The Department of the Treasury

FY 2013 Q1 Report on Privacy and Civil 

Liberties Activities Pursuant to Section 803 

of the Implementing Recommendations of 

the 9/11 Commission Act of 2007

For the reporting period 

September 1, 2012 to November 30, 2012, 

1. Introduction

The Treasury Department is committed to protecting the privacy and civil liberties of 

individuals in all Treasury programs. In recognition of the threat to individual privacy 

resulting from the global expansion of information technology (IT), the Department is 

determined to continue its vigilant oversight of the personally identifiable information (PII)

entrusted to its care. 

2. Department Actions

The Office of Privacy, Transparency, and Records (OPTR) has undergone several significant 

changes during the first quarter of FY 2013 to provide greater economies of resources for 

privacy oversight and activities. The Information Management (IM) office’s programs and 

functions, previously under a separate directorship, were split between the Privacy and Civil 

Liberties and other OPTR offices so that existing resources could be leveraged. This 

restructuring will enable the office to achieve some savings in personnel costs, while at the 

same time facilitating a streamlining of the office by aligning all privacy related functions, 

such as the Computer Matching Agreement (CMA) program, within the Office of Privacy 

and Civil Liberties (OPCL.) 

In September, 2012, the Archivist of the United States recognized OPTR and Treasury’s 

Records Management Office for its outstanding Records Management Program which 

provided government-wide training on a number of subject areas including privacy. This is 

the second time in three years that this Department has received this award and supports the 

high quality and rigorous standards of a superior records management function.

Treasury has sustained its active involvement in the Information Sharing Environment 

(ISE). The Director of OPCL continues to serve as the chairperson of the ISE’s Privacy and 

Civil Liberties Subcommittee’s Compliance Review Working Group (CRWG). The CRWG 

is developing a privacy and civil liberties checklist for implementing the ISE Privacy 

Guidelines. This checklist is intended to serve as a compilation of the privacy and civil 
2

liberties requirements and best practices derived from those guidelines. Treasury’s Office 

of Intelligence Analysis (OIA) volunteered to conduct a pilot of this checklist to assess any 

potential issues in its implementation, especially with respect to Intelligence Community 

elements. OIA completed the pilot and is in the process of completing its pilot program 

report. The OIA pilot report remains a work in progress and should be completed during the 

first quarter of FY 2013.

The Department is among a number of agencies involved in doing the ground work necessary 

to implement EINSTEIN 3A. OPCL staff members are actively involved in discussions 

regarding the Memorandum of Understanding for this program. The privacy impact 

assessment (PIA) for the current version of EINSTEIN is still in progress at the Department 

of Homeland Security.

OPCL is in the process of updating the courseware used for the FY2013 Department-wide 

privacy awareness training. This annual update is done to ensure the training reflects the 

most current statutory and regulatory guidance related to privacy and will include additional 

guidance regarding the use of social media. In addition, OPTR is developing privacy training 

tailored for human resources professionals that will be presented to Treasury’sOffice of 

Human Resources (OHR). 

3. Quarterly Reporting Matrix

The Department uses a standard reporting framework and instructions tailored to its mission

and functions to address Section 803 reporting requirements. In developing the framework 

and instructions, the Department collaborated with the Office of Management and Budget 

(OMB) and the other agencies required to report under this section. 

The attached reporting matrix consolidates all Treasury privacy and civil liberties activities, 

including data on the reviews conducted, reference to the advisory guidance delivered, and 

information about written complaints received and processed.

3.1. Types of Potential Complaints

3.1.1. Privacy Complaint: A privacy complaint is a written allegation of harm or 

violation of personal or information privacy filed with the Department. This 

information may include: 

 Process and procedural issues, such as consent, collection, and appropriate notice; 

 Non-Privacy Act of 1974 issues, such as Terrorist Watchlist Redress processing

or identity theft mitigation; or 

 Privacy Act of 1974 issues.

3.1.2 Civil Liberties Complaint: A written allegation of harm or violation of the 

constitutional rights afforded individuals filed with the Department. Types of 

civil liberties complaints include, but are not limited to:
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 First Amendment (Freedom of speech, religion, assembly, and association);

 Fourth Amendment (Protection against unreasonable search and seizure); and

 Fifth Amendment or Fourteenth Amendment, § 1 (Due process and equal 

protection).

4. Reporting Categories

 4.1. Reviews: Reviews include Treasury privacy and civil liberties activities delineated by

controlling authorities, such as the Privacy Act of 1974, 5 U.S.C. § 552a; E-Government Act 

of 2002 (P.L. 107-347); Consolidated Appropriations Act of 2005 (P.L. 108-447); OMB

Circular A-130, Appendix 1; and OMB Memo M-07-16. Examples include:

 Privacy Threshold Analyses – review of an IT system’s use of data to determine 

whether a PIA is required;

 PIAs;

 OMB Memorandum 07-16 issues, including reviewing records to minimize the 

volume of PII necessary for the proper performance of an agency function, SSN

use reduction efforts, or initiatives related to combating identity theft;

 OMB Circular A-130 issues, including SORNs, routine use descriptions, Agency 

security contacts, recordkeeping and disposal policies, training practices, 

continued Privacy Act exemptions under 5 U.S.C §552a (j)(2), (k), and Computer 

Matching Programs;

 Persistent Tracking Technology features used on a website;

 Achievement of machine readability, which ensures that website users are 

automatically alerted about whether site privacy practices match their personal 

privacy preferences;

 Reviews under 5 CFR part 1320 (collection of information/Paperwork Reduction 

Act);

 Information Sharing Environment policies and system reviews; and 

 Reviews related to the OMB Circular A-11, Exhibit 300 process.

 4.2. Advice: Advice includes written policies, procedures, guidance, or interpretations of 

requirements for circumstances or business processes that respond to privacy or civil liberties 

issues or concerns. 

4.3. Response to Advice: Specific action taken in response to Treasury Advice. Examples 

of Responses to Advice include issuing a regulation, order, or directive; interpreting or 

otherwise issuing guidance as a result of Advice; reaching an agreement related to the 

Advice; and developing training programs or other procedures that enhance understanding of 

the issue that precipitated the request for Advice.

4.4. Disposition of Complaints: Treasury action in response to a privacy or civil liberties 

complaint. In response to a complaint, the Department will:

1. Take direct action (description in the summary report);
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2. Refer to another agency or entity that may be able to assist in addressing the 

complaint (referral agency and explanation in summary report); or

3. Determine that no action is required (explanation in summary report).

The Department will continue to submit quarterly reports in coordination with OMB. The 

next quarterly report is due March 31, 2013, and will cover the period of December 1, 2012,

through February 28, 2013. The data collection period for each report ends approximately 30 

days prior to the report deadline.
Department of the Treasury 

Quarterly Report on Privacy and Civil Liberties Activities 

under Section 803 of the 9/11 Commission Act of 2007

December 31, 2012

Reviews Advice and Response Complaints Dispositions

Type Number Type Number Response Type Number

Section 508 Internet/Intranet 

Website Scan

2

Reviewed draft PTA related to 

Internet metrics 1

Returned to 

Program 

Office & GC 

with 

comments. PRIVACY

Privacy Threshold 

Analyses/Privacy Impact 

Assessments

71/26

Completed PIA for bureau 

enterprise Incident Reporting 

System 1

Published 

PIA on 

bureau 

website

Allegation that 

bureau failed to 

provide a privacy 

notice on a form 1

This matter is 

currently under 

review

OMB Circular A-130

6

Develop SORN/PTA/PIA 

Procedures Guide 2

Conducting 

Internal 

Policy 

Discussions

Paperwork Reduction Act

1

SSN Elimination or Redaction 

on Bureau Forms

46

System of Records (SOR) 

Routine Use 3

System of Records Notice 

(SORN)/Compilations

2/1

CIVIL LIBERTIES 0