1.23—Publication in the Federal Register—Notices of systems of records, general exemptions, specific exemptions, review of all systems.
(a)
Notices of systems of records to be published in the
Federal Register. (1) The Department shall publish a notice of the
existence and character of all systems of records every 3 years in the Federal Register. An annual notice of systems of records is required to be
published by the Office of the Federal Register in the publication entitled “Privacy
Act Issuances”, as specified in 5 U.S.C. 552a(f).
(2)
(d)
changes to systems of records shall be published annually. (See paragraph
(d)(8) of this section)
(3)
In addition, the Department shall publish in the Federal Register
upon establishment or revision a notice of the existence and character of any new or
revised systems of records. Unless otherwise instructed, each notice shall
include:
(iv)
Each routine use of the records contained in the system, including the
categories of users and the purpose of such use;
(v)
The policies and practices of the component regarding storage, retrievability,
access controls, retention, and disposal of the records;
(vi)
The title and business address of the Treasury official who is responsible for
the system of records;
(vii)
The procedures of the component whereby an individual can be notified if the
system of records contain a record pertaining to the individual,
including reasonable times, places, and identification requirements.
(viii)
The procedures of the component whereby an individual can be notified on how
to gain access to any record pertaining to such individual that may be contained in
the system of records, and how to contest its content; and
(b)
Notice of new or modified routine uses to be published in the
Federal Register. At least 30 days prior to a new use or modification
of a routine use, as published under paragraph (a)(3)(iv) of this section, each
component shall publish in the Federal Register notice of such new or
modified use of the information in the system and provide an opportunity for
interested persons to submit written data, views, or arguments to the components.
(See 5 U.S.C. 552a(e)(11) )
(c)
(e)
3]Promulgation of rules exempting systems from certain
requirements—(1) General exemptions. In accordance with existing
procedures applicable to a Treasury component's issuance of regulations, the head of
each such component may adopt rules, in accordance with the requirements (including
general notice) of 5 U.S.C. 553 (b) (1), (2), and (3), (c) and (e), to exempt any
system of records within the component from any part of 5 U.S.C. 552a and these
regulations except subsections (b) ( sec. 1.24, conditions of disclosure), (c)(1)
( sec. 1.25, keep accurate accounting of disclosures), (c)(2) ( sec. 1.25, retain
accounting for five years or life of record), (e)(4) (A) through (F) (paragraph (a)
of this section, publication of annual notice of systems of records), (e)(6) ( sec.
1.22(d), accuracy of records prior to dissemination), (e)(7) ( sec. 1.22(e) ,
maintenance of records on First Amendment rights), (e)(9) ( sec. 1.28, establish
rules of conduct), (e)(10) ( sec. 1.22(d)(3), establish safeguards for records),
(e)(11) (paragraph (c) of this section, publish new intended use), and (i) ( sec.
1.28(c), criminal penalties) if the systems of records maintained by the component
which performs as its principal function any activity pertaining to the enforcement
of criminal laws, including police efforts to prevent, control, or reduce crime or
to apprehend criminals, and the activities of prosecutors, courts, correctional,
probation, pardon, or parole authorities, and which consists of:
(i)
Information compiled for the purpose of identifying individual criminal
offenders and alleged offenders and consisting only of identifying data and
notations of arrests, the nature and disposition of criminal charges, sentencing,
confinement, release, and parole, and probation status;
(ii)
Information compiled for the purpose of a criminal investigation, including
reports of informants and investigators, and associated with an identifiable
individual; or
(iii)
Reports identifiable to an individual compiled at any stage of the process of
enforcement of the criminal laws from arrest or indictment through release from
supervision. (See 5 U.S.C. 552a(j) )
(2) Specific exemptions.
In accordance with existing procedures
applicable to a Treasury component's issuance of regulations, the head of each such
component may adopt rules, in accordance with the requirements (including general
notice) of 5 U.S.C. 553 (b) (1), (2), and (3), (c), and (e), to exempt any system of
records within the component from 5 U.S.C. 552a(c)(3) ( sec. 1.25(c)(2), accounting
of certain disclosures available to the individual), (d) ( sec. 1.26(a), access to
records), (e)(1) ( sec. 1.22(a)(1), maintenance of information to accomplish purposes
authorized by statute or executive order only), (e)(4)(G) (paragraph (a)(7) of this
section, publication of procedures for notification), (e)(4)(H) (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:
(ii)
Investigatory material compiled for law enforcement purposes, other than
material within the scope of subsection (j)(2) of 5 U.S.C. 552a and paragraph (a)(1)
of this section. If any individual is denied any right, privilege, or benefit that such individual would otherwise be entitled to by Federal
law, or for which such individual would otherwise be eligible, as a result of the
maintenance of this material, such material shall be provided to the individual,
except to the extent that the disclosure of the material would reveal the identity
of a source who furnished information to the Government under an express promise
that the identity of the source would be held in confidence, or prior to September
27, 1975, under an implied promise that the identity of the source would be held in
confidence;
(iii)
Maintained in connection with providing protective services to the President
of the United States or other individuals pursuant to 18 U.S.C. 3056 ;
(v)
Investigatory material compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian employment,
military service, Federal contracts, or access to classified information, but only
to the extent that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express promise that the
identity of the source would be held in confidence, or, prior to September 27, 1975,
under an implied promise that the identity of the source would be held in
confidence;
(vi)
Testing or examination material used solely to determine individual
qualifications for appointment or promotion in the Federal service the disclosure of
which would compromise the objectivity or fairness of the testing or examination
process; or
(vii)
Evaluation material used to determine potential for promotion in the armed
services, but only to the extent that the disclosure of such material would reveal
the identity of a source who furnished information to the Government under an
express promise that the identity of the source would be held in confidence, or,
prior to September 27, 1975, under an implied promise that the identity of the
source would be held in confidence.
(3)
At the time that rules under this subsection are adopted, the head of the
component shall include in the statement required under 5 U.S.C. 553(c) the reasons
why the system of records is to be exempted from a provision of 5 U.S.C. 552a and
this part. (See 5 U.S.C. 552a (j) and (k))
(d) Review and report to OMB.
The Department shall ensure that the
following reviews are conducted as often as specified below by each of the
components who shall be prepared to report to the Departmental Disclosure Branch
upon request the results of such reviews and any corrective action taken to resolve
problems uncovered. Each component shall:
(1)
Review every two years a random sample of the component's contracts that
provide for the maintenance of a system of records on behalf of the component to
accomplish a function of the component, in order to ensure that the working of each
contract makes the provisions of the Act apply. (5 U.S.C. 552a(m)(1) )
(2)
Review annually component's recordkeeping and disposal policies and practices
in order to assure compliance with the Act.
(3)
Review routine use disclosures every 3 years, that are associated with each
system of records in order to ensure that the recipient's use of such records
continues to be compatible with the purpose for which the disclosing agency
originally collected the information.
(4)
Review every three years each system of records for which the component has
issued exemption rules pursuant to section (j) or (k) of the Privacy Act in order to
determine whether the exemption is needed.
(5)
Review annually each ongoing matching program in which the component has
participated during the year, either as a source or as a matching agency in order to
assure that the requirements of the Act, the OMB Matching Guidelines, and the OMB
Model Control System and checklist have been met.
(6)
Review component's training practices annually to ensure that all component
personnel are familiar with the requirements of the Act, these regulations and
Departmental directives.
(7)
Review annually the actions of component personnel that have resulted either in
the agency being found civilly liable under section (g) of the Act,
or an employee being found criminally liable under the provisions of section (i) of
the Act, in order to determine the extent of the problem and to prevent future
recurrences.
(8)
Review annually each system of records notice to ensure that it accurately
describes the system. Where minor changes are needed, publish an amended notice in
the Federal Register. Minor changes shall be consolidated in one
annual comprehensive publication. The term “minor change to a system of records”
means a change that does not significantly change the system. More specifically, a
minor change does not affect the character or purpose of the system and does not
affect the ability of an individual to gain access to a record about the individual
or to any information pertaining to such individual which is contained in the
system; for example, changing the title of the system manager or the location of the
system.