[Federal Register Volume 79, Number 187 (Friday, September 26, 2014)]
[Notices]
[Pages 58042-58045]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-23009]
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DEPARTMENT OF THE TREASURY
Departmental Offices; Privacy Act of 1974, as Amended; System of
Records Notice
AGENCY: Departmental Offices, Treasury.
ACTION: Notice of system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5
U.S.C. 552a, the Department of the Treasury gives notice that it
proposes to add a new system of records to its inventory, ``Treasury/
DO. 411--Intelligence Enterprise Files,'' to be maintained by the
Office of Intelligence and Analysis.
DATES: Comments must be received no later than October 27, 2014. This
new system of records will be effective October 31, 2014 unless the
Department receives comments that would result in a contrary
determination.
ADDRESSES: Written comments should be sent to the Director of
Intelligence Information Systems, Office of Intelligence and Analysis,
Department of the Treasury, 1500 Pennsylvania Ave. NW., Washington, DC
20220. The Department will make such comments available for public
inspection and copying in the Department's Library, Room 1020, Annex
Building, 1500 Pennsylvania Ave. NW., Washington, DC 20220, on official
business days between the hours of 10:00 a.m. and 5:00 p.m. Eastern
Standard Time. You must make an appointment to inspect comments by
telephoning (202) 622-0990. All comments received, including
attachments and other supporting materials, are part of the public
record and subject to public disclosure. You should submit only
information that you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT: Director of Intelligence Information
Systems, Office of Intelligence and Analysis, Department of the
Treasury, at (202) 622-1826, facsimile (202) 622-1829, or email
[email protected].
SUPPLEMENTARY INFORMATION: The Treasury Department's mission is to
maintain a strong economy and create economic and job opportunities by
promoting the conditions that enable economic growth and stability at
home and abroad; strengthen national security by combating threats and
protecting the integrity of the financial system; and manage the United
States Government's finances and resources effectively. Through
Executive Order 12333, the Department is specifically tasked with the
collection (overtly or through publicly available sources) of foreign
financial information and, in consultation with the Department of
State, foreign economic information.
In 2004 and 2005, Congress ratified a realignment of the Treasury
Department's intelligence function with the statutory creation of the
Office of Intelligence and Analysis (OIA) within the Office of
Terrorism and Financial Intelligence. In ratifying this realignment,
Congress recognized the need for intelligence support and expertise in
the Department's national security roles. OIA, headed by the Assistant
Secretary for Intelligence and Analysis, became the successor to the
Special Assistant to the Secretary (National Security) and the Office
of Intelligence Support (OIS) within the Department. Pursuant to the
National Security Act of 1947, as amended and Executive Order 12333, as
amended, OIA is an element of the national Intelligence Community. OIA
has statutory responsibility for the receipt, analysis, collation, and
dissemination of intelligence and counterintelligence information
related to the operations and responsibilities of the entire
Department, including all components and bureaus. OIA's functions under
31 U.S.C. 311 and 312 include: carrying out its responsibilities while
building a robust analytical capability on terrorist financing;
coordinating and overseeing the work of intelligence analysts in all
Treasury Department components; focusing intelligence efforts on the
highest priorities of the Department; ensuring that the intelligence
needs of the Office of Foreign Assets Control (OFAC) and the Financial
Crimes Enforcement Network (FinCEN) are met; providing intelligence
support to senior Department officials on a wide range of international
economic and other relevant issues; carrying out the intelligence
support functions previously assigned to OIS; serving in a liaison
capacity with the intelligence community; and representing the
Department in a variety of intelligence-related activities.
This system of records supports OIA in performing its roles of
collecting (overtly and through publicly-available sources), collating,
analyzing, producing, and disseminating national security information.
It encompasses diverse national security information related to OIA's
mission, including that presently located throughout the Departmental
Offices Local Area Network, Treasury Secure Data Network, and the
Treasury Financial Intelligence Network. The system may include records
from other systems of records, such as those of FinCEN and OFAC,
obtained in the course of OIA's duties. In maintaining its records, OIA
is obligated to comply with generally-applicable laws such as the
Privacy Act of 1974, 5 U.S.C. 552a, and the Internal Revenue Code, as
well as with those obligations required of an Intelligence Community
element pursuant to Executive Order 12333, as amended. Any information
from a system of records for which an exemption is claimed under 5
U.S.C. 552a(j) or (k), and which may also be included in this system of
records, retains the same exempt status such information has in the
system for which such exemption is claimed.
Notwithstanding provisions of the Privacy Act, as a member of the
Intelligence Community OIA also conducts its mission in conformance
with the requirements of Executive Order 12333, as amended, including
its requirements governing the collection, retention, and dissemination
of information concerning U.S. persons in a manner that protects the
privacy and constitutional rights of such persons. Accordingly, OIA may
acquire information that identifies a particular U.S. person, retain it
within or disseminate it from the system of records, as appropriate,
only when it is determined that the U.S. person information is
necessary for the conduct of OIA's mission, responsibilities, and
functions and otherwise falls into one of a limited number of
authorized categories.
In a notice of proposed rulemaking, which is published separately
in the Federal Register, the Department is proposing to exempt records
maintained in this system from certain Privacy Act requirements
pursuant to 5 U.S.C. 552a(k).
As required by 5 U.S.C. 552a(r) of the Privacy Act, a report on
this new system of records has been provided to the United States House
of Representatives Committee on Oversight and Government Reform, the
United States House of Representatives Permanent Select Committee on
Intelligence, the United States Senate Committee on Homeland Security
and Governmental Affairs, the United States Senate Select Committee on
Intelligence, and the Office of Management and Budget.
[[Page 58043]]
The proposed new system of records, entitled ``Treasury/DO. 411--
Intelligence Enterprise Files,'' is published in its entirety below.
Dated: September 11, 2014.
Helen Goff Foster,
Deputy Assistant Secretary for Privacy, Transparency, and Records.
Treasury/DO. 411
System name:
Intelligence Enterprise Files.
System location:
The Office of Intelligence and Analysis (OIA), Department of the
Treasury, Washington, DC. The system may be accessed by Departmental
personnel in other components of the Treasury Department with the
permission of OIA, provided that such personnel are determined by OIA
to have the requisite security clearance and the need to know
information maintained in the system.
Categories of individuals covered by the system:
(1) Individuals related to:
A. The capabilities, intentions, or activities of foreign
governments or elements thereof, foreign organizations, foreign
persons, international terrorists, international narcotics traffickers,
members of transnational criminal organizations, proliferators of
weapons of mass destruction, and their associates, supporters, and
facilitators;
B. Foreign financial and economic activities pertaining to national
security;
C. Activities constituting a threat to the national security,
foreign policy, or the economy of the United States, or that are
preparatory to, facilitate, or support such activities, including:
i. Financial crimes, including money laundering, unlicensed money
transmission, evading reporting requirements, access device fraud,
financial institution fraud, and activities affecting the safety or
soundness of financial institutions, in accordance with Title 18 and
Title 31 of the United States Code;
ii. Suspicious financial transactions and other data required to be
reported by the Bank Secrecy Act, 31 U.S.C. 5311 et seq., because they
have a high degree of usefulness in the conduct of intelligence or
counterintelligence activities or for other national security purposes;
iii. Transactions related to individuals subject to or under
consideration for the imposition of economic sanctions;
iv. Activities that could reasonably be expected to assist in the
development of a weapon of mass destruction, including attempts to
import, procure, possess, store, develop, or transport nuclear or
radiological material;
v. Activities against or threats to the United States or U.S.
persons and interests by foreign or international terrorist groups or
individuals involved in terrorism;
vi. Activities to identify, create, exploit, or undermine
vulnerabilities of the Treasury Department's information systems and
national security systems infrastructure;
vii. Activities, not wholly conducted within the United States,
which violate or may violate the laws that prohibit the production,
transfer, or sale of narcotics or substances controlled in accordance
with Title 21 of the United States Code, or those associated activities
otherwise prohibited by Titles 21 and 46 of the United States Code;
viii. Activities, not wholly conducted within the United States,
which otherwise violate or may violate United States or foreign
criminal laws;
ix. Activities, not wholly conducted within the United States, that
constitute genocide, mass atrocities, or other grave breaches of human
rights;
x. Activities that impact or concern the security, safety, and
integrity of our international borders, such as those that may
constitute violations of the immigration or customs laws of the United
States;
D. Espionage, the improper release of sensitive or classified
information, sabotage, assassination, or other intelligence activities
conducted by or on behalf of foreign powers, organizations, persons, or
their agents, or international terrorist organizations, international
narcotics traffickers, members of transnational criminal organizations,
proliferators of weapons of mass destruction, and their associates,
supporters, and facilitators;
E. Activities where the health or safety of an individual may be
threatened;
F. Information necessary for the provision of intelligence support
to the Treasury Department.
(2) Individuals who voluntarily request assistance or information,
through any means, from OIA, and individuals who consent to providing
information, which may relate to a threat or otherwise affect the
national security of the United States.
(3) Individuals who are or have been associated with Treasury
Department or OIA activities or with the administration of the
Department of the Treasury, including information about individuals
that is otherwise required to be maintained by law.
Categories of records in the system:
(1) Records containing classified and unclassified intelligence
information, counterintelligence information, counterterrorism
information, and information, including records pertaining to law
enforcement that are related to national security. This includes source
records and other forms of ``raw'' intelligence as well as the analysis
of this information, obtained from all entities of the Federal
government, including the Intelligence Community; foreign governments,
persons, or other entities including international organizations; and
state, local, tribal, and territorial government agencies.
(2) Records containing information pertaining to OIA's
responsibilities overtly collected from record subjects, individual
members of the public, and private sector entities.
(3) Records containing information reported pursuant to and
maintained consistent with the Bank Secrecy Act.
(4) Records containing information pertaining to the imposition and
enforcement of economic sanctions, including reports pursuant to
chapter V of Title 31, Code of Federal Regulations, and information
provided through license applications, requests to have funds
unblocked, and requests for reconsideration of a designation.
(5) Records containing information obtained from Intelligence
Community elements or other entities about individuals who are or may
be engaged in activities related to terrorism, transnational narcotics
trafficking, transnational criminal organizations, the proliferation of
weapons of mass destruction, or other threats to the national security,
economy, or foreign policy of the United States.
(6) Records containing law enforcement or other information
received from other government agencies pertaining to potential threats
to the national security, the economy, or foreign policy of the United
States.
(7) Records containing operational and administrative records,
including correspondence records.
(8) Records containing information related to or obtained to ensure
the security of the Treasury Department, including through authorized
physical, personnel, information systems security, and insider threat
investigations, inquiries, analysis, and reporting.
(9) Records contain publicly available information, related to
lawful OIA activities, about individuals as derived from media,
including periodicals, newspapers, broadcast transcripts, and other
public reports and computer
[[Page 58044]]
databases, including those available by subscription to the public.
(10) Records about individuals who voluntarily provide any
information contained within the system.
Authority for maintenance of the system:
5 U.S.C. 301; 31 U.S.C. 311-312; Executive Orders 12333, 12968,
13388, and 13526, as amended.
Purpose(s):
The records in this system will be used to fulfill OIA's statutory
and Executive Order mandates to collect (overtly or through publicly-
available sources), receive, analyze, collate, produce, and disseminate
information, intelligence, and counterintelligence related to the
operations and responsibilities of the entire Department, including all
components and bureaus. The system will allow OIA to carry out its
functions of discharging its responsibilities while building a robust
analytical capability on terrorist financing; coordinating and
overseeing the work of intelligence analysts in Treasury Department
components; focusing intelligence efforts on the highest priorities of
the Department; ensuring that the intelligence needs of OFAC and FinCEN
are met; and providing intelligence support to senior Department
officials on a wide range of international economic and other relevant
issues.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records may be used to disclose pertinent information to:
(1) Any United States, foreign, or multinational government or
agency, or private sector individual or organization, with
responsibilities relating to the national security, economy, or foreign
policy of the United States, including responsibilities related to the
implementation of or compliance with applicable authorities, to
analyze, counter, deter, or prevent threats related to foreign
intelligence or counterintelligence activities, terrorism,
international narcotics traffickers, transnational criminal
organizations, or proliferators of weapons of mass destruction;
(2) Any United States, foreign, or multinational government or
agency with the responsibility and authority for investigating,
prosecuting, or otherwise enforcing a civil or criminal law,
regulation, rule, order, or contract, where the information on its face
or when combined with other information indicates a potential violation
of any such law, regulation, rule, order, or contract enforced by that
government or agency;
(3) Any Federal banking agency when OIA believes that the
information raises significant concerns regarding the safety or
soundness of any depository institution doing business in the United
States;
(4) Any United States agency, including Federal banking agencies,
where the information is relevant to such agency's supervisory
responsibilities;
(5) Any United States, foreign, or multinational government or
agency, or other entity, including private sector individuals and
organizations, where disclosure is in furtherance of the Treasury
Department's or OIA's information-sharing responsibilities under the
National Security Act of 1947, as amended, the Intelligence Reform and
Terrorism Prevention Act of 2004, as amended, Executive Order 12333, as
amended, or any successor order, statute, national security directive,
intelligence community directive, or other directive, or any classified
or unclassified implementing procedures promulgated pursuant to such
orders and directives;
(6) Any U.S. agency lawfully engaged in the collection of
intelligence (including national intelligence, foreign intelligence,
and counterintelligence), counterterrorism, national security, law
enforcement or law enforcement intelligence, or other information,
where disclosure is undertaken for intelligence, counterterrorism,
national security, insider threat, or related law enforcement purposes,
as authorized by United States law or Executive orders;
(7) Any other element of the Intelligence Community, as defined by
Executive Order 12333, as amended, or any successor order, for the
purpose of allowing that agency to determine whether the information is
relevant to its responsibilities and can be retained by it;
(8) Any United States, foreign, or multinational government or
agency, or private sector individual or organization, with
responsibility for imposing and enforcing economic sanctions or for
complying with or implementing economic sanctions, for the purpose of
carrying out such responsibility;
(9) Any United States agency with responsibility for activities
related to counterintelligence or the detection of insider threats, for
the purpose of conducting such activities;
(10) Any United States, foreign, or multinational government or
agency, if the information is relevant to the requesting entity's
decision or to a Treasury Department decision concerning the hiring or
retention of an individual, or issuance of a security clearance,
license, contract, grant, or other benefit;
(11) Any foreign persons or foreign government agencies,
international organizations, and multinational agencies or entities,
including private entities, under circumstances or for purposes
mandated by, imposed by, or conferred in, Federal statute, treaty, or
other international agreement or arrangement in accordance with OIA's
authorities;
(12) Any individual, organization, or entity, as appropriate, for
the purpose of guarding it against or responding to an actual or
potential serious threat, to the extent the information is relevant to
the protection of life, health, or property;
(13) Representatives of the Department of Justice or other United
States entities, to the extent necessary to obtain their advice on any
matter that is within their official responsibilities to provide;
(14) Any Federal agency, 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 pursuant to
a subpoena by a court, agency, or other entity of competent
jurisdiction where arguably relevant to a proceeding or in connection
with a criminal proceeding;
(15) The Department of Justice (DOJ) for the purpose of receiving
legal advice and representation;
(16) Contractors, grantees, experts, consultants, interns,
volunteers and others (including agents of the foregoing) performing or
working on a contract, service, grant, cooperative agreement, or other
assignment for the Treasury Department, when necessary to accomplish
such function;
(17) Individual members or staff of the United States Senate Select
Committee on Intelligence, the United States Senate Committee on
Banking, Housing, and Urban Affairs, the United States House Permanent
Select Committee on Intelligence, and the United States House Committee
on Financial Services in connection with the exercise of their
oversight and legislative functions;
(18) The National Archives and Records Administration (NARA), for
the purpose of records management;
(19) Any agency, organization, or individual for the purposes of
performing audit or oversight of the Treasury Department or OIA, as
[[Page 58045]]
authorized by law and as necessary and relevant to such audit or
oversight function;
(20) The President's Foreign Intelligence Advisory Board, the
Intelligence Oversight Board, any successor organizations, and any
intelligence or national security oversight entities established by the
President, when the Assistant Secretary for Intelligence and Analysis
determines that disclosure will assist these entities in the
performance of their oversight functions;
(21) Agencies, entities, and persons when: (1) The Treasury
Department suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Department has determined that as a result of the
suspected or confirmed compromise there is a risk of harm to economic
or property interests, identity theft or fraud, or harm to the security
or integrity of this system or other systems or programs (whether
maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department's efforts to respond to the suspected or
confirmed compromise and prevent, minimize, or remedy such harm.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records in this system are stored electronically or on paper in
secure facilities. The records are stored in file folders or on
magnetic discs, tapes, or electronic media.
Retrievability:
Data may be retrieved by an individual's name or other identifier,
such as Social Security number, phone number, or case number.
Safeguards:
Records in electronic and physical form in this system are
maintained in secure facilities protected by appropriate physical and
technological safeguards with access limited by password or access code
only to authorized personnel. Records in this system are safeguarded in
accordance with applicable laws, rules, and policies, including
Intelligence Community standards, Treasury Department information
technology security policies, and the Federal Information Security
Management Act. Classified information is stored appropriately in a
secured, certified, and accredited facility, in secured databases and
containers, and in accordance with other applicable requirements,
including those pertaining to classified information. The system
incorporates logging functions that facilitate the auditing of
individual use and access.
Retention and disposal:
Records will be retained and disposed of in accordance with a
records retention and disposal schedule to be submitted to and approved
by NARA.
System manager(s) and address:
Director of Intelligence Information Systems, Office of
Intelligence and Analysis, Department of the Treasury, 1500
Pennsylvania Ave. NW., Washington, DC 20220.
Notification procedure:
This system of records contains classified and controlled
unclassified information related to intelligence, counterintelligence,
national security, and law enforcement programs. As a result, records
in this system have been exempted from notification, access, and
amendment to the extent permitted by the Privacy Act, 5 U.S.C. 552a(k).
In accordance with 31 CFR Part 1, subpart C, Appendix A,
individuals wishing to be notified if they are named in non-exempt
records in this system of records, to gain access to such records
maintained in this system, or seek to contest the content of such
records, must submit a written request containing the following
elements: (1) Identify the record system; (2) identify the category and
type of records sought; and (3) provide at least two items of secondary
identification. Address inquiries to: Privacy Act Request, DO,
Director, Disclosure Services, Department of the Treasury, 1500
Pennsylvania Ave. NW., Washington, DC 20220.
Record access procedures:
See ``NOTIFICATION PROCEDURES'' above.
Contesting record procedures:
See ``NOTIFICATION PROCEDURES'' above.
Record source categories:
Information contained in this system is obtained from individuals;
other government, non-government, commercial, public, and private
agencies and organizations, both domestic and foreign; media, including
periodicals, newspapers, broadcast transcripts, and publicly-available
databases; intelligence source documents; investigative reports; and
correspondence.
Exemptions claimed for the system:
Records in this system related to classified and controlled
unclassified information related to intelligence, counterintelligence,
national security, and law enforcement programs are exempt from 5
U.S.C. 552a(c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G),
(e)(4)(H), (e)(4)(I), and (f) of the Privacy Act pursuant to 5 U.S.C.
552a(k)(1). See 31 CFR 1.36.
[FR Doc. 2014-23009 Filed 9-25-14; 8:45 am]
BILLING CODE 4810-25-P