Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations 69865

Issued in Renton, Washington, on

November 8, 2000.

Donald L. Riggin,

Acting Manager, Transport Airplane

Directorate, Aircraft Certification Service.

[FR Doc. 00–29215 Filed 11–20–00; 8:45 am]

BILLING CODE 4910–13–U

DEPARTMENT OF HEALTH AND

HUMAN SERVICES

Food and Drug Administration

21 CFR Part 510

New Animal Drugs; Change of

Sponsor’s Address

AGENCY: Food and Drug Administration,

HHS.

ACTION: Final rule.

SUMMARY: The Food and Drug

Administration (FDA) is amending the

animal drug regulations to reflect a

change of sponsor’s address for Novartis

Animal Health US, Inc.

DATES: This rule is effective November

21, 2000.

FOR FURTHER INFORMATION CONTACT:

Norman J. Turner, Center for Veterinary

Medicine (HFV–102), Food and Drug

Administration, 7500 Standish Pl.,

Rockville, MD 20855, 301–827–0214.

SUPPLEMENTARY INFORMATION: Novartis

Animal Health US, Inc., P.O. Box 18300,

Greensboro, NC 27419–8300, has

informed FDA of a change of sponsor’s

address to 3200 Northline Ave., suite

300, Greensboro, NC 27408.

Accordingly, the agency is amending

the regulations in 21 CFR 510.600(c)(1)

and (c)(2) to reflect the change of

sponsor’s address.

This rule does not meet the definition

of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because

it is a rule of ‘‘particular applicability.’’

Therefore, it is not subject to the

congressional review requirements in 5

U.S.C. 801–808.

List of Subjects in 21 CFR Part 510

Administrative practice and

procedure, Animal drugs, Labeling,

Reporting and recordkeeping

requirements.

Therefore, under the Federal Food,

Drug, and Cosmetic Act and under

authority delegated to the Commissioner

of Food and Drugs and redelegated to

the Center for Veterinary Medicine, 21

CFR part 510 is amended as follows:

PART 510—NEW ANIMAL DRUGS

1. The authority citation for 21 CFR

part 510 continues to read as follows:

Authority: 21 U.S.C. 321, 331, 351, 352,

353, 360b, 371, 379e.

2. Section 510.600 is amended in the

table in paragraph (c)(1) by revising the

entry for ‘‘Novartis Animal Health US,

Inc.’’ and in the table in paragraph (c)(2)

by revising the entry for ‘‘058198’’ to

read as follows:

§ 510.600 Names, addresses, and drug

labeler codes of sponsors of approved

applications.

* * * * *

(c) * * *

(1) * * *

Firm name and address Drug labeler code

*******

Novartis Animal Health US, Inc., 3200 Northline Ave., suite 300,

Greensboro, NC 27408

058198

*******

(2) * * *

Drug labeler code Firm name and address

*******

058198 Novartis Animal Health US, Inc., 3200 Northline Ave., suite 300,

Greensboro, NC 27408

*******

Dated: November 6, 2000.

Claire M. Lathers,

Director, Office of New Animal Drug

Evaluation, Center for Veterinary Medicine.

[FR Doc. 00–29764 Filed 11–20–00; 8:45 am]

BILLING CODE 4160–01–F

DEPARTMENT OF THE TREASURY

31 CFR Part 1

Departmental Offices; Privacy Act of

1974; Implementation

AGENCY: Department of the Treasury.

ACTION: Final Rule.

SUMMARY: The Department of the

Treasury is amending its Privacy Act

exemption rules that were first

published on October 2, 1975, to

consolidate the regulations issued

pursuant to 5 U.S.C. 552a(j) and (k)

which exempt one or more systems of

records established on behalf of each

bureau by the Department.

EFFECTIVE DATE: November 21, 2000.

ADDRESSES: Inquiries may be addressed

to Department of the Treasury,

Disclosure Services, Washington, DC

22020.

FOR FURTHER INFORMATION CONTACT: Dale

Underwood, Deputy Assistant Director,

Disclosure Services, (202) 622–0930.

SUPPLEMENTARY INFORMATION: The

Privacy Act of 1974, as amended, 5

U.S.C. 552a, authorizes the head of the

agency to promulgate rules in

accordance with the Administrative

Procedure Act to exempt Privacy Act

systems of records from certain

provisions of the Privacy Act, if the

system of records contains records

which fall within 5 U.S.C. 552a(j) and/

or (k).

The Department is amending this part

to consolidate the regulations issued

69866 Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations

pursuant to 5 U.S.C. 552a(j)and (k)

which exempt one or more systems of

records established on behalf of each

bureau by the Department. The

amendment will revise the format of the

regulations; more clearly reflect the

organization of the Department; remove

redundant language; reduce the length

of the regulations; permit readers to use

the regulations in an easier manner;

change the system number and or title

to several systems of records, and

references to systems of records which

have been deleted are being removed.

The regulations were first published

at 40 FR 45692, October 2, 1975, and

amended at:

44 FR 7141, February 6, 1979;

44 FR 42189, July 19, 1979;

45 FR 13455, February 29, 1980;

48 FR 21945, May 16, 1983;

48 FR 48460, October 19, 1983;

52 FR 11990, April 14, 1987;

56 FR 12447, March 26, 1991;

59 FR 47538, September 16, 1994;

61 FR 387, January 5, 1996;

62 FR 19505, April 22, 1997;

62 FR 26939, May 16, 1997;

62 FR 58908, October 31, 1997;

62 FR 60782, November 13, 1997;

64 FR 62585, November 17,1999;

64 FR 62586, November 17,1999; and

65 FR 56791, September 20, 2000.

No new systems of records are being

exempted pursuant to this rule, nor is

an exemption being added to any of the

systems of records listed below.

The rule will update the regulations

by removing references to the following

systems of records which have been

deleted from the Department’s inventory

of systems of records:

(1) Comptroller of the Currency: CC

.010—Federal Bureau of Investigation

Report Card Index (published March 1,

1988, at 53 FR 6252);

(2) U.S. Customs Service: CS .037—

Cargo Security File (published April 17,

1992, at 57 FR 13900);

(3) U.S. Customs Service: CS .287—

Customs Automated Licensing

Information System (CALIS) (published

April 17, 1992, at 57 FR 13900);

(4) Internal Revenue Service: IRS

90.014—Management Files Maintained

by Operations Division and the Deputy

Chief Counsel Other than the Office of

Personnel Management’s Official

Personnel Files (published April 17,

1992, at 57 FR 13900);

(5) U.S. Mint: Mint .006—

Examination Reports of Coins

Forwarded to the Mint from the U.S.

Secret Service, (published May 11,

1994, at 59 FR 5206);

(6) U.S. Customs Service: CS .182—

Penalty Case File (published November

9, 1995, at 60 FR 56648);

(7) U.S. Customs Service: CS .140—

Lookout Notice (published March 1,

1998, at 53 FR 6252);

(8) U.S. Customs Service: CS .155—

Narcotics Suspect File (Published

March 1, 1998, at 53 FR 6252);

(9) Internal Revenue Service: IRS

34.018—Integrated Data Retrieval

System (IDRS) Security Files (Published

November 17, 1998, at 63 FR 64141);

(10) U.S. Customs Service: CS .014—

Advice Requests (Legal) (Pacific Region)

(published December 17, 1998, at 63 FR

69716); and

(11) U.S. Customs Service: CS .078—

Disclosure of Information File

(published December 3, 1999, at 64 FR

67966).

The Department published final rules

exempting Treasury/IRS 34.037—IRS

Audit Trail and Security Records

System on September 20, 2000, at 65 FR

56791, Treasury/IRS 34.020—IRS Audit

Trail Lead Analysis System on

November 17, 1999, at 64 FR 62586, and

Treasury/Customs .213—Seized Asset

and Case Tracking System (SEACATS)

on November 17, 1999, at 64 FR 62585.

The amendments are included as part of

the revision.

This rule makes changes to the title of

the following systems of records

identified in the rule: (1) Departmental

Offices—DO .144 from ‘‘Treasury

Interagency Automated Litigation

System (TRIALS)’’ to ‘‘General Counsel

Litigation Referral and Reporting

System,’’ (2) Bureau of Engraving and

Printing—BEP .021 from ‘‘Security

Investigative Files’’ to ‘‘Investigative

Files.’’

The rule moves the exemption

regulation pertaining to ‘‘Bank Secrecy

Act Reports File—Treasury/Customs

.067,’’ from under the heading ‘‘United

States Customs Service’’ and inserts it

under the heading ‘‘Departmental

Offices.’’ The system of records

associated with this activity, ‘‘Bank

Secrecy Act Reports System—Treasury/

DO .213,’’ was transferred to the

Financial Crimes Enforcement Network

(FinCEN) on January 10, 1997 (62 FR

1489). The exemption regulations for

the above system of records is being

moved within this section to reflect that

the responsibility for the system has

been moved within the Department.

The IRS Restructuring and Reform Act

of 1998 included specific provisions

impacting the Internal Revenue Service

by transferring the responsibility to

conduct personnel security

investigations formerly performed by

Office of the Chief Inspector to the

Assistant Commissioner (Support

Services). A notice was published on

June 15, 1999, at 64 FR 32096 to amend

Treasury/IRS 60.008—Security,

Background, and Character Investigation

Files, Inspection, and Treasury/IRS

60.011—Internal Security Management

Information System (ISMIS) by

renumbering and renaming them to

‘‘Treasury/IRS 34.021—Personnel

Security Investigations, National

Background Investigations Center,’’ and

‘‘Treasury/IRS 34.022—National

Background Investigations Center

Management Information System

(NBICMIS).’’ Exemptions have been

claimed under 5 U.S.C. 552a(k)(5), and

5 U.S.C. 552a(j)(2) respectively. This

rule will make the above changes under

the appropriate exemption.

These regulations are being published

as a final rule because the amendment

does not impose any requirements on

any member of the public. This

amendment is the most efficient means

for the Treasury Department to

implement its internal requirements for

complying with the Privacy Act.

Accordingly, pursuant to the

administrative procedure provisions in

5 U.S.C. 553, the Department of the

Treasury finds good cause that prior

notice and other public procedure with

respect to this rule are impracticable

and unnecessary and finds good cause

for making this rule effective on the date

of publication in the Federal Register.

In accordance with Executive Order

12866, it has been determined that this

rule is not a ‘‘significant regulatory

action’’ and, therefore, does not require

a Regulatory Impact Analysis.

The regulation will not have a

substantial direct effect on the States, on

the relationship between the national

Government and the States, or on the

distribution of power and

responsibilities among the various

levels of government. Therefore, it is

determined that this final rule does not

have federalism implications under

Executive Order 13132.

Because no notice of proposed

rulemaking is required, the provisions

of the Regulatory Flexibility Act (5

U.S.C. 601 et seq.) do not apply.

In accordance with the provisions of

the Paperwork Reduction Act of 1995

(44 U.S.C. 3501 et seq.), the Department

of the Treasury has determined that this

rule will not impose new recordkeeping, application, reporting, or other

types of information collection

requirements.

Dated: October 17, 2000.

W. Earl Wright, Jr.,

Chief Management and Administrative

Programs Officer.

List of Subjects in 31 CFR Part 1

Privacy.

Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations 69867

Part 1 of title 31 of the Code of

Federal Regulations is amended as

follows:

PART 1—[AMENDED]

1. The authority citation for part 1

continues to read as follows:

Authority: 5 U.S.C. 301 and 31 U.S.C. 321.

Subpart A also issued under 5 U.S.C. 552 as

amended. Subpart C also issued under 5

U.S.C. 552a.

2. Section 1.36 of subpart C is revised

to read as follows:

§ 1.36 Systems exempt in whole or in part

from provisions of 5 U.S.C. 552a and this

part.

(a) In General. In accordance with 5

U.S.C. 552a(j) and (k) and § 1.23(c), the

Department of the Treasury hereby

exempts the systems of records

identified below from the following

provisions of the Privacy Act for the

reasons indicated.

(b) Authority. These rules are

promulgated pursuant to the authority

vested in the Secretary of the Treasury

by 5 U.S.C. 552a(j) and (k) and pursuant

to the authority of § 123(c).

(c) General exemptions under 5 U.S.C.

552a(j)(2). (1) Under 5 U.S.C. 552a(j)(2),

the head of any agency may promulgate

rules to exempt any system of records

within the agency from certain

provisions of the Privacy Act of 1974 if

the agency or component thereof that

maintains the system performs as its

principal function any activities

pertaining to the enforcement of

criminal laws. Certain components of

the Department of the Treasury have as

their principal function activities

pertaining to the enforcement of

criminal laws and protective service

activities which are necessary to assure

the safety of individuals protected by

the Department pursuant to the

provisions of 18 U.S.C. 3056. This

paragraph applies to the following

systems of records maintained by the

Department of the Treasury:

(i) Departmental Offices:

Number System name

DO .190 ............ General Allegations and Investigative Records.

DO .200 ............ FinCEN Database.

DO .212 ............ Bank Secrecy Act Reports

System.

(ii) Bureau of Alcohol, Tobacco and

Firearms:

Number System name

ATF .003 .......... Criminal Investigation Report System.

(iii) Comptroller of the Currency:

Number System name

CC .013 ............ Enforcement and Compliance Information.

CC .500 ............ Chief Counsel’s Management Information System.

(iv) U.S. Customs Service:

Number System name

CS .053 ............ Confidential Source Identification File.

CS .127 ............ Internal Affairs Records

System.

CS .129 ............ Investigations Record System.

CS .171 ............ Pacific Basin Reporting

Network.

CS .244 ............ Treasury Enforcement

Communications System

(TECS).

CS .270 ............ Background-Record File of

Non-Customs Employees.

CS .285 ............ Automated Index to Central

Enforcement Files.

(v) Bureau of Engraving and Printing.

(vi) Federal Law Enforcement

Training Center.

(vii) Financial Management Service.

(viii) Internal Revenue Service:

Number System name

IRS 34.022 ....... National Background Investigations Center Management Information System

(NBICMIS).

IRS 46.002 ....... Case Management and

Time Reporting System,

Criminal Investigation Division.

IRS 46.003 ....... Confidential Informants,

Criminal Investigation Division.

IRS 46.005 ....... Electronic Surveillance

Files, Criminal Investigation Division.

IRS 46.009 ....... Centralized Evaluation and

Processing of Information Items (CEPIIs),

Criminal Investigation Division.

IRS 46.015 ....... Relocated Witnesses,

Criminal Investigation Division.

IRS 46.016 ....... Secret Service Details,

Criminal Investigation Division.

IRS 46.022 ....... Treasury Enforcement

Communications System

(TECS).

IRS 46.050 ....... Automated Information

Analysis System.

IRS 60.001 ....... Assault and Threat Investigation Files.

IRS 60.002 ....... Bribery Investigation Files.

IRS 60.004 ....... Disclosure Investigation

Files.

IRS 90.001 ....... Chief Counsel Criminal Tax

Case Files.

(ix) U.S. Mint

(x) Bureau of the Public Debt

(xi) U.S. Secret Service:

Number System name

USSS .003 ....... Criminal Investigation Information System.

USSS .006 ....... Non-Criminal Investigation

Information System.

USSS .007 ....... Protection Information System.

(xii) Office of Thrift Supervision:

Number System name

OTS .001 .......... Confidential Individual Information System.

OTS .004 .......... Criminal Referral Database

(2) The Department hereby exempts

the systems of records listed in

paragraphs (c)(1)(i) through (xii) of this

section from the following provisions of

5 U.S.C. 552a, pursuant to 5 U.S.C.

552a(j)(2): 5 U.S.C. 552a(c)(3) and (4), 5

U.S.C. 552a(d)(1), (2), (3), (4), 5 U.S.C.

552a(e)(1), (2) and (3), 5 U.S.C.

552a(e)(4)(G), (H), and (I), 5 U.S.C.

552a(e)(5) and (8), 5 U.S.C. 552a(f), and

5 U.S.C. 552a(g).

(d) Reasons for exemptions under 5

U.S.C. 552a(j)(2). (1) 5 U.S.C.

552a(e)(4)(G) and (f)(l) enable

individuals to inquire whether a system

of records contains records pertaining to

them. Application of these provisions to

the systems of records would give

individuals an opportunity to learn

whether they have been identified as

suspects or subjects of investigation. As

further described in the following

paragraph, access to such knowledge

would impair the Department’s ability

to carry out its mission, since

individuals could:

(i) Take steps to avoid detection;

(ii) Inform associates that an

investigation is in progress;

(iii) Learn the nature of the

investigation;

(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

69868 Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations

would provide individuals with

information concerning the nature of

any current investigations and would

enable them to avoid detection or

apprehension by:

(A) Discovering the facts that would

form the basis for their arrest;

(B) Enabling them to destroy or alter

evidence of criminal conduct that

would form the basis for their arrest;

and

(C) Using knowledge that criminal

investigators had reason to believe that

a crime was about to be committed, to

delay the commission of the crime or

commit it at a location that might not be

under surveillance.

(ii) Permitting access to either ongoing or closed investigative files would

also reveal investigative techniques and

procedures, the knowledge of which

could enable individuals planning

crimes to structure their operations so as

to avoid detection or apprehension.

(iii) Permitting access to investigative

files and records could, moreover,

disclose the identity of confidential

sources and informers and the nature of

the information supplied and thereby

endanger the physical safety of those

sources by exposing them to possible

reprisals for having provided the

information. Confidential sources and

informers might refuse to provide

criminal investigators with valuable

information unless they believed that

their identities would not be revealed

through disclosure of their names or the

nature of the information they supplied.

Loss of access to such sources would

seriously impair the Department’s

ability to carry out its mandate.

(iv) Furthermore, providing access to

records contained in the systems of

records could reveal the identities of

undercover law enforcement officers

who compiled information regarding the

individual’s criminal activities and

thereby endanger the physical safety of

those undercover officers or their

families by exposing them to possible

reprisals.

(v) By compromising the law

enforcement value of the systems of

records for the reasons outlined in

paragraphs (d)(2)(i) through (iv) of this

section, permitting access in keeping

with these provisions would discourage

other law enforcement and regulatory

agencies, foreign and domestic, from

freely sharing information with the

Department and thus would restrict the

Department’s access to information

necessary to accomplish its mission

most effectively.

(vi) Limitation on access to the

material contained in the protective

intelligence files is considered

necessary to the preservation of the

utility of intelligence files and in

safeguarding those persons the

Department is authorized to protect.

Access to the protective intelligence

files could adversely affect the quality of

information available to the Department;

compromise confidential sources,

hinder the ability of the Department to

keep track of persons of protective

interest; and interfere with the

Department’s protective intelligence

activities by individuals gaining access

to protective intelligence files.

(vii) Many of the persons on whom

records are maintained in the protective

intelligence suffer from mental

aberrations. Knowledge of their

condition and progress comes from

authorities, family members and

witnesses. Many times this information

comes to the Department as a result of

two party conversations where it would

be impossible to hide the identity of

informants. Sources of information must

be developed, questions asked and

answers recorded. Trust must be

extended and guarantees of

confidentiality and anonymity must be

maintained. Allowing access to

information of this kind to individuals

who are the subjects of protective

interest may well lead to violence

directed against an informant by a

mentally disturbed individual.

(viii) Finally, the dissemination of

certain information that the Department

may maintain in the systems of records

is restricted by law.

(3) 5 U.S.C. 552a(d)(2), (3) and (4),

(e)(4)(H), and (f)(4) permit an individual

to request amendment of a record

pertaining to him or her and require the

agency either to amend the record, or to

note the disputed portion of the record

and to provide a copy of the

individual’s statement of disagreement

with the agency’s refusal to amend a

record to persons or other agencies to

whom the record is thereafter disclosed.

Since these provisions depend on the

individual’s having access to his or her

records, and since these rules exempt

the systems of records from the

provisions of 5 U.S.C. 552a relating to

access to records, for the reasons set out

in paragraph (d)(2) of this section, these

provisions should not apply to the

systems of records.

(4) 5 U.S.C. 552a(c)(3) requires an

agency to make accountings of

disclosures of a record available to the

individual named in the record upon

his or her request. The accountings must

state the date, nature, and purpose of

each disclosure of the record and the

name and address of the recipient.

(i) The application of this provision

would impair the ability of law

enforcement agencies outside the

Department of the Treasury to make

effective use of information provided by

the Department. Making accountings of

disclosures available to the subjects of

an investigation would alert them to the

fact that another agency is conducting

an investigation into their criminal

activities and could reveal the

geographic location of the other

agency’s investigation, the nature and

purpose of that investigation, and the

dates on which that investigation was

active. Violators possessing such

knowledge would be able to take

measures to avoid detection or

apprehension by altering their

operations, by transferring their

criminal activities to other geographical

areas, or by destroying or concealing

evidence that would form the basis for

arrest. In the case of a delinquent

account, such release might enable the

subject of the investigation to dissipate

assets before levy.

(ii) Moreover, providing accountings

to the subjects of investigations would

alert them to the fact that the

Department has information regarding

their criminal activities and could

inform them of the general nature of that

information. Access to such information

could reveal the operation of the

Department’s information-gathering and

analysis systems and permit violators to

take steps to avoid detection or

apprehension.

(iii) The release of such information to

the subject of a protective intelligence

file would provide significant

information concerning the nature of an

investigation, and could result in

impeding or compromising the efforts of

Department personnel to detect persons

suspected of criminal activities or to

collect information necessary for the

proper evaluation of persons considered

to be of protective interest.

(5) 5 U.S.C. 552(c)(4) requires an

agency to inform any person or other

agency about any correction or notation

of dispute that the agency made in

accordance with 5 U.S.C. 552a(d) to any

record that the agency disclosed to the

person or agency if an accounting of the

disclosure was made. Since this

provision depends on an individual’s

having access to and an opportunity to

request amendment of records

pertaining to him or her, and since these

rules exempt the systems of records

from the provisions of 5 U.S.C. 552a

relating to access to and amendment of

records, for the reasons set out in

paragraph (f)(3) of this section, this

provision should not apply to the

systems of records.

(6) 5 U.S.C. 552a(e)(4)(I) requires an

agency to publish a general notice

listing the categories of sources for

Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations 69869

information contained in a system of

records. The application of this

provision to the systems of records

could compromise the Department’s

ability to provide useful information to

law enforcement agencies, since

revealing sources for the information

could:

(i) Disclose investigative techniques

and procedures;

(ii) Result in threats or reprisals

against informers by the subjects of

investigations; and

(iii) Cause informers to refuse to give

full information to criminal

investigators for fear of having their

identities as sources disclosed.

(7) 5 U.S.C. 552a(e)(1) requires an

agency to maintain in its records only

such information about an individual as

is relevant and necessary to accomplish

a purpose of the agency required to be

accomplished by statute or executive

order. The term ‘‘maintain,’’ as defined

in 5 U.S.C. 552a(a)(3), includes

‘‘collect’’ and ‘‘disseminate.’’ The

application of this provision to the

systems of records could impair the

Department’s ability to collect and

disseminate valuable law enforcement

information.

(i) At the time that the Department

collects information, it often lacks

sufficient time to determine whether the

information is relevant and necessary to

accomplish a Treasury Department

purpose.

(ii) In many cases, especially in the

early stages of investigation, it may be

impossible to immediately determine

whether information collected is

relevant and necessary, and information

that initially appears irrelevant and

unnecessary often may, upon further

evaluation or upon collation with

information developed subsequently,

prove particularly relevant to a law

enforcement program.

(iii) Compliance with the records

maintenance criteria listed in the

foregoing provision would require the

periodic up-dating of the Department’s

protective intelligence files to insure

that the records maintained in the

system remain timely and complete.

(iv) Not all violations of law

discovered by the Department fall

within the investigative jurisdiction of

the Department of the Treasury. To

promote effective law enforcement, the

Department will have to disclose such

violations to other law enforcement

agencies, including State, local and

foreign agencies, that have jurisdiction

over the offenses to which the

information relates. Otherwise, the

Department might be placed in the

position of having to ignore information

relating to violations of law not within

the jurisdiction of the Department of the

Treasury when that information comes

to the Department’s attention during the

collation and analysis of information in

its records.

(8) 5 U.S.C. 552a(e)(2) requires an

agency to collect information to the

greatest extent practicable directly from

the subject individual when the

information may result in adverse

determinations about an individual’s

rights, benefits, and privileges under

Federal programs. The application of

this provision to the systems of records

would impair the Department’s ability

to collate, analyze, and disseminate

investigative, intelligence, and

enforcement information.

(i) Most information collected about

an individual under criminal

investigation is obtained from third

parties, such as witnesses and

informants. It is usually not feasible to

rely upon the subject of the

investigation as a source for information

regarding his criminal activities.

(ii) An attempt to obtain information

from the subject of a criminal

investigation will often alert that

individual to the existence of an

investigation, thereby affording the

individual an opportunity to attempt to

conceal his criminal activities so as to

avoid apprehension.

(iii) In certain instances, the subject of

a criminal investigation is not required

to supply information to criminal

investigators as a matter of legal duty.

(iv) During criminal investigations it

is often a matter of sound investigative

procedure to obtain information from a

variety of sources to verify information

already obtained.

(9) 5 U.S.C. 552a(e)(3) requires an

agency to inform each individual whom

it asks to supply information, on the

form that it uses to collect the

information or on a separate form that

the individual can retain, of the

agency’s authority for soliciting the

information; whether disclosure of

information is voluntary or mandatory;

the principal purposes for which the

agency will use the information; the

routine uses that may be made of the

information; and the effects on the

individual of not providing all or part of

the information. The systems of records

should be exempted from this provision

to avoid impairing the Department’s

ability to collect and collate

investigative, intelligence, and

enforcement data.

(i) Confidential sources or undercover

law enforcement officers often obtain

information under circumstances in

which it is necessary to keep the true

purpose of their actions secret so as not

to let the subject of the investigation or

his or her associates know that a

criminal investigation is in progress.

(ii) If it became known that the

undercover officer was assisting in a

criminal investigation, that officer’s

physical safety could be endangered

through reprisal, and that officer may

not be able to continue working on the

investigation.

(iii) Individuals often feel inhibited in

talking to a person representing a

criminal law enforcement agency but

are willing to talk to a confidential

source or undercover officer whom they

believe not to be involved in law

enforcement activities.

(iv) Providing a confidential source of

information with written evidence that

he or she was a source, as required by

this provision, could increase the

likelihood that the source of information

would be subject to retaliation by the

subject of the investigation.

(v) Individuals may be contacted

during preliminary information

gathering, surveys, or compliance

projects concerning the administration

of the internal revenue laws before any

individual is identified as the subject of

an investigation. Informing the

individual of the matters required by

this provision would impede or

compromise subsequent investigations.

(vi) Finally, application of this

provision could result in an

unwarranted invasion of the personal

privacy of the subject of the criminal

investigation, particularly where further

investigation reveals that the subject

was not involved in any criminal

activity.

(10) 5 U.S.C. 552a(e)(5) requires an

agency to maintain all records it uses in

making any determination about any

individual with such accuracy,

relevance, timeliness, and completeness

as is reasonably necessary to assure

fairness to the individual in the

determination.

(i) Since 5 U.S.C. 552a(a)(3) defines

‘‘maintain’’ to include ‘‘collect’’ and

‘‘disseminate,’’ application of this

provision to the systems of records

would hinder the initial collection of

any information that could not, at the

moment of collection, be determined to

be accurate, relevant, timely, and

complete. Similarly, application of this

provision would seriously restrict the

Department’s ability to disseminate

information pertaining to a possible

violation of law to law enforcement and

regulatory agencies. In collecting

information during a criminal

investigation, it is often impossible or

unfeasible to determine accuracy,

relevance, timeliness, or completeness

prior to collection of the information. In

disseminating information to law

69870 Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations

enforcement and regulatory agencies, it

is often impossible to determine

accuracy, relevance, timeliness, or

completeness prior to dissemination,

because the Department may not have

the expertise with which to make such

determinations.

(ii) Information that may initially

appear inaccurate, irrelevant, untimely,

or incomplete may, when collated and

analyzed with other available

information, become more pertinent as

an investigation progresses. In addition,

application of this provision could

seriously impede criminal investigators

and intelligence analysts in the exercise

of their judgment in reporting results

obtained during criminal investigations.

(iii) Compliance with the records

maintenance criteria listed in the

foregoing provision would require the

periodic up-dating of the Department’s

protective intelligence files to insure

that the records maintained in the

system remain timely and complete.

(11) 5 U.S.C. 552a(e)(8) requires an

agency to make reasonable efforts to

serve notice on an individual when the

agency makes any record on the

individual available to any person

under compulsory legal process, when

such process becomes a matter of public

record. The systems of records should

be exempted from this provision to

avoid revealing investigative techniques

and procedures outlined in those

records and to prevent revelation of the

existence of an ongoing investigation

where there is need to keep the

existence of the investigation secret.

(12) 5 U.S.C. 552a(g) provides for civil

remedies to an individual when an

agency wrongfully refuses to amend a

record or to review a request for

amendment, when an agency

wrongfully refuses to grant access to a

record, when an agency fails to maintain

accurate, relevant, timely, and complete

records which are used to make a

determination adverse to the individual,

and when an agency fails to comply

with any other provision of 5 U.S.C.

552a so as to adversely affect the

individual. The systems of records

should be exempted from this provision

to the extent that the civil remedies may

relate to provisions of 5 U.S.C. 552a

from which these rules exempt the

systems of records, since there should

be no civil remedies for failure to

comply with provisions from which the

Department is exempted. Exemption

from this provision will also protect the

Department from baseless civil court

actions that might hamper its ability to

collate, analyze, and disseminate

investigative, intelligence, and law

enforcement data.

(e) Specific exemptions under 5

U.S.C. 552a(k)(1). (1) Under 5 U.S.C.

552a(k)(1), the head of any agency may

promulgate rules to exempt any system

of records within the agency from

certain provisions of the Privacy Act of

1974 to the extent that the system

contains information subject to the

provisions of 5 U.S.C. 552(b)(1). This

paragraph applies to the following

system of records maintained by the

Department of the Treasury:

Departmental Offices:

Number System name

DO .200 ............ FinCEN Database.

(2) The Department of the Treasury

hereby exempts the system of records

listed in paragraph (e)(1) of this section

from the following provisions of 5

U.S.C. 552a, pursuant to 5 U.S.C.

552a(k)(1): 5 U.S.C. 552a(c)(3), 5 U.S.C.

552a(d)(1), (2), (3) and (4), 5 U.S.C.

552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H),

and (I), and 5 U.S.C. 552a(f).

(f) Reasons for exemptions under 5

U.S.C. 552a(k)(1). The reason for

invoking the exemption is to protect

material required to be kept secret in the

interest of national defense or foreign

policy pursuant to Executive Order

12958 (or successor or prior Executive

Order).

(g) Specific exemptions under 5

U.S.C. 552a(k)(2). (1) Under 5 U.S.C.

552a(k)(2), the head of any agency may

promulgate rules to exempt any system

of records within the agency from

certain provisions of the Privacy Act of

1974 if the system is investigatory

material compiled for law enforcement

purposes and for the purposes of

assuring the safety of individuals

protected by the Department pursuant to

the provisions of 18 U.S.C. 3056. This

paragraph applies to the following

systems of records maintained by the

Department of the Treasury:

(i) Departmental Offices:

Number System name

DO .114 ............ Foreign Assets Control Enforcement Records.

DO .144 ............ General Counsel Litigation

Referral and Reporting

System.

DO .190 ............ General Allegations and Investigative File.

DO .200 ............ FinCEN Database.

DO .213 ............ Bank Secrecy Act Reports

System.

(ii) Bureau of Alcohol, Tobacco and

Firearms:

Number System name

ATF .006 .......... Internal Security Record

System.

ATF .008 .......... Regulatory Enforcement

Record System.

ATF .009 .......... Technical and Scientific

Services Record System.

(iii) Comptroller of the Currency

Number System name

CC .013 ............ Enforcement and Compliance Information.

CC .500 ............ Chief Counsel’s Management Information System.

(iv) U.S. Customs Service:

Number System name

CS .021 ............ Arrest/Seizure/Search Report and Notice of Penalty File.

CS .022 ............ Attorney Case File.

CS .041 ............ Cartmen or Lightermen.

CS .043 ............ Case Files (Associate

Chief Counsel—Gulf

Custom Management

Center).

CS .046 ............ Claims Case File.

CS .053 ............ Confidential Source Identification File.

CS .057 ............ Container Station Operator

Files.

CS .058 ............ Cooperating Individual

Files.

CS .061 ............ Court Case File.

CS .069 ............ Customhouse Brokers File

(Chief Counsel).

CS .077 ............ Disciplinary Action, Grievances and Appeal Case

Files.

CS .098 ............ Fines, Penalties, and Forfeitures Records.

CS .099 ............ Fines, Penalties, and Forfeiture Files (Supplemental Petitions).

CS .100 ............ Fines, Penalties, and Forfeiture Records (Headquarters).

CS .122 ............ Information Received File.

CS .125 ............ Intelligence Log.

CS .127 ............ Internal Affairs Records

System.

CS .129 ............ Investigations Record System.

CS .133 ............ Justice Department Case

File.

CS .138 ............ Litigation Issue Files.

CS .159 ............ Notification of Personnel

Management Division

when an employee is

placed under investigation by the Office of Internal Affairs.

CS .171 ............ Pacific Basin Reporting

Network.

CS .186 ............ Personnel Search.

CS .190 ............ Personnel Case File.

CS .197 ............ Private Aircraft/Vessel Inspection Reporting System.

Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations 69871

Number System name

CS .206 ............ Regulatory Audits of Customhouse Brokers.

CS .212 ............ Search/Arrest/Seizure Report.

CS .214 ............ Seizure File.

CS .224 ............ Suspect Persons Index.

CS .232 ............ Tort Claims Act File.

CS .244 ............ Treasury Enforcement

Communications System

(TECS).

CS .258 ............ Violator’s Case Files.

CS .260 ............ Warehouse Proprietor

Files.

CS .270 ............ Background-Record File of

Non-Customs Employees.

CS .271 ............ Cargo Security Record

System.

CS .285 ............ Automated Index to Central

Investigative Files.

(v) Bureau of Engraving and Printing:

Number System name

BEP .021 .......... Investigative files.

(vi) Federal Law Enforcement

Training Center

(vii) Financial Management Service

(viii) Internal Revenue Service:

Number System name

IRS 00.002 ....... Correspondence File-Inquiries about Enforcement Activities.

IRS 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).

Number System name

IRS 37.005 ....... Present Suspensions and

Disbarments Resulting

from Administrative Proceeding.

IRS 37.007 ....... Inventory.

IRS 37.009 ....... Resigned Enrolled Agents

(action pursuant to 31

CFR Section 10.55(b)).

IRS 37.011 ....... Present Suspensions from

Practice Before the Internal Revenue Service.

IRS 42.001 ....... Examination Administrative

File.

IRS 42.008 ....... Audit Information Management System (AIMS).

IRS 42.012 ....... Combined Case Control

Files.

IRS 42.016 ....... Classification and Examination Selection Files.

IRS 42.017 ....... International Enforcement

Program Files.

IRS 42.021 ....... Compliance Programs and

Projects Files.

IRS 42.029 ....... Audit Underreporter Case

Files.

IRS 42.030 ....... Discriminant Function File

(DIF) Appeals Case

Files.

IRS 44.001 ....... Appeals Case Files.

IRS 46.050 ....... Automated Information

Analysis System.

IRS 48.001 ....... Disclosure Records.

IRS 49.001 ....... Collateral and Information

Requests System.

IRS 49.002 ....... Component Authority and

Index Card Mircofilm Retrieval System.

IRS 49.007 ....... Overseas Compliance

Projects System.

IRS 60.003 ....... Conduct Investigation Files.

IRS 60.006 ....... Enrollee Charge Investigation Files.

IRS 60.007 ....... Miscellaneous Information

File.

IRS 60.009 ....... Special Inquiry Investigation Files.

IRS 90.002 ....... Chief Counsel Disclosure

Litigation Division Case

Files.

IRS 90.004 ....... Chief Counsel General

Legal Services Case

Files.

IRS 90.005 ....... Chief Counsel General Litigation Case Files.

IRS 90.009 ....... Chief Counsel Field Case

Service Files.

IRS 90.010 ....... Digest Room Files Containing Briefs, Legal

Opinions, Digests of

Documents Generated

Internally or by the Department of Justice Relating to the Administration of the Revenue

Laws.

IRS 90.013 ....... Legal case files of the

Chief Counsel, Deputy

Chief Counsel, Associate

Chief Counsels (Enforcement Litigation) and

(technical).

IRS 90.016 ....... Counsel Automated Tracking System (CATS).

(ix) U.S. Mint:

Number System name

Mint .008 .......... Criminal investigation files

(formerly: Investigatory

Files on Theft of Mint

Property).

(x) Bureau of the Public Debt.

(xi) U.S. Secret Service:.

Number System name

USSS .003 ....... Criminal Investigation Information System.

USSS .006 ....... Non-Criminal Investigation

Information System.

USSS .007 ....... Protection Information System.

(xii) Office of Thrift Supervision:.

Number System name

OTS .001 .......... Confidential Individual Information System.

OTS .004 .......... Criminal Referral Database.

(2) The Department hereby exempts

the systems of records listed in

paragraphs (g)(1)(i) through (xii) of this

section from the following provisions of

5 U.S.C. 552a, pursuant to 5 U.S.C.

552a(k)(2): 5 U.S.C. 552a(c)(3), 5 U.S.C.

552a(d) (1), (2), (3), and (4), 5 U.S.C.

552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H),

and (I), and 5 U.S.C. 552a(f).

(h) Reasons for exemptions under 5

U.S.C. 552a(k)(2). (1) 5 U.S.C. 552a(c)(3)

requires an agency to make accountings

of disclosures of a record available to

the individual named in the record

upon his or her request. The

accountings must state the date, nature,

and purpose of each disclosure of the

record and the name and address of the

recipient.

(i) The application of this provision

would impair the ability of law

enforcement agencies outside the

Department of the Treasury to make

effective use of information provided by

the Department. Making accountings of

disclosures available to the subjects of

an investigation would alert them to the

fact that another agency is conducting

an investigation into their criminal

activities and could reveal the

geographic location of the other

agency’s investigation, the nature and

purpose of that investigation, and the

dates on which that investigation was

active. Violators possessing such

knowledge would be able to take

measures to avoid detection or

apprehension by altering their

operations, by transferring their

criminal activities to other geographical

areas, or by destroying or concealing

69872 Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations

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) Providing accountings to the

subjects of investigations would alert

them to the fact that the Department has

information regarding their criminal

activities and could inform them of the

general nature of that information.

Access to such information could reveal

the operation of the Department’s

information-gathering and analysis

systems and permit violators to take

steps to avoid detection or

apprehension.

(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and

(f)(2), (3) and (5) grant individuals

access to records pertaining to them.

The application of these provisions to

the systems of records would

compromise the Department’s ability to

provide useful tactical and strategic

information to law enforcement

agencies.

(i) Permitting access to records

contained in the systems of records

would provide individuals with

information concerning the nature of

any current investigations and would

enable them to avoid detection or

apprehension by:

(A) Discovering the facts that would

form the basis for their arrest;

(B) Enabling them to destroy or alter

evidence of criminal conduct that

would form the basis for their arrest,

and

(C) Using knowledge that criminal

investigators had reason to believe that

a crime was about to be committed, to

delay the commission of the crime or

commit it at a location that might not be

under surveillance.

(ii) Permitting access to either ongoing or closed investigative files would

also reveal investigative techniques and

procedures, the knowledge of which

could enable individuals planning

crimes to structure their operations so as

to avoid detection or apprehension.

(iii) Permitting access to investigative

files and records could, moreover,

disclose the identity of confidential

sources and informers and the nature of

the information supplied and thereby

endanger the physical safety of those

sources by exposing them to possible

reprisals for having provided the

information. Confidential sources and

informers might refuse to provide

criminal investigators with valuable

information unless they believed that

their identities would not be revealed

through disclosure of their names or the

nature of the information they supplied.

Loss of access to such sources would

seriously impair the Department’s

ability to carry out its mandate.

(iv) Furthermore, providing access to

records contained in the systems of

records could reveal the identities of

undercover law enforcement officers

who compiled information regarding the

individual’s criminal activities and

thereby endanger the physical safety of

those undercover officers or their

families by exposing them to possible

reprisals.

(v) By compromising the law

enforcement value of the systems of

records for the reasons outlined in

paragraphs (h)(2)(i) through (iv) of this

section, permitting access in keeping

with these provisions would discourage

other law enforcement and regulatory

agencies, foreign and domestic, from

freely sharing information with the

Department and thus would restrict the

Department’s access to information

necessary to accomplish its mission

most effectively.

(vi) Finally, the dissemination of

certain information that the Department

may maintain in the systems of records

is restricted by law.

(3) 5 U.S.C. 552a(d)(2), (3) and (4),

(e)(4)(H), and (f)(4) permit an individual

to request amendment of a record

pertaining to him or her and require the

agency either to amend the record, or to

note the disputed portion of the record

and to provide a copy of the

individual’s statement of disagreement

with the agency’s refusal to amend a

record to persons or other agencies to

whom the record is thereafter disclosed.

Since these provisions depend on the

individual’s having access to his or her

records, and since these rules exempt

the systems of records from the

provisions of 5 U.S.C. 552a relating to

access to records, for the reasons set out

in paragraph (h)(2) of this section, these

provisions should not apply to the

systems of records.

(4) 5 U.S.C. 552a(e)(1) requires an

agency to maintain in its records only

such information about an individual as

is relevant and necessary to accomplish

a purpose of the agency required to be

accomplished by statute or executive

order. The term ‘‘maintain,’’ as defined

in 5 U.S.C. 552a(a)(3), includes

‘‘collect’’ and ‘‘disseminate.’’ The

application of this provision to the

system of records could impair the

Department’s ability to collect and

disseminate valuable law enforcement

information.

(i) At the time that the Department

collects information, it often lacks

sufficient time to determine whether the

information is relevant and necessary to

accomplish a Department purpose.

(ii) In many cases, especially in the

early stages of investigation, it may be

impossible immediately to determine

whether information collected is

relevant and necessary, and information

that initially appears irrelevant and

unnecessary often may, upon further

evaluation or upon collation with

information developed subsequently,

prove particularly relevant to a law

enforcement program.

(iii) Not all violations of law

discovered by the Department analysts

fall within the investigative jurisdiction

of the Department of the Treasury. To

promote effective law enforcement, the

Department will have to disclose such

violations to other law enforcement

agencies, including State, local and

foreign agencies that have jurisdiction

over the offenses to which the

information relates. Otherwise, the

Department might be placed in the

position of having to ignore information

relating to violations of law not within

the jurisdiction of the Department of the

Treasury when that information comes

to the Department’s attention during the

collation and analysis of information in

its records.

(5) U.S.C. 552a (e)(4)(G) and (f)(1)

enable individuals to inquire whether a

system of records contains records

pertaining to them. Application of these

provisions to the systems of records

would allow individuals to learn

whether they have been identified as

suspects or subjects of investigation. As

further described in the following

paragraph, access to such knowledge

would impair the Department’s ability

to carry out its mission, since

individuals could:

(i) Take steps to avoid detection;

(ii) Inform associates that an

investigation is in progress;

(iii) Learn the nature of the

investigation;

(iv) Learn whether they are only

suspects or identified as law violators;

(v) Begin, continue, or resume illegal

conduct upon learning that they are not

identified in the system of records; or

(vi) Destroy evidence needed to prove

the violation.

(6) 5 U.S.C. 552a(e)(4)(I) requires an

agency to publish a general notice

listing the categories of sources for

information contained in a system of

records. The application of this

provision to the systems of records

could compromise the Department’s

ability to provide useful information to

law enforcement agencies, since

revealing sources for the information

could:

(i) Disclose investigative techniques

and procedures;

Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations 69873

(ii) Result in threats or reprisals

against informers by the subjects of

investigations; and

(iii) Cause informers to refuse to give

full information to criminal

investigators for fear of having their

identities as sources disclosed.

(i) Specific exemptions under 5 U.S.C.

552a(k)(3). (1) The head of any agency

may promulgate rules to exempt any

system of records within the agency

from certain provisions of the Privacy

Act of 1974 if it is maintained in

connection with providing protective

intelligence to the President of the

United States or other individuals

pursuant to section 3056 of Title 18.

This paragraph applies to the following

system of records maintained by the

Department which contains material

relating to criminal investigations

concerned with the enforcement of

criminal statutes involving the security

of persons and property. Further, this

system contains records described in 5

U.S.C. 552a(k) including, but not

limited to, classified material and

investigatory material compiled for law

enforcement purposes, for which

exemption is claimed under 5 U.S.C.

552a(k)(3):

U.S. Secret Service:

Number System name

USSS .007 ....... Protection Information System.

(2) The Department hereby exempts

the system of records listed in (i)(1) of

this section from the following

provisions of 5 U.S.C. 552a, pursuant to

5 U.S.C. 552a(k)(3): 5 U.S.C. 552a(c)(3),

5 U.S.C. 552a(d)(1), (2), (3),and (4), 5

U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G),

(H), and (I), and 5 U.S.C. 552a(f).

(j) Reasons for exemptions under 5

U.S.C. 552a(k)(3). (1) 5 U.S.C. 552a(c)(3)

requires an agency to make accountings

of disclosures of a record available to

the individual named in the record

upon his or her request. The

accountings must state the date, nature,

and purpose of each disclosure of the

record and the name and address of the

recipient.

(i) The application of this provision

would impair the ability of law

enforcement agencies outside the

Department of the Treasury to make

effective use of information provided by

the Department. Making accountings of

disclosures available to the subjects of

an investigation would alert them to the

fact that another agency is conducting

an investigation into their criminal

activities and could reveal the

geographic location of the other

agency’s investigation, the nature and

purpose of that investigation, and the

dates on which the investigation was

active. Violators possessing such

knowledge would be able to take

measures to avoid detection or

apprehension by altering their

operations, by transferring their

criminal activities to other geographical

areas, or by destroying or concealing

evidence that would form the basis for

arrest.

(ii) Providing accountings to the

subjects of investigations would alert

them to the fact that the Department has

information regarding their criminal

activities and could inform them of the

general nature of that information.

Access to such information could reveal

the operation of the Department’s

information-gathering and analysis

systems and permit violators to take

steps to avoid detection or

apprehension.

(iii) The release of such information to

the subject of a protective intelligence

file would provide significant

information concerning the nature and

scope of an investigation, and could

result in impeding or compromising the

efforts of Department personnel to

detect persons suspected of criminal

activities or to collect information

necessary for the proper evaluation of

persons considered to be of protective

interest.

(2) 5 U.S.C. 552a(d)(1), (e)(4)(H) and

(f)(2), (3) and (5) grant individuals

access to records pertaining to them.

The application of these provisions to

the systems of records would

compromise the Department’s ability to

provide useful tactical and strategic

information to law enforcement

agencies.

(i) Permitting access to records

contained in the systems of records

would provide individuals with

information concerning the nature of

any current investigations and would

enable them to avoid detection or

apprehension by:

(A) Discovering the facts that would

form the basis for their arrest;

(B) Enabling them to destroy or alter

evidence of criminal conduct that

would form the basis for their arrest,

and

(C) Using knowledge that criminal

investigators had reason to believe that

a crime was about to be committed, to

delay the commission of the crime or

commit it at a location that might not be

under surveillance.

(ii) Permitting access to either ongoing or closed investigative files would

also reveal investigative techniques and

procedures, the knowledge of which

could enable individuals planning

crimes to structure their operations so as

to avoid detection or apprehension.

(iii) Permitting access to investigative

files and records could, moreover,

disclose the identity of confidential

sources, and informers and the nature of

the information supplied and thereby

endanger the physical safety of those

sources by exposing them to possible

reprisals for having provided the

information. Confidential sources and

informers might refuse to provide

criminal investigators with valuable

information unless they believed that

their identities would not be revealed

through disclosure of their names or the

nature of the information they supplied.

Loss of access to such sources would

seriously impair the Department’s

ability to carry out its mandate.

(iv) Furthermore, providing access to

records contained in the systems of

records could reveal the identities of

undercover law enforcement officers

who compiled information regarding the

individual’s criminal activities and

thereby endanger the physical safety of

those undercover officers or their

families by exposing them to possible

reprisals.

(v) By compromising the law

enforcement value of the systems of

records for the reasons outlined in

paragraphs (j)(2)(i) through (iv) of this

section, permitting access in keeping

with these provisions would discourage

other law enforcement and regulatory

agencies, foreign and domestic, from

freely sharing information with the

Department and thus would restrict the

Department’s access to information

necessary to accomplish its mission

most effectively.

(vi) Limitation on access to the

materials contained in the protective

intelligence files is considered

necessary to the preservation of the

utility of intelligence files and in

safeguarding those persons the

Department is authorized to protect.

Access to the protective intelligence

files could adversely affect the quality of

information available to the Department;

compromise confidential sources;

hinder the ability of the Department to

keep track of persons of protective

interest; and interfere with the

Department’s protective intelligence

activities by individuals gaining access

to protective intelligence files.

(vii) Many of the persons on whom

records are maintained in the protective

intelligence files suffer from mental

aberrations. Knowledge of their

condition and progress comes from

authorities, family members and

witnesses. Many times this information

comes to the Department as a result of

two-party conversations where it would

69874 Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations

be impossible to hide the identity of

informants. Sources of information must

be developed, questions asked and

answers recorded. Trust must be

extended and guarantees of

confidentiality and anonymity must be

maintained. Allowing access of

information of this kind to individuals

who are the subjects of protective

interest may well lead to violence

directed against an informant by a

mentally disturbed individual.

(viii) Finally, the dissemination of

certain information that the Department

may maintain in the systems of records

is restricted by law.

(3) 5 U.S.C. 552a(d)(2), (3) and (4),

(e)(4)(H), and (f)(4) permit an individual

to request amendment of a record

pertaining to him or her and require the

agency either to amend the record, or to

note the disputed portion of the record

and to provide a copy of the

individual’s statement of disagreement

with the agency’s refusal to amend a

record to persons or other agencies to

whom the record is thereafter disclosed.

Since these provisions depend on the

individual’s having access to his or her

records, and since these rules exempt

the systems of records from the

provisions of 5 U.S.C. 552a relating to

access to records, for the reasons set out

in paragraph (j)(2) of this section, these

provisions should not apply to the

systems of records.

(4) 5 U.S.C. 552a(e)(1) requires an

agency to maintain in its records only

such information about an individual as

is relevant and necessary to accomplish

a purpose of the agency required to be

accomplished by statute or executive

order. The term ‘‘maintain,’’ as defined

in 5 U.S.C. 552a(a)(3), includes

‘‘collect’’ and ‘‘disseminate.’’ The

application of this provision to the

systems of records could impair the

Department’s ability to collect and

disseminate valuable law enforcement

information.

(i) At the time that the Department

collects information, it often lacks

sufficient time to determine whether the

information is relevant and necessary to

accomplish a Department purpose.

(ii) In many cases, especially in the

early stages of investigation, it may be

impossible immediately to determine

whether information collected is

relevant and necessary, and information

that initially appears irrelevant and

unnecessary often may, upon further

evaluation or upon collation with

information developed subsequently,

prove particularly relevant to a law

enforcement program.

(iii) Not all violations of law

discovered by the Department analysts

fall within the scope of the protective

intelligence jurisdiction of the

Department of the Treasury. To promote

effective law enforcement, the

Department will have to disclose such

violations to other law enforcement

agencies, including State, local and

foreign agencies, that have jurisdiction

over the offenses to which the

information relates. Otherwise, the

Department might be placed in the

position of having to ignore information

relating to violations of law not within

the jurisdiction of the Department of the

Treasury when that information comes

to the Department’s attention during the

collation and analysis of information in

its records.

(5) U.S.C. 552a (e)(4)(G) and (f)(1)

enable individuals to inquire whether a

system of records contains records

pertaining to them. Application of these

provisions to the systems of records

would allow individuals to learn

whether they have been identified as

suspects or subjects of investigation. As

further described in the following

paragraph, access to such knowledge

would impair the Department’s ability

to carry out its mission to safeguard

those persons the Department is

authorized to protect, since individuals

could:

(i) Take steps to avoid detection;

(ii) Inform associates that an

investigation is in progress;

(iii) Learn the nature of the

investigation;

(iv) Learn whether they are only

suspects or identified as law violators;

(v) Begin, continue, or resume illegal

conduct upon learning that they are not

identified in the system of records; or

(vi) Destroy evidence needed to prove

the violation.

(6) 5 U.S.C. 552a(e)(4)(I) requires an

agency to publish a general notice

listing the categories of sources for

information contained in a system of

records. The application of this

provision to the systems of records

could compromise the Department’s

ability to provide useful information to

law enforcement agencies, since

revealing sources for the information

could:

(i) Disclose investigative techniques

and procedures;

(ii) Result in threats or reprisals

against informers by the subject(s) of a

protective intelligence file; and

(iii) Cause informers to refuse to give

full information to criminal

investigators for fear of having their

identities as sources disclosed.

(k) Specific exemptions under 5

U.S.C. 552a(k)(4). (1) Under 5 U.S.C.

552a(k)(4), the head of any agency may

promulgate rules to exempt any system

of records within the agency from

certain provisions of the Privacy Act of

1974 if the system is required by statute

to be maintained and used solely as

statistical records. This paragraph

applies to the following system of

records maintained by the Department,

for which exemption is claimed under

5 U.S.C. 552a(k)(4):

Internal Revenue Service:

Number System name

IRS 70.001 ....... Statistics of Income-Individual Tax Returns.

(2) The Department hereby exempts

the system of records listed in paragraph

(k)(1) of this section from the following

provisions of 5 U.S.C. 552a, pursuant to

5 U.S.C. 552a(k)(4): 5 U.S.C. 552a(c)(3),

5 U.S.C. 552a(d)(1), (2), (3), and (4), 5

U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G),

(H), and (I), and 5 U.S.C. 552a(f).

(3) The system of records is

maintained under section 6108 of the

Internal Revenue Code, which provides

that ‘‘the Secretary or his delegate shall

prepare and publish annually statistics

reasonably available with respect to the

operation of the income tax laws,

including classifications of taxpayers

and of income, the amounts allowed as

deductions, exemptions, and credits,

and any other facts deemed pertinent

and valuable.’’

(l) Reasons for exemptions under 5

U.S.C. 552a(k)(4). The reason for

exempting the system of records is that

disclosure of statistical records

(including release of accounting for

disclosures) would in most instances be

of no benefit to a particular individual

since the records do not have a direct

effect on a given individual.

(m) Specific exemptions under 5

U.S.C. 552a(k)(5). (1) Under 5 U.S.C.

552a(k)(5), the head of any agency may

promulgate rules to exempt any system

of records within the agency from

certain provisions of the Privacy Act of

1974 if the system is investigatory

material compiled solely for the purpose

of determining suitability, eligibility,

and qualifications for Federal civilian

employment or access to classified

information, but only to the extent that

the disclosure of such material would

reveal the identity of a source who

furnished information to the

Government under an express promise

that the identity of the source would be

held in confidence, or, prior to

September 27, 1975, under an implied

promise that the identity of the source

would be held in confidence. Thus to

the extent that the records in this system

can be disclosed without revealing the

identity of a confidential source, they

are not within the scope of this

Federal Register / Vol. 65, No. 225 / Tuesday, November 21, 2000 / Rules and Regulations 69875

exemption and are subject to all the

requirements of the Privacy Act. This

paragraph applies to the following

systems of records maintained by the

Department or one of its bureaus:

(i) Departmental Offices:

Number System name

DO .004 ............ Personnel Security System.

(ii) Bureau of Alcohol, Tobacco and

Firearms:

Number System name

ATF .006 .......... Internal Security Record

System.

ATF .007 .......... Personnel Record System.

(iii) Comptroller of the Currency:

(iv) U.S. Customs Service:

Number System name

CS .127 ............ Internal Affairs Records.

(v) Bureau of Engraving and Printing:

Number System name

BEP .004 .......... Personnel Security Files

and Indices.

(vi) Federal Law Enforcement

Training Center

(vii) Financial Management Service

(viii) Internal Revenue Service:

Number System name

IRS 34.021 ....... Personnel Security Investigations, National Background Investigations

Center.

IRS 36.008 ....... Recruiting, Examining and

Placement Records.

IRS 90.003 ....... Chief Counsel General Administrative Systems.

IRS 90.011 ....... Attorney Recruiting Files.

(ix) U.S. Mint

(x) Bureau of the Public Debt

(xi) U.S. Secret Service

(xii) Office of Thrift Supervision

(2) The Department hereby exempts

the systems of records listed in

paragraphs (m)(1)(i) through (xii) of this

section from the following provisions of

5 U.S.C. 552a, pursuant to 5 U.S.C.

552a(k)(5): 5 U.S.C. 552a(c)(3), 5 U.S.C.

552a(d)(1), (2), (3), and (4), 5 U.S.C.

552a(e)(1), 5 U.S.C. 552a(e)(4)(G), (H),

and (I), and 5 U.S.C. 552a(f).

(n) Reasons for exemptions under 5

U.S.C. 552a(k)(5). (1) The sections of 5

U.S.C. 552a from which the systems of

records are exempt include in general

those providing for individuals’ access

to or amendment of records. When such

access or amendment would cause the

identity of a confidential source to be

revealed, it would impair the future

ability of the Department to compile

investigatory material for the purpose of

determining suitability, eligibility, or

qualifications for Federal civilian

employment, Federal contracts, or

access to classified information. In

addition, the systems shall be exempt

from 5 U.S.C. 552a(e)(1) which requires

that an agency maintain in its records

only such information about an

individual as is relevant and necessary

to accomplish a purpose of the agency

required to be accomplished by statute

or executive order. The Department

believes that to fulfill the requirements

of 5 U.S.C. 552a(e)(1) would unduly

restrict the agency in its information

gathering inasmuch as it is often not

until well after the investigation that it

is possible to determine the relevance

and necessity of particular information.

(2) If any investigatory material

contained in the above-named systems

becomes involved in criminal or civil

matters, exemptions of such material

under 5 U.S.C. 552a (j)(2) or (k)(2) is

hereby claimed.

(o) Exemption under 5 U.S.C.

552a(k)(6). (1) Under 5 U.S.C.

552a(k)(6), the head of any agency may

promulgate rules to exempt any system

of records that is testing or examination

material used solely to determine

individual qualifications for

appointment or promotion in the

Federal service the disclosure of which

would compromise the objectivity or

fairness of the testing or examination

process. This paragraph applies to the

following system of records maintained

by the Department, for which exemption

is claimed under 5 U.S.C. 552a(k)(6):

Internal Revenue Service:

Number System name

IRS 36.008 ....... Recruiting, Examining and

Placement Records.

(2) The Department hereby exempts

the system of records listed in paragraph

(o)(1) of this section from the following

provisions of 5 U.S.C. 552a, pursuant to

5 U.S.C. 552a(k)(6): 5 U.S.C. 552a(c)(3),

5 U.S.C. 552a(d)(1), (2), (3), and (4), 5

U.S.C. 552a(e)(1), 5 U.S.C. 552a(e)(4)(G),

(H), and (I), and 5 U.S.C. 552a(f).

(p) Reasons for exemptions under 5

U.S.C. 552a(k)(6). The reason for

exempting the system of records is that

disclosure of the material in the system

would compromise the objectivity or

fairness of the examination process.

(q) Exempt information included in

another system. Any information from a

system of records for which an

exemption is claimed under 5 U.S.C.

552a(j) or (k) which is also included in

another system of records retains the

same exempt status such information

has in the system for which such

exemption is claimed.

[FR Doc. 00–29673 Filed 11–20–00; 8:45 am]

BILLING CODE 4810–25–P

DEPARTMENT OF TRANSPORTATION

Coast Guard

33 CFR Part 117

[CGD01–00–245]

Drawbridge Operation Regulations:

Rahway River, NJ

AGENCY: Coast Guard, DOT.

ACTION: Notice of temporary deviation

from regulations.

SUMMARY: The Commander, First Coast

Guard District, has issued a temporary

deviation from the drawbridge operation

regulations governing the operation of

the Conrail Bridge, at mile 2.0, across

the Rahway River at Linden, New

Jersey. This deviation allows the bridge

owner to keep the bridge in the closed

position from 7 a.m. on November 20,

2000, through 7 p.m. on November 21,

2000. This action is necessary to

facilitate maintenance at the bridge.

DATES: This deviation is effective from

November 20, 2000, to November 21,

2000.

FOR FURTHER INFORMATION CONTACT: Judy

Yee, Project Officer, First Coast Guard

District, at (212) 668–7165.

SUPPLEMENTARY INFORMATION: The

Conrail Bridge, at mile 2.0, across the

Rahway River, has a vertical clearance

of 6 feet at mean high water, and 11 feet

at mean low water in the closed

position. The existing drawbridge

operating regulations are listed at 33

CFR 117.743.

The bridge owner, Consolidated Rail

Corporation (Conrail), requested a

temporary deviation from the

drawbridge operating regulations to

facilitate the necessary maintenance for

upgrades to the operating system at the

bridge. This deviation from the

operating regulations allows the bridge

owner to keep the bridge in the closed

position from 7 a.m. on November 20,

2000, through 7 p.m. on November 21,

2000. Vessels that can pass under the

bridge without an opening may do so at

all times during the closed period.

In accordance with 33 CFR 117.35(c),

this work will be performed with all due

speed in order to return the bridge to

normal operation as soon as possible.

This deviation from the operating