[Title 31 CFR 1]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[Title 31 - MONEY AND FINANCE: TREASURY]
[Part 1 - DISCLOSURE OF RECORDS]
[From the U.S. Government Printing Office]
31MONEY AND FINANCE: TREASURY12002-07-012002-07-01falseDISCLOSURE OF RECORDS1PART 1MONEY AND FINANCE: TREASURY
PART 1--DISCLOSURE OF RECORDS--Table of Contents
Subpart A--Freedom of Information Act
Sec.
1.1 General.
1.2 Information made available.
1.3 Publication in the Federal Register.
1.4 Public inspection and copying.
1.5 Specific requests for other records.
1.6 Business information.
1.7 Fees for services.
Appendix A to Subpart A--Departmental Offices
Appendix B to Subpart A--Internal Revenue Service
Appendix C to Subpart A--United States Customs Service
Appendix D to Subpart A--United States Secret Service
Appendix E to Subpart A--Bureau of Alcohol, Tobacco and Firearms
Appendix F to Subpart A--Bureau of Engraving and Printing
Appendix G to Subpart A--Financial Management Service
Appendix H to Subpart A--United States Mint
Appendix I to Subpart A--Bureau of the Public Debt
Appendix J to Subpart A--Office of the Comptroller of the Currency
Appendix K to Subpart A--Federal Law Enforcement Training Center
Appendix L to Subpart A--Office of Thrift Supervision
Subpart B--Other Disclosure Provisions
1.8 Scope.
1.9 Records not to be otherwise withdrawn or disclosed.
1.10 Oral information.
1.11 Testimony or the production of records in a court or other
proceeding.
1.12 Regulations not applicable to official request.
Subpart C--Privacy Act
1.20 Purpose and scope of regulations.
1.21 Definitions.
1.22 Requirements relating to systems of records.
1.23 Publication in the Federal Register--Notices of systems of
records, general exemptions, specific exemptions, review of
all systems.
1.24 Disclosure of records to person other than the individual to whom
they pertain.
1.25 Accounting of disclosures.
1.26 Procedures for notification and access to records pertaining to
individuals--format and fees for request for access.
1.27 Procedures for amendment of records pertaining to individuals--
format, agency review and appeal from initial adverse agency
determination.
1.28 Training, rules of conduct, penalties for non-compliance.
1.29 Records transferred to Federal Records Center or National Archives
of the United States.
1.30 Application to system of records maintained by Government
contractors.
1.31 Sale or rental of mailing lists.
1.32 Use and disclosure of social security numbers.
1.34 Guardianship.
1.35 Information forms.
1.36 Systems exempt in whole or in part from provisions of 5 U.S.C.
552a and this part.
Appendix A to Subpart C--Departmental Offices
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Appendix B to Subpart C--Internal Revenue Service
Appendix C to Subpart C--United States Customs Service
Appendix D to Subpart C--United States Secret Service
Appendix E to Subpart C--Bureau of Alcohol, Tobacco and Firearms
Appendix F to Subpart C--Bureau of Engraving and Printing
Appendix G to Subpart C--Financial Management Service
Appendix H to Subpart C--United States Mint
Appendix I to Subpart C--Bureau of the Public Debt
Appendix J to Subpart C--Office of the Comptroller of the Currency
Appendix K to Subpart C--Federal Law Enforcement Training Center
Appendix L to Subpart C--Office of Thrift Supervision
Authority: 5 U.S.C. 301 and 31 U.S.C. 321. Subpart A also issued
under 5 U.S.C. 552, as amended. Subpart C also issued under 5 U.S.C.
552a.
Source: 52 FR 26305, July 14, 1987, unless otherwise noted.
Subpart A--Freedom of Information Act
Source: 65 FR 40504, June 30, 2000, unless otherwise noted.
Sec. 1.1 General.
(a) Purpose and scope. (1) This subpart contains the regulations of
the Department of the Treasury implementing the Freedom of Information
Act (FOIA), 5 U.S.C. 552, as amended by the Electronic Freedom of
Information Act Amendments of 1996. The regulations set forth procedures
for requesting access to records maintained by the Department of the
Treasury. These regulations apply to all bureaus of the Department of
the Treasury. Any reference in this subpart to the Department or its
officials, employees, or records shall be deemed to refer also to the
bureaus or their officials, employees, or records. Persons interested in
the records of a particular bureau should also consult the appendix to
this subpart that pertains to that bureau. The head of each bureau is
hereby authorized to substitute the officials designated and change the
addresses specified in the appendix to this subpart applicable to the
bureau. The bureaus of the Department of the Treasury for the purposes
of this subpart are:
(i) The Departmental Offices, which include the offices of:
(A) The Secretary of the Treasury, including immediate staff;
(B) The Deputy Secretary of the Treasury, including immediate staff;
(C) The Chief of Staff, including immediate staff;
(D) The Executive Secretary and all offices reporting to such
official, including immediate staff;
(E) The Under Secretary of the Treasury for International Affairs
and all offices reporting to such official, including immediate staff;
(F) The Under Secretary of the Treasury for Domestic Finance and all
offices reporting to such official, including immediate staff;
(G) The Under Secretary for Enforcement and all offices reporting to
such official, including immediate staff;
(H) The Assistant Secretary of the Treasury for Financial
Institutions and all offices reporting to such official, including
immediate staff;
(I) The Assistant Secretary of the Treasury for Economic Policy and
all offices reporting to such official, including immediate staff;
(J) The Fiscal Assistant Secretary and all offices reporting to such
official, including immediate staff;
(K) The General Counsel and all offices reporting to such official,
including immediate staff; except legal counsel to the components listed
in paragraphs (a)(1)(i)(L), and (a)(1)(i)(S), and (a)((1)(ii) through
(xii) of this section;
(L) The Inspector General and all offices reporting to such
official, including immediate staff;
(M) The Assistant Secretary of the Treasury for International
Affairs and all offices reporting to such official, including immediate
staff;
(N) The Assistant Secretary of the Treasury for Legislative Affairs
and Public Liaison and all offices reporting to such official, including
immediate staff;
(O) The Assistant Secretary of the Treasury for Management and Chief
Financial Officer and all offices reporting to such official, including
immediate staff;
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(P) The Assistant Secretary of the Treasury for Public Affairs and
all offices reporting to such official, including immediate staff;
(Q) The Assistant Secretary of the Treasury for Tax Policy and all
offices reporting to such official, including immediate staff;
(R) The Treasurer of the United States, including immediate staff;
(S) The Treasury Inspector General for Tax Administration and all
offices reporting to such official, including immediate staff.
(ii) The Bureau of Alcohol, Tobacco and Firearms.
(iii) The Office of the Comptroller of the Currency.
(iv) The United States Customs Service.
(v) The Bureau of Engraving and Printing.
(vi) The Federal Law Enforcement Training Center.
(vii) The Financial Management Service.
(viii) The Internal Revenue Service.
(ix) The United States Mint.
(x) The Bureau of the Public Debt.
(xi) The United States Secret Service.
(xii) The Office of Thrift Supervision.
(2) For purposes of this subpart, the office of the legal counsel
for the components listed in paragraphs (a)(1)(ii) through (xii) of this
section are to be considered a part of their respective bureaus. Any
office which is now in existence or may hereafter be established, which
is not specifically listed or known to be a component of any of those
listed in paragraphs (a)(1)(i) through (xii) of this section, shall be
deemed a part of the Departmental Offices for the purpose of making
requests for records under this subpart.
(b) Definitions. As used in this subpart, the following terms shall
have the following meanings:
(1) Agency has the meaning given in 5 U.S.C. 551(1) and 5 U.S.C.
552(f).
(2) Appeal means a request for a review of an agency's determination
with regard to a fee waiver, category of requester, expedited
processing, or denial in whole or in part of a request for access to a
record or records.
(3) Bureau means an entity of the Department of the Treasury that is
authorized to act independently in disclosure matters.
(4) Business information means trade secrets or other commercial or
financial information.
(5) Business submitter means any entity which provides business
information to the Department of the Treasury or its bureaus and which
has a proprietary interest in the information. (6) Computer
software means tools by which records are created, stored, and
retrieved. Normally, computer software, including source code, object
code, and listings of source and object codes, regardless of medium, are
not agency records. However, when data are embedded within the software
and cannot be extracted without the software, the software may have to
be treated as an agency record. Proprietary (or copyrighted) software is
not an agency record.
(7) Confidential commercial information means records provided to
the government by a submitter that arguably contain material exempt from
release under Exemption 4 of the Freedom of Information Act, 5 U.S.C.
552(b)(4), because disclosure could reasonably be expected to cause
substantial competitive harm.
(8) Duplication refers to the process of making a copy of a record
in order to respond to a FOIA request. Such copies can take the form of
paper copy, microform, audio-visual materials, or machine readable
documentation (e.g., magnetic tape or disk), among others.
(9) Electronic records means those records and information which are
created, stored, and retrievable by electronic means. This ordinarily
does not include computer software, which is a tool by which to create,
store, or retrieve electronic records.
(10) Request means any request for records made pursuant to 5 U.S.C.
552(a)(3).
(11) Requester means any person who makes a request for access to
records.
(12) Responsible official means a disclosure officer or the head of
the organizational unit having immediate custody of the records
requested, or an official designated by the head of the organizational
unit.
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(13) Review, for fee purposes, refers to the process of examining
records located in response to a commercial use request to determine
whether any portion of any record located is permitted to be withheld.
It also includes processing any records for disclosure; e.g., doing all
that is necessary to excise them and otherwise prepare them for release.
(14) Search includes all time spent looking for material that is
responsive to a request, including page-by-page or line-by-line
identification of material within records. Searches may be done manually
or by automated means.
Sec. 1.2 Information made available.
(a) General. The FOIA (5 U.S.C. 552) provides for access to
information and records developed or maintained by Federal agencies. The
provisions of section 552 are intended to assure the right of the public
to information. Generally, this section divides agency information into
three major categories and provides methods by which each category of
information is to be made available to the public. The three major
categories of information are as follows:
(1) Information required to be published in the Federal Register
(see Sec. 1.3);
(2) Information required to be made available for public inspection
and copying or, in the alternative, to be published and offered for sale
(see Sec. 1.4); and
(3) Information required to be made available to any member of the
public upon specific request (see Sec. 1.5).
(b) Subject only to the exemptions and exclusions set forth in 5
U.S.C. 552(b) and (c), any person shall be afforded access to
information or records in the possession of any bureau of the Department
of the Treasury, subject to the regulations in this subpart and any
regulations of a bureau implementing or supplementing them.
(c) Exemptions. (1) The disclosure requirements of 5 U.S.C. 552(a)
do not apply to certain matters which are exempt under 5 U.S.C. 552(b);
nor do the disclosure requirements apply to certain matters which are
excluded under 5 U.S.C. 552(c).
(2) Even though an exemption described in 5 U.S.C. 552(b) may be
applicable to the information or records requested, a Treasury bureau
may, if not precluded by law, elect under the circumstances of that
request not to apply the exemption. The fact that the exemption is not
applied by a bureau in response to a particular request shall have no
precedential significance in processing other requests, but is merely an
indication that, in the processing of the particular request, the bureau
finds no necessity for applying the exemption.
Sec. 1.3 Publication in the Federal Register.
(a) Requirement. Subject to the application of the exemptions and
exclusions in 5 U.S.C. 552(b) and (c) and subject to the limitations
provided in 5 U.S.C. 552(a)(1), each Treasury bureau shall, in
conformance with 5 U.S.C. 552(a)(1), separately state, publish and
maintain current in the Federal Register for the guidance of the public
the following information with respect to that bureau:
(1) Descriptions of its central and field organization and the
established places at which, the persons from whom, and the methods
whereby, the public may obtain information, make submittals or requests,
or obtain decisions;
(2) Statements of the general course and method by which its
functions are channeled and determined, including the nature and
requirements of all formal and informal procedures available;
(3) Rules of procedure, descriptions of forms available or the
places at which forms may be obtained, and instructions as to the scope
and contents of all papers, reports, or examinations;
(4) Substantive rules of general applicability adopted as authorized
by law, and statements of general policy or interpretations of general
applicability formulated and adopted by the bureau; and
(5) Each amendment, revision, or repeal of matters referred to in
paragraphs (a)(1) through (4) of this section.
(b) The United States Government Manual. The functions of each
bureau are summarized in the description of the Department and its
bureaus in the
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United States Government Manual, which is issued annually by the Office
of the Federal Register.
Sec. 1.4 Public inspection and copying.
(a) In general. Subject to the application of the exemptions and
exclusions described in 5 U.S.C. 552(b) and (c), each Treasury bureau
shall, in conformance with 5 U.S.C. 552(a)(2), make available for public
inspection and copying, or, in the alternative, promptly publish and
offer for sale the following information with respect to the bureau:
(1) Final opinions, including concurring and dissenting opinions,
and orders, made in the adjudication of cases;
(2) Those statements of policy and interpretations which have been
adopted by the bureau but are not published in the Federal Register;
(3) Its administrative staff manuals and instructions to staff that
affect a member of the public;
(4) Copies of all records, regardless of form or format, which have
been released to any person under 5 U.S.C. 552(a)(3), and which the
bureau determines have become or are likely to become the subject of
subsequent requests for substantially the same records because they are
clearly of interest to the public at large. The determination that
records have become or may become the subject of subsequent requests
shall be made by the Responsible Official (as defined at
Sec. 1.1(b)(12)).
(5) A general index of the records referred to in paragraph (a)(4)
of this section.
(b) Information made available by computer telecommunications. For
records required to be made available for public inspection and copying
pursuant to 5 U.S.C. 552(a)(2) (paragraphs (a)(1) through (4) of this
section) which are created on or after November 1, 1996, as soon as
practicable but no later than one year after such records are created,
each bureau shall make such records available on the Internet.
(c) Deletion of identifying details. To prevent a clearly
unwarranted invasion of personal privacy, or pursuant to an exemption in
5 U.S.C. 552(b), a Treasury bureau may delete information contained in
any matter described in paragraphs (a)(1) through (4) of this section
before making such matters available for inspection or publishing it.
The justification for the deletion shall be explained fully in writing,
and the extent of such deletion shall be indicated on the portion of the
record which is made available or published, unless including that
indication would harm an interest protected by the exemption in 5 U.S.C.
552(b) under which the deletion is made. If technically feasible, the
extent of the deletion shall be indicated at the place in the record
where the deletion was made.
(d) Public reading rooms. Each bureau of the Department of the
Treasury shall make available for public inspection and copying, in a
reading room or otherwise, the material described in paragraphs (a)(1)
through (5) of this section. Fees for duplication shall be charged in
accordance with Sec. 1.7. See the appendices to this subpart for the
location of established bureau reading rooms.
(e) Indexes. (1) Each bureau of the Department of the Treasury shall
maintain and make available for public inspection and copying current
indexes identifying any material described in paragraphs (a)(1) through
(3) of this section. In addition, each bureau shall promptly publish,
quarterly or more frequently, and distribute (by sale or otherwise)
copies of each index or supplement unless the head of each bureau (or a
delegate) determines by order published in the Federal Register that the
publication would be unnecessary and impractical, in which case the
bureau shall nonetheless provide copies of the index on request at a
cost not to exceed the direct cost of duplication.
(2) Each bureau shall make the index referred to in paragraph (a)(5)
of this section available on the Internet by December 31, 1999.
Sec. 1.5 Specific requests for other records.
(a) In general. (1) Except for records made available under 5 U.S.C.
552(a)(1) and (a)(2), but subject to the application of the exemptions
and exclusions described in 5 U.S.C. 552(b) and (c), each bureau of the
Department of the Treasury shall promptly make the requested records
available to any person in conformance with 5 U.S.C. 552(a)(3). The
request must conform in every respect
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with the rules and procedures of this subpart and the applicable
bureau's appendix to this subpart. Any request or appeal from the
initial denial of a request that does not comply with the requirements
in this subpart will not be considered subject to the time constraints
of paragraphs (h), (i), and (j) of this section, unless and until the
request is amended to comply. Bureaus shall promptly advise the
requester in what respect the request or appeal is deficient so that it
may be amended and resubmitted for consideration in accordance with this
subpart. If a requester does not respond within 30 days to a
communication from a bureau to amend the request in order for it to be
in conformance with this subpart, the request file will be considered
closed. When the request conforms with the requirements of this subpart,
bureaus shall make every reasonable effort to comply with the request
within the time constraints. If the description of the record requested
is of a type that is not maintained by the bureau, the requester shall
be so advised and the request shall be returned to the requester.
(2) This subpart applies only to records in the possession or
control of the bureau at the time of the request. Records considered to
be responsive to the request are those in existence on or before the
date of receipt of the request by the appropriate bureau official.
Requests for the continuing production of records created after the date
of the appropriate bureau official's receipt of the request shall not be
honored. Bureaus shall provide the responsive record or records in the
form or format requested if the record or records are readily
reproducible by the bureau in that form or format. Bureaus shall make
reasonable efforts to maintain their records in forms or formats that
are reproducible for the purpose of disclosure. For purposes of this
section, readily reproducible means, with respect to electronic format,
a record or records that can be downloaded or transferred intact to a
floppy disk, compact disk (CD), tape, or other electronic medium using
equipment currently in use by the office or offices processing the
request. Even though some records may initially be readily reproducible,
the need to segregate exempt from nonexempt records may cause the
releasable material to not be readily reproducible.
(3) Requests for information classified pursuant to Executive Order
12958, ``Classified National Security Information,'' require the
responsible bureau to review the information to determine whether it
continues to warrant classification. Information which no longer
warrants classification under the Executive Order's criteria shall be
declassified and made available to the requester, unless the information
is otherwise exempt from disclosure.
(4) When a bureau receives five or more requests for substantially
the same records, it shall place those requests in front of an existing
request backlog that the responsible official may have. Upon completion
of processing, the released records shall be made available in the
bureau's public reading room, and if created on or after November 1,
1996, shall be made available in the electronic reading room of the
bureau's web site.
(b) Form of request. In order to be subject to the provisions of
this section, the following must be satisfied.
(1) The request for records shall be made in writing, signed by the
person making the request, and state that it is made pursuant to the
Freedom of Information Act, 5 U.S.C. 552, or this subpart.
(2) The request shall indicate whether the requester is a commercial
user, an educational institution, non-commercial scientific institution,
representative of the news media, or ``other'' requester, subject to the
fee provisions described in Sec. 1.7. In order for the Department to
determine the proper category for fee purposes as defined in this
section, a request for records shall also state how the records released
will be used. This information shall not be used to determine the
releasibility of any record or records. A determination of the proper
category of requester shall be based upon a review of the requester's
submission and the bureau's own records. Where a bureau has reasonable
cause to doubt the use to which a requester will put the records sought,
or where that use is not clear from the request itself, bureaus
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should seek additional clarification before assigning the request to a
specific category. The categories of requesters are defined as follows:
(i) Commercial. A commercial use request refers to a request from or
on behalf of one who seeks information for a use or purpose that
furthers the commercial, trade, or profit interests of the requester or
the person on whose behalf the request is made, which can include
furthering those interests through litigation. The bureaus may determine
from the use specified in the request that the requester is a commercial
user.
(ii) Educational institution. This refers to a preschool, a public
or private elementary or secondary school, an institution of graduate
higher education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
This category does not include requesters wanting records for use in
meeting individual academic research or study requirements.
(iii) Non-commercial scientific institution. This refers to an
institution that is not operated on a ``commercial'' basis as that term
is defined in paragraph (b)(2)(i) of this section, and which is operated
solely for the purpose of conducting scientific research, the results of
which are not intended to promote any particular product or industry.
(iv) Representative of the news media. This refers to any person
actively gathering news for an entity that is organized and operated to
publish or broadcast news to the public. The term news means information
that is about current events or that would be of current interest to the
public. Examples of news media entities include television or radio
stations broadcasting to the public at large, and publishers of
periodicals (but only in those instances when they can qualify as
disseminators of ``news'') who make their products available for
purchase or subscription by the general public. These examples are not
intended to be all-inclusive. In the case of ``freelance'' journalists,
they may be regarded as working for a news organization if they can
demonstrate a solid basis for expecting publication through that
organization, even though not actually employed by it. A publication
contract would be the clearest proof, but bureaus may also look to the
past publication record of a requester in making this determination.
(v) ``Other'' Requester. This refers to a requester who does not
fall within any of the previously described categories.
(3) The request must be properly addressed to the bureau that
maintains the record. The functions of each bureau are summarized in The
United States Government Manual which is issued annually and is
available from the Superintendent of Documents. Both the envelope and
the request itself should be clearly marked ``Freedom of Information Act
Request.'' See the appendices to this subpart for the office or officer
to which requests shall be addressed for each bureau. A requester in
need of guidance in defining a request or determining the proper bureau
to which a request should be sent may contact Disclosure Services at
202/622-0930, or may write to Disclosure Services, Department of the
Treasury, 1500 Pennsylvania Avenue, NW, Washington, DC 20220. Requesters
may access the ``FOIA Home Page'' at the Department of the Treasury
World Wide Web site at: http://www.treas.gov.
(4) The request must reasonably describe the records in accordance
with paragraph (d) of this section.
(5) The request must set forth the address where the person making
the request wants to be notified about whether or not the request will
be granted.
(6) The request must state whether the requester wishes to inspect
the records or desires to have a copy made and furnished without first
inspecting them.
(7) The request must state the firm agreement of the requester to
pay the fees for search, duplication, and review as may ultimately be
determined in accordance with Sec. 1.7. The agreement may state the
upper limit (but not less than $25) that the requester is willing to pay
for processing the request. A request that fees be waived or reduced may
accompany the agreement to pay fees and shall be considered to the
extent that
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such request is made in accordance with Sec. 1.7(d) and provides
supporting information to be measured against the fee waiver standard
set forth in Sec. 1.7(d)(1). The requester shall be notified in writing
of the decision to grant or deny the fee waiver. A requester shall be
asked to provide an agreement to pay fees when the request for a fee
waiver or reduction is denied and the initial request for records does
not include such agreement. If a requester has an outstanding balance of
search, review, or duplication fees due for FOIA request processing, the
requirements of this paragraph are not met until the requester has
remitted the outstanding balance due.
(c) Requests for records not in control of bureau; referrals;
consultations. (1) When a requested record is in the possession or under
the control of a bureau of the Department other than the office to which
the request is addressed, the request for the record shall be
transferred to the appropriate bureau and the requester notified. This
referral shall not be considered a denial of access within the meaning
of these regulations. The bureau of the Department to which this
referral is made shall treat this request as a new request addressed to
it and the time limits for response set forth by paragraph (h)(1) of
this section shall begin when the referral is received by the designated
office or officer of the bureau.
(2) When a requested record has been created by an agency or
Treasury bureau other than the Treasury bureau possessing the record,
the bureau having custody of the record shall refer the record to the
originating agency or Treasury bureau for a direct response to the
requester. The requester shall be informed of the referral unless
otherwise instructed by the originating agency. This is not a denial of
a FOIA request; thus no appeal rights accrue to the requester.
(3) When a FOIA request is received for a record created by a
Treasury bureau that includes information originated by another bureau
of the Department of the Treasury or another agency, the record shall be
referred to the originating agency or bureau for review and
recommendation on disclosure. The agency or bureau shall respond to the
referring office. The Treasury bureau shall not release any such records
without prior consultation with the originating bureau or agency.
(4) In certain instances and at the discretion of the Departmental
Offices, requests having impact on two or more bureaus of the Department
may be coordinated by the Departmental Offices.
(d) Reasonable description of records. The request for records must
describe the records in reasonably sufficient detail to enable employees
who are familiar with the subject area of the request to locate the
records without placing an unreasonable burden upon the Department.
Whenever possible, a request should include specific information about
each record sought, such as the date, title or name, author, recipients,
and subject matter of the record. If the Department determines that the
request does not reasonably describe the records sought, the requester
shall be given an opportunity to provide additional information. Such
opportunity may, when necessary, involve a discussion with knowledgeable
Department of the Treasury personnel. The reasonable description
requirement shall not be used by officers or employees of the Department
of the Treasury to improperly withhold records from the public.
(e) Requests for expedited processing. (1) When a request for
records includes a request for expedited processing, both the envelope
and the request itself must be clearly marked, ``Expedited Processing
Requested.''
(2) Records will be processed as soon as practicable when a
requester asks for expedited processing in writing and is granted such
expedited treatment by the Department. The requester must demonstrate a
compelling need for expedited processing of the requested records. A
compelling need is defined as follows:
(i) Failure to obtain the requested records on an expedited basis
could reasonably be expected to pose an imminent threat to the life or
physical safety of an individual. The requester shall fully explain the
circumstances warranting such an expected threat so that the Department
may make a reasoned
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determination that a delay in obtaining the requested records could pose
such a threat; or
(ii) With respect to a request made by a person primarily engaged in
disseminating information, urgency to inform the public concerning
actual or alleged Federal Government activity. A person ``primarily
engaged in disseminating information'' does not include individuals who
are engaged only incidentally in the dissemination of information. The
standard of ``urgency to inform'' requires that the records requested
pertain to a matter of current exigency to the American public and that
delaying a response to a request for records would compromise a
significant recognized interest to and throughout the American general
public. The requester must adequately explain the matter or activity and
why the records sought are necessary to be provided on an expedited
basis.
(3) A demonstration of a compelling need by a person making a
request for expedited processing shall be made by a statement certified
by the requester to be true and correct to the best of his or her
knowledge and belief. The statement must be in the form prescribed by 28
U.S.C. 1746, ``I declare under penalty of perjury that the foregoing is
true and correct to the best of my knowledge and belief. Executed on
[date].''
(4) Upon receipt by the appropriate bureau official, a request for
expedited processing shall be considered and a determination as to
whether to grant or deny the request for expedited processing shall be
made, and the requester notified, within 10 calendar days of the date of
the request. However, in no event shall the bureau have fewer than five
days (excluding Saturdays, Sundays, and legal public holidays) from the
date of receipt of the request for such processing. The determination to
grant or deny a request for expedited processing may be made solely on
the information contained in the initial letter requesting expedited
treatment.
(5) Appeals of initial determinations to deny expedited processing
must be made within 10 calendar days of the date of the initial letter
of determination denying expedited processing. Both the envelope and the
appeal itself shall be clearly marked, ``Appeal for Expedited
Processing.''
(6) An appeal determination regarding expedited processing shall be
made, and the requester notified, within 10 days (excluding Saturdays,
Sundays, and legal public holidays) from the date of receipt of the
appeal.
(f) Date of receipt of request. A request for records shall be
considered to have been received on the date on which a complete request
containing the information required by paragraph (b) of this section has
been received. A determination that a request is deficient in any
respect is not a denial of access, and such determinations are not
subject to administrative appeal. Requests shall be stamped with the
date of receipt by the office prescribed in the appropriate appendix. As
soon as the date of receipt has been established, the requester shall be
so informed and shall also be advised when to expect a response. The
acknowledgment of receipt requirement shall not apply if a disclosure
determination will be issued prior to the end of the 20-day time limit.
(g) Search for record requested. Department of the Treasury
employees shall search to identify and locate requested records,
including records stored at Federal Records Centers. Searches for
records maintained in electronic form or format may require the
application of codes, queries, or other minor forms of programming to
retrieve the requested records. Wherever reasonable, searches shall be
done by electronic means. However, searches of electronic records are
not required when such searches would significantly interfere with the
operation of a Treasury automated information system or would require
unreasonable effort to conduct. The Department of the Treasury is not
required under 5 U.S.C. 552 to tabulate or compile information for the
purpose of creating a record or records that do not exist.
(h) Initial determination. (1) In general. The officers designated
in the appendices to this part shall make initial determinations either
to grant or to deny in whole or in part requests for records. Such
officers shall respond in the approximate order of receipt of the
requests, to the extent consistent with sound administrative practice.
These
[[Page 19]]
determinations shall be made and the requester notified within 20 days
(excepting Saturdays, Sundays, and legal public holidays) after the date
of receipt of the request, as determined in accordance with paragraph
(f) of this section, unless the designated officer invokes an extension
pursuant to paragraph (j)(1) of this section or the requester otherwise
agrees to an extension of the 20-day time limitation.
(2) Granting of request. If the request is granted in full or in
part, and if the requester wants a copy of the records, a copy of the
records shall be mailed to the requester, together with a statement of
the applicable fees, either at the time of the determination or shortly
thereafter.
(3) Inspection of records. In the case of a request for inspection,
the requester shall be notified in writing of the determination, when
and where the requested records may be inspected, and of the fees
incurred in complying with the request. The records shall then promptly
be made available for inspection at the time and place stated, in a
manner that will not interfere with Department of the Treasury
operations and will not exclude other persons from making inspections.
The requester shall not be permitted to remove the records from the room
where inspection is made. If, after making inspection, the requester
desires copies of all or a portion of the requested records, copies
shall be furnished upon payment of the established fees prescribed by
Sec. 1.7. Fees may be charged for search and review time as stated in
Sec. 1.7.
(4) Denial of request. If it is determined that the request for
records should be denied in whole or in part, the requester shall be
notified by mail. The letter of notification shall:
(i) State the exemptions relied on in not granting the request;
(ii) If technically feasible, indicate the amount of information
deleted at the place in the record where such deletion is made (unless
providing such indication would harm an interest protected by the
exemption relied upon to deny such material);
(iii) Set forth the name and title or position of the responsible
official;
(iv) Advise the requester of the right to administrative appeal in
accordance with paragraph (i) of this section; and
(v) Specify the official or office to which such appeal shall be
submitted.
(5) No records found. If it is determined, after a thorough search
for records by the responsible official or his delegate, that no records
have been found to exist, the responsible official will so notify the
requester in writing. The letter of notification will advise the
requester of the right to administratively appeal the Department's
determination that no records exist (i.e., to challenge the adequacy of
the Department's search for responsive records) in accordance with
paragraph (i) of this section. The response shall specify the official
or office to which the appeal shall be submitted for review.
(i) Administrative appeal. (1)(i) A requester may appeal a
Department of the Treasury initial determination when:
(A) Access to records has been denied in whole or in part;
(B) There has been an adverse determination of the requester's
category as provided in Sec. 1.7(d)(4);
(C) A request for fee waiver or reduction has been denied;
(D) It has been determined that no responsive records exist; or
(E) A request for expedited processing has been denied.
(ii) An appeal, other than an appeal for expedited processing, must
be submitted within 35 days of the date of the initial determination or
the date of the letter transmitting the last records released, whichever
is later, except in the case of a denial for expedited processing. An
appeal of a denial for expedited processing must be made within 10 days
of the date of the initial determination to deny expedited processing
(see Sec. 1.5(e)(5)). All appeals must be submitted to the official
specified in the appropriate appendix to this subpart whose title and
address should also have been included in the initial determination. An
appeal that is improperly addressed shall be considered not to have been
received by the Department until the office specified in the appropriate
appendix receives the appeal.
(2) The appeal shall--
[[Page 20]]
(i) Be made in writing and signed by the requester or his or her
representative;
(ii) Be addressed to and mailed or hand delivered within 35 days (or
within 10 days when expedited processing has been denied) of the date of
the initial determination, or the date of the letter transmitting the
last records released, whichever is later, to the office or officer
specified in the appropriate appendix to this subpart and also in the
initial determination. (See the appendices to this subpart for the
address to which appeals made by mail should be addressed);
(iii) Set forth the address where the requester desires to be
notified of the determination on appeal;
(iv) Specify the date of the initial request and date of the letter
of initial determination, and, where possible, enclose a copy of the
initial request and the initial determination being appealed.
(3)(i) Appeals shall be stamped with the date of their receipt by
the office to which addressed, and shall be processed in the approximate
order of their receipt. The receipt of the appeal shall be acknowledged
by the office or officer specified in the appropriate appendix to this
subpart and the requester advised of the date the appeal was received
and the expected date of response. The decision to affirm the initial
determination (in whole or in part) or to grant the request for records
shall be made and notification of the determination mailed within 20
days (exclusive of Saturdays, Sundays, and legal public holidays) after
the date of receipt of the appeal, unless extended pursuant to paragraph
(j)(1) of this section. If it is decided that the initial determination
is to be upheld (in whole or in part) the requester shall be--
(A) Notified in writing of the denial;
(B) Notified of the reasons for the denial, including the FOIA
exemptions relied upon;
(C) Notified of the name and title or position of the official
responsible for the determination on appeal; and
(D) Provided with a statement that judicial review of the denial is
available in the United States District Court for the judicial district
in which the requester resides or has a principal place of business, the
judicial district in which the requested records are located, or the
District of Columbia in accordance with 5 U.S.C. 552(a)(4)(B).
(ii) If the initial determination is reversed on appeal, the
requester shall be so notified and the request shall be processed
promptly in accordance with the decision on appeal.
(4) If a determination cannot be made within the 20-day period (or
within a period of extension pursuant to paragraph (j)(1) of this
section), the requester may be invited to agree to a voluntary extension
of the 20-day appeal period. This voluntary extension shall not
constitute a waiver of the right of the requester ultimately to commence
an action in a United States district court.
(j) Time extensions; unusual circumstances. (1) In unusual
circumstances, the time limitations specified in paragraphs (h) and (i)
of this section may be extended by written notice from the official
charged with the duty of making the determination to the person making
the request or appeal setting forth the reasons for this extension and
the date on which the determination is expected to be sent. As used in
this paragraph, unusual circumstances means, but only to the extent
reasonably necessary to the proper processing of the particular
requests:
(i) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
office processing the request;
(ii) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which are demanded in
a single request; or
(iii) The need for consultation, which shall be conducted with all
practicable speed, with another agency having a substantial interest in
the determination of the request, or among two or more bureaus or
components of bureaus of the Department of the Treasury having
substantial subject matter interest therein.
(2) Any extension or extensions of time shall not cumulatively total
more than 10 days (exclusive of Saturdays, Sundays, and legal public
holidays).
[[Page 21]]
However, if additional time is needed to process the request, the bureau
shall notify the requester and provide the requester an opportunity to
limit the scope of the request or arrange for an alternative time frame
for processing the request or a modified request. The requester shall
retain the right to define the desired scope of the request, as long as
it meets the requirements contained in this subpart.
(3) Bureaus may establish multitrack processing of requests based on
the amount of work or time, or both, involved in processing requests.
(4) If more than one request is received from the same requester, or
from a group of requesters acting in concert, and the Department
believes that such requests constitute a single request which would
otherwise satisfy the unusual circumstances specified in paragraph
(j)(1) of this section, and the requests involve clearly related
matters, the Department may aggregate these requests for processing
purposes.
(k) Failure to comply. If a bureau of the Department of the Treasury
fails to comply with the time limits specified in paragraphs (h) or (i)
of this section , or the time extensions of paragraph (j) of this
section, any person making a request for records in accordance with
Sec. 1.5 shall be considered to have exhausted administrative remedies
with respect to the request. Accordingly, the person making the request
may initiate suit as set forth in paragraph (l) of this section.
(l) Judicial review. If an adverse determination is made upon appeal
pursuant to paragraph (i) of this section, or if no determination is
made within the time limits specified in paragraphs (h) and (i) of this
section, together with any extension pursuant to paragraph (j)(1) of
this section or within the time otherwise agreed to by the requester,
the requester may commence an action in a United States district court
in the district in which he resides, in which his principal place of
business is located, in which the records are situated, or in the
District of Columbia, pursuant to 5 U.S.C. 552(a)(4).
(m) Preservation of records. Under no circumstances shall records be
destroyed while they are the subject of a pending request, appeal, or
lawsuit under the FOIA.
(n) Processing requests that are not properly addressed. A request
that is not properly addressed as specified in the appropriate appendix
to this subpart shall be forwarded to the appropriate bureau or bureaus
for processing. If the recipient of the request does not know the
appropriate bureau to forward it to, the request shall be forwarded to
the Departmental Disclosure Officer (Disclosure Services, DO), who will
determine the appropriate bureau. A request not addressed to the
appropriate bureau will be considered to have been received for purposes
of paragraph (f) of this section when the request has been received by
the appropriate bureau office as designated in the appropriate appendix
to this subpart. An improperly addressed request, when received by the
appropriate bureau office, shall be acknowledged by that bureau.
Sec. 1.6 Business information.
(a) In general. Business information provided to the Department of
the Treasury by a business submitter shall not be disclosed pursuant to
a Freedom of Information Act request except in accordance with this
section.
(b) Notice to business submitters. A bureau shall provide a business
submitter with prompt written notice of receipt of a request or appeal
encompassing its business information whenever required in accordance
with paragraph (c) of this section, and except as is provided in
paragraph (g) of this section. Such written notice shall either describe
the exact nature of the business information requested or provide copies
of the records or portions of records containing the business
information.
(c) When notice is required. The bureau shall provide a business
submitter with notice of receipt of a request or appeal whenever:
(1) The business submitter has in good faith designated the
information as commercially or financially sensitive information, or
(2) The bureau has reason to believe that disclosure of the
information could reasonably be expected to cause substantial
competitive harm.
[[Page 22]]
(3) Notice of a request for business information falling within
paragraph (c)(1) or (2) of this section shall be required for a period
of not more than ten years after the date of submission unless the
business submitter requests, and provides acceptable justification for,
a specific notice period of greater duration.
(4) The submitter's claim of confidentiality should be supported by
a statement by an authorized representative of the company providing
specific justification that the information in question is in fact
confidential commercial or financial information and has not been
disclosed to the public.
(d) Opportunity to object to disclosure. (1) Through the notice
described in paragraph (b) of this section, a bureau shall afford a
business submitter ten days from the date of the notice (exclusive of
Saturdays, Sundays, and legal public holidays) to provide the bureau
with a detailed statement of any objection to disclosure. Such statement
shall specify all grounds for withholding any of the information under
any exemption of the Freedom of Information Act and, in the case of
Exemption 4, shall demonstrate why the information is considered to be a
trade secret or commercial or financial information that is privileged
or confidential. Information provided by a business submitter pursuant
to this paragraph may itself be subject to disclosure under the FOIA.
(2) When notice is given to a submitter under this section, the
requester shall be advised that such notice has been given to the
submitter. The requester shall be further advised that a delay in
responding to the request may be considered a denial of access to
records and that the requester may proceed with an administrative appeal
or seek judicial review, if appropriate. However, the requester will be
invited to agree to a voluntary extension of time so that the bureau may
review the business submitter's objection to disclose.
(e) Notice of intent to disclose. A bureau shall consider carefully
a business submitter's objections and specific grounds for nondisclosure
prior to determining whether to disclose business information. Whenever
a bureau decides to disclose business information over the objection of
a business submitter, the bureau shall forward to the business submitter
a written notice which shall include:
(1) A statement of the reasons for which the business submitter's
disclosure objections were not sustained;
(2) A description of the business information to be disclosed; and
(3) A specified disclosure date which is not less than ten days
(exclusive of Saturdays, Sundays, and legal public holidays) after the
notice of the final decision to release the requested information has
been mailed to the submitter. Except as otherwise prohibited by law, a
copy of the disclosure notice shall be forwarded to the requester at the
same time.
(f) Notice of FOIA lawsuit. Whenever a requester brings suit seeking
to compel disclosure of business information covered by paragraph (c) of
this section, the bureau shall promptly notify the business submitter.
(g) Exception to notice requirement. The notice requirements of this
section shall not apply if:
(1) The bureau determines that the information shall not be
disclosed;
(2) The information lawfully has been published or otherwise made
available to the public; or
(3) Disclosure of the information is required by law (other than 5
U.S.C. 552).
Sec. 1.7 Fees for services.
(a) In general. This fee schedule is applicable uniformly throughout
the Department of the Treasury and pertains to requests processed under
the Freedom of Information Act. Specific levels of fees are prescribed
for each of the following categories of requesters. Requesters are asked
to identify the applicable fee category they belong to in their initial
request in accordance with Sec. 1.5(b).
(1) Commercial use requesters. These requesters are assessed charges
which recover the full direct costs of searching for, reviewing, and
duplicating the records sought. Commercial use requesters are not
entitled to two hours of free search time or 100 free pages of
duplication of documents. Moreover,
[[Page 23]]
when a request is received for disclosure that is primarily in the
commercial interest of the requester, the Department is not required to
consider a request for a waiver or reduction of fees based upon the
assertion that disclosure would be in the public interest. The
Department may recover the cost of searching for and reviewing records
even if there is ultimately no disclosure of records, or no records are
located.
(2) Educational and Non-Commercial Scientific Institution
Requesters. Records shall be provided to requesters in these categories
for the cost of duplication alone, excluding charges for the first 100
pages. To be eligible, requesters must show that the request is made
under the auspices of a qualifying institution and that the records are
not sought for a commercial use, but are sought in furtherance of
scholarly (if the request is from an educational institution) or
scientific (if the request is from a non-commercial scientific
institution) research. These categories do not include requesters who
want records for use in meeting individual academic research or study
requirements.
(3) Requesters who are Representatives of the News Media. Records
shall be provided to requesters in this category for the cost of
duplication alone, excluding charges for the first 100 pages.
(4) All Other Requesters. Requesters who do not fit any of the
categories described above shall be charged fees that will recover the
full direct cost of searching for and duplicating records that are
responsive to the request, except that the first 100 pages of
duplication and the first two hours of search time shall be furnished
without charge. The Department may recover the cost of searching for
records even if there is ultimately no disclosure of records, or no
records are located. Requests from persons for records about themselves
filed in the Department's systems of records shall continue to be
treated under the fee provisions of the Privacy Act of 1974 which permit
fees only for duplication, after the first 100 pages are furnished free
of charge.
(b) Fee waiver determination. Where the initial request includes a
request for reduction or waiver of fees, the responsible official shall
determine whether to grant the request for reduction or waiver before
processing the request and notify the requester of this decision. If the
decision does not waive all fees, the responsible official shall advise
the requester of the fact that fees shall be assessed and, if
applicable, payment must be made in advance pursuant to Sec. 1.7(e)(2).
(c) When fees are not charged. (1) No fee shall be charged for
monitoring a requester's inspection of records.
(2) Fees shall be charged in accordance with the schedule contained
in paragraph (g) of this section for services rendered in responding to
requests for records, unless any one of the following applies:
(i) Services were performed without charge;
(ii) The cost of collecting a fee would be equal to or greater than
the fee itself; or,
(iii) The fees were waived or reduced in accordance with paragraph
(d) of this section.
(d) Waiver or reduction of fees. (1) Fees may be waived or reduced
on a case-by-case basis in accordance with this paragraph by the
official who determines the availability of the records, provided such
waiver or reduction has been requested in writing. Fees shall be waived
or reduced by this official when it is determined, based upon the
submission of the requester, that a waiver or reduction of the fees is
in the public interest because furnishing the information is likely to
contribute significantly to public understanding of the operations or
activities of the government and is not primarily in the commercial
interest of the requester. Fee waiver/reduction requests shall be
evaluated against the fee waiver policy guidance issued by the
Department of Justice on April 2, 1987.
(2) Normally no charge shall be made for providing records to state
or foreign governments, international governmental organizations, or
local government agencies or offices.
(3) Appeals from denials of requests for waiver or reduction of fees
shall be decided in accordance with the criteria set forth in paragraph
(d)(1) of this section by the official authorized to decide appeals from
denials of access to
[[Page 24]]
records. Appeals shall be addressed in writing to the office or officer
specified in the appropriate appendix to this subpart within 35 days of
the denial of the initial request for waiver or reduction and shall be
decided within 20 days (excluding Saturdays, Sundays, and legal public
holidays).
(4) Appeals from an adverse determination of the requester's
category as described in Sec. 1.5(b)(2) and provided in Sec. 1.5(i)(1)
shall be decided by the official authorized to decide appeals from
denials of access to records and shall be based upon a review of the
requester's submission and the bureau's own records. Appeals shall be
addressed in writing to the office or officer specified in the
appropriate appendix to this subpart within 35 days of the date of the
bureau's determination of the requester's category and shall be decided
within 20 days (excluding Saturdays, Sundays, and legal public
holidays).
(e) Advance notice of fees. (1) When the fees for processing the
request are estimated to exceed the limit set by the requester, and that
amount is less than $250, the requester shall be notified of the
estimated costs. The requester must provide an agreement to pay the
estimated costs; however, the requester shall also be given an
opportunity to reformulate the request in an attempt to reduce fees.
(2) If the requester has failed to state a limit and the costs are
estimated to exceed $250.00, the requester shall be notified of the
estimated costs and must pre-pay such amount prior to the processing of
the request, or provide satisfactory assurance of full payment if the
requester has a history of prompt payment of FOIA fees. The requester
shall also be given an opportunity to reformulate the request in such a
way as to constitute a request for responsive records at a reduced fee.
(3) When the Department or a bureau of the Department acts under
paragraphs (e)(1) or (2) of this section, the administrative time limits
of 20 days (excluding Saturdays, Sundays, and legal public holidays)
from receipt of initial requests or appeals, plus extensions of these
time limits, shall begin only after fees have been paid, a written
agreement to pay fees has been provided, or a request has been
reformulated.
(f) Form of payment. (1) Payment may be made by check or money order
payable to the Treasury of the United States or the relevant bureau of
the Department of the Treasury.
(2) The Department of the Treasury reserves the right to request
prepayment after a request is processed and before documents are
released.
(3) When costs are estimated or determined to exceed $250, the
Department shall either obtain satisfactory assurance of full payment of
the estimated cost where the requester has a history of prompt payment
of FOIA fees or require a requester to make an advance payment of the
entire estimated or determined fee before continuing to process the
request.
(4) If a requester has previously failed to pay a fee within 30 days
of the date of the billing, the requester shall be required to pay the
full amount owed plus any applicable interest, and to make an advance
payment of the full amount of the estimated fee before the Department
begins to process a new request or the pending request. Whenever
interest is charged, the Department shall begin assessing interest on
the 31st day following the day on which billing was sent. Interest shall
be at the rate prescribed in 31 U.S.C. 3717. In addition, the Department
shall take all steps authorized by the Debt Collection Act of 1982, as
amended by the Debt Collection Improvement Act of 1996, including
administrative offset pursuant to 31 CFR Part 5, disclosure to consumer
reporting agencies and use of collection agencies, to effect payment.
(g) Amounts to be charged for specific services. The fees for
services performed by a bureau of the Department of the Treasury shall
be imposed and collected as set forth in this paragraph.
(1) Duplicating records. All requesters, except commercial
requesters, shall receive the first 100 pages duplicated without charge.
Absent a determination to waive fees, a bureau shall charge requesters
as follows:
(i) $.20 per page, up to 8\1/2\ x 14'', made by photocopy or similar
process.
(ii) Photographs, films, and other materials--actual cost of
duplication.
[[Page 25]]
(iii) Other types of duplication services not mentioned above--
actual cost.
(iv) Material provided to a private contractor for copying shall be
charged to the requester at the actual cost charged by the private
contractor.
(2) Search services. Bureaus shall charge for search services
consistent with the following:
(i) Searches for other than electronic records. The Department shall
charge for search time at the salary rate(s) (basic pay plus 16 percent)
of the employee(s) making the search. However, where a single class of
personnel is used exclusively (e.g., all administrative/clerical, or all
professional/executive), an average rate for the range of grades
typically involved may be established. This charge shall include
transportation of personnel and records necessary to the search at
actual cost. Fees may be charged for search time as prescribed in
Sec. 1.7, even if the search does not yield any responsive records, or
if records are denied.
(ii) Searches for electronic records. The Department shall charge
for actual direct cost of the search, including computer search time,
runs, and the operator's salary. The fee for computer output shall be
actual direct costs. For requesters in the ``all other'' category, when
the cost of the search (including the operator time and the cost of
operating the computer to process a request) equals the equivalent
dollar amount of two hours of the salary of the person performing the
search (i.e., the operator), the charge for the computer search will
begin.
(3) Review of records. The Department shall charge commercial use
requesters for review of records at the salary rate(s) (i.e., basic pay
plus 16 percent) of the employee(s) making the review. However, when a
single class of personnel is used exclusively (e.g., all administrative/
clerical, or all professional/executive), an average rate for the range
of grades typically involved may be established. Fees may be charged for
review time as prescribed in Sec. 1.7, even if records ultimately are
not disclosed.
(4) Inspection of records. Fees for all services provided shall be
charged whether or not copies are made available to the requester for
inspection.
(5) Other services. Other services and materials requested which are
not covered by this part nor required by the FOIA are chargeable at the
actual cost to the Department. This includes, but is not limited to:
(i) Certifying that records are true copies;
(ii) Sending records by special methods such as express mail, etc.
(h) Aggregating requests. When the Department or a bureau of the
Department reasonably believes that a requester or group of requesters
is attempting to break a request down into a series of requests for the
purpose of evading the assessment of fees, the agency shall aggregate
any such requests and charge accordingly.
Appendices to Subpart A
Appendix A to Subpart A of Part 1--Departmental Offices
1. In general. This appendix applies to the Departmental Offices as
defined in 31 CFR 1.1(a)(1).
2. Public reading room. The public reading room for the Departmental
Offices is the Treasury Library. The Library is located in the Main
Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
For building security purposes, visitors are required to make an
appointment by calling 202-622-0990.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the Departmental Offices
will be made by the head of the organizational unit having immediate
custody of the records requested or the delegate of such official.
Requests for records should be addressed to: Freedom of Information
Request, DO, Assistant Director, Disclosure Services, Department of the
Treasury, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
4. Administrative appeal of initial determination to deny records.
(i) Appellate determinations under 31 CFR 1.5(i) with respect to
records of the Departmental Offices will be made by the Secretary,
Deputy Secretary, Under Secretary, General Counsel, Inspector General,
Treasury Inspector General for Tax Administration, Treasurer of the
United States, or Assistant Secretary having jurisdiction over the
organizational unit which has immediate custody of the records
requested, or the delegate of such officer.
(ii) Appellate determinations with respect to requests for expedited
processing shall be made by the Deputy Assistant Secretary
(Administration).
[[Page 26]]
(iii) Appeals should be addressed to:
Freedom of Information Appeal, DO, Assistant Director, Disclosure
Services, Department of the Treasury, 1500 Pennsylvania Avenue, NW.,
Washington, DC 20220.
5. Delivery of process. Service of process will be received by the
General Counsel of the Department of the Treasury or the delegate of
such officer and shall be delivered to the following location: General
Counsel, Department of the Treasury, Room 3000, Main Treasury Building,
1500 Pennsylvania Avenue, NW., Washington, DC 20220.
Appendix B to Subpart A of Part 1--Internal Revenue Service
1. In general. This appendix applies to the Internal Revenue
Service. See also 26 CFR 601.702.
2. Public reading room. The public reading rooms for the Internal
Revenue Service are maintained at the following location:
National Office
Mailing Address
Freedom of Information Reading Room, PO Box 795, Ben Franklin Station,
Washington, DC 20044
Walk-In Address
Room 1621, 1111 Constitution Avenue, NW., Washington, DC
Northeast Region
Mailing Address
Freedom of Information Reading Room, PO Box 5138, E:QMS:D, New York, NY
10163
Walk-In Address
11th Floor, 110 W. 44th Street, New York, NY
Midstates Region
Mailing Address
Freedom of Information Reading Room, Mail Code 7000 DAL, 1100 Commerce
Street, Dallas, TX 75242
Walk-In Address
10th Floor, Rm. 10B37, 1100 Commerce Street, Dallas, TX
Southeast Region
Mailing Address
401 W. Peachtree Street, NW., Stop 601D, Room 868, Atlanta, GA 30365
Walk-In Address
Same as mailing address
Western Region
Mailing Address
1301 Clay Street, Stop 800-S, Oakland, CA 94612
Walk-In Address
8th Floor, 1301 Clay Street, Oakland, CA
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the Internal Revenue
Service, grant expedited processing, grant a fee waiver, or determine
requester category will be made by those officials specified in 26 CFR
601.702.
4. Administrative appeal of initial determination to deny records.
Appellate eterminations under 31 CFR 1.5(i) with respect to records of
the Internal Revenue Service will be made by the Commissioner of
Internal Revenue or the delegate of such officer. Appeals made by mail
should be addressed to: Freedom of Information Appeal, Commissioner of
Internal Revenue Service, c/o Ben Franklin Station, PO Box 929,
Washington, DC 20044.
Appeals may be delivered personally to the Assistant Chief Counsel
(Disclosure Litigation) CC:EL:D, Office of the Chief Counsel, Internal
Revenue Building, 1111 Constitution Avenue NW., Washington, D.C.
5. Delivery of process. Service of process shall be effected
consistent with Rule 4 of the Federal Rule of Civil Procedure, and
directed to the Commissioner of Internal Revenue at the following
address: Commissioner, Internal Revenue Service, 1111 Constitution
Avenue NW., Washington, DC 20224. Attention: CC:EL:D.
Appendix C to Subpart A of Part 1--United States Customs Service
1. In general. This appendix applies to the United States Customs
Service.
2. Public reading room. The public reading room for the United
States Customs Service is maintained at the following location: United
States Customs Service, 1300 Pennsylvania Avenue NW., Washington, DC
20229.
3. Requests for records.
(a) Headquarters--Initial determinations under 31 CFR 1.5(h) as to
whether to grant requests for records will be made by the appropriate
Division Director at Customs Service Headquarters having custody of or
functional jurisdiction over the subject matter of the requested
records. If the request relates to records maintained in an office which
is not within a division, the initial determination shall be made by the
individual designated for that purpose by the Assistant Commissioner
having responsibility for that office. Requests may be mailed or
delivered in person to: Freedom of Information Act, Chief, Disclosure
Law Branch, U.S. Customs
[[Page 27]]
Service, 1300 Pennsylvania Avenue, NW., Washington, DC 20229.
(b) Field Offices--Initial determinations under 31 CFR 1.5(h) as to
whether to grant requests for records maintained by the Office of
Investigations will be made by the Special Agent in Charge in whose
office the records are maintained. Initial determinations of records
maintained in Customs Ports of Entry as to whether or not to grant
requests for records will be made by the Port Director of the Customs
Service Port having jurisdiction over the Port of Entry in which the
records are maintained. Requests may be mailed or faxed to or delivered
personally to the respective Special Agents in Charge or Port Directors
of the Customs Service Ports at the following locations:
Offices of Special Agents in Charge (SACS)
Atlanta--SAC
1691 Phoenix Blvd., Suite 250, Atlanta, Georgia 30349, Phone (770) 994-
2230, FAX (770) 994-2262
Detroit--SAC
McNamara Federal Building, 477 Michigan Avenue, Room 350, Detroit,
Michigan 48226-2568, Phone (313) 226-3166, FAX (313) 226-6282
Baltimore--SAC
40 South Gay Street, 3rd Floor Baltimore, Maryland 21202, Phone (410)
962-2620, FAX (410) 962-3469
El Paso--SAC
9400 Viscount Blvd., Suite 200, El Paso, Texas 79925, Phone (915) 540-
5700, FAX (915) 540-5754
Boston--SAC
10 Causeway Street, Room 722, Boston, MA 02222-1054, Phone (617) 565-
7400, FAX (617) 565-7422
Houston--SAC
4141 N. Sam Houston Pkwy, E., Houston, Texas 77032, Phone (281) 985-
0500, FAX (281) 985-0505
Buffalo--SAC
111 West Huron Street, Room 416, Buffalo, New York 14202, Phone (716)
551-4375, FAX (716) 551-4379
Los Angeles--SAC
300 South Ferry St., Room 2037, Terminal Island, CA 90731, Phone (310)
514-6231, FAX (310) 514-6280
Chicago--SAC
610 South Canal Street, Room 1001, Chicago, Illinois 60607, Phone (312)
353-8450, FAX (312) 353-8455
Miami--SAC
8075 NW 53rd Street, Scranton Building, Miami, Florida 33166, Phone
(305) 597-6030, FAX (305) 597-6227
Denver--SAC
115 Inverness Drive, East, Suite 300, Englewood, CO 80112-5131, Phone
(303) 784-6480, FAX (303) 784-6490
New Orleans--SAC
423 Canal Street, Room 207, New Orleans, LA 70130, Phone (504) 670-2416,
FAX (504) 589-2059
New York--SAC
6 World Trade Center, New York, New York 10048-0945, Phone (212) 466-
2900, FAX (212) 466-2903
San Juan--SAC
1, La Puntilla Street, Room 110, San Juan, PR 00901, Phone
(787) 729-6975 FAX (787) 729-6646
San Antonio--SAC
10127 Morocco, Suite 180, San Antonio, Texas 78216, Phone (210) 229-
4561, FAX (210) 229-4582
Seattle--SAC
1000--2nd Avenue, Suite 2300, Seattle, Washington, 98104, Phone (206)
553-7531, FAX (206) 553-0826
San Diego--SAC
185 West ``F'' Street, Suite 600, San Diego, CA 92101, Phone (619) 557-
6850, FAX (619) 557-5109
Tampa--SAC
2203 North Lois Avenue, Suite 600, Tampa, Florida 33607, Phone (813)
348-1881, FAX (813) 348-1871
San Francisco--SAC
1700 Montgomery Street, Suite 445, San Francisco, CA 94111, Phone (415)
705-4070, FAX (415) 705-4065
Tucson--SAC
555 East River Road, Tucson, Arizona 85704, Phone (520) 670-6026, FAX
(520) 670-6233
Customs Service Ports
Anchorage: 605 West Fourth Avenue Anchorage, AK 99501. Phone: (907) 271-
2675; FAX: (907) 271-2684.
[[Page 28]]
Minneapolis: 110 South Street Minneapolis, MN 55401. Phone: (612) 348-
1690; FAX: (612) 348-1630.
Baltimore: 200 St. Paul Place Baltimore, MD 21202. Phone: (410) 962-
2666; FAX: (410) 962-9335.
Mobile: 150 North Royal Street Mobile, AL 36602. Phone: (205) 441-5106;
FAX: (205) 441-6061.
Blaine: 9901 Pacific Highway Blaine, WA 98230. Phone: (360) 332-5771;
FAX: (360) 332-4701.
New Orleans: 423 Canal Street New Orleans, LA 70130. Phone: (504) 589-
6353; FAX: (504) 589-7305.
Boston: 10 Causeway Street Boston, MA 02222-1059. Phone: (617) 565-6147;
FAX: (617) 565-6137.
New York: 6 World Trade Center New York, NY 10048. Phone: (212) 466-
4444; FAX: (212) 455-2097.
Buffalo: 111 West Huron Street Buffalo, NY 14202-22378. Phone: (716)
551-4373; FAX: (716) 551-5011.
New York-JFK Area: Building 77 Jamaica, NY 11430. Phone: (718)
553-1542; FAX: (718) 553-0077.
Champlain: 35 West Service Road Rts. 1 & 9 South Champlain, NY 12919.
Phone: (518) 298-8347; FAX: (518) 298-8314.
New York-NY/Newark Area: Hemisphere Center, Newark, NJ 07114. Phone:
(201) 645-3760; FAX: (201) 645-6634.
Charleston: 200 East Bay Street Charleston, SC 29401. Phone: (803) 727-
4296; FAX: (803) 727-4043.
Nogales: 9 North Grand Avenue Nogales, AZ 85621. Phone: (520) 287-1410;
FAX: (520) 287-1421.
Charlotte: 1801-K Cross Beam Drive Charlotte, NC 28217. Phone: (704)
329-6101; FAX: (704) 329-6103.
Norfolk: 200 Granby Street Norfolk, VA 23510. Phone: (804) 441-3400;
FAX: (804) 441-6630.
Charlotte/Amalie: Main Post OFC-Sugar Estate St. Thomas, VI 00801.
Phone: (809) 774-2511; FAX: (809) 776-3489.
Pembina: PO Box 610 Pembina, ND 58271. Phone: (701) 825-6201; FAX: (701)
825-6473.
Chicago: 610 South Canal Street Chicago, IL 60607. Phone: (312) 353-
6100; FAX: (312) 353-2337.
Philadelphia: 2nd & Chestnut Streets Philadelphia, PA 19106. Phone:
(215) 597-4605; FAX: (215) 597-2103.
Cleveland: 56 Erieview Plaza Cleveland, OH 44114. Phone: (216) 891-3804;
FAX: (216) 891-3836.
Portland, Oregon: 511 NW Broadway Portland, OR 97209. Phone: (503) 326-
2865; FAX: (503) 326-3511.
Dallas/Fort Worth: PO Box 61905 Dallas/Fort Worth Airport, TX 75261.
Phone: (972) 574-2170; FAX: (972) 574-4818.
Providence: 49 Pavilion Avenue Providence, RI 02905. Phone: (401) 941-
6326; FAX: (401) 941-6628.
Denver: 4735 Oakland Street Denver, CO 80239. Phone: (303) 361-0715;
FAX: (303) 361-0722.
San Diego: 610 West Ash Street San Diego, CA 92188. Phone: (619) 557-
6758; FAX: (619) 557-5314.
Detroit: 477 Michigan Avenue Detroit, MI 48226. Phone: (313) 226-3178;
FAX: (313) 226-3179.
San Francisco: 555 Battery Avenue San Francisco, CA 94111. Phone: (415)
744-7700; FAX: (415) 744-7710.
Duluth: 515 West 1st Street Duluth, MN 55802-1390. Phone: (218) 720-
5201; FAX: (218) 720-5216.
San Juan: 1 La Puntilla San Juan, PR 00901. Phone: (809) 729-
6965; FAX: (809) 729-6978.
El Paso: 9400 Viscount Boulevard El Paso, TX 79925. Phone: (915) 540-
5800; FAX: (915) 540-3011.
Savannah: 1 East Bay Street Savannah, GA 31401. Phone: (912) 652-4256;
FAX: (912) 652-4435.
Great Falls: 300 2nd Avenue South Great Falls, MT 59403. Phone: (406)
453-7631; FAX: (406) 453-7069.
Seattle: 1000 2nd Avenue Seattle, WA 98104-1049. Phone: (206) 553-0770;
FAX: (206) 553-2970.
Honolulu: 335 Merchant Street Honolulu, HI 96813. Phone: (808) 522-8060;
FAX: (808) 522-8060.
St. Albans: P.O. Box 1490 St. Albans, VT 05478. Phone: (802) 524-7352;
FAX: (802) 527-1338.
Houston/Galveston: 1717 East Loop Houston, TX 77029. Phone: (713) 985-
6712; FAX: (713) 985-6705.
St. Louis: 4477 Woodson Road St. Louis, MO 63134-3716. Phone: (314) 428-
2662; FAX: (314) 428-2889.
Laredo/Colombia: P.O. Box 3130 Laredo, TX 78044. Phone: (210) 726-2267;
FAX: (210) 726-2948.
Tacoma: 2202 Port of Tacoma Road, Tacoma, WA 98421. Phone: (206) 593-
6336; FAX: (206) 593-6351.
Los Angeles: 300 South Ferry Street Terminal Island, CA 90731. Phone:
(310) 514-6001; FAX: (310) 514-6769.
Tampa: 4430 East Adamo Drive Tampa, FL 33605. Phone: (813) 228-2381;
FAX: (813) 225-7309.
Miami Airport: 6601 West 25th Street Miami, FL 33102-5280. Phone: (305)
869-2800; FAX: (305) 869-2822.
Washington, DC: P.O. Box 17423 Washington, DC. 20041. Phone: (703) 318-
5900; FAX: (703) 318-6706.
Milwaukee: P.O. Box 37260 Milwaukee, WI 53237-0260. Phone: (414) 571-
2860; FAX: (414) 762-0253.
(c) All such requests should be conspicuously labeled on the face of
the envelope,
[[Page 29]]
``Freedom of Information Act Request'' or ``FOIA Request''.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) will be made by the
Assistant Commissioner of Customs (Office of Regulations and Rulings),
or his designee, and all such appeals should be mailed, faxed (202/927-
1873) or personally delivered to the United States Customs Service, 1300
Pennsylvania Avenue, NW., Washington, DC 20229. If possible, a copy of
the initial letter of determination should be attached to the appeal.
5. Delivery of process. Service of process will be received by the
Chief Counsel, United States Customs Service, 1300 Pennsylvania Avenue,
NW., Washington, DC 20229.
Appendix D to Subpart A of Part 1--United States Secret Service
1. In general. This appendix applies to the United States Secret
Service.
2. Public reading room. The United States Secret Service will
provide a room on an ad hoc basis when necessary. Contact the Disclosure
Officer, Room 720, 1800 G Street, NW., Washington, DC 20223 to make
appointments.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the United States Secret
Service will be made by the Freedom of Information and Privacy Acts
Officer, United States Secret Service. Requests may be mailed or
delivered in person to: Freedom of Information Act Request, FOIA and
Privacy Acts Officer, U.S. Secret Service, Room 720, 1800 G Street, NW.,
Washington, DC 20223.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the United States Secret Service will be made by the Deputy Director,
United States Secret Service. Appeals should be addressed to: Freedom of
Information Appeal, Deputy Director, U.S. Secret Service, Room 800, 1800
G Street, NW., Washington, DC 20223.
5. Delivery of Process. Service of process will be received by the
United States Secret Service Chief Counsel at the following address:
Chief Counsel, U.S. Secret Service, Room 842, 1800 G Street, NW.,
Washington, DC 20223.
Appendix E to Subpart A of Part 1--Bureau of Alcohol, Tobacco and
Firearms
1. In general. This appendix applies to the Bureau of Alcohol,
Tobacco and Firearms.
2. Public reading room. The Bureau of Alcohol, Tobacco and Firearms
will make materials available for review on an ad hoc basis when
necessary. Contact the Chief, Disclosure Division, Bureau of Alcohol,
Tobacco, and Firearms, 650 Massachusetts Avenue, NW., Washington, DC
20226.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the Bureau of Alcohol,
Tobacco, and Firearms will be made by the Chief, Disclosure Division,
Office of Assistant Director (Liaison and Public Information) or the
delegate of such officer. Requests may be mailed or delivered in person
to: Freedom of Information Act Request, Chief, Disclosure Division,
Bureau of Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue, NW.,
Washington, DC 20226.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the Bureau of Alcohol, Tobacco and Firearms will be made by the
Assistant Director, Liaison and Public Information, Bureau of Alcohol,
Tobacco, and Firearms or the delegate of such officer.
Appeals may be mailed or delivered in person to: Freedom of
Information Appeal, Assistant Director, Liaison and Public Information,
Bureau of Alcohol, Tobacco, and Firearms, 650 Massachusetts Avenue, NW.,
Washington, DC 20226.
5. Delivery of process. Service of process will be received by the
Director of the Bureau of Alcohol, Tobacco, and Firearms at the
following location: Bureau of Alcohol, Tobacco, and Firearms, 650
Massachusetts Avenue, NW., Washington, DC 20226, Attention: Chief
Counsel.
Appendix F to Subpart A of Part 1--Bureau of Engraving and Printing
1. In general. This appendix applies to the Bureau of Engraving and
Printing.
2. Public reading room. Contact the Disclosure Officer, 14th and C
Streets, SW., Washington, DC 20228, to make an appointment.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the Bureau of Engraving
and Printing will be made by the Assistant to the Director. Requests may
be mailed or delivered in person to: Freedom of Information Act Request,
Disclosure Officer, (Assistant to the Director), Room 112-M, Bureau of
Engraving and Printing, Washington, DC 20228.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the Bureau of Engraving and Printing will be made by the Director of the
Bureau of Engraving and Printing or the delegate of the Director.
Appeals may be mailed or delivered in person to: Freedom of Information
Appeal, Director, Bureau of Engraving and Printing, 14th and C Streets,
SW., Room 119-M, Washington, DC 20228.
[[Page 30]]
5. Delivery of process. Service of process will be received by the
Chief Counsel or the delegate of such officer at the following location:
Chief Counsel, Bureau of Engraving and Printing, 14th and C Streets,
SW., Room 104-24 M, Washington, DC 20228.
Appendix G to Subpart A of Part 1--Financial Management Service
1. In general. This appendix applies to the Financial Management
Service.
2. Public reading room. The public reading room for the Financial
Management Service is maintained at the following location: Library,
Main Treasury Building, 1500 Pennsylvania Avenue NW., Washington, DC
20220. For building security purposes, visitors are required to make an
appointment by calling 202/622-0990.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
whether to grant requests for records will be made by the Disclosure
Officer, Financial Management Service. Requests may be mailed or
delivered in person to: Freedom of Information Request, Disclosure
Officer, Financial Management Service, 401 14th Street, SW., Washington,
DC 20227.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) will be made by the
Commissioner, Financial Management Service. Appeals may be mailed to:
Freedom of Information Appeal (FOIA), Commissioner, Financial Management
Service, 401 14th Street, SW., Washington, DC 20227.
Appeals may be delivered personally to the Office of the
Commissioner, Financial Management Service, 401 14th Street, SW.,
Washington, DC.
5. Delivery of process. Service of process will be received by the
Commissioner, Financial Management Service, and shall be delivered to:
Commissioner, Financial Management Service, Department of the Treasury,
401 14th Street, SW., Washington, DC 20227.
Appendix H to Subpart A of Part 1--United States Mint
1. In general. This appendix applies to the United States Mint.
2. Public reading room. The U.S. Mint will provide a room on an ad
hoc basis when necessary. Contact the Freedom of Information/Privacy Act
Officer, United States Mint, Judiciary Square Building, 7th floor, 633
3rd Street, NW., Washington, DC 20220.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the United States Mint
will be made by the Freedom of Information/Privacy Act Officer, United
States Mint. Requests may be mailed or delivered in person to: Freedom
of Information Act Request, Freedom of Information/Privacy Act Officer,
United States Mint, Judiciary Square Building, 7th Floor, 633 3rd
Street, NW., Washington, DC 20220.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the United States Mint will be made by the Director of the Mint. Appeals
made by mail should be addressed to: Freedom of Information Appeal,
Director, United States Mint, Judiciary Square Building, 7th Floor, 633
3rd Street, NW., Washington, DC 20220.
5. Delivery of process. Service of process will be received by the
Director of the Mint and shall be delivered to: Chief Counsel, United
States Mint, Judiciary Square Building, 7th Floor, 633 3rd Street, NW.,
Washington, D.C. 20220.
Appendix I to Subpart A of Part 1--Bureau of the Public Debt
1. In general. This appendix applies to the Bureau of the Public
Debt.
2. Public reading room. The public reading room for the Bureau of
the Public Debt is maintained at the following location: Library, Main
Treasury Building, 1500 Pennsylvania Avenue, NW, Washington, DC 20220.
For building security purposes, visitors are required to make an
appointment by calling 202/622-0990.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
whether to grant requests for records will be made by the Disclosure
Officer of the Bureau of the Public Debt. Requests may be sent to:
Freedom of Information Act Request, Disclosure Officer, Administrative
Resource Center, Bureau of the Public Debt, Department of the Treasury,
200 Third Street, Room 211, Parkersburg, WV 26101-5312.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the Bureau of the Public Debt will be made by the Executive Director,
Administrative Resource Center, Bureau of the Public Debt. Appeals may
be sent to: Freedom of Information Act Appeal, Executive Director,
Administrative Resource Center, Bureau of the Public Debt, Department of
the Treasury, 200 Third Street, Room 211, Parkersburg, WV 26101-5312.
5. Delivery of process. Service of process will be received by the
Chief Counsel, Bureau of the Public Debt, or the delegate of such
officer, and shall be delivered to the following location: Chief
Counsel's Office, Bureau of the Public Debt, 200 Third Street, Room G-
15, Parkersburg, WV 26106-1328.
[65 FR 40504, June 30, 2000, as amended at 67 FR 34402, May 14, 2002]
[[Page 31]]
Appendix J to Subpart A of Part 1--Office of the Comptroller of the
Currency
1. In general. This appendix applies to the Office of the
Comptroller of the Currency.
2. Public reading room. The Office of the Comptroller of the
Currency will make materials available through its Public Information
Room at 250 E Street, SW., Washington, DC 20219.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the Office of the
Comptroller of the Currency will be made by the Disclosure Officer or
the official so designated. Requests may be mailed or delivered in
person to: Freedom of Information Act Request, Disclosure Officer,
Communications Division, 3rd Floor, Comptroller of the Currency, 250 E
Street, SW., Washington, DC 20219.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the Office of the Comptroller of the Currency will be made by the Chief
Counsel or delegates of such person. Appeals made by mail should be
addressed to: Communications Division, Comptroller of the Currency, 250
E Street, SW., Washington, DC 20219.
Appeals may be delivered personally to the Communications Division,
Comptroller of the Currency, 250 E Street, SW., Washington, DC.
5. Delivery of process. Service of process will be received by the
Director, Litigation Division, Comptroller of the Currency, and shall be
delivered to such officer at the following location: Litigation
Division, Comptroller of the Currency, 250 E Street, SW., Washington, DC
20219.
Appendix K to Subpart A of Part 1--Federal Law Enforcement Training
Center
1. In general. This apppendix applies to the Federal Law Enforcement
Training Center.
2. Public reading room. The public reading room for the Federal Law
Enforcement Training Center is maintained at the following location:
Library, Building 262, Federal Law Enforcement Training Center, Glynco,
GA 31524.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records will be made by the Chief,
Management Analysis Division, Federal Law Enforcement Training Center.
Requests made by mail should be addressed to: Freedom of Information Act
Request, Freedom of Information Act Officer, Federal Law Enforcement
Training Center, Department of the Treasury, Building 94, Glynco, GA
31524.
Requests may be delivered personally to the Management Analysis
Division, Federal Law Enforcement Training Center, Building 94, Glynco,
GA.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the consolidated Federal Law Enforcement Training Center will be made by
the Director, Federal Law Enforcement Training Center. Appeals may be
mailed to: Freedom of Information Appeal, Federal Law Enforcement
Training Center, Department of the Treasury, Building 94, Glynco, GA
31524.
5. Delivery of process. Service of process will be received by the
Legal Counsel of the Federal Law Enforcement Training Center, or his
delegate, and shall be delivered to such officer at the following
location: Legal Counsel, Federal Law Enforcement Training Center,
Department of the Treasury, Building 94, Glynco, GA 31524.
Appendix L to Subpart A of Part 1--Office of Thrift Supervision
1. In general. This appendix applies to the Office of Thrift
Supervision (OTS). OTS regulatory handbooks and other publications are
available for sale. Information may be obtained by calling the OTS Order
Department at 301/645-6264. OTS regulatory handbooks and other
publications may be purchased by forwarding a request, along with a
check to: OTS Order Department, PO Box 753, Waldorf, MD 20604 or by
calling 301/645-6264 to pay by VISA or MASTERCARD.
2. Public reading room. The public reading room for the Office of
Thrift Supervision is maintained at the following location: 1700 G
Street, NW., Washington, DC 20552.
3. Requests for records. Initial determinations under 31 CFR 1.5(h)
as to whether to grant requests for records of the Office of Thrift
Supervision will be made by the Director, OTS Dissemination Branch.
Requests for records should be addressed to: Freedom of Information
Request, Manager, Dissemination Branch, Records Management & Information
Policy Division, Office of Thrift Supervision, 1700 G Street, NW.,
Washington, DC 20552.
Requests for records may be delivered in person to: Public Reference
Room, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC.
4. Administrative appeal of initial determination to deny records.
Appellate determinations under 31 CFR 1.5(i) with respect to records of
the Office of Thrift Supervision will be made by the Director, Records
Management & Information Policy, Office of Thrift Supervision, or their
designee. Appeals made by mail should be addressed to: Freedom of
Information Appeal, Director, Records Management & Information Policy
[[Page 32]]
Division, Office of Thrift Supervision, 1700 G Street, NW., Washington,
DC 20552.
Appeals may be delivered in person to: Public Reference Room, Office
of Thrift Supervision, 1700 G Street, NW., Washington, DC.
5. Delivery of process. Service of process will be received by the
Corporate Secretary of the Office of Thrift Supervision or their
designee and shall be delivered to the following location: Corporate
Secretary, Office of Thrift Supervision, 1700 G Street, NW., Washington,
DC 20552.
Subpart B--Other Disclosure Provisions
Sec. 1.8 Scope.
The regulations in this subpart concern access to information and
records other than under 5 U.S.C. 552. This subpart is applicable only
to the Departmental Offices as defined in Sec. 1.1(a) of this part and
the United States Savings Bonds Division and the United States Secret
Service.
Sec. 1.9 Records not to be otherwise withdrawn or disclosed.
Except in accordance with this part, or as otherwise authorized,
Treasury Department officers and employees are prohibited from making
records or duplicates available to any person, not an officer or
employee of the Department, and are prohibited from withdrawing any such
records or duplicates from the files, possession or control of the
Department.
Sec. 1.10 Oral information.
(a) Officers and employees of the Department may, in response to
requests, provide orally information contained in records of the
Department which are determined to be available to the public. If the
obtaining of such information requires search of the records, a written
request and the payment of the fee for record search set forth in
Sec. 1.6 will be required.
(b) Information with respect to activities of the Department not a
matter of record shall not be disclosed if the information involves
matters exempt from disclosure under 5 U.S.C. 552 or the regulations in
this part, or if the disclosure of such information would give the
person requesting the information advantages not accorded to other
citizens;
Sec. 1.11 Testimony or the production of records in a court or other proceeding.
(a) Treasury Department officers and employees are prohibited from
testifying or otherwise furnishing information obtained as a result of
their official capacities or in connection with the transaction of
public business, in compliance with a subpoena or other order or demand
of any court or other authority without the prior approval of an officer
authorized to determine the availability of records under these
regulations.
(b) Treasury Department officers and employees are prohibited from
furnishing any record in compliance with subpoenas duces tecum or other
order or demand of any court or other authority, without the prior
approval of an officer authorized to determine the availability of
records under the regulations in this part.
(c) In court cases in which the United States or the Treasury
Department is not a party, where the giving of testimony is desired, an
affidavit by the litigant or the litigant's attorney, setting forth the
information with respect to which the testimony of such officer or
employee is desired, must be submitted before permission to testify will
be granted. Permission to testify will, in all cases, be limited to the
information set forth in the affidavit or to such portions thereof as
may be deemed proper.
(d) Where approval to testify or to furnish records in compliance
with a subpoena, order or demand is not given the person to whom it is
directed shall, if possible, appear in court or before the other
authority and respectfully state his inability to comply in full with
the subpoena, order or demand, relying for his action upon this section.
Sec. 1.12 Regulations not applicable to official request.
The regulations in this part shall not be applicable to official
requests of other governmental agencies or officers thereof acting in
their official capacities, unless it appears that granting a particular
request would be in
[[Page 33]]
violation of law or inimical to the public interest. Cases of doubt
should be referred for decision to the supervisory official designated
in Sec. 1.8.
Subpart C--Privacy Act
Sec. 1.20 Purpose and scope of regulations.
The regulations in this subpart are issued to implement the
provisions of the Privacy Act of 1974 (5 U.S.C. 552a). The regulations
apply to all records which are contained in systems of records
maintained by the Department of the Treasury and which are retrieved by
an individual's name or personal identifier. They do not relate to those
personnel records of Government employees, which are under the
jurisdiction of the Office of Personnel Management to the extent such
records are subject to regulations issued by such OPM. The regulations
apply to all components of the Department of the Treasury. Any reference
in this subpart to the Department or its officials, employees, or
records shall be deemed to refer also to the components or their
officials, employees, or records. The regulations set forth the
requirements applicable to Department of the Treasury employees
maintaining, collecting, using or disseminating records pertaining to
individuals. They also set forth the procedures by which individuals may
request notification of whether the Department of the Treasury maintains
or has disclosed a record pertaining to them or may seek access to such
records maintained in any nonexempt system of records, request
correction of such records, appeal any initial adverse determination of
any request for amendment, or may seek an accounting of disclosures of
such records. For the convenience of interested persons, the components
of the Department of the Treasury may reprint these regulations in their
entirety (less any appendices not applicable to the component in
question) in those titles of the Code of Federal Regulations which
normally contain regulations applicable to such components. In
connection with such republication, and at other appropriate times,
components may issue supplementary regulations applicable only to the
component in question, which are consistent with these regulations. In
the event of any actual or apparent inconsistency, these Departmental
regulations shall govern. Persons interested in the records of a
particular component should, therefore, also consult the Code of Federal
Regulations for any rules or regulations promulgated specifically with
respect to that component (see Appendices to this subpart for cross
references). The head of each component is hereby also authorized to
substitute other appropriate officials for those designated and correct
addresses specified in the appendix to this subpart applicable to the
component. The components of the Department of the Treasury for the
purposes of this subpart are:
(a) The Departmental Offices, which include the offices of:
(1) The Secretary of the Treasury, including immediate staff;
(2) The Deputy Secretary of the Treasury, including immediate staff;
(3) The Chief of Staff, including immediate staff;
(4) The Executive Secretary and all offices reporting to such
official, including immediate staff;
(5) The Under Secretary of the Treasury for International Affairs
and all offices reporting to such official, including immediate staff;
(6) The Under Secretary of the Treasury for Domestic Finance and all
offices reporting to such official, including immediate staff;
(7) The Under Secretary for Enforcement and all offices reporting to
such official, including immediate staff;
(8) The Assistant Secretary of the Treasury for Financial
Institutions and all offices reporting to such official, including
immediate staff;
(9) The Assistant Secretary of the Treasury for Economic Policy and
all offices reporting to such official, including immediate staff;
(10) The Fiscal Assistant Secretary and all offices reporting to
such official, including immediate staff;
(11) The General Counsel and all offices reporting to such official,
including immediate staff; except legal counsel to the components listed
in paragraphs (a)(17) and (b) through (l) of this section;
[[Page 34]]
(12) The Inspector General and all offices reporting to such
official, including immediate staff;
(13) The Assistant Secretary of the Treasury for International
Affairs and all offices reporting to such official, including immediate
staff;
(14) The Assistant Secretary of the Treasury for Legislative Affairs
and Public Liaison and all offices reporting to such official, including
immediate staff;
(15) The Assistant Secretary of the Treasury for Management and
Chief Financial Officer and all offices reporting to such official,
including immediate staff;
(16) The Assistant Secretary of the Treasury for Public Affairs and
all offices reporting to such official, including immediate staff;
(17) The Assistant Secretary of the Treasury for Tax Policy and all
offices reporting to such official, including immediate staff;
(18) The Treasurer of the United States, including immediate staff;
(19) The Treasury Inspector General for Tax Administration and all
offices reporting to such official, including immediate staff.
(b) The Bureau of Alcohol, Tobacco and Firearms.
(c) The Office of the Comptroller of the Currency.
(d) The United States Customs Service.
(e) The Bureau of Engraving and Printing.
(f) The Federal Law Enforcement Training Center.
(g) The Financial Management Service.
(h) The Internal Revenue Service.
(i) The United States Mint.
(j) The Bureau of the Public Debt.
(k) The United States Secret Service.
(l) The Office of Thrift Supervision.
(m) The Office of Thrift Supervision.
For purposes of this subpart, the office of the legal counsel for the
components listed in paragraphs (b), (c), (d), (e), (f), (g), (h), (i),
and (j) of this section are to be considered a part of such component.
Any office, which is now in existence or may hereafter be established,
which is not specifically listed or known to be a component of any of
those listed above, shall be deemed a part of the Departmental Offices
for the purpose of these regulations.
[52 FR 26305, July 14, 1987, as amended at 60 FR 31633, June 16, 1995;
65 FR 2333, Jan. 14, 2000]
Sec. 1.21 Definitions.
(a) The term agency means agency as defined in 5 U.S.C. 552(e);
(b) The term individual means a citizen of the United States or an
alien lawfully admitted for permanent residence;
(c) The term maintain includes maintain, collect, use, or
disseminate;
(d) The term record means any item, collection, or grouping of
information about an individual that is maintained by the Department of
the Treasury or component of the Department. This includes, but is not
limited to, the individual's education, financial transactions, medical
history, and criminal or employment history and that contains the name,
or an identifying number, symbol, or other identifying particular
assigned to the individual, such as a finger or voice print or a
photograph;
(e) The term system of records means a group of any records under
the control of the Department of the Treasury or any component from
which information is retrieved by the name of the individual or by some
identifying number, symbol, or other identifying particular assigned to
the individual;
(f) The term statistical record means a record in a system of
records maintained for statistical research or reporting purposes only
and not used in whole or part in making any determination about an
identifiable individual, except as provided by 13 U.S.C. 8.
(g) The term routine use means the disclosure of a record that is
compatible with the purpose for which the record was collected;
(h) The term component means a bureau or office of the Department of
the Treasury as set forth in Sec. 1.20 and in the appendices to these
regulations. (See 5 U.S.C. 552a(a).)
(i) The term request for access means a request made pursuant to 5
U.S.C. 552a(d)(1).
[[Page 35]]
(j) The term request for amendment means a request made pursuant to
5 U.S.C. 552a(d)(2).
(k) The term request for accounting means a request made pursuant to
5 U.S.C. 552a(c)(3).
Sec. 1.22 Requirements relating to systems of records.
(a) In general. Subject to 5 U.S.C. 552a (j) and (k) and
Sec. 1.23(c), each component shall, in conformance with 5 U.S.C. 552a:
(1) Maintain in its records only such information about an
individual as is relevant and necessary to accomplish a purpose of the
agency required to be accomplished by the statute or by Executive order
of the President (See 5 U.S.C. 552a(e)(1)).
(2) Collect information to the greatest extent practicable directly
from the subject individual when the information may result in adverse
determinations about an individual's rights, benefits, and privileges
under Federal programs. (See 5 U.S.C. 552a(e)(2)).
(b) Requests for information from individuals. Subject to 5 U.S.C.
552a(j) and Sec. 1.23(c)(1), each component of the Treasury shall inform
each individual whom it asks to supply information, on the form which it
uses to collect the information or on a separate form that can be
retained by the individual:
(1) The authority (whether granted by statute, or by Executive order
of the President) which authorizes the solicitation of the information
and whether disclosure of such information is mandatory or voluntary;
(2) The principal purpose or purposes for which the information is
intended to be used;
(3) The routine uses which may be made of the information, as
published pursuant to 5 U.S.C. 552a(e)(4)(D); and
(4) The effects on such individual, if any, of not providing all or
any part of the requested information. (See 5 U.S.C. 552a(e)(3)).
(c) Report on new systems. Each component of the Treasury shall
provide adequate advance notice to Congress and the Office of Management
and Budget through the Disclosure Branch and Administration Section of
the Office of the General Counsel of any proposal to establish or alter
any system of records in order to permit an evaluation of the probable
or potential effect of such proposal on the privacy and other personal
or property rights of individuals or the disclosure of information
relating to such individuals, and its effect on the preservation of the
constitutional principles of federalism and separation of powers. (See 5
U.S.C. 552a(o)).
(d) Accurate and secure maintenance of records. Each component
shall:
(1) Subject to 5 U.S.C. 552a(j) and Sec. 1.23(c)(1), maintain all
records which are used in making any determination about any individual
with such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to assure fairness to the individual in the
determination (see 5 U.S.C. 552a(e)(5);
(2) Prior to disseminating any record about an individual to any
person other than an agency, unless the dissemination is made pursuant
to 5 U.S.C. 552 (see 31 CFR part 1, subpart A), make reasonable efforts
to assure that such records are accurate, complete, timely, and relevant
for Department of the Treasury purposes (see 5 U.S.C. 552a(e)(6)) and
(3) Establish appropriate administrative, technical, and physical
safeguards to insure the security and confidentiality of records and to
protect against any anticipated threats or hazards to their security or
integrity which could result in substantial harm, embarrassment,
inconvenience, or unfairness to any individual on whom information is
maintained. (See 5 U.S.C. 552a(e)(10)).
(i) System managers, with the approval of the head of their offices
within a component, shall establish administrative and physical
controls, consistent with Department regulations, to insure the
protection of records systems from unauthorized access or disclosure and
from physical damage or destruction. The controls instituted shall be
proportional to the degree of sensitivity of the records but at a
minimum must insure that records other than those available to the
general public under the Freedom of Information Act (5 U.S.C. 552), are
protected from public view, that the area in which the records are
stored is supervised during all business hours and
[[Page 36]]
physically secure during nonbusiness hours to prevent unauthorized
personnel from obtaining access to the records. Automated systems shall
comply with the security standards promulgated by the National Bureau of
Standards.
(ii) System managers, with the approval of the head of their offices
within a component, shall adopt access restrictions to insure that only
those individuals within the agency who have a need to have access to
the records for the performance of their duties have access to them.
Procedures shall also be adopted to prevent accidental access to, or
dissemination of, records.
(e) Prohibition against maintenance of records concerning First
Amendment rights. No component shall maintain a record describing how
any individual exercises rights guaranteed by the First Amendment (e.g.
speech), unless the maintenance of such record is:
(1) Expressly authorized by statute, or
(2) Expressly authorized by the individual about whom the record is
maintained, or
(3) Pertinent to and within the scope of an authorized law
enforcement activity. (See 5 U.S.C. 552a (e)(7))
(f) Notification of disclosure under compulsory legal process.
Subject to 5 U.S.C. 552a(j) and Sec. 1.23(c)(1), when records concerning
an individual are subpoenaed by a Grand Jury, Court, or quasi-judicial
agency, or disclosed in accordance with an ex parte court order pursuant
to 26 U.S.C. 6103(i), the official served with the subpoena or court
order shall make reasonable efforts to assure that notice of any
disclosure is provided to the individual. Notice shall be provided
within five working days of making the records available under
compulsory legal process or, in the case of a Grand Jury subpoena or an
ex parte order, within five days of its becoming a matter of public
record. Notice shall be mailed to the last known address of the
individual and shall contain the following information: the date and
authority to which the subpoena is, or was returnable, or the date of
and court issuing the ex parte order, the name and number of the case or
proceeding, and the nature of the information sought and provided.
Notice of the issuance of a subpoena or an ex parte order is not
required if the system of records has been exempted from the notice
requirement of 5 U.S.C. 552a (e)(8) and this section, pursuant to 5
U.S.C. 552a (j) and Sec. 1.23 (c)(1), by a Notice of Exemption published
in the Federal Register. (See 5 U.S.C. 552a (e)(8)).
(g) Emergency disclosure. If information concerning an individual
has been disclosed to any person under compelling circumstances
affecting health or safety, the individual shall be notified at the last
known address within 5 days of the disclosure (excluding Saturdays,
Sundays, and legal public holidays). Notification shall include the
following information: The nature of the information disclosed, the
person or agency to whom it was disclosed, the date of disclosure, and
the compelling circumstances justifying the disclosure. Notification
shall be given by the officer who made or authorized the disclosure.
(See 5 U.S.C. 552a (b)(8)).
Sec. 1.23 Publication in the Federal Register--Notices of systems of records, general exemptions, specific exemptions, review of all systems.
(a) Notices of systems of records to be published in the Federal
Register. (1) The Department shall publish a notice of the existence and
character of all systems of records every 3 years in the Federal
Register. An annual notice of systems of records is required to be
published by the Office of the Federal Register in the publication
entitled ``Privacy Act Issuances'', as specified in 5 U.S.C. 552a(f).
(2) Minor changes to systems of records shall be published annually.
(See paragraph (d)(8) of this section)
(3) In addition, the Department shall publish in the Federal
Register upon establishment or revision a notice of the existence and
character of any new or revised systems of records. Unless otherwise
instructed, each notice shall include:
(i) The name and location of the system;
(ii) The categories of individuals on whom records are maintained in
the system;
(iii) The categories of records maintained in the system;
[[Page 37]]
(iv) Each routine use of the records contained in the system,
including the categories of users and the purpose of such use;
(v) The policies and practices of the component regarding storage,
retrievability, access controls, retention, and disposal of the records;
(vi) The title and business address of the Treasury official who is
responsible for the system of records;
(vii) The procedures of the component whereby an individual can be
notified if the system of records contain a record pertaining to the
individual, including reasonable times, places, and identification
requirements.
(viii) The procedures of the component whereby an individual can be
notified on how to gain access to any record pertaining to such
individual that may be contained in the system of records, and how to
contest its content; and
(ix) The categories of sources of records in the system. (See 5
U.S.C. 552a(e)(4))
(b) Notice of new or modified routine uses to be published in the
Federal Register. At least 30 days prior to a new use or modification of
a routine use, as published under paragraph (a)(3)(iv) of this section,
each component shall publish in the Federal Register notice of such new
or modified use of the information in the system and provide an
opportunity for interested persons to submit written data, views, or
arguments to the components. (See 5 U.S.C. 552a(e)(11))
(c) Promulgation of rules exempting systems from certain
requirements--(1) General exemptions. In accordance with existing
procedures applicable to a Treasury component's issuance of regulations,
the head of each such component may adopt rules, in accordance with the
requirements (including general notice) of 5 U.S.C. 553 (b) (1), (2),
and (3), (c) and (e), to exempt any system of records within the
component from any part of 5 U.S.C. 552a and these regulations except
subsections (b) (sec. 1.24, conditions of disclosure), (c)(1) (sec.
1.25, keep accurate accounting of disclosures), (c)(2) (sec. 1.25,
retain accounting for five years or life of record), (e)(4) (A) through
(F) (paragraph (a) of this section, publication of annual notice of
systems of records), (e)(6) (sec. 1.22(d), accuracy of records prior to
dissemination), (e)(7) (sec. 1.22(e), maintenance of records on First
Amendment rights), (e)(9) (sec. 1.28, establish rules of conduct),
(e)(10) (sec. 1.22(d)(3), establish safeguards for records), (e)(11)
(paragraph (c) of this section, publish new intended use), and (i) (sec.
1.28(c), criminal penalties) if the systems of records maintained by the
component which performs as its principal function any activity
pertaining to the enforcement of criminal laws, including police efforts
to prevent, control, or reduce crime or to apprehend criminals, and the
activities of prosecutors, courts, correctional, probation, pardon, or
parole authorities, and which consists of:
(i) Information compiled for the purpose of identifying individual
criminal offenders and alleged offenders and consisting only of
identifying data and notations of arrests, the nature and disposition of
criminal charges, sentencing, confinement, release, and parole, and
probation status;
(ii) Information compiled for the purpose of a criminal
investigation, including reports of informants and investigators, and
associated with an identifiable individual; or
(iii) Reports identifiable to an individual compiled at any stage of
the process of enforcement of the criminal laws from arrest or
indictment through release from supervision. (See 5 U.S.C. 552a(j))
(2) Specific exemptions. In accordance with existing procedures
applicable to a Treasury component's issuance of regulations, the head
of each such component may adopt rules, in accordance with the
requirements (including general notice) of 5 U.S.C. 553 (b) (1), (2),
and (3), (c), and (e), to exempt any system of records within the
component from 5 U.S.C. 552a(c)(3) (sec. 1.25(c)(2), accounting of
certain disclosures available to the individual), (d) (sec. 1.26(a),
access to records), (e)(1) (sec. 1.22(a)(1), maintenance of information
to accomplish purposes authorized by statute or executive order only),
(e)(4)(G) (paragraph (a)(7) of this section, publication of procedures
for notification), (e)(4)(H)
[[Page 38]]
(paragraph (a)(8) of this section, publication of procedures for access
and contest), (e)(4)(I) (paragraph (a)(9) of this section, publication
of sources of records), and (f) (sec. 1.26, promulgate rules for
notification, access and contest), if the system of records is:
(i) Subject to the provisions of 5 U.S.C. 552(b)(1);
(ii) Investigatory material compiled for law enforcement purposes,
other than material within the scope of subsection (j)(2) of 5 U.S.C.
552a and paragraph (a)(1) of this section. If any individual is denied
any right, privilege, or benefit that such individual would otherwise be
entitled to by Federal law, or for which such individual would otherwise
be eligible, as a result of the maintenance of this material, such
material shall be provided to the individual, except to the extent that
the disclosure of the material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or prior to
September 27, 1975, under an implied promise that the identity of the
source would be held in confidence;
(iii) Maintained in connection with providing protective services to
the President of the United States or other individuals pursuant to 18
U.S.C. 3056;
(iv) Required by statute to be maintained and used solely as
statistical records;
(v) Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information, but only to the extent that the disclosure of
such material would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence, or, prior to September 27,
1975, under an implied promise that the identity of the source would be
held in confidence;
(vi) Testing or examination material used solely to determine
individual qualifications for appointment or promotion in the Federal
service the disclosure of which would compromise the objectivity or
fairness of the testing or examination process; or
(vii) Evaluation material used to determine potential for promotion
in the armed services, but only to the extent that the disclosure of
such material would reveal the identity of a source who furnished
information to the Government under an express promise that the identity
of the source would be held in confidence, or, prior to September 27,
1975, under an implied promise that the identity of the source would be
held in confidence.
(3) At the time that rules under this subsection are adopted, the
head of the component shall include in the statement required under 5
U.S.C. 553(c) the reasons why the system of records is to be exempted
from a provision of 5 U.S.C. 552a and this part. (See 5 U.S.C. 552a (j)
and (k))
(d) Review and report to OMB. The Department shall ensure that the
following reviews are conducted as often as specified below by each of
the components who shall be prepared to report to the Departmental
Disclosure Branch upon request the results of such reviews and any
corrective action taken to resolve problems uncovered. Each component
shall:
(1) Review every two years a random sample of the component's
contracts that provide for the maintenance of a system of records on
behalf of the component to accomplish a function of the component, in
order to ensure that the working of each contract makes the provisions
of the Act apply. (5 U.S.C. 552a(m)(1))
(2) Review annually component's recordkeeping and disposal policies
and practices in order to assure compliance with the Act.
(3) Review routine use disclosures every 3 years, that are
associated with each system of records in order to ensure that the
recipient's use of such records continues to be compatible with the
purpose for which the disclosing agency originally collected the
information.
(4) Review every three years each system of records for which the
component has issued exemption rules pursuant to section (j) or (k) of
the Privacy Act in order to determine whether the exemption is needed.
[[Page 39]]
(5) Review annually each ongoing matching program in which the
component has participated during the year, either as a source or as a
matching agency in order to assure that the requirements of the Act, the
OMB Matching Guidelines, and the OMB Model Control System and checklist
have been met.
(6) Review component's training practices annually to ensure that
all component personnel are familiar with the requirements of the Act,
these regulations and Departmental directives.
(7) Review annually the actions of component personnel that have
resulted either in the agency being found civilly liable under section
(g) of the Act, or an employee being found criminally liable under the
provisions of section (i) of the Act, in order to determine the extent
of the problem and to prevent future recurrences.
(8) Review annually each system of records notice to ensure that it
accurately describes the system. Where minor changes are needed, publish
an amended notice in the Federal Register. Minor changes shall be
consolidated in one annual comprehensive publication. The term ``minor
change to a system of records'' means a change that does not
significantly change the system. More specifically, a minor change does
not affect the character or purpose of the system and does not affect
the ability of an individual to gain access to a record about the
individual or to any information pertaining to such individual which is
contained in the system; for example, changing the title of the system
manager or the location of the system.
Sec. 1.24 Disclosure of records to person other than the individual to whom they pertain.
(a) Conditions of disclosure. No component of Treasury shall
disclose any record which is contained in a system of records maintained
by it by any means of communication to any person, or to another agency,
except pursuant to a written request by, or with the prior written
consent of, the individual to whom the record pertains, or the parent,
if a minor, or legal guardian, if incompetent, of such individual,
unless disclosure of the record would be:
(1) To those offices and employees of the Department of the Treasury
who have a need for the record in the performance of their duties;
(2) Retired under 5 U.S.C. 552 (subpart A of this part);
(3) For a routine use as defined in 5 U.S.C. 552a(a)(7) and
Sec. 1.21(g) and as described under 5 U.S.C. 552a(e)(4)(D) and
Sec. 1.23(a)(4);
(4) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13 of the U.S. Code;
(5) To a recipient who has provided the component with advance
adequate written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or the designee of such official to
determine whether the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity.
(i) If the activity is authorized by law; and
(ii) If the head of the agency or instrumentality has made a written
request to the Department of the Treasury specifying the particular
portion desired and the law enforcement activities for which the record
is sought;
(8) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual, if upon such
disclosure, notification is transmitted to the last known address of
such individual;
(9) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint
committee of Congress or subcommittee of any such joint committee.
[[Page 40]]
(10) To the Comptroller General, or the authorized representatives
of such official, in the course of the performance of the duties of the
General Accounting Office; or
(11) Pursuant to the order of a court of competent jurisdiction.
(See 5 U.S.C. 552a(b))
Sec. 1.25 Accounting of disclosures.
(a) Accounting of certain disclosures. Each component, with respect
to each system of records under its control, shall:
(1) Keep an accurate accounting of: (i) The date, nature, and
purpose of each disclosure of a record to any person or to an agency
made under 5 U.S.C. 552a (b) and Sec. 1.24; and (ii) the name and
address of the person or agency to whom the disclosure is made;
(2) Retain the accounting made under paragraph (a)(1) of this
section for at least five years or the life of the record, whichever is
longer, after the disclosure for which the accounting is made; and
(3) Inform any person or other agency about any correction or
notation of dispute made by the constitutent unit in accordance with 5
U.S.C. 552a (d) and Sec. 1.28 of any record that has been disclosed to
the person or agency if an accounting of the disclosure was made. (See 5
U.S.C. 552(c).)
(b) Accounting systems. To permit the accounting required by
paragraph (a) of this section, system managers, with the approval of the
head of their offices within a component, shall establish or implement,
a system of accounting for all disclosures of records, either orally or
in writing, made outside the Department of the Treasury. Accounting
records shall:
(1) Be established in the least expensive and most convenient form
that will permit the system manager to advise individuals, promptly upon
request, what records concerning them have been disclosed and to whom:
(2) Provide, as a minimum, the identification of the particular
record disclosed, the name and address of the person or agency to whom
or to whom or to which disclosed, and the date, nature and purpose of
the disclosure; and
(3) Be maintained for 5 years or until the record is destroyed or
transferred to the National Archives and Records Service for storage in
records centers, in which event, the accounting pertaining to those
records, unless maintained separately, shall be transferred with the
records themselves.
(c) Exemptions from accounting requirements. No accounting is
required for disclosure of records:
(1) To those officers and employees of the Department of the
Treasury who have a need for the record in the performance of their
duties; or
(2) If disclosure would be required under 5 U.S.C. 552 and Subpart A
of this part.
(d) Access to accounting by individual. (1) Subject to paragraphs
(c) and (d)(2) of this section, each component shall establish and set
forth in the appendix to this subpart applicable to the component,
procedures for making the accounting required under paragraph (a) of
this section available to the individual to whom the record pertains and
shall thereafter make such accounting available in accordance therewith
at the request of the individual. The procedures may require the
requester to provide reasonable identification.
(2) Access accountings of disclosure may be withheld from the
individual named in the record only if the disclosures were (i) made
under 5 U.S.C. 552a (b)(7) and Sec. 1.24 (a)(7), or (ii) under a system
of records exempted from the requirements of 5 U.S.C. 552a(c)(3) in
accordance with 5 U.S.C. 552 (j) or (k) and Sec. 1.23(c). (See 5 U.S.C.
552a(c))
Sec. 1.26 Procedures for notification and access to records pertaining to individuals--format and fees for request for access.
(a) Procedures for notification and access. Each component shall
establish, in accordance with the requirements of 5 U.S.C. 553, and set
forth in the appendix to this subpart applicable to such component
procedures whereby an individual can be notified, in response to a
request, if any system of records named by the individual contains a
record pertaining to that individual. In addition, such procedures shall
set forth the requirements for access to such records. As a minimum such
procedures shall specify the times during, and the places at which
access will be
[[Page 41]]
accorded, together with such identification as may be required of the
individual before access. (See 5 U.S.C. 552a(f) (1), (2) and (3))
(b) Access. Each component in accordance with the procedures
prescribed under paragraph (a) of this section, shall allow an
individual to gain access to records or to any information pertaining to
such individual which is contained in the system of records upon
request. The individual shall be permitted to review the record and have
a copy made of all or any portion of the record in a form that is
comprehensible. The individual will also be permitted to be accompanied
by any person of the individual's choosing to review the record, except
that the agency may require the individual to furnish a written
statement authorizing discussion of that individual's record in the
accompanying person's presence. (See 5 U.S.C. 552a(d)(1))
(c) Exceptions. Neither the procedures prescribed under paragraph
(a) of this section nor the requirements for access under paragraph (b)
of this section shall be applicable to--(1) systems of records exempted
pursuant to 5 U.S.C. 552a (j) and (k) and Sec. 1.23(c); (2) information
compiled in reasonable anticipation of a civil action or proceeding (See
5 U.S.C. 552(d)(5)); or (3) information pertaining to an individual
which is contained in, and inseparable from, another individual's
record.
(d) Format of request. (1) A record for notification of whether a
record exists shall:
(i) Be made in writing and signed by the person making the request,
who must be the individual about whom the record is maintained, or such
individual's duly authorized representative (See Sec. 1.34);
(ii) State that it is made pursuant to the Privacy Act, 5 U.S.C.
552a or these regulations, have marked ``Privacy Act Request'' on the
request and on the envelope;
(iii) Give the name of the system or subsystem or categories of
records to which access is sought, as specified in ``Privacy Act
Issuances'' published by the Office of the Federal Register and
referenced in the appendices to this subpart;
(iv) Describe the nature of the record(s) sought in sufficient
detail to enable Department personnel to locate the system of records
containing the record with a reasonable amount of effort. Whenever
possible, a request for access should describe the nature of the record
sought, the date of the record or the period in which the record was
compiled.
(v) Provide such identification of the requester as may be specified
in the appropriate appendix to this subpart; and
(vi) Be addressed or delivered in person to the office or officer of
the component indicated for the particular system or subsystem or
categories of records the individual wishes access to, as specified in
``Privacy Act Issuances'' published by the Office of the Federal
Register and referenced in the appendices to this subpart. Assistance in
ascertaining the appropriate component or in preparing a request for
notification may be obtained by a written request to this effect
addressed as specified in Appendix A of this part, as the address for
the Departmental Offices for ``Request for notification and access to
records and accountings of disclosures''.
(2) A request for access to records shall, in addition to complying
with paragraph (a)(1)(i) through (vi) of this section:
(i) State whether the requester wishes to inspect the records or
desires to have a copy made and furnished without first inspecting them;
(ii) If the requester desires to have a copy made, state the firm
agreement of the requester to pay the fees for duplication ultimately
determined in accordance with (31 CFR 1.6) Subpart A of this title,
unless such fees are waived pursuant to that section by the system
manager or other appropriate official as indicated in the appropriate
appendix to these regulations; and
(iii) Comply with any other requirement set forth in the applicable
appendix to this subpart or the ``Notice of Records Systems'' applicable
to the system in question. Requesters are hereby advised that any
request for access which does not comply with the foregoing requirements
and those set forth elsewhere in this Subpart C, will
[[Page 42]]
not be deemed subject to the time constraints of this section, unless
and until amended so as to comply. However, components shall advise the
requester in what respect the request is deficient so that it may be
processed. This section applies only to records which are contained in a
system of records and which are in the possession or control of the
component. (See 5 U.S.C. 552a (d) and (f))
(e) Requests for records not in control of component. (1) Treasury
employees shall make reasonable efforts to assist an oral requester to
ascertain to which office or officer a written request should be sent.
When the request is for a record which is not in the possession or
control of any component of the Department of the Treasury, the
requester shall be so advised.
(2) Where the record requested was created by a Department or agency
other than the Department of the Treasury or a component of the
Department and has been classified (e.g. National Defense or
Intelligence Information) or otherwise restrictively endorsed (e.g.
Office of Personnel Management records of FBI reports) by such other
Department or agency, and a copy is in the possession of a component of
the Department of the Treasury, that portion of the request shall be
referred to the originating agency for determination as to all issues in
accordance with the Privacy Act. In the case of a referral to another
agency under this paragraph, the requester shall be notified that such
portion of the request has been so referred and that the requester may
expect to hear from that agency.
(3) When information sought from a system manager or other
appropriate official in the Department of the Treasury includes
information furnished by other Federal agencies not classified or
otherwise restrictively endorsed, the system manager or other
appropriate official receiving the request shall consult with the
appropriate agency prior to making a decision to disclose or not to
disclose the record. The decision as to whether the record shall be
disclosed shall be made, in the first instance by the system manager or
other appropriate official maintaining the record. (See 5 U.S.C. 552a
(d) and (f))
(f) Date of receipt of request. A request for notification or access
to records shall be considered to have been received for purposes of
this subpart on the date on which the requirements of paragraph (d) of
this section have been satisfied. Requests for notification or access to
records and any separate agreement to pay shall be stamped or endorsed
with the date of receipt by the receiving office. The latest of such
stamped dates will be deemed to be the date of receipt of the request
for the purposes of this subpart. (See 5 U.S.C. 552a (d) and (f))
(g) Notification of determination--(1) In general. Notification of
determinations as to notification of whether a record exists or as to
whether to grant access to records requested will be made by the
officers designated in the appendices to this subpart. The notification
of the determination shall be mailed within 30 days (excluding
Saturdays, Sundays and legal public holidays) after the date of receipt
of the request, as determined in accordance with paragraph (f) of this
section. If it is not possible to respond within 30 days, the designated
officer shall inform the requester, stating the reason for the delay
(e.g. volume of records requested, scattered location of the records,
need to consult other agencies, or the difficulty of the legal issues
involved) and when a response will be dispatched. (See 5 U.S.C. 552a (d)
and (f))
(2) Granting of access. When it has been determined that the request
for access will be granted--(i) and a copy requested; such copy in a
form comprehensible to the requester shall be furnished promptly,
together with a statement of the applicable fees for duplication; and
(ii) and the right to inspect has been requested, the requester shall be
promptly notified in writing of the determination, and when and where
the requested records may be inspected. An individual seeking to inspect
such records may be accompanied by another person of such individual's
choosing. The individual seeking access shall be required to sign the
required form indicating that the Department of the Treasury is
authorized to discuss the contents of the subject
[[Page 43]]
record in the accompanying person's presence. If, after making the
inspection, the individual making the request desires a copy of all or a
portion of the requested records, such copy in a form comprehensible to
the individual shall be furnished upon payment of the applicable fees
for duplication. Fees to be charged are as prescribed by 31 CFR part 1,
Subpart A, Sec. 1.6 Fees shall not be charged where they would amount,
in the aggregate, to less than $3.00. (See 5 U.S.C. 552a (d) and (f))
(3) Requirements for access to medical records. When access is
requested to medical records, including psychological records, the
responsible official may determine that such release could have an
adverse effect on the individual and that release will be made only to a
physician authorized in writing to have access to such records by the
individual making the request. Upon receipt of the authorization the
physician will be permitted to review the records or to receive copies
of the records by mail, upon proper verification of identity. (See 5
U.S.C. 552a (f) (3))
(4) Denial of request. When it is determined that the request for
notification of whether a record exists or access to records will be
denied (whether in whole or part or subject to conditions or
exceptions), the person making the request shall be so notified by mail
in accordance with paragraph (g)(1) of this section. The letter of
notification shall specify the city or other location where the
requested records are situated (if known), contain a statement of the
reasons for not granting the request as made, set forth the name and
title or position of the responsible official and advise the individual
making the request of the right to file suit in accordance with 5 U.S.C.
552a (g)(1)(B).
(5) Prohibition against the use of 5 U.S.C. 552 (b) exemptions.
Exemptions from disclosure under 5 U.S.C. 552 (b) (31 CFR part 1,
Subpart A, Sec. 1.2 (c)), may not be invoked for the purpose of
withholding from an individual any record which is otherwise accessible
to such individual under the Privacy Act, 5 U.S.C. 552a and this
subpart. (See 5 U.S.C. 552a (q))
(6) Records exempt in whole or in part. (i) When an individual
requests notification as to whether a record exists or access to records
concerning the individual which have been exempted from individual
access pursuant to 5 U.S.C. 552a (j) or which have been compiled in
reasonable anticipation of a civil action or proceeding in either a
court or before an administrative tribunal and the assertion of the
exemption is deemed necessary, the Department of the Treasury will
neither confirm nor deny the existence of the record but shall advise
the individual only that no record available to the individual pursuant
to the Privacy Act of 1974 has been identified.
(ii) Requests from individuals for access to records which have been
exempted from access pursuant to 5 U.S.C. 552a (k) shall be processed as
follows:
(A) Requests for information classified pursuant to Executive Order
11652 require the responsible component of the Department to review the
information to determine whether it continues to warrant classification
under the criteria of sections 1 and 5 (B), (C), (D) and (E) of the
Executive order. Information which no longer warrants classification
under these criteria shall be declassified and made available to the
individual. If the information continues to warrant classification, the
individual shall be advised that the information sought is classified,
that it has been reviewed and continues to warrant classification, and
that it has been exempted from access pursuant to 5 U.S.C. 552 (b)(1)
and 5 U.S.C. 552a (k)(1). Information which has been exempted pursuant
to 5 U.S.C. 552a (j) and which is also classified shall be reviewed as
required by this paragraph but the response to the individual shall be
in the form prescribed by paragraph (g)(6)(i) of this section.
(B) Requests for information which has been exempted from disclosure
pursuant to 5 U.S.C. 552a (k)(2) shall be responded to in the manner
provided in paragraph (g)(6)(i) of this section unless the requester
shows that the information has been used or is being used to deny the
individual any right, privilege or benefit for which he is eligible or
to which he would otherwise be entitled under federal law. In that
event, the individual shall be advised of the
[[Page 44]]
existence of the information but such information as would identify a
confidential source shall be extracted or summarized in a manner which
protects the source to the maximum degree possible and the summary
extract shall be provided to the requesting individual.
(C) Information compiled as part of an employee background
investigation which has been exempted pursuant to 5 U.S.C. 552a (k)(5)
shall be made available to an individual upon request except to the
extent that it identifies the confidential source. Material identifying
the confidential sources shall be extracted or summarized in a manner
which protects the source to the maximum degree possible and the summary
or extract shall be provided to the requesting individual.
(D) Testing or examination material which has been exempted pursuant
to 5 U.S.C. 552a (k)(6) shall not be made available to an individual if
disclosure would compromise the objectivity or fairness of the testing
or examination process; but may be made available if no such compromise
possibility exists. (See 5 U.S.C. 552a (d)(5), (j) and (k)).
Sec. 1.27 Procedures for amendment of records pertaining to individuals--format, agency review and appeal from initial adverse agency determination.
(a) In general. Subject to the application of exemptions promulgated
by the head of each component, in accordance with Sec. 1.23(c), and
subject to Sec. 1.27(f), each component of the Department of the
Treasury, shall in conformance with 5 U.S.C. 552a(d)(2), permit an
individual to request amendment of a record pertaining to such
individual. Any request for amendment of records or any appeal that does
not fully comply with the requirements of this section and any
additional specific requirements imposed by the component in the
applicable appendix to this subpart will not be deemed subject to the
time constraints of paragraph (e) of this section, unless and until
amended so as to comply. However, components shall advise the requester
in what respect the request or appeal is deficient so that it may be
resubmitted or amended. (See 5 U.S.C. 552a (d) and (f))
(b) Form of request to amend records. In order to be subject to the
provisions of this section, a request to amend records shall:
(1) Be made in writing and signed by the person making the request,
who must be the individual about whom the record is maintained, or the
duly authorized representative of such individual;
(2) State that it is made pursuant to the Privacy Act, 5 U.S.C. 552a
or these regulations, have marked ``Privacy Act Amendment Request'' on
the request and on the envelope;
(3) Be addressed to the office or officer of the component specified
for such purposes in ``Privacy Act Issuances'' published by the Office
of the Federal Register and referenced in the appendices to this subpart
for that purpose; and
(4) Reasonably describe the records which the individual desires to
have amended, including, to the best of the requester's knowledge, dates
of letters requesting access to such records previously and dates of
letters in which notification concerning access was made, if any, and
the individual's documentation justifying the correction. (See U.S.C.
552a (d) and (f))
(c) Date of receipt of request. A request for amendment of records
pertaining to an individual shall be deemed to have been received for
purposes of this subpart when the requirements of paragraph (b) of this
section have been satisfied. The receiving office or officer shall stamp
or otherwise endorse the date of receipt of the request. (See 5 U.S.C.
552a (d) and (f))
(d) Review of requests to amend records. Officials responsible for
review of requests to amend records pertaining to an individual, as
specified in the appropriate appendix to this subpart, shall:
(1) Not later than 10 days (excluding Saturdays, Sundays, and legal
public holidays) after the date of receipt of such request, acknowledge
in writing such receipt; and
(2) Promptly, either--(i) Make any correction of any portion which
the individual believes and the official agrees is not accurate,
relevant, timely, or complete; or
[[Page 45]]
(ii) Inform the individual of the refusal to amend the record in
accordance with the individual's request, the reason for the refusal,
and the name and business address of the officer designated in the
applicable appendix to this subpart, as the person who is to review such
refusal. (See 5 U.S.C. 552a (d) and (f))
(e) Administrative appeal--(1) In general. Each component shall
permit individuals to request a review of initial decisions made under
paragraph (d) of this section, when an individual disagrees with a
refusal to amend this record. (See 5 U.S.C. 552a (d), (f), and (g)(1))
(2) Form of request for administrative review of refusal to amend
record. At any time within 35 days after the date of the notification of
the initial decision described in paragraph (d)(2)(ii) of this section,
the requester may submit an administrative appeal from such refusal to
the official specified in the notification of the initial decision and
the appropriate appendix to this subpart. The appeal shall:
(i) Be made in writing stating any arguments in support thereof and
be signed by the person to whom the record pertains, or the duly
authorized representative of such official;
(ii) Be addressed to and mailed or hand delivered within 35 days of
the date of the initial decision, to the office or officer specified in
the appropriate appendix to this subpart and in the notification. (See
the appendices to this subpart for the address to which appeals made by
mail should be addressed);
(iii) Have clearly marked on the appeal and on the envelope,
``Privacy Act Amendment Appeal'';
(iv) Reasonably describe the records requested to be amended; and
(v) Specify the date of the initial request, to amend records, and
the date of the letter giving notification that the request was denied.
(See 5 U.S.C. 552a (d) and (f))
(3) Date of receipt. Appeals shall be promptly stamped with the date
of their receipt by the office to which addressed and such stamped date
will be deemed to be the date of receipt for all purposes of this
subpart. The receipt of the appeal shall be acknowledged within 10 days
(excluding Saturdays, Sundays, and legal public holidays) from the date
of the receipt (unless the determination on appeal is dispatched in 10
days, in which case, no acknowledgement is required) by the responsible
official and the requester advised of the date of receipt established by
the foregoing and when a response is due in accordance with this
paragraph. (See 5 U.S.C. 552a (d) and (f))
(4) Review of administrative appeals from denial of requests to
amend records. Officials responsible for deciding administrative appeals
from denials of requests to amend records pertaining to an individual,
as specified in the appendices to this subpart shall: Complete the
review, and notify the requester of the final agency decision within 30
days (exclusive of Saturdays, Sundays and legal public holidays) after
the date of receipt of such appeal, unless the time is extended by the
head of the agency or the delegate of such official, for good cause
shown. If such final agency decision is to refuse to amend the record,
in whole or in part, the requester shall also be advised of the right--
(i) to file a concise ``Statement of Disagreement'' setting forth the
reasons for his disagreement with the decision which shall be filed
within 35 days of the date of the notification of the final agency
decision and (ii) to judicial review of the final agency decision under
5 U.S.C. 552a(g)(1)(A). (See 5 U.S.C. 552a (d), (f) and (g)(1))
(5) Notation on record and distribution of statements of
disagreement. The system manager is responsible, in any disclosure
containing information about which an individual has filed a ``Statement
of Disagreement'', occurring after the filing of the statement under
paragraph (e)(4) of this section, for clearly noting any portion of the
record which is disputed and providing copies of the statement and, if
deemed appropriate, a concise statement of the component's reasons for
not making the amendments requested to persons or other agencies to whom
the disputed record has been disclosed. (See 5 U.S.C. 552a(d)(4))
(f) Records not subject to correction under the Privacy Act. The
following records are not subject to correction or amendment by
individuals:
[[Page 46]]
(1) Transcripts or written statements made under oath; and
(2) Transcripts of Grand Jury proceedings, judicial or quasi-
judicial proceedings which form the official record of those
proceedings; and
(3) Pre-sentence reports comprising the property of the courts but
maintained in agency files; and
(4) Records pertaining to the determination, the collection and the
payment of the Federal taxes; and
(5) Records duly exempted from correction by notice published in the
Federal Register; and
(6) Records compiled in reasonable anticipation of a civil action or
proceeding.
Sec. 1.28 Training, rules of conduct, penalties for non-compliance.
(a) Training. Subject to policy guidance and regulations issued by
the Deputy Secretary, who has Departmentwide responsibility therefor,
each component shall institute a training program to instruct employees
and employees of Government contractors covered by 5 U.S.C. 552a(m), who
are involved in the design, development, operation or maintenance of any
system of records, on a continuing basis with respect to the duties and
responsibilities imposed on them and the rights conferred on individuals
by the Privacy Act, the regulations in this subpart, including the
appendices thereto, and any other related regulations. Such training
shall provide suitable emphasis on the civil and criminal penalties
imposed on the Department and the individual employees by the Privacy
Act for non-compliance with specified requirements of the Act as
implemented by the regulations in this subpart. (See 5 U.S.C.
552a(e)(9))
(b) Rules of conduct. In addition, to the Standards of Conduct
published in part O of this title, particularly 31 CFR 0.735-44, the
following are applicable to employees of the Department of the Treasury
(including, to the extent required by the contract or 5 U.S.C. 552a(m),
Government contractors and employees of such contractors), who are
involved in the design, development, operation or maintenance of any
system of records, or in maintaining any records, for or on behalf of
the Department, including any component thereof.
(1) The head of each office of a component of the Department shall
be responsible for assuring that employees subject to such official's
supervision are advised of the provisions of the Privacy Act, including
the criminal penalties and civil liabilities provided therein, and the
regulations in this subpart, and that such employees are made aware of
their individual and collective responsibilities to protect the security
of personal information, to assure its accuracy, relevance, timeliness
and completeness, to avoid unauthorized disclosure either orally or in
writing, and to insure that no information system concerning
individuals, no matter how small or specialized is maintained without
public notice.
(2) Employees of the Department of the Treasury involved in the
design, development, operation, or maintenance of any system of records,
or in maintaining any record shall:
(i) Collect no information of a personal nature from individuals
unless authorized to collect it to achieve a function or carry out a
responsibility of the Department;
(ii) Collect from individuals only that information which is
necessary to Department functions or responsibilities, unless related to
a system exempted under 5 U.S.C. 552a (j) or (k):
(iii) Collect information, wherever possible, directly from the
individual to whom it relates, unless related to a system exempted under
5 U.S.C. 552a(j);
(iv) Inform individuals from whom information is collected about
themselves of the authority for collection, the purposes thereof, the
use that will be made of the information, and the effects, both legal
and practical, of not furnishing the information. (While this provision
does not explicitly require it, where feasible, third party sources
should be informed of the purposes for which information they are asked
to provide will be used.);
(v) Neither collect, maintain, use nor disseminate information
concerning an individual's religious or political beliefs or activities
or membership in associations or organizations, unless (A)
[[Page 47]]
the individual has volunteered such information for the individual's own
benefits; (B) the information is expressly authorized by statute to be
collected, maintained, used or disseminated; or (C) the activities
involved are pertinent to and within the scope of an authorized
investigation, adjudication or correctional activity;
(vi) Advise their supervisors of the existence or contemplated
development of any record system which is capable of retrieving
information about individuals by individual identifier;
(vii) Disseminate no information concerning individuals outside the
Department except when authorized by 5 U.S.C. 552a or pursuant to a
routine use published in the Federal Register;
(viii) Assure that an accounting is kept in the prescribed form, of
all dissemination of personal information outside the Department,
whether made orally or in writing, unless disclosed under 5 U.S.C. 552
and subpart A of this part;
(ix) Maintain and process information concerning individuals with
care in order to insure that no inadvertent disclosure of the
information is made either within or without the Department; and
(x) Assure that the proper Department authorities are aware of any
information in a system maintained by the Department which is not
authorized to be maintained under the provisions of the Privacy Act of
1974, including information on First Amendment Activities, information
that is inaccurate, irrelevant or so incomplete as to risk unfairness to
the individual concerned.
(3) Heads of components within the Department or their delegates
shall, at least annually, review the record systems subject to their
supervision to insure compliance with the provisions of the Privacy Act
of 1974 and the regulations in this subpart. (See 5 U.S.C. 552a (e)(9),
(i) and (m))
(c) Criminal penalties. (1) The Privacy Act imposes criminal
penalties on the conduct of Government officers or employees as follows:
Any officer or employee of an agency (which term includes the Department
of the Treasury):
(i) Who by virtue of the official's employment or official position,
has possession of, or access to, agency records which contain
individually identifiable information the disclosure of which is
prohibited by this section (5 U.S.C. 552a) or regulations established
thereunder, and who knowing that disclosure of the specific material is
so prohibited, willfully discloses the material in any manner to any
person or agency not entitled to receive it, or
(ii) Who willfully maintains a system of records without meeting the
notice requirements of paragraph (e)(4) of this section (5 U.S.C. 552a)-
-shall be guilty of a misdemeanor and fined not more than $5,000.
(2) The Act also imposes a collateral criminal penalty on the
conduct of any person as follows:
``Any person who knowingly and willfully requests or obtains any
record concerning an individual from an agency under false pretenses
shall be guilty of a misdemeanor and fined not more than $5,000.''
(3) For the purposes of 5 U.S.C. 552a (i), the provisions of
paragraph (c)(1) of this section are applicable to Government
contractors and employees of such contractors who by contract, operate
by or on behalf of the Department of the Treasury a system of records to
accomplish a Departmental function. Such contractor and employees are
considered employees of the Department of the Treasury for the purposes
of 5 U.S.C. 552a(i). (See 5 U.S.C. 552a (i) and (m).)
Sec. 1.29 Records transferred to Federal Records Center or National Archives of the United States.
(a) Records transferred to the Administrator of General Services for
storage in the Federal Records Center. Records pertaining to an
identifiable individual which are transferred to the Federal Records
Center in accordance with 44 U.S.C. 3103 shall, for the purposes of the
Privacy Act, 5 U.S.C. 552a, be considered to be maintained by the
component which deposited the record and shall be subject to the
provisions of the Privacy Act and this subpart. The Administrator of
General Services shall not disclose such records except to the
[[Page 48]]
Department of the Treasury or to others under rules consistent with the
Privacy Act which may be established by the Department of the Treasury
or a component. If such records are retrieved for the purpose of making
a determination about an individual, they must be reviewed for accuracy,
relevance, timeliness, and completeness.
(b) Records transferred to the National Archives of the United
States. (1) Records transferred to National Archives prior to September
27, 1975. Records pertaining to an identifiable individual transferred
to the National Archives prior to September 27, 1975, as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government shall be considered to be
maintained by the National Archives, and
(i) Shall not be subject to 5 U.S.C. 552a,
(ii) Except, that a statement describing such records [modeled after
5 U.S.C. 552a (e)(4) (A) through (G)] shall be published in the Federal
Register.
(2) Records transferred to National Archives on or after September
27, 1975. Records pertaining to an identifiable individual transferred
to the National Archives as a record which has sufficient historical or
other value to warrant its continued preservation by the United States
Government, on or after September 27, 1975, shall be considered to be
maintained by the National Archives, and
(i) Shall not be subject to 5 U.S.C. 552a,
(ii) Except, that a statement describing such records in accordance
with 5 U.S.C. 552a (e)(4) (A) through (G) shall be published in the
Federal Register and rules of conduct and training in accordance with 5
U.S.C. 552 (e) (9) are to be established by the National Archives. (See
5 U.S.C. 552a (e))
Sec. 1.30 Application to system of records maintained by Government contractors.
When a component contracts for the operation of a system of records,
to accomplish a Departmental function, the provisions of the Privacy
Act, 5 U.S.C. 552a, and this subpart shall be applicable to such system.
The component shall have responsibility for insuring that the contractor
complies with the contract requirements relating to privacy.
Sec. 1.31 Sale or rental of mailing lists.
(a) In general. An individual's name and address shall not be sold
or rented by a component unless such action is specifically authorized
by law.
(b) Withholding of names and addresses. This section shall not be
construed to require the withholding of names and addresses otherwise
permitted to be made public. (See 5 U.S.C. 552a (n)).
Sec. 1.32 Use and disclosure of social security numbers.
(a) In general. An individual shall not be denied any right,
benefit, or privilege provided by law by a component because of such
individual's refusal to disclose his social security number.
(b) Exceptions. The provisions of paragraph (a) of this section
shall not apply with respect to:
(1) Any disclosure which is required by Federal statute, or
(2) The disclosure of a social security number to any Federal,
State, or local agency maintaining a system of records in existence and
operating before January 1, 1975, if such disclosure was required under
statute or regulation adopted prior to such date to verify the identity
of an individual.
(c) Requests for disclosure of social security number. Any component
which requests an individual to disclose his or her social security
account number shall inform that individual whether:
(1) Disclosure is mandatory or voluntary.
(2) By what statutory or other authority such number is solicited,
and
(3) What uses will be made of it. (See section 7 of the Privacy Act
of 1974 set forth at 5 U.S.C. 552a, note.)
Sec. 1.34 Guardianship.
The parent or guardian of a minor or a person judicially determined
to be incompetent shall, in addition to establishing the identity of the
minor or other person represented, establish parentage or guardianship
by furnishing a copy of a birth certificate showing parentage or a court
order establishing the guardianship and may thereafter,
[[Page 49]]
act on behalf of such individual. (See 5 U.S.C. 552a (h))
Sec. 1.35 Information forms.
(a) Review of forms. Except for forms developed and used by
constituent units, the Deputy Assistant Secretary for Administration
shall be responsible for reviewing all forms developed and used by the
Department of the Treasury to collect information from and about
individuals. The heads of components shall each be responsible for the
review of forms used by such component to collect information from and
about individuals.
(b) Scope of review. The responsible officers shall review each form
for the purpose of eliminating any requirement for information that is
not relevant and necessary to carry out an agency function and to
accomplish the following objectives;
(1) To insure that no information concerning religion, political
beliefs or activities, association memberships (other than those
required for a professional license), or the exercise of First Amendment
rights is required to be disclosed unless such requirement of disclosure
is expressly authorized by statute or is pertinent to, and within the
scope of, any authorized law enforcement activity;
(2) To insure that the form or a separate form that can be retained
by the individual makes clear to the individual which information he is
required by law to disclose and the authority for that requirement and
which information is voluntary;
(3) To insure that the form or a separate form that can be retained
by the individual states clearly the principal purpose or purposes for
which the information is being collected, and summarizes concisely the
routine uses that will be made of the information;
(4) To insure that the form or a separate form that can be retained
by the individual clearly indicates to the individual the effect in
terms of rights, benefits or privileges of not providing all or part of
the requested information; and
(5) To insure that any form requesting disclosure of a Social
Security Number, or a separate form that can be retained by the
individual, clearly advises the individual of the statute or regulation
requiring disclosure of the number or clearly advises the individual
that disclosure is voluntary and that no consequence will follow from
the refusal to disclose it, and the uses that will be made of the number
whether disclosed mandatorily and voluntarily.
(c) Revision of forms. Any form which does not meet the objectives
specified in the Privacy Act and in this section, shall be revised to
conform thereto. A separate statement may be used in instances when a
form does not conform. This statement will accompany a form and shall
include all the information necessary to accomplish the objectives
specified in the Privacy Act and this section.
Sec. 1.36 Systems exempt in whole or in part from provisions of 5 U.S.C. 552a and this part.
(a) In General. In accordance with 5 U.S.C. 552a(j) and (k) and
Sec. 1.23(c), the Department of the Treasury hereby exempts the systems
of records identified below from the following provisions of the Privacy
Act for the reasons indicated.
(b) Authority. These rules are promulgated pursuant to the authority
vested in the Secretary of the Treasury by 5 U.S.C. 552a(j) and (k) and
pursuant to the authority of Sec. 123(c).
(c) General exemptions under 5 U.S.C. 552a(j)(2). (1) Under 5 U.S.C.
552a(j)(2), the head of any agency may promulgate rules to exempt any
system of records within the agency from certain provisions of the
Privacy Act of 1974 if the agency or component thereof that maintains
the system performs as its principal function any activities pertaining
to the enforcement of criminal laws. Certain components of the
Department of the Treasury have as their principal function activities
pertaining to the enforcement of criminal laws and protective service
activities which are necessary to assure the safety of individuals
protected by the Department pursuant to the provisions of 18 U.S.C.
3056. This paragraph applies to the following systems of records
maintained by the Department of the Treasury:
(i) Departmental Offices:
[[Page 50]]
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .190................................... Investigation Data
Management System.
DO .200................................... FinCEN Database.
DO .212................................... Suspicious Activity
Reporting System.
DO .213................................... Bank Secrecy Act Reports
System.
------------------------------------------------------------------------
(ii) Bureau of Alcohol, Tobacco and Firearms:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
ATF .003.................................. Criminal Investigation
Report System.
------------------------------------------------------------------------
(iii) Comptroller of the Currency:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CC .110................................... Reports of Suspicious
Activities
CC .120................................... Bank Fraud Information
System
CC .500................................... Chief Counsel's Management
Information System.
CC .510................................... Litigation Information
System
------------------------------------------------------------------------
(iv) U.S. Customs Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CS .053................................... Confidential Source
Identification File.
CS .127................................... Internal Affairs Records
System.
CS .129................................... Investigations Record
System.
CS .171................................... Pacific Basin Reporting
Network.
CS .213................................... Seized Assets and Case
Tracking System (SEACATS).
CS .244................................... Treasury Enforcement
Communications System
(TECS).
CS .270................................... Background-Record File of
Non-Customs Employees.
CS .285................................... Automated Index to Central
Enforcement Files.
------------------------------------------------------------------------
(v) Bureau of Engraving and Printing.
(vi) Federal Law Enforcement Training Center.
(vii) Financial Management Service.
(viii) Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 34.022................................ National Background
Investigations Center
Management Information
System (NBICMIS).
IRS 46.002................................ Case Management and Time
Reporting System, Criminal
Investigation Division.
IRS 46.003................................ Confidential Informants,
Criminal Investigation
Division.
IRS 46.005................................ Electronic Surveillance
Files, Criminal
Investigation Division.
IRS 46.009................................ Centralized Evaluation and
Processing of Information
Items (CEPIIs), Criminal
Investigation Division.
IRS 46.015................................ Relocated Witnesses,
Criminal Investigation
Division.
IRS 46.016................................ Secret Service Details,
Criminal Investigation
Division.
IRS 46.022................................ Treasury Enforcement
Communications System
(TECS).
IRS 46.050................................ Automated Information
Analysis System.
IRS 60.001................................ Assault and Threat
Investigation Files.
IRS 60.002................................ Bribery Investigation Files.
IRS 60.004................................ Disclosure Investigation
Files.
IRS 90.001................................ Chief Counsel Criminal Tax
Case Files.
------------------------------------------------------------------------
(ix) U.S. Mint
(x) Bureau of the Public Debt
(xi) U.S. Secret Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
USSS .003................................. Criminal Investigation
Information System.
USSS .006................................. Non-Criminal Investigation
Information System.
USSS .007................................. Protection Information
System.
------------------------------------------------------------------------
(xii) Office of Thrift Supervision:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
OTS .001.................................. Confidential Individual
Information System.
OTS .004.................................. Criminal Referral Database
------------------------------------------------------------------------
(2) The Department hereby exempts the systems of records listed in
paragraphs (c)(1)(i) through (xii) of this section from the following
provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(j)(2): 5 U.S.C.
552a(c)(3) and (4), 5 U.S.C. 552a(d)(1), (2), (3), (4), 5 U.S.C.
552a(e)(1), (2) and (3), 5 U.S.C. 552a(e)(4)(G), (H), and (I), 5 U.S.C.
552a(e)(5) and (8), 5 U.S.C. 552a(f), and 5 U.S.C. 552a(g).
(d) Reasons for exemptions under 5 U.S.C. 552a(j)(2). (1) 5 U.S.C.
552a(e)(4)(G) and (f)(l) enable individuals to inquire whether a system
of records contains records pertaining to them. Application of these
provisions to the systems of records would give individuals an
opportunity to learn whether they have been identified as suspects or
subjects of investigation. As further described in the following
paragraph, access to such knowledge would impair the Department's
ability to carry out its mission, since individuals could:
(i) Take steps to avoid detection;
(ii) Inform associates that an investigation is in progress;
(iii) Learn the nature of the investigation;
[[Page 51]]
(iv) Learn whether they are only suspects or identified as law
violators;
(v) Begin, continue, or resume illegal conduct upon learning that
they are not identified in the system of records; or
(vi) Destroy evidence needed to prove the violation.
(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f)(2), (3) and (5) grant
individuals access to records pertaining to them. The application of
these provisions to the systems of records would compromise the
Department's ability to provide useful tactical and strategic
information to law enforcement agencies.
(i) Permitting access to records contained in the systems of records
would provide individuals with information concerning the nature of any
current investigations and would enable them to avoid detection or
apprehension by:
(A) Discovering the facts that would form the basis for their
arrest;
(B) Enabling them to destroy or alter evidence of criminal conduct
that would form the basis for their arrest; and
(C) Using knowledge that criminal investigators had reason to
believe that a crime was about to be committed, to delay the commission
of the crime or commit it at a location that might not be under
surveillance.
(ii) Permitting access to either on-going or closed investigative
files would also reveal investigative techniques and procedures, the
knowledge of which could enable individuals planning crimes to structure
their operations so as to avoid detection or apprehension.
(iii) Permitting access to investigative files and records could,
moreover, disclose the identity of confidential sources and informers
and the nature of the information supplied and thereby endanger the
physical safety of those sources by exposing them to possible reprisals
for having provided the information. Confidential sources and informers
might refuse to provide criminal investigators with valuable information
unless they believed that their identities would not be revealed through
disclosure of their names or the nature of the information they
supplied. Loss of access to such sources would seriously impair the
Department's ability to carry out its mandate.
(iv) Furthermore, providing access to records contained in the
systems of records could reveal the identities of undercover law
enforcement officers who compiled information regarding the individual's
criminal activities and thereby endanger the physical safety of those
undercover officers or their families by exposing them to possible
reprisals.
(v) By compromising the law enforcement value of the systems of
records for the reasons outlined in paragraphs (d)(2)(i) through (iv) of
this section, permitting access in keeping with these provisions would
discourage other law enforcement and regulatory agencies, foreign and
domestic, from freely sharing information with the Department and thus
would restrict the Department's access to information necessary to
accomplish its mission most effectively.
(vi) Limitation on access to the material contained in the
protective intelligence files is considered necessary to the
preservation of the utility of intelligence files and in safeguarding
those persons the Department is authorized to protect. Access to the
protective intelligence files could adversely affect the quality of
information available to the Department; compromise confidential
sources, hinder the ability of the Department to keep track of persons
of protective interest; and interfere with the Department's protective
intelligence activities by individuals gaining access to protective
intelligence files.
(vii) Many of the persons on whom records are maintained in the
protective intelligence suffer from mental aberrations. Knowledge of
their condition and progress comes from authorities, family members and
witnesses. Many times this information comes to the Department as a
result of two party conversations where it would be impossible to hide
the identity of informants. Sources of information must be developed,
questions asked and answers recorded. Trust must be extended and
guarantees of confidentiality and anonymity must be maintained. Allowing
access to information of this kind to
[[Page 52]]
individuals who are the subjects of protective interest may well lead to
violence directed against an informant by a mentally disturbed
individual.
(viii) Finally, the dissemination of certain information that the
Department may maintain in the systems of records is restricted by law.
(3) 5 U.S.C. 552a(d)(2), (3) and (4), (e)(4)(H), and (f)(4) permit
an individual to request amendment of a record pertaining to him or her
and require the agency either to amend the record, or to note the
disputed portion of the record and to provide a copy of the individual's
statement of disagreement with the agency's refusal to amend a record to
persons or other agencies to whom the record is thereafter disclosed.
Since these provisions depend on the individual's having access to his
or her records, and since these rules exempt the systems of records from
the provisions of 5 U.S.C. 552a relating to access to records, for the
reasons set out in paragraph (d)(2) of this section, these provisions
should not apply to the systems of records.
(4) 5 U.S.C. 552a(c)(3) requires an agency to make accountings of
disclosures of a record available to the individual named in the record
upon his or her request. The accountings must state the date, nature,
and purpose of each disclosure of the record and the name and address of
the recipient.
(i) The application of this provision would impair the ability of
law enforcement agencies outside the Department of the Treasury to make
effective use of information provided by the Department. Making
accountings of disclosures available to the subjects of an investigation
would alert them to the fact that another agency is conducting an
investigation into their criminal activities and could reveal the
geographic location of the other agency's investigation, the nature and
purpose of that investigation, and the dates on which that investigation
was active. Violators possessing such knowledge would be able to take
measures to avoid detection or apprehension by altering their
operations, by transferring their criminal activities to other
geographical areas, or by destroying or concealing evidence that would
form the basis for arrest. In the case of a delinquent account, such
release might enable the subject of the investigation to dissipate
assets before levy.
(ii) Moreover, providing accountings to the subjects of
investigations would alert them to the fact that the Department has
information regarding their criminal activities and could inform them of
the general nature of that information. Access to such information could
reveal the operation of the Department's information-gathering and
analysis systems and permit violators to take steps to avoid detection
or apprehension.
(iii) The release of such information to the subject of a protective
intelligence file would provide significant information concerning the
nature of an investigation, and could result in impeding or compromising
the efforts of Department personnel to detect persons suspected of
criminal activities or to collect information necessary for the proper
evaluation of persons considered to be of protective interest.
(5) 5 U.S.C. 552(c)(4) requires an agency to inform any person or
other agency about any correction or notation of dispute that the agency
made in accordance with 5 U.S.C. 552a(d) to any record that the agency
disclosed to the person or agency if an accounting of the disclosure was
made. Since this provision depends on an individual's having access to
and an opportunity to request amendment of records pertaining to him or
her, and since these rules exempt the systems of records from the
provisions of 5 U.S.C. 552a relating to access to and amendment of
records, for the reasons set out in paragraph (f)(3) of this section,
this provision should not apply to the systems of records.
(6) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a general
notice listing the categories of sources for information contained in a
system of records. The application of this provision to the systems of
records could compromise the Department's ability to provide useful
information to law enforcement agencies, since revealing sources for the
information could:
(i) Disclose investigative techniques and procedures;
[[Page 53]]
(ii) Result in threats or reprisals against informers by the
subjects of investigations; and
(iii) Cause informers to refuse to give full information to criminal
investigators for fear of having their identities as sources disclosed.
(7) 5 U.S.C. 552a(e)(1) requires an agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required to be
accomplished by statute or executive order. The term ``maintain,'' as
defined in 5 U.S.C. 552a(a)(3), includes ``collect'' and
``disseminate.'' The application of this provision to the systems of
records could impair the Department's ability to collect and disseminate
valuable law enforcement information.
(i) At the time that the Department collects information, it often
lacks sufficient time to determine whether the information is relevant
and necessary to accomplish a Treasury Department purpose.
(ii) In many cases, especially in the early stages of investigation,
it may be impossible to immediately determine whether information
collected is relevant and necessary, and information that initially
appears irrelevant and unnecessary often may, upon further evaluation or
upon collation with information developed subsequently, prove
particularly relevant to a law enforcement program.
(iii) Compliance with the records maintenance criteria listed in the
foregoing provision would require the periodic up-dating of the
Department's protective intelligence files to insure that the records
maintained in the system remain timely and complete.
(iv) Not all violations of law discovered by the Department fall
within the investigative jurisdiction of the Department of the Treasury.
To promote effective law enforcement, the Department will have to
disclose such violations to other law enforcement agencies, including
State, local and foreign agencies, that have jurisdiction over the
offenses to which the information relates. Otherwise, the Department
might be placed in the position of having to ignore information relating
to violations of law not within the jurisdiction of the Department of
the Treasury when that information comes to the Department's attention
during the collation and analysis of information in its records.
(8) 5 U.S.C. 552a(e)(2) requires an agency to collect information to
the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under Federal programs.
The application of this provision to the systems of records would impair
the Department's ability to collate, analyze, and disseminate
investigative, intelligence, and enforcement information.
(i) Most information collected about an individual under criminal
investigation is obtained from third parties, such as witnesses and
informants. It is usually not feasible to rely upon the subject of the
investigation as a source for information regarding his criminal
activities.
(ii) An attempt to obtain information from the subject of a criminal
investigation will often alert that individual to the existence of an
investigation, thereby affording the individual an opportunity to
attempt to conceal his criminal activities so as to avoid apprehension.
(iii) In certain instances, the subject of a criminal investigation
is not required to supply information to criminal investigators as a
matter of legal duty.
(iv) During criminal investigations it is often a matter of sound
investigative procedure to obtain information from a variety of sources
to verify information already obtained.
(9) 5 U.S.C. 552a(e)(3) requires an agency to inform each individual
whom it asks to supply information, on the form that it uses to collect
the information or on a separate form that the individual can retain, of
the agency's authority for soliciting the information; whether
disclosure of information is voluntary or mandatory; the principal
purposes for which the agency will use the information; the routine uses
that may be made of the information; and the effects on the individual
of not providing all or part of the information. The systems of records
should
[[Page 54]]
be exempted from this provision to avoid impairing the Department's
ability to collect and collate investigative, intelligence, and
enforcement data.
(i) Confidential sources or undercover law enforcement officers
often obtain information under circumstances in which it is necessary to
keep the true purpose of their actions secret so as not to let the
subject of the investigation or his or her associates know that a
criminal investigation is in progress.
(ii) If it became known that the undercover officer was assisting in
a criminal investigation, that officer's physical safety could be
endangered through reprisal, and that officer may not be able to
continue working on the investigation.
(iii) Individuals often feel inhibited in talking to a person
representing a criminal law enforcement agency but are willing to talk
to a confidential source or undercover officer whom they believe not to
be involved in law enforcement activities.
(iv) Providing a confidential source of information with written
evidence that he or she was a source, as required by this provision,
could increase the likelihood that the source of information would be
subject to retaliation by the subject of the investigation.
(v) Individuals may be contacted during preliminary information
gathering, surveys, or compliance projects concerning the administration
of the internal revenue laws before any individual is identified as the
subject of an investigation. Informing the individual of the matters
required by this provision would impede or compromise subsequent
investigations.
(vi) Finally, application of this provision could result in an
unwarranted invasion of the personal privacy of the subject of the
criminal investigation, particularly where further investigation reveals
that the subject was not involved in any criminal activity.
(10) 5 U.S.C. 552a(e)(5) requires an agency to maintain all records
it uses in making any determination about any individual with such
accuracy, relevance, timeliness, and completeness as is reasonably
necessary to assure fairness to the individual in the determination.
(i) Since 5 U.S.C. 552a(a)(3) defines ``maintain'' to include
``collect'' and ``disseminate,'' application of this provision to the
systems of records would hinder the initial collection of any
information that could not, at the moment of collection, be determined
to be accurate, relevant, timely, and complete. Similarly, application
of this provision would seriously restrict the Department's ability to
disseminate information pertaining to a possible violation of law to law
enforcement and regulatory agencies. In collecting information during a
criminal investigation, it is often impossible or unfeasible to
determine accuracy, relevance, timeliness, or completeness prior to
collection of the information. In disseminating information to law
enforcement and regulatory agencies, it is often impossible to determine
accuracy, relevance, timeliness, or completeness prior to dissemination,
because the Department may not have the expertise with which to make
such determinations.
(ii) Information that may initially appear inaccurate, irrelevant,
untimely, or incomplete may, when collated and analyzed with other
available information, become more pertinent as an investigation
progresses. In addition, application of this provision could seriously
impede criminal investigators and intelligence analysts in the exercise
of their judgment in reporting results obtained during criminal
investigations.
(iii) Compliance with the records maintenance criteria listed in the
foregoing provision would require the periodic up-dating of the
Department's protective intelligence files to insure that the records
maintained in the system remain timely and complete.
(11) 5 U.S.C. 552a(e)(8) requires an agency to make reasonable
efforts to serve notice on an individual when the agency makes any
record on the individual available to any person under compulsory legal
process, when such process becomes a matter of public record. The
systems of records should be exempted from this provision to avoid
revealing investigative techniques and procedures outlined in those
records and to prevent revelation of
[[Page 55]]
the existence of an ongoing investigation where there is need to keep
the existence of the investigation secret.
(12) 5 U.S.C. 552a(g) provides for civil remedies to an individual
when an agency wrongfully refuses to amend a record or to review a
request for amendment, when an agency wrongfully refuses to grant access
to a record, when an agency fails to maintain accurate, relevant,
timely, and complete records which are used to make a determination
adverse to the individual, and when an agency fails to comply with any
other provision of 5 U.S.C. 552a so as to adversely affect the
individual. The systems of records should be exempted from this
provision to the extent that the civil remedies may relate to provisions
of 5 U.S.C. 552a from which these rules exempt the systems of records,
since there should be no civil remedies for failure to comply with
provisions from which the Department is exempted. Exemption from this
provision will also protect the Department from baseless civil court
actions that might hamper its ability to collate, analyze, and
disseminate investigative, intelligence, and law enforcement data.
(e) Specific exemptions under 5 U.S.C. 552a(k)(1). (1) Under 5
U.S.C. 552a(k)(1), the head of any agency may promulgate rules to exempt
any system of records within the agency from certain provisions of the
Privacy Act of 1974 to the extent that the system contains information
subject to the provisions of 5 U.S.C. 552(b)(1). This paragraph applies
to the following system of records maintained by the Department of the
Treasury:
Departmental Offices:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .200................................... FinCEN Database.
------------------------------------------------------------------------
(2) The Department of the Treasury hereby exempts the system of
records listed in paragraph (e)(1) of this section from the following
provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(1): 5 U.S.C.
552a(c)(3), 5 U.S.C. 552a(d)(1), (2), (3) and (4), 5 U.S.C. 552a(e)(1),
5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
(f) Reasons for exemptions under 5 U.S.C. 552a(k)(1). The reason for
invoking the exemption is to protect material required to be kept secret
in the interest of national defense or foreign policy pursuant to
Executive Order 12958 (or successor or prior Executive Order).
(g) Specific exemptions under 5 U.S.C. 552a(k)(2). (1) Under 5
U.S.C. 552a(k)(2), the head of any agency may promulgate rules to exempt
any system of records within the agency from certain provisions of the
Privacy Act of 1974 if the system is investigatory material compiled for
law enforcement purposes and for the purposes of assuring the safety of
individuals protected by the Department pursuant to the provisions of 18
U.S.C. 3056. This paragraph applies to the following systems of records
maintained by the Department of the Treasury:
(i) Departmental Offices:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .114................................... Foreign Assets Control
Enforcement Records.
DO .144................................... General Counsel Litigation
Referral and Reporting
System.
DO .190................................... Investigation Data
Management System.
DO .200................................... FinCEN Database.
DO .212................................... Suspicious Activity
Reporting System.
DO .213................................... Bank Secrecy Act Reports
System.
------------------------------------------------------------------------
(ii) Bureau of Alcohol, Tobacco and Firearms:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
ATF .008.................................. Regulatory Enforcement
Record System.
ATF .009.................................. Technical and Scientific
Services Record System.
------------------------------------------------------------------------
(iii) Comptroller of the Currency
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CC .100................................... Enforcement Action Report
System
CC .110................................... Reports of Suspicious
Activities
CC .120................................... Bank Fraud Information
System
CC .220................................... Section 914 Tracking System
CC .500................................... Chief Counsel's Management
Information System.
CC .510................................... Litigation Information
System
CC .600................................... Consumer Complaint Inquiry
and Information System
------------------------------------------------------------------------
(iv) U.S. Customs Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CS .021................................... Arrest/Seizure/Search Report
and Notice of Penalty File.
CS .022................................... Attorney Case File.
CS .041................................... Cartmen or Lightermen.
[[Page 56]]
CS .043................................... Case Files (Associate Chief
Counsel--Gulf Custom
Management Center).
CS .046................................... Claims Case File.
CS .053................................... Confidential Source
Identification File.
CS .057................................... Container Station Operator
Files.
CS .058................................... Cooperating Individual
Files.
CS .061................................... Court Case File.
CS .069................................... Customhouse Brokers File
(Chief Counsel).
CS .077................................... Disciplinary Action,
Grievances and Appeal Case
Files.
CS .098................................... Fines, Penalties, and
Forfeitures Records.
CS .099................................... Fines, Penalties, and
Forfeiture Files
(Supplemental Petitions).
CS .100................................... Fines, Penalties, and
Forfeiture Records
(Headquarters).
CS .122................................... Information Received File.
CS .125................................... Intelligence Log.
CS .127................................... Internal Affairs Records
System.
CS .129................................... Investigations Record
System.
CS .133................................... Justice Department Case
File.
CS .138................................... Litigation Issue Files.
CS .159................................... Notification of Personnel
Management Division when an
employee is placed under
investigation by the Office
of Internal Affairs.
CS .171................................... Pacific Basin Reporting
Network.
CS .186................................... Personnel Search.
CS .190................................... Personnel Case File.
CS .197................................... Private Aircraft/Vessel
Inspection Reporting
System.
CS .206................................... Regulatory Audits of
Customhouse Brokers.
CS .212................................... Search/Arrest/Seizure
Report.
CS .213................................... Seized Assets and Case
Tracking System (SEACATS).
CS .214................................... Seizure File.
CS .224................................... Suspect Persons Index.
CS .232................................... Tort Claims Act File.
CS .244................................... Treasury Enforcement
Communications System
(TECS).
CS .258................................... Violator's Case Files.
CS .260................................... Warehouse Proprietor Files.
CS .270................................... Background-Record File of
Non-Customs Employees.
CS .271................................... Cargo Security Record
System.
CS .285................................... Automated Index to Central
Investigative Files.
------------------------------------------------------------------------
(v) Bureau of Engraving and Printing:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
BEP .021.................................. Investigative files.
------------------------------------------------------------------------
(vi) Federal Law Enforcement Training Center
(vii) Financial Management Service
(viii) Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 00.002................................ Correspondence File-
Inquiries about Enforcement
Activities.
IRS 00.334................................ Third Party Contact Reprisal
Records
IRS 22.061................................ Wage and Information Returns
Processing (IRP).
IRS 26.001................................ Acquired Property Records.
IRS 26.006................................ Form 2209, Courtesy
Investigations.
IRS 26.008................................ IRS and Treasury Employee
Delinquency.
IRS 26.011................................ Litigation Case Files.
IRS 26.012................................ Offer in Compromise (OIC)
Files.
IRS 26.013................................ One-hundred Per Cent Penalty
Cases.
IRS 26.016................................ Returns Compliance Programs
(RCP).
IRS 26.019................................ TDA (Taxpayer Delinquent
Accounts).
IRS 26.020................................ TDI (Taxpayer Delinquency
Investigations) Files.
IRS 26.021................................ Transferee Files.
IRS 26.022................................ Delinquency Prevention
Programs.
IRS 34.020................................ IRS Audit Trail Lead
Analysis System.
IRS 34.037................................ IRS Audit Trail and Security
Records System.
IRS 37.002................................ Applicant Appeal Files.
IRS 37.003................................ Closed Files Containing
Derogatory Information
about individuals' Practice
before the IRS and Files of
Attorneys and Certified
Public Accountants Formerly
Enrolled to Practice.
IRS 37.004................................ Derogatory Information (No
Action).
IRS 37.005................................ Present Suspensions and
Disbarments Resulting from
Administrative Proceeding.
IRS 37.007................................ Inventory.
IRS 37.009................................ Resigned Enrolled Agents
(action pursuant to 31 CFR
Section 10.55(b)).
IRS 37.011................................ Present Suspensions from
Practice Before the
Internal Revenue Service.
IRS 42.001................................ Examination Administrative
File.
IRS 42.008................................ Audit Information Management
System (AIMS).
IRS 42.012................................ Combined Case Control Files.
IRS 42.016................................ Classification and
Examination Selection
Files.
IRS 42.017................................ International Enforcement
Program Files.
IRS 42.021................................ Compliance Programs and
Projects Files.
IRS 42.029................................ Audit Underreporter Case
Files.
IRS 42.030................................ Discriminant Function File
(DIF) Appeals Case Files.
IRS 44.001................................ Appeals Case Files.
IRS 46.050................................ Automated Information
Analysis System.
IRS 48.001................................ Disclosure Records.
IRS 49.001................................ Collateral and Information
Requests System.
IRS 49.002................................ Component Authority and
Index Card Mircofilm
Retrieval System.
IRS 49.007................................ Overseas Compliance Projects
System.
IRS 60.003................................ Conduct Investigation Files.
IRS 60.006................................ Enrollee Charge
Investigation Files.
IRS 60.007................................ Miscellaneous Information
File.
IRS 60.009................................ Special Inquiry
Investigation Files.
IRS 90.002................................ Chief Counsel Disclosure
Litigation Division Case
Files.
IRS 90.004................................ Chief Counsel General Legal
Services Case Files.
IRS 90.005................................ Chief Counsel General
Litigation Case Files.
IRS 90.009................................ Chief Counsel Field Case
Service Files.
[[Page 57]]
IRS 90.010................................ Digest Room Files Containing
Briefs, Legal Opinions,
Digests of Documents
Generated Internally or by
the Department of Justice
Relating to the
Administration of the
Revenue Laws.
IRS 90.013................................ Legal case files of the
Chief Counsel, Deputy Chief
Counsel, Associate Chief
Counsels (Enforcement
Litigation) and
(technical).
IRS 90.016................................ Counsel Automated Tracking
System (CATS).
------------------------------------------------------------------------
(ix) U.S. Mint:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
Mint .008................................. Criminal investigation files
(formerly: Investigatory
Files on Theft of Mint
Property).
------------------------------------------------------------------------
(x) Bureau of the Public Debt.
(xi) U.S. Secret Service:.
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
USSS .003................................. Criminal Investigation
Information System.
USSS .006................................. Non-Criminal Investigation
Information System.
USSS .007................................. Protection Information
System.
------------------------------------------------------------------------
(xii) Office of Thrift Supervision:.
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
OTS .001.................................. Confidential Individual
Information System.
OTS .004.................................. Criminal Referral Database.
------------------------------------------------------------------------
(2) The Department hereby exempts the systems of records listed in
paragraphs (g)(1)(i) through (xii) of this section from the following
provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(2): 5 U.S.C.
552a(c)(3), 5 U.S.C. 552a(d) (1), (2), (3), and (4), 5 U.S.C.
552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
(h) Reasons for exemptions under 5 U.S.C. 552a(k)(2). (1) 5 U.S.C.
552a(c)(3) requires an agency to make accountings of disclosures of a
record available to the individual named in the record upon his or her
request. The accountings must state the date, nature, and purpose of
each disclosure of the record and the name and address of the recipient.
(i) The application of this provision would impair the ability of
the Department and of law enforcement agencies outside the Department of
the Treasury to make effective use of information maintained by the
Department. Making accountings of disclosures available to the subjects
of an investigation would alert them to the fact that an agency is
conducting an investigation into their illegal activities and could
reveal the geographic location of the investigation, the nature and
purpose of that investigation, and the dates on which that investigation
was active. Violators possessing such knowledge would be able to take
measures to avoid detection or apprehension by altering their
operations, by transferring their illegal activities to other
geographical areas, or by destroying or concealing evidence that would
form the basis for detection or apprehension. In the case of a
delinquent account, such release might enable the subject of the
investigation to dissipate assets before levy.
(ii) Providing accountings to the subjects of investigations would
alert them to the fact that the Department has information regarding
their illegal activities and could inform them of the general nature of
that information.
(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f)(2), (3) and (5) grant
individuals access to records pertaining to them. The application of
these provisions to the systems of records would compromise the
Department's ability to utilize and provide useful tactical and
strategic information to law enforcement agencies.
(i) Permitting access to records contained in the systems of records
would provide individuals with information concerning the nature of any
current investigations and would enable them to avoid detection or
apprehension by:
(A) discovering the facts that would form the basis for their
detection or apprehension;
(B) enabling them to destroy or alter evidence of illegal conduct
that would form the basis for their detection or apprehension, and
(C) using knowledge that investigators had reason to believe that a
violation of law was about to be committed, to delay the commission of
the violation or commit it at a location that might not be under
surveillance.
(ii) Permitting access to either on-going or closed investigative
files would also reveal investigative techniques and procedures, the
knowledge
[[Page 58]]
of which could enable individuals planning non-criminal acts to
structure their operations so as to avoid detection or apprehension.
(iii) Permitting access to investigative files and records could,
moreover, disclose the identity of confidential sources and informers
and the nature of the information supplied and thereby endanger the
physical safety of those sources by exposing them to possible reprisals
for having provided the information. Confidential sources and informers
might refuse to provide investigators with valuable information unless
they believed that their identities would not be revealed through
disclosure of their names or the nature of the information they
supplied.Loss of access to such sources would seriously impair the
Department's ability to carry out its mandate.
(iv) Furthermore, providing access to records contained in the
systems of records could reveal the identities of undercover law
enforcement officers or other persons who compiled information regarding
the individual's illegal activities and thereby endanger the physical
safety of those undercover officers, persons, or their families by
exposing them to possible reprisals.
(v) By compromising the law enforcement value of the systems of
records for the reasons outlined in paragraphs (h)(2)(i) through (iv) of
this section, permitting access in keeping with these provisions would
discourage other law enforcement and regulatory agencies, foreign and
domestic, from freely sharing information with the Department and thus
would restrict the Department's access to information necessary to
accomplish its mission most effectively.
(vi) Finally, the dissemination of certain information that the
Department may maintain in the systems of records is restricted by law.
(3) 5 U.S.C. 552a(d)(2), (3) and (4), (e)(4)(H), and (f)(4) permit
an individual to request amendment of a record pertaining to him or her
and require the agency either to amend the record, or to note the
disputed portion of the record and to provide a copy of the individual's
statement of disagreement with the agency's refusal to amend a record to
persons or other agencies to whom the record is thereafter disclosed.
Since these provisions depend on the individual's having access to his
or her records, and since these rules exempt the systems of records from
the provisions of 5 U.S.C. 552a relating to access to records, for the
reasons set out in paragraph (h)(2) of this section, these provisions
should not apply to the systems of records.
(4) 5 U.S.C. 552a(e)(1) requires an agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required to be
accomplished by statute or executive order. The term ``maintain,'' as
defined in 5 U.S.C. 552a(a)(3), includes ``collect'' and
``disseminate.'' The application of this provision to the system of
records could impair the Department's ability to collect, utilize and
disseminate valuable law enforcement information.
(i) At the time that the Department collects information, it often
lacks sufficient time to determine whether the information is relevant
and necessary to accomplish a Department purpose.
(ii) In many cases, especially in the early stages of investigation,
it may be impossible immediately to determine whether information
collected is relevant and necessary, and information that initially
appears irrelevant and unnecessary often may, upon further evaluation or
upon collation with information developed subsequently, prove
particularly relevant to a law enforcement program.
(iii) Not all violations of law discovered by the Department
analysts fall within the investigative jurisdiction of the Department of
the Treasury. To promote effective law enforcement, the Department will
have to disclose such violations to other law enforcement agencies,
including State, local and foreign agencies that have jurisdiction over
the offenses to which the information relates. Otherwise, the Department
might be placed in the position of having to ignore information relating
to violations of law not within the jurisdiction of the Department of
the Treasury when that information comes to the Department's attention
during the collation and analysis of information in its records.
[[Page 59]]
(5) U.S.C. 552a (e)(4)(G) and (f)(1) enable individuals to inquire
whether a system of records contains records pertaining to them.
Application of these provisions to the systems of records would allow
individuals to learn whether they have been identified as suspects or
subjects of investigation. As further described in the following
paragraph, access to such knowledge would impair the Department's
ability to carry out its mission, since individuals could:
(i) Take steps to avoid detection;
(ii) Inform associates that an investigation is in progress;
(iii) Learn the nature of the investigation;
(iv) Learn whether they are only suspects or identified as law
violators;
(v) Begin, continue, or resume illegal conduct upon learning that
they are not identified in the system of records; or
(vi) Destroy evidence needed to prove the violation.
(6) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a general
notice listing the categories of sources for information contained in a
system of records. The application of this provision to the systems of
records could compromise the Department's ability to complete or
continue investigations or to provide useful information to law
enforcement agencies, since revealing sources for the information could:
(i) Disclose investigative techniques and procedures;
(ii) Result in threats or reprisals against informers by the
subjects of investigations; and
(iii) Cause informers to refuse to give full information to
investigators for fear of having their identities as sources disclosed.
(i) Specific exemptions under 5 U.S.C. 552a(k)(3). (1) The head of
any agency may promulgate rules to exempt any system of records within
the agency from certain provisions of the Privacy Act of 1974 if it is
maintained in connection with providing protective intelligence to the
President of the United States or other individuals pursuant to section
3056 of Title 18. This paragraph applies to the following system of
records maintained by the Department which contains material relating to
criminal investigations concerned with the enforcement of criminal
statutes involving the security of persons and property. Further, this
system contains records described in 5 U.S.C. 552a(k) including, but not
limited to, classified material and investigatory material compiled for
law enforcement purposes, for which exemption is claimed under 5 U.S.C.
552a(k)(3):
U.S. Secret Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
USSS .007................................. Protection Information
System.
------------------------------------------------------------------------
(2) The Department hereby exempts the system of records listed in
(i)(1) of this section from the following provisions of 5 U.S.C. 552a,
pursuant to 5 U.S.C. 552a(k)(3): 5 U.S.C. 552a(c)(3), 5 U.S.C.
552a(d)(1), (2), (3),and (4), 5 U.S.C. 552a(e)(1), 5 U.S.C.
552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
(j) Reasons for exemptions under 5 U.S.C. 552a(k)(3). (1) 5 U.S.C.
552a(c)(3) requires an agency to make accountings of disclosures of a
record available to the individual named in the record upon his or her
request. The accountings must state the date, nature, and purpose of
each disclosure of the record and the name and address of the recipient.
(i) The application of this provision would impair the ability of
law enforcement agencies outside the Department of the Treasury to make
effective use of information provided by the Department. Making
accountings of disclosures available to the subjects of an investigation
would alert them to the fact that another agency is conducting an
investigation into their criminal activities and could reveal the
geographic location of the other agency's investigation, the nature and
purpose of that investigation, and the dates on which the investigation
was active. Violators possessing such knowledge would be able to take
measures to avoid detection or apprehension by altering their
operations, by transferring their criminal activities to other
geographical areas, or by destroying or concealing evidence that would
form the basis for arrest.
(ii) Providing accountings to the subjects of investigations would
alert them to the fact that the Department
[[Page 60]]
has information regarding their criminal activities and could inform
them of the general nature of that information. Access to such
information could reveal the operation of the Department's information-
gathering and analysis systems and permit violators to take steps to
avoid detection or apprehension.
(iii) The release of such information to the subject of a protective
intelligence file would provide significant information concerning the
nature and scope of an investigation, and could result in impeding or
compromising the efforts of Department personnel to detect persons
suspected of criminal activities or to collect information necessary for
the proper evaluation of persons considered to be of protective
interest.
(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and (f)(2), (3) and (5) grant
individuals access to records pertaining to them. The application of
these provisions to the systems of records would compromise the
Department's ability to provide useful tactical and strategic
information to law enforcement agencies.
(i) Permitting access to records contained in the systems of records
would provide individuals with information concerning the nature of any
current investigations and would enable them to avoid detection or
apprehension by:
(A) Discovering the facts that would form the basis for their
arrest;
(B) Enabling them to destroy or alter evidence of criminal conduct
that would form the basis for their arrest, and
(C) Using knowledge that criminal investigators had reason to
believe that a crime was about to be committed, to delay the commission
of the crime or commit it at a location that might not be under
surveillance.
(ii) Permitting access to either on-going or closed investigative
files would also reveal investigative techniques and procedures, the
knowledge of which could enable individuals planning crimes to structure
their operations so as to avoid detection or apprehension.
(iii) Permitting access to investigative files and records could,
moreover, disclose the identity of confidential sources, and informers
and the nature of the information supplied and thereby endanger the
physical safety of those sources by exposing them to possible reprisals
for having provided the information. Confidential sources and informers
might refuse to provide criminal investigators with valuable information
unless they believed that their identities would not be revealed through
disclosure of their names or the nature of the information they
supplied. Loss of access to such sources would seriously impair the
Department's ability to carry out its mandate.
(iv) Furthermore, providing access to records contained in the
systems of records could reveal the identities of undercover law
enforcement officers who compiled information regarding the individual's
criminal activities and thereby endanger the physical safety of those
undercover officers or their families by exposing them to possible
reprisals.
(v) By compromising the law enforcement value of the systems of
records for the reasons outlined in paragraphs (j)(2)(i) through (iv) of
this section, permitting access in keeping with these provisions would
discourage other law enforcement and regulatory agencies, foreign and
domestic, from freely sharing information with the Department and thus
would restrict the Department's access to information necessary to
accomplish its mission most effectively.
(vi) Limitation on access to the materials contained in the
protective intelligence files is considered necessary to the
preservation of the utility of intelligence files and in safeguarding
those persons the Department is authorized to protect. Access to the
protective intelligence files could adversely affect the quality of
information available to the Department; compromise confidential
sources; hinder the ability of the Department to keep track of persons
of protective interest; and interfere with the Department's protective
intelligence activities by individuals gaining access to protective
intelligence files.
(vii) Many of the persons on whom records are maintained in the
protective intelligence files suffer from mental aberrations. Knowledge
of their
[[Page 61]]
condition and progress comes from authorities, family members and
witnesses. Many times this information comes to the Department as a
result of two-party conversations where it would be impossible to hide
the identity of informants. Sources of information must be developed,
questions asked and answers recorded. Trust must be extended and
guarantees of confidentiality and anonymity must be maintained. Allowing
access of information of this kind to individuals who are the subjects
of protective interest may well lead to violence directed against an
informant by a mentally disturbed individual.
(viii) Finally, the dissemination of certain information that the
Department may maintain in the systems of records is restricted by law.
(3) 5 U.S.C. 552a(d)(2), (3) and (4), (e)(4)(H), and (f)(4) permit
an individual to request amendment of a record pertaining to him or her
and require the agency either to amend the record, or to note the
disputed portion of the record and to provide a copy of the individual's
statement of disagreement with the agency's refusal to amend a record to
persons or other agencies to whom the record is thereafter disclosed.
Since these provisions depend on the individual's having access to his
or her records, and since these rules exempt the systems of records from
the provisions of 5 U.S.C. 552a relating to access to records, for the
reasons set out in paragraph (j)(2) of this section, these provisions
should not apply to the systems of records.
(4) 5 U.S.C. 552a(e)(1) requires an agency to maintain in its
records only such information about an individual as is relevant and
necessary to accomplish a purpose of the agency required to be
accomplished by statute or executive order. The term ``maintain,'' as
defined in 5 U.S.C. 552a(a)(3), includes ``collect'' and
``disseminate.'' The application of this provision to the systems of
records could impair the Department's ability to collect and disseminate
valuable law enforcement information.
(i) At the time that the Department collects information, it often
lacks sufficient time to determine whether the information is relevant
and necessary to accomplish a Department purpose.
(ii) In many cases, especially in the early stages of investigation,
it may be impossible immediately to determine whether information
collected is relevant and necessary, and information that initially
appears irrelevant and unnecessary often may, upon further evaluation or
upon collation with information developed subsequently, prove
particularly relevant to a law enforcement program.
(iii) Not all violations of law discovered by the Department
analysts fall within the scope of the protective intelligence
jurisdiction of the Department of the Treasury. To promote effective law
enforcement, the Department will have to disclose such violations to
other law enforcement agencies, including State, local and foreign
agencies, that have jurisdiction over the offenses to which the
information relates. Otherwise, the Department might be placed in the
position of having to ignore information relating to violations of law
not within the jurisdiction of the Department of the Treasury when that
information comes to the Department's attention during the collation and
analysis of information in its records.
(5) U.S.C. 552a (e)(4)(G) and (f)(1) enable individuals to inquire
whether a system of records contains records pertaining to them.
Application of these provisions to the systems of records would allow
individuals to learn whether they have been identified as suspects or
subjects of investigation. As further described in the following
paragraph, access to such knowledge would impair the Department's
ability to carry out its mission to safeguard those persons the
Department is authorized to protect, since individuals could:
(i) Take steps to avoid detection;
(ii) Inform associates that an investigation is in progress;
(iii) Learn the nature of the investigation;
(iv) Learn whether they are only suspects or identified as law
violators;
(v) Begin, continue, or resume illegal conduct upon learning that
they are not identified in the system of records; or
[[Page 62]]
(vi) Destroy evidence needed to prove the violation.
(6) 5 U.S.C. 552a(e)(4)(I) requires an agency to publish a general
notice listing the categories of sources for information contained in a
system of records. The application of this provision to the systems of
records could compromise the Department's ability to provide useful
information to law enforcement agencies, since revealing sources for the
information could:
(i) Disclose investigative techniques and procedures;
(ii) Result in threats or reprisals against informers by the
subject(s) of a protective intelligence file; and
(iii) Cause informers to refuse to give full information to criminal
investigators for fear of having their identities as sources disclosed.
(k) Specific exemptions under 5 U.S.C. 552a(k)(4). (1) Under 5
U.S.C. 552a(k)(4), the head of any agency may promulgate rules to exempt
any system of records within the agency from certain provisions of the
Privacy Act of 1974 if the system is required by statute to be
maintained and used solely as statistical records. This paragraph
applies to the following system of records maintained by the Department,
for which exemption is claimed under 5 U.S.C. 552a(k)(4):
Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 70.001................................ Statistics of Income-
Individual Tax Returns.
------------------------------------------------------------------------
(2) The Department hereby exempts the system of records listed in
paragraph (k)(1) of this section from the following provisions of 5
U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(4): 5 U.S.C. 552a(c)(3), 5
U.S.C. 552a(d)(1), (2), (3), and (4), 5 U.S.C. 552a(e)(1), 5 U.S.C.
552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
(3) The system of records is maintained under section 6108 of the
Internal Revenue Code, which provides that ``the Secretary or his
delegate shall prepare and publish annually statistics reasonably
available with respect to the operation of the income tax laws,
including classifications of taxpayers and of income, the amounts
allowed as deductions, exemptions, and credits, and any other facts
deemed pertinent and valuable.''
(l) Reasons for exemptions under 5 U.S.C. 552a(k)(4). The reason for
exempting the system of records is that disclosure of statistical
records (including release of accounting for disclosures) would in most
instances be of no benefit to a particular individual since the records
do not have a direct effect on a given individual.
(m) Specific exemptions under 5 U.S.C. 552a(k)(5). (1) Under 5
U.S.C. 552a(k)(5), the head of any agency may promulgate rules to exempt
any system of records within the agency from certain provisions of the
Privacy Act of 1974 if the system is investigatory material compiled
solely for the purpose of determining suitability, eligibility, and
qualifications for Federal civilian employment or access to classified
information, but only to the extent that the disclosure of such material
would reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or, prior to September 27, 1975, under an
implied promise that the identity of the source would be held in
confidence. Thus to the extent that the records in this system can be
disclosed without revealing the identity of a confidential source, they
are not within the scope of this exemption and are subject to all the
requirements of the Privacy Act. This paragraph applies to the following
systems of records maintained by the Department or one of its bureaus:
(i) Departmental Offices:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
DO .004................................... Personnel Security System.
------------------------------------------------------------------------
(ii) Bureau of Alcohol, Tobacco and Firearms:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
ATF .007.................................. Personnel Record System.
------------------------------------------------------------------------
(iii) Comptroller of the Currency:
(iv) U.S. Customs Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
CS .127................................... Internal Affairs Records.
------------------------------------------------------------------------
[[Page 63]]
(v) Bureau of Engraving and Printing:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
[Reserved]................................
------------------------------------------------------------------------
(vi) Federal Law Enforcement Training Center
(vii) Financial Management Service
(viii) Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 34.021................................ Personnel Security
Investigations, National
Background Investigations
Center.
IRS 36.008................................ Recruiting, Examining and
Placement Records.
IRS 90.003................................ Chief Counsel General
Administrative Systems.
IRS 90.011................................ Attorney Recruiting Files.
------------------------------------------------------------------------
(ix) U.S. Mint
(x) Bureau of the Public Debt
(xi) U.S. Secret Service
(xii) Office of Thrift Supervision
(2) The Department hereby exempts the systems of records listed in
paragraphs (m)(1)(i) through (xii) of this section from the following
provisions of 5 U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(5): 5 U.S.C.
552a(c)(3), 5 U.S.C. 552a(d)(1), (2), (3), and (4), 5 U.S.C. 552a(e)(1),
5 U.S.C. 552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
(n) Reasons for exemptions under 5 U.S.C. 552a(k)(5). (1) The
sections of 5 U.S.C. 552a from which the systems of records are exempt
include in general those providing for individuals' access to or
amendment of records. When such access or amendment would cause the
identity of a confidential source to be revealed, it would impair the
future ability of the Department to compile investigatory material for
the purpose of determining suitability, eligibility, or qualifications
for Federal civilian employment, Federal contracts, or access to
classified information. In addition, the systems shall be exempt from 5
U.S.C. 552a(e)(1) which requires that an agency maintain in its records
only such information about an individual as is relevant and necessary
to accomplish a purpose of the agency required to be accomplished by
statute or executive order. The Department believes that to fulfill the
requirements of 5 U.S.C. 552a(e)(1) would unduly restrict the agency in
its information gathering inasmuch as it is often not until well after
the investigation that it is possible to determine the relevance and
necessity of particular information.
(2) If any investigatory material contained in the above-named
systems becomes involved in criminal or civil matters, exemptions of
such material under 5 U.S.C. 552a (j)(2) or (k)(2) is hereby claimed.
(o) Exemption under 5 U.S.C. 552a(k)(6). (1) Under 5 U.S.C.
552a(k)(6), the head of any agency may promulgate rules to exempt any
system of records that is testing or examination material used solely to
determine individual qualifications for appointment or promotion in the
Federal service the disclosure of which would compromise the objectivity
or fairness of the testing or examination process. This paragraph
applies to the following system of records maintained by the Department,
for which exemption is claimed under 5 U.S.C. 552a(k)(6):
Internal Revenue Service:
------------------------------------------------------------------------
Number System name
------------------------------------------------------------------------
IRS 36.008................................ Recruiting, Examining and
Placement Records.
------------------------------------------------------------------------
(2) The Department hereby exempts the system of records listed in
paragraph (o)(1) of this section from the following provisions of 5
U.S.C. 552a, pursuant to 5 U.S.C. 552a(k)(6): 5 U.S.C. 552a(c)(3), 5
U.S.C. 552a(d)(1), (2), (3), and (4), 5 U.S.C. 552a(e)(1), 5 U.S.C.
552a(e)(4)(G), (H), and (I), and 5 U.S.C. 552a(f).
(p) Reasons for exemptions under 5 U.S.C. 552a(k)(6). The reason for
exempting the system of records is that disclosure of the material in
the system would compromise the objectivity or fairness of the
examination process.
(q) Exempt information included in another system. Any information
from a system of records for which an exemption is claimed under 5
U.S.C. 552a(j) or (k) which is also included in another system of
records retains the same exempt status such information has in the
system for which such exemption is claimed.
[65 FR 69867, Nov. 21, 2000; 65 FR 76005, Dec. 5, 2000, as amended at 66
FR 16603, Mar. 27, 2001; 66 FR 18192, Apr. 6, 2001; 66 FR 48556, Sept.
21, 2001; 67 FR 34403, May 14, 2002]
[[Page 64]]
Appendices to subpart C
Appendix A to Subpart C of Part 1--Departmental Offices
1. In general. This appendix applies to the Departmental Offices as
defined in 31 CFR part 1, subpart C, Sec. 1.20. It sets forth specific
notification and access procedures with respect to particular systems of
records, identifies the officers designated to make the initial
determinations with respect to notification and access to records, the
officers designated to make the initial and appellate determinations
with respect to requests for amendment of records, the officers
designated to grant extensions of time on appeal, the officers with whom
``Statement of Disagreement'' may be filed, the officer designated to
receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice
of systems of records and notices of the routine uses of the information
in the system required by 5 U.S.C. 552a(e)(4) and (11) and published
annually by the Office of the Federal Register in ``Privacy Act
Issuances''.
2. Requests for notification and access to records and accountings
of disclosures. Initial determinations under 31 CFR 1.26, whether to
grant requests for notification and access to records and accountings of
disclosures for the Departmental Offices, will be made by the head of
the organizational unit having immediate custody of the records
requested, or the delegate of such official. This information is
contained in the appropriate system notice in the ``Privacy Act
Issuances'', published annually by the Office of the Federal Register.
Requests for information and specific guidance on where to send requests
for records should be addressed to:
Privacy Act Request, DO, Department of the Treasury, 1500
Pennsylvania Avenue, NW., Washington, DC 20220.
Requests may be delivered personally to the Main Treasury Building,
Room 5030, 1500 Pennsylvania Avenue NW., Washington, DC.
3. Requests for amendments of records. Initial determinations under
31 CFR 1.27(a) through (d) with respect to requests to amend records for
records maintained by the Departmental Offices will be made by the head
of the organization or unit having immediate custody of the records or
the delegate of such official. Requests for amendment of records should
be addressed as indicated in the appropriate system notice in ``Privacy
Act Issuances'' published by the Office of the Federal Register.
Requests for information and specific guidance on where to send these
requests should be addressed to: Privacy Act Amendment Request, DO,
Department of the Treasury, 1500 Pennsylvania Avenue, NW., Washington,
DC 20220.
4. Administrative appeal of initial determination refusing to amend
record. Appellate determinations under 31 CFR 1.27(e) with respect to
records of the Departmental Offices, including extensions of time on
appeal, will be made by the Secretary, Deputy Secretary, Under
Secretary, General Counsel, or Assistant Secretary having jurisdiction
over the organizational unit which has immediate custody of the records,
or the delegate of such official, as limited by 5 U.S.C. 552a(d) (2) and
(3). Appeals made by mail should be addressed as indicated in the letter
of initial decision or to:
Privacy Act Amendment Request, DO Department of the Treasury, 1500
Pennsylvania Avenue, NW., Washington, DC 20220. Appeals may be delivered
personally to the Library, Room 5030, Main Treasury Building, 1500
Pennsylvania Avenue, NW., Washington, DC.
5. Statements of disagreement. ``Statements of Disagreement'' as
described in 31 CFR 1.27(e)(4) shall be filed with the official signing
the notification of refusal to amend at the address indicated in the
letter of notification within 35 days of the date of notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
General Counsel of the Department of the Treasury or the delegate of
such official and shall be delivered to the following location:
General Counsel, Department of the Treasury, Room 3000, Main
Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220.
7. Annual notice of systems of records. The annual notice of systems
of records required to be published by the Office of the Federal
Register in the publication entitled ``Privacy Act Issuances'', as
specified in 5 U.S.C. 552a (f). Any specific requirements for access,
including identification requirements, in addition to the requirements
set forth in 31 CFR 1.26 and 1.27 and 8 of this appendix, and locations
for access are indicated in the notice for the pertinent system.
8. Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, must satisfy one of the
following identification requirements before action will be taken by the
Departmental Offices on any such request:
(i) An individual seeking notification or access to records in
person, or seeking to amend a record in person, may establish identity
by the presentation of a single official document bearing a photograph
(such as a passport or identification badge) or by the presentation of
two items of identification which do not bear a photograph but do bear
both a name and signature (such as a driver's license or credit card).
(ii) An individual seeking notification or access to records by
mail, or seeking to amend a record by mail, may establish identity by a
signature, address, and one other
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identifier such as a photocopy of a driver's license or other official
document bearing the individual's signature.
(iii) Notwithstanding subdivisions (i) and (ii) of this
subparagraph, an individual seeking notification or access to records by
mail or in person, or seeking to amend a record by mail or in person,
who so desires, may establish identity by providing a notarized
statement, swearing or affirming to such individual's identity and to
the fact that the individual understands the penalties provided in 5
U.S.C. 552a(i)(3) for requesting or obtaining access to records under
false pretenses.
Notwithstanding subdivision (i), (ii), or (iii) of this subparagraph, a
designated official may require additional proof of an individual's
identity before action will be taken on any request, if such official
determines that it is necessary to protect against unauthorized
disclosure of information in a particular case. In addition, a parent of
any minor or a legal guardian of any individual will be required to
provide adequate proof of legal relationship before such person may act
on behalf of such minor or such individual.
Appendix B to Subpart C of Part 1--Internal Revenue Service
1. Purpose. The purpose of this section is to set forth the
procedures that have been established by the Internal Revenue Service
for individuals to exercise their rights under the Privacy Act of 1974
(88 Stat. 1896) with respect to systems of records maintained by the
Internal Revenue Service, including the Office of the Chief Counsel. The
procedures contained in this section are to be promulgated under the
authority of 5 U.S.C. 552a(f). The procedures contained in this section
relate to the following:
(a) The procedures whereby an individual can be notified in response
to a request if a system of records named by the individual contains a
record pertaining to such individual (5 U.S.C. 552a(f)(1)).
(b) The procedures governing reasonable times, places, and
requirements for identifying an individual who requests a record of
information pertaining to such individual before the Internal Revenue
Service will make the record or information available to the individual
(5 U.S.C. 552a (f)(2)).
(c) The procedures for the disclosure to an individual upon a
request of a record of information pertaining to such individual,
including special procedures for the disclosure to an individual of
medical records, including psychological records. (5 U.S.C. 552a
(f)(3)).
(d) The procedures for reviewing a request from an individual
concerning the amendment of any record or information pertaining to the
individual, for making a determination on the request, for an appeal
within the Internal Revenue Service of an initial adverse agency
determination, and for whatever additional means may be necessary for
individuals to be able to exercise fully their right under 5 U.S.C. 552a
(5 U.S.C. 552a (f)(4)).
Any individual seeking to determine whether a system of records
maintained by any office of the Internal Revenue Service contains a
record or information pertaining to such individual, or seeking access
to, or amendment of, such a record, must comply fully with the
applicable procedure contained in paragraph (3) or (4) of this section
before the Internal Revenue Service will act on the request. Neither the
notification and access (or accounting of disclosures) procedures under
paragraph (3) of this section nor the amendment procedures under
paragraph (4) of this section are applicable to (i) systems of records
exempted pursuant to 5 U.S.C. 552a (j) and (k), (ii) information
compiled in reasonable anticipation of a civil action or proceeding (see
5 U.S.C. 552a (d)(5)), or (iii) information pertaining to an individual
which is contained in, and inseparable from, another individual's
record.
2. Access to and amendment of tax records. The provisions of the
Privacy Act of 1974 may not be used by an individual to amend or correct
any tax record. The determination of liability for taxes imposed by the
Internal Revenue Service Code, the collection of such taxes, and the
payment (including credits or refunds of overpayments) of such taxes are
governed by the provisions of the Internal Revenue Service Code and by
the procedural rules of the Internal Revenue Service. These provisions
set forth the established procedures governing the determination of
liability for tax, the collection of such taxes, and the payment
(including credits or refunds of overpayments) of such taxes. In
addition, these provisions set forth the procedures (including
procedures for judicial review) for resolving disputes between taxpayers
and the Internal Revenue Service involving the amount of tax owed, or
the payment or collection of such tax. These procedures are the
exclusive means available to an individual to contest the amount of any
liability for tax or the payment or collection thereof. See, for
example, 26 CFR 601.103 for summary of general tax procedures.
Individuals are advised that Internal Revenue Service procedures permit
the examination of tax records during the course of an investigation,
audit, or collection activity. Accordingly, individuals should contact
the Internal Revenue Service employee conducting an audit or effecting
the collection of tax liabilities to gain access to such records, rather
than seeking access under the provisions of the Privacy Act. Where, on
the other hand, an individual desires information or records not in
connection with an investigation, audit, or collection activity, the
individual may follow these procedures.
[[Page 66]]
3. Procedures for access to records--(a) In general. This paragraph
sets forth the procedure whereby an individual can be notified in
response to a request if a system of records named by the individual
which is maintained by the Internal Revenue Service contains a record
pertaining to such individual. In addition, this paragraph sets forth
the procedure for the disclosure to an individual upon a request of a
record or information pertaining to such individual, including the
procedures for verifying the identity of the individual before the
Internal Revenue Service will make a record available, and the procedure
for requesting an accounting of disclosures of such records. An
individual seeking to determine whether a particular system of records
contains a record or records pertaining to such individual and seeking
access to such records (or seeking an accounting of disclosures of such
records) shall make a request for notification and access (or a request
for an accounting of disclosures) in accordance with the rules provided
in paragraph 3(b) of this section.
(b) Form of request for notification and access or request for an
accounting of disclosures. (i) A request for notification and access (or
request for an accounting of disclosures) shall be made in writing and
shall be signed by the person making the request.
(ii) Such request shall be clearly marked, ``Request for
notification and access,'' or ``Request for accounting of disclosures.''
(iii) Such a request shall contain a statement that it is being made
under the provisions of the Privacy Act of 1974.
(iv) Such request shall contain the name and address of the
individual making the request. In addition, if a particular system
employs an individual's social security number as an essential means of
accessing the system, the request must include the individual's social
security number. In the case of a record maintained in the name of two
or more individuals (e.g., husband and wife), the request shall contain
the names, addresses, and social security numbers (if necessary) of both
individuals.
(v) Such request shall specify the name and location of the
particular system of records (as set forth in the Notice of Systems) for
which the individual is seeking notification and access (or an
accounting of disclosures), and the title and business address of the
official designated in the access section for the particular system (as
set forth in the Notice of Systems). In the case of two or more systems
of records which are under the control of the same designated official
at the same systems location, a single request may be made for such
systems. In the case of two or more systems of records which are not in
the control of the same designated official at the same systems
location, a separate request must be made for each such system.
(vi) If an individual wishes to limit a request for notification and
access to a particular record or records, the request should identify
the particular record. In the absence of a statement to the contrary, a
request for notification and access for a particular system of records
shall be considered to be limited to records which are currently
maintained by the designated official at the systems location specified
in the request.
(vii) If such request is seeking notification and access to material
maintained in a system of records which is exempt from disclosure and
access under 5 U.S.C. 552a (k)(2), the individual making the request
must establish that such individual has been denied a right, privilege,
or benefit that such individual would otherwise be entitled to under
Federal law as a result of the maintenance of such material.
(viii) Such request shall state whether the individual wishes to
inspect the record in person, or desires to have a copy made and
furnished without first inspecting it. If the individual desires to have
a copy made, the request must include an agreement to pay the fee for
duplication ultimately determined to be due. If the individual does not
wish to inspect a record, but merely wishes to be notified whether a
particular system or records contains a record pertaining to such
individual, the request should so state.
(c) Time and place for making a request. A request for notification
and access to records under the Privacy Act (or a request for accounting
of disclosures) shall be addressed to or delivered in person to the
office of the official designated in the access section for the
particular system of records for which the individual is seeking
notification and access (or an accounting of disclosures). The title and
office address of such official is set forth for each system of records
in the Notice of Systems of Records. A request delivered to an office in
person must be delivered during the regular office hours of that office.
(d) Sample request for notification and access to records. The
following are sample requests for notification and access to records
which will satisfy the requirements of this paragraph:
Request for Notification and Access to Records by Mail
I, John Doe, of 100 Main Street, Boston, MA 02108 (soc. sec. num.
000-00-0000) request under the Privacy Act of 1974 that the following
system of records be examined and that I be furnished with a copy of any
record (or a specified record) contained therein pertaining to me. I
agree that I will pay the fees ultimately determined to be due for
duplication of such record. I have enclosed the necessary information.
System Name:
System Location:
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Designated Official:
________________________________________________________________________
John Doe
Request for Notification and Access to Records in Person
I, John Doe, of 100 Main Street, Boston, MA 02108 (soc. sec. num.
000-00-0000) request under the provisions of the Privacy Act of 1974,
that the following system of records be examined and that I be granted
access in person to inspect any record (or a specified record) contained
therein pertaining to me. I have enclosed the necessary identification.
System Name:
System Location:
Designated Official:
________________________________________________________________________
John Doe
(e) Processing a request for notification and access to records or a
request for an accounting of disclosures. (i) If a request for
notification and access (or request for an accounting of disclosures)
omits any information which is essential to processing the request, the
request will not be acted upon and the individual making the request
will be promptly advised of the additional information which must be
submitted before the request can be processed.
(ii) Within 30 days (not including Saturdays, Sundays, and legal
public holidays) after the receipt of a request for notification and
access (or a request for an accounting of disclosures), to a particular
system of records by the designated official for such system, a
determination will be made as to whether the particular system of
records is exempt from the notification and access provisions of the
Privacy Act, and if such system is not exempt, whether it does or does
not contain a record pertaining to the individual making the request. If
a determination cannot be made within 30 days, the individual will be
notified of the delay, the reasons therefor, and the approximate time
required to make a determination. If it is determined by the designated
official that the particular system of records is exempt from the
notification and access provisions of the Privacy Act, the individual
making the request will be notified of the provisions of the Privacy Act
under which the exemption is claimed. On the other hand, if it is
determined by the designated official that the particular system of
records is not exempted from the notification and access provisions of
the Privacy Act and that such system contains a record pertaining to the
individual making the request, the individual will be notified of the
time and place where inspection may be made. If an individual has not
requested that access be granted to inspect the record in person, but
merely requests that a copy of the record be furnished, or if it is
determined by the designated official that the granting of access to
inspect a record in person is not feasible in a particular case, then
the designated official will furnish a copy of the record with the
notification, or if a copy cannot be furnished at such time, a statement
indicating the approximate time such copy will be furnished. If the
request is for an accounting of disclosures from a system of records
which is not exempt from the accounting of disclosure provisions of the
Privacy Act, the individual will be furnished with an accounting of such
disclosures.
(f) Granting of access. Normally, an individual will be granted
access to inspect a record in person within 30 days (excluding
Saturdays, Sundays, and legal public holidays) after the receipt for a
request for notification and access by the designated official. If
access cannot be granted within 30 days, the notification will state the
reasons for the delay and the approximate time such access will be
granted. An individual wishing to inspect a record may be accompanied by
another person of his choosing. Both the individual seeking access and
the individual accompanying him may be required to sign a form supplied
by the IRS indicating that the Service is authorized to disclose or
discuss the contents of the record in the presence of both individuals.
See 26 CFR 601.502 for requirements to be met by taxpayer's
representatives in order to discuss the contents of any tax records.
(g) Medical records. When access is requested to medical records
(including psychological records), the designated official may determine
that release of such records will be made only to a physician designated
by the individual to have access to such records.
(h) Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, must satisfy one of the
following identification requirements before action will be taken by the
IRS on any such request:
(i) An individual seeking notification or access to records in
person, or seeking to amend a record in person, may establish identity
by the presentation of a single document bearing a photograph (such as a
passport or identification badge) or by the presentation of two items of
identification which do not bear a photograph but do bear both a name
and signature (such as a driver's license or credit card).
(ii) An individual seeking notification or access to records by
mail, or seeking to amend a record by mail, may establish identity by a
signature, address, and one other identifier such as a photocopy of a
driver's license or other document bearing the individual's signature.
[[Page 68]]
(iii) Notwithstanding subdivisions (i) and (ii) of this
subparagraph, an individual seeking notification or access to records by
mail or in person, or seeking to amend a record by mail or in person,
who so desires, may establish identity by providing a notarized
statement, swearing or affirming to such individual's identity and to
the fact that the individual understands the penalties provided in 5
U.S.C. 552a(i)(3) for requesting or obtaining access to records under
false pretenses.
(iv) Notwithstanding subdivisions (i), (ii), or (iii) of this
subparagraph, a designated official may require additional proof of an
individual's identity before action will be taken on any request if such
official determines that it is necessary to protect unauthorized
disclosure of information in a particular case. In addition, a parent of
any minor or a legal guardian of any individual will be required to
provide adequate proof of legal relationship before such person may act
on behalf of such minor or such individual.
(i) Fees. The fee for costs required of the IRS in copying records
pursuant to this paragraph is $0.15 per page. However, no fee will be
charged if the aggregate costs required of the IRS in copying records is
less than $3.00. If an individual who has requested access to inspect a
record in person is denied such access by the designated official
because it would not be feasible in a particular case, copies of such
record will be furnished to the individual without payment of the fees
otherwise required under this subparagraph. If the IRS estimates that
the total fees for costs incurred in complying with a request for copies
of records will amount to $50 or more, the individual making the request
may be required to enter into a contract for the payment of the actual
fees with respect to the request before the Service will furnish the
copies requested. Payment of fees for copies of records should be made
by check or money order payable to the Internal Revenue Service.
4. Procedures for amendment of records. (a) In general. This
paragraph sets forth the procedures for reviewing a request from an
individual concerning the amendment of any record or information
pertaining to such individual, for making a determination on the
request, for making an appeal within the IRS of an initial adverse
determination, and for judicial review of a final determination.
(b) Amendment of record. Under 5 U.S.C. 552a(d)(2), an individual
who has been granted access to a record pertaining to such individual
may, after inspecting the record, request that the record be amended to
make any correction of any portion thereof which the individual believes
is not accurate, relevant, timely, or complete. An individual may seek
to amend a record in accordance with the rules provided in paragraph
(d)(3) of this section. See paragraph (b) of this section for
prohibition against amendment of tax records.
(c) Form of request for amendment of record. (i) A request for
amendment of a record shall be in writing and shall be signed by the
individual making the request.
(ii) Such request shall be clearly marked ``Request for amendment of
record.''
(iii) Such request shall contain a statement that it is being made
under the provisions of the Privacy Act of 1974.
(iv) Such request shall contain the name and address of the
individual making the request. In addition, if a particular system
employs an individual's social security number as an essential means of
accessing the system, the request must include the individual's social
security number. In the case of a record maintained in the name of two
or more individuals (e.g., husband and wife), the request shall contain
the names, addresses, and social security numbers (if necessary) of both
individuals.
(v) Such request shall specify the name and location of the system
of records (as set forth in the Notice of Systems) in which such record
is maintained, and the title and business address of the official
designated in the access section for such system (as set forth in the
Notice of Systems).
(vi) Such request shall specify the particular record in the system
which the individual is seeking to amend.
(vii) Such request shall clearly state the specific changes which
the individual wishes to make in the record and a concise explanation of
the reasons for the changes. If the individual wishes to correct or add
any information, the request shall contain specific language making the
desired correction or addition.
(d) Time and place for making request. A request to amend a record
under the Privacy Act shall be addressed to or delivered in person to
the office of the official designated in the access section for the
particular system of records. The title and office address of such
official is set forth for each system of records in the Notice of
Systems of Records. A request delivered to an office in person must be
delivered during the regular office hours of that office.
(e) Processing a request for amendment of a record. (i) Within 10
days (not including Saturdays, Sundays, and legal public holidays) after
the receipt of a request to amend a record by the designated official,
the individual will be sent a written acknowledgement that will state
that the request has been received, that action is being taken thereon,
and that the individual will be notified within 30 days (not including
Saturdays, Sundays, and legal public holidays) after the receipt of the
request whether the requested amendments will or will not be made. If a
request for amendment of a record omits any information which is
essential to processing
[[Page 69]]
the request, the request will not be acted upon and the individual
making the request will be promptly advised on the additional
information which must be submitted before the request can be processed.
(ii) Within 30 days (not including Saturdays, Sundays, and legal
public holidays) after the receipt of a request to amend a record by the
designated official, a determination will be made as to whether to grant
the request in whole or part. The individual will then be notified in
writing of the determination. If a determination cannot be made within
30 days, the individual will be notified in writing within such time of
the reasons for the delay and the approximate time required to make a
determination. If it is determined by the designated official that the
request will be granted, the requested changes will be made in the
record and the individual will be notified of the changes. In addition,
to the extent an accounting was maintained, all prior recipients of such
record will be notified of the changes. Upon request, an individual will
be furnished with a copy of the record, as amended, subject to the
payment of the appropriate fees. On the other hand, if it is determined
by the designated official that the request, or any portion thereof,
will not be granted, the individual will be notified in writing of the
adverse determination. The notification of an adverse determination will
set forth the reasons for refusal to amend the record. In addition, the
notification will contain a statement informing the individual of such
individual's right to request an independent review of the adverse
determination by a reviewing officer in the national office of the IRS
and the procedures for requesting such a review.
(f) Administrative review of adverse determination. Under 5 U.S.C.
552a (d)(3), an individual who disagrees with the refusal of the agency
to amend a record may, within 35 days of being notified of the adverse
determination, request an independent review of such refusal by a
reviewing officer in the national office of the IRS. The reviewing
officer for the IRS is the Commission of Internal Revenue, the Deputy
Commissioner, or an Assistant Commissioner. In the case of an adverse
determination relating to a system of records maintained by the Office
of General Counsel for the IRS, the reviewing officer is the Chief
Counsel or his delegate. An individual seeking a review of an adverse
determination shall make a request for review in accordance with the
rules provided in paragraph (d)(7) of this section.
(g) Form of request for review. (i) A request for review of an
adverse determination shall be in writing and shall be signed by the
individual making the request.
(ii) Such request shall be clearly marked ``Request for review of
adverse determination''.
(iii) Such request shall contain a statement that it is being made
under the provisions of the Privacy Act of 1974.
(iv) Such request shall contain the name and address of the
individual making the request. In addition, if a particular system
employs an individual's social security number as an essential means of
accessing the system, the request must include the individual's social
security number. In the case of a record maintained in the name of two
or more individuals (e.g. husband and wife), the request shall contain
the names, addresses, and social security numbers (if necessary) of both
individuals.
(v) Such request shall specify the particular record which the
individual is seeking to amend, the name and location of the system of
records (as set forth in the Notice of Systems) in which such record is
maintained, and the title and business address of the designated
official for such system (as set forth in the Notice of Systems).
(vi) Such request shall include the date of the initial request for
amendment of the record, and the date of the letter notifying the
individual of the initial adverse determination with respect to such
request.
(vii) such request shall clearly state the specific changes which
the individual wishes to make in the record and a concise explanation of
the reasons for the changes. If the individual wishes to correct or add
any information, the request shall contain specific language making the
desired correction or addition.
(h) Time and place for making the request. A request for review of
an adverse determination under the Privacy Act shall be addressed to or
delivered in person to the Director, Office of Disclosure, Attention:
OP:EX:D Internal Revenue Service, 1111 Constitution Avenue, NW,
Washington, DC 20224. A request for review of an adverse determination
will be promptly referred by the Director, Office of Disclosure to the
appropriate reviewing officer for his review and final determination.
(i) Processing a request for review of adverse determination. Within
30 days (not including Saturdays, Sundays, and legal public holidays)
after the receipt of a request for review of an adverse determination by
the appropriate reviewing officer, the reviewing officer will review the
initial adverse determination, make a final determination whether to
grant the request to amend the record in whole or in part, and notify
the individual in writing of the final determination. If a final
determination cannot be made within 30 days, the Commissioner of
Internal Revenue may extend such 30-day period. The individual will be
notified in writing within the 30 day period of the cause for the delay
and the approximate time required to make a final determination. If it
is determined by the reviewing officer that the request to
[[Page 70]]
amend the record will be granted, the reviewing officer will cause the
requested changes to be made and the individual will be so notified.
Upon request, an individual will be furnished with a copy of the record
as amended subject to the payment of appropriate fees. On the other
hand, if it is determined by the reviewing officer that the request to
amend the record, or any portion thereof, will not be granted, the
individual will be notified in writing of the final adverse
determination. The notification of a final adverse determination will
set forth the reasons for the refusal of the reviewing officer to amend
the record. The notification shall include a statement informing the
individual of the right to submit a concise statement for insertion in
the record setting forth the reasons for the disagreement with the
refusal of the reviewing officer to amend the record. In addition, the
notification will contain a statement informing the individual of the
right to seek judicial review by a United States district court of a
final adverse determination.
(j) Statement of disagreement. Under 5 U.S.C. 552a (d)(3), an
individual who disagrees with a final adverse determination not to amend
a record subject to amendment under the Privacy Act may submit a concise
statement for insertion in the record setting forth the reasons for
disagreement with the refusal of the reviewing officer to amend the
record. A statement of disagreement should be addressed to or delivered
in person to the Director, Office of Disclosure, Attention: OP:EX:D,
Internal Revenue Service, 1111 Constitution Avenue, NW, Washington, DC
20224. The Director, Office of Disclosure will foward the statement of
disagreement to the appropriate designated official who will cause the
statement to be inserted in the individual's record. Any such statement
will be available to anyone to whom the record is subsequently disclosed
and the prior recipients of the record will be provided with a copy of
the statement of disagreement, to the extent an accounting of
disclosures was maintained.
(k) Judicial review. If, after a review and final determination on a
request to amend a record by the appropriate reviewing officer, the
individual is notified that the request will not be granted, or if,
after the expiration of 30 days (not including Sundays, Saturdays, and
legal public holidays) from the receipt of such request by the Director,
Disclosure Operations Division, action is not taken thereon in
accordance with the requirements of paragraph (d)(9) of this section, an
individual may commence an action within the time prescribed by law in a
U.S. District Court pursuant to 5 U.S.C. 552a (g)(1). The statute
authorizes an action only against the agency. With respect to records
maintained by the IRS, the agency is the Internal Revenue Service, not
an officer or employee thereof. Service of process in such an action
shall be in accordance with the Federal Rules of Civil Procedure (28
U.S.C. App.) applicable to actions against an agency of the United
States. Where provided in such Rules, delivery of process upon the IRS
must be directed to the Commissioner of Internal Revenue, Attention:
CC:GLS, 1111 Constitution Avenue, NW, Washington, DC 20224. The district
court will determine the matter de novo.
5. Records transferred to Federal Records Centers. Records
transferred to the Administrator of General Services for storage in a
Federal Records Center are not used by the Internal Revenue Service in
making any determination about any individual while stored at such
location and therefore are not subject to the provisions of 5 U.S.C.
552a (e)(5) during such time.
Appendix C to Subpart C of Part 1--United States Customs Service
1. In general. This appendix applies to the United States Customs
Service. It sets forth specific notification and access procedures with
respect to particular systems of records, identifies the officer
designated to make the initial determinations with respect to
notification and access to records and accountings of disclosures of
records. This appendix also sets forth the specific procedures for
requesting amendment of records and identifies the officers designated
to make the initial and appellate determinations with respect to
requests for amendment of records. It identifies the officers designated
to grant extensions of time on appeal, the officers with whom
``Statements of Disagreement may be filed, the officer designated to
receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice
of systems of records and notices of the routine uses of the information
in the system required by 5 U.S.C. 552a(e) (4) and (11) and published
annually by the Office of the Federal Register in ``Privacy Act
Issuances''.
2. Requests for notification and access to records and accounting of
disclosures. (a) For records which are maintained at the United States
Customs Service Headquarters, initial requests for notification and
access to records and accountings of disclosures under 31 CFR 1.26,
should be mailed or personally delivered to the Director, Office of
Regulations & Rulings, U.S. Customs Service, 1301 Constitution Avenue
NW., Washington, DC 20229. The official who has authority over the
maintenance of the file will have the authority to grant or deny the
request.
(b) For records maintained at Regional Offices, initial requests for
notification and access to records and accountings of disclosures under
31 CFR 1.26, should be mailed or
[[Page 71]]
personally delivered to the Regional Commissioner of Customs in whose
region the records are located. This official shall have the authority
to grant the request or deny the request. The appropriate location of
the regional offices is specified in Customs Appendix A in ``Privacy Act
Issuances'' published annually by the Office of the Federal Register.
(c) Each request shall comply with the identification and other
requirements set forth in 31 CFR 1.26, and in the appropriate system
notice in the ``Privacy Act Issuances'' published annually by the Office
of the Federal Register. Each request should be conspicuously labeled on
the face of the envelope ``Privacy Act Request''.
3. Request for amendment of records. (a) For records which are
maintained at Customs Service Headquarters, initial requests for
amendment of records under 31 CFR 1.27 (a) through (d) should be mailed
or personally delivered to the Director, Office of Regulations &
Rulings, U.S. Customs Service, 1301 Constitution Avenue NW., Washington,
DC 20229. The official who has authority over the maintenance of the
file will have the authority to grant or deny the request.
(b) For records not maintained at Customs Service Headquarters,
initial requests for amendment of records under 31 CFR 1.27 (a) through
(d) should be mailed or personally delivered to the Regional
Commissioner of Customs in whose region the records are located. This
official shall have the authority to grant or deny the request. A
request directed to a Regional Commissioner should be mailed to or
personally delivered at the appropriate location specified in Customs
Appendix A in ``Privacy Act Issuances'' published annually by the Office
of the Federal Register.
(c) Each request shall comply with the identification and other
requirements set forth in 31 CFR 1.27, and in the appropriate system
notice in ``Privacy Act Issuance published by the Office of the Federal
Register. Each request should be conspicuously labeled on the face of
the envelope ``Privacy Act Amendment Request''.
4. Administrative appeal of initial determination refusing to amend
records. Appellate determinations (including extensions of time on
appeal under 31 CFR 1.27 (e) with respect to all Customs Service records
will be made by the Director, Office of Regulations & Rulings or the
delegate of such official. All such appeals should be mailed or
personally delivered to the United States Customs Service, Office of
Regulations & Rulings, 1301 Constitution Avenue NW., Washington, DC
20229. Each appeal should be conspicuously labeled on the face of the
envelope ``Privacy Act Amendment Appeal''.
5. Statements of disagreement. ``Statements of Disagreement''
pursuant to 31 CFR 1.27 (e)(4)(i) shall be filed with the official
signing the notification of refusal to amend at the address indicated in
the letter of notification within 35 days of the date of such
notification and should be limited to one page.
6. Service of process. Service of process will be received by the
Chief Counsel, United States Customs Service, 1301 Constitution Avenue
NW., Washington, DC 20229.
7. Annual notice of systems of records. The annual notice of the
United States Customs Service systems of records required to be
published by the Office of the Federal Register, as specified in 5
U.S.C. 552a(f), is included in the publication entitled ``Privacy Act
Issuances''.
8. Verification of identity. Each request shall comply with the
identification and other requirements set forth in 31 CFR 1.26 and in
the appropriate system notice published by the Office of the Federal
Register. Each request should be conspicuously labeled on the face of
the envelope ``Privacy Act Request''.
Appendix D to Subpart C of Part 1--United States Secret Service
1. In general. This appendix applies to the United States Secret
Service. It sets forth specific notification and access procedures with
respect to particular systems of records including identification
requirements, and time and places where records may be reviewed;
identifies the officers designated to make the initial determinations
with respect to notification and access to records and accountings of
disclosures of records. This appendix also sets forth the specific
procedures for requesting amendment of records and identifies the
officers designated to make the initial and appellate determinations
with respect to requests for amendment of records. It identifies the
officers designated to grant extensions of time on appeal, the officers
with whom ``Statements of Disagreement may be filed, the officer
designated to receive service of process and the addresses for delivery
of requests, appeals, and service of process. In addition, it references
the notice of systems of records and notices of the routine uses of the
information in the system required by 5 U.S.C. 552a(e) (4) and (11) and
published annually by the Office of the Federal Register in ``Privacy
Act Issuances''.
2. Requests for notification and access to records and accountings
of disclosures. Initial determinations under 31 CFR 1.26, whether to
grant requests for notification and access to records and accountings of
disclosures for the United States Secret Service, will be made by the
Freedom of Information and Privacy Act Officer, United States Secret
Service. Requests for notification should be made by mail or delivered
personally between the hours of 9:00 a.m. and 5:30 of any day excluding
Saturdays, Sundays, and legal holidays to: Privacy Act Request, Freedom
of Information and Privacy Act Officer,
[[Page 72]]
United States Secret Service, Suite 3000, 950 H Street, NW., Washington,
DC 20373-5802.
a. Identification requirements. In addition to the requirements
specified in 31 CFR 1.26, each request for notification, access or
amendment of records made by mail shall contain the requesting
individual's date and place of birth and a duly notarized statement
signed by the requester asserting his or her identity and stipulating
that the requesting individual understands that knowingly or willfully
seeking or obtaining access to records about another person under false
pretences is punishable by a fine of up to $5,000.
b. Individuals making requests in person. Individuals making
requests in person will be required to exhibit acceptable identifying
documents such as employee identification numbers, drivers licenses,
medical cards or other documents sufficient to verify the identity of
the requester.
c. Physical inspection of records. Upon determining that a request
for the physical inspection of records is to be granted, the requester
shall be notified in writing of the determination, and when and where
the requested records may be inspected. The inspection of records will
be conducted at the Secret Service field office or other facility
located nearest to the residence of the individual making the request.
Such inspection shall be conducted during the regular business hours of
the Secret Service Field Office or other facility where the disclosure
is made. A person of his or her own choosing may accompany the
individual making the request provided the individual furnishes a
written statement authorizing the disclosure of that individual's record
in the accompanying person's presence. Any disclosure of a record will
be made in the presence of a representative of the United States Secret
Service.
3. Requests for amendment of records. Initial determination under 31
CFR part 1, whether to grant requests to amend records will be made by
the Freedom of Information and Privacy Act Officer. Requests should be
mailed or delivered personally between the hours of 9:00 a.m. and 5:30
p.m. to: Privacy Act Amendment Request, Freedom of Information and
Privacy Acts Officer, United States Secret Service, Suite 3000, 950 H
Street, NW., Washington, DC 20373-5802.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations, including extensions of
time on appeal, with respect to records of the United States Secret
Service will be made by the Deputy Director, United States Secret
Service. Appeals may be mailed or delivered personally to: Privacy Act
Amendment Appeal, Deputy Director, United States Secret Service, 950 H
Street, NW., Suite 8300, Washington, DC 20373-5802.
5. Statements of disagreement. ``Statements of Disagreements'' under
31 CFR 1.27 (e)(4)(i) shall be filed with the official signing of the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
United States Secret Service General Counsel and shall be delivered to
the following location: General Counsel, United States Secret Service,
Suite 8300, 950 H Street, NW., Washington, DC 20373-5802.
7. Annual notice of systems of records. The annual notice of systems
of records is published by the Office of the Federal Register, as
specified in 5 U.S.C. 552a(f). The publication is entitled ``Privacy Act
Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
[52 FR 26305, July 14, 1987, as amended at 66 FR 9959, Feb. 13, 2001]
Appendix E to Subpart C of Part 1--Bureau of Alcohol, Tobacco and
Firearms
1. In general. This appendix applies to the Bureau of Alcohol,
Tobacco and Firearms. It sets forth specific notification and access
procedures with respect to particular systems of records, identifies the
officers designated to make the initial determinations with respect to
notification and access to records and accountings of disclosures of
records. This appendix also sets forth the specific procedures for
requesting amendment of records and identifies the officers designated
to make the initial and appellate determinations with respect to
requests for amendment of records. It identifies the officers designated
to grant extensions of time on appeal, the officers with whom
``Statements of Disagreement'' may be filed, the officer designated to
receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice
of systems of records and notices of the routine uses of the information
in the system required by 5 U.S.C. 552a (3) (4) and (11) and published
annually by the Office of the Federal Register in ``Privacy Act
Issuances''.
2. Requests for notification and access to records and accountings
of disclosures. Initial determination under 31 CFR 1.26, whether to
grant requests for notification and access to records and accountings of
disclosures for the Bureau of Alcohol, Tobacco, and Firearms, will be
made by the Chief, Disclosure Branch, Office of the Assistant to the
Director or the delegate of such officer. Requests may be mailed or
delivered in person to: Privacy Act Request, Chief, Disclosure Branch,
Room 4406, Bureau of Alcohol, Tobacco and
[[Page 73]]
Firearms, 1200 Pennsylvania Avenue, NW., Washington, DC 20226.
3. Requests for amendment of record. Initial determinations under 31
CFR 1.27 (a) through (d) with respect to requests to amend records
maintained by the Bureau of Alcohol, Tobacco and Firearms will be made
by the Chief, Disclosure Branch, Office of the Assistant to the
Director. Requests for amendment of records may be mailed or delivered
in person to: Privacy Act Request, Chief, Disclosure Branch, Room 4406,
Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania Avenue, NW.,
Washington, DC 20226.
4. Verification of identity. (a) In addition to the requirements
specified in 31 CFR 1.26(d) of this appendix, each request for
notification, access or amendment of records made by mail shall contain
the requesting individual's date and place of birth and a statement
signed by the requester asserting his or her identity and stipulating
that the requester understands that knowingly or willfully seeking or
obtaining access to records about another person under false pretenses
is a misdemeanor and punishable by a fine of up to $5,000 provided, that
the Bureau of Alcohol, Tobacco and Firearms may require a signed
notarized statement verifying the identity of the requester.
(b) Individuals making requests in person will be required to
exhibit at least two acceptable identifying documents such as employee
identification cards, driver's license, medical cards, or other
documents sufficient to verify the identity of the requester.
(c) The parent or guardian of a minor or a person judicially
determined to be incompetent, shall in addition to establishing the
identity of the minor or other person he represents as required in (a)
and (b), establish his own parentage or guardianship by furnishing a
copy of a birth certificate showing parentage (or other satisfactory
documentation) or a court order establishing the guardianship.
5. Request for physical inspection of records. Upon determining that
a request for the physical inspection of records is to be granted, the
requester shall be notified in writing of the determination, and when
and where the records may be inspected. The inspection of records will
be made at the Bureau of Alcohol, Tobacco and Firearms Field Office or
other facility located nearest to the residence of the individual making
the request. Such inspection shall be conducted during the regular
business hours of the field office or other facility where the
disclosure is made. A person of the requester's own choosing may
accompany the requester provided the requester furnishes a written
statement authorizing the disclosure of the requester's record in the
accompanying person's presence. The record inspection will be made in
the presence of a representative of the Bureau. Following the inspection
of the record, the individual will acknowledge in writing the fact that
he or she had an opportunity to inspect the requested record.
6. Requests for copies of records without prior physical inspection.
Upon determining that an individual's request for copies of his or her
records without prior physical inspection is to be granted, the
requester shall be notified in writing of the determination, and the
location and time for his or her receipt of the requested copies. The
copies will be made available at the Bureau of Alcohol, Tobacco and
Firearms field office or other facility located nearest to the residence
of the individual making the request. Copies shall be received by the
requester during the regular business hours of the field office or other
facility where the disclosure is made. Transfer of the copies to the
individual shall be conditioned upon payment of copying costs and his
presentation of at least two acceptable identifying documents such as
employee identification cards, driver's license, medical cards, or other
documents sufficient to verify the identity of the requester. Following
the receipt of the copies, the individual will acknowledge receipt in
writing.
7. Administrative appeal of initial determination refusing to amend
record. Appellate determinations under 31 CFR 1.27(e) with respect to
records of the Bureau of Alcohol, Tobacco and Firearms, including
extensions of time on appeal, will be made by the Director or the
delegate of such officer. Appeals should be addressed to, or delivered
in person to: Privacy Act Amendment Appeal, Director, Bureau of Alcohol,
Tobacco and Firearms, Room 4406, 1200 Pennsylvania Avenue, NW.,
Washington, DC 20226.
8. Statements of disagreement. ``Statements of Disagreement'' as
described in 31 CFR 1.27(e) (4) shall be filed with the official signing
the notification within 35 days of the date of such notification and
should be limited to one page.
9. Service of process. Service of process will be received by the
Director of the Bureau of Alcohol, Tobacco and Firearms or the delegate
of such official and shall be delivered to the following location:
Director, Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania
Avenue, NW., Washington, DC 20226, Attention: Chief Counsel.
10. Annual notice of systems of records. The annual notice of
systems of records is published by the Office of the Federal Register,
as specified in 5 U.S.C. 552a(f). The publication is entitled ``Privacy
Act Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for each pertinent
system.
[[Page 74]]
Appendix F to Subpart C of Part 1--Bureau of Engraving and Printing
1. In general. This appendix applies to the Bureau of Engraving and
Printing. It sets forth specific notification and access procedures with
respect to particular systems of records including identification
requirements, identifies the officers designated to make the initial
determinations with respect to notification and access to records and
accountings of disclosures of records. This appendix also sets forth the
specific procedures for requesting amendment of records and identifies
the officers designated to make the initial and appellate determinations
with respect to requests for amendment of records. It identifies the
officers designated to grant extensions of time on appeal, the officers
with whom ``Statements of Disagreement may be filed, the officer
designated to receive service of process and the addresses for delivery
of requests, appeals, and service of process. In addition, it references
the notice of systems of records and notices of the routine uses of the
information in the system required by 5 U.S.C. 552a (e) (4) and (11) and
published annually by the Office of the Federal Register in ``Privacy
Act Issuances.''
2. Requests for notification and access to records and accountings
of disclosures. Initial determinations under 31 CFR 1.26, whether to
grant requests for notification and access to records and accountings of
disclosures for the Bureau of Engraving and Printing, will be made by
the head of the organizational unit having immediate custody of the
records requested, or the delegate of such official. Requests for access
to records contained within a particular system of records should be
submitted to the address indicated for that system in the access section
of the notices published by the Office of the Federal Register in
``Privacy Act Issuances.'' Requests for information and specific
guidance should be addressed to: Privacy Act Request, Disclosure Officer
(Executive Assistant to the Director), Room 104--18M, Bureau of
Engraving and Printing, Washington, DC 20228.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27 (a) through (d), whether to grant request to amend records will
be made by the head of the organizational unit having immediate custody
of the records or the delegate of such official. Requests for amendment
should be addressed as indicated in the appropriate system notice in
``Privacy Act Issuances'' published by the Office of the Federal
Register. Requests for information and specific guidance on where to
send requests for amendment should be addressed to: Privacy Act
Amendment Request, Disclosure Officer (Executive Assistant to the
Director), Bureau of Engraving and Printing, Room 104-18M, Washington,
DC 20228.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations refusing amendment of
records under 31 CFR 1.27(e) including extensions of time on appeal,
with respect to records of the Bureau of Engraving and Printing will be
made by the Director of the Bureau or the delegate of such officer.
Appeals made by mail should be addressed to, or delivered personally to:
Privacy Act Amendment Appeal, Disclosure Officer (Executive Assistant to
the Director), Room 104-18M, Bureau of Engraving and Printing,
Washington, DC 20228.
5. Statements of disagreement. ``Statements of Disagreement'' under
31 CFR 1.27(e)(4)(8) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
Chief Counsel of the Bureau of Engraving and Printing and shall be
delivered to the following location: Chief Counsel, Bureau of Engraving
and Printing, Room 109-M, 14th and C Streets, SW., Washington, DC 20228.
7. Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, or seeking an
accounting of disclosures, must satisfy one of the following
identification requirements before action will be taken by the Bureau of
Engraving and Printing on any such request:
(i) An individual appearing in person may establish identity by the
presentation of a single document bearing a photograph (such as a
passport or identification badge) or by the presentation of two items of
identification which do not bear a photograph, but do bear both a name
and signature (such as a credit card).
(ii) An individual may establish identity through the mail by a
signature, address, and one other identifier such as a photocopy of a
driver's license or other document bearing the individual's signature.
(iii) Notwithstanding subdivisions (i) and (ii) of this
subparagraph, an individual who so desires, may establish identity by
providing a notarized statement, swearing or affirming to such
individual's identity and to the fact that the individual understands
the penalties provided in 5 U.S.C. 552a(1)(3) for requesting or
obtaining access to records under false pretenses.
Notwithstanding subdivision (i), (ii), or (iii) of this
subparagraph, the Executive Assistant or other designated official may
require additional proof of an individual's identity before action will
be taken on any request if such official determines that it is necessary
to protect against unauthorized disclosure of information in a
particular case. In addition, a parent of any minor or a
[[Page 75]]
legal guardian of any individual will be required to provide adequate
proof of legal relationship before such person may act on behalf of such
minor or such individual.
8. Annual notice of systems of records. The annual notice of systems
of records is published by the Office of the Federal Register, as
specified in 5 U.S.C. 522a(f). The publication is entitled ``Privacy Act
Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
Appendix G to Subpart C of Part 1--Financial Management Service
1. In general. This appendix applies to the Financial Management
Service. It sets forth specific notification and access procedures with
respect to particular systems of records, identifies the officers
designated to make the initial determinations with respect to
notification and access to records and accountings of disclosures of
records. This appendix also sets forth the specific procedures for
requesting amendment of records and identifies the officers designated
to make the initial and appellate determinations with respect to
requests for amendment of records. It identifies the officers designated
to grant extensions of time on appeal, the officers with whom
``Statements of Disagreement'' may be filed, the officer designated to
receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice
of systems of records and notices of the routine uses of the information
in the system required by 5 U.S.C. 552a(e) (4) and (11) and published
annually by the Office of the Federal Register in ``Privacy Act
Issuances''.
2. Requests for notification and access to records and accountings
of disclosures. Initial determinations under 31 CFR 1.26, whether to
grant requests for notification and access to records and accountings of
disclosures for the Financial Management Service, will be made by the
head of the organizational unit having immediate custody of the records
requested or an official designated by this official. This is indicated
in the appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests for information
and specific guidance on where to send requests for records may be
mailed or delivered personally to: Privacy Act Request, Disclosure
Officer, Financial Management Service, Room 108, Treasury Department
Annex No. 1, Pennsylvania Avenue and Madison Place, NW., Washington, DC
20226.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27(a) through (d), whether to grant requests to amend records will
be made by the head of the organzational unit having immediate custody
of the records or the delegate of such official. Requests for amendment
should be addressed as indicated in the appropriate system notice in
``Privacy Act Issuances'' published by the Office of the Federal
Register. Requests for information and specific guidance on where to
send requests for amendment should be addressed to: Privacy Act
Amendment Request, Disclosure Officer, Financial Management Service,
Department of the Treasury, Treasury Annex No. 1, Washington, DC 20226.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations refusing amendment of
records under 31 CFR 1.27(e) incuding extensions of time on appeal, with
respect to records of the Financial Management Service will be made by
the Commissioner or the delegate of such official. Appeals made by mail
should be addressed to, or delivered personally to: Privacy Act
Amendment Appeal Commissioner, Financial Management Service (Privacy),
Department of the Treasury, Room 618, Treasury Annex No. 1, Pennsylvania
Avenue and Madison Place, NW., Washington, DC 20226.
5. Statements of disagreement. ``Statements of Disagreement'' under
31 CFR 1.27(e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
Commissioner, Financial Management Service or the delegate of such
official and shall be delivered to the following location: Commissioner,
Financial Management Service (Privacy), Department of the Treasury, Room
618, Treasury Annex No. 1, Pennsylvania Avenue and Madison Place, NW,
Washington, DC 20226.
7. Annual notice of systems of records. The annual notice of systems
of records is published by the Office of the Federal Register, as
specified in 5 U.S.C. 552a(f). The publication is entitled ``Privacy Act
Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
Appendix H to Subpart C of Part 1--United States Mint
1. In general. This appendix applies to the United States Mint. It
sets forth specific notification and access procedures with respect to
particluar systems of records, identifies the officers designated to
make the initial determinations with respect to notification and access
to records and accountings of disclosures of records. This appendix also
sets forth the specific procedures for requesting
[[Page 76]]
amendment of records and identifies the officers designated to make the
initial and appellate determinations with respect to requests for
amendment of records. It identifies the officers designated to grant
extensions of time on appeal, the officers with whom ``Statements of
Disagreement'' may be filed, the officer designated to receive service
of process and the addresses for delivery of requests, appeals, and
service of process. In addition, it references the notice of systems of
records and notices of the routine uses of the information in the system
required by 5 U.S.C. 552a(e) (4) and (11) and published annually by the
Office of the Federal Register in ``Privacy Act Issuances''.
2. Requests for notification and access to records and accountings
of disclosures. Initial determinations under 31 CFR 1.26, whether to
grant requests for notification and access to records and accountings of
disclosures for the United States Mint will be made by the head of the
organizational unit having immediate custody of the records requested or
an official designated by this official. This is indicated in the
appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests should be
directed to the Superintendent or Officer in charge of the facility in
which the records are located or to the Chief, Administrative Programs
Division. Requests for information and specific guidance on where to
send requests for records may be mailed or delivered personally to:
Privacy Act Request, Chief, Administrative Programs Division, United
States Mint, Judiciary Square Building, 633 3rd Street, N.W, Washington,
DC 20220.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27 (a) through (d), whether to grant requests to amend records
will be made by the head of the Mint installation having immediate
custody of the records or the delegated official. Requests should be
mailed or delivered personally to: Privacy Act Amendment Request,
Freedom of Information and Privacy Acts Officer, United States Mint,
Judiciary Square Building, 633 3rd Street, Washington, DC 20220.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations refusing amendment of
records under 31 CFR 1.27 including extensions of time on appeal, with
respect to records of the United States Mint will be made by the
Director of the Mint or the delegate of the Director. Appeals made by
mail should be addressed to, or delivered personally to: Privacy Act
Amendment Appeal, United States Mint, Judiciary Square Building, 633 3rd
Street, NW, Washington, DC 20220.
5. Statements of disagreement. ``Statements of Disagreement'' under
31 CFR 1.27 (e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
Director of the Mint and shall be delivered to the following location:
Director of the Mint, Judiciary Square Building, 633 3rd street, NW.,
Washington, DC 20220.
7. Annual notice of systems of records. The annual notice of systems
of records is published by the Office of the Federal Register, as
specified in 5 U.S.C. 552a(f). The publication is entitled ``Privacy Act
Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
Appendix I to Subpart C of Part 1--Bureau of the Public Debt
1. In general. This appendix applies to the Bureau of the Public
Debt. It sets forth specific notification and access procedures with
respect to particular systems of records, identifies the officers
designated to make the initial determinations with respect to
notification and access to records and accountings of disclosures of
records. This appendix also sets forth the specific procedures for
requesting amendment of records and identifies the officers designated
to make the initial and appellate determinations with respect to
requests for amendment of records. It identifies the officer designated
to grant extension of time on appeal, the officers with whom
``Statements of Disagreement'' may be filed, the officer designated to
receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice
of systems of records and notices of the routine uses of the information
in the system required by 5 U.S.C. 552a(e) (4) and (11) and published
annually by the Office of the Federal Register in ``Privacy Act
Issuances''.
2. Requests for notification and access to records and accountings
of disclosures. Initial determinations under 31 CFR 1.26, whether to
grant requests for notification and access to records and accountings of
disclosures for the Bureau of Public Debt, will be made by the head of
the organizational unit having immediate custody of the records
requested or an official designated by this official. This is indicated
in the appropriate system notice in ``Privacy Act Issuances'' published
annually by the Office of the Federal Register. Requests for information
and specific guidance on where to send requests for records may be
mailed or delivered personally to: Privacy Act Request, Disclosure
Officer, Administrative Resource Center, Bureau of the Public Debt,
Department of the Treasury, 200
[[Page 77]]
Third Street, Room 211, Parkersburg, WV 26101-5312.
3. Requests for amendment of records. Initial determination under 31
CFR 1.27 (a) through (d), whether to grant requests to amend records
will be made by the head of the organizational unit having immediate
custody of the records or the delegate of such official. Requests for
amendment should be addressed as indicated in the appropriate system
notice in ``Privacy Act Issuances'' published by the Office of the
Federal Register. Requests for information and specific guidance on
where to send requests for amendment should be addressed to: Privacy Act
Amendment Request, Disclosure Officer, Administrative Resource Center,
Bureau of the Public Debt, Department of the Treasury, 200 Third Street,
Room 211, Parkersburg, WV 26101-5312.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations refusing amendment of
records under 31 CFR 1.27(e) including extensions of time on appeal,
with respect to records of the Bureau of the Public Debt will be made by
the Executive Director, Administrative Resource Center, Bureau of the
Public Debt or the delegate of such officer. Appeals made by mail should
be addressed to, or delivered personally to: Privacy Act Amendment
Appeal, Chief Counsel, Bureau of the Public Debt, Department of the
Treasury, Executive Director, Administrative Resource Center, Bureau of
the Public Debt.
5. Statements of disagreement. ``Statements of Disagreement'' under
31 CFR 1.27 (e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
Chief Counsel of the Bureau of the Public Debt and shall be delivered to
the following location: Chief Counsel, Bureau of the Public Debt,
Department of the Treasury, 200 Third Street, Room G-15, Parkersburg, WV
26106-1328.
7. Annual notice of systems of records. The annual notice of systems
of records is published by the Office of the Federal Register, as
specified in 5 U.S.C. 552a(f). The publication is entitled ``Privacy Act
Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
Appendix J to Subpart C of Part 1--Office of the Comptroller of the
Currency
1. In general. This appendix applies to the Office of the
Comptroller of the Currency. It sets forth specific notification and
access procedures with respect to particular systems of records,
identifies the officers designated to make the initial determinations
with respect to notification and access to records and accountings of
disclosures of records. This appendix also sets forth the specific
procedures for requesting amendment of records and identifies the
officers designated to make the intial and appellate determinations with
respect to requests for amendment of records. It identifies the officers
designated to grant extensions of time on appeal, the officers with whom
``Statements of Disagreement'' may be filed, the officer designated to
receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice
of systems of records and notices of the routine uses of the information
in the system required by 5 U.S.C. 552a(e) (4) and (11) and published
annually by the Office of the Federal Register in ``Privacy Act
Issuances''.
2. Requests for notification and access to records and accountings
of disclosures. Initial determinations under 31 CFR 1.26 whether to
grant requests for notification and access to records and accountings of
disclosures for the Office of the Comptroller of the Currency will be
made by the head of the organizational unit having immediate custody of
the records requested or the delegate of that official. This is
indicated in the appropriate system notice in ``Privacy Act Issuances''
published biennially by the Office of the Federal Register. Requests for
information and specific guidance on where to send requests for records
shall be mailed or delivered personally to: Disclosure Officer,
Communications Division, Office of the Comptroller of the Currency, 250
E Street, SW, Washington, DC 20219.
3. Requests for amendment of records. Initial determinations under
31 CFR 1.27 (a) through (d) whether to grant requests to amend records
will be made by the Comptroller's delegate or the head of the
organizational unit having immediate custody of the records or the
delegate of that official. Requests for amendment shall be mailed or
delivered personally to: Disclosure Officer, Communications Division,
Office of the Comptroller of the Currency, 250 E Street, SW.,
Washington, DC 20219.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations refusing amendment of
records under 31 CFR 1.27(e) including extensions of time on appeal,
with respect to records of the Office of the Comptroller of the Currency
will be made by the Comptroller of the Currency or the Comptroller's
delegate. Appeals shall be mailed or delivered personally to: Disclosure
Officer, Communications Division, Office of the Comptroller of the
Currency, 250 E Street, SW., Washington, DC 20219.
[[Page 78]]
5. Statements of disagreement. ``Statements of Disagreement'' under
31 CFR 1.27(e)(4)(i) shall be filed with the OCC's Director of
Communications at the address indicated in the letter of notification
within 35 days of the date of such notification and should be limited to
one page.
6. Service of process. Service of process shall be delivered to the
Chief Counsel or the Chief Counsel's delegate at the following location:
Office of the Comptroller of the Currency, 250 E Street, SW.,
Washington, DC 20219.
7. Annual notice of systems of records. The annual notice of systems
of records is published by the Office of the Federal Register, as
specified in 5 U.S.C. 552a(f). The publication is entitled ``Privacy Act
Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
[52 FR 26305, July 14, 1987, as amended at 60 FR 57333, Nov. 15, 1995;
67 FR 34402, May 14, 2002]
Appendix L to Subpart C of Part 1--Federal Law Enforcement Training
Center
1. In general. This appendix applies to the Federal Law Enforcement
Training Center. It sets forth specific notification and access
procedures with respect to particular systems of records, identifies the
officers designated to make the initial determinations with respect to
notification and access to records and accountings of disclosure of
records. This appendix also sets forth the specific procedures for
requesting amendment of records and identifies the officers designated
to make the initial and appellate determinations with respect to
requests for amendment of records. It identifies the officers designated
to grant extensions of time on appeal, the officers with whom
``Statements of Disagreement'' may be filed, the officer designated to
receive service of process and the addresses for delivery of requests,
appeals, and service of process. In addition, it references the notice
of systems of records and notices of the routine uses of the information
in the system required by 5 U.S.C. 552a(e) (4) and (11) and published
annually by the Office of the Federal Register, in ``Privacy Act
Issuances''.
2. Requests for notification and access to records and accounting of
disclosures. Initial determinations under 31 CFR 1.26, whether to grant
requests for notification and acesss to records and accounting of
disclosures for the Federal Law Enforcement Training Center, will be
made by the head of the organizational unit having immediate custody of
the records requested or an official designated by this official. This
is indicated in the appropriate system notice in ``Privacy Act
Issuances'' published annually by the Office of the Federal Register.
Requests for information and specific guidance on where to send requests
for records may be mailed or delivered personally to: Privacy Act
Request, Library Building 262, Federal Law Enforcement Training Center,
Glynco, Georgia 31524.
3. Requests for amendment of records. Initial determinations under
31 CFR 1.27 (a) through (d), whether to grant requests to amend records
will be made by the head of the organizational unit having immediate
custody of the records or the delegate of such official. Requests for
amendment should be addressed as indicated in the appropriate system
notice in ``Privacy Act Issuances'' published by the Office of the
Federal Register. Requests for information and specific guidance on
where to send requests for amendment should be addressed to: Privacy Act
Amendment Request, Federal Law Enforcement Training Center, Glynco,
Georgia 31524.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations refusing amendment of
records under 31 CFR 1.27(e) including extensions of time on appeal,
with respect to records of the Federal Law Enforcement Training Center
will be made by the Assistant Secretary (Enforcement), Department of the
Treasury or the delegate of such officer. Appeals made by mail should be
addressed to, or delivered personally to: Privacy Act Amendment Appeal,
FLETC, Assistant Secretary (Enforcement), Department of the Treasury,
1500 Pennsylvania Avenue, NW., Room 4312, Washington, DC 20220.
5. Statements of disagreement. ``Statements of Disagreement'' under
31 CFR 1.27(e)(4)(i) shall be filed with the official signing the
notification of refusal to amend at the address indicated in the letter
of notification within 35 days of the date of such notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
General Counsel of the Department of the Treasury or the delegate of
such official and shall be delivered to the following location: General
Counsel, Department of the Treasury, Room 3000, Main Treasury Building,
1500 Pennsylvania Avenue, NW., Washington, DC 20220.
7. Annual notice of systems of records. The annual notice of systems
of records is published by the Office of the Federal Register, as
specified in 5 U.S.C. 552a(f). The publication is entitled ``Privacy Act
Issuances''. Any specific requirements for access, including
identification requirements, in addition to the requirements set forth
in 31 CFR 1.26 and 1.27 are indicated in the notice for the pertinent
system.
[52 FR 26305, July 14, 1987. Redesignated at 65 FR 2334, Jan. 14, 2000]
[[Page 79]]
Appendix M to Subpart C of Part 1--Office of Thrift Supervision
1. In general. This appendix applies to the Office of Thrift
Supervision. It sets forth specific notification and access procedures
with respect to particular systems of records, and identifies the
officers designated to make the initial determinations with respect to
notification and access to records, the officers designated to make the
initial and appellate determinations with respect to requests for
amendment of records, the officers designated to grant extensions of
time on appeal, the officers with whom ``Statement of Disagreement'' may
be filed, the officer designated to receive services of process and the
addresses for delivery of requests, appeals, and service of process. In
addition, it references the notice of systems of records and notices of
the routine uses of the information in the system required by 5 U.S.C.
552a(e) (4) and (11) and published biennially by the Office of the
Federal Register in ``Privacy Act Issuances.''
2. Requests for notification and access to records and accounting of
disclosures. Initial determinations under 31 CFR 1.26, whether to grant
requests for notification and access to records and accountings of
disclosures for the Office of Thrift Supervision, will be made by the
head of the organizational unit having immediate custody of the records
requested, or the delegate of such official. This information is
contained in the appropriate system notice in the ``Privacy Act
Issuances,'' published biennially by the Office of the Federal Register.
Requests for information and specific guidance on where to send requests
for records should be addressed to: Privacy Act Request, Chief,
Disclosure Branch, Information Services Division, Office of Thrift
Supervision, 1700 G Street, NW., Washington, DC 20552.
Requests may be delivered in person to: Office of Thrift
Supervision, Information Services Division, 1700 G Street, NW.,
Washington, DC.
3. Requests for amendments of records. Initial determinations under
31 CFR 1.27 (a) through (d) with respect to requests to amend records
maintained by the Office of Thrift Supervision will be made by the head
of the organization or unit having immediate custody of the records or
the delegates of such official. Requests for amendment of records should
be addressed as indicated in the appropriate system notice in ``Privacy
Act Issuances'' published by the Office of the Federal Register.
Requests for information and specific guidance on where to send these
requests should be addressed to: Privacy Act Amendment Request, Chief,
Disclosure Branch, Information Services Division, Office of Thrift
Supervision, 1700 G Street, NW., Washington, DC 20552.
Privacy Act Amendment Requests may be delivered in person to: Office
of Thrift Supervision, Information Services Division, 1700 G Street,
NW., Washington, DC.
4. Administrative appeal of initial determination refusing to amend
record. Appellate determination under 31 CFR 1.27(e) with respect to
records of the Office of Thrift Supervision, including extensions of
time on appeal, will be made by the Director, Public Affairs, Office of
Thrift Supervision, or the delegate of such official, as limited by 5
U.S.C. 552a(d) (2) and (3). Appeals made by mail should be addressed as
indicated in the letter of initial decision or to: Privacy Act Amendment
Request, Chief, Disclosure Branch, Information Services Division, Office
of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552.
Appeals may be delivered in person to: Office of Thrift Supervision,
Information Services Division, 1700 G Street, NW., Washington, DC.
5. Statements of Disagreement. ``Statements of Disagreement'' as
described in 31 CFR 1.27(e)(4) shall be filed with the official signing
the notification of refusal to amend at the address indicated in the
letter of notification within 35 days of the date of notification and
should be limited to one page.
6. Service of process. Service of process will be received by the
Corporate Secretary of the Office of Thrift Supervision or the delegate
of such official and shall be delivered to the following location:
Corporate Secretary, Office of Thrift Supervision, 1700 G Street, NW.,
Washington, DC 20552.
7. Annual notice of systems of record. The annual notice of systems
of records required to be published by the Office of the Federal
Register is included in the publication entitled ``Privacy Act
Issuances,'' as specified in 5 U.S.C. 552a(f). Any specific requirements
for access, including identification requirements, in addition to the
requirements set forth in 31 CFR 1.26 and 1.27 and (8) below, and
locations for access are indicated in the notice for the pertinent
system.
8. Verification of identity. An individual seeking notification or
access to records, or seeking to amend a record, must satisfy one of the
following identification requirements before action will be taken by the
Office of Thrift Supervision on any such request:
(i) An individual seeking notification or access to records in
person, or seeking to amend a record in person, may establish identity
by the presentation of a single official document bearing a photograph
(such as a passport or identification badge) or by the presentation of
two items of identification which do not bear a photograph but do bear
both a name and signature (such as a driver's license or credit card).
(ii) An individual seeking notification or access to records by
mail, or seeking to
[[Page 80]]
amend a record by mail, may establish identity by a signature, address,
and one other identifier such as a photocopy of a driver's license or
other official document bearing the individual's signature.
(iii) Notwithstanding subdivisions (i) and (ii) of this
subparagraph, an individual seeking notification or access to records by
mail or in person, or seeking to amend a record by mail or in person,
who so desires, may establish identity by providing a notarized
statement, swearing or affirming to such individual's identity and to
the fact that the individual understands the penalties provided in 5
U.S.C. 552a(i)(3) for requesting or obtaining access to records under
false pretenses. Alternatively, an individual may provide a statement
that the individual understands the penalties provided in 5 U.S.C.
552a(i)(3) for requesting or obtaining access to records under false
pretenses which is subscribed by the individual as true and correct
under penalty of perjury pursuant to 28 U.S.C. 1746. Notwithstanding
subdivision (i), (ii), or (iii) of this subparagraph, a designated
official may require additional proof of an individual's identity before
action will be taken on any request, if such official determines that it
is necessary to protect against unauthorized disclosure of information
in a particular case. In addition, a parent of any minor or a legal
guardian of any individual will be required to provide adequate proof of
legal relationship before such person may act on behalf of such minor or
such individual.
[60 FR 31633, June 16, 1995. Redesignated at 65 FR 2334, Jan. 14, 2000]