Rule2022-22723
Privacy Act Regulations
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
October 20, 2022
Effective
November 21, 2022
Issuing agencies
Treasury Department
Abstract
This final rule amends the Department of the Treasury's (Department) regulations under the Privacy Act of 1974, as amended. Treasury is revising these regulations to update certain provisions to reflect developments in Privacy Act case law and changes in the names of some of the Treasury bureaus and offices since the regulations were last updated. Additionally, the regulations are being updated to ensure compliance with requirements in the Social Security Number Fraud Prevention Act of 2017. This final rule adopts the July 25, 2022, proposed rule with minor changes.
Full Text
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[Federal Register Volume 87, Number 202 (Thursday, October 20, 2022)]
[Rules and Regulations]
[Pages 63904-63931]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-22723]
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Vol. 87
Thursday,
No. 202
October 20, 2022
Part III
Department of the Treasury
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31 CFR Part 1
Privacy Act Regulations; Final Rule
Federal Register / Vol. 87, No. 202 / Thursday, October 20, 2022 /
Rules and Regulations
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DEPARTMENT OF THE TREASURY
31 CFR Part 1
RIN 1505-AC80
Privacy Act Regulations
AGENCY: Department of the Treasury.
ACTION: Final rule.
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SUMMARY: This final rule amends the Department of the Treasury's
(Department) regulations under the Privacy Act of 1974, as amended.
Treasury is revising these regulations to update certain provisions to
reflect developments in Privacy Act case law and changes in the names
of some of the Treasury bureaus and offices since the regulations were
last updated. Additionally, the regulations are being updated to ensure
compliance with requirements in the Social Security Number Fraud
Prevention Act of 2017. This final rule adopts the July 25, 2022,
proposed rule with minor changes.
DATES: This rule is effective November 21, 2022.
FOR FURTHER INFORMATION CONTACT: Ryan Law, Deputy Assistant Secretary
for Privacy, Transparency and Records, 202-622-0930, extension 2 (this
is not a toll-free number).
SUPPLEMENTARY INFORMATION:
Background
This final rule updates the Department's Privacy Act (5 U.S.C.
552a) regulations in 31 CFR part 1, subpart C, and revises Sec. Sec.
1.20 (Purpose and scope of this subpart), 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), 1.32 (Collection, Use,
Disclosure and Protection of Social Security numbers), 1.35
(Information forms), and 1.36 (Systems exempt in whole or in part from
provisions of the Privacy Act and this part). Sections 1.20, 1.23,
1.24, 1.25, 1.26, 1.27, 1.28, 1.32, 1.35, and 1.36 all address and
reflect changes to Office of Management Budget (OMB) Circular A-108,
``Federal Agency Responsibilities for Review, Reporting, and
Publication Under the Privacy Act'' [81 FR 94424, December 23, 2016] in
addition to the Social Security Number Fraud Prevention Act of 2017,
Public Law 115-59; 42 U.S.C. 405.
The rule also amends the Department's Privacy Act Regulations to
account for issues that have arisen since the regulations were last
updated. For example, these changes reflect additional privacy and
civil liberties responsibilities delegated to the Treasury's Assistant
Secretary for Management and changes to Sec. 1.20 reflect the creation
of the new Special Inspector General for Pandemic Recovery, and all
offices reporting to such official, including immediate staff. Section
1.23 makes modifications to reflect changes to OMB Circular A-130,
``Managing Information as a Strategic Resource.'' [81 FR 49689, July
28, 2016] Section 1.24 includes modifications to correct errors
discovered in the original publication of this regulation. These
modifications include the addition of language to reflect the amendment
of the Privacy Act by the Debt Collection Act of 1982 (which stated the
circumstances under which Federal agencies could disclose individual
records to consumer reporting agencies). In Sec. Sec. 1.25 and 1.26,
clarifying changes are made to correct grammatical errors.
In Sec. Sec. 1.27 and 1.35, minor changes were made to align with
the authority vested in agencies to promulgate exemptions to certain
provisions in the Privacy Act. Section 1.28 is updated to establish the
roles and responsibilities of the Deputy Assistant Secretary for
Privacy, Transparency, and Records to ensure compliance with the Senior
Agency Official Privacy oversight requirements in OMB M-16-24, ``Role
and Designation of Senior Agency Officials for Privacy'' in accordance
with E.O. 13719, Establishment of the Federal Privacy Council.'' [81 FR
7685, February 12, 2016]
Within Sec. 1.32, Treasury formalized the policy for the use of
Social Security numbers and added provisions to ensure compliance with
the Social Security Number Fraud Prevention Act of 2017. Further, Sec.
1.36 updates the Treasury systems that claim exemptions under sections
(j)(2) and (k) (subsections 1-6) of the Privacy Act.
Finally, the appendices to the current regulation were revised to
reflect changes in the Treasury's organizational structure. Appendices
pertaining to the Bureau of Public Debt and Financial Management
Service have been deleted as these components were consolidated under
the new Treasury Bureau of the Fiscal Service. A new Bureau of the
Fiscal Service appendix (appendix G) was added to reflect this
consolidation. Appendix E was added to reflect the creation of the
Alcohol and Tobacco Tax and Trade Bureau (TTB). Appendices C (United
States Customs Service), D (United States Secret Service), and J
(Federal Law Enforcement Training Center) were deleted to reflect that
these former bureaus are no longer part of Treasury.
Comments on the Proposed Rule
Treasury received one comment on the proposed rule (July 25, 2022;
87 FR 44049).
Comment: ``We respectfully request that the Department of the
Treasury update these regulations to replace the term `physician' with
`licensed health care professional.' This will maintain the privacy
protection that is in place, while also ensuring that an individual who
selects a nurse practitioner, or other licensed health care
professional, as their provider of choice, is authorized to designate
that clinician as the recipient of their medical records.''
Response: In the final rule, Treasury replaced references to
``physician'' with ``health professional.''
Changes Between the Proposed Rule and Final Rule
Except for the replacement of the term ``physician,'' as described
above, this final rule makes no substantive changes to the regulatory
text of the proposed rule.
The Final Rule also reflects technical changes made to reflect
modification of the names of some of the Treasury bureaus and offices
since the regulations were last updated. The need for these technical
modifications was discovered after publication of the proposed rule.
Regulatory Planning and Review
This final rule has been determined to be not significant for
purposes of review under Executive Order 12866.
Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA), 5 U.S.C. 601 et seq.,
requires agencies to prepare an initial regulatory flexibility analysis
(IRFA) to determine the economic impact of the rule on small entities.
A small entity is defined as either a small business, a small
organization, or a small governmental jurisdiction; an individual is
not a small entity. Section 605(b) of the RFA allows an agency to
prepare a certification in lieu of an IRFA if the rule will not have a
significant economic impact on a substantial number of small entities.
Pursuant to 5 U.S.C. 605(b), it is hereby certified that this final
rule will not have a significant economic impact on
[[Page 63905]]
a substantial number of small entities. The Privacy Act primarily
affects individuals and not entities and the rule would impose no
duties or obligations on small entities.
List of Subjects in 31 CFR Part 1
Privacy.
For the reasons stated in the preamble, the Department of the
Treasury amends 31 CFR part 1 as follows:
PART 1--DISCLOSURE OF RECORDS
0
1. The authority citation for part 1 continues to read as follows:
Authority: 5 U.S.C. 301, 552, 552a, 553; 31 U.S.C. 301, 321; 31
U.S.C. 3717.
0
2. Revise subpart C to read as follows:
Subpart C--Privacy Act
Sec.
1.20 Purpose and scope of this subpart.
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 Collection, use, disclosure, and protection of Social Security
numbers.
1.34 Guardianship.
1.35 Information forms.
1.36 Systems exempt in whole or in part from provisions of the
Privacy Act and this part.
Appendix A to Subpart C of Part 1--Departmental Offices
Appendix B to Subpart C of Part 1--Internal Revenue Service
Appendix C to Subpart C of Part 1--Alcohol and Tobacco Tax and Trade
Bureau
Appendix D to Subpart C of Part 1--Bureau of Engraving and Printing
Appendix E to Subpart C of Part 1--Bureau of the Fiscal Service
Appendix F to Subpart C of Part 1--United States Mint
Appendix G to Subpart C of Part 1--Office of the Comptroller of the
Currency
Appendix H to Subpart C of Part 1--Financial Crimes Enforcement
Network
Subpart C--Privacy Act
Sec. 1.20 Purpose and scope of this subpart.
(a) The regulations in this subpart are issued to implement the
provisions of the Privacy Act of 1974 (5 U.S.C. 552a). This subpart
applies to all records which are contained in systems of records
maintained by the Department of the Treasury (Department or Treasury).
They do not relate to those personnel records of Federal Government
employees, which are under the Office of Personnel Management's (OPM)
jurisdiction to the extent such records are subject to OPM regulations.
This subpart applies to all Treasury components. Any reference in this
subpart to the Department or its officials, employees, or records must
be deemed to refer also to the components or their officials,
employees, or records. This subpart sets forth the requirements
applicable to Treasury employees (including, to the extent required by
the contract or 5 U.S.C. 552a(m), Government contractors and employees
of such contractors) maintaining, collecting, using, or disseminating
records pertaining to individuals. They also set forth the procedures
by which individuals may request notification of whether 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 seek an accounting of
disclosures of such records. For the convenience of interested persons,
Treasury components may reproduce the regulations in this subpart in
their entirety (less any appendices not applicable to the component in
question) in those titles of the Code of Federal Regulations (CFR)
which normally contain regulations applicable to such components. In
connection with such reproduction, and at other appropriate times,
components may issue supplementary regulations applicable only to the
component in question, which are consistent with the regulations in
this subpart. In the event of any actual or apparent inconsistency, the
Departmentwide regulations in this subpart must govern. Individuals
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 the 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.
For purposes of this subpart, Treasury components consist of the
following offices and bureaus:
(1) The Departmental Offices, which include the offices of:
(i) The Secretary of the Treasury, including immediate staff;
(ii) The Deputy Secretary of the Treasury, including immediate
staff;
(iii) The Chief of Staff, including immediate staff;
(iv) The Executive Secretary of the Treasury, and all offices
reporting to such official, including immediate staff;
(v) Under Secretary for the Office of International Affairs, and
all offices reporting to such official, including immediate staff;
(vi) Assistant Secretary for the Office of International Trade and
Development, and all offices reporting to such official, including
immediate staff;
(vii) Assistant Secretary for the Office of International Finance,
and all offices reporting to such official, including immediate staff;
(viii) Assistant Secretary for the Office of Investment Security,
and all offices reporting to such official, including immediate staff;
(ix) Under Secretary for the Office of Domestic Finance, and all
offices reporting to such official, including immediate staff;
(x) Assistant Secretary for the Office of Financial Institutions,
and all offices reporting to such official, including immediate staff;
(xi) Assistant Secretary for the Office of Financial Markets, and
all offices reporting to such official, including immediate staff;
(xii) Assistant Secretary for the Office of the Fiscal Service, and
all offices reporting to such official, including immediate staff;
(xiii) Under Secretary for the Office of Terrorism & Financial
Intelligence, and all offices reporting to such official, including
immediate staff;
(xiv) Assistant Secretary for the Office of Terrorist Financing and
Financial Crimes, and all offices reporting to such official, including
immediate staff;
(xv) Assistant Secretary for the Office of Intelligence and
Analysis, and all offices reporting to such official, including
immediate staff;
(xvi) Office of General Counsel and all offices reporting to such
official, including immediate staff; except legal counsel to the
components listed in paragraphs (a)(23) through (26) and (b) through
(h) of this section;
(xvii) Treasurer of the United States including immediate staff;
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(xviii) Assistant Secretary for the Office for Legislative Affairs,
and all offices reporting to such official, including immediate staff;
(xix) Assistant Secretary for the Office of Management, and all
offices reporting to such official(s), including immediate staff;
(xx) Assistant Secretary for the Office of Public Affairs, and all
offices reporting to such official, including immediate staff;
(xxi) Assistant Secretary for the Office of Economic Policy, and
all offices reporting to such official, including immediate staff;
(xxii) Assistant Secretary for the Office of Tax Policy, and all
offices reporting to such official, including immediate staff;
(xxiii) The Inspector General and all offices reporting to such
official, including immediate staff;
(xxiv) The Treasury Inspector General for Tax Administration, and
all offices reporting to such official, including immediate staff;
(xxv) The Special Inspector General, Troubled Asset Relief Program,
and all offices reporting to such official, including immediate staff;
(xxvi) The Special Inspector General for Pandemic Recovery, and all
offices reporting to such official, including immediate staff;
(2) Alcohol and Tobacco Tax and Trade Bureau.
(3) Internal Revenue Service.
(4) Office of the Comptroller of the Currency.
(5) Bureau of Engraving and Printing.
(6) United States Mint.
(7) Financial Crimes Enforcement Network.
(8) Bureau of the Fiscal Service.
(b) For purposes of this subpart, the office of the legal counsel
for the components listed in paragraphs (a)(1)(xxiii) through (xxvi)
and (a)(2) through (8) of this section are to be considered a part of
such components. Any office, which is now in existence or may after
October 20, 2022 be established, which is not specifically listed or
known to be a component of any of those listed in paragraphs (a)(1)
through (8) of this section, must be deemed a part of the Departmental
Offices for the purpose of this subpart.
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 Treasury or
its components. 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 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 Treasury bureau or office as set
forth in Sec. 1.20 and in the appendices to this subpart. (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).
(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).
(l) The term Privacy Act means the Privacy Act of 1974 (5 U.S.C.
552a).
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 the Privacy Act:
(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's (OMB) Office of Information and Regulatory
Affairs (OIRA) 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 the Privacy Act (see subpart A of this part), 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,
[[Page 63907]]
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 in this part, 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
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
Institute of Standards and Technology (NIST).
(ii) System managers, with the approval of the head of their
offices within a component, shall adopt access restrictions to insure
that access to the records is limited to those individuals within the
agency who have a need to access the records in order to perform their
duties. 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 Office of the Federal Register publishes a biennial
compilation of all system notices (``Privacy Act Issuances''), as
specified in 5 U.S.C. 552a(f). In the interim (between biennial
compilations), the Department must list and provide links on its
website to complete, up-to-date versions of all Treasury system of
records notices (SORNs), including citations and links to all Federal
Register notices that reflect substantial modifications to each SORN.
(2) In addition, the Department must publish in the Federal
Register upon establishment or significant revision a notice of the
existence and character of any new or significantly revised systems of
records. Unless otherwise instructed, each notice must include:
(i) The system name and number, and location of the system;
(ii) The title and business address of the Treasury official who is
responsible for the system of records;
(iii) Security classification, and indication of whether any
information in the system is classified;
(iv) Authority for maintenance of the system, the specific
authority that authorizes the maintenance of the records in the system;
(v) Purpose(s) of the system, a description of the purpose(s) for
maintaining the system;
(vi) The categories of individuals on whom records are maintained
in the system;
(vii) The categories of records maintained in the system;
(viii) The categories of sources of records in the system (see 5
U.S.C. 552a(e)(4));
(ix) Each routine uses of the records contained in the system,
including the categories of users and the purpose of such use;
(xx) The policies and practices of the component regarding storage,
retrievability, access controls, retention, and disposal of the
records;
(xxi) The procedures of the component whereby an individual can be
notified if the system of records contains a record pertaining to the
individual, including reasonable times, places, and identification
requirements;
(xxii) 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;
(xxiii) Exemptions promulgated for the system; and
(xxiv) History (any previously published notices).
(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, Treasury must publish in the Federal Register notice of such
new or modified use of the information in the system and allow 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 the Privacy
[[Page 63908]]
Act and the regulations in this subpart 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) (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 the
Privacy Act 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, provide such material 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) Reasons for exemptions. As of November 21, 2022, the head of
the component must 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 the Privacy Act and this part. (See 5 U.S.C. 552a(j) and
(k).)
(d) Review and report to the Office of Management and Budget (OMB).
The Department must ensure that the following reviews are conducted:
(1) The Data Integrity Board must conduct a review of all matching
programs in which the Department has participated during the calendar
year and report to OMB of the following year.
(2) Each component must perform the following reviews with a
frequency sufficient to ensure compliance and manage risks:
(i) Review the language of each contract that involves the
creation, collection, use, processing, storage, maintenance,
dissemination, disclosure, or disposal of information and ensure that
the applicable requirements in the Privacy Act and OMB policies are
enforceable on the contractor and its employees consistent with the
agency's authority;
(ii) Ensure that all routine uses remain appropriate and that the
recipient's use of the records continues to be compatible with the
purpose for which the information was collected;
(iii) Ensure that each exemption claimed for a system of records
pursuant to 5 U.S.C. 552a(j) and (k) remains appropriate and necessary;
(iv) Ensure Departmental and component training practices are
sufficient and that personnel understand the requirements of the
Privacy Act, OMB guidance, the agency's implementing regulations and
policies, and any job-specific requirements;
(v) Review all component SORNs as needed to ensure they remain
accurate, up-to-date, and appropriately scoped; that all SORNs are
published in the Federal Register; that all SORNs include the
information required by OMB Circular A-108; and that all significant
changes to SORNs have been reported to OMB and Congress; and
(vi) Be prepared to report to the Office of Privacy, Transparency,
& Records, as part of the annual Federal Information Security
Management Act (FISMA), as amended by the Federal Information Security
Modernization Act of 2014, Public Law 113-283, reporting process, the
results of the reviews conducted as required by this section, including
any corrective action taken to resolve problems uncovered.
[[Page 63909]]
Sec. 1.24 Disclosure of records to person other than the individual
to whom they pertain.
(a) Conditions of disclosure. No component of Treasury is required
to 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 Treasury who have a need
for the record in the performance of their duties;
(2) Required 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 the 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
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 and Records Administration 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 the General Services Administration 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, if:
(i) The activity is authorized by law; and
(ii) The head of the agency or instrumentality has made a written
request to 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 a matter is
within its jurisdiction, any committee or subcommittee thereof, any
joint committee of Congress or subcommittee of any such joint
committee;
(10) To the Comptroller General, or the authorized representatives
of such official, in the course of the performance of the duties of the
Government Accountability Office;
(11) Pursuant to the order of a court of competent jurisdiction
(see 5 U.S.C. 552a(b)); or
(12) To a consumer reporting agency in accordance with 13 U.S.C.
3711(e).
(b) [Reserved]
Sec. 1.25 Accounting of disclosures.
(a) Accounting of certain disclosures. Each component, with respect
to each system of records under its control, must:
(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 to whom or agency to which
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 component 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, must 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 must:
(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 to whom or agency
to which the record was 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 Administration or
Federal Records Center for storage, in which event, the accounting
pertaining to those records, unless maintained separately, must 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 must establish {i{time}
procedures for making the accounting required under paragraph (a) of
this section available to the individual to whom the record pertains
and {ii{time} thereafter make such accounting available in accordance
therewith at the request of the individual. The procedures may require
the requester to provide reasonable identification. (See appendices A
through H to this subpart.)
(2) Access to accounting of disclosures 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 must, in
accordance with the requirements of 5 U.S.C. 552a(d)(1), 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 must set forth the
requirements for access to such records. At a minimum, such procedures
must specify the times during, and the places at which access will be
afforded, 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, must allow an
individual, upon request, to gain access to records or to
[[Page 63910]]
any information pertaining to such individual which is contained in a
system of records. Permit the individual to review the record and have
a copy made of all or any portion of the record in a comprehensible
form. Also permit the individual 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 apply 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 request for notification of whether a
record exists must:
(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 or the
regulations in this subpart, or have ``Privacy Act Request'' written on
both the request and on the envelope, if not submitted via a component-
provided electronic method;
(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 sought, the date of the
record or the period in which the record was compiled or otherwise
describe the record in sufficient detail to enable Department personnel
to locate the system of records containing the record with a reasonable
amount of effort;
(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 or by a component-provided
electronic method to the office or officer of the component indicated
for the particular system or subsystem or categories of records to
which the individual seeks access, as specified in ``Privacy Act
Issuances'' published by the Office of the Federal Register and
referenced in the appendices to this subpart. As explained in appendix
A to this subpart, requesters may send a written request to the
Departmental Offices seeking assistance in identifying the appropriate
component or in preparing a request for notification. Requesters
seeking such assistance should submit a written request addressed to
the Departmental Offices at the address specified in appendix A to this
part.
(2) A request for access to records must, in addition to complying
with paragraphs (d)(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 a requester wants a copy of their records, they must
clearly state in the request that they agree to pay the fees for
duplication as ultimately determined in accordance with subpart A to
this subpart (Sec. 1.7), unless such fees are waived under that
section by the system manager or other appropriate official as
indicated in the appropriate appendix to this subpart; and
(iii) Comply with any other requirement set forth in the applicable
appendix to this subpart or the ``System of Records Notice'' applicable
to the system in question. Any request for access which does not comply
with the requirements in the preceding sentence and those set forth
elsewhere in this subpart, will not be deemed subject to the time
constraints of this section, unless and until amended to comply with
all requirements in this subpart. Components must advise the requester
of any specific deficiencies so the requester can amend the request so
it can be processed. This section applies only to records maintained in
a system of records that are also 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 must make reasonable efforts to assist an oral requester to
learn 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 Treasury component, the requester must be advised of this fact.
(2) Where the record requested originated with a Federal agency
other than Treasury or its components and was classified (e.g.,
National Defense or Intelligence Information) or otherwise
restrictively endorsed (e.g., Office of Personnel Management records of
Federal Bureau of Investigation reports) by the originating agency, and
a copy is in the possession of a Treasury component, the component will
refer that portion of the request to the originating agency for
determination of all Privacy Act issues. In the case of a referral to
another agency under this paragraph (e)(2), the component will notify
the requester 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 Treasury official includes information originating with
other Federal agencies that is not classified or otherwise
restrictively endorsed, the system manager or other appropriate
Treasury official receiving the request must consult with the
originating agency prior to making a decision to disclose or withhold
the record. The system manager or other appropriate Treasury official
maintaining the record must decide if disclosure is required. (See 5
U.S.C. 552a(d) and (f).)
(f) Date of receipt of request. For purposes of this subpart, the
date of receipt of a request for notification or access to records
shall be the date on which the requester satisfied all the requirements
of paragraph (d) of this section. Requests for notification or access
to records and any separate agreement to pay for copies must be stamped
or endorsed with the date the receiving office/component received all
information needed to satisfy the requirements in this section. The
date of receipt of the last required document will 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. The component
officers designated in the appendices to this subpart must send the
requester any required notifications, including notices stating the
component has responsive records and whether it will provide access to
the records requested. The component will mail notification of the
determination 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 relevant component officer
must inform the requester (prior to the expiration of the 30-day
timeframe), 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
[[Page 63911]]
a response will be dispatched. (See 5 U.S.C. 552a(d) and (f).)
(2) Granting of access. When the component determines that the
request for access will be granted and the requester seeks a copy of
the responsive records, the component must furnish such copy in a form
comprehensible to the requester, together with a statement of the
applicable duplication fees. If the requester indicates they want to
exercise their right to inspect the responsive records, the component
officer designated in the relevant appendix to this subpart must
promptly notify the requester in writing of the determination,
including when and where the requested records may be inspected. A
requester seeking to inspect such records may be accompanied by another
person of their choosing. The requester seeking access must sign a form
indicating that Treasury is authorized to discuss the contents of the
subject record in the accompanying person's presence. If, after making
the inspection, the requester requests a copy of all or a portion of
the requested records and pays the applicable fees for duplication, the
component must provide a copy of the records in a form comprehensible
to the requester. Fees to be charged are as prescribed by subpart A to
this subpart (Sec. 1.7). Components may charge for processing requests
under the Freedom of Information Act, under the provisions of this
section, or may issue their own fee schedules, which must be consistent
with the OMB Guidelines. (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 health professional authorized in writing to have access to such
records by the individual making the request. Upon receipt of the
authorization, the health professional 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 a component makes a determination to
deny a request for notification of whether a record exists or deny
access to existing responsive records (whether in whole or part or
subject to conditions or exceptions), the component must notify the
requester of the denial by mail in accordance with paragraph (g)(1) of
this section. The letter of notification must 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 requester 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. A
component may not invoke exemptions from disclosure under 5 U.S.C.
552(b) (subpart A to this part (Sec. 1.2 (c))), for the purpose of
withholding from a requester any record which would otherwise be
accessible to the requester under the Privacy Act and this subpart.
(See 5 U.S.C. 552a(t).)
(6) Records exempt in whole or in part. (i) If Treasury deems it
necessary to assert an exemption in response to a request for
notification of the existence of or access to records, it will neither
confirm nor deny the existence of the records if the records were
exempted from individual access pursuant to 5 U.S.C. 552a(j) or were
compiled in reasonable anticipation of a civil action or proceeding in
either a court or before an administrative tribunal. If Treasury
asserts such an exemption, it must advise the requester only that it
has identified no records available pursuant to the Privacy Act.
(ii) Process requests from individuals for access to records which
Treasury exempted from access pursuant to 5 U.S.C. 552a(k) as follows:
(A) Requests for information classified pursuant to Executive Order
12958, 13526, or successor or prior Executive orders require the
responsible Treasury component to review the information to determine
whether it continues to warrant classification pursuant to an Executive
order. Information which no longer warrants classification under these
criteria must be declassified and made available to the individual. If
the information continues to warrant classification, the component must
notify the requester that the information sought is classified, that it
has been reviewed and continues to warrant classification, and that
Treasury exempted it from access pursuant to 5 U.S.C. 552(b)(1) and 5
U.S.C. 552a(k)(1). Classified information maintained in records
Treasury exempted pursuant to 5 U.S.C. 552a(j) must be reviewed as
required by this paragraph (g)(6)(ii)(A), but the response to the
individual must be in the form prescribed by paragraph (g)(6)(i) of
this section.
(B) Components must respond to requests for information maintained
in records that Treasury exempted from disclosure pursuant to 5 U.S.C.
552a(k)(2) in the manner provided in paragraph (g)(6)(i) of this
section unless the requester shows that the component has used or is
using the information to deny them any right, privilege, or benefit for
which they are eligible or to which they would otherwise be entitled
under Federal law. If the requester makes such a showing, the component
must advise the requester of the existence of the records, extract any
information from the records that would identify a confidential source,
or provide a summary extract of the records to the requester in a
manner which protects the source to the maximum degree possible.
(C) Information a component compiled in its records as part of an
employee background investigation that Treasury exempted from
disclosure pursuant to 5 U.S.C. 552a(k)(5) must be made available to a
requester unless the record identifies a confidential source(s).
Information in the record that identifies confidential source(s) must
be extracted or summarized in a manner which protects the source(s) to
the maximum degree possible and the summary or extract must be provided
to the requester.
(D) Testing or examination material that Treasury exempted pursuant
to 5 U.S.C. 552a(k)(6) must not be made available to a requester 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 Treasury
promulgated in accordance with Sec. 1.23(c), and subject to paragraph
(f) of this section, each component of the Department of the Treasury
must, 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 the
request is amended to meet all requirements. However, components will
advise the requester in what respect the request or appeal is non-
compliant so that it may be resubmitted or amended. (See 5 U.S.C.
552a(d) and (f).)
[[Page 63912]]
(b) Form of request to amend records. In order to be subject to the
provisions of this section, a request to amend records must:
(1) Be made in writing and signed by the individual 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 under the Privacy Act or the regulations
in this subpart, with ``Privacy Act Amendment Request'' written on both
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 believes
require amendment, including, to the best of the requester's knowledge,
dates of previous letters the requester sent to the component seeking
access to their records and dates of letters in which the component
provided notification to the requester concerning access, if any, and
the individual's documentation justifying the proposed correction. (See
5 U.S.C. 552a(d) and (f).)
(c) Date of receipt of request. For purposes of this subpart, the
date of receipt of a request for amendment of records must be the date
on which the requester satisfies all the requirements of paragraph (b)
of this section. The receiving office or officer must 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, must:
(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 to any portion which the individual
believes, and the official agrees is not accurate, relevant, timely, or
complete; or
(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 must
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 the 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 must:
(i) Be made in writing, stating any arguments in support thereof
and be signed by the requester to whom the record pertains, or the duly
authorized representative of such individual;
(ii) Be addressed 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) Be clearly marked ``Privacy Act Amendment Appeal'' on the
appeal and on the envelope;
(iv) Reasonably describe the records the individual seeks to amend;
and
(v) Specify the date of the initial request to amend records, and
the date of the component's letter providing notification that the
request was denied. (See 5 U.S.C. 552a(d) and (f).)
(3) Date of receipt. Promptly stamp or endorse appeals with the
date of their receipt by the office to which the appeal is addressed.
Such stamped or endorsed date will be deemed to be the date of receipt
for all purposes of this subpart. The responsible official in the
office to which the appeal was addressed must acknowledge receipt of
the appeal 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). The letter acknowledging receipt of the appeal must
advise the requester of the date of receipt established by the
foregoing and the number of days the responsible official has to decide
the administrative appeal (including days included/not included in
determining the deadline). (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 must:
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 the final agency decision is to
refuse to amend the record, in whole or in part, the requester must
also be advised of the reasons the appeal was denied and their right--
(i) To file a concise ``Statement of Disagreement'' (including the
procedures for filing this statement) setting forth the reasons they
disagree with the final agency decision; and/or
(ii) To judicial review of the final agency decision refusing to
amend the record(s) (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:
(1) Transcripts or written statements made under oath;
(2) Transcripts of Grand Jury proceedings, judicial or quasi-
judicial proceedings which form the official record of those
proceedings;
(3) Pre-sentence reports comprising the property of the courts but
maintained in agency files;
(4) Records pertaining to the determination, the collection, and
the payment of the Federal taxes;
(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.
[[Page 63913]]
Sec. 1.28 Training, rules of conduct, penalties for non-compliance.
(a) Training. The Deputy Assistant Secretary for Privacy,
Transparency, & Records must institute a Departmental training program
to instruct Treasury 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 must 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. Components may supplement or supplant the departmental
annual privacy awareness training to address Privacy Act issues unique
to their missions. (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 applies to Treasury employees (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 is
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 system of records is
maintained without public notice.
(2) Treasury must:
(i) Collect no information about individuals for maintenance in a
system of records 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
relevant and necessary to perform Department functions or
responsibilities, unless related to a system exempted under 5 U.S.C.
552a(j) or (k);
(iii) Collect information, to the greatest extent practicable,
directly from the individual to whom it relates, unless related to a
system exempted under 5 U.S.C. 552a(j);
(iv) Inform individuals (and third parties, if feasible) from whom
information is collected of the authority and purposes for collection,
the use that will be made of the information, and the effects, both
legal and practical, of not furnishing the information;
(v) Neither collect, maintain, use nor disseminate information
concerning an individual's mere exercise of their First Amendment
rights, including: an individual's religious or political beliefs or
activities; membership in associations or organizations; freedom of
speech and of the press, and freedom of assembly and petition, unless:
(A) The individual expressly authorizes it (for example,
volunteering relevant and necessary information to obtain a benefit or
enforce a right);
(B) A statute expressly/explicitly authorizes the collection,
maintenance, use or dissemination of the information (whether or not
the statute specifically refers to the First Amendment); 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 (to determine if
actual retrieval is or will necessarily occur with some degree of
regularity when the system of records becomes operational);
(vii) Disseminate outside the Department no information from a
system of records without the written consent of the individual who is
the subject of the records unless disclosure is authorized by one of
the 12 exemptions in 5 U.S.C. 552a(b), which includes disclosure
pursuant to a routine use published in a system of records notice in
the Federal Register;
(viii) Assure that an accounting is kept in the prescribed form of
information about individuals that is maintained in a system of records
and disseminated outside the Department, whether made orally or in
writing, unless disclosed under 5 U.S.C. 552 and subpart A of this
part;
(ix) Collect, maintain, use, and disseminate information about
individuals in a manner that ensures that no inadvertent disclosure of
the information is made either within or outside the Department; and
(x) Assure that the proper Department authorities (e.g., component
privacy officer, legal counsel) are aware of any information in a
system maintained by the Department which is not/might not be
authorized under the provisions of the Privacy Act, including
information on how an individual exercises their First Amendment
rights, information that is/may be inaccurate, irrelevant, or so
incomplete as to risk unfairness to the individual concerned if used to
make adverse determinations.
(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
Treasury):
(i) Who by virtue of their 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 (see 5 U.S.C. 552a) or regulations in this subpart established
under the Privacy Act, 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 (see 5
U.S.C. 552a)--shall be guilty of a misdemeanor and fined not more than
$5,000.
(2) The Privacy Act also imposes a collateral criminal penalty
(misdemeanor and a fine of not more than $5,000) on the conduct of any
person who knowingly and willfully requests or obtains records covered
by the Privacy Act from an agency under false pretenses.
(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 Treasury a system of records to accomplish a
Departmental function. Such contractor and employees are considered
employees 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 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
[[Page 63914]]
U.S.C. 3103 must, for the purposes of the Privacy Act, be considered to
be maintained by the component which deposited the record and must be
subject to the provisions of the Privacy Act and this subpart. The
Federal Records Center must not disclose such records except to
Treasury or to others under rules consistent with the Privacy Act.
These rules may be established by Treasury or a component. If such
records are retrieved for the purpose of making a determination about
an individual, Treasury or the relevant component must review them 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, are deemed records
maintained by the National Archives, and:
(i) Must not be subject to the Privacy Act.
(ii) Except, that a statement describing such records (modeled
after 5 U.S.C. 552a(e)(4)(A) through (G)) must 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, must be deemed records
maintained by the National Archives, and:
(i) Must not be subject to the Privacy Act.
(ii) Except, that a statement describing such records in accordance
with 5 U.S.C. 552a(e)(4)(A) through (G) must 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 Treasury function, the provisions of the
Privacy Act and this subpart must be applied to such system. The
relevant component is responsible for ensuring 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 must not be sold
or rented by a component unless such action is specifically authorized
by law.
(b) Withholding of names and addresses. This section must 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 Collection, use, disclosure, and protection of Social
Security numbers.
(a) Treasury must only collect full Social Security numbers (SSNs)
when relevant and necessary to accomplish a legally authorized purpose
related to a Treasury mission. In the absence of another compelling
justification for the use of the full SSN (approved by the relevant
component Head and the Departmental Senior Agency Official for
Privacy), Treasury must only collect and maintain full SSNs:
(1) As a unique identifier for identity verification purposes
related to cyber security, law enforcement, intelligence, and/or
security background investigations;
(2) When required by external entities to perform a function for or
on behalf of Treasury;
(3) When collection is expressly required by statute or regulation;
(4) For statistical and other research purposes;
(5) To ensure the delivery of government benefits, privileges, and
services; and
(6) When there are no reasonable, alternative means for meeting
business requirements.
(b) Treasury must not display the Social Security number on the
outside of any package sent by mail.
(c) Treasury must not display the Social Security number on any
document sent by mail unless there are no reasonable, alternative means
for meeting business requirements and masking or truncating/partially
redacting the SSN are not feasible.
(d) Whenever feasible, Treasury must mask, or truncate/partially
redact Social Security numbers visible to authorized Treasury/component
information technology users so they only see the portion (if any) of
the Social Security number required to perform their official Treasury
duties.
(e) An individual must not be denied any right, benefit, or
privilege provided by law by a component because of such individual's
refusal to disclose their Social Security number.
(f) The provisions of paragraph (e) of this section do 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.
(g) When Treasury requests that an individual discloses their
Social Security number, it must inform the individual:
(1) Whether that disclosure is mandatory or voluntary;
(2) By what statutory or other authority such number is solicited;
and
(3) What uses are made of the number.
(h) Treasury must provide the information in this section in the
notice discussed in Sec. 1.28(b)(2)(iv). (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 must, 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, 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
components, the Deputy Assistant Secretary for Privacy, Transparency, &
Records must review all forms Treasury develops and uses to collect
information from and about individuals. Component heads are responsible
for reviewing forms used by their component to collect information from
and about individuals.
(b) Scope of review. The responsible officers must 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 ensure that Treasury does not collect information concerning
religion, political beliefs or activities, association memberships, or
the exercise of other First Amendment rights except as authorized in
Sec. 1.28(b)(2)(v);
(2) To ensure that the form on which information is collected (or a
separate form that can be retained by the individual) makes clear what
information the individual is required to disclose by law (and the
statutory of other authority for that requirement),
[[Page 63915]]
and what information requested is voluntary;
(3) To ensure that the form on which information is collected (or a
separate form that can be retained by the individual) states clearly
the principal purpose or purposes for which Treasury is collecting the
information, and summarizes concisely the routine uses that will be
made of the information;
(4) To ensure that the form on which information is collected (or a
separate form that can be retained by the individual) clearly indicates
to the individual the effect that not providing all, or part of the
requested information will have on their rights, benefits, or
privileges of; and
(5) To ensure that any form on which Treasury requests a Social
Security number (SSN) (or a separate form that can be retained by the
individual) clearly advises the individual of the statute or regulation
requiring disclosure of the SSN or clearly advises the individual that
disclosure is voluntary and that they will not be denied any right,
benefit, or privilege if they refuse to voluntarily disclose it, and
the uses that will be made of the SSN whether disclosed mandatorily or
voluntarily.
(c) Revision of forms. The responsible officers must revise any
form which does not meet the objectives specified in the Privacy Act as
discussed in this section. A separate statement may be used in
instances when a form does not conform. This statement will accompany a
form and must 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 the
Privacy Act and this part.
(a) In general. In accordance with 5 U.S.C. 552a(j) and (k) and
Sec. 1.23(c), Treasury hereby exempts the systems of records
identified in paragraphs (c) through (o) of this section from the
following provisions of the Privacy Act for the reasons indicated.
(b) Authority. The rules in this section 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. 1.23(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 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 Treasury components have
as their principal function activities pertaining to the enforcement of
criminal laws. This paragraph (c) applies to the following systems of
records maintained by Treasury:
(i) Treasury-wide.
Table 1 to Paragraph (c)(1)(i)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
Treasury .013........................ Department of the Treasury Civil
Rights Complaints and Compliance
Review Files.
------------------------------------------------------------------------
(ii) Departmental Offices.
Table 2 to Paragraph (c)(1)(ii)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
DO .190.............................. Office of Inspector General
Investigations Management
Information System (formerly:
Investigation Data Management
System).
DO .220.............................. SIGTARP Hotline Database.
DO .221.............................. SIGTARP Correspondence Database.
DO .222.............................. SIGTARP Investigative MIS
Database.
DO .223.............................. SIGTARP Investigative Files
Database.
DO .224.............................. SIGTARP Audit Files Database.
DO .303.............................. TIGTA General Correspondence.
DO .307.............................. TIGTA Employee Relations Matters,
Appeals, Grievances, and
Complaint Files.
DO .308.............................. TIGTA Data Extracts.
DO .309.............................. TIGTA Chief Counsel Case Files.
DO .310.............................. TIGTA Chief Counsel Disclosure
Section Records.
DO .311.............................. TIGTA Office of Investigations
Files.
------------------------------------------------------------------------
(iii) Special Investigator for Pandemic Recovery (SIGPR).
Table 3 to Paragraph (c)(1)(iii)
------------------------------------------------------------------------
------------------------------------------------------------------------
SIGPR .420........................... Audit and Evaluations Records.
SIGPR .421........................... Case Management System and
Investigative Records.
SIGPR .423........................... Legal Records.
------------------------------------------------------------------------
(iv) Alcohol and Tobacco and Trade Bureau (TTB).
[[Page 63916]]
Table 4 to Paragraph (c)(1)(iv)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
TTB .003............................. Criminal Investigation Report
System.
------------------------------------------------------------------------
(v) Office of the Comptroller of the Currency (OCC).
Table 5 to Paragraph (c)(1)(v)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
CC .110.............................. Reports of Suspicious Activities.
CC .120.............................. Bank Fraud Information System.
CC .220.............................. Notices of Proposed Changes in
Employees, Officers and
Directors Tracking System.
CC .500.............................. Chief Counsel's Management
Information System.
CC .510.............................. Litigation Information System.
------------------------------------------------------------------------
(vi) Internal Revenue Service.
Table 6 to Paragraph (c)(1)(vi)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
IRS 34.022........................... National Background
Investigations Center Management
Information System (NBICMIS).
IRS 46.002........................... Criminal Investigation Management
Information System and Case
Files.
IRS 46.003........................... Confidential Informants, Criminal
Investigation Division.
IRS 46.005........................... Electronic Surveillance and
Monitoring Records, 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 90.001........................... Chief Counsel Management
Information System Records.
IRS 90.004........................... Chief Counsel Legal Processing
Division Records.
IRS 90.005........................... Chief Counsel Library Records.
------------------------------------------------------------------------
(vii) Financial Crimes Enforcement Network.
Table 7 to Paragraph (c)(1)(vii)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
FinCEN .001.......................... FinCEN Investigations and
Examinations System.
FinCEN .002.......................... Suspicious Activity Reporting
System.
FinCEN .003.......................... Bank Secrecy Act Reports System.
------------------------------------------------------------------------
(2) The Department hereby exempts the systems of records listed in
paragraphs (c)(1)(i) through (vii) of this section from the following
provisions of the Privacy Act, 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 paragraphs
(d)(2) through (12) of this section, 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.
(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
[[Page 63917]]
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 to avoid detection or apprehension.
(iii) Permitting access to investigative files and records could,
moreover, disclose the identity of confidential sources and informants
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
informants might refuse to provide criminal investigators with valuable
information unless they believe that their identities will 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) Finally, the dissemination of certain information that the
Department maintains 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
having access to his or her records, and since these rules exempt the
systems of records from the provisions of the Privacy Act 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. Individuals 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 individuals to take steps to avoid
detection or apprehension.
(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 the Privacy Act 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;
(ii) Result in threats or reprisals against informants by the
subjects of investigations; and
(iii) Cause informants 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) 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.
(ii) 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
[[Page 63918]]
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
may assert his/her constitutional right to remain silent and refuse to
supply information to criminal investigators upon request.
(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 from the subject of a criminal
investigation or other sources.
(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 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 are
not 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.
(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.
(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 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 the Privacy Act 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 the Privacy Act 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 to the extent that the system contains information
subject to the provisions of 5 U.S.C. 552(b)(1). This paragraph (e)
applies to the following systems of
[[Page 63919]]
records maintained by the Department of the Treasury:
(i) Departmental Offices.
Table 8 to Paragraph (e)(1)(i)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
DO .120.............................. Records Related to Office of
Foreign Assets Control Economic
Sanctions.
DO .227.............................. Committee on Foreign Investment
in the United States (CFIUS)
Case Management System.
DO .411.............................. Intelligence Enterprise Files.
------------------------------------------------------------------------
(ii) [Reserved]
(2) The Department of the Treasury hereby exempts the systems of
records listed in paragraph (e)(1) of this section from the following
provisions of the Privacy Act, 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 authorized to be kept
secret in the interest of national defense or foreign policy pursuant
to Executive Orders 12958, 13526, or successor or prior Executive
orders.
(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 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 (g) applies to the following systems of
records maintained by the Department of the Treasury:
(i) Departmental Offices.
Table 9 to Paragraph (g)(1)(i)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
DO .120.............................. Records Related to Office of
Foreign Assets Control Economic
Sanctions.
DO .144.............................. General Counsel Litigation
Referral and Reporting System.
DO .190.............................. Office of Inspector General
Investigations Management
Information System (formerly:
Investigation Data Management
System).
DO .220.............................. SIGTARP Hotline Database.
DO .221.............................. SIGTARP Correspondence Database.
DO .222.............................. SIGTARP Investigative MIS
Database.
DO .223.............................. SIGTARP Investigative Files
Database.
DO .224.............................. SIGTARP Audit Files Database.
DO .225.............................. TARP Fraud Investigation
Information System.
DO .227.............................. Committee on Foreign Investment
in the United States (CFIUS)
Case Management System.
DO .303.............................. TIGTA General Correspondence.
DO .307.............................. TIGTA Employee Relations Matters,
Appeals, Grievances, and
Complaint Files.
DO .308.............................. TIGTA Data Extracts.
DO .309.............................. TIGTA Chief Counsel Case Files.
DO .310.............................. TIGTA Chief Counsel Disclosure
Section Records.
DO .311.............................. TIGTA Office of Investigations
Files.
------------------------------------------------------------------------
(ii) Special Investigator for Pandemic Recovery (SIGPR).
Table 10 to Paragraph (g)(1)(ii)
------------------------------------------------------------------------
------------------------------------------------------------------------
SIGPR .420........................... Audit and Evaluations Records.
SIGPR .421........................... Case Management System and
Investigative Records.
SIGPR .423........................... Legal Records.
------------------------------------------------------------------------
(iii) The Alcohol and Tobacco Tax and Trade Bureau (TTB).
Table 11 to Paragraph (g)(1)(iii)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
TTB .001............................. Regulatory Enforcement Record
System.
------------------------------------------------------------------------
(iv) Comptroller of the Currency.
[[Page 63920]]
Table 12 to Paragraph (g)(1)(iv)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
CC .100.............................. Enforcement Action Report System.
CC .110.............................. Reports of Suspicious Activities.
CC .120.............................. Bank Fraud Information System.
CC .220.............................. Notices of Proposed Changes in
Employees, Officers and
Directors Tracking System.
CC .500.............................. Chief Counsel's Management
Information System.
CC .510.............................. Litigation Information System.
------------------------------------------------------------------------
(v) Bureau of Engraving and Printing.
Table 13 to Paragraph (g)(1)(v)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
BEP .021............................. Investigative files.
------------------------------------------------------------------------
(vi) Internal Revenue Service.
Table 14 to Paragraph (g)(1)(vi)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
IRS 00.002........................... Correspondence File-Inquiries
about Enforcement Activities.
IRS 00.007........................... Employee Complaint and Allegation
Referral Records.
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 Microfilm Retrieval System.
IRS 49.007........................... Overseas Compliance Projects
System.
IRS 60.000........................... Employee Protection System
Records.
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.
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).
[[Page 63921]]
IRS 90.016........................... Counsel Automated Tracking System
(CATS).
------------------------------------------------------------------------
(vii) U.S. Mint.
Table 15 to Paragraph (g)(1)(vii)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
Mint .008............................ Employee Background
Investigations Files.
------------------------------------------------------------------------
(viii) Bureau of the Fiscal Service.
Table 16 to Paragraph (g)(1)(viii)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
FS .009.............................. Delegations and Designations of
Authority for Disbursing
Functions.
------------------------------------------------------------------------
(ix) Financial Crimes Enforcement Network.
Table 17 to Paragraph (g)(1)(ix)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
FinCEN .001.......................... FinCEN Database.
FinCEN .002.......................... Suspicious Activity Reporting
System.
FinCEN .003.......................... Bank Secrecy Act Reports System.
------------------------------------------------------------------------
(2) The Department hereby exempts the systems of records listed in
paragraphs (g)(1)(i) through (ix) of this section from the following
provisions of the Privacy Act, 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), (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 of the Treasury and of law enforcement agencies outside
the Department 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. Individuals 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 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 informants
and the nature of the information supplied and thereby endanger the
physical safety of those sources by exposing them to possible
[[Page 63922]]
reprisals for having provided the information. Confidential sources and
informants 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
having access to his or her records, and since these rules exempt the
systems of records from the provisions of the Privacy Act relating to
access to records, these provisions should not apply to the systems of
records for the reasons set out in paragraph (h)(2) of this section.
(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 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) 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.
(ii) 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.
(5) 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 paragraphs (h)(5)(i)
through (vi) of this section, 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 informants by the
subjects of investigations; and
(iii) Cause informants 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)(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 if the system is required by statute to be
maintained and used solely as statistical records. This paragraph (i)
applies to the following system of records maintained by the
Department, for which exemption is claimed under 5 U.S.C. 552a(k)(4).
(i) Internal Revenue Service.
Table 18 to Paragraph (i)(1)(i)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
IRS 70.001........................... Individual Income Tax Returns,
Statistics of Income.
------------------------------------------------------------------------
(ii) [Reserved]
(2) The Department hereby exempts the system of records listed in
paragraph (i)(1) of this section from the following provisions of the
Privacy Act, 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 26 U.S.C. 6108, which
requires that the Secretary or his delegate 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.
[[Page 63923]]
(j) 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.
(k) 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 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 (j) applies to the following systems of records
maintained by the Department or one of its bureaus:
(i) Departmental Offices.
Table 19 to Paragraph (k)(1)(i)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
DO .004.............................. Personnel Security System.
DO .306.............................. TIGTA Recruiting and Placement
Records.
------------------------------------------------------------------------
(ii) Internal Revenue Service.
Table 20 to Paragraph (k)(1)(ii)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
IRS 34.021........................... Personnel Security
Investigations.
IRS 34.022........................... Automated Background
Investigations System (ABIS).
IRS 90.006........................... Chief Counsel Human Resources and
Administrative Records.
------------------------------------------------------------------------
(2) The Department hereby exempts the systems of records listed in
paragraphs (k)(1)(i) and (ii) of this section from the following
provisions of the Privacy Act, 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).
(l) 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.
(m) 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 (m) applies to the following system of records maintained by
the Department, for which exemption is claimed under 5 U.S.C.
552a(k)(6).
(i) Departmental Offices.
Table 21 to Paragraph (m)(1)(i)
------------------------------------------------------------------------
No. Name of system
------------------------------------------------------------------------
DO .306.............................. TIGTA Recruiting and Placement
Records.
------------------------------------------------------------------------
(ii) [Reserved]
(2) The Department hereby exempts the system of records listed in
paragraph (m)(1) of this section from the following provisions of the
Privacy Act, 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).
(n) 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.
(o) Exempt information included in another system. Any information
from a
[[Page 63924]]
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.
Appendix A to Subpart C of Part 1--Departmental Offices
1. In general. This appendix applies to the Departmental Offices
as defined in this subpart, 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 Sec. 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, Director, FOIA and Transparency,
Department of the Treasury, 1500 Pennsylvania Avenue NW.,
Washington, DC 20220. Requests may also be submitted: on the
Treasury/FOIA portal, which can be found at: <a href="https://home.treasury.gov/footer/freedom-of-information-act/submit-a-request">https://home.treasury.gov/footer/freedom-of-information-act/submit-a-request</a>; or by email at <a href="/cdn-cgi/l/email-protection#ca8c85838b8abeb8afabb9bfb8b3e4ada5bc"><span class="__cf_email__" data-cfemail="db9d94929a9bafa9bebaa8aea9a2f5bcb4ad">[email protected]</span></a>.
3. Requests for amendments of records. Initial determinations
under Sec. 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, Director, FOIA and
Transparency, Department of the Treasury, 1500 Pennsylvania Avenue
NW, Washington, DC 20220.
4. Administrative appeal of initial determination refusing to
amend record. Appellate determinations under Sec. 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, Special Inspector General for
Troubled Assets Relief Program, 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, Director, FOIA and Transparency,
Department of the Treasury, 1500 Pennsylvania Avenue NW, Washington,
DC 20220.
5. Statements of disagreement. ``Statements of Disagreement'' as
described in Sec. 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 Sec. Sec. 1.26 and 1.27
and section 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 identifier such as a
photocopy of a driver's license or other official document bearing
the individual's signature.
(iii) Notwithstanding paragraphs 8(i) and (ii) of this appendix,
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 paragraph 8(i), (ii), or (iii) of this
appendix, 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 (Pub. L. 93-579, 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 the Privacy Act (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 section 3 or 4 of this
appendix before the Internal Revenue Service will act
[[Page 63925]]
on the request. Neither the notification and access (or accounting
of disclosures) procedures under section 3 of this appendix nor the
amendment procedures under section 4 of this appendix 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 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.
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 appendix.
(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.
(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:
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
[[Page 63926]]
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 Internal Revenue Service (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 health
care professional 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.
(iii) Notwithstanding paragraphs 3(h)(i) and (ii) of this
appendix, 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 paragraph 3(h)(i), (ii), or (iii) of this
appendix, 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
paragraph. 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 (2) of this appendix.
(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.
(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 the request, the request will not be acted upon and the
individual making the request will be
[[Page 63927]]
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
paragraphs (g) and (h) of this appendix.
(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.
(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 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 forward 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
(i) 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--Alcohol and Tobacco Tax and Trade
Bureau
1. In general. This appendix applies to the Alcohol and Tobacco
Tax and Trade Bureau. It sets forth specific notification and access
[[Page 63928]]
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)(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 Sec. 1.26,
whether to grant requests for notification and access to records and
accountings of disclosures for the Alcohol and Tobacco Tax and Trade
Bureau, will be made by the Director, Regulations and Rulings
Division, or the delegate of such officer. Requests may be mailed or
delivered in person to: Privacy Act Request, Director, Regulations
and Rulings Division, Alcohol and Tobacco Tax and Trade Bureau, 1310
G Street NW, Box 12, Washington, DC 20005. Requests may also be
faxed to 202-453-2331.
3. Requests for amendment of record. Initial determinations
under Sec. 1.27(a) through (d) with respect to requests to amend
records maintained by the Alcohol and Tobacco Tax and Trade Bureau
will be made by the Director, Regulations and Rulings Division.
Requests for amendment of records may be mailed or delivered in
person to: Privacy Act Request, Director, Regulations and Rulings
Division, Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street
NW, Box 12, Washington, DC 20005. Requests may also be faxed to 202-
453-2331. The Bureau will process a faxed request when the request
meets the identity verification requirements outlined in paragraph
4(a) of this appendix.
4. Verification of identity. (a) In addition to the requirements
specified in Sec. 1.26(d), each request for notification, access or
amendment of records made by mail or fax 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 Alcohol and Tobacco Tax and
Trade Bureau 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
paragraphs 4(a) and (b) of this appendix, 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 Alcohol and Tobacco Tax
and Trade Bureau 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
Alcohol and Tobacco Tax and Trade Bureau field office or other
facility located nearest to the residence of the individual making
the request unless the individual requests that the documents be
sent by mail. 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 in person, the
individual will acknowledge receipt in writing.
7. Administrative appeal of initial determination refusing to
amend record. Appellate determinations under Sec. 1.27(e) with
respect to records of the Alcohol and Tobacco Tax and Trade Bureau,
including extensions of time on appeal, will be made by the
Administrator or the delegate of such officer. Appeals should be
addressed to, or delivered in person to: Privacy Act Amendment
Appeal, Administrator, Alcohol and Tobacco Tax and Trade Bureau,
1310 G Street NW, Box 12, Washington, DC 20005.
8. Statements of disagreement. ``Statements of Disagreement'' as
described in Sec. 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 Administrator of the Alcohol and Tobacco Tax and Trade Bureau or
the delegate of such official and shall be delivered to the
following location: Administrator, Alcohol and Tobacco Tax and Trade
Bureau, 1310 G Street NW, Box 12, Washington, DC 20005, 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 Sec. Sec. 1.26 and 1.27 are indicated in
the notice for each pertinent system.
Appendix D 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 Sec. 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 Sec. 1.27(a) through (d), whether to grant request to amend
[[Page 63929]]
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 Sec. 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 Sec. 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 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 paragraphs 7(i) and (ii) of this appendix,
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(i)(3) for requesting or
obtaining access to records under false pretenses.
(iv) Notwithstanding paragraph 7(i), (ii), or (iii) of this
appendix, 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 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 Sec. Sec. 1.26 and 1.27 are indicated in
the notice for the pertinent system.
Appendix E to Subpart C of Part 1--Bureau of the Fiscal Service
1. In general. This appendix applies to the Bureau of the Fiscal
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 Sec. 1.26,
whether to grant requests for notification and access to records and
accountings of disclosures for the Bureau of the Fiscal 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 to the system
manager identified in the Bureau of the Fiscal Service system of
records notice (SORN) which is published in the Federal Register.
See the applicable Bureau of the Fiscal Service system of records
notice (SORN) for details.
3. Requests for amendment of records. Initial determination
under Sec. 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 the system manager identified in the Bureau of the
Fiscal Service SORN which is published in the Federal Register.
4. Administrative appeal of initial determinations refusing
amendment of records. Appellate determinations refusing amendment of
records under Sec. 1.27(e) including extensions of time on appeal,
with respect to records of the Bureau of the Fiscal Service will be
made by the Commissioner or the delegate of such official. Appeals
made by mail should be addressed to the system manager identified in
the Bureau of the Fiscal Service SORN which is published in the
Federal Register. See the applicable Bureau of the Fiscal Service
SORN for details.
5. Statements of disagreement. ``Statements of Disagreement''
under Sec. 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, Bureau of the Fiscal Service or the delegate of
such official and shall be delivered to the following location:
Office of the Chief Counsel, Bureau of the Fiscal Service Attn:
Chief Counsel, 401 14th St. SW, Washington, DC 20227.
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 Sec. Sec. 1.26 and 1.27 are indicated in
the notice for the pertinent system.
Appendix F 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 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
[[Page 63930]]
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 Sec. 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
[…truncated; see source link]Indexed from Federal Register on October 20, 2022.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.