1.22—Requirements relating to systems of records.
(a) In general.
Subject to 5 U.S.C. 552a (j) and (k) and § 1.23(c) ,
each component shall, in conformance with 5 U.S.C. 552a :
(1)
Maintain in its records only such information about an individual as is
relevant and necessary to accomplish a purpose of the agency
required to be accomplished by the statute or by Executive order of the President
(See 5 U.S.C. 552a(e)(1) ).
(2)
Collect information to the greatest extent practicable directly from the
subject individual when the information may result in adverse determinations about
an individual's rights, benefits, and privileges under Federal programs. (See 5
U.S.C. 552a(e)(2) ).
(b) Requests for information from individuals.
Subject to 5 U.S.C.
552a(j) and § 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;
(3)
The routine uses which may be made of the information, as published pursuant to
5 U.S.C. 552a(e)(4)(D); and
(4)
The effects on such individual, if any, of not providing all or any part of the
requested information. (See 5 U.S.C. 552a(e)(3) ).
(c) Report on new systems.
Each component of the Treasury shall
provide adequate advance notice to Congress and the Office of Management and Budget
through the Disclosure Branch and Administration Section of the Office of the
General Counsel of any proposal to establish or alter any system of records in order
to permit an evaluation of the probable or potential effect of such proposal on the
privacy and other personal or property rights of individuals or the disclosure of
information relating to such individuals, and its effect on the preservation of the
constitutional principles of federalism and separation of powers. (See 5 U.S.C.
552a(o) ).
(1)
Subject to 5 U.S.C. 552a(j) and § 1.23(c)(1), maintain all records which are
used in making any determination about any individual with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure fairness to the
individual in the determination (see 5 U.S.C. 552a(e)(5) ;
(2)
Prior to disseminating any record about an individual to any person other than
an agency, unless the dissemination is made pursuant to 5 U.S.C. 552 (see 31 CFR
part 1, subpart A), make reasonable efforts to assure that such records are
accurate, complete, timely, and relevant for Department of the Treasury purposes
(see 5 U.S.C. 552a(e)(6)) and
(3)
Establish appropriate administrative, technical, and physical safeguards to
insure the security and confidentiality of records and to protect against any
anticipated threats or hazards to their security or integrity which could result in
substantial harm, embarrassment, inconvenience, or unfairness to any individual on
whom information is maintained. (See 5 U.S.C. 552a(e)(10) ).
(i)
System managers, with the approval of the head of their offices within a
component, shall establish administrative and physical controls, consistent with
Department regulations, to insure the protection of records systems from
unauthorized access or disclosure and from physical damage or destruction. The
controls instituted shall be proportional to the degree of sensitivity of the
records but at a minimum must insure that records other than those available to the
general public under the Freedom of Information Act (5 U.S.C. 552 ), are protected
from public view, that the area in which the records are stored is supervised during
all business hours and physically secure during nonbusiness hours to prevent
unauthorized personnel from obtaining access to the records. Automated systems shall
comply with the security standards promulgated by the National Bureau of
Standards.
(ii)
System managers, with the approval of the head of their offices within a
component, shall adopt access restrictions to insure that only those individuals
within the agency who have a need to have access to the records for the performance
of their duties have access to them. Procedures shall also be
adopted to prevent accidental access to, or dissemination of, records.
(e)
Prohibition against maintenance of records concerning First Amendment
rights. No component shall maintain a record describing how any individual
exercises rights guaranteed by the First Amendment (e.g. speech), unless the
maintenance of such record is:
(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 § 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 § 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.
(b)
ormation 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)).