule, regulation,order, or license, where the disclosingagency becomes aware of an indicationof a violation or potential violation ofcivil or criminal law or regulation;

(2) To the Department of Justice whenseeking legal advice, or when (a) theagency or (b) any component thereof, or(c) any employee of the agency in his orher official capacity, or (d) anyemployee of the agency in his or herindividual capacity where theDepartment of Justice has agreed torepresent the employee, or (e) theUnited States, where the agencydetermines that litigation is likely toaffect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice is deemed by theagency to be relevant and necessary tothe litigation and the use of suchrecords by the Department of Justice istherefore deemed by the agency to be fora purpose that is compatible with thepurpose for which the agency collectedthe records;

(3) To a Federal, State, local, or otherpublic authority maintaining civil,criminal or other relevant enforcementinformation or other pertinentinformation, which has requestedinformation relevant to or necessary tothe requesting agency’s, bureau’s, orauthority’s hiring or retention of anindividual, or issuance of a securityclearance, license, contract, grant, orother benefit; (4) in a proceeding beforea court, adjudicative body, or otheradministrative body before which theagency is authorized to appear when: (a)The agency, or (b) or any componentthereof, or (c) any employee of theagency in his or her official capacity, or(d) any employee of the agency in hisor her individual capacity where theDepartment of Justice or the agency hasagreed to represent the employee; or (e)the United States, when the agencydetermines that litigation is likely toaffect the agency, is a party to litigationor has an interest in such litigation, andthe use of such records by the agency isdeemed to be relevant and necessary tothe litigation or administrativeproceeding and not otherwiseprivileged;

(5) To a Congressional office inresponse to an inquiry made at the

request of the individual to whom therecord pertains;

(6) To the news media in accordancewith guidelines contained in 28 CFR50.2 which pertain to an agency’sfunctions relating to civil and criminalproceedings;

(7) To third parties during the courseof an investigation to the extentnecessary to obtain informationpertinent to the investigation;

(8) To a public or professionallicensing organization when suchinformation indicates, either by itself orin combination with other information,a violation or potential violation ofprofessional standards, or reflects on themoral, educational, or professionalqualifications of an individual who islicensed or who is seeking to becomelicensed;

(9) To a contractor for the purpose ofcompiling, organizing, analyzing,programming, processing, or otherwiserefining records subject to the samelimitations applicable to U.S.Department of the Treasury officers andemployees under the Privacy Act;

(10) To a court, magistrate, oradministrative tribunal in the course ofpresenting evidence, includingdisclosures to opposing counsel orwitnesses in the course of civildiscovery, litigation, or settlementnegotiations or in connection withcriminal law proceedings or in responseto a subpoena;

(11) Through a computer matchingprogram, information on individualsowing debts to the Department of theTreasury, or any of its components, toother Federal agencies for the purposeof determining whether the debtor is aFederal employee or retiree receivingpayments which may be used to collectthe debt through administrative orsalary offset;

(12) To other federal agencies to effectsalary or administrative offset for thepurpose of collecting debts, except thataddresses obtained from the IRS shallnot be disclosed to other agencies;

(13) To disclose information to aconsumer reporting agency, includingmailing addresses obtained from theInternal Revenue Service, to obtaincredit reports;

(14) To a debt collection agency,including mailing addresses obtainedfrom the Internal Revenue Service, fordebt collection services;

(15) To unions recognized asexclusive bargaining representativesunder the Civil Service Reform Act of1978, 5 U.S.C. 7111 and 7114, the MeritSystems Protection Board, arbitrators,the Federal Labor Relations Authority,and other parties responsible for theadministration of the Federal labor-

management program for the purpose ofprocessing any corrective actions, orgrievances, or conductingadministrative hearings or appeals, or ifneeded in the performance of otherauthorized duties;

(16) To a public or professionalauditing organization for the purpose ofconducting financial audit and/orcompliance audits;

(17) To a student participating in aTreasury student volunteer program,where such disclosure is necessary tosupport program functions of Treasury,and

(18) To insurance companies or otherappropriate third parties, includingcommon carriers and warehousemen, inthe course of settling an employee’sclaim for lost or damaged property filedwith the Department.


Disclosures made pursuant to 5 U.S.C.552a(b)(12): Debt informationconcerning a government claim againstan individual may be furnished inaccordance with 5 U.S.C. 552a(b)(12)and section 3 of the Debt Collection Actof 1982 (Pub. L. 97–365) to consumerreporting agencies to encouragerepayment of an overdue debt.


STORAGE:Paper, microform and electronic

media.

RETRIEVABILITY:Name, social security number, vendor

ID number, and document number(travel form, training form, purchaseorder, check, invoice, etc.).

SAFEGUARDS:Protection and control of sensitive but

unclassified (SBU) records in thissystem is in accordance with TD P 71–10, Department of the Treasury SecurityManual, and any supplementalguidance issued by individualcomponents.

RETENTION AND DISPOSAL:Record maintenance and disposal is

in accordance with National Archivesand Records Administration retentionschedules, and any supplementalguidance issued by individualcomponents.

SYSTEM MANAGER(S) AND ADDRESS:(1) DO: a. Director, Financial

Management Division, 1500Pennsylvania Avenue, NW., Attn: 1310G Street, 2nd floor, Washington, DC20220.



b. OIG: Assistant Inspector General forManagement Services, 740 15th St. NW.,Suite 510, Washington, DC 20220.

c. FinCEN: Chief Financial Officer,Vienna, VA 22182.

d. CDFI Fund: Deputy Director forManagement/CFO, 601 13th Street,NW., Suite 200 South, Washington, DC20005.

e. FFB: Chief Financial Officer, 1500Pennsylvania Avenue, NW., SouthCourt One, Washington, DC 20220.

f. FinCEN: Associate Director, Officeof Resource Management/CFO, Vienna,VA 22182.

g. OASIA: Financial Manager, 1500Pennsylvania Avenue, NW., Room5441D, Washington, DC 20220.

h. Treasury Forfeiture Fund: AssistantDirector for Financial Management/CFO, 740 15th Street, NW., Suite 700,Washington, DC 20220.

i. Treasury Franchise Fund: Director,Office of Financial Management, 1500Pennsylvania Avenue, NW. Attention:1310 G Street, NW, 2nd Floor,Washington, DC 20220.

(2) ATF: Assistant Director, Office ofManagement, 650 MassachusettsAvenue, NW., Washington, DC 20226.

(3) IRS: Chief Financial Officer,Internal Revenue Service, 1111Constitution Avenue, NW., Room 3013,Washington, DC 20224.

(4) BPD: Director, Division ofFinancial Management, Bureau ofPublic Debt, 200 Third Street, P.O. Box1328, Parkersburg, WV 26106–1328.

(5) CUSTOMS: Chief FinancialOfficer, U.S. Customs Service, 1300Pennsylvania Avenue, NW., Room 4.5–D, Washington, DC 20229.

(6) FLETC: Comptroller, Budget andFinance Division, Federal LawEnforcement Training Center, GlyncoFacility, Bldg. 94, Glynco, GA 31524.

(7) CC: Chief Financial Officer,Comptroller of the Currency, 250 EStreet, SW., Washington, DC 20219.

(8) BEP: Chief Financial Officer,Bureau of Engraving and Printing, 14thand C Streets, NW., Room 113M,Washington, DC 20228.

(9) FMS: Chief Financial Officer,Financial Management Service, 3700East West Highway, Room 106A,Hyattsville, MD 20782.

(10) Mint: Chief Financial Officer,U.S. Mint, 633 3rd Street, NW., Room625, Washington, DC 20220.

(11) USSS: Financial ManagementDivision, U.S. Secret Service, 1800 GStreet, NW., Room 748, Washington, DC20226.

(12) OTS: Controller, Office of ThriftSupervision, 1700 G Street, NW., ThirdFloor, Washington, DC 20552.


access to any record contained in thesystem of records, or seeking to contestits content, may inquire in accordancewith instructions pertaining toindividual Treasury componentsappearing at 31 CFR part 1, subpart C,appendices A—M.



RECORD SOURCE CATEGORIES:Individuals, private firms, other

government agencies, contractors,documents submitted to or receivedfrom a budget, accounting, travel,training or other office maintaining therecords in the performance of theirduties.


TREASURY .010

SYSTEM NAME:Telephone Call Detail Records-

Treasury.


Pennsylvania Ave., NW., Washington,DC 20220. The locations at which thesystem is maintained by Treasurycomponents and their associated fieldoffices are:

(1) Departmental Offices (DO):a. 1500 Pennsylvania Ave., NW.,

Washington, DC 20220.b. The Office of Inspector General

(OIG): 740 15th Street, NW.,Washington, DC 20220.

c. Treasury Inspector General for TaxAdministration TIGTA): 1111Constitution Ave., NW., Washington,DC 20224.






(7) Financial Crimes EnforcementNetwork (FinCEN) Vienna, Virginia22182.








Individuals (generally agencyemployees and contractor personnel)who make local and/or long distancecalls, individuals who receivedtelephone calls placed from or chargedto agency telephones.

CATEGORIES OF RECORDS IN THE SYSTEM:Records relating to the use of

Department telephones to place localand/or long distance calls, whetherthrough the FederalTelecommunications System (FTS),commercial systems, or similar systems;including voice, data, andvideoconference usage; telephonecalling card numbers assigned toemployees; records of any charges billedto Department telephones; recordsrelating to location of Departmenttelephones; and the results ofadministrative inquiries to determineresponsibility for the placement ofspecific local or long distance calls.Telephone calls made to any TreasuryOffice of Inspector General Hotlinenumbers are excluded from the recordsmaintained in this system pursuant tothe provisions of 5 U.S.C., Appendix 3,Section 7(b) (Inspector General Act of1978).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:12 U.S.C. 1, 12 U.S.C. 93a, 12 U.S.C.

481, 5 U.S.C. 301 and 41 CFR 201–21.6.

PURPOSE(S):The Department, in accordance with

41 CFR 201–21.6, Use of GovernmentTelephone Systems, established theTelephone Call Detail program to enableit to analyze call detail information forverifying call usage, to determineresponsibility for placement of specificlong distance calls, and for detectingpossible abuse of the government-provided long distance network.


These records and information fromthese records may be disclosed:



(1) To representatives of the GeneralServices Administration or the NationalArchives and Records Administrationwho are conducting recordsmanagement inspections underauthority of 44 U.S.C. 2904 and 2906;

(2) To employees or contractors of theagency to determine individualresponsibility for telephone calls;

(3) To appropriate Federal, State,local, or foreign agencies responsible forinvestigating or prosecuting theviolations of, or for enforcing orimplementing a statute, rule, regulation,order, or license, or where thedisclosing agency becomes aware of anindication of a violation or potentialviolation of civil or criminal law orregulation;

(4) To a court, magistrate, oradministrative tribunal in the course ofpresenting evidence, includingdisclosures to opposing counsel orwitnesses in the course of civildiscovery, litigation, or settlementnegotiations, in response to a subpoena,or in connection with criminal lawproceedings where relevant andnecessary;

(5) To a telecommunications companyproviding telecommunication support topermit servicing the account;

(6) To another Federal agency to effectan interagency salary offset, or aninteragency administrative offset, or to adebt collection agency for debtcollection services. Mailing addressesacquired from the Internal RevenueService may be released to debtcollection agencies for collectionservices, but shall not be disclosed toother government agencies;

(7) To the Department of Justice forthe purpose of litigating an action orseeking legal advice;

(8) In a proceeding before a court,adjudicative body, or otheradministrative body, before which theagency is authorized to appear when: (a)The agency, or (b) any employee of theagency in his or her official capacity, or(c) any employee of the agency in his orher individual capacity where theDepartment of Justice has agreed torepresent the employee; or (d) theUnited States, when the agencydetermines that litigation is likely toaffect the agency, is a party to thelitigation or has an interest in suchlitigation, and the use of such records bythe agency is deemed relevant andnecessary to the litigation oradministrative proceeding and nototherwise privileged;

(9) To a congressional office inresponse to an inquiry made at therequest of the individual to whom therecord pertains;

(10) To unions recognized asexclusive bargaining representativesunder the Civil Service Reform Act of1978, 5 U.S.C. 7111 and 7114, the MeritSystems Protection Board, arbitrators,the Federal Labor Relations Authority,and other parties responsible for theadministration of the Federal labor-management program for the purpose ofprocessing any corrective actions orgrievances or conducting administrativehearings or appeals or if needed in theperformance of other authorized duties;

(11) To the Defense Manpower DataCenter (DMDC), Department of Defense,the U.S. Postal Service, and otherFederal agencies through authorizedcomputer matching programs to identifyand locate individuals who aredelinquent in their repayment of debtsowed to the Department, or one of itscomponents, in order to collect a debtthrough salary or administrative offsets;

(12) In response to a Federal agency’srequest made in connection with thehiring or retention of an individual,issuance of a security clearance, license,contract, grant, or other benefit by therequesting agency, but only to the extentthat the information disclosed isrelevant and necessary to the requestingagency’s decision on the matter.


Disclosures pursuant to 5 U.S.C.522a(b)(12): Disclosures may be madefrom this system to ‘‘consumer reportingagencies’’ as defined in the Fair CreditReporting Act (15 U.S.C. 1681(f)) or theFederal Claims Collections Act of 1966(31 U.S.C. 3701(a)(3)).


STORAGE:

Microform, electronic media, and/orhard copy media.

RETRIEVABILITY:

Records may be retrieved by:Individual name; componentheadquarters and field offices; byoriginating or terminating telephonenumber; telephone calling cardnumbers; time of day; identificationnumber, or assigned telephone number.

SAFEGUARDS:

Protection and control of anysensitive but unclassified (SBU) recordsare in accordance with TD P 71–10,Department of the Treasury SecurityManual, and any supplementalguidance issued by individualcomponents.

RETENTION AND DISPOSAL:Records are maintained in accordance

with National Archives and RecordsAdministration General RecordsSchedule 3. Hard copy and microformmedia disposed by shredding orincineration. Electronic media erasedelectronically.


prescribing policies and practices—Director, Customer ServicesInfrastructure and Operations,Department of the Treasury, Room 2150,1425 New York Avenue, NW,Washington, DC 20220. The systemmanagers for the Treasury componentsare:

(1) a. DO: Chief, TelecommunicationsBranch, Automated Systems Division,Room 1121, 1500 Pennsylvania Avenue,NW, Washington, DC 20220.

b. OIG: Assistant Inspector General forManagement Services, 740 15th St. NW,Suite 510, Washington, DC 20220.

c. FinCEN: Deputy Director, Vienna,Virginia 22182.

(2) ATF: Assistant Director, Office ofScience and Technology, 650Massachusetts Avenue, NW,Washington, DC 20226.

(3) CC: Associate Director,Telecommunications, Systems SupportDivision, Office of the Comptroller ofthe Currency, 835 Brightseat Road,Landover, MD 20785.

(4) CUSTOMS: Chief, VoiceCommunications, Office of SystemsEngineering and Operations, FieldOffice Division, 7681 Boston Boulevard,Springfield, VA 22153.

(5) BEP: Deputy Associate Director(Chief Information Officer), Office ofInformation Systems, Bureau ofEngraving and Printing, Room 711A,14th and C Street, SW., Washington, DC20228.

(6) FLETC: Information SystemsOfficer, Information Systems Division,ISD-Building 94, Glynco, GA 31524.

(7) FMS: Director, Platform andSupport Management, Room 424E, 3700East West Highway, Hyattsville, MD20782.

(8) IRS: Official prescribing policiesand practices: National Director,Operations and Customer Support,Internal Revenue Service, 1111Constitution Avenue, NW, Washington,DC 20224. Office maintaining thesystem: Director, Detroit ComputingCenter, (DCC), 1300 John C. LodgeDrive, Detroit, MI 48226.

(9) Mint: Assistant Director forInformation Resources Management,633 3rd Street, NW, Washington, DC20220.

(10) BPD: Official prescribing policiesand practices: Assistant Commissioner



(Office of Automated InformationSystems), 200 Third Street, Room 202,Parkersburg, WV 26106–1328. Officemaintaining the system: Division ofCommunication, 200 Third Street, Room107, Parkersburg, WV 26106–1328.

(11) USSS: Chief, InformationResources Management Division, 950 HStreet, NW, Washington, DC 20001.

(12) OTS: Director, Office ofInformation Systems, 1700 G Street,NW, 2nd Floor, Washington, DC 20552.



RECORD ACCESS PROCEDURES:Individuals seeking notification and

access to any record contained in thissystem of records, or seeking to contestits content, may inquire in accordancewith instructions pertaining toindividual Treasury componentsappearing at 31 CFR part 1, subpart C,appendices A–M.


RECORD SOURCE CATEGORIES:Telephone assignment records, call

detail listings, results of administrativeinquiries to individual employees,contractors or offices relating toassignment of responsibility forplacement of specific long distance orlocal calls.


TREASURY .011

SYSTEM NAME:Treasury Safety Incident Management

Information System (SIMIS)—Treasury.


Pennsylvania Ave., NW, Washington,DC 20220. Other locations at which thesystem is maintained by Treasurycomponents and their associated fieldoffices are:

(1) Departmental Offices (DO):a. 1500 Pennsylvania Ave., NW,

Washington, DC 20220.b. The Office of Inspector General

(OIG): 740 15th Street, NW, Washington,DC 20220.


d. Community Development FinancialInstitutions Fund (CDFI): 601 13thStreet, NW, Washington, DC 20005.

e. Financial Crimes EnforcementNetwork (FinCEN): Vienna, VA 22182.

(2) Bureau of Alcohol, Tobacco andFirearms (ATF): 650 MassachusettsAvenue, NW, Washington, DC 20226.

(3) Office of the Comptroller of thecurrency (OCC): 250 E Street, SW,Washington, DC 20219–0001.

(4) United States Customs Service(CUSTOMS): 1300 PennsylvaniaAvenue, NW, Washington, DC 20229.


(6) Federal Law Enforcement TrainingCenter (FLETC): Glynco, GA 31524.


(8) Internal Revenue Service (IRS):1111 Constitution Avenue, NW,Washington, DC 20224.

(9) United States Mint (MINT): 8019th Street, NW, Washington, DC 20220.


(11) United States Secret Service(USSS): 950 H Street, NW, Washington,DC 20001.

(12) Office of Thrift Supervision(OTS): 1700 G Street, NW, Washington,DC 20552.


Current and past Treasury employeesand contractors who are injured onDepartment of the Treasury property orwhile in the performance of their dutiesoffsite. Members of the public who areinjured on Department of the Treasuryproperty are also included in thesystem.


Records in this system pertain tomedical injuries and occupationalillnesses of employees which includesocial security numbers, full names, jobtitles, government and home addresses(city, state, zip code), home telephonenumbers, work telephone numbers,work shifts, location codes, and gender.Mishap information on environmentalincidents, vehicle accidents, propertylosses and tort claims will be includedalso. In addition, there will be recordssuch as results of investigations,corrective actions, supervisoryinformation, safety representativesnames, data as to chemicals used,processes affected, causes of losses, etc.Records relating to contractors includefull name, job title, work addresses (city,state, zip code), work telephone

number, location codes, and gender.Records pertaining to a member of thepublic include full name, home address(city, state, zip code), home telephonenumber, location codes and gender.(Official compensation claim file,maintained by the Department ofLabor’s Office of Workers’Compensation Programs (OWCP) is partof that agency’s system of records andnot covered by this notice.)

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 301, Executive Order 12196,

section 1–2.

PURPOSE(S):This system of records supports the

development and maintenance of aTreasury-wide incident tracking andreporting system and will make itpossible to streamline a cumbersomepaper process. Current web technologywill be employed and facilitateobtaining real-time data and reportsrelated to injuries and illnesses. As anenterprise system for the Departmentand its component bureaus, incidentsanalyses can be performed instantly toaffect a more immediate implementationof corrective actions and to preventfuture occurrences. Informationpertaining to past and all currentemployees and contractors injured onTreasury property or while in theperformance of their duties offsite, aswell as members of the public injuredwhile on Federal property, will begathered and stored in SIMIS. This datawill be used for analytical purposessuch as trend analysis, and theforecasting/projecting of incidents. Thedata will be used to generate graphicalreports resulting from the analyses.



appropriate Federal, State, local, orforeign agencies, or other publicauthority responsible for investigatingor prosecuting the violations of, or forenforcing or implementing a statute,rule, regulation, order, or license, wherethe disclosing agency becomes aware ofan indication of a violation or potentialviolation of civil or criminal law orregulation;

(2) Disclose pertinent information tothe Department of Justice for thepurpose of litigating an action orseeking legal advice;

(3) Disclose information to the Officeof Workers’ Compensation Programs,Department of Labor, which isresponsible for the administration of theFederal Employees’ WorkerCompensation Act (FECA);



(4) Disclose information to a Federal,State, local, or other public authoritymaintaining civil, criminal or otherrelevant enforcement information orother pertinent information, which hasrequested information relevant to ornecessary to the requesting agency’s,bureau’s, or authority’s hiring orretention of an individual, or issuanceof a security clearance, license, contract,grant, or other benefit;

(5) Disclose information in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the Department of theTreasury (agency) is authorized toappear when: (a) The agency, or (b) anyemployee of the agency in his or herofficial capacity, or (c) any employee ofthe agency in his or her individualcapacity where the Department ofJustice or the agency has agreed torepresent the employee; or (d) theUnited States, when the agencydetermines that litigation is likely toaffect the agency, is a party to litigationor has an interest in such litigation, andthe use of such records by the agency isdeemed to be relevant and necessary tothe litigation or administrativeproceeding and not otherwiseprivileged;

(6) Disclose information to acongressional office in response to aninquiry made at the request of theindividual to whom the record pertains;

(7) Disclose information to acontractor for the purpose of processingadministrative records and/orcompiling, organizing, analyzing,programming, or otherwise refiningrecords subject to the same limitationsapplicable to U.S. Department of theTreasury officers and employees underthe Privacy Act;

(8) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations or in connection withcriminal law proceedings or in responseto a subpoena where relevant orpotentially relevant to a proceeding;

(9) Disclose information to unionsrecognized as exclusive bargainingrepresentatives under 5 U.S.C. chapter71, arbitrators, and other partiesresponsible for the administration of theFederal labor-management program ifneeded in the performance of theirauthorized duties;

(10) Disclose information to the EqualEmployment Opportunity Commission,Merit Systems Protection Board,arbitrators, the Federal Labor RelationsAuthority, and other parties responsiblefor the administration of the Federal

labor management program for thepurpose of processing any correctiveactions or grievances or conductingadministrative hearings or appeals, or ifneeded in the performance of otherauthorized duties;

(11) Disclose information to a Federal,State, or local public health serviceagency as required by applicable law,concerning individuals who havecontracted or who have been exposed tocertain communicable diseases orconditions. Such information is used toprevent further outbreak of the diseaseor condition;

(12) Disclose information torepresentatives of the General ServicesAdministration (GSA) or the NationalArchives and Records Administration(NARA) who are conducting recordsmanagement inspections underauthority of 44 U.S.C. 2904 and 2906.


STORAGE:Maintained in hardcopy and

electronic media.

RETRIEVABILITY:Records can be retrieved by name, or

by categories listed above under‘‘Categories of records in the system.’’


sensitive but unclassified (SBU) recordsare in accordance with TD P 7110,Department of the Treasury SecurityManual. The hardcopy files andelectronic media are secured in lockedrooms. Access to the records is availableonly to employees responsible for themanagement of the system and/oremployees of program offices who havea need for such information and havebeen subject to a background check and/or security clearance.

RETENTION AND DISPOSAL:Records are retained and disposed of

in accordance with the appropriateNational Archives and RecordsAdministration General RecordsSchedule No. 1.

SYSTEM MANAGER(S) AND ADDRESS:Department of the Treasury official

prescribing policies and practices:Director, Office of Safety, Health andEnvironment, Department of theTreasury, Washington, DC 20220. Thesystem managers for the Treasurycomponents are:

1. DO:(a) Director, Occupational Safety and

Health Office, Room 6204 Annex, 1500Pennsylvania Ave., NW., Washington,DC 20220.

(b) OIG: Safety and OccupationalHealth Manager, 740 15th Street, NW.,Washington, DC 20220.

(c) TIGTA: Safety and OccupationalHealth Manager, 1111 ConstitutionAve., NW., Washington, DC 20224

(d) CDFI: Safety and OccupationalHealth Manager, 601 13th Street, NW.,Washington, DC 20005.

(e) FinCEN: Safety and OccupationalHealth Manager, Vienna, VA 22182.

2. ATF: Assistant Director, Office ofManagement, 650 MassachusettsAvenue, NW., Washington, DC 20226.

3. OCC: Safety and OccupationalHealth Manager, 250 E Street, SW,Washington, DC 20219–0001.

4. CUSTOMS: Safety andOccupational Health Manager, 1300Pennsylvania Avenue, NW.,Washington, DC 20229.

5. BEP: Safety and OccupationalHealth Manager, 14th & C Streets, SW,Washington, DC 20228.

6. FLETC: Safety and OccupationalHealth Manager, Glynco, GA. 31524.

7. FMS: Safety and OccupationalHealth Manager, PG 3700 East-WestHighway, Hyattsville, MD 20782.

8. IRS: Safety and OccupationalHealth Manager, 1111 ConstitutionAvenue, NW., Washington, DC 20224.

9. MINT: Safety and OccupationalHealth Manager, 801 9th Street, NW.,Washington, DC 20220.

10. BPD: Safety and OccupationalHealth Manager, 200 Third Street,Parkersburg, WV 26101.

11. USSS: Safety and OccupationalHealth Manager, 950 H Street, NW.,Washington, DC 20001.

12. OTS: Safety and OccupationalHealth Manager, 1700 G Street, NW.,Washington, DC 20552.


Individuals seeking notification andaccess to any record contained in thesystem of records, or seeking to contestits content, may inquire in accordancewith instructions pertaining toindividual Treasury componentsappearing at 31 CFR part 1, subpart C,appendices, A–L.


See ‘‘Notification procedures’’ above.Contesting record procedures: See

‘‘Notification procedures’’ above.


Information is obtained from currentTreasury employees, contractors,members of the public, witnesses,medical providers, and relevantindustry experts.


None.



Departmental OfficesTREASURY/DO. 003

SYSTEM NAME:Law Enforcement Retirement Claims

Records—Treasury/DO.

SYSTEM LOCATION:These records are located in the Office

of Personnel Policy, Department of theTreasury, Washington, DC 20220.


Current or former Federal employeeswho have submitted claims for lawenforcement retirement coverage(claims) with their bureaus inaccordance with 5 U.S.C. 8336(c)(1) and5 U.S.C. 8412(d).

CATEGORIES OF RECORDS IN THE SYSTEM:The system contains records relating

to claims filed by current and formerTreasury employees under 5 U.S.C.8336(c)(1) and 5 U.S.C. 8412(d). Thesecase files contain all documents relatedto the claim including statements ofwitnesses, reports of interviews andhearings, examiner’s findings andrecommendations, a copy of the originaland final decision, and relatedcorrespondence 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 CFR1954–1958 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 byTreasury employees that the position heor she holds qualifies as a lawenforcement position for the purpose ofadministering employment andretirement benefits.


These records may be used:(1) To Disclose pertinent information

to the appropriate Federal, state, or localagency responsible for investigating,prosecuting, enforcing, or implementinga statute, rule, regulation, or order,where the disclosing agency becomesaware of an indication of a violation orpotential violation of civil or criminallaw or regulation;

(2) To disclose information to anysource from which additionalinformation is requested in the course ofprocessing a claim, to the extentnecessary to identify the individualwhose claim is being adjudicated,inform the source of the purpose(s) ofthe request, and identify the type ofinformation requested;

(3) To disclose information to aFederal agency, in response to itsrequest, in connection with the hiring orretention of an individual, the issuanceof a security clearance, the conductingof a security or suitability investigationof an individual, the classifying of jobs,the letting of a contract, or the issuanceof a license, grant, or other benefit bythe requesting agency, to the extent thatthe information is relevant andnecessary to requesting the agency’sdecision on the matter;

(4) To provide information to acongressional office in response to aninquiry made at the request of theindividual to whom the record pertains;

(5) To Disclose information which isnecessary and relevant to theDepartment of Justice or to a court whenthe Government is party to a judicialproceeding before the court;

(6) To provide information to theNational Archives and RecordsAdministration for use in recordsmanagement inspections conductedunder authority of 44 U.S.C. 2904 and2908;

(7) To disclose information to officialsof the Merit Systems Protection Board,the Office of the Special Counsel, theFederal Labor Relations Authority, theEqual Employment OpportunityCommission, or the Office of PersonnelManagement when requested inperformance of their authorized duties;

(8) To disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingCounsel or witnesses in the course ofcivil discovery, litigation or settlementnegotiations in response to a subpoenawhere relevant or potentially relevant toa proceeding, or in connection withcriminal law proceedings; and

(9) To provide information to officialsof labor organizations recognized underthe Civil Service Reform Act whenrelevant and necessary to their duties ofexclusive representation concerningpersonnel policies, practices, andmatters affecting work conditions.


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 haveaccess. Automated databases arepassword protected.

RETENTION AND DISPOSAL:Disposed of after closing of the case

in accordance with General RecordsSchedule 1, Civilian Personnel Records,Category 7d.

SYSTEM MANAGER(S) AND ADDRESSES:Director, Office of Personnel Policy,

Room 6018-Metropolitan Square,Department of the Treasury,Washington, DC 20220.

NOTIFICATION PROCEDURE:It is required that individuals

submitting claims be provided a copy ofthe record under the claims process.They may, however, contact the agencypersonnel or designated office where theaction was processed, regarding theexistence of such records on them. Theymust furnish the following informationfor their records to be located andidentified: (1) Name, (2) date of birth, (3)approximate date of closing of the caseand kind of action taken, (4)organizational component involved.

RECORD ACCESS PROCEDURES:It is required that individuals

submitting claims be provided a copy ofthe record under the claims process.However, after the action has beenclosed, an individual may requestaccess to the official copy of the claimfile by contacting the system manager.Individuals must provide the followinginformation for their records to belocated and identified: (1) Name, (2)date of birth, (3) approximate date ofclosing of the case and kind of actiontaken, (4) organizational componentinvolved.

CONTESTING RECORD PROCEDURES:Review of requests from individuals

seeking amendment of their recordswhich have been the subject of ajudicial or quasi-judicial action will belimited in scope. Review of amendmentrequests of these records will berestricted to determining if the recordaccurately documents the action of theagency ruling on the case, and will notinclude a review of the merits of theaction, determination, or finding.Individuals wishing to requestamendment to their records to correctfactual errors should contact the systemmanager. Individuals must furnish thefollowing information for their recordsto be located and identified: (1) Name,(2) date of birth, (3) approximate date ofclosing of the case and kind of actiontaken, (4) organizational componentinvolved.

RECORD SOURCE CATEGORIES:Information in this system of records

is provided: (1) By the individual onwhom the record is maintained, (2) by



testimony of witnesses, (3) by agencyofficials, (4) from relatedcorrespondence from organizations orpersons.


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 inthe following offices within theDepartmental Offices:

1. Office of Foreign Assets Control2. Office of Tax Policy3. Office of the Assistant Secretary for

International Affairs4. Office of the Executive Secretariat5. Office of Public Correspondence6. Office of Legislative Affairs


Members of Congress, U.S. ForeignService officials, officials andemployees of the Treasury Department,officials of municipalities and stategovernments, and the general public,foreign nationals, members of the newsmedia, businesses, officials andemployees of other Federal Departmentsand agencies.

CATEGORIES OF RECORDS IN THE SYSTEM:Incoming correspondence and replies

pertaining to the mission, function, andoperation of the Department, taskingsheets, and internal Treasurymemorandum.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 301.

PURPOSE(S):The manual systems and/or electronic

databases (e.g., Treasury AutomatedDocument System (TADS)) used by thesystem managers are to manage the highvolume of correspondence received bythe Departmental Offices and toaccurately respond to inquiries,suggestions, views and concernsexpressed by the writers of thecorrespondence. It also provides theSecretary of the Treasury withsentiments and statistics on varioustopics and issues of interest to theDepartment.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM INCLUDING CATEGORIES OF USERS ANDTHE PURPOSES OF SUCH USES:

These records may be used to:


(2) Provide information to the newsmedia in accordance with guidelinescontained in 28 CFR 50.2 which relateto an agency’s functions relating to civiland criminal proceedings;



(5) Provide information to appropriateFederal, State, local, or foreign agenciesresponsible for investigating orprosecuting the violations of, or forenforcing or implementing, a statute,rule, regulation, order, or license;

(6) Provide information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations or in connection withcriminal law proceedings.

POLICIES AND PRACTICES FOR STORING,RETRIEVING, ACCESSING, RETAINING ANDDISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:Paper records, file folders and

magnetic media.

RETRIEVABILITY:By name of individual or letter

number, address, assignment controlnumber, or organizational relationship.

SAFEGUARDS:Access is limited to authorized

personnel with a direct need to know.Rooms containing the records are lockedafter business hours. Some folders arestored in locked file cabinets in areas oflimited accessibility except toemployees. Others are stored inelectronically secured areas and vaults.Access to electronic records is bypassword.

RETENTION AND DISPOSAL:Some records are maintained for three

years, then destroyed by burning. Otherrecords are updated periodically andmaintained as long as needed. Someelectronic records are periodicallyupdated and maintained for two yearsafter date of response; hard copies ofthose records are disposed of after threemonths in accordance with the NARAschedule. Paper records of the Office of

the Executive Secretary are storedindefinitely at the Federal RecordsCenter.

SYSTEM MANAGER(S) AND ADDRESSES:1. Director, Office of Foreign Assets

Control, U.S. Treasury Department,Room 2233, Treasury Annex, 1500Pennsylvania Ave., NW., Washington,DC 20220.

2. Freedom of Information Act Officer,Office of Tax Policy, U.S. TreasuryDepartment, Room 1041–MT, 1500Pennsylvania Ave., NW., Washington,DC 20220.

3. Director, OASIA Secretariat, U.S.Treasury Department, Room 5422–MT,1500 Pennsylvania Ave., NW.,Washington, DC 20220.

4. Director, VIP Correspondence,Office of the Executive Secretariat, U.S.Treasury Department, Room 3419–MT,Washington, DC 20220.

5. Office of Public Correspondence,U.S. Treasury Department, Washington,DC 20220.

6. Deputy to the Assistant Secretary,Office of Legislative Affairs, U.S.Treasury Department, Room 3025–MT,Washington, DC 20220.

NOTIFICATION PROCEDURE:Individuals wishing to be notified if

they are named in this system ofrecords, or to gain access to recordsmaintained in this system may inquirein accordance with instructionsappearing at 31 CFR part 1, subpart C,appendix A. Individuals must submit awritten request containing the followingelements: (1) Identify the record system;(2) identify the category and type ofrecords sought; and (3) provide at leasttwo items of secondary identification(date of birth, employee identificationnumber, dates of employment or similarinformation). Address inquiries toAssistant Director, Disclosure Services(see ‘‘Record access procedures’’ below).

RECORD ACCESS PROCEDURES:Assistant Director, Disclosure

Services, Department of the Treasury,1500 Pennsylvania Ave., NW.,Washington, DC 20220.

CONTESTING RECORD PROCEDURES:See ‘‘Record access procedures’’

above.

RECORD SOURCE CATEGORIES:Members of Congress or other

individuals who have correspondedwith the Departmental Offices, othergovernmental agencies (Federal, stateand local), foreign individuals andofficial sources.




TREASURY/DO .010

SYSTEM NAME:Office of Domestic Finance, Actuarial

Valuation System—Treasury/DO.

SYSTEM LOCATION:Departmental Offices, Office of

Government Financing, Office of theGovernment Actuary, 1500Pennsylvania Avenue, NW, Washington,DC 20220.


Participants and beneficiaries of theForeign Service Retirement andDisability System and the ForeignService Pension System. Coveredemployees are located in the followingagencies: Department of State,Department of Agriculture, Agency forInternational Development, PeaceCorps, and the Department ofCommerce.

CATEGORIES OF RECORDS IN THE SYSTEM:Information in the system is as

follows: Active Records: Name; socialsecurity number; salary; category-grade;year of entry into system; servicecomputation date; year of birth; year ofresignation or year of death, and refundif any; indication of LWOP status (ifany); Retired Records: same as actives;annuity; year of separation; cause ofseparation (optional, disability,deferred, etc.); years and months ofservice by type of service; single ormarried; spouse’s year of birth;principal’s year of death; number ofchildren on annuity roll; children’syears of birth and annuities.


PURPOSE(S):Public Law 95–595 requires that

annual actuarial valuations beconducted for Federal retirementsystems. In order to satisfy thisrequirement, participant data must becollected so that liabilities for theForeign Service Retirement andDisability System and the ForeignService Pension System can beactuarially determined.


Data regarding specific individuals isreleased only to the contributing agencyfor purposes of verification.


STORAGE:Data is stored electronically.

RETRIEVABILITY:Alphabetically.

SAFEGUARDS:Access is restricted to employees of

the Office of the Government Actuary.Passwords are required to access thedata.

RETENTION AND DISPOSAL:Records are retained on a year-to-year

basis. When agencies whose pensionfunds are valued forward new recordsfor valuation, older records arediscarded.

SYSTEM MANAGER(S) AND ADDRESS:The Government Actuary,

Departmental Offices, 1500Pennsylvania Ave., NW, Washington,DC 20220.


they are named in this system ofrecords, or gain access to recordsmaintained in this system must submita written request containing thefollowing elements: (1) Identify therecord system; (2) identify the categoryand type of records sought; and (3)provide at least two items of secondaryidentification (date of birth, employeeidentification number, dates ofemployment or similar information).Address inquiries to Assistant Director,Disclosure Services (see ‘‘Record accessprocedures’’ below).


Services, Department of the Treasury,1500 Pennsylvania Ave., NW,Washington, DC 20220.


above.

RECORD SOURCE CATEGORIES:Data for actuarial valuation are

provided by organizations responsiblefor pension funds listed under ‘‘categoryof individual,’’ namely the Departmentof State, Department of Agriculture,United States Information Agency,Agency for International Development,Peace Corps, and the Department ofCommerce.


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.


Individuals who may possibly beappointed to political positions in theDepartment of the Treasury, consistingof Presidential appointees requiringSenate confirmation; non-career SeniorExecutive Service appointees; andSchedule C appointees.

CATEGORIES OF RECORDS IN THE SYSTEM:Files may consist of the following:

Referral letters; White House clearanceletters; information about anindividual’s professional licenses (ifapplicable); IRS results of inquiries;notation of National Agency Check(NAC) results (favorable or otherwise);internal memoranda concerning anindividual; Financial DisclosureStatements (Standard Form 278); resultsof inquiries about the individual;Questionnaire for National SecurityPositions Standard Form 86; PersonalData Statement and General CounselInterview sheets; published worksincluding books, newspaper andmagazine articles, and treatises by theindividual; newspaper and magazinearticles written about or referring to theindividual; and or articles containingquotes by the individual, and othercorrespondence relating to the selectionand appointment of politicalappointees.

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 todetermine a potential candidate’ssuitability for appointment to non-career positions within the Departmentof the Treasury.


These records may be disclosed to:(1) The Office of Personnel

Management, Merit Systems ProtectionBoard, Equal Employment OpportunityCommission, and General AccountingOffice for the purpose of properlyadministering Federal personnelsystems or other agencies’ systems inaccordance with applicable laws,Executive Orders, and regulations;

(2) A Federal, state, local or foreignagency maintaining civil, criminal orother relevant enforcement informationor other pertinent information whichhas requested information relevant to ornecessary to the requesting agency’shiring or retention of an individual, or



issuance of a security clearance, license,contract, grant, or other benefit;

(3) A court, magistrate, oradministrative tribunal in the course ofpresenting evidence, includingdisclosures to opposing counsel orwitnesses in the course of civildiscovery, litigation or settlementnegotiations in response to a subpoenawhere relevant or potentially relevant toa proceeding, or in connection withcriminal law proceedings;


(5) Third parties during the course ofan investigation to the extent necessaryto obtain information pertinent to theinvestigation; and

(6) Appropriate Federal, state, local orforeign agencies responsible forinvestigating or prosecuting theviolation of, or for implementing astatute, regulation, order, or license,where the disclosing agency becomesaware of an indication of a violation orpotential violation of civil or criminallaw or regulation.


STORAGE:Correspondence and forms in file

folders. Records are also maintained inelectronic 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 andis accessible to authorized personnelonly. Electronic media is passwordprotected.

RETENTION AND DISPOSAL:Records are destroyed at the end of

the Presidential administration duringwhich the individual is hired. For non-selectees, records of individuals who arenot hired are destroyed one year afterthe file is closed, but not later than theend of the Presidential administrationduring which the individual isconsidered.

SYSTEM MANAGER(S) AND ADDRESS:Chief of Staff, Department of the

Treasury, Rm 3420, 1500 PennsylvaniaAvenue, NW., Washington, DC 20220.

NOTIFICATION PROCEDURE:Individuals wishing to be informed if

they are named in this system or gainaccess to records maintained in thesystem must submit a written, signedrequest containing the following

elements: (1) Identify the record system;(2) identify the category and type ofrecords sought; and (3) provide at leasttwo items of secondary identification(date of birth, employee identificationnumber, dates of employment, orsimilar information). Address inquiriesto Assistant Director, DisclosureServices, Department of the Treasury,1500 Pennsylvania Avenue, NW.,Washington, DC 20220.

RECORD ACCESS PROCEDURES:See ‘‘Record Notification procedure’’

above.

CONTESTING RECORD PROCEDURES:See ‘‘Record Notification procedure’’

above.

RECORD SOURCE CATEGORIES:Records are submitted by the

individuals and compiled frominterviews with those individualsseeking non-career positions. Additionalsources may include The White House,Office of Personnel Management,Internal Revenue Service, Department ofJustice and international, state, andlocal jurisdiction law enforcementcomponents for clearance documents,and other correspondence and publicrecord sources.


TREASURY/DO .060

SYSTEM NAME:Correspondence Files And Records

On Employee Complaints and/orDissatisfaction-Treasury/DO.

SYSTEM LOCATION:Office of Personnel Policy, Room

4150-Annex, Pennsylvania Avenue atMadison Place, NW., Washington, DC20220.


Former and current Departmentemployees who have submittedcomplaints to the Office of Personnel orwhose correspondence concerning amatter of dissatisfaction has beenreferred to the Office of Personnel.

CATEGORIES OF RECORDS IN THE SYSTEM:Correspondence dealing with former

and current employee complaints.


PURPOSE(S):

To maintain a record ofcorrespondence related to employeecomplaints filed with the DepartmentalOffice of Personnel Policy.



appropriate Federal, state, and local, orforeign agencies responsible forinvestigating or prosecuting theviolations of, or for enforcing orimplementing, a statute, rule,regulation, order, or license, where thedisclosing agency becomes aware of anindication of a violation or potentialcivil or criminal law or regulation;



(4) Provide information to thirdparties during the course of aninvestigation to the extent necessary toobtain information pertinent to theinvestigation.


STORAGE:File folders, file cabinets.

RETRIEVABILITY:By bureau and employee name.

SAFEGUARDS:Maintained in filing cabinet and

released only to Office of Personnel staffor other Treasury officials on a need-to-know basis.

RETENTION AND DISPOSAL:Records are maintained and disposed

of in accordance with Department of theTreasury Directive 25–02, ‘‘RecordsDisposition Management Program’’ andthe General Records Schedule.

SYSTEM MANAGER(S) AND ADDRESS:Director, Office of Personnel Policy,

Department of the Treasury,Washington, DC 20220.

NOTIFICATION PROCEDURE:Persons inquiring as to the existence

of a record on themselves may contact:Assistant Director, (Human Relations)Department of the Treasury, Room 4150-Annex, Pennsylvania Avenue atMadison Place, NW., Washington, DC20220. The inquiry must include theindividual’s name and employingbureau.

RECORD ACCESS PROCEDURES:Persons seeking access to records

concerning themselves may contact: The



Director, Office of Personnel Policy,Department of the Treasury, Room 4150-Annex, Pennsylvania Avenue atMadison Place, NW., Washington, DC20220. The inquiry must include theindividual’s name and employingbureau.

CONTESTING RECORD PROCEDURES:Individuals wishing to request

amendment to their records to correctfactual error should contact the Directorof Personnel at the address shown inAccess, above. They must furnish thefollowing information: (a) Name; (b)employing bureau; (c) the informationbeing contested; (d) the reason why theybelieve information is untimely,inaccurate, incomplete, irrelevant, orunnecessary.

RECORD SOURCE CATEGORIES:Current and former employees, and/or

representatives, employees’ relatives,Congressmen, the White House,management officials.


TREASURY/DO .111

SYSTEM NAME:Office of Foreign Assets Control

Census Records-Treasury/DO.

SYSTEM LOCATION:Office of Foreign Assets Control

Treasury Annex, Washington, DC20220.


Although most reporters in theCensus in this system of records are notindividuals, such censuses reflect somesmall number of U.S. individuals asholders of assets subject to U.S.jurisdiction which are blocked underthe various sets of Treasury Departmentregulations involved.

CATEGORIES OF RECORDS IN THE SYSTEM:Reports of several censuses of U.S.-

based, foreign-owned assets which havebeen blocked at any time since 1940under Treasury Department regulationsfound 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 31CFR Ch. V.

PURPOSE(S):This system of records is used to

identify and administer assets ofblocked foreign governments, groups orpersons. Censuses are undertaken atvarious times for specific sanction

programs to identify the location, type,and value of property frozen underOFAC administered programs. Theinformation is obtained by requiringreports from all U.S. holders of blockedproperty subject to the reportingrequirements. The reports normallycontain information such as the name ofthe U.S. holder, the foreign accountparty, location of the property and adescription of the type and value of theasset. In some instances, adverse claimsby U.S. persons against the blockedproperty are also reported.


These records may be used to:(1) Disclose information to

appropriate state agencies which areconcerned with or responsible forabandoned property;


(3) Provide information to aCongressional office in response to aninquiry made at the request of theindividual to whom the record pertains;


(5) Provide certain information toappropriate senior foreign-policy-making officials in the Department ofState.


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 whichaccess is limited to Foreign AssetsControl employees. Computerizedrecords are password-protected.

RETENTION AND DISPOSAL:Records are periodically updated and

maintained as long as needed. When nolonger needed, records are retired toFederal Records Center or destroyed inaccordance with established procedures.

SYSTEM MANAGER AND ADDRESS:Director, Office of Foreign Assets

Control, Room 2233-Annex, Departmentof the Treasury, NW, Washington, DC20220.


they are named in this system ofrecords, or to gain access to recordsmaintained in the system, must submita written request containing thefollowing elements: (1) Identify therecord system; (2) Identify the categoryand type of record sought; and (3)Provide at least two items of secondaryidentification (date of birth, employeeidentification number, dates ofemployment or similar information).Address inquiries to Assistant Director,Disclosure Services (See ‘‘Record accessprocedures’’ below.)


Services, Department of the Treasury,Room 1054, 1500 Pennsylvania Ave.,NW, Washington, DC 20220.


above.

RECORD SOURCE CATEGORIES:Custodians or other holders of

blocked assets.


TREASURY/DO .114

SYSTEM NAME:Foreign Assets Control Enforcement

Records-Treasury/DO.

SYSTEM LOCATION:Office of Foreign Assets Control,

Treasury Annex, Washington, DC20220.


Individuals who have engaged in orwho are suspected of having engaged intransactions and activities prohibited byTreasury Department regulations foundat 31 CFR Part 1, subpart B, Chapter V.

CATEGORIES OF RECORDS IN THE SYSTEM:Documents related to suspected or

actual violations of relevant statutes andregulations administered by the Officeof 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; 100Stat. 1086, as amended by H.J. Res. 756,Pub. L. 99–631.

PURPOSE(S):

This system of records is used todocument investigation andadministrative action taken with respectto individuals and organizations



suspected of violating statutes andregulations administered and enforcedby the Office of Foreign Assets Control.Possible violations may relate tofinancial, commercial or othertransactions with foreign governments,entities or special designated nationals.Suspected criminal violations areinvestigated primarily by the U.S.Customs Service. Non-criminal cases arepursued administratively for civilpenalty consideration. This system isalso used to generate statisticalinformation on the number ofinvestigative, criminal and civil casesupon which action has been taken.



appropriate Federal agenciesresponsible for investigating orprosecuting the violations of, or forenforcing 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 enforcementor other pertinent information, whichhas requested information relevant to ornecessary to the requesting agency’sofficial functions;

(3) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosure to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations or in response to asubpoena or in connection withcriminal law proceedings;


(5) Provide information to aCongressional office in response to aninquiry made at the request of theindividual to whom the record pertains;



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.


Records are periodically updated andare maintained as long as necessary.When no longer needed, records areretired to Federal Records Center ordestroyed in accordance withestablished procedures.


Director, Office of Foreign AssetsControl, Room 2233-Annex, U.S.Treasury Department, Washington, DC20220.


This system of records may not beaccessed for purposes of determining ifthe system contains a record pertainingto a particular individual.


This system of records may not beaccessed for purposes of inspection orfor contest of content of records.


above.

RECORD SOURCE CATEGORIES:From the individual, from the Office

of Foreign Assets Control investigations,and from other federal, state or localagencies.

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 5U.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, DC20220.


Applicants for permissive andauthorizing licenses under TreasuryDepartment regulations found at 31 CFRpart 1 subpart B, Chapter V.


Applications for Treasury licenses-together with related and supportingdocumentary material and copies oflicenses issued.


50 U.S.C., App. 5(b); 22 U.S.C.2370(a); 22 U.S.C. 287(c); 50 U.S.C. 1701et seq. 31 CFR, Chapter V; 100 Stat.1086, as amended by H.J. Res. 756, Pub.L. 99–631.

PURPOSE(S):

This system of records containsrequests from U.S. and foreign personsor entities for licenses to engage incommercial transactions, travel toforeign countries, to unblock propertyand bank accounts or to engage in otheractivities otherwise prohibited undereconomic sanctions administered by theOffice of Foreign Assets Control. Thissystem is also used during enforcementinvestigations, when applicable, and togenerate information used in requiredreports to the Congress by the Presidenton the number and types of licensesgranted or denied under particularsanction programs.



appropriate Federal, state, local, orforeign agencies responsible forinvestigating or prosecuting theviolation of, or for enforcing orimplementing, a statute, rule,regulation, order, or license;

(2) Disclose information to theDepartment of State, Commerce,Defense or other federal agencies, inconnection with Treasury licensingpolicy or other matters of mutualinterest or concern;

(3) Disclose information to a Federal,State, or local agency, maintaining civil,criminal or other relevant enforcementor other pertinent information, whichhas requested information relevant to ornecessary to the requesting agency’sofficial functions;

(4) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosure to opposingcounsel or witnesses, in the course ofcivil discovery, litigation, or settlementnegotiations in response to a subpoenaor in connection with criminal lawproceedings;


(6) Provide information to aCongressional office in response to aninquiry made at the request of theindividual to whom the record pertains.


STORAGE:

File folders and magnetic media.

RETRIEVABILITY:

The records are retrieved by license orletter 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 longas needed. When no longer needed,records are retired to Federal RecordsCenter or destroyed in accordance withestablished procedures.

SYSTEM MANAGER(S) AND ADDRESSES:Director, Office of Foreign Assets

Control, Room 2233–Annex,Department of the Treasury,Washington, DC 20220.


they are named in this system ofrecords, or to gain access to recordsmaintained in the system of records,must submit a written requestcontaining the following elements: (1)Identify the record system; (2) identifythe category and type of records sought;and (3) provide at least two items ofsecondary identification (date of birth,employee identification number, datesof employment or similar information).Address inquiries to Assistant Director,Disclosure Services (See ‘‘Record accessprocedures’’ below).


Services, Department of the Treasury,Room 1054, 1500 Pennsylvania Ave.,NW, Washington, DC 20220.


above.

RECORD SOURCE CATEGORIES:Applicants for Treasury Department

licenses under regulations administeredby the Office of Foreign Assets Control.


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, 1500Pennsylvania Avenue NW, Washington,DC 20220.


Persons who are parties, plaintiff ordefendant, in civil litigation or

administrative proceedings involving orconcerning the Department of theTreasury or its officers or employees.The system does not includeinformation on every civil litigation oradministrative proceeding involving theDepartment of the Treasury or itsofficers and employees.


This system of records consists of acomputer data base containinginformation related to litigation oradministrative proceedings involving orconcerning the Department of theTreasury or its officers or employees.


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 thereceipt of other documents relating tolitigation or administrative proceedingsinvolving or concerning the Departmentof the Treasury or its officers oremployees, and (2) to respond toinquiries from Treasury personnel,personnel from the Justice Departmentand other agencies, and other personsconcerning whether service of processor other documents have been receivedby the Department in a particularlitigation or proceeding.



appropriate Federal, State, or foreignagencies responsible for investigating orprosecuting the violations of, or forimplementing, a statute, rule,regulation, order, or license, where thedisclosing agency becomes aware of anindication of a violation or potentialviolation of civil or criminal law orregulation;

(2) Disclose information to a Federal,State, or local agency, maintaining civil,criminal or other relevant enforcementinformation or other pertinentinformation, which has requestedinformation relevant to or necessary tothe requesting agency’s or the bureau’shiring or retention of an individual, orissuance of a security clearance, license,contract, grant, or other benefit;

(3) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations in response to a subpoenaor in connection with criminal lawproceedings;






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 thecourse of their work. Background checksare made on employees. All facilitieswhere records are stored have accesslimited to authorized personnel.

RETENTION AND DISPOSAL:The computer information is

maintained for up to ten years or moreafter a record is created.

SYSTEM MANAGER(S) AND ADDRESS:Counselor to the General Counsel,

Office of the General Counsel,Department of the Treasury, 1500Pennsylvania Ave., NW., Washington,DC 20220.


they are named in this system ofrecords, or gain access to recordsmaintained in this system must submita written request containing thefollowing elements: (1) Anidentification of the record system; and(2) an identification of the category andtype of records sought. This systemcontains records that are exempt under31 CFR l.36; 5 U.S.C. 552a(j)(2); and(k)(2). Address inquiries to AssistantDirector, Disclosure Services,Department of the Treasury, 1500Pennsylvania Ave., NW, Washington,DC 20220.




Assistant Director, DisclosureServices, Department of the Treasury,Room 1054, 1500 Pennsylvania Ave.,NW, Washington, DC 20220.


See ‘‘Record access procedures’’above.


Treasury Department Legal Division,Department of Justice Legal Division.


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 5U.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, DC20220.


Persons who are or who have beenparties in litigation or other mattersinvolving the Office of Foreign AssetsControl or involving statutes andregulations administered by the agencyfound at 31 CFR part 1 subpart B,chapter V.


Information and documents relatingto litigation and other matters involvingthe Office of Foreign Assets Control orstatutes and regulations administered bythe agency.


31 U.S.C. 301; 50 U.S.C. App. 5(b); 50U.S.C. 1701 et seq; 22 U.S.C. 278(c); andother statutes relied upon by thePresident to impose economicsanctions.

PURPOSE(S):

These records are maintained to assistin providing legal advice to the Officeof Foreign Assets Control and theagency regarding issues of compliance,enforcement, investigation, andimplementation of matters related to theOffice of Foreign Assets Control and thestatutes and regulations administered bythe agency. These records are alsomaintained to assist in litigation relatedto the Office of Foreign Assets Controland the statutes and regulationsadministered by the agency.


These records may be used to:(1) Prosecute, defend, or intervene in

litigation related to the Office of ForeignAssets Control and statutes andregulations administered by the agency,(2) Disclose pertinent information toappropriate Federal, State, local, orforeign agencies responsible forinvestigating or prosecuting theviolations of, or for enforcing orimplementing, a statute, rule,regulation, order or license;

(3) Disclose information to a Federal,State, or local agency, maintaining civil,criminal, or other relevant enforcementinformation or other pertinentinformation, which has requestedinformation relevant to or necessary tothe requesting agency’s officialfunctions;

(4) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations or in connection withcriminal law proceedings;

(5) Provide information to acongressional office in response to aninquiry made at the request of theindividual to whom the record pertains.


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 publicaccessibility. Where records aremaintained 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.


they are named in this system ofrecords, or gain access to recordsmaintained in this system must submita written request containing the

following elements: (1) Identify therecord system; (2) identify the categoryand type of records sought; and (3)provide at least two items of secondaryidentification (date of birth, employeeidentification number, dates ofemployment or similar information).


Address inquiries to AssistantDirector, Disclosure Services,Department of the Treasury, Room 1054,1500 Pennsylvania Ave., NW,Washington, DC 20220.




Pleadings and other materials filedduring course of a legal proceeding,discovery obtained pursuant toapplicable court rules; materialsobtained by Office of Foreign AssetsControl investigation; material obtainedpursuant to requests made to otherFederal agencies; orders, opinions, anddecisions of courts.


None.

TREASURY/DO .183

SYSTEM NAME:

Private Relief Tax Bill Files—Office ofthe Assistant Secretary for Tax Policy—Treasury/DO.

SYSTEM LOCATION:

Room 4040–MT, 1500 PennsylvaniaAve., NW, Washington, DC 20220.


Individuals who have had privaterelief tax bills introduced in Congresson their behalf.


Congressional Committee or OMBrequest for Treasury views on proposedlegislation, plus comments on proposalfrom offices or bureaus of Treasury, plusthe Internal Revenue Service dataconcerning the issues involved and thatunit’s recommendation, and the reportof the Treasury on the Bill.


5 U.S.C. 301.

PURPOSE(S):

The files of private relief tax billscontain records of policy positions andissues involved in Congressional privaterelief tax bills.




Information from this system may bedisclosed to OMB and Congress.


STORAGE:File Folders.

RETRIEVABILITY:By bill numbers or name of person for

whom relief is sought.

SAFEGUARDS:Access limited to Tax Policy

personnel.


reflect changes and maintained as longas needed until shipped to NationalArchives and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:Management Services, Office of Tax

Policy, Room 1041–MT, 1500Pennsylvania Ave., NW, Washington,DC 20220.


they are named in this system ofrecords, or gain access to recordsmaintained in this system must submita written request containing thefollowing elements: (1) Identify therecord system; (2) identify the categoryand type of records sought; and (3)provide at least two items of secondaryidentification (date of birth, employeeidentification number, dates ofemployment or similar information).Address inquiries to Assistant Director,Disclosure Services (See ‘‘Record accessprocedures’’ below).


Services, Department of the Treasury,1500 Pennsylvania Ave., NW,Washington, DC 20220.




Principally the Congress and theInternal Revenue Service.


None.

TREASURY/DO .190

SYSTEM NAME:

Investigation Data ManagementSystem—Treasury/DO.

SYSTEM LOCATION:

Office of Inspector General (OIG),Assistant Inspector General forInvestigations, 740 15th St., NW, Suite500, Washington, DC 20220; FieldOffices in Alexandria, VA; Marlton, NJ;Houston, TX; Los Angeles, CA; SanFrancisco, CA; Miramar, FL, andChicago, IL. Addresses may be obtainedfrom the system manager.


(A) Current and former employees ofthe Department of the Treasury andpersons whose association with currentand former employees relate to thealleged violations of the rules of ethicalconduct for employees of the ExecutiveBranch, the Department’s supplementalstandards of ethical conduct, theDepartment’s rules of conduct, meritsystem principles, or any other criminalor civil misconduct, which affects theintegrity or facilities of the Departmentof Treasury. The names of individualsand the files in their names may be: (1)Received by referral; or (2) initiated atthe discretion of the Office of theInspector General in the conduct ofassigned duties.

(B) Individuals who are: Witnesses;complainants; confidential or non-confidential informants; suspects;defendants; parties who have beenidentified by the Office of the InspectorGeneral, constituent units of theDepartment of Treasury, other agencies,or members of the general public inconnection with the authorizedfunctions of the Inspector General.

(C) Current and former seniorTreasury and bureau officials who arethe subject of investigations initiatedand conducted by the Office of theInspector General.


(A) Letters, memoranda, and otherdocuments citing complaints of allegedcriminal or administrative misconduct.

(B) Investigative files which include:(1) Reports of investigations to resolveallegations of misconduct or violationsof law with related exhibits, statements,affidavits, records or other pertinentdocuments obtained duringinvestigations; (2) transcripts anddocumentation concerning requests andapproval for consensual (telephone andconsensual non-telephone) monitoring;(3) reports from or to other lawenforcement bodies; (4) prior criminalor noncriminal records of individuals asthey relate to the investigations; and (5)reports of actions taken by managementpersonnel regarding misconduct andreports of legal actions resulting from

violations of statutes referred to theDepartment of Justice for prosecution.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:The Inspector General Act of 1978, as

Amended, 5 U.S.C.A. App.3; 5 U.S.C.301; 31 U.S.C. 321.

PURPOSE(S):The records and information collected

and maintained in this system are usedto (a) receive allegations of violations ofthe standards of ethical conduct foremployees of the Executive Branch (5CFR part 2635), the TreasuryDepartment’s supplemental standards ofethical conduct (5 CFR part 3101), theTreasury Department’s rules of conduct(31 CFR part 0), the Office of PersonnelManagement merit system principles, orany other criminal or civil law; and to(b) prove or disprove allegations whichthe OIG receives that are made againstDepartment of the Treasury employees,contractors and other individualsassociated with the Department of theTreasury.


These records may be used to:(1) Disclose information to the

Department of Justice in connectionwith actual or potential criminalprosecution or civil litigation;

(2) Disclose pertinent information toappropriate Federal, State, local, orforeign agencies responsible forinvestigating or prosecuting theviolations of, or for enforcing orimplementing a statute, rule, regulation,order, or license, or where thedisclosing agency becomes aware of anindication of a violation or potentialviolation of civil or criminal law orregulation;

(3) Disclose information to a Federal,State, or local agency, maintaining civil,criminal or other relevant enforcementinformation or other pertinentinformation, which has requestedinformation relevant to or necessary tothe requesting agency’s or the bureau’shiring or retention of an employee, orthe issuance of a security clearance,license, contract, grant, or other benefit;

(4) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations in response to a subpoenaor in connection with criminal lawproceedings;







STORAGE:

Paper records in file jackets aremaintained in a secured locked room.Electronic records are passwordprotected; backup media are maintainedin a locked room.

RETRIEVABILITY:

Paper: Alphabetically by name ofsubject or complainant, by case number,and by special agent name and/oremployee identifying number.Electronic: by complainant, subject,victim, or witness case number, and byspecial agent name.

SAFEGUARDS:

Paper records and word processingdisks are maintained in locked safes andall access doors are locked when officesare vacant. Automated records arecontrolled by computer securityprograms which limit access toauthorized personnel who have a needfor such information in the course oftheir duties. The records are available toOffice of Inspector General personnelwho have an appropriate securityclearance on a need-to-know basis.


Investigative files are stored on-sitefor 3 years at which time they retired tothe Federal Records Center, Suitland,Maryland, for temporary storage. Inmost instances, the files are destroyedwhen 10 years old. However, if the fileshave significant or historical value, theyare retained on-site for 3 years, thenretired to the Federal Records Center for22 years, at which time they aretransferred to the National Archives andRecords Administration for permanentretention. In addition, an automatedinvestigative case tracking system ismaintained on-site; the case informationdeleted 15 years after the case is closed,or when no longer needed, whichever islater.


Assistant Inspector General forInvestigations, 740 15th St., NW, Suite500, Washington, DC 20220.

NOTIFICATION PROCEDURE:Pursuant to 5 U.S.C. 552a(j)(2) and

(k)(2), this system of records may not beaccessed for purposes of determining ifthe system contains a record pertainingto a particular individual, or forcontesting the contents of a record.



RECORD SOURCE CATEGORIES:See ‘‘Categories of individuals’’ above.

This system contains investigatorymaterial for which sources need not bereported.


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 5U.S.C. 552a(j)(2) and (k)(2). See 31 CFR1.36.

TREASURY/DO .191

SYSTEM NAME:Human Resources and Administrative

Records System.

SYSTEM LOCATION:Office of Inspector General (OIG), all

headquarters, regional and field offices.(See appendix A.)


Current and former employees of theOffice of Inspector General.

Categories of records in the system:(1) Personnel system records contain

OIG employee name, office, start ofemployment, series/grade, title,separation date; (2) Tracking recordscontain status information on audits,investigations and other projects frompoint of request or annual planningthrough follow-up and closure; (3)Timekeeping records contain assignedprojects and distribution of time; (4)Equipment inventory records containassigned equipment; (5) Travel recordscontain dates, type of travel and costs;(6) Training records contain dates, titleof training, and costs.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Inspector General Act of 1978, as

amended; (5 U.S.C. Appendix 3) 5U.S.C. 301; and 31 U.S.C. 321.

PURPOSE(S):The purpose of the system is to: (1)

Manage effectively OIG resources andprojects; (2) capture accurate statisticaldata for mandated reports to the

Secretary of the Treasury, the Congress,the Office of Management and Budget,the General Accounting Office, thePresident’s Council on Integrity andEfficiency and other Federal agencies;and (3) provide accurate informationcritical to the OIG’s daily operation,including employee performance andconduct.


(1) A record from the system ofrecords, which indicates, either by itselfor in combination with otherinformation, a violation or potentialviolation of law, whether civil orcriminal, and whether arising by statute,regulation, rule or order issued pursuantthereto, may be disclosed to a Federal,State, local, or foreign agency or otherpublic authority that investigates orprosecutes or assists in investigation orprosecution of such violation, orenforces or implements or assists inenforcement or implementation of thestatute, rule, regulation or order.

(2) A record from the system ofrecords may be disclosed to a Federal,State, local, or foreign agency or otherpublic authority, or to private sector(i.e., non-Federal, State, or localgovernment) agencies, organizations,boards, bureaus, or commissions, whichmaintain civil, criminal, or otherrelevant enforcement records or otherpertinent records, such as currentlicenses in order to obtain informationrelevant to an agency investigation,audit, or other inquiry, or relevant to adecision concerning the hiring orretention of an employee or otherpersonnel action, the issuance of asecurity clearance, the letting of acontract, the issuance of a license, grantor other benefit, the establishment of aclaim, or the initiation ofadministrative, civil, or criminal action.Disclosure to the private sector may bemade only when the records areproperly constituted in accordance withagency requirements; are accurate,relevant, timely and complete; and thedisclosure is in the best interest of theGovernment.

(3) A record from the system ofrecords may be disclosed to a Federal,State, local, or foreign agency or otherpublic authority, or private sector (i.e.,non-Federal, State, or local government)agencies, organizations, boards, bureaus,or commissions, if relevant to therecipient’s hiring or retention of anemployee or other personnel action, theissuance of a security clearance, theletting of a contract, the issuance of alicense, grant or other benefit, theestablishment of a claim, or the



initiation of administrative, civil, orcriminal action. Disclosure to theprivate sector may be made only whenthe records are properly constituted inaccordance with agency requirements;are accurate, relevant, timely andcomplete; and the disclosure is in thebest interest of the Government.

(4) A record from the system ofrecords may be disclosed to any source,private or public, to the extent necessaryto secure from such source informationrelevant to a legitimate agencyinvestigation, audit, or other inquiry.

(5) A record from the system ofrecords may be disclosed to theDepartment of Justice when the agencyor any component thereof, or anyemployee of the agency in his or herofficial capacity, or any employee of theagency in his or her individual capacitywhere the Department of Justice hasagreed to represent the employee, or theUnited States, where the agencydetermines that litigation is likely toaffect the agency or any of itscomponents, is a party to litigation orhas an interest in such litigation, andthe use of such records by theDepartment of Justice is deemed by theagency to be relevant and necessary tothe litigation and the use of suchrecords by the Department of Justice istherefore deemed by the agency to be fora purpose that is compatible with thepurpose for which the agency collectedthe records.

(6) A record from the system ofrecords may be disclosed in aproceeding before a court oradjudicative body, when the agency, orany component thereof, or anyemployee of the agency in his or herofficial capacity, or any employee of theagency in his or her individual capacitywhere the agency has agreed torepresent the employee, or the UnitedStates, where the agency determinesthat litigation is likely to affect theagency or any of its components, is aparty to litigation or has an interest insuch litigation, and the agencydetermines that use of such records isrelevant and necessary to the litigationand the use of such records is thereforedeemed by the agency to be for apurpose that is compatible with thepurpose for which the agency collectedthe records.

(7) A record from the system ofrecords may be disclosed to a Memberof Congress from the record of anindividual in response to an inquiryfrom the Member of Congress made atthe request of that individual.

(8) A record from the system ofrecords may be disclosed to theDepartment of Justice and the Office ofGovernment Ethics for the purpose of

obtaining advice regarding a violation orpossible violation of statute, regulation,rule or order or professional ethicalstandards.

(9) A record from the system ofrecords may be disclosed to the Officeof Management and Budget for thepurpose of obtaining its adviceregarding agency obligations under thePrivacy Act, or in connection with thereview of private relief legislation.

(10) A record from the system ofrecords may be disclosed in response toa subpoena issued by a Federal agencyhaving the power to subpoena records ofother Federal agencies if, after carefulreview, the OIG determines that therecords are both relevant and necessaryto the requesting agency’s needs and thepurpose for which the records will beused is compatible with the purpose forwhich the records were collected.

(11) A record from the system ofrecords may be disclosed to a privatecontractor for the purpose of compiling,organizing, analyzing, programming, orotherwise refining records subject to thesame limitations applicable to U.S.Department of Treasury officers andemployees under the Privacy Act.

(12) A record from the system ofrecords may be disclosed to a grand juryagent pursuant either to a Federal orState grand jury subpoena, or to aprosecution request that such record bereleased for the purpose of itsintroduction to a grand jury providedthat the Grand Jury channels its requestthrough the cognizant U.S. Attorney,that the U.S. Attorney has beendelegated the authority to make suchrequests by the Attorney General, thatshe or he actually signs the letterspecifying both the information soughtand the law enforcement purposeserved. In the case of a State Grand Jurysubpoena, the State equivalent of theU.S. Attorney and Attorney Generalshall be substituted.

(13) A record from the system ofrecords may be disclosed to a Federalagency responsible for consideringsuspension or debarment action wheresuch record would be relevant to suchaction.

(14) A record from the system ofrecords may be disclosed to an entity orperson, public or private, wheredisclosure of the record is needed toenable the recipient of the record to takeaction to recover money or property ofthe United States Department of theTreasury, where such recovery willaccrue to the benefit of the UnitedStates, or where disclosure of the recordis needed to enable the recipient of therecord to take appropriate disciplinaryaction to maintain the integrity of the

programs or operations of theDepartment of the Treasury.

(15) A record from the system ofrecords may be disclosed to a Federal,state, local or foreign agency, or otherpublic authority, for use in computermatching programs to prevent anddetect fraud and abuse in benefitprograms administered by an agency, tosupport civil and criminal lawenforcement activities of any agencyand its components, and to collect debtsand over payments owed to any agencyand its components.

(16) A record from the system ofrecords may be disclosed to a public orprofessional licensing organizationwhen such record indicates, either byitself or in combination with otherinformation, a violation or potentialviolation of professional standards, orreflects on the moral, educational, orprofessional qualifications of anindividual who is licensed or who isseeking to become licensed.

(17) A record from the system ofrecords may be disclosed to the Officeof Management and Budget, the GeneralAccounting Office, the President’sCouncil on Integrity and Efficiency andother Federal agencies for mandatedreports.


Debtor information may also befurnished, in accordance with 5 U.S.C.552a(b)(12) and 31 U.S.C. 3711(e) toconsumer reporting agencies toencourage repayment of an overduedebt.


STORAGE:

Paper records and electronic media.

RETRIEVABILITY:

Most files are accessed by OIGemployee name, employee identifyingnumber, office, or cost center. Somerecords may be accessed by enteringequipment or project information.

SAFEGUARDS:

Access is limited to OIG employeeswho have a need for such informationin the course of their work. A centralnetwork server is password protected byaccount name and user password.Access to records on electronic media iscontrolled by computer passwords.Access to specific system records isfurther limited and controlled bycomputer security programs limitingaccess to authorized personnel.




reflect changes and are retained as longas necessary.

SYSTEM MANAGER(S) AND ADDRESS:Assistant Inspector General for

Management Services, 740 15th St. NW,Suite 510, Washington, DC 20220.


they are named in this system ofrecords, or to gain access to recordsmaintained in this system may inquirein accordance with instructionsappearing in 31 CFR part 1, subpart C,appendix A. Individuals must submit awritten request containing the followingelements: (1) Identify the record system;(2) identify the category and type ofrecords sought; and (3) provide at leasttwo items of secondary identification(date of birth, employee identifyingnumber, dates of employment or similarinformation). Address inquiries toAssistant Director, Disclosure Services(see ‘‘Record access procedures’’ below).


Services, Department of the Treasury,1500 Pennsylvania Avenue, NW,Washington, DC 20220.

CONTESTING RECORDS PROCEDURES:See ‘‘Record access procedures’’

above.

RECORD SOURCE CATEGORIES:Current and former employees of the

OIG.


Appendix A—Addresses of OIG Offices

HEADQUARTERS:Department of the Treasury, Office of

Inspector General, Office of theAssistant Inspector General forManagement Services, 740 15th Street,NW, Suite 510, Washington, DC 20220.

FIELD LOCATIONS:Contact System Manager for

addresses.Department of the Treasury, Office of

Inspector General, Offices of Audit andInvestigations, El Segundo, CA 90245–4341.

Department of the Treasury, Office ofInspector General, Offices of Audit andInvestigations, San Francisco, CA94105.

Department of the Treasury, Office ofInspector General, Offices of Audit andInvestigations, Miramar, FL 33027.

Department of the Treasury, Offices ofAudit and Investigations, Chicago, IL60603.

Department of the Treasury, Office ofInspector General, Office of Audit,Indianapolis, IN 46278.

Department of the Treasury, Office ofInspector General, Office of Audit,Boston, MA 02110–3350.

Department of the Treasury, Office ofInspector General, Offices of Audit andInvestigations, Marlton, NJ 08053.

Department of the Treasury, Office ofInspector General, Offices of Audit andInvestigations, Houston, TX 77057.

Department of the Treasury, Office ofInspector General, Office ofInvestigations, Alexandria, VA 22314.

TREASURY/DO .193

SYSTEM NAME:

Employee Locator and AutomatedDirectory System-Treasury/DO.

SYSTEM LOCATION:

Main Treasury Building, 1500Pennsylvania Ave., NW, Washington,DC 20220.


Information on all employees of theDepartment is maintained in the systemif the proper locator card is provided.


Name, office telephone number,bureau, office symbol, building, roomnumber, home address and phonenumber, and person to be notified incase of emergency.


5 U.S.C. 301.

PURPOSE(S):

The Employee Locator andAutomated Directory System ismaintained for the purpose of providingcurrent locator and emergencyinformation on all DO employees.


Disclosures are not made outside ofthe Department.


STORAGE:

Hard copy and magnetic media.

RETRIEVABILITY:

Indexed by name.

SAFEGUARDS:

All records, including computersystem and all terminals are locatedwithin secure space. Only authorizedpersonnel have access.


Records are kept as long as needed,updated periodically and destroyed byburning.


Manager, Telephone OperatorServices Branch, 1500 PennsylvaniaAve., NW, Washington, DC 20220.


See ‘‘System manager’’ above.






Information is provided by individualemployees. Necessary changes made ifrequested.


None.

TREASURY/DO .194

SYSTEM NAME:

Circulation System—Treasury.

SYSTEM LOCATION:

Department of the Treasury, Libraryand Information Services Division,Room 1428–MT, 1500 PennsylvaniaAvenue, NW, Washington, DC 20220.


Employees who borrow librarymaterials or receive library materials ondistribution. The system also containsrecords concerning interlibrary loans tolocal libraries which are not subject tothe Privacy Act.


Records of items borrowed from theTreasury Library collection and patronrecords are maintained on centralcomputer. Records are maintained byname of borrower, office locatorinformation, and title of publication.


5 U.S.C. 301.

PURPOSE(S):

Track circulation of library materialsand their borrowers.


These records may be used to discloseinformation to a congressional office inresponse to an inquiry made at therequest of the individual to whom therecord pertains.




STORAGE:

Electronic media.

RETRIEVABILITY:

Data can be retrieved from the systemby borrower name or bar code numberand publication title or its associatedbar code number.

SAFEGUARDS:

Access to the system requiresknowledge of password identificationcodes and protocols for calling up thedata files. Access to the records islimited to staff of the Readers ServicesBranch who have a need-to-know theinformation for the performance of theirduties.


Only current data are maintained on-line. Records for borrowers are deletedwhen employee leaves Treasury.


Assistant Director, Library andInformation Services, Department of theTreasury, Room 1428–MT, 1500Pennsylvania Ave., NW., Washington,DC 20220.


Inquiries should be addressed toAssistant Director, Disclosure Services,Department of the Treasury, 1500Pennsylvania Ave., NW., WashingtonDC 20220.






Patron information records arecompleted by borrowers and librarystaff.


None.

TREASURY/DO .196

SYSTEM NAME:

Security Information System-Treasury/DO.

SYSTEM LOCATION:

Components of this system are locatedin the following offices within theDepartmental Offices: Office of Security,Room 3180 Treasury Annex, 1500Pennsylvania Avenue, NW.,Washington, DC 20220, and Room 3170Treasury Annex, 1500 PennsylvaniaAvenue, NW, Washington, DC 20220.


(1) Department of the Treasuryofficials who classify documents with anational security classification, i.e., TopSecret, Secret, or Confidential.

(2) Each Department of the Treasuryofficial, by name and position title, whohas been delegated the authority todowngrade and declassify nationalsecurity information and who is nototherwise authorized to classify adocument at its present classificationlevel.

(3) Each Department of the Treasuryofficial, by name and position title, whohas been delegated the authority fororiginal classification of nationalsecurity information, exclusive ofofficials specifically authorized originalclassification authority by TreasuryOrder 102–10.

(4) Each Department of the Treasuryoffice by name and position titledelegated the authority to derivativelyclassify national security information inaccordance with an approvedclassification guide or on the basis ofsource documents.

(5) Each Department of the Treasuryofficial who does not have originalclassification authority for nationalsecurity information and who is notauthorized to downgrade and declassifynational security information, but whomay control and/or decontrol limitedofficial use information.

(6) An alphabetical listing ofDepartment of the Treasury employeeswho have valid security violations as aresult of the improper handling,safeguarding, or storage of classifiednational security and sensitive butunclassified information.

(7) Department of the Treasurypersonnel concerned with classifiednational security and sensitive butunclassified use information who haveparticipated in a security orientationprogram regarding the salient features ofthe security requirements andprocedures for the handling andsafeguarding of such information.

CATEGORIES OF RECORDS IN THE SYSTEM:The following records are maintained

by the Director of Security: (1) Report ofAuthorized Downgrading andDeclassification Officials, (2) Report ofAuthorized Classifiers, (3) Report ofAuthorized Derivative Classifiers, (4)Designation of Controlling/Decontrolling Officials, (5) Record ofSecurity Violation, and (6) the SecurityOrientation Acknowledgment.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Executive Order No. 12958, dated

April 17, 1995, as amended, and Officeof Security Manual, TDP 71–10.

PURPOSE(S):

The system is designed to (1) overseecompliance with Executive Order No.12958 and Departmental programmingand implementation, (2) ensure properclassification of national securityinformation, (3) record details of validsecurity violations and (4) assist indetermining the effectiveness ofinformation security programs affectingclassified and sensitive but unclassifiedinformation.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSE OF SUCH USES:

These records may be used to discloseinformation to appropriate Federalagencies and for enforcing orimplementing a statute, rule, regulationor order.


STORAGE:

Hard Copy paper files.

RETRIEVABILITY:

Manually filed and indexed by officeor bureau, date, name of official andposition title, where appropriate.

SAFEGUARDS:

Secured in security equipment towhich access is limited to personnelwith the need to know.


With the exception of the Record ofSecurity Violation, which is maintainedfor a period of two years, and theSecurity Orientation Acknowledgment,the remaining records are destroyedand/or updated on an annual basis.Destruction is effected by shredding orother comparable means.


Director of Security, 3180 TreasuryAnnex, 1500 Pennsylvania AvenueNW., Washington, DC 20220.


Individuals wishing to be notified ifthey are named in this system ofrecords, or to gain access to recordsmaintained in this system, must submita written request containing thefollowing elements: (1) Identify therecord system; (2) Identify the categoryand types of records sought; and (3)provide at least two items of secondaryidentification (date of birth, employeeidentification number, dates ofemployment or similar information) tothe Assistant Director, DisclosureServices. (See ‘‘Record accessprocedures’’ below).




Assistant Director, DisclosureServices, Department of the Treasury,1500 Pennsylvania Ave., NW,Washington, DC 20220.




The sources of the information areoffice and bureau employees of theDepartment of the Treasury. Theinformation concerning any securityviolation is reported by Department ofthe Treasury security officials andDepartment of State security officials asconcerns Treasury personnel attached toU.S. diplomatic posts or missions.


None.

TREASURY/DO .200

SYSTEM NAME:

FinCEN Data Base-Treasury/DO.

SYSTEM LOCATION:

The Financial Crimes EnforcementNetwork, Vienna, VA 22182.


(1) Individuals who relate in anymanner to official FinCEN efforts insupport of the enforcement of the BankSecrecy Act and money-laundering andother financial crimes. Such individualsmay include, but are not limited to,subjects of investigations andprosecutions; suspects in investigations;victims of such crimes; witnesses insuch investigations and prosecutions;and close relatives and associates of anyof these individuals who may berelevant to an investigation; (2) currentand former FinCEN personnel whomFinCEN considers relevant to aninvestigation or inquiry; (3) individualswho are the subject of unsolicitedinformation possibly relevant toviolations of law or regulations, whooffer unsolicited information relating tosuch violations, who request assistancefrom FinCEN, and who make inquiriesof FinCEN.


Every possible type of informationthat contributes to effective lawenforcement may be maintained in thissystem of records, including, but notlimited to, subject files on individuals,corporations, and other legal entities;information provided pursuant to theBank Secrecy Act; information gatheredpursuant to search warrants; statementsof witnesses; information relating to

past queries of the FinCEN Data Base;criminal referral information; complaintinformation; identifying informationregarding witnesses, relatives, andassociates; investigative reports; andintelligence reports.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:5 U.S.C. 301, 31 U.S.C. 5311 et seq.;

31 CFR part 103; Treasury DepartmentOrder No. 105–08 (April 25, 1990).

PURPOSE(S):The purpose of this system of records

is to support FinCEN’s efforts to providea government-wide, multi-sourceintelligence and analytical network tosupport the detection, investigation, andprosecution of domestic andinternational money laundering andother financial crimes, and otherdomestic and international criminal,tax, and regulatory matters.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM INCLUDING CATEGORIES OF USERS ANDTHE PURPOSES OF SUCH USES:

Records in this system may be usedto:

(1) Provide responses to queries fromFederal, State, territorial, and local lawenforcement and regulatory agencies,both foreign and domestic, regardingBank Secrecy Act and other financialcrime enforcement;

(2) Furnish information to otherFederal, State, local, territorial, andforeign law enforcement and regulatoryagencies responsible for investigating orprosecuting the violations of, or forenforcing or implementing a statute,rule, regulation, order, or license, whereFinCEN becomes aware of an indicationof a violation or potential violation ofcivil or criminal law or regulation;

(3) Furnish information to theDepartment of Defense, to support itsrole in the detection and monitoring ofaerial and maritime transit of illegaldrugs into the United States and anyother role in support of law enforcementthat the law may mandate;

(4) Respond to queries fromINTERPOL in accordance with agreedcoordination procedures betweenFinCEN and INTERPOL;

(5) Furnish information to individualsand organizations, in the course ofenforcement efforts, to the extentnecessary to elicit information pertinentto financial law enforcement;

(6) Furnish information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations, in response to a subpoena,or in connection with civil or criminallaw proceedings;

(7) Furnish information to the newsmedia in accordance with the guidelinescontained in 28 CFR 50.2, which relateto civil and criminal proceedings; and

(8) Furnish information to theDepartment of State and the IntelligenceCommunity to further those agencies’efforts with respect to national securityand the foreign aspects of internationalnarcotics trafficking.


STORAGE:Magnetic media and hard copy.

RETRIEVABILITY:By name, address, or unique

identifying number.

SAFEGUARDS:All FinCEN personnel accessing the

system will have successfully passed abackground investigation. FinCEN willfurnish information from the system ofrecords to approved personnel only ona ‘‘need to know’’ basis using passwordsand access control. Procedural andphysical safeguards to be utilizedinclude the logging of all queries andperiodic review of such query logs;compartmentalization of information torestrict access to authorized personnel;physical protection of sensitive hardcopy information; encryption ofelectronic communications; intruderalarms; and 24-hour building guards.

RETENTION AND DISPOSAL:FinCEN personnel will review records

each time a record is retrieved and ona periodic basis to see whether it shouldbe retained or modified. FinCEN willdispose of all records after twenty years.Records will be disposed of by erasureof magnetic media and by shreddingand/or burning of hard copy documents.

SYSTEM MANAGER(S) AND ADDRESSES:Deputy Director, Financial Crimes

Enforcement Network, Vienna, VA22182.

NOTIFICATION PROCEDURE:Pursuant to 5 U.S.C. 552a(j)(2), (k)(1),

and (k)(2), this system of records maynot be accessed for purposes ofdetermining if the system contains arecord pertaining to a particularindividual.



RECORD SOURCE CATEGORIES:See ‘‘Categories of individuals

covered by the system’’ above. The



system contains material for whichsources need not be reported.


552a(c)(3), (c)(4), (d)(1), (d)(2), (d)(3),(e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I),(e)(5), (e)(8), (f), and (g) of the PrivacyAct pursuant to 5 U.S.C. 552a(j)(2),(k)(1), and (k)(2).

TREASURY/DO .201

SYSTEM NAME:Fitness Center Records—Treasury/

DO.


Pennsylvania Avenue, NW.,Washington, DC 22020.


Treasury Department employees whohave applied for membership andparticipate in the Treasury fitnessprogram.

CATEGORIES OF RECORDS IN THE SYSTEM:Name, job title, addresses, date of

birth, age, sex; name, address, andtelephone number of personalphysician; name, and address andtelephone number of emergency contact;health and exercise history; physician’sclearance; informed consent form,waiver and release form, programinterest survey form; fitness assessmentresults; and results of health tests takenby the Fitness Center members.

AUTHORITY FOR THE MAINTENANCE OF THESYSTEM:

5 U.S.C. 301.

PURPOSE(S):The records are collected and

maintained to provide the FitnessCenter contractor with writtendocumentation of user’s membershipstatus. The records enable the contractorto identify the current fitness level andpotential health risks faced by eachuser. The collection of these recordsprovides essential baseline informationallowing the contractor to prescribe theappropriate exercise program to eachuser.


No disclosures will be made outsidethe Departmental Offices.


STORAGE:Paper records and magnetic media.

RETRIEVABILITY:By name and membership number.

SAFEGUARDS:Records are stored in locked cabinets

in a locked room. Access is limited toauthorized employees of the contractorresponsible for servicing the records inthe performance of their duties.

RETENTION AND DISPOSAL:Active records are retained

indefinitely. Inactive records are heldfor three years, then are destroyed byshredding.

SYSTEM MANAGERS AND ADDRESS:Director, Administrative Operations,

Department of the Treasury, Room1212–MT, 1500 Pennsylvania Ave.,NW., Washington, DC 20220. Name ofthe contractor will be provided by thesystem manager upon request.

NOTIFICATION PROCEDURE:Individuals seeking access to any

record contained in the system ofrecords, or seeking to contest itscontent, may inquire in accordance withinstructions appearing at 31 CFR part 1,subpart C, appendix A. Inquiries shouldbe addressed to Assistant Director,Disclosure Services, DepartmentalOffices, 1500 Pennsylvania Avenue,NW., Washington, DC 20220.

RECORD ACCESS PROCEDURES:Inquiries should be addressed to the

Assistant Director, Disclosure Services,Departmental Offices, 1500Pennsylvania Avenue, NW.,Washington, DC 20220.


RECORD SOURCE CATEGORIES:The source of the data is the Treasury

Department employee who has appliedfor membership, contractor personneland the employee’s personal physician.


TREASURY/DO .202

SYSTEM NAME:Drug-Free Workplace Program

Records—Treasury/DO.

SYSTEM LOCATION:Records are located within Personnel

Resources, Workforce Effectiveness,Room 1450–MT, Department of theTreasury, Departmental Offices, 1500Pennsylvania Ave., NW, Washington,DC 20220


Employees of Departmental Offices.

CATEGORIES OF RECORDS IN THE SYSTEM:Records related to selection,

notification, testing of employees, drugtest results, and related documentationconcerning the administration of theDrug-Free Workplace Program withinDepartmental Offices.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:Pub. L. 100–71; 5 U.S.C. 7301 and

7361; 21 U.S.C. 812; Executive Order12564, ‘‘Drug-Free Federal Workplace’’.

PURPOSE(S):The system will be established to

maintain records relating to theselection, notification, and testing ofDepartmental Offices’ employees for useof illegal drugs and drugs identified inSchedules I and II of 21 U.S.C. 812.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSE OF SUCH USES:

These records may be disclosed to acourt of competent jurisdiction whererequired by the United StatesGovernment to defend against anychallenge against any adverse personnelaction.


STORAGE:Records consist of paper records

maintained in file folders and magneticmedia.

RETRIEVABILITY:Records are retrieved by name of

employee, position, title, social securitynumber, I.D. number (if assigned), orany combination of these.

SAFEGUARDS:Records will be stored in secure

containers, e.g., safes, locked filingcabinets, etc. Access to such records isrestricted to individuals having directresponsibility for the administration ofthe agency’s Drug-Free WorkplaceProgram. Procedural and documentaryrequirements of Pub. L. 100–71 and theDepartment of Health and HumanServices 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 beretained up to five years or longer whennecessary due to challenges or appealsof adverse action by the employee.

SYSTEM MANAGER(S) AND ADDRESS:Departmental Offices, Office of

Personnel Resources, Department of theTreasury, 1500 Pennsylvania Ave.,Room 1450–MT, Washington, DC 20220.



NOTIFICATION PROCEDURE:Individuals seeking to determine

whether this system of records containsinformation about themselves shouldaddress written inquiries to theattention of the Assistant Director,Disclosure Services, DepartmentalOffices, 1500 Pennsylvania Ave.,Washington, DC 20220. Individualsmust furnish their full name, SocialSecurity Number, the title, series, andgrade of the position they occupied, themonth and year of any drug test(s)taken, and verification of identity asrequired by 31 CFR part 1, subpart C,appendix A.

RECORD ACCESS PROCEDURES:Individuals seeking to determine

whether this system of records containsinformation about themselves shouldaddress written inquiries to theattention of the Assistant Director,Disclosure Services, DepartmentalOffices, 1500 Pennsylvania Ave.,Washington, DC 20220. Individualsmust furnish their full name, SocialSecurity Number, the title, series, andgrade of the position they occupied, themonth and year of any drug test(s)taken, and verification of identity asrequired by 31 CFR part 1, subpart C,appendix A.

CONTESTING RECORD PROCEDURES:The Department of the Treasury rules

for accessing records, for contestingcontents, and appealing initialdeterminations by the individualconcerned are published in 31 CFR part1, subpart A, appendix A.

RECORD SOURCE CATEGORIES:Records are obtained from the

individual to whom the record pertains;Departmental Offices employeesinvolved in the selection andnotification of individuals to be tested;contractor laboratories that test urinesamples for the presence of illegaldrugs; Medical Review Officers;supervisors and managers and otherDepartmental Offices official engaged inadministering the Drug-Free WorkplaceProgram; the Employee AssistanceProgram, and processing adverse actionsbased on drug test results.


TREASURY/DO .207

SYSTEM NAME:Waco Administrative Review Group

Investigation-Treasury/DO.

SYSTEM LOCATION:(a) Department of the Treasury, 1500

Pennsylvania Ave., NW Washington, DC20220.

(b) Bureau of Alcohol, tobacco andFirearms (ATF), 650 MassachusettsAvenue, NW, Washington, DC 20226.


(A) Current and former employees ofthe Department of the Treasury and itsbureaus and persons whose associationswith current and former employeesrelate to the Bureau of Alcohol, Tobacco& Firearms execution of search andarrest warrants at the Branch Davidiancompound, near Waco, Texas onFebruary 28, 1993, or any other criminalor civil misconduct, which affects theintegrity or facilities of the Departmentof the Treasury. The names ofindividuals and the files in their namesmay be: (1) Received by referral; or (2)developed in the course of theinvestigation.

(B) Individuals who are: Witnesses;complainants; confidential or non-confidential informants; suspects;defendants who have been identified bythe Office of Enforcement, constituentunits of the Department of the Treasury,other agencies, or members of thegeneral public in connection with theauthorized functions of the Office ofEnforcement.

(C) Members of the general publicwho provide information pertinent tothe investigation.

CATEGORIES OF RECORDS IN THE SYSTEM:(A) Letters, memoranda, and other

documents citing complaints of allegedcriminal misconduct pertinent to theevents leading to the Bureau of Alcohol,Tobacco & Firearms execution of searchand arrest warrants at the BranchDavidian compound, near Waco, Texas,on February 28, 1993.

(B) Investigative files which include:(1) Reports of investigations to resolve

allegations of misconduct or violationsof law and to comply with thePresident’s specific directive for a factfinding report on the events leading tothe Bureau of Alcohol, Tobacco &Firearms execution of search and arrestwarrants at the Branch Davidiancompound, near Waco, Texas, onFebruary 28, 1993, with related exhibits,statements, affidavits, records or otherpertinent documents obtained duringinvestigation;

(2) Transcripts and documentationconcerning requests and approval forconsensual telephone and consensualnontelephone monitoring;

(3) Reports from or to other lawenforcement bodies;

(4) Prior criminal or noncriminalrecords of individuals as they relate tothe investigations; and

(5) Reports of actions taken bymanagement personnel regarding

misconduct and reports of legal actionsresulting from violations of statutesreferred to the Department of Justice forprosecution;

(6) Videotapes of events pertinent tothe events leading to the Bureau ofAlcohol, Tobacco & Firearms executionof search and arrest warrants at theBranch Davidian compound, near Waco,Texas, on February 28, 1993, or to theDepartment of Justice criminalprosecutions;

(7) Audiotapes with transcripts ofevents pertinent to the events leading tothe Bureau of Alcohol, Tobacco &Firearms execution of search and arrestwarrants at the Branch Davidiancompound, near Waco, Texas, onFebruary 28, 1993, or to the Departmentof Justice criminal prosecutions;

(8) Photographs and blueprintspertinent to the events leading to theBureau of Alcohol, Tobacco & Firearmsexecution of search and arrest warrantsat the Branch Davidian compound, nearWaco, Texas, on February 28, 1993, orto the Department of Justice criminalprosecutions; and

(9) Drawings, sketches, modelsportraying events pertinent to the eventsleading to the Bureau of Alcohol,Tobacco & Firearms execution of searchand arrest warrants at the BranchDavidian compound, near Waco, Texas,on February 28, 1993, or to theDepartment of Justice criminalprosecutions.

PURPOSE(S):

The purpose of the system of recordsis to implement a data base containingrecords of investigation conducted bythe Waco Administrative Review Group,and other relevant information withregard to the events leading to theBureau of Alcohol, Tobacco & Firearmsexecution of search and arrest warrantsat the Branch Davidian compound, nearWaco, Texas, on February 28, 1993, and,where appropriate, to disclose to otherlaw enforcement agencies which havean interest in the information.


5 U.S.C. 301; 31 U.S.C. 321.


These records may be used to:(1) Disclose information to the

Department of Justice in connectionwith actual or potential criminalprosecution or civil litigation;

(2) Disclose pertinent information toappropriate Federal, State, local, orforeign agencies responsible forinvestigating or prosecuting theviolations of, or for enforcing or



implementing a statute, rule, regulation,order, or license, or where thedisclosing agency becomes aware of anindication of a violation or potentialviolation of civil or criminal law orregulation;

(3) Disclose information to a Federal,State, or local agency maintaining civil,criminal or other relevant enforcementinformation or other pertinentinformation, which has requestedinformation relevant to or necessary tothe requesting agency’s hiring orretention of an employee, or theissuance of a security clearance, license,contract, grant, or other benefit;

(4) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations in response to a subpoena,where relevant and necessary, or inconnection with criminal lawproceedings;

(5) Provide information to thirdparties during the course of aninvestigation to the extent necessary toobtain information pertinent to theinvestigation; and

(6) Provide a report to the Presidentand the Secretary of the Treasurydetailing the investigation and findingsconcerning the events leading to theBureau of Alcohol, Tobacco & Firearms’execution of search and arrest warrantsat the Branch Davidian compound, nearWaco, Texas, on February 28, 1993.


STORAGE:Paper records in binders and file

jackets and all multi-source mediainformation are maintained in lockedoffices with access, through theadministrative documents and recordscontrol personnel for the Department,available to personnel with a need toknow. Records will be maintained inlocked offices during non-businesshours. Records will be maintained inthe Departmental Offices, in the mainTreasury building and ATFHeadquarters which are subject to 24-hour security.

RETRIEVABILITY:Alphabetically by name, and or by

number, or other alpha-numericidentifiers.

SAFEGUARDS:Records and word processing disks

are maintained by administrativedocuments and records controlpersonnel of the Department. All access

doors are locked when office is vacant.The records are available on a need-to-know basis to the Office of Enforcementpersonnel and the ATF Office of ChiefCounsel personnel upon verification ofthe substance and propriety of therequest.

RETENTION AND DISPOSAL:Investigative files are stored on-site

for six years and indices to those filesare stored on-site for ten years. Theword processing disks will be retainedindefinitely, and to the extent requiredthey will be updated periodically toreflect changes and will be purged whenthe information is no longer required.Upon expiration of their respectiveretention periods, the investigative filesand their indices are transferred to theFederal Records Center, Suitland,Maryland, for Storage and in mostinstances destroyed by burning,maceration or pulping when 20 yearsold.

SYSTEM MANAGER(S) AND ADDRESS:(a) Department of the Treasury official

prescribing policies and practices:Office of Enforcement, Room 4312–MT,1500 Pennsylvania Ave. NW.,Washington, DC 20220.

(b) Official maintaining records at theATF: Chief Counsel, Bureau of Alcohol,tobacco and Firearms, 650Massachusetts Ave., NW., Washington,DC 20226.

NOTIFICATION PROCEDURE:Individuals seeking access to any

record contained in the system ofrecords, or seeking to contest itscontent, may inquire in accordance withinstructions appearing at 31 CFR part 1,subpart c, appendix A. Inquiries shouldbe directed to the Assistant Director,Disclosure Services, Department of theTreasury, Washington, DC 20220.



RECORD SOURCE CATEGORIES:Individuals who were witnesses;

complainants; confidential or non-confidential informants; suspects;defendants, constituents of theDepartment of the Treasury, otherFederal, State or local agencies andmembers of the public.


TREASURY/DO .209

SYSTEM NAME:Personal Services Contracts (PCSs)—

Treasury/DO.

SYSTEM LOCATION:(1) Office of Technical Assistance,

Department of the Treasury, 1730 KStreet, NW., Suite 204, Washington, DC20006.

(2) Procurement Services Division,Departmental Offices, Department of theTreasury, 1310 G St. NW., Suite 400East, Washington, DC 20005.


Individuals who have been candidatesor who have been awarded a personalservices contract (PSC) with theDepartment of the Treasury.

CATEGORIES OF RECORDS IN THE SYSTEM:Name, address, telephone number,

demographic data, education, contracts,supervisory notes, personnel relatedinformation, financial, payroll andmedical data and documents pertainingto 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 contractsto individuals for the provision oftechnical services in support of theSEED Act and the FSA, and whichestablish an employer/employeerelationship with the individual.


These records may be used todisclose:

(1) Pertinent information toappropriate Federal, State, local, orforeign agencies, or other publicauthority, responsible for investigatingor prosecuting the violations of, or forenforcing or implementing a statute,rule, regulation, order, or license, wherethe disclosing agency becomes aware ofan indication of a violation or potentialviolation of civil or criminal law orregulation;

(2) Information to the Department ofJustice for the purpose of litigating anaction or seeking legal advice;

(3) Information to a Federal, State,local, or other public authoritymaintaining civil, criminal or otherrelevant enforcement information orother pertinent information, which hasrequested information relevant to ornecessary to the requesting agency’s,bureau’s, or authority’s hiring orretention of an individual, or issuanceof a security clearance, license, contract,grant, or other benefit;



(4) Information in a proceeding beforea court, adjudicative body, or otheradministrative body before which theagency is authorized to appear when: (a)The agency, or (b) any employee of theagency in his or her official capacity, or(c) any employee of the agency in his orher individual capacity where theDepartment of Justice or the agency hasagreed to represent the employee; or (d)the United States, when the agencydetermines that litigation is likely toaffect the agency, is party to litigation orhas an interest in such litigation, andthe use of such records by the agency isdeemed to be relevant and necessary tothe litigation or administrativeproceeding and not otherwiseprivileged, and

(5) Information to a Congressionaloffice in response to an inquiry made atthe request of the individual to whomthe record pertains.


STORAGE:Maintained in file folders and on

electronic media.

RETRIEVABILITY:Retrieved by name of the individual

contractor and contract number.

SAFEGUARDS:Records are maintained in a secured

vault with locked file cabinets withaccess limited to authorized personnel.Offices are locked during non-workinghours with security provided on a24-hour basis. Electronic media ispassword protected.

RETENTION AND DISPOSAL:Records are periodically updated

when a contract is modified. Contractrecords, including all biographical orother personal data, are retained for thecontract period, with disposal aftercontract completion in accordance withthe Federal Acquisition Regulation4.805. Other records are retained for twoyears then are destroyed when no longerneeded.

SYSTEM MANAGER(S) AND ADDRESS:(1) Director, Office of Technical

Assistance, Department of the Treasury,1730 K Street, NW, Suite 204,Washington, DC 20006.

(2) Director, Procurement ServicesDivision, Departmental Offices,Department of the Treasury, 1310 G St.NW., Suite 400 East, Washington, DC20005.


they are named in this system of

records, or to gain access or seek tocontest its contents, may inquire inaccordance with instructions appearingat 31 CFR part 1, subpart C, appendixA. Inquiries should be addressed toAssistant Director, Disclosure Services,Departmental Offices, 1500Pennsylvania Avenue, NW.,Washington, DC 20220.

RECORD ACCESS PROCEDURES:See ‘‘Notification procedure’’ above


RECORD SOURCE CATEGORIES:Information is provided by the

candidate, individual Personal ServicesContractor, and Treasury employees.


TREASURY/DO .212

SYSTEM NAME:Suspicious Activity Reporting System

(SARS).

SYSTEM LOCATION:The SAR System is housed at the

Internal Revenue Service ComputingCenter (‘‘DCC’’) in Detroit, Michigan,and is managed by the Financial CrimesEnforcement Network (‘‘FinCEN’’),Vienna, VA 22182, with the assistanceof the staff of DCC.


The SAR System contains informationabout:

(1) Individuals or entities that areknown perpetrators or suspectedperpetrators of a known or suspectedfederal criminal violation, or pattern ofcriminal violations, committed orattempted against a financial institution,or participants in a transaction ortransactions conducted through thefinancial institution, that has beenreported by the financial institution,either voluntarily or because such areport is required under the rules ofFinCEN, one or more of the FederalSupervisory Agencies (the Board ofGovernors of the Federal ReserveSystem (‘‘the Board’’), the Office of theComptroller of the Currency (‘‘OCC’’),the Federal Deposit InsuranceCorporation (‘‘FDIC’’), the Office ofThrift Supervision (‘‘OTS’’), and theNational Credit Union Administration(‘‘NCUA’’) (collectively, the ‘‘FederalSupervisory Agencies’’)), or both.

(2) Individuals or entities that areparticipants in transactions, conductedor attempted by, at, or through afinancial institution, that have beenreported because the institution knows,

suspects, or has reason to suspect that:(a) The transaction involves fundsderived from illegal activities, thetransaction is intended or conducted tohide or disguise funds or assets derivedfrom illegal activities as part of a planto violate or evade any law or regulationor to avoid any transaction reportingrequirement under Federal law; (b) thetransaction is designed to evade anyregulations promulgated under the BankSecrecy Act, Pub. L. 91–508, asamended, codified at 12 U.S.C. 1829b,12 U.S.C. 1951–1959, and 31 U.S.C.5311, et seq.; or (c) the transaction hasno business or apparent lawful purposeor is not the sort in which the particularcustomer would normally be expectedto engage, and the financial institutionknows of no reasonable explanation forthe transaction after examining theavailable facts, including thebackground and possible purpose of thetransaction;

(3) Individuals who are directors,officers, employees, agents, or otherwiseaffiliated with a financial institution;

(4) Individuals or entities that areactual or potential victims of a criminalviolation or series of violations;

(5) Individuals who are named aspossible witnesses in connection withmatters arising from any such report;

(6) Individuals or entities named aspreparers of any such report;

(7) Individuals or entities named aspersons to be contacted for assistance bygovernment agencies in connection withany such report;

(8) Individuals or entities who have ormight have information aboutindividuals or criminal violationsdescribed above; and

(9) Individuals or entities involved inevaluating or investigating any mattersarising from any such report.

CATEGORIES OF RECORDS IN THE SYSTEM:The SAR System contains information

reported to FinCEN by financialinstitutions on a Suspicious ActivityReport (‘‘SAR’’) required under theauthority of FinCEN or one or more ofthe Federal Supervisory Agencies, orboth. SARs contain information aboutthe categories of persons or entitiesspecified in ‘‘Categories of IndividualsCovered by the system.’’ The SARSystem may also contain recordspertaining to criminal prosecutions,civil actions, enforcement proceedings,and investigations resulting from orrelating to SARs. Additionally, it willcontain records pertaining to criminalprosecutions, civil actions, enforcementproceedings, and investigations relatingto institutions required to file reports orunder the supervision of one or more ofthe Federal Supervisory agencies.



AUTHORITY FOR MAINTENANCE OF THE SYSTEM:The system is established and

maintained in accordance with 31U.S.C. 5318(g); 31 CFR Part 103; 31U.S.C. 321; and Department of theTreasury Order 105–08.

PURPOSE(S):The requirements of FinCEN and the

Federal Supervisory Agencies create anintegrated process for reportingsuspicious activity and known orsuspected crimes by, at, or throughdepository institutions and certain oftheir affiliates. The process is based ona single uniform SAR filed withFinCEN.

The SAR System has been created, asa key part of this integrated reportingprocess, to permit coordinated andenhanced analysis and tracking of suchinformation, and rapid dissemination ofSAR information to appropriate lawenforcement and supervisory agencies.The provisions of 31 U.S.C.5318(g)(4)(B) specifically require thatthe agency designated as repository forSARs refer those reports to anyappropriate law enforcement orsupervisory agency.

Data from the SAR System will beexchanged, retrieved, and disseminated,both manually and electronically amongFinCEN, the Federal SupervisoryAgencies, appropriate Federal, State,and local law enforcement agencies, andState banking supervisory agencies.Agencies to which information will bereferred electronically, which in certaincases may involve electronic transfers ofbatch information, include the FederalSupervisory Agencies, the FederalBureau of Investigation (FBI), theCriminal Investigation Division of theInternal Revenue Service, the UnitedStates Secret Service, the United StatesCustoms Service, the Executive Office ofthe United States Attorneys and theOffices of the 93 United StatesAttorneys, and State bank supervisoryagencies and certain State lawenforcement agencies, which haveentered into appropriate agreementswith FinCEN. (The FBI and SecretService may receive electronic transfersof batch information as forms are filedto permit those agencies more efficientlyto carry out their investigativeresponsibilities.) Organizations to whichinformation is regularly disseminatedare referred to as SAR System Users. Itis anticipated that information from theSAR System will also be disseminatedto other appropriate Federal, State, orlocal law enforcement organizations andregulatory agencies that enter intoappropriate agreements with FinCEN. Inaddition, information may bedisseminated to non-United States

financial regulatory and lawenforcement agencies.

Routine uses of records maintained inthe system, Including Categories ofUsers and the Purposes of Such Uses:

These records may be used to:(1) Provide information or records,

electronically or manually, to SARSystem Users relevant to theenforcement and supervisory programsand operations of those Users;

(2) Provide SAR System Users andtheir Executive Departments withreports that indicate the number,amount, individual identity, and otherdetails concerning potential violationsof the law that have been the subject ofSuspicious Activity Reports;

(3) Provide information or records toany appropriate domestic or non-UnitedStates governmental agency or self-regulatory organization charged with theresponsibility of administering law orinvestigating or prosecuting violationsof law, or charged with theresponsibility of enforcing orimplementing a statute, rule, regulation,order, or policy, or charged with theresponsibility of issuing a license,security clearance, contract, grant, orbenefit, when relevant to theresponsibilities of these agencies ororganizations;

(4) Provide information or records,when appropriate, to international andforeign governmental authorities inaccordance with law and formal orinformal international agreement;

(5) Disclose on behalf of a SARSystem User, the existence, but notnecessarily the content, of informationor records to a third party, in caseswhere a SAR System User is a party orhas a direct interest and where the SARSystem User has concluded that suchdisclosure is necessary;

(6) Provide information or records tothe Department of Justice, or in aproceeding before a court, adjudicativebody, or other administrative bodybefore which the SAR System User isauthorized to appear, when (a) the SARSystem User, or any component thereof;or (b) any employee of the SAR SystemUser in his or her official capacity; or (c)any employee of the SAR System User,where the Department of Justice or theSAR System User has agreed torepresent the employee; or (d) theUnited States is a party to litigation orhas an interest in such litigation, whenthe SAR System User determines thatlitigation is likely to affect the SARSystem User or any of its componentsand the use of such records by theDepartment of Justice or the SARSystem User is deemed by the SARSystem User to be relevant andnecessary to the litigation, provided,

however, that in each case it has beendetermined that the disclosure iscompatible with the purpose for whichthe records were collected;

(7) Disclose information or records toindividuals or entities to the extentnecessary to elicit information pertinentto the investigation, prosecution, orenforcement of civil or criminal statutes,rules, regulations, or orders;

(8) In accordance with ExecutiveOrder 12968 (August 2, 1995), provideinformation or records to anyappropriate government authority inconnection with investigations andreinvestigations to determine eligibilityfor access to classified information tothe extent relevant for matters that areby statute permissible subjects ofinquiry;

(9) Provide, when appropriate,information or records to a barassociation, or other trade orprofessional organization performingsimilar functions, for possibledisciplinary action;

(10) Provide information or records tothe Department of State and to theUnited States Intelligence Community,within the meaning of Executive Order12333 (December 4, 1981) to furtherthose agencies’ efforts with respect tonational security and internationalnarcotics trafficking;

(11) Furnish analytic and statisticalreports to government agencies and thepublic providing information abouttrends and patterns derived frominformation contained on SuspiciousActivity Reports, in a form in whichindividual identities are not revealed;and

(12) Disclose information or records toany person with whom FinCEN, theDCC, or a SAR System User contracts toprovide consulting, data processing,clerical, or secretarial functions relatingto the official programs and operationsof FinCEN, DCC, or the SAR SystemUser.


STORAGE:

Records are maintained in magneticmedia and on hard paper copy.

RETRIEVABILITY:

Data in the SAR System may beretrieved by sectionalized data fields(i.e., name of financial institution orholding company, type of suspectedviolation, individual suspect name,witness name, and name of individualauthorized to discuss the referral withgovernment officials) or by the use ofsearch and selection criteria.



SAFEGUARDS:

The system is located in a guardedbuilding that has restricted access.Access to the computer facilities andany paper records is subject toadditional physical safeguards thatrestrict access. Access to any electronicrecords in the system is restricted bymeans of passwords and non-transferable identifiers issued toauthorized SAR System Users. Thesystem complies with all applicablesecurity requirements of the Departmentof the Treasury.


Records in this system will beupdated periodically to reflect changes,and will be maintained in electronicform as long as needed for the purposefor which the information was collected.Records will then be disposed of inaccordance with applicable law.

SYSTEM MANAGER AND ADDRESS:

Deputy Director, Financial CrimesEnforcement Network, United StatesDepartment of the Treasury, Vienna,Virginia 22182.


This system is exempt fromnotification requirements, record accessrequirements, and requirements that anindividual be permitted to contest itscontents, pursuant to the provisions of5 U.S.C. 552a(j)(2) and (k)(2).






Records in this system may beprovided by or obtained from:individuals; financial institutions andcertain of their affiliates; FederalSupervisory Agencies; State financialinstitution supervisory agencies;domestic or foreign governmentalagencies; foreign or internationalorganizations; and commercial sources.Pursuant to the provisions of 5 U.S.C.552a(j)(2) and (k)(2), this system isexempt from the requirement that theRecord source categories be disclosed.


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 5U.S.C. 552a(j)(2) and (k)(2).

TREASURY/DO .213

SYSTEM NAME:Bank Secrecy Act Reports System—

Treasury/DO.

SYSTEM LOCATION:Electronic Records: Currency and

Banking Retrieval System, InternalRevenue Service Detroit ComputingCenter, 985 Michigan Avenue, Detroit,Michigan, 48226–1129 and TreasuryEnforcement Communications System,United States Customs ServiceNewington, 7681 Boston Boulevard,Springfield, Virginia, 22153–3140.Paper Records: Form 4790—U.S.Customs Service, Newington, VA. Allother forms, including, but not limitedto, Form 4789, TDF 90.22–1 and Form8362-Internal Revenue Service, Detroit,MI.


Persons identified in reports requiredto be filed under the Bank Secrecy Actand its implementing regulations (31CFR part 103) including, but not limitedto, reports made on IRS Form 4789(Currency Transaction Report), IRSForm 8362 (Currency TransactionReport by Casinos), Customs Form 4790(Report of International Transportationof Currency or Monetary Instruments),Treasury Form TDF 90–22.1 (Report ofForeign Bank and Financial Accounts),and forms filed by casinos located in theState of Nevada in lieu of Form 8362.(This system of records does not coverpersons identified in SuspiciousActivity Reports, TDF 90–22.47. Thosereports are included in another systemof records, ‘‘Suspicious ActivityReporting System—Treasury/DO .212.’’)

CATEGORIES OF RECORDS IN THE SYSTEM:Reports required to be filed under the

Bank Secrecy Act and its implementingregulations (31 CFR part 103) including,but not limited to, reports made on IRSForm 4789 (Currency TransactionReport), IRS Form 8362 (CurrencyTransaction Report by Casinos),Customs Form 4790 (Report ofInternational Transportation ofCurrency or Monetary Instruments),Treasury Form TDF 90–22.1 (Report ofForeign Bank and Financial Accounts),and forms filed by casinos located in theState of Nevada in lieu of Form 8362.(This system does not includeSuspicious Activity Reports, TDF 90–22.47, required under 31 CFR part 103.Those reports are included in anothersystem of records, ‘‘Suspicious ActivityReporting System—Treasury/DO .212.’’)These reports include names ofindividuals and other entities filing thereports, names of the owners of

monetary instruments, the amounts andkinds of currency or other monetaryinstruments transported, reported, or inforeign banking accounts, accountnumbers, addresses, dates of birth, andother personal identifiers.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:12 U.S.C. 1829b and 1951–1959; 31

U.S.C. 5311–5314, 5316, et seq.; 5 U.S.C.301; 31 CFR part 103; TreasuryDepartment Order No. 105–08.

PURPOSE(S):The Bank Secrecy Act, codified at 12

U.S.C. 1829b and 1951–1959 and 31U.S.C. 5311–5314, 5316, et seqauthorizes the Secretary of the Treasuryto issue regulations requiring recordsand reports that are determined to havea high degree of usefulness in criminal,tax, and regulatory matters. TheSecretary’s authority has beenimplemented through regulationspromulgated at 31 CFR part 103. Thepurpose of this system of records is tomaintain the information contained onthe reports required under theseregulations. This information isdisseminated, both electronically andmanually, in accordance with strictsafeguards, to appropriate Federal,State, local, and foreign criminal lawenforcement and regulatory personnelin the official performance of theirduties. The information is used in awide range of criminal investigations,including, but not limited to,investigation of international anddomestic money laundering, taxevasion, fraud, and other financialcrimes.

ROUTINE USES OF RECORDS MAINTAINED IN THESYSTEM, INCLUDING CATEGORIES OF USERS ANDTHE PURPOSE OF SUCH USES: THESE RECORDSMAY BE USED TO:

(1) Disclose pertinent information toappropriate Federal, State, local, orforeign agencies responsible forinvestigating or prosecuting theviolations of, or for enforcing orimplementing, a statute, rule,regulation, order, or license, where thedisclosing agency becomes aware of anindication of a violation or potentialviolation of civil or criminal law orregulation;

(2) Disclose information to Federal,State, or local agencies, maintainingcivil, criminal, or other relevantinformation, which has requestedinformation relevant to or necessary tothe requesting agency’s hiring orretention of an individual, or issuanceof a security clearance, license, contract,grant, or other benefit;

(3) Disclose to appropriate Federal,State, or local agencies engaged in theidentification, investigation, and



prosecution of violations or potentialviolations of criminal statutes,information, in a computerized format,to identify or to permit theidentification of patterns of suspectedcriminal activity that fall within thejurisdiction of the agency requesting theinformation;

(4) Disclose information to Federal orState regulatory agencies or self-regulatory agencies responsible forsupervising compliance with the BankSecrecy Act, limited to informationrelevant to meeting supervisory orcompliance responsibilities;

(5) Disclose relevant information onindividuals to authorized Federal andState agencies through computermatching in order to help eliminatewaste, fraud, and abuse in Governmentprograms and identify individuals whoare potentially in violation of civil law,criminal law, or regulation;

(6) Disclose information to a court,magistrate, or administrative tribunal inthe course of presenting evidence,including disclosures to opposingcounsel or witnesses in the course ofcivil discovery, litigation, or settlementnegotiations, in response to a subpoena,or in connection with criminal lawproceedings;

(7) Provide information to the newsmedia, in accordance with guidelinescontained in 28 CFR 50.2, that relates toan agency’s functions relating to civiland criminal proceedings; and



STORAGE:Records are maintained in magnetic

media and on hard paper copy.

RETRIEVABILITY:By name and other unique identifier.

SAFEGUARDS:All persons with electronic access to

records in the system will havesuccessfully completed a backgroundinvestigation. All State and local agencypersonnel, and all Federal personneloutside the U. S. Department of theTreasury with electronic access willhave successfully completedappropriate training. Passwords andaccess controls will be utilized. Signedagreements outlining usage anddissemination rules are required of allnon-Treasury agencies before electronicaccess is authorized. Procedural andphysical safeguards include: Thelogging of all queries and periodicreview of such query logs;compartmentalization of information torestrict access to authorized personnel;physical protection of sensitive hardcopy documents and magnetic tapes;encryption of electroniccommunications; intruder alarms andother security devices; and 24-hourbuilding guards. The system complieswith all applicable securityrequirements of the Department of theTreasury.

RETENTION AND DISPOSAL:Records in this system will be

updated periodically to reflect changes,and will be maintained in electronicform as along as needed for thepurposes for which the information was

collected. Records will be disposed of inaccordance with applicable law.


General Policy: Deputy Director,Financial Crimes Enforcement Network,Vienna, Virginia 22182–2536. ComputerSystems Maintenance andAdministration: Director, IRSComputing Center, 985 MichiganAvenue, Detroit, Michigan, 48226–1129and Director, Office of InformationTechnology, U.S. Customs ServiceNewington, 7681 Boston Boulevard,Springfield, Virginia, 22153–3140.


This system is exempt fromnotification requirements, record accessrequirements, and requirements that anindividual be permitted to contest itscontents, pursuant to the provisions of5 U.S.C. 552a(j)(2) and (k)(2).






Pursuant to the provisions of 5 U.S.C.552a(j)(2) and (k)(2), this system isexempt from the requirement that theRecord source categories be disclosed.


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 5U.S.C. 552a(j)(2) and (k)(2). See 31 CFR1.36.

[FR Doc. 02–3417 Filed 2–15–02; 8:45 am]BILLING CODE 4811–16–P
