[Federal Register: August 9, 2005 (Volume 70, Number 152)]
[Notices]
[Page 46267-46301]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr09au05-139]
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Part II
Department of the Treasury
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Privacy Act of 1974; Systems of Records; Notice
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DEPARTMENT OF THE TREASURY
Privacy Act of 1974; Systems of Records
AGENCY: Departmental Offices, Treasury.
ACTION: Notice of systems of records.
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SUMMARY: In accordance with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a, the Departmental Offices (DO) is
publishing its Privacy Act systems of records.
SUPPLEMENTARY INFORMATION: Pursuant to the Privacy Act of 1974 (5
U.S.C. 552a) and the Office of Management and Budget (OMB) Circular No.
A-130, the Department has completed a review of its Privacy Act systems
of records notices to identify minor changes that will more accurately
describe these records. Such changes throughout the document are
editorial in nature and consist principally of changes to system
locations and system manager addresses, and revisions to organizational
titles. Other changes include the deletion of a routine use from DO
.144-General Counsel Litigation Referral and Reporting System, and the
title of DO .060 being changed from ``Correspondence Files and Records
on Employee Complaints and/or Dissatisfaction'' to ``Correspondence
Files and Records on Dissatisfaction.''
This publication also incorporates the amendments to several
systems of records maintained by the Departmental Offices that were
published on October 4, 2002, and March 31, 2003, at 67 FR 62290 and 68
FR 15555 respectively.
Twelve systems of records have been added to the Department's
inventory of Privacy Act notices since February 19, 2002, as follows:
DO .214-D.C. Pensions Retirement Records (October 9, 2002, at 67 FR
63012).
DO .311-TIGTA Office of Investigations Files (May 22, 2003, at 68 FR
28046).
On September 22, 2003, systems of records for the Treasury
Inspector General for Tax Administration (TIGTA) were published
beginning at 68 FR 55086:
DO .301-TIGTA General Personnel and Payroll,
DO .302-TIGTA--Medical Records,
DO .303-TIGTA--General Correspondence,
DO .304-TIGTA--General Training,
DO .305-TIGTA--Personal Property Management Records,
DO .306-TIGTA--Recruiting and Placement Records,
DO .307-TIGTA--Employee Relations Matters, Appeals, Grievances, and
Complaint Files,
DO .308-TIGTA--Data Extracts,
DO .309-TIGTA--Chief Counsel Case Files,
DO .310-TIGTA--Chief Counsel Disclosure Section.
Prior to October 26, 2001, The Financial Crimes Enforcement Network
(FinCEN) was an office located within the Departmental Offices of the
Department of the Treasury. Pursuant to Section 361 of the USA Patriot
Act, Pub. L. 107-56, FinCEN was established as a separate Treasury
bureau. The following systems of records were transferred to FinCEN and
renumbered on November 25, 2003, (see 68 FR 66159):
DO .200--FinCEN Data Base
DO .212--Suspicious Activity Reporting System (SARS)
DO .213--Bank Secrecy Act Reports System
The following systems of records are being removed from the
Department's inventory of Privacy Act notices:
DO .183--Private Relief Tax Bill Files
DO .201--Fitness Center Records
The systems notices are reprinted in their entirety following the
Table of Contents.
This notice covers all systems of records adopted up to July 1,
2005.
Dated: July 28, 2005.
Nicholas Williams,
Deputy Assistant Secretary for Headquarters Operations.y
Table of Contents
Departmental Offices (DO)
DO .003--Law Enforcement Retirement Claims Records
DO .007--General Correspondence Files
DO .010--Office of Domestic Finance, Actuarial Valuation System
DO .015--Political Appointee Files.
DO .060--Correspondence Files and Records on Dissatisfaction
(formerly: Correspondence Files and Records On Employee Complaints
and/or Dissatisfaction)
DO .111--Office of Foreign Assets Control Census Records
DO .114--Foreign Assets Control Enforcement Records
DO .118--Foreign Assets Control Licensing Records
DO .144--General Counsel Litigation Referral and Reporting System
DO .149--Foreign Assets Control Legal Files
DO .190--Investigation Data Management System
DO .191--Human Resources and Administrative Records System
DO .193--Employee Locator and Automated Directory System
DO .194--Circulation System
DO .196--Security Information System
DO .202--Drug-Free Workplace Program Records
DO .207--Waco Administrative Review Group Investigation
DO .209--Personal Services Contracts (PSC)
DO .214--D.C. Pensions Retirement Records
DO .216--Treasury Security Access Control and Certificates Systems
DO .301--TIGTA--General Personnel and Payroll
DO .302--TIGTA--Medical Records
DO .303--TIGTA--General Correspondence
DO .304--TIGTA--General Training
DO .305--TIGTA--Personal Property Management Records
DO .306--TIGTA--Recruiting and Placement Records
DO .307--TIGTA--Employee Relations Matters, Appeals, Grievances, and
Complaint Files
DO .308--TIGTA--Data Extracts
DO .309--TIGTA--Chief Counsel Case Files
DO .310--TIGTA--Chief Counsel Disclosure Section
DO .311--TIGTA--Office of Investigations Files
TREASURY/DO .003
System name:
Law Enforcement Retirement Claims Records--Treasury/DO.
System location:
These records are located in the Office of Human Resources Strategy
and Solutions, Suite 1200, 1750 Pennsylvania Avenue, NW., Department of
the Treasury, Washington, DC 20220.
Categories of individuals covered by the system:
Current or former Federal employees who have submitted claims for
law enforcement retirement coverage (claims) with their bureaus in
accordance with 5 U.S.C. 8336(c)(1) and 5 U.S.C. 8412(d).
Categories of records in the system:
The system contains records relating to claims filed by current and
former Treasury employees under 5 U.S.C. 8336(c)(1) and 5 U.S.C.
8412(d). These case files contain all documents related to the claim
including statements of witnesses, reports of interviews and hearings,
examiner's findings and recommendations, a copy of the original and
final decision, and related correspondence and exhibits.
Authority for maintenance of the system:
5 U.S.C. 8336(c)(1), 8412(d), 1302, 3301, and 3302; E.O. 10577; 3
CFR 1954-1958 Comp., p. 218 and 1959-1963 Comp., p. 519; and E.O.
10987.
Purpose(s):
The purpose of the system is to make determinations concerning
requests by Treasury employees that the position he or she holds
qualifies as a law enforcement position for the purpose of
administering employment and retirement benefits.
[[Page 46269]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used:
(1) To disclose pertinent information to the appropriate Federal,
state, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where
the disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation;
(2) To disclose information to any source from which additional
information is requested in the course of processing a claim, to the
extent necessary to identify the individual whose claim is being
adjudicated, inform the source of the purpose(s) of the request, and
identify the type of information requested;
(3) To disclose information to a Federal agency, in response to its
request, in connection with the hiring or retention of an individual,
the issuance of a security clearance, the conducting of a security or
suitability investigation of an individual, the classifying of jobs,
the letting of a contract, or the issuance of a license, grant, or
other benefit by the requesting agency, to the extent that the
information is relevant and necessary to requesting the agency's
decision on the matter;
(4) To provide information to a congressional office in response to
an inquiry made at the request of the individual to whom the record
pertains;
(5) To disclose information which is necessary and relevant to the
Department of Justice or to a court when the Government is party to a
judicial proceeding before the court;
(6) To provide information to the National Archives and Records
Administration for use in records management inspections conducted
under authority of 44 U.S.C. 2904 and 2908;
(7) To disclose information to officials of the Merit Systems
Protection Board, the Office of the Special Counsel, the Federal Labor
Relations Authority, the Equal Employment Opportunity Commission, or
the Office of Personnel Management when requested in performance of
their authorized duties;
(8) To disclose information to a court, magistrate, or
administrative tribunal in the course of presenting evidence, including
disclosures to opposing Counsel or witnesses in the course of civil
discovery, litigation or settlement negotiations in response to a
subpoena where relevant or potentially relevant to a proceeding, or in
connection with criminal law proceedings; and
(9) To provide information to officials of labor organizations
recognized under the Civil Service Reform Act when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices, and matters affecting work conditions.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and electronic media.
Retrievability:
By the names of the individuals on whom they are maintained.
Safeguards:
Lockable metal filing cabinets to which only authorized personnel
have access. Automated databases are password protected.
Retention and disposal:
Disposed of after closing of the case in accordance with General
Records Schedule 1, Civilian Personnel Records, Category 7d.
System manager(s) and addresses:
Director, Office of Human Resources Strategy and Solutions, Suite
1200, 1750 Pennsylvania Avenue, NW., Department of the Treasury,
Washington, DC 20220.
Notification procedure:
It is required that individuals submitting claims be provided a
copy of the record under the claims process. They may, however, contact
the agency personnel or designated office where the action was
processed, regarding the existence of such records on them. They must
furnish the following information for their records to be located and
identified: (1) Name, (2) date of birth, (3) approximate date of
closing of the case and kind of action taken, (4) organizational
component involved.
Record access procedures:
It is required that individuals submitting claims be provided a
copy of the record under the claims process. However, after the action
has been closed, an individual may request access to the official copy
of the claim file by contacting the system manager. Individuals must
provide the following information for their records to be located and
identified: (1) Name, (2) date of birth, (3) approximate date of
closing of the case and kind of action taken, (4) organizational
component involved.
Contesting record procedures:
Review of requests from individuals seeking amendment of their
records which have been the subject of a judicial or quasi-judicial
action will be limited in scope. Review of amendment requests of these
records will be restricted to determining if the record accurately
documents the action of the agency ruling on the case, and will not
include a review of the merits of the action, determination, or
finding. Individuals wishing to request amendment to their records to
correct factual errors should contact the system manager. Individuals
must furnish the following information for their records to be located
and identified: (1) Name, (2) date of birth, (3) approximate date of
closing of the case and kind of action taken, (4) organizational
component involved.
Record source categories:
Information in this system of records is provided: (1) By the
individual on whom the record is maintained, (2) by testimony of
witnesses, (3) by agency officials, (4) from related correspondence
from organizations or persons.
Exemptions claimed for the system:
None.
TREASURY/DO .007
System name:
General Correspondence Files--Treasury/DO.
System location:
Departmental Offices, Department of the Treasury, 1500 Pennsylvania
Ave., NW., Washington, DC 20220. Components of this record system are
in the following offices within the Departmental Offices:
1. Office of Foreign Assets Control.
2. Office of Tax Policy.
3. Office of International Affairs.
4. Office of the Executive Secretariat.
5. Office of Legislative Affairs.
Categories of individuals covered by the system:
Members of Congress, U.S. Foreign Service officials, officials and
employees of the Treasury Department, officials of municipalities and
state governments, and the general public, foreign nationals, members
of the news media, businesses, officials and employees of other Federal
Departments and agencies.
Categories of records in the system:
Incoming correspondence and replies pertaining to the mission,
function, and operation of the Department, tasking sheets, and internal
Treasury memorandum.
Authority for maintenance of the system:
5 U.S.C. 301.
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Purpose(s):
The manual systems and/or electronic databases (e.g., Treasury
Automated Document System (TADS)) used by the system managers are to
manage the high volume of correspondence received by the Departmental
Offices and to accurately respond to inquiries, suggestions, views and
concerns expressed by the writers of the correspondence. It also
provides the Secretary of the Treasury with sentiments and statistics
on various topics and issues of interest to the Department.
Routine uses of records maintained in the system including categories
of users and the purposes of such uses:
These records may be used to:
(1) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(2) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings;
(3) Provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114;
(4) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(5) Provide information to appropriate Federal, State, local, or
foreign agencies responsible for investigating or prosecuting the
violations of, or for enforcing or implementing, a statute, rule,
regulation, order, or license;
(6) Provide information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Paper records, file folders and magnetic media.
Retrievability:
By name of individual or letter number, address, assignment control
number, or organizational relationship.
Safeguards:
Access is limited to authorized personnel with a direct need to
know. Rooms containing the records are locked after business hours.
Some folders are stored in locked file cabinets in areas of limited
accessibility except to employees. Others are stored in electronically
secured areas and vaults. Access to electronic records is by password.
Retention and disposal:
Some records are maintained for three years, then destroyed by
burning. Other records are updated periodically and maintained as long
as needed. Some electronic records are periodically updated and
maintained for two years after date of response; hard copies of those
records are disposed of after three months in accordance with the NARA
schedule. Paper records of the Office of the Executive Secretary are
stored indefinitely at the Federal Records Center.
System manager(s) and addresses:
1. Director, Office of Foreign Assets Control, U.S. Treasury
Department, Room 2233, Treasury Annex, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
2. Freedom of Information Act Officer, Office of Tax Policy, U.S.
Treasury Department, Room 5037G-MT, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
3. Manager, International Affairs Business Office, U.S. Treasury
Department, Room 4456-MT, 1500 Pennsylvania Ave., NW., Washington, DC
20220.
4. Director, VIP Correspondence, Office of the Executive
Secretariat, U.S. Treasury Department, Room 3419-MT, Washington, DC
20220.
5. Deputy to the Assistant Secretary, Office of Legislative
Affairs, U.S. Treasury Department, Room 3464-MT, Washington, DC 20220.
Notification Procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in this system may
inquire in accordance with instructions appearing at 31 CFR part 1,
subpart C, appendix A. Individuals must submit a written request
containing the following elements: (1) Identify the record system; (2)
identify the category and type of records sought; and (3) provide at
least two items of secondary identification (date of birth, employee
identification number, dates of employment or similar information).
Address inquiries to Director, Disclosure Services (see ``Record access
procedures'' below).
Record Access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Contesting Record procedures:
See ``Record access procedures'' above.
Record source categories:
Members of Congress or other individuals who have corresponded with
the Departmental Offices, other governmental agencies (Federal, state
and local), foreign individuals and official sources.
Exemptions claimed for the system:
None.
TREASURY/DO .010
System name:
Office of Domestic Finance, Actuarial Valuation System--Treasury/
DO.
System location:
Departmental Offices, Office of Government Financing, Office of
Policy and Legislative Review, 1120 Vermont Avenue, NW., Washington, DC
20005.
Categories of individuals covered by the system:
Participants and beneficiaries of the Foreign Service Retirement
and Disability System and the Foreign Service Pension System. Covered
employees are located in the following agencies: Department of State,
Department of Agriculture, Agency for International Development, Peace
Corps, and the Department of Commerce.
Categories of records in the system:
Information in the system is as follows: Active Records: Name;
social security number; salary; category-grade; pay-plan; department-
class; year of entry into system; service computation date; year of
birth; year of resignation or year of death, and refund if any.
Retired Records: Same as actives; annuity; year of separation;
cause of separation (optional, disability, deferred, etc.); years and
months of service by type of service; marital status; spouse's year of
birth; annuitant type; principal's year of death; number of children on
annuity roll; children's years of birth and annuities.
Authority for maintenance of the system:
22 U.S.C. 4058 and 22 U.S.C. 4071h.
Purpose(s):
22 U.S.C. 4058 and 22 U.S.C. 4071h require that the Secretary of
the Treasury prepare estimates of the
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annual appropriations required to be made to the Foreign Service
Retirement and Disability Fund. The Secretary of the Treasury is also
required, at least every five years, to prepare valuations of the
Foreign Pension System and the Foreign Service Retirement and
Disability System. In order to satisfy this requirement, participant
data must be collected so that liabilities for the Foreign Service
Retirement and Disability System and the Foreign Service Pension System
can be actuarially determined.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Data regarding specific individuals is released only to the
contributing agency for purposes of verification.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data is stored electronically.
Retrievability:
Alphabetically.
Safeguards:
Access is restricted to select employees of the Office of
Government Financial Policy. Passwords are required to access the data.
Retention and disposal:
Records are retained on a multiple year basis in order to perform
actuarial experience studies.
System manager(s) and address:
Director, Office of Policy and Legislative Review, Departmental
Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) identify the category and type of
records sought; and (3) provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Address inquiries to Assistant
Director, Disclosure Services (see ``Record access procedures'' below).
Record Access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Contesting Record procedures:
See ``Record access procedures'' above.
Record source categories:
Data for actuarial valuation are provided by organizations
responsible for pension funds and pay records, namely the Department of
State and the National Finance Center.
Exemptions claimed for the system:
None.
TREASURY/DO .015
System name:
Political Appointee Files--Treasury/DO.
System location:
Department of the Treasury, Departmental Offices, 1500 Pennsylvania
Avenue, NW., Washington, DC 20220.
Categories of individuals covered by the system:
Individuals who may possibly be appointed to political positions in
the Department of the Treasury, consisting of Presidential appointees
requiring Senate confirmation; non-career Senior Executive Service
appointees; and Schedule C appointees.
Categories of records in the system:
Files may consist of the following: Referral letters; White House
clearance letters; information about an individual's professional
licenses (if applicable); IRS results of inquiries; notation of
National Agency Check (NAC) results (favorable or otherwise); internal
memoranda concerning an individual; Financial Disclosure Statements
(Standard Form 278); results of inquiries about the individual;
Questionnaire for National Security Positions Standard Form 86;
Personal Data Statement and General Counsel Interview sheets; published
works including books, newspaper and magazine articles, and treatises
by the individual; newspaper and magazine articles written about or
referring to the individual; and or articles containing quotes by the
individual, and other correspondence relating to the selection and
appointment of political appointees.
Authority for maintenance of the system:
5 U.S.C. 3301, 3302 and E.O. 10577.
Purpose(s):
These records are used by authorized personnel within the
Department to determine a potential candidate's suitability for
appointment to non-career positions within the Department of the
Treasury.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be disclosed to:
(1) The Office of Personnel Management, Merit Systems Protection
Board, Equal Employment Opportunity Commission, and General Accounting
Office for the purpose of properly administering Federal personnel
systems or other agencies' systems in accordance with applicable laws,
Executive Orders, and regulations;
(2) A Federal, state, local or foreign agency maintaining civil,
criminal or other relevant enforcement information or other pertinent
information which has requested information relevant to or necessary to
the requesting agency's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit;
(3) A court, magistrate, or administrative tribunal in the course
of presenting evidence, including disclosures to opposing counsel or
witnesses in the course of civil discovery, litigation or settlement
negotiations in response to a subpoena where relevant or potentially
relevant to a proceeding, or in connection with criminal law
proceedings;
(4) A congressional office in response to an inquiry made at the
request of the individual to whom the record pertains;
(5) Third parties during the course of an investigation to the
extent necessary to obtain information pertinent to the investigation;
and
(6) Appropriate Federal, state, local or foreign agencies
responsible for investigating or prosecuting the violation of, or for
implementing a statute, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Correspondence and forms in file folders. Records are also
maintained in electronic media.
Retrievability:
Information accessed by last name of individual and Social Security
Number.
Safeguards:
Building employs security guards. Data is kept in locked file
cabinets and is accessible to authorized personnel only. Electronic
media is password protected.
[[Page 46272]]
Retention and disposal:
Records are destroyed at the end of the Presidential administration
during which the individual is hired. For non-selectees, records of
individuals who are not hired are destroyed one year after the file is
closed, but not later than the end of the Presidential administration
during which the individual is considered.
System manager(s) and address:
White House Liaison, Department of the Treasury, Rm 3024, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be informed if they are named in this system
or gain access to records maintained in the system must submit a
written, signed request containing the following elements: (1) Identify
the record system; (2) identify the category and type of records
sought; and (3) provide at least two items of secondary identification
(date of birth, employee identification number, dates of employment, or
similar information). Address inquiries to: Director, Disclosure
Services, Department of the Treasury, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220.
Record access procedures:
See ``Record Notification procedure'' above.
Contesting record procedures:
See ``Record Notification procedure'' above.
Record source categories:
Records are submitted by the individuals and compiled from
interviews with those individuals seeking non-career positions.
Additional sources may include The White House, Office of Personnel
Management, Internal Revenue Service, Department of Justice and
international, state, and local jurisdiction law enforcement components
for clearance documents, and other correspondence and public record
sources.
Exemptions claimed for the system:
None.
TREASURY/DO .060
System name:
Correspondence Files and Records on Dissatisfaction--Treasury/DO.
System location:
Office of Human Resources Strategy and Solutions, Suite 1200, 1750
Pennsylvania Avenue, NW., Department of the Treasury, Washington, DC
20220.
Categories of individuals covered by the system:
Former and current Department employees who have submitted
complaints to the Office of Human Resources Strategy and Solutions
(HRSS) or whose correspondence concerning a matter of dissatisfaction
has been referred to HRSS.
Categories of records in the system:
Correspondence dealing with former and current employee complaints.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain a record of correspondence related to inquiries filed
with the Departmental Office of Human Resources Strategy and Solutions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Disclose pertinent information to appropriate Federal, state,
and local, or foreign agencies responsible for investigating or
prosecuting the violations of, or for enforcing or implementing, a
statute, rule, regulation, order, or license, where the disclosing
agency becomes aware of an indication of a violation or potential civil
or criminal law or regulation;
(2) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(3) Provide information to unions recognized as exclusive
bargaining representatives under the Civil Service Reform Act of 1978,
5 U.S.C. 7111 and 7114;
(4) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders, file cabinets.
Retrievability:
By bureau and employee name.
Safeguards:
Maintained in filing cabinet and released only to Office of
Personnel staff or other Treasury officials on a need-to-know basis.
Retention and disposal:
Records are maintained and disposed of in accordance with
Department of the Treasury Directive 25-02, ``Records Disposition
Management Program'' and the General Records Schedule.
System manager(s) and address:
Director, Office of Human Resources Strategy and Solutions,
Department of the Treasury, Washington, DC 20220.
Notification procedure:
Persons inquiring as to the existence of a record on themselves may
contact: Director, Office of Human Resources Strategy and Solutions,
Suite 1200, 1750 Pennsylvania Avenue, NW., Department of the Treasury,
Washington, DC 20220. The inquiry must include the individual's name
and employing bureau.
Record access procedures:
Persons seeking access to records concerning themselves may
contact: Office of Human Resources Strategy and Solutions, Suite 1200,
1750 Pennsylvania Avenue, NW., Department of the Treasury, Washington,
DC 20220. The inquiry must include the individual's name and employing
bureau.
Contesting record procedures:
Individuals wishing to request amendment to their records to
correct factual error should contact the Director, Office of Human
Resources Strategy and Solutions at the address shown in Access, above.
They must furnish the following information: (a) Name; (b) employing
bureau; (c) the information being contested; (d) the reason why they
believe information is untimely, inaccurate, incomplete, irrelevant, or
unnecessary.
Record source categories:
Current and former employees, and/or representatives, employees'
relatives, general public, Congressmen, the White House, management
officials.
Exemptions claimed for the system:
None.
TREASURY/DO .111
System name:
Office of Foreign Assets Control Census Records--Treasury/DO.
System location:
Office of Foreign Assets Control Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Although most reporters in the Census in this system of records are
not individuals, such censuses reflect some small number of U.S.
individuals as
[[Page 46273]]
holders of assets subject to U.S. jurisdiction which are blocked under
the various sets of Treasury Department regulations involved.
Categories of records in the system:
Reports of several censuses of U.S.-based, foreign-owned assets
which have been blocked at any time since 1940 under Treasury
Department regulations found under 31 CFR part 1, subpart B, Chapter V.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 22 U.S.C. 2370(a); 50 U.S.C. 1701 et seq.;
and 31 CFR Ch. V.
Purpose(s):
This system of records is used to identify and administer assets of
blocked foreign governments, groups or persons. Censuses are undertaken
at various times for specific sanction programs to identify the
location, type, and value of property frozen under OFAC administered
programs. The information is obtained by requiring reports from all
U.S. holders of blocked property subject to the reporting requirements.
The reports normally contain information such as the name of the U.S.
holder, the foreign account party, location of the property and a
description of the type and value of the asset. In some instances,
adverse claims by U.S. persons against the blocked property are also
reported.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Disclose information to appropriate state agencies which are
concerned with or responsible for abandoned property;
(2) Disclose information to foreign governments in accordance with
formal or informal international agreements;
(3) Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(4) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation;
(5) Provide certain information to appropriate senior foreign-
policy-making officials in the Department of State.
(6) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosure to
opposing counsel or witnesses, in the course of civil discovery,
litigation, or settlement negotiations in response to a subpoena or in
connection with criminal law proceedings when the United States or any
agency or subdivision thereof is a party to any of the above
proceedings and such information is determined to be arguably relevant
to the proceeding.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records stored on magnetic media and/or as hard copy documents.
Retrievability:
By name of holder or custodian or owner of blocked property.
Safeguards:
Locked room, or in locked file cabinets located in areas in which
access is limited to Foreign Assets Control employees. Computerized
records are password-protected.
Retention and disposal:
Records are periodically updated and maintained as long as needed.
When no longer needed, records are retired to Federal Records Center or
destroyed in accordance with established procedures.
System Manager and address:
Director, Office of Foreign Assets Control, Department of the
Treasury, NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in the system, must
submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and type of
record sought; and (3) Provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Address inquiries to Director,
Disclosure Services (See ``Record access procedures'' below.)
Record access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Contesting Record procedures:
See ``Record access procedures'' above.
Record source categories:
Custodians or other holders of blocked assets.
Exemptions claimed for the system:
None.
TREASURY/DO .114
System name:
Foreign Assets Control Enforcement Records--Treasury/DO.
System location:
Office of Foreign Assets Control, Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Individuals who have engaged in or who are suspected of having
engaged in transactions and activities prohibited by Treasury
Department regulations found at 31 CFR Part 1, subpart B, Chapter V.
Categories of records in the system:
Documents related to suspected or actual violations of relevant
statutes and regulations administered by the Office of Foreign Assets
Control.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 50 U.S.C. 1701 et. seq.; 22 U.S.C. 287(c); 22
U.S.C. 2370(a); and 31, CFR, Chapter V; Pub. L. 99-440, 100 Stat. 1086,
as amended by Pub. L. 99-631, 100 Stat. 3515.
Purpose(s):
This system of records is used to document investigation and
administrative action taken with respect to individuals and
organizations suspected of violating statutes and regulations
administered and enforced by the Office of Foreign Assets Control.
Possible violations may relate to financial, commercial or other
transactions with foreign governments, entities or special designated
nationals. Suspected criminal violations are investigated primarily by
the U.S. Customs Service. Non-criminal cases are pursued
administratively for civil penalty consideration. This system is also
used to generate statistical information on the number of
investigative, criminal and civil cases upon which action has been
taken.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Disclose information to appropriate Federal agencies
responsible for investigating or prosecuting the violations of, or for
enforcing or implementing, a statute, rule, regulation, order or
license;
(2) Disclose information to a Federal, state, or local agency,
maintaining civil, criminal or other relevant enforcement or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's official functions;
[[Page 46274]]
(3) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosure to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in response to a subpoena or
in connection with criminal law proceedings when the United States or
any agency or subdivision thereof is a party to any of the above
proceedings and such information is determined to be arguably relevant
to the proceeding;
(4) Disclose information to foreign governments in accordance with
formal or informal international agreements;
(5) Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and magnetic media.
Retrievability:
By name of individual.
Safeguards:
Folders in locked file cabinets are located in areas of limited
accessibility. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated and are maintained as long as
necessary. When no longer needed, records are retired to Federal
Records Center or destroyed in accordance with established procedures.
System manager(s) and address:
Director, Office of Foreign Assets Control, U.S. Treasury
Department, Washington, DC 20220.
Notification procedure:
This system of records may not be accessed for purposes of
determining if the system contains a record pertaining to a particular
individual.
Record Access procedures:
This system of records may not be accessed for purposes of
inspection or for contest of content of records.
Contesting Record procedures:
See ``Record access procedures'' above.
Record source categories:
From the individual, from the Office of Foreign Assets Control
investigations, and from other federal, state or local agencies.
exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4), (G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2).
TREASURY/DO .118
System name:
Foreign Assets Control Licensing Records--Treasury/DO.
System location:
Office of Foreign Assets Control, Treasury Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Applicants for permissive and authorizing licenses under Treasury
Department regulations found at 31 CFR part 1 subpart B, Chapter V.
Categories of records in the system:
Applications for Treasury licenses--together with related and
supporting documentary material and copies of licenses issued.
Authority for maintenance of the system:
50 U.S.C., App. 5(b); 22 U.S.C. 2370(a); 22 U.S.C. 287(c); 50
U.S.C. 1701 et seq. 31 CFR, Chapter V; Pub. L. 99-440, 100 Stat. 1086,
as amended by Pub. L. 99-631, 100 Stat. 3515.
Purpose(s):
This system of records contains requests from U.S. and foreign
persons or entities for licenses to engage in commercial transactions,
travel to foreign countries, to unblock property and bank accounts or
to engage in other activities otherwise prohibited under economic
sanctions administered by the Office of Foreign Assets Control. This
system is also used during enforcement investigations, when applicable,
and to generate information used in required reports to the Congress by
the President on the number and types of licenses granted or denied
under particular sanction programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Disclose information to appropriate Federal, state, local, or
foreign agencies responsible for investigating or prosecuting the
violation of, or for enforcing or implementing, a statute, rule,
regulation, order, or license;
(2) Disclose information to the Department of State, Commerce,
Defense or other federal agencies, in connection with Treasury
licensing policy or other matters of mutual interest or concern;
(3) Disclose information to a Federal, State, or local agency,
maintaining civil, criminal or other relevant enforcement or other
pertinent information, which has requested information relevant to or
necessary to the requesting agency's official functions;
(4) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosure to
opposing counsel or witnesses, in the course of civil discovery,
litigation, or settlement negotiations in response to a subpoena or in
connection with criminal law proceedings when the United States or any
agency or subdivision thereof is a party to any of the above
proceedings and such information is determined to be arguably relevant
to the proceeding;
(5) Disclose information to foreign governments in accordance with
formal or informal international agreements;
(6) Provide information to a Congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders and magnetic media.
Retrievability:
The records are retrieved by license or letter number.
Safeguards:
Folders in locked filed cabinets are located in areas of limited
accessibility. Computerized records are password-protected.
Retention and disposal:
Records are periodically updated to reflect changes and maintained
as long as needed. When no longer needed, records are retired to
Federal Records Center or destroyed in accordance with established
procedures.
System manager(s) and addresses:
Director, Office of Foreign Assets Control, Department of the
Treasury, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in the system of
records, must submit a written request containing the following
elements: (1)
[[Page 46275]]
Identify the record system; (2) identify the category and type of
records sought; and (3) provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information). Address inquiries to Director,
Disclosure Services (See ``Record access procedures'' below).
Record access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Applicants for Treasury Department licenses under regulations
administered by the Office of Foreign Assets Control.
Exemptions claimed for the system:
None.
TREASURY/DO .144
System name:
General Counsel Litigation Referral and Reporting System--Treasury/
DO.
System location:
U.S. Department of the Treasury, Office of the General Counsel,
1500 Pennsylvania Avenue NW., Washington, DC 20220.
Categories of individuals covered by the system:
Persons who are parties, plaintiff or defendant, in civil
litigation or administrative proceedings involving or concerning the
Department of the Treasury or its officers or employees. The system
does not include information on every civil litigation or
administrative proceeding involving the Department of the Treasury or
its officers and employees.
Categories of records in the system:
This system of records consists of a computer data base containing
information related to litigation or administrative proceedings
involving or concerning the Department of the Treasury or its officers
or employees.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 301.
Purpose(s):
The purposes of this system are: (1) To record service of process
and the receipt of other documents relating to litigation or
administrative proceedings involving or concerning the Department of
the Treasury or its officers or employees, and (2) to respond to
inquiries from Treasury personnel, personnel from the Justice
Department and other agencies, and other persons concerning whether
service of process or other documents have been received by the
Department in a particular litigation or proceeding.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Disclose pertinent information to appropriate Federal, State,
or foreign agencies responsible for investigating or prosecuting the
violations of, or for implementing, a statute, rule, regulation, order,
or license, where the disclosing agency becomes aware of an indication
of a violation or potential violation of civil or criminal law or
regulation;
(2) Disclose information to a Federal, State, or local agency,
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, which has requested information
relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an individual, or issuance of a security
clearance, license, contract, grant, or other benefit;
(3) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations in response to a subpoena or in
connection with criminal law proceedings;
(4) Disclose information to foreign governments in accordance with
formal or informal international agreements;
(5) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(6) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The computerized records are maintained in computer data banks.
Printouts of the data may be made.
Retrievability:
The computer information is accessible by the name of the non-
government party involved in the case, and case number and docket
number (when available).
Safeguards:
Access is limited to employees who have a need for such records in
the course of their work. Background checks are made on employees. All
facilities where records are stored have access limited to authorized
personnel.
Retention and disposal:
The computer information is maintained for up to ten years or more
after a record is created.
System manager(s) and address:
Office of the General Counsel, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1) An
identification of the record system; and (2) an identification of the
category and type of records sought. This system contains records that
are exempt under 31 CFR l.36; 5 U.S.C. 552a(j)(2); and (k)(2). Address
inquiries to: Director, Disclosure Services, Department of the
Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
Record access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Treasury Department Legal Division, Department of Justice Legal
Division.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(d), (e)(1), (e)(3),
(e)(4)(G), (H), (I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(2).
TREASURY/DO .149
System name:
Foreign Assets Control Legal Files--Treasury/DO
System location:
U.S. Department of the Treasury, Room 3133-Annex, Washington, DC
20220.
Categories of individuals covered by the system:
Persons who are or who have been parties in litigation or other
matters
[[Page 46276]]
involving the Office of Foreign Assets Control or involving statutes
and regulations administered by the agency found at 31 CFR part 1
subpart B, chapter V.
Categories of records in the system:
Information and documents relating to litigation and other matters
involving the Office of Foreign Assets Control or statutes and
regulations administered by the agency.
Authority for maintenance of the system:
31 U.S.C. 301; 50 U.S.C. App. 5(b); 50 U.S.C. 1701 et seq; 22
U.S.C. 278(c); and other statutes relied upon by the President to
impose economic sanctions.
Purpose(s):
These records are maintained to assist in providing legal advice to
the Office of Foreign Assets Control and the agency regarding issues of
compliance, enforcement, investigation, and implementation of matters
related to the Office of Foreign Assets Control and the statutes and
regulations administered by the agency. These records are also
maintained to assist in litigation related to the Office of Foreign
Assets Control and the statutes and regulations administered by the
agency.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Prosecute, defend, or intervene in litigation related to the
Office of Foreign Assets Control and statutes and regulations
administered by the agency, (2) Disclose pertinent information to
appropriate Federal, State, local, or foreign agencies responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing, a statute, rule, regulation, order or license;
(3) Disclose information to a Federal, State, or local agency,
maintaining civil, criminal, or other relevant enforcement information
or other pertinent information, which has requested information
relevant to or necessary to the requesting agency's official functions;
(4) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations or in connection with criminal
law proceedings;
(5) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Folders in file cabinets and magnetic media.
Retrievability:
By name of private plaintiff or defendant.
Safeguards:
Folders are in lockable file cabinets located in areas of limited
public accessibility. Where records are maintained on computer hard
drives, access to the files is password-protected.
Retention and disposal:
Records are periodically updated and maintained as long as needed.
System manager(s) and address:
Chief Counsel, Foreign Assets Control, U.S. Treasury Department,
1500 Pennsylvania Ave., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or gain access to records maintained in this system must
submit a written request containing the following elements: (1)
Identify the record system; (2) identify the category and type of
records sought; and (3) provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information).
Record access procedures:
Address inquiries to: Director, Disclosure Services, Department of
the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
Pleadings and other materials filed during course of a legal
proceeding, discovery obtained pursuant to applicable court rules;
materials obtained by Office of Foreign Assets Control investigation;
material obtained pursuant to requests made to other Federal agencies;
orders, opinions, and decisions of courts.
Exemptions claimed for the system:
None.
TREASURY/DO .190
System name:
Investigation Data Management System--Treasury/DO.
System location:
Office of Inspector General (OIG), Assistant Inspector General for
Investigations, 740 15th St., NW., Suite 500, Washington, DC 20220.
Categories of individuals covered by the system:
(A) Current and former employees of the Department of the Treasury
and persons whose association with current and former employees relate
to the alleged violations of the rules of ethical conduct for employees
of the Executive Branch, the Department's supplemental standards of
ethical conduct, the Department's rules of conduct, merit system
principles, or any other criminal or civil misconduct, which affects
the integrity or facilities of the Department of Treasury. The names of
individuals and the files in their names may be: (1) Received by
referral; or (2) initiated at the discretion of the Office of the
Inspector General in the conduct of assigned duties.
(B) Individuals who are: Witnesses; complainants; confidential or
non-confidential informants; suspects; defendants; parties who have
been identified by the Office of the Inspector General, constituent
units of the Department of Treasury, other agencies, or members of the
general public in connection with the authorized functions of the
Inspector General.
(C) Current and former senior Treasury and bureau officials who are
the subject of investigations initiated and conducted by the Office of
the Inspector General.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal or administrative misconduct.
(B) Investigative files which include: (1) Reports of
investigations to resolve allegations of misconduct or violations of
law with related exhibits, statements, affidavits, records or other
pertinent documents obtained during investigations; (2) transcripts and
documentation concerning requests and approval for consensual
(telephone and consensual non-telephone) monitoring; (3) reports from
or to other law enforcement bodies; (4) prior criminal or noncriminal
records of individuals as they relate to the investigations; and (5)
reports of actions taken by management personnel regarding misconduct
and reports of legal actions resulting from violations of statutes
referred to the Department of Justice for prosecution.
Authority for maintenance of the system:
The Inspector General Act of 1978, as amended, 5 U.S.C.A. App.3; 5
U.S.C. 301; 31 U.S.C. 321.
[[Page 46277]]
Purpose(s):
The records and information collected and maintained in this system
are used to (a) receive allegations of violations of the standards of
ethical conduct for employees of the Executive Branch (5 CFR part
2635), the Treasury Department's supplemental standards of ethical
conduct (5 CFR part 3101), the Treasury Department's rules of conduct
(31 CFR part 0), the Office of Personnel Management merit system
principles, or any other criminal or civil law; and to (b) prove or
disprove allegations which the OIG receives that are made against
Department of the Treasury employees, contractors and other individuals
associated with the Department of the Treasury.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Disclose information to the Department of Justice in connection
with actual or potential criminal prosecution or civil litigation;
(2) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing a statute, rule,
regulation, order, or license, or where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation;
(3) Disclose information to a Federal, State, or local agency,
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, which has requested information
relevant to or necessary to the requesting agency's or the bureau's
hiring or retention of an employee, or the issuance of a security
clearance, license, contract, grant, or other benefit;
(4) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations in response to a subpoena or in
connection with criminal law proceedings;
(5) Provide information to a congressional office in response to an
inquiry made at the request of the individual to whom the record
pertains;
(6) Provide information to the news media in accordance with
guidelines contained in 28 CFR 50.2 which relate to an agency's
functions relating to civil and criminal proceedings;
(7) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation.
(8) Provide information to the Office of Inspector General of the
Department of Justice with respect to investigations involving the
Bureau of Alcohol, Tobacco and Firearms; and to the Office of Inspector
General of the Department of Homeland Security with respect to
investigations involving the Secret Service, Customs Service, and
Federal Law Enforcement Training Center, for such OIGs' use in carrying
out their obligations under the Inspector General Act of 1978, as
amended, 5 U.S.C.A. Appendix 3 and other applicable laws; and
(9) Provide information to other OIGs, the President's Council on
Integrity and Efficiency, and the Department of Justice, in connection
with their review of Treasury OIG's exercise of statutory law
enforcement authority, pursuant to section 6(e) of the Inspector
General Act of 1978, as amended, 5 U.S.C.A. Appendix 3.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file jackets are maintained in a secured locked
room. Electronic records are password protected; backup media are
maintained in a locked room.
Retrievability:
Paper: Alphabetically by name of subject or complainant, by case
number, and by special agent name and/or employee identifying number.
Electronic: by complainant, subject, victim, or witness case number,
and by special agent name.
Safeguards:
Paper records and word processing disks are maintained in locked
safes and all access doors are locked when offices are vacant. Building
has guard; entrance to building, elevators, and other spaces are all
keycard-controlled. Automated records are controlled by computer
security programs which limit access to authorized personnel who have a
need for such information in the course of their duties. The records
are available to Office of Inspector General personnel who have an
appropriate security clearance on a need-to-know basis.
Retention and disposal:
Investigative files are stored on-site for 3 years at which time
they are retired to the Federal Records Center, Suitland, Maryland, for
temporary storage. In most instances, the files are destroyed when 10
years old. However, if the files have significant or historical value,
they are retained on-site for 3 years, then retired to the Federal
Records Center for 22 years, at which time they are transferred to the
National Archives and Records Administration for permanent retention.
In addition, an automated investigative case tracking system is
maintained on-site; the case information deleted 15 years after the
case is closed, or when no longer needed, whichever is later.
System manager(s) and address:
Assistant Inspector General for Investigations, 740 15th St., NW.,
Suite 500, Washington, DC 20220.
Notification procedure:
Pursuant to 5 U.S.C. 552a(j)(2) and (k)(2), this system of records
may not be accessed for purposes of determining if the system contains
a record pertaining to a particular individual, or for contesting the
contents of a record.
Record Access procedures:
See ``Notification procedure'' above.
Contesting Record procedures:
See ``Notification procedure'' above.
Record source categories:
See ``Categories of individuals'' above. This system contains
investigatory material for which sources need not be reported.
Exemptions claimed for the system:
This system is exempt from 5 U.S.C. 552a(c)(3), (c)(4), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H),
(e)(4)(I), (e)(5), (e)(8), (f), and (g) of the Privacy Act pursuant to
5 U.S.C. 552a(j)(2) and (k)(2). See 31 CFR 1.36.
TREASURY/DO .191
System name:
Human Resources and Administrative Records System.
System location:
Office of Inspector General (OIG), all headquarters, and field
offices. (See appendix A.)
Categories of individuals covered by the system:
Current and former employees of the Office of Inspector General.
Categories of records in the system:
(1) Personnel system records contain OIG employee name, positions,
grade and series, salaries, and related information pertaining to OIG
employment; (2) Tracking records contain status information on audits,
[[Page 46278]]
investigations and other projects; (3) Timekeeping records contain
hours worked and leave taken;
(4) Equipment inventory records contain information about
government property assigned to employees; (5) Travel records contain
information regarding dates, locations, costs, and purpose of official
travel conducted by employees; (6) Training records contain information
about dates, locations, subjects, and costs of training provided to
employees.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended; (5 U.S.C. Appendix 3) 5
U.S.C. 301; and 31 U.S.C. 321.
Purpose(s):
The purpose of the system is to: (1) Manage effectively OIG
resources and projects; (2) capture accurate statistical data for
mandated reports to the Secretary of the Treasury, the Congress, the
Office of Management and Budget, the General Accounting Office, the
President's Council on Integrity and Efficiency and other Federal
agencies; and (3) provide accurate information critical to the OIG's
daily operation, including employee performance and conduct.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
(1) A record from the system of records, which indicates, either by
itself or in combination with other information, a violation or
potential violation of law, whether civil or criminal, and whether
arising by statute, regulation, rule or order issued pursuant thereto,
may be disclosed to a Federal, State, local, or foreign agency or other
public authority that investigates or prosecutes or assists in
investigation or prosecution of such violation, or enforces or
implements or assists in enforcement or implementation of the statute,
rule, regulation or order.
(2) A record from the system of records may be disclosed to a
Federal, State, local, or foreign agency or other public authority, or
to private sector (i.e., non-Federal, State, or local government)
agencies, organizations, boards, bureaus, or commissions, which
maintain civil, criminal, or other relevant enforcement records or
other pertinent records, such as current licenses in order to obtain
information relevant to an agency investigation, audit, or other
inquiry, or relevant to a decision concerning the hiring or retention
of an employee or other personnel action, the issuance of a security
clearance, the letting of a contract, the issuance of a license, grant
or other benefit, the establishment of a claim, or the initiation of
administrative, civil, or criminal action. Disclosure to the private
sector may be made only when the records are properly constituted in
accordance with agency requirements; are accurate, relevant, timely and
complete; and the disclosure is in the best interest of the Government.
(3) A record from the system of records may be disclosed to a
Federal, State, local, or foreign agency or other public authority, or
private sector (i.e., non-Federal, State, or local government)
agencies, organizations, boards, bureaus, or commissions, if relevant
to the recipient's hiring or retention of an employee or other
personnel action, the issuance of a security clearance, the letting of
a contract, the issuance of a license, grant or other benefit, the
establishment of a claim, or the initiation of administrative, civil,
or criminal action. Disclosure to the private sector may be made only
when the records are properly constituted in accordance with agency
requirements; are accurate, relevant, timely and complete; and the
disclosure is in the best interest of the Government.
(4) A record from the system of records may be disclosed to any
source, private or public, to the extent necessary to secure from such
source information relevant to a legitimate agency investigation,
audit, or other inquiry.
(5) A record from the system of records may be disclosed to the
Department of Justice when the agency or any component thereof, or any
employee of the agency in his or her official capacity, or any employee
of the agency in his or her individual capacity where the Department of
Justice has agreed to represent the employee, or the United States,
where the agency determines that litigation is likely to affect the
agency or any of its components, is a party to litigation or has an
interest in such litigation, and the use of such records by the
Department of Justice is deemed by the agency to be relevant and
necessary to the litigation and the use of such records by the
Department of Justice is therefore deemed by the agency to be for a
purpose that is compatible with the purpose for which the agency
collected the records.
(6) A record from the system of records may be disclosed in a
proceeding before a court or adjudicative body, when the agency, or any
component thereof, or any employee of the agency in his or her official
capacity, or any employee of the agency in his or her individual
capacity where the agency has agreed to represent the employee, or the
United States, where the agency determines that litigation is likely to
affect the agency or any of its components, is a party to litigation or
has an interest in such litigation, and the agency determines that use
of such records is relevant and necessary to the litigation and the use
of such records is therefore deemed by the agency to be for a purpose
that is compatible with the purpose for which the agency collected the
records.
(7) A record from the system of records may be disclosed to a
Member of Congress from the record of an individual in response to an
inquiry from the Member of Congress made at the request of that
individual.
(8) A record from the system of records may be disclosed to the
Department of Justice and the Office of Government Ethics for the
purpose of obtaining advice regarding a violation or possible violation
of statute, regulation, rule or order or professional ethical
standards.
(9) A record from the system of records may be disclosed to the
Office of Management and Budget for the purpose of obtaining its advice
regarding agency obligations under the Privacy Act, or in connection
with the review of private relief legislation.
(10) A record from the system of records may be disclosed in
response to a subpoena issued by a Federal agency having the power to
subpoena records of other Federal agencies if, after careful review,
the OIG determines that the records are both relevant and necessary to
the requesting agency's needs and the purpose for which the records
will be used is compatible with the purpose for which the records were
collected.
(11) A record from the system of records may be disclosed to a
private contractor for the purpose of compiling, organizing, analyzing,
programming, or otherwise refining records subject to the same
limitations applicable to U.S. Department of Treasury officers and
employees under the Privacy Act.
(12) A record from the system of records may be disclosed to a
grand jury agent pursuant either to a Federal or State grand jury
subpoena, or to a prosecution request that such record be released for
the purpose of its introduction to a grand jury provided that the Grand
Jury channels its request through the cognizant U.S. Attorney, that the
U.S. Attorney has been delegated the authority to make such requests by
the Attorney General, that she or he actually signs the letter
specifying both the information sought and the law enforcement purpose
[[Page 46279]]
served. In the case of a State Grand Jury subpoena, the State
equivalent of the U.S. Attorney and Attorney General shall be
substituted.
(13) A record from the system of records may be disclosed to a
Federal agency responsible for considering suspension or debarment
action where such record would be relevant to such action.
(14) A record from the system of records may be disclosed to an
entity or person, public or private, where disclosure of the record is
needed to enable the recipient of the record to take action to recover
money or property of the United States Department of the Treasury,
where such recovery will accrue to the benefit of the United States, or
where disclosure of the record is needed to enable the recipient of the
record to take appropriate disciplinary action to maintain the
integrity of the programs or operations of the Department of the
Treasury.
(15) A record from the system of records may be disclosed to a
Federal, state, local or foreign agency, or other public authority, for
use in computer matching programs to prevent and detect fraud and abuse
in benefit programs administered by an agency, to support civil and
criminal law enforcement activities of any agency and its components,
and to collect debts and over payments owed to any agency and its
components.
(16) A record from the system of records may be disclosed to a
public or professional licensing organization when such record
indicates, either by itself or in combination with other information, a
violation or potential violation of professional standards, or reflects
on the moral, educational, or professional qualifications of an
individual who is licensed or who is seeking to become licensed.
(17) A record from the system of records may be disclosed to the
Office of Management and Budget, the General Accounting Office, the
President's Council on Integrity and Efficiency and other Federal
agencies for mandated reports.
Disclosure to consumer reporting agencies:
Debtor information may also be furnished, in accordance with 5
U.S.C. 552a(b)(12) and 31 U.S.C. 3711(e) to consumer reporting agencies
to encourage repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and electronic media.
Retrievability:
Most files are accessed by OIG employee name, employee identifying
number, office, or cost center. Some records may be accessed by
entering equipment or project information.
Safeguards:
Access is limited to OIG employees who have a need for such
information in the course of their work. Offices are locked. A central
network server is password protected by account name and user password.
Access to records on electronic media is controlled by computer
passwords. Access to specific system records is further limited and
controlled by computer security programs limiting access to authorized
personnel.
Retention and disposal:
Records are periodically updated to reflect changes and are
retained as long as necessary.
System manager(s) and address:
Assistant Inspector General for Management, 740 15th St. NW., Suite
510, Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in this system may
inquire in accordance with instructions appearing in 31 CFR part 1,
subpart C, appendix A. Individuals must submit a written request
containing the following elements: (1) Identify the record system; (2)
identify the category and type of records sought; and (3) provide at
least two items of secondary identification (date of birth, employee
identifying number, dates of employment or similar information).
Address inquiries to Director, Disclosure Services (see ``Record access
procedures'' below).
Record access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Contesting records Procedures:
See ``Record access procedures'' above.
Record source categories:
Current and former employees of the OIG.
Exemptions claimed for the system:
None.
Appendix A--Addresses of OIG Offices
Headquarters:
Department of the Treasury, Office of Inspector General, Office
of the Assistant Inspector General for Management Services, 740 15th
Street, NW., Suite 510, Washington, DC 20220.
Field Locations:
Contact System Manager for addresses.
Department of the Treasury, Office of Inspector General, Office
of Audit, San Francisco, CA 94105.
Department of the Treasury, Office of Inspector General, Office
of Audit, Boston, MA 02110-3350.
TREASURY/DO .193
System name:
Employee Locator and Automated Directory System--Treasury/DO.
System location:
Main Treasury Building, 1500 Pennsylvania Ave., NW., Washington, DC
20220.
Categories of individuals covered by the system:
Information on all employees of the Department is maintained in the
system if the proper locator card is provided.
Categories of records in the system:
Name, office telephone number, bureau, office symbol, building,
room number, home address and phone number, and person to be notified
in case of emergency.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The Employee Locator and Automated Directory System is maintained
for the purpose of providing current locator and emergency information
on all DO employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosures are not made outside of the Department.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard copy and magnetic media.
Retrievability:
Indexed by name.
Safeguards:
All records, including computer system and all terminals are
located within secure space. Only authorized personnel have access.
[[Page 46280]]
Retention and disposal:
Records are kept as long as needed, updated periodically and
destroyed by burning.
System manager(s) and address:
Manager, Telephone Operator Services Branch, 1500 Pennsylvania
Ave., NW., Washington, DC 20220.
Notification procedure:
See ``System manager'' above.
Record Access procedures:
See ``System manager'' above.
Contesting Record procedures:
See ``System manager'' above.
Record source categories:
Information is provided by individual employees. Necessary changes
made if requested.
Exemptions claimed for the system:
None.
TREASURY/DO .194
System name:
Circulation System--Treasury.
System location:
Department of the Treasury, Library, Room 1318-MT, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
Categories of individuals covered by the system:
Employees who borrow library materials or receive library materials
on distribution. The system also contains records concerning
interlibrary loans to local libraries which are not subject to the
Privacy Act.
Categories of records in the system:
Records of items borrowed from the Treasury Library collection and
patron records are maintained on central computer. Records are
maintained by name of borrower, office locator information, and title
of publication.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Track circulation of library materials and their borrowers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to disclose information to a
congressional office in response to an inquiry made at the request of
the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic media.
Retrievability:
Data can be retrieved from the system by borrower name or bar code
number and publication title or its associated bar code number.
Safeguards:
Access to the system requires knowledge of password identification
codes and protocols for calling up the data files. Access to the
records is limited to staff of the Readers Services Branch who have a
need-to-know the information for the performance of their duties.
Retention and disposal:
Only current data are maintained on-line. Records for borrowers are
deleted when employee leaves Treasury.
System manager(s) and address:
Chief Librarian, Department of the Treasury, Room 1318-MT, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Notification procedure:
Inquiries should be addressed to: Director, Disclosure Services,
Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington DC
20220.
Record Access procedures:
See ``Notification procedure'' above.
Contesting Record procedures:
See ``Notification procedure'' above.
Record source categories:
Patron information records are completed by borrowers and library
staff.
Exemptions claimed for the system:
None.
TREASURY/DO .196
System name:
Security Information System--Treasury/DO.
System location:
Components of this system are located in the following offices
within the Departmental Offices: Office of Security, Room 3180 Treasury
Annex, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
Categories of individuals covered by the system:
(1) Department of the Treasury officials who classify documents
with a national security classification, i.e., Top Secret, Secret, or
Confidential.
(2) Each Department of the Treasury official, by name and position
title, who has been delegated the authority to downgrade and declassify
national security information and who is not otherwise authorized to
classify a document at its present classification level.
(3) Each Department of the Treasury official, by name and position
title, who has been delegated the authority for original classification
of national security information, exclusive of officials specifically
authorized original classification authority by Treasury Order 102-10.
(4) An alphabetical listing of Department of the Treasury employees
who have valid security violations as a result of the improper
handling, safeguarding, or storage of classified national security and
sensitive but unclassified information.
(5) Department of the Treasury personnel concerned with classified
national security and sensitive but unclassified use information who
have participated in a security orientation program regarding the
salient features of the security requirements and procedures for the
handling and safeguarding of such information.
Categories of records in the system:
The following records are maintained by the Director of Security
Programs: (1) Report of Authorized Downgrading and Declassification
Officials, (2) Report of Authorized Classifiers, (3) Record of Security
Violation, and (4) the Security Orientation Acknowledgment.
Authority for maintenance of the system:
Executive Order No. 12958 as amended, dated April 17, 1995, as
amended, and Office of Security Manual, TDP 71-10.
Purpose(s):
The system is designed to (1) oversee compliance with Executive
Order No. 12958 as amended and Departmental programming and
implementation, (2) ensure proper classification of national security
information, (3) record details of valid security violations and (4)
assist in determining the effectiveness of information security
programs affecting classified and sensitive but unclassified
information.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records may be used to disclose information to appropriate
Federal agencies and for enforcing or
[[Page 46281]]
implementing a statute, rule, regulation or order.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Hard Copy paper files.
Retrievability:
Manually filed and indexed by office or bureau, date, name of
official and position title, where appropriate.
Safeguards:
Secured in security equipment to which access is limited to
personnel with the need to know.
Retention and disposal:
With the exception of the Record of Security Violation, which is
maintained for a period of two years, and the Security Orientation
Acknowledgment, the remaining records are destroyed and/or updated on
an annual basis. Destruction is effected by shredding or other
comparable means.
System manager(s) and address:
Director of Security Programs, 3180 Treasury Annex, 1500
Pennsylvania Avenue NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access to records maintained in this system,
must submit a written request containing the following elements: (1)
Identify the record system; (2) Identify the category and types of
records sought; and (3) provide at least two items of secondary
identification (date of birth, employee identification number, dates of
employment or similar information) to the Director, Disclosure
Services. (See ``Record access procedures'' below).
Record access procedures:
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave., NW., Washington, DC 20220.
Contesting record procedures:
See ``Record access procedures'' above.
Record source categories:
The sources of the information are office and bureau employees of
the Department of the Treasury. The information concerning any security
violation is reported by Department of the Treasury security officials
and Department of State security officials as concerns Treasury
personnel attached to U.S. diplomatic posts or missions.
Exemptions claimed for the system:
None.
TREASURY/DO .202
System name:
Drug-Free Workplace Program Records--Treasury/DO.
System location:
Records are located within the Office of Human Resources for
Departmental Offices Advisory Services, Room 5224-MT, Department of the
Treasury, Departmental Offices, 1500 Pennsylvania Ave., NW.,
Washington, DC 20220
Categories of individuals covered by the system:
Employees of Departmental Offices.
Categories of records in the system:
Records related to selection, notification, testing of employees,
drug test results, and related documentation concerning the
administration of the Drug-Free Workplace Program within Departmental
Offices.
Authority for maintenance of the system:
Pub. L. 100-71; 5 U.S.C. 7301 and 7361; 21 U.S.C. 812; Executive
Order 12564, ``Drug-Free Federal Workplace''.
Purpose(s):
The system has been established to maintain records relating to the
selection, notification, and testing of Departmental Offices' employees
for use of illegal drugs and drugs identified in Schedules I and II of
21 U.S.C. 812.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records may be disclosed to a court of competent jurisdiction
where required by the United States Government to defend against any
challenge against any adverse personnel action.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records consist of paper records maintained in file folders and
magnetic media.
Retrievability:
Records are retrieved by name of employee, position, title, social
security number, I.D. number (if assigned), or any combination of
these.
Safeguards:
Records will be stored in secure containers, e.g., safes, locked
filing cabinets, etc. Access to such records is restricted to
individuals having direct responsibility for the administration of the
agency's Drug-Free Workplace Program. Procedural and documentary
requirements of Pub. L. 100-71 and the Department of Health and Human
Services Guidelines will be followed.
Retention and disposal:
Records are retained for two years and then destroyed by shredding,
burning, or, in case of magnetic media, erasure. Written records and
test results may be retained up to five years or longer when necessary
due to challenges or appeals of adverse action by the employee.
System manager(s) and address:
Departmental Offices, Office of Human Resources for Departmental
Offices, Department of the Treasury, 1500 Pennsylvania Ave., NW., Room
5224-MT, Washington, DC 20220.
Notification procedure:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Director, Disclosure Services, Departmental
Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Individuals
must furnish their full name, Social Security Number, the title,
series, and grade of the position they occupied, the month and year of
any drug test(s) taken, and verification of identity as required by 31
CFR part 1, subpart C, appendix A.
Record Access procedures:
Individuals seeking to determine whether this system of records
contains information about themselves should address written inquiries
to the attention of the Director, Disclosure Services, Departmental
Offices, 1500 Pennsylvania Ave., NW., Washington, DC 20220. Individuals
must furnish their full name, Social Security Number, the title,
series, and grade of the position they occupied, the month and year of
any drug test(s) taken, and verification of identity as required by 31
CFR part 1, subpart C, appendix A.
Contesting Record procedures:
The Department of the Treasury rules for accessing records, for
contesting contents, and appealing initial determinations by the
individual concerned are published in 31 CFR part 1, subpart A,
appendix A.
Record source categories:
Records are obtained from the individual to whom the record
pertains; Departmental Offices employees involved in the selection and
notification of individuals to be tested;
[[Page 46282]]
contractor laboratories that test urine samples for the presence of
illegal drugs; Medical Review Officers; supervisors and managers and
other Departmental Offices official engaged in administering the Drug-
Free Workplace Program; the Employee Assistance Program, and processing
adverse actions based on drug test results.
Exemptions claimed for the system:
None.
TREASURY/DO .207
System name:
Waco Administrative Review Group Investigation--Treasury/DO.
System location:
(a) Department of the Treasury, 1500 Pennsylvania Ave., NW.
Washington, DC 20220.
(b) Bureau of Alcohol, Tobacco, Firearms And Explosives (ATFE), 650
Massachusetts Avenue, NW., Washington, DC 20226.
Categories of individuals covered by the system:
(A) Individuals who were employees or former employees of the
Department of the Treasury and its bureaus and persons whose
associations with current and former employees relate to the former
Bureau of Alcohol, Tobacco & Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas on February
28, 1993, or any other criminal or civil misconduct, which affects the
integrity or facilities of the Department of the Treasury. The names of
individuals and the files in their names may be: (1) Received by
referral; or (2) developed in the course of the investigation.
(B) Individuals who were: Witnesses; complainants; confidential or
non-confidential informants; suspects; defendants who have been
identified by the former Office of Enforcement, constituent units of
the Department of the Treasury, other agencies, or members of the
general public in connection with the authorized functions of the
former Office of Enforcement.
(C) Members of the general public who provided information
pertinent to the investigation.
Categories of records in the system:
(A) Letters, memoranda, and other documents citing complaints of
alleged criminal misconduct pertinent to the events leading to the
former Bureau of Alcohol, Tobacco & Firearms execution of search and
arrest warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993.
(B) Investigative files that include:
(1) Reports of investigations to resolve allegations of misconduct
or violations of law and to comply with the President's specific
directive for a fact finding report on the events leading to the former
Bureau of Alcohol, Tobacco & Firearms execution of search and arrest
warrants at the Branch Davidian compound, near Waco, Texas, on February
28, 1993, with related exhibits, statements, affidavits, records or
other pertinent documents obtained during investigation;
(2) Transcripts and documentation concerning requests and approval
for consensual telephone and consensual nontelephone monitoring;
(3) Reports from or to other law enforcement bodies;
(4) Prior criminal or noncriminal records of individuals as they
relate to the investigations;
(5) Reports of actions taken by management personnel regarding
misconduct and reports of legal actions resulting from violations of
statutes referred to the Department of Justice for prosecution;
(6) Videotapes of events pertinent to the events leading to the
former Bureau of Alcohol, Tobacco & Firearms execution of search and
arrest warrants at the Branch Davidian compound, near Waco, Texas, on
February 28, 1993, or to the Department of Justice criminal
prosecutions;
(7) Audiotapes with transcripts of events pertinent to the events
leading to the former Bureau of Alcohol, Tobacco & Firearms execution
of search and arrest warrants at the Branch Davidian compound, near
Waco, Texas, on February 28, 1993, or to the Department of Justice
criminal prosecutions;
(8) Photographs and blueprints pertinent to the events leading to
the former Bureau of Alcohol, Tobacco & Firearms execution of search
and arrest warrants at the Branch Davidian compound, near Waco, Texas,
on February 28, 1993, or to the Department of Justice criminal
prosecutions; and
(9) Drawings, sketches, models portraying events pertinent to the
events leading to the former Bureau of Alcohol, Tobacco & Firearms
execution of search and arrest warrants at the Branch Davidian
compound, near Waco, Texas, on February 28, 1993, or to the Department
of Justice criminal prosecutions.
Purpose(s):
The purpose of the system of records was to implement a data base
containing records of investigation conducted by the Waco
Administrative Review Group, and other relevant information with regard
to the events leading to the former Bureau of Alcohol, Tobacco &
Firearms execution of search and arrest warrants at the Branch Davidian
compound, near Waco, Texas, on February 28, 1993, and, where
appropriate, to disclose information to other law enforcement agencies
that have an interest in the information.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to:
(1) Disclose information to the Department of Justice in connection
with actual or potential criminal prosecution or civil litigation;
(2) Disclose pertinent information to appropriate Federal, State,
local, or foreign agencies responsible for investigating or prosecuting
the violations of, or for enforcing or implementing a statute, rule,
regulation, order, or license, or where the disclosing agency becomes
aware of an indication of a violation or potential violation of civil
or criminal law or regulation;
(3) Disclose information to a Federal, State, or local agency
maintaining civil, criminal or other relevant enforcement information
or other pertinent information that has requested information relevant
to or necessary to the requesting agency's hiring or retention of an
employee, or the issuance of a security clearance, license, contract,
grant, or other benefit;
(4) Disclose information to a court, magistrate, or administrative
tribunal in the course of presenting evidence, including disclosures to
opposing counsel or witnesses in the course of civil discovery,
litigation, or settlement negotiations in response to a subpoena, where
relevant and necessary, or in connection with criminal law proceedings;
(5) Provide information to third parties during the course of an
investigation to the extent necessary to obtain information pertinent
to the investigation; and
(6) Provide a report to the President and the Secretary of the
Treasury detailing the investigation and findings concerning the events
leading to the former Bureau of Alcohol, Tobacco & Firearms' execution
of search and arrest warrants at the Branch Davidian compound, near
Waco, Texas, on February 28, 1993.
[[Page 46283]]
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Paper records in binders and file jackets and all multi-source
media information are maintained in locked offices with access, through
the administrative documents and records control personnel for the
Department, available to personnel with a need to know. Records will be
maintained in locked offices during non-business hours. Records will be
maintained in the Departmental Offices, in the main Treasury building
and ATFE Headquarters which are subject to 24-hour security.
Retrievability:
Alphabetically by name, and or by number, or other alpha-numeric
identifiers.
Safeguards:
Records and word processing disks are maintained by administrative
documents and records control personnel of the Treasury Department and
ATFE. All access doors are locked when office is vacant. The records
are available on a need-to-know basis to Treasury personnel and the
ATFE Office of Chief Counsel personnel upon verification of the
substance and propriety of the request.
Retention and disposal:
Investigative files are stored on-site for six years and indices to
those files are stored on-site for ten years. The word processing disks
will be retained indefinitely, and to the extent required they will be
updated periodically to reflect changes and will be purged when the
information is no longer required. Upon expiration of their respective
retention periods, the investigative files and their indices are
transferred to the Federal Records Center, Suitland, Maryland, for
Storage and in most instances destroyed by burning, maceration or
pulping when 20 years old.
System manager(s) and address:
(a) Department of the Treasury official prescribing policies and
practices: Office of the Under Secretary for Enforcement, Room 4312-MT,
1500 Pennsylvania Ave. NW., Washington, DC 20220.
(b) Official maintaining records at the ATFE: Chief Counsel, Bureau
of Alcohol, Tobacco, Firearms and Explosives (ATFE), 650 Massachusetts
Avenue, NW., Washington, DC 20226.
Notification procedure:
Individuals seeking access to any record contained in the system of
records, or seeking to contest its content, may inquire in accordance
with instructions appearing at 31 CFR part 1, subpart c, appendix A.
Inquiries should be directed to the Director, Disclosure Services,
Department of the Treasury, 1500 Pennsylvania Ave., NW., Washington, DC
20220.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedure'' above.
Record source categories:
Individuals who were witnesses; complainants; confidential or non-
confidential informants; suspects; defendants, constituents of the
Department of the Treasury, other Federal, State or local agencies and
members of the public.
Exemptions claimed for the system:
None.
TREASURY/DO .209
System name:
Personal Services Contracts (PCSs)--Treasury/DO.
System location:
(1) Office of Technical Assistance, Department of the Treasury, 740
15th Street, NW., Washington, DC 20005.
(2) Procurement Services Division, Department of the Treasury, Mail
stop: 1425 New York Ave, Suite 2100, 1500 Pennsylvania Ave, NW.,
Washington, DC 20220.
Categories of individuals covered by the system:
Individuals who have been candidates or who have been awarded a
personal services contract (PSC) with the Department of the Treasury.
Categories of records in the system:
Name, address, telephone number, demographic data, education,
contracts, supervisory notes, personnel related information, financial,
payroll and medical data and documents pertaining to the individual
contractors.
Authority for maintenance of the system:
Support for Eastern European Democracy (SEED) Act of 1989 (Pub. L.
101-179), Freedom Support Act (Pub. L. 102-511), Executive Order 12703.
Purpose(s):
To maintain records pertaining to the awarding of personal services
contracts to individuals for the provision of technical services in
support of the SEED Act and the FSA, and which establish an employer/
employee relationship with the individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to disclose:
(1) Pertinent information to appropriate Federal, State, local, or
foreign agencies, or other public authority, responsible for
investigating or prosecuting the violations of, or for enforcing or
implementing a statute, rule, regulation, order, or license, where the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation;
(2) Information to the Department of Justice for the purpose of
litigating an action or seeking legal advice;
(3) Information to a Federal, State, local, or other public
authority maintaining civil, criminal or other relevant enforcement
information or other pertinent information, which has requested
information relevant to or necessary to the requesting agency's,
bureau's, or authority's hiring or retention of an individual, or
issuance of a security clearance, license, contract, grant, or other
benefit;
(4) Information in a proceeding before a court, adjudicative body,
or other administrative body before which the agency is authorized to
appear when: (a) The agency, or (b) any employee of the agency in his
or her official capacity, or (c) any employee of the agency in his or
her individual capacity where the Department of Justice or the agency
has agreed to represent the employee; or (d) the United States, when
the agency determines that litigation is likely to affect the agency,
is party to litigation or has an interest in such litigation, and the
use of such records by the agency is deemed to be relevant and
necessary to the litigation or administrative proceeding and not
otherwise privileged, and
(5) Information to a Congressional office in response to an inquiry
made at the request of the individual to whom the record pertains.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in file folders and on electronic media.
Retrievability:
Retrieved by name of the individual contractor and contract number.
[[Page 46284]]
Safeguards:
Records are maintained in a secured vault with locked file cabinets
with access limited to authorized personnel. Offices are locked during
non-working hours with security provided on a 24-hour basis. Electronic
media is password protected.
Retention and disposal:
Records are periodically updated when a contract is modified.
Contract records, including all biographical or other personal data,
are retained for the contract period, with disposal after contract
completion in accordance with the Federal Acquisition Regulation 4.805.
Other records are retained for two years then are destroyed when no
longer needed.
System manager(s) and address:
(1) Director, Office of Technical Assistance, Department of the
Treasury, 740 15th Street, NW., Washington, DC 20005.
(2) Director, Procurement Services Division, Department of the
Treasury, Mail stop: 1425 New York Ave, Suite 2100, 1500 Pennsylvania
Ave, NW., Washington, DC 20220.
Notification procedure:
Individuals wishing to be notified if they are named in this system
of records, or to gain access or seek to contest its contents, may
inquire in accordance with instructions appearing at 31 CFR part 1,
subpart C, appendix A. Inquiries should be addressed to the Director,
Disclosure Services, Departmental Offices, 1500 Pennsylvania Avenue,
NW., Washington, DC 20220.
Record access procedures:
See ``Notification procedure'' above.
Contesting record procedures:
See ``Notification procedures'' above.
Record source categories:
Information is provided by the candidate, individual Personal
Services Contractor, and Treasury employees.
Exemptions claimed for the system:
None.
TREASURY/DO .214
System name:
DC Pensions Retirement Records.
System Location:
Office of DC Pensions, Department of the Treasury, Metropolitan
Square, Washington, DC 20220. Certain records pertaining to Federal
benefit payments are located with contractors engaged by the Department
of the Treasury (Department), bureaus of the Department, and the
government of the District of Columbia (District).
Categories of individuals covered by the system:
a. Former District teachers, police officers and firefighters who
performed service subject to the District's retirement plans for
teachers, and police officers and firefighters, on or before June 30,
1997.
b. Former District judges, regardless of their dates of service.
c. Current District teachers, police officers, firefighters, who
have performed service prior to July 1, 1997:
(1) That may make them eligible to receive Federal benefit
payments;
(2) Who have filed a designation of beneficiary for Federal benefit
payments; or
(3) Who have filed a service credit application in connection with
former Federal service; or
(4) Who have filed an application for disability retirement with
the District or the Secretary of the Treasury (Secretary) and who are
waiting for a final decision, whose disability retirement application
has been approved by the District or the Secretary, or whose disability
retirement application has been disapproved by the District or the
Secretary, and who will receive or would have received Federal benefit
payments if their applications are or had been approved.
d. Current District judges;
e. Former District teachers, police officers, firefighters, and
judges who died entitled to or while receiving Federal benefit
payments, or their surviving spouses, and/or children and/or dependent
parents.
f. Former spouses of District teachers, police officers,
firefighters, and judges, who have received or are receiving Federal
benefit payments, or who have filed a court order awarding future
benefits.
Categories of records in the system:
This system comprises retirement service history records of
employee service in the District, the Federal Government, and other
entities upon which Federal benefit payments may be based. Also
included in the system are current personnel data pertaining to active
District teachers, police officers, firefighters, and judges who, by
virtue of the Act, may be eligible for Federal benefit payments. It
also contains information concerning health benefit and group life
insurance enrollment/change in enrollment. Also included are medical
records and supporting evidence for disability retirement applications,
and documentation regarding their acceptance or rejection. Consent
forms and other records related to the withholding of State income tax
from annuitant payments, whether physically maintained by the State or
the Department, are included in this system.
These records contain the following information:
a. Documentation of District service subject to the retirement
plans for District teachers, police officers, firefighters, and judges.
b. Documentation of service credit and refund claims made by
District teachers, police officers, firefighters, and judges under
their retirement plans who are potentially eligible for Federal benefit
payments.
c. Documentation of retirement contributions made by eligible
teachers, police officers, firefighters, and judges.
d. Retirement and death claims files applicable to Federal benefit
payments, including documents supporting the retirement application,
health benefits, and life insurance eligibility, medical records
supporting disability claims, and designations of beneficiary.
e. Enrollment and change in enrollment information under the
Federal Employees Health Benefits Program, the employee health benefits
program for District employees, the Federal Employee Group Life
Insurance Program and the employee group life insurance program for
District employees.
f. Court orders submitted by former spouses of District teachers,
police officers, firefighters, and judges in support of claims for
Federal benefit payments.
g. Records relating to overpayments of Federal benefit payments and
other debts arising from the Federal Government's responsibility to
administer the retirement plans for District judges, police officers,
firefighters, and teachers, and records relating to other Federal debts
owed by recipients of Federal benefit payments.
Authority for maintenance of the system:
Title XI, Subtitle A, chapters 1 through 9, and Subtitle C, chapter
4, subchapter B of the Balanced Budget Act of 1997, Pub. L. 105-33.
Purpose(s):
These records provide information on which to base determinations
of: Eligibility for, and computation of, Federal benefit payments;
eligibility and premiums for health insurance and group life insurance;
and withholding of State income taxes from annuities. These records
also may be used to locate individuals for personnel research.
[[Page 46285]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used:
1. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, where
the Department becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
2. To disclose information to a Federal agency, in response to its
request in connection with the hiring or retention of an employee, the
issuance of a security clearance, the conducting of a suitability or
security investigation of an individual, the classifying of jobs, the
letting of a contract, or the issuance of a license, grant, or other
benefit by the requesting agency, to the extent that the information is
relevant and necessary to the requesting agency's decision on the
matter.
3. To provide information to a congressional office from the record
of an individual in response to an inquiry from that congressional
office made at the request of that individual.
4. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Federal
Government is a party to the judicial or administrative proceeding. In
those cases where the Federal Government is not a party to the
proceeding, records may be disclosed if a subpoena has been signed by a
judge.
5. To disclose information to the National Archives and Records
Administration for use in records management inspections.
6. To disclose information to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative
body before which the Department is authorized to appear, when:
(A) The Department, or any component thereof;
(B) Any employee of the Department in his or her official capacity;
(C) Any employee of the Department in his or her individual
capacity where the Department of Justice or the Department has agreed
to represent the employee;
(D) The United States, when the Department determines that
litigation is likely to affect the Department or any of its components;
or
(E) The Federal funds established by the Act to pay Federal benefit
payments; is a party to litigation or has an interest in such
litigation, and the use of such records by the Department of Justice or
the Department is deemed by the Department of Justice or the Department
to be relevant and necessary to the litigation provided, however, that
the disclosure is compatible with the purpose for which records were
collected.
7. To disclose information to contractors, subcontractors,
financial agents, grantees, or volunteers performing or working on a
contract, service, grant, cooperative agreement, or job for the
Department, including the District.
8. To disclose, to the following recipients, information needed to
adjudicate a claim for Federal benefit payments under the retirement
plans for District teachers, police officers, firefighters, and judges,
or information needed to conduct an analytical study of benefits being
paid under such programs as: Social Security Administration's Old Age,
Survivor and Disability Insurance and Medical Programs, military
retired pay programs; and Federal civilian employee retirement programs
(Civil Service Retirement System, Federal Employees Retirement System,
and other Federal retirement systems).
9. To disclose to the U.S. Office of Personnel Management (OPM) and
to the District information necessary to verify the election,
declination, or waiver of regular and/or optional life insurance
coverage.
10. To disclose to health insurance carriers contracting with OPM
to provide a health benefits plan under the Federal Employees Health
Benefits Program or health insurance carriers contracting with the
District to provide a health benefits plan under the health benefits
program for District employees, Social Security Numbers and other
information necessary to identify enrollment in a plan, to verify
eligibility for payment of a claim for health benefits, or to carry out
the coordination for benefits provisions of such contracts.
11. To disclose to any inquirer, if sufficient information is
provided to assure positive identification of an individual on whom the
Department maintains records, the fact that an individual is or is not
on the retirement rolls, and if so, the type of annuity (employment or
survivor, but not retirement on disability) being paid, or if not,
whether a refund has been paid.
12. When an individual to whom a record pertains dies, to disclose
to any person possibly entitled in the applicable order of precedence
for lump-sum benefits, information in the individual's record that
might properly be disclosed to the individual, and the name and
relationship of any other person whose claim for benefits takes
precedence or who is entitled to share the benefits payable.
13. To disclose information to any person who is legally
responsible for the care of an individual to whom a record pertains, or
who otherwise has an existing, facially-valid Power of Attorney,
information necessary to assure payment of Federal benefit payments to
which the individual is entitled.
14. To disclose to the Parent Locator Service of the Department of
Health and Human Services, upon its request, the present address of a
Federal benefit payments annuitant or survivor, or a former employee
entitled to deferred Federal benefit payments, for enforcing child
support obligations of such individual.
15. In connection with an examination ordered by the District or
the Secretary of the Treasury under
(A) Medical examination procedures; or
(B) Involuntary disability retirement procedures to disclose to the
representative of an employee, notices, decisions, other written
communications, or any other pertinent medical evidence other than
medical evidence about which a prudent physician would hesitate to
inform the individual; such medical evidence will be disclosed only to
a licensed physician, designated in writing for that purpose by the
individual or his or her representative. The physician must be capable
of explaining the contents of the medical record(s) to the individual
and be willing to provide the entire record(s) to the individual.
16. To disclose information to any source from which the Department
seeks additional information that is relevant to a determination of an
individual's eligibility for, or entitlement to, coverage under the
applicable retirement, life insurance, and health benefits program, to
the extent necessary to obtain the information requested.
17. To disclose information to the Office of Management and Budget
at any stage of the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB Circular
No. A-19.
18. To disclose to a Federal agency, in response to its request,
the address of an annuitant or applicant for refund of retirement
deductions, if the agency requires that information in connection with
the collection of a debt due the United States.
19. To disclose to a State agency responsible for the collection of
State
[[Page 46286]]
income taxes the information required by an agreement authorized by law
to implement voluntary State income tax withholdings from Federal
benefit payments.
20. To disclose to the Social Security Administration the names and
Social Security Numbers of Federal benefit payment annuitants when
necessary to determine: (1) Their vital status as shown in the Social
Security Master Records; and (2) whether retirees receiving Federal
benefit payments under the District's retirement plan for police
officers and firefighters with post-1956 military service credit are
eligible for or are receiving old age or survivors benefits under
section 202 of the Social Security Act based upon their wages and self-
employment income.
21. To disclose to Federal, State, and local government agencies
information about retirees and survivors under the retirement plans
administered by the Department pursuant to the Act, including name,
Social Security Number, date of birth, sex, health benefit enrollment
code, retirement date, retirement code (type of retirement), annuity
rate, pay status of case, correspondence address, and ZIP code, to help
eliminate fraud and abuse in a benefits program administered by a
requesting Federal, State, or local government agency, to ensure
compliance with Federal, State, and local government tax obligations by
persons receiving Federal benefits payments under such retirement
plans, and to collect debts and overpayments owed to the requesting
Federal, State, or local government agency.
22. To disclose to a Federal agency, or a person or an organization
under contract with a Federal agency to render collection services for
a Federal agency as permitted by law, in response to a written request
from the head of the agency or his designee, or from the debt
collection contractor, the following data concerning an individual
owing a debt to the Federal Government: (A) The debtor's name, address,
Social Security Number, and other information necessary to establish
the identity of the individual; and (B) the amount, status, and history
of the debtor's Federal benefit payments.
23. To disclose, as permitted by law, information to a State court
or administrative agency in connection with a garnishment, attachment,
or similar proceeding to enforce an alimony or a child support
obligation.
24. To disclose to a former spouse information necessary to explain
how that former spouse's benefit was computed.
25. To disclose information necessary to locate individuals who are
owed money or property by a Federal, State or local government agency,
or by a financial institution or similar institution, to the government
agency owing or otherwise responsible for the money or property (or its
agent).
26. To disclose information necessary in connection with the review
of a disputed claim for health benefits to a health plan provider
participating in the Federal Employees Health Benefits Program or the
health benefits program for employees of the District, and to a program
enrollee or covered family member or an enrollee or covered family
member's authorized representative.
27. To disclose to an agency of a State or local government, or a
private individual or association engaged in volunteer work,
identifying and address information and other pertinent facts, for the
purpose of developing an application by such an entity or person to
serve as a representative payee for a person who is mentally
incompetent or under other legal disability and who is or may be
eligible for Federal benefit payments.
28. To disclose information to another Federal agency for the
purpose of effecting administrative or salary offset against a person
employed by that agency or receiving or eligible to receive benefit
payments from the agency when the Department as a creditor has a claim
against that person relating to Federal benefit payments.
29. To disclose information concerning delinquent debts relating to
Federal benefit payments to other Federal agencies for the purpose of
barring delinquent debtors from obtaining Federal loans or loan
insurance guarantees pursuant to 31 U.S.C. 3720B.
30. To disclose information concerning delinquent debts relating to
Federal benefit payments to State and local governments, for the
purpose of collecting such debts.
Disclosures to consumer reporting agencies:
Pursuant to 5 U.S.C. 552a(b)(12), disclosures may be made from this
system to consumer reporting agencies in accordance with 31 U.S.C.
3711(e).
Policies and practices for storing, retrieving, safeguarding, retaining
and disposing of records in the system:
Storage:
These records are maintained on magnetic tapes, disks, microfiche,
and in paper folders.
Retrievability:
These records are retrieved by the name and/or Social Security
Number and/or an automatically assigned, system generated number, of
the individual to whom they pertain.
Safeguards:
Records are kept in lockable metal file cabinets or in a secured
facility with access limited to those persons whose official duties
require access. Data in electronic format may also be password
protected. Personnel screening and training are employed to prevent
unauthorized disclosure.
Retention and disposal:
All records on a claim for retirement, including salary and service
history, survivor annuity elections and tax and other withholdings are
maintained permanently. Records not relevant to the calculation,
administration, and payment of Federal benefit payments are disposed of
in accordance with Department guidelines. Disposal of paper records and
microfiche is by shredding or burning; magnetic tapes and discs are
erased.
System manager(s) and address:
Director, Office of DC Pensions, U.S. Department of the Treasury,
Washington, DC 20220.
Notification procedure:
Individuals seeking notification and access to any record contained
in the system of records, or seeking to contest its contents, should
contact the system manager. Individuals must furnish the following
information for their records to be located and identified:
a. Name, including all former names.
b. Date of birth.
c. Social Security Number.
d. Name and address of office in which currently and/or formerly
employed in the District.
e. Annuity, service credit, or voluntary contributions account
number, if assigned.
f. Automatically assigned, system generated number, if known.
Individuals requesting amendment of their records must also follow
the Department's Privacy Act regulations regarding verification of
identity and amendment of records (31 CFR part 1 subpart C, appendix
A).
Record access procedure:
See ``Notification procedure,'' above.
Contesting record procedure:
See ``Notification procedure,'' above.
Record source categories:
The information in this system is obtained from:
[[Page 46287]]
a. The individual to whom the information pertains.
b. District pay, leave, and allowance records.
c. Health benefits and life insurance plan systems records
maintained by the Office of Personnel Management and the District.
d. Federal civilian retirement systems.
e. Military retired pay system records.
f. Social Security Old Age, Survivor, and Disability Insurance and
Medicare Programs.
g. Health insurance carriers and plans participating in the Federal
Employee Health Benefits Program and the health benefits program for
employees of the District.
h. Official personnel folders.
i. The individual's co-workers and supervisors.
j. Physicians who have examined or treated the individual.
k. Former spouses of the individual to whom the information
pertains.
l. State courts or support enforcement agencies.
m. Credit bureaus.
n. The District Police and Firefighters' Retirement and Relief
Board.
o. The District Board of Education.
p. The District Public Charter School Board.
q. District public charter schools.
r. The Executive Office of the District of Columbia Courts.
s. The General Services Administration National Payroll Center.
t. The District Retirement Board.
u. The District Office of Personnel.
v. The District Office of the Chief Financial Officer.
Exemptions claimed for the system:
None.
TREASURY/DO .216
System name:
Treasury Security Access Control and Certificates Systems.
System location:
Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
Categories of individuals covered by the system:
Treasury employees, contractors, media representatives, other
individuals requiring access to Treasury facilities or to receive
government property, and those who need to gain access to a Treasury DO
cyber asset including the network, LAN, desktops and notebooks.
Categories of records in the system:
Individual's application for security/access badge, individual's
photograph, fingerprint record, special credentials, allied papers,
registers, and logs reflecting sequential numbering of security/access
badges. The system also contains information needed to establish
accountability and audit control of digital certificates that have been
assigned to personnel who require access to Treasury DO cyber assets
including the DO network and LAN as well as those who transmit
electronic data that requires protection by enabling the use of public
key cryptography. It also contains records that are needed to authorize
an individual's access to a Treasury network.
Records may include the individual's name, organization, work
telephone number, Social Security Number, date of birth, Electronic
Identification Number, work e-mail address, username and password,
country of birth, citizenship, clearance and status, title, home
address and phone number, biometric data including fingerprint minutia,
and alias names.
Records on the creation, renewal, replacement or revocation of
digital certificates, including evidence provided by applicants for
proof of identity and authority, sources used to verify an applicant's
identity and authority, and the certificates issued, denied and
revoked, including reasons for denial and revocation.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 321; the Electronic Signatures in Global
and National Commerce Act, Pub. L. 106-229, and E.O. 9397 (SSN).
Purpose(s):
The purpose is to: Improve security to both Treasury DO physical
and cyber assets; maintain records concerning the security/access
badges issued; restrict entry to installations and activities; ensure
positive identification of personnel authorized access to restricted
areas; maintain accountability for issuance and disposition of
security/access badges; maintain an electronic system to facilitate
secure, on-line communication between Federal automated systems,
between Federal employees or contractors, and/or the public, using
digital signature technologies to authenticate and verify identity;
provide a means of access to Treasury cyber assets including the DO
network, LAN, desktop and laptops; and to provide mechanisms for non-
repudiation of personal identification and access to DO sensitive cyber
systems including but not limited to human resource, financial,
procurement, travel and property systems as well as tax, econometric
and other mission critical systems. The system also maintains records
relating to the issuance of digital certificates utilizing public key
cryptography to employees and contractors for purpose of the
transmission of sensitive electronic ma