Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44049 

DEPARTMENT OF THE TREASURY 

31 CFR Part 1 

RIN 1505–AC80 

Privacy Act Regulations 

AGENCY: Department of the Treasury. 

ACTION: Proposed rule. 

SUMMARY: This rule proposes revisions 

to the Department’s regulations under 

the Privacy Act of 1974, as amended. 

Treasury is revising these regulations to 

update certain provisions to reflect 

developments in Privacy Act case law 

and changes in the names of some of the 

Treasury bureaus and offices since the 

regulations were last updated. 

Additionally, the regulations are being 

updated to ensure compliance with 

requirements in the Social Security 

Number Fraud Prevention Act of 2017. 

DATES: Comment due date: September 

23, 2022. 

ADDRESSES: You may submit comments 

by any of the following methods: 

• Federal eRulemaking Portal: 

https://www.regulations.gov. 

• FAX: (202) 622–3895, ATTN Ryan 

Law. 

• Mail: Ryan Law, Deputy Assistant 

Secretary for Privacy, Transparency and 

Records, U.S. Department of the 

Treasury, 1500 Pennsylvania Avenue 

NW, Washington, DC 20220. 

Comments received by mail will be 

considered timely if they are 

postmarked on or before the comment 

date. The www.regulations.gov site will 

accept comments until 11:59 p.m. 

eastern time on the comment due date. 

The Department will consolidate all 

comments received and make them 

available, without change, including 

any business or personal information 

that you provide such as name and 

address information, email addresses, or 

phone numbers. Comments received, 

including attachments and other 

supporting materials, are part of the 

public record and subject to public 

disclosure. Do not enclose any 

information in your comments or 

supporting materials that you consider 

confidential or inappropriate for public 

disclosure. Properly submitted 

comments will be available for 

inspection and downloading at https:// 

www.regulations.gov. 

FOR FURTHER INFORMATION CONTACT: 

Ryan Law, Deputy Assistant Secretary 

for Privacy, Transparency and Records, 

202–622–0930, extension 2 (this is not 

a toll-free number). 

SUPPLEMENTARY INFORMATION: 

Discussion 

The revisions of the Privacy Act (5 

U.S.C. 552a) regulations in 31 CFR part 

1, subpart C, proposes changes to the 

language and structure of the 

regulations. Proposed revisions include 

§§ 1.20 (Purpose and scope of this 

subpart), 1.23 (Publication in the 

Federal Register—Notices of systems of 

records, general exemptions, specific 

exemptions, review of all systems), 1.24 

(Disclosure of records to person other 

than the individual to whom they 

pertain), 1.25 (Accounting of 

disclosures), 1.26 (Procedures for 

notification and access to records 

pertaining to individuals—format and 

fees for request for access), 1.27 

(Procedures for amendment of records 

pertaining to individuals—format, 

agency review and appeal from initial 

adverse agency determination), 1.28 

(Training, rules of conduct, penalties for 

non-compliance), 1.32 (Collection, Use, 

Disclosure and Protection of Social 

Security numbers), 1.35 (Information 

forms), and 1.36 (Systems exempt in 

whole or in part from provisions of the 

Privacy Act and this part). Sections 

1.20, 1.23, 1.24, 1.25, 1.26, 1.27, 1.28, 

1.32, 1.35, and 1.36 all address and 

reflect changes to Office of Management 

Budget (OMB) Circular A–108, ‘‘Federal 

Agency Responsibilities for Review, 

Reporting, and Publication Under the 

Privacy Act’’ [81 FR 94424, December 

23, 2016] in addition to the Social 

Security Number Fraud Prevention Act 

of 2017, Public Law 115–59; 42 U.S.C. 

405. 

The 2017 Social Security Number 

Fraud Prevention Act requires agencies, 

including Treasury, to strengthen their 

commitment to reducing Social Security 

Number collection by formalizing the 

circumstances under which they may be 

collected. This requirement is 

implemented through proposed § 1.32 

(Collection, use, disclosure, and 

protection of Social Security numbers). 

A number of changes would be made 

to the sections of the Privacy Act 

Regulations to account for issues that 

have arisen since the regulations were 

last updated. For example, these 

changes are proposed to reflect 

additional privacy and civil liberties 

responsibilities delegated to the 

Treasury’s Assistant Secretary for 

Management and changes to § 1.20 

would reflect the creation of the new 

Special Inspector General for Pandemic 

Recovery, and all offices reporting to 

such official, including immediate staff. 

Section 1.23 proposes modifications to 

reflect changes to OMB Circular A–130, 

‘‘Managing Information as a Strategic 

Resource.’’ [81 FR 49689, July 28, 2016] 

Then, § 1.24 includes modifications that 

would correct the errors discovered in 

the original publication of this 

regulation. These modifications include 

the addition of language to reflect the 

amendment of the Privacy Act by the 

Debt Collection Act of 1982 (which 

stated the circumstances under which 

Federal agencies could disclose 

individual records to consumer 

reporting agencies). In §§ 1.25 and 1.26, 

clarifying changes would be made to 

correct grammatical errors. 

In §§ 1.27 and 1.35 include minor 

proposed changes to align with the 

authority vested in agencies to 

promulgate exemptions to certain 

provisions in the Privacy Act. Then, 

§ 1.28 would be updated to establish the 

roles and responsibilities of the Deputy 

Assistant Secretary for Privacy, 

Transparency, and Records to ensure 

compliance with the Senior Agency 

Official Privacy oversight requirements 

in OMB M–16–24, ‘‘Role and 

Designation of Senior Agency Officials 

for Privacy’’ in accordance with E.O. 

13719, Establishment of the Federal 

Privacy Council.’’ [81 FR 7685, February 

12, 2016] 

Within § 1.32, Treasury formalized 

the policy for the use of Social Security 

numbers and would add provisions to 

ensure compliance with the Social 

Security Number Fraud Prevention Act 

of 2017. Further, § 1.36 proposes 

modifications to update the Treasury 

systems that claim exemptions under 

sections (j)(2) and (k) (subsections 1–6) 

of the Privacy Act. 

Finally, the appendices to the current 

regulation would be revised to reflect 

changes in the Treasury’s organizational 

structure. Appendices pertaining to the 

Bureau of Public Debt and Financial 

Management Service have been deleted 

as these components were consolidated 

under the new Treasury Bureau of 

Fiscal Services. A new Bureau of Fiscal 

Services appendix (appendix G) was 

added to reflect this consolidation. 

Appendix E was added to reflect the 

creation of the Alcohol and Tobacco Tax 

and Trade Bureau (TTB). Appendices C 

(United States Customs Service), D 

(United States Secret Service), and J 

(Federal Law Enforcement Training 

Center) were deleted to reflect that these 

former bureaus are no longer part of 

Treasury. 

Regulatory Flexibility Act 

The Regulatory Flexibility Act (RFA), 

5 U.S.C. 601 et seq., requires agencies to 

prepare an initial regulatory flexibility 

analysis (IRFA) to determine the 

economic impact of the rule on small 

entities. A small entity is defined as 

either a small business, a small 


lotter on DSK11XQN23PROD with PROPOSALS1
44050 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

organization, or a small governmental 

jurisdiction; an individual is not a small 

entity. Section 605(b) of the RFA allows 

an agency to prepare a certification in 

lieu of an IRFA if the rule will not have 

a significant economic impact on a 

substantial number of small entities. 

Pursuant to 5 U.S.C. 605(b), it is hereby 

certified that this regulation will not 

have a significant economic impact on 

a substantial number of small entities. 

The Privacy Act primarily affects 

individuals and not entities and the 

proposed rule would impose no duties 

or obligations on small entities. 

Regulatory Planning and Review 

Executive Orders 13563 and 12866 

direct agencies to assess costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits, of 

reducing costs, of harmonizing rules, 

and of promoting flexibility. This rule is 

not a ‘‘significant regulatory action’’ 

under Executive Order 12866. 

List of Subjects in 31 CFR Part 1 

Privacy. 

For the reasons stated in the 

preamble, the Department of the 

Treasury proposes to amend 31 CFR 

part 1 as follows: 

PART 1—DISCLOSURE OF RECORDS 

■ 1. The authority citation for part 1 

continues to read as follows: 

Authority: 5 U.S.C. 301, 552, 552a, 553; 31 

U.S.C. 301, 321; 31 U.S.C. 3717. 

■ 2. Revise subpart C to read as follows: 

Subpart C—Privacy Act 

Sec. 

1.20 Purpose and scope of this subpart. 

1.21 Definitions. 

1.22 Requirements relating to systems of 

records. 

1.23 Publication in the Federal Register— 

Notices of systems of records, general 

exemptions, specific exemptions, review 

of all systems. 

1.24 Disclosure of records to person other 

than the individual to whom they 

pertain. 

1.25 Accounting of disclosures. 

1.26 Procedures for notification and access 

to records pertaining to individuals— 

format and fees for request for access. 

1.27 Procedures for amendment of records 

pertaining to individuals—format, 

agency review and appeal from initial 

adverse agency determination. 

1.28 Training, rules of conduct, penalties 

for non-compliance. 

1.29 Records transferred to Federal Records 

Center or National Archives of the 

United States. 

1.30 Application to system of records 

maintained by Government contractors. 

1.31 Sale or rental of mailing lists. 

1.32 Collection, use, disclosure, and 

protection of Social Security numbers. 

1.34 Guardianship. 

1.35 Information forms. 

1.36 Systems exempt in whole or in part 

from provisions of the Privacy Act and 

this part. 

Appendix A to Subpart C of Part 1— 

Departmental Offices 

Appendix B to Subpart C of Part 1—Internal 

Revenue Service 

Appendix C to Subpart C of Part 1—Alcohol 

and Tobacco Tax and Trade Bureau 

Appendix D to Subpart C of Part 1—Bureau 

of Engraving and Printing 

Appendix E to Subpart C of Part 1—Bureau 

of the Fiscal Service 

Appendix F to Subpart C of Part 1—United 

States Mint 

Appendix G to Subpart C of Part 1—Office 

of the Comptroller of the Currency 

Appendix H to Subpart C of Part 1— 

Financial Crimes Enforcement Network 

Subpart C—Privacy Act 

§ 1.20 Purpose and scope of this subpart. 

(a) The regulations in this subpart are 

issued to implement the provisions of 

the Privacy Act of 1974 (5 U.S.C. 552a). 

This subpart applies to all records 

which are contained in systems of 

records maintained by the Department 

of the Treasury (Department or 

Treasury). They do not relate to those 

personnel records of Federal 

Government employees, which are 

under the Office of Personnel 

Management’s (OPM) jurisdiction to the 

extent such records are subject to OPM 

regulations. This subpart applies to all 

Treasury components. Any reference in 

this subpart to the Department or its 

officials, employees, or records must be 

deemed to refer also to the components 

or their officials, employees, or records. 

This subpart sets forth the requirements 

applicable to Treasury employees 

(including, to the extent required by the 

contract or 5 U.S.C. 552a(m), 

Government contractors and employees 

of such contractors) maintaining, 

collecting, using, or disseminating 

records pertaining to individuals. They 

also set forth the procedures by which 

individuals may request notification of 

whether the Treasury maintains or has 

disclosed a record pertaining to them or 

may seek access to such records 

maintained in any nonexempt system of 

records, request correction of such 

records, appeal any initial adverse 

determination of any request for 

amendment, or seek an accounting of 

disclosures of such records. For the 

convenience of interested persons, 

Treasury components may reproduce 

the regulations in this subpart in their 

entirety (less any appendices not 

applicable to the component in 

question) in those titles of the Code of 

Federal Regulations (CFR) which 

normally contain regulations applicable 

to such components. In connection with 

such reproduction, and at other 

appropriate times, components may 

issue supplementary regulations 

applicable only to the component in 

question, which are consistent with the 

regulations in this subpart. In the event 

of any actual or apparent inconsistency, 

the Departmentwide regulations in this 

subpart must govern. Individuals 

interested in the records of a particular 

component should, therefore, also 

consult the Code of Federal Regulations 

for any rules or regulations promulgated 

specifically with respect to that 

component (see the appendices to this 

subpart for cross references). The head 

of each component is hereby also 

authorized to substitute other 

appropriate officials for those 

designated and correct addresses 

specified in the appendix to this subpart 

applicable to the component. For 

purposes of this subpart, Treasury 

components consist of the following 

offices and bureaus: 

(1) The Departmental Offices, which 

include the offices of: 

(i) The Secretary of the Treasury, 

including immediate staff; 

(ii) The Deputy Secretary of the 

Treasury, including immediate staff; 

(iii) The Chief of Staff, including 

immediate staff; 

(iv) The Executive Secretary of the 

Treasury and all offices reporting to 

such official, including immediate staff; 

(v) Under Secretary (International 

Affairs) and all offices reporting to such 

official, including immediate staff; 

(vi) Assistant Secretary (International 

Economics and Development) and all 

offices reporting to such official, 

including immediate staff; 

(vii) Assistant Secretary (Financial 

Institutions) and all offices reporting to 

such official, including immediate staff; 

(viii) Assistant Secretary (Financial 

Markets) and all offices reporting to 

such official, including immediate staff; 

(ix) Assistant Secretary (Financial 

Stability) and all offices reporting to 

such official, including immediate staff; 

(x) Under Secretary (Terrorism & 

Financial Intelligence) and all offices 

reporting to such official, including 

immediate staff; 

(xi) Assistant Secretary (Terrorist 

Financing) and all offices reporting to 

such official, including immediate staff; 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44051 

(xii) Assistant Secretary (Intelligence 

and Analysis) and all offices reporting 

to such official, including immediate 

staff; 

(xiii) General Counsel and all offices 

reporting to such official, including 

immediate staff; except legal counsel to 

the components listed in paragraphs 

(a)(1)(xx) through (xxii) and (a)(2) 

through (8) of this section; 

(xiv) Treasurer of the United States 

including immediate staff; 

(xv) Assistant Secretary (Legislative 

Affairs) and all offices reporting to such 

official, including immediate staff; 

(xvi) Assistant Secretary (Public 

Affairs) and all offices reporting to such 

official, including immediate staff; 

(xvii) Assistant Secretary (Economic 

Policy) and all offices reporting to such 

official, including immediate staff; 

(xviii) Assistant Secretary (Financial 

Markets and Investment Policy) and all 

offices reporting to such official, 

including immediate staff; 

(xix) Under Secretary (Domestic 

Finance) and all offices reporting to 

such official, including immediate staff; 

(xx) Fiscal Assistant Secretary and all 

offices reporting to such official, 

including immediate staff; 

(xxi) The Treasury Inspector General 

for Tax Administration, and all offices 

reporting to such official, including 

immediate staff; 

(xxii) The Special Inspector General 

for the Troubled Asset Relief Program, 

and all offices reporting to such official, 

including immediate staff; and 

(xxiii) The Special Inspector General 

for Pandemic Recovery, and all offices 

reporting to such official, including 

immediate staff. 

(2) Alcohol and Tobacco Tax and 

Trade Bureau. 

(3) Internal Revenue Service. 

(4) Office of the Comptroller of the 

Currency. 

(5) Bureau of Engraving and Printing. 

(6) United States Mint. 

(7) Financial Crimes Enforcement 

Network. 

(8) Bureau of the Fiscal Service. 

(b) For purposes of this subpart, the 

office of the legal counsel for the 

components listed in paragraphs 

(a)(1)(xx) through (xxiii) and (a)(2) 

through (8) of this section are to be 

considered a part of such components. 

Any office, which is now in existence or 

may after [DATE OF PUBLICATION OF 

FINAL RULE] be established, which is 

not specifically listed or known to be a 

component of any of those listed in 

paragraphs (a)(1) through (8) of this 

section, must be deemed a part of the 

Departmental Offices for the purpose of 

this subpart. 

§ 1.21 Definitions. 

(a) The term agency means agency as 

defined in 5 U.S.C. 552(e). 

(b) The term individual means a 

citizen of the United States or an alien 

lawfully admitted for permanent 

residence. 

(c) The term maintain includes 

maintain, collect, use, or disseminate. 

(d) The term record means any item, 

collection, or grouping of information 

about an individual that is maintained 

by the Treasury or its components. This 

includes, but is not limited to, the 

individual’s education, financial 

transactions, medical history, and 

criminal or employment history and 

that contains the name, or an identifying 

number, symbol, or other identifying 

particular assigned to the individual, 

such as a finger or voice print or a 

photograph. 

(e) The term system of records means 

a group of any records under the control 

of the Treasury or any component from 

which information is retrieved by the 

name of the individual or by some 

identifying number, symbol, or other 

identifying particular assigned to the 

individual. 

(f) The term statistical record means 

a record in a system of records 

maintained for statistical research or 

reporting purposes only and not used in 

whole or part in making any 

determination about an identifiable 

individual, except as provided by 13 

U.S.C. 8. 

(g) The term routine use means the 

disclosure of a record that is compatible 

with the purpose for which the record 

was collected. 

(h) The term component means a 

Treasury bureau or office as set forth in 

§ 1.20 and in the appendices to this 

subpart. (See 5 U.S.C. 552a(a).) 

(i) The term request for access means 

a request made pursuant to 5 U.S.C. 

552a(d)(1). 

(j) The term request for amendment 

means a request made pursuant to 5 

U.S.C. 552a(d)(2). 

(k) The term request for accounting 

means a request made pursuant to 5 

U.S.C. 552a(c)(3). 

(l) The term Privacy Act means the 

Privacy Act of 1974 (5 U.S.C. 552a). 

§ 1.22 Requirements relating to system of 

records. 

(a) In general. Subject to 5 U.S.C. 

552a(j) and (k) and § 1.23(c), each 

component shall, in conformance with 

the Privacy Act: 

(1) Maintain in its records only such 

information about an individual as is 

relevant and necessary to accomplish a 

purpose of the agency required to be 

accomplished by the statute or by 

Executive order of the President. (See 5 

U.S.C. 552a(e)(1).) 

(2) Collect information to the greatest 

extent practicable directly from the 

subject individual when the information 

may result in adverse determinations 

about an individual’s rights, benefits, 

and privileges under Federal programs. 

(See 5 U.S.C. 552a(e)(2).) 

(b) Requests for information from 

individuals. Subject to 5 U.S.C. 552a(j) 

and § 1.23(c)(1), each component of the 

Treasury shall inform each individual 

whom it asks to supply information, on 

the form which it uses to collect the 

information or on a separate form that 

can be retained by the individual: 

(1) The authority (whether granted by 

statute, or by Executive order of the 

President) which authorizes the 

solicitation of the information and 

whether disclosure of such information 

is mandatory or voluntary; 

(2) The principal purpose or purposes 

for which the information is intended to 

be used; 

(3) The routine uses which may be 

made of the information, as published 

pursuant to 5 U.S.C. 552a(e)(4)(D); and 

(4) The effects on such individual, if 

any, of not providing all or any part of 

the requested information. (See 5 U.S.C. 

552a(e)(3).) 

(c) Report on new systems. Each 

component of the Treasury shall 

provide adequate advance notice to 

Congress and the Office of Management 

and Budget’s (OMB) Office of 

Information and Regulatory Affairs 

(OIRA) any proposal to establish or alter 

any system of records in order to permit 

an evaluation of the probable or 

potential effect of such proposal on the 

privacy and other personal or property 

rights of individuals or the disclosure of 

information relating to such individuals, 

and its effect on the preservation of the 

constitutional principles of federalism 

and separation of powers. (See 5 U.S.C. 

552a(o).) 

(d) Accurate and secure maintenance 

of records. Each component shall: 

(1) Subject to 5 U.S.C. 552a(j) and 

§ 1.23(c)(1), maintain all records which 

are used in making any determination 

about any individual with such 

accuracy, relevance, timeliness, and 

completeness as is reasonably necessary 

to assure fairness to the individual in 

the determination (see 5 U.S.C. 

552a(e)(5)); 

(2) Prior to disseminating any record 

about an individual to any person other 

than an agency, unless the 

dissemination is made pursuant to the 

Privacy Act (see subpart A of this part), 

make reasonable efforts to assure that 

such records are accurate, complete, 

timely, and relevant for Department of 


lotter on DSK11XQN23PROD with PROPOSALS1
44052 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

the Treasury purposes (see 5 U.S.C. 

552a(e)(6)); and 

(3) Establish appropriate 

administrative, technical, and physical 

safeguards to insure the security and 

confidentiality of records and to protect 

against any anticipated threats or 

hazards to their security or integrity 

which could result in substantial harm, 

embarrassment, inconvenience, or 

unfairness to any individual on whom 

information is maintained. (See 5 U.S.C. 

552a(e)(10).) 

(i) System managers, with the 

approval of the head of their offices 

within a component, shall establish 

administrative and physical controls, 

consistent with Department regulations 

in this part, to insure the protection of 

records systems from unauthorized 

access or disclosure and from physical 

damage or destruction. The controls 

instituted shall be proportional to the 

degree of sensitivity of the records but 

at a minimum must insure that records 

other than those available to the general 

public under the Freedom of 

Information Act (5 U.S.C. 552), are 

protected from public view, that the 

area in which the records are stored is 

supervised during all business hours 

and physically secure during 

nonbusiness hours to prevent 

unauthorized personnel from obtaining 

access to the records. Automated 

systems shall comply with the security 

standards promulgated by the National 

Institute of Standards and Technology 

(NIST). 

(ii) System managers, with the 

approval of the head of their offices 

within a component, shall adopt access 

restrictions to insure that access to the 

records is limited to those individuals 

within the agency who have a need to 

access the records in order to perform 

their duties. Procedures shall also be 

adopted to prevent accidental access to, 

or dissemination of, records. 

(e) Prohibition against maintenance of 

records concerning First Amendment 

rights. No component shall maintain a 

record describing how any individual 

exercises rights guaranteed by the First 

Amendment (e.g., speech), unless the 

maintenance of such record is: 

(1) Expressly authorized by statute; or 

(2) Expressly authorized by the 

individual about whom the record is 

maintained; or 

(3) Pertinent to and within the scope 

of an authorized law enforcement 

activity. (See 5 U.S.C. 552a(e)(7).) 

(f) Notification of disclosure under 

compulsory legal process. Subject to 5 

U.S.C. 552a(j) and § 1.23(c)(1), when 

records concerning an individual are 

subpoenaed by a Grand Jury, Court, or 

quasi-judicial agency, or disclosed in 

accordance with an ex parte court order 

pursuant to 26 U.S.C. 6103(i), the 

official served with the subpoena or 

court order shall make reasonable efforts 

to assure that notice of any disclosure is 

provided to the individual. Notice shall 

be provided within five working days of 

making the records available under 

compulsory legal process or, in the case 

of a Grand Jury subpoena or an ex parte 

order, within five days of its becoming 

a matter of public record. Notice shall 

be mailed to the last known address of 

the individual and shall contain the 

following information: the date and 

authority to which the subpoena is, or 

was returnable, or the date of and court 

issuing the ex parte order, the name and 

number of the case or proceeding, and 

the nature of the information sought and 

provided. Notice of the issuance of a 

subpoena or an ex parte order is not 

required if the system of records has 

been exempted from the notice 

requirement of 5 U.S.C. 552a(e)(8) and 

this section, pursuant to 5 U.S.C. 552a(j) 

and § 1.23(c)(1), by a Notice of 

Exemption published in the Federal 

Register. (See 5 U.S.C. 552a(e)(8).) 

(g) Emergency disclosure. If 

information concerning an individual 

has been disclosed to any person under 

compelling circumstances affecting 

health or safety, the individual shall be 

notified at the last known address 

within 5 days of the disclosure 

(excluding Saturdays, Sundays, and 

legal public holidays). Notification shall 

include the following information: The 

nature of the information disclosed, the 

person or agency to whom it was 

disclosed, the date of disclosure, and 

the compelling circumstances justifying 

the disclosure. Notification shall be 

given by the officer who made or 

authorized the disclosure. (See 5 U.S.C. 

552a (b)(8).) 

§ 1.23 Publication in the Federal 

Register—Notices of systems of records, 

general exemptions, specific exemptions, 

review of all systems. 

(a) Notices of systems of records to be 

published in the Federal Register. (1) 

The Office of the Federal Register 

publishes a biennial compilation of all 

system notices (‘‘Privacy Act 

Issuances’’), as specified in 5 U.S.C. 

552a(f). In the interim (between biennial 

compilations), the Department must list 

and provide links on its website to 

complete, up-to-date versions of all 

Treasury system of records notices 

(SORNs), including citations and links 

to all Federal Register notices that 

reflect substantial modifications to each 

SORN. 

(2) In addition, the Department must 

publish in the Federal Register upon 

establishment or significant revision a 

notice of the existence and character of 

any new or significantly revised systems 

of records. Unless otherwise instructed, 

each notice must include: 

(i) The system name and number, and 

location of the system; 

(ii) The title and business address of 

the Treasury official who is responsible 

for the system of records; 

(iii) Security classification, and 

indication of whether any information 

in the system is classified; 

(iv) Authority for maintenance of the 

system, the specific authority that 

authorizes the maintenance of the 

records in the system; 

(v) Purpose(s) of the system, a 

description of the purpose(s) for 

maintaining the system; 

(vi) The categories of individuals on 

whom records are maintained in the 

system; 

(vii) The categories of records 

maintained in the system; 

(viii) The categories of sources of 

records in the system (see 5 U.S.C. 

552a(e)(4)); 

(ix) Each routine uses of the records 

contained in the system, including the 

categories of users and the purpose of 

such use; 

(xx) The policies and practices of the 

component regarding storage, 

retrievability, access controls, retention, 

and disposal of the records; 

(xxi) The procedures of the 

component whereby an individual can 

be notified if the system of records 

contains a record pertaining to the 

individual, including reasonable times, 

places, and identification requirements; 

(xxii) The procedures of the 

component whereby an individual can 

be notified on how to gain access to any 

record pertaining to such individual 

that may be contained in the system of 

records, and how to contest its content; 

(xxiii) Exemptions promulgated for 

the system; and 

(xxiv) History (any previously 

published notices). 

(b) Notice of new or modified routine 

uses to be published in the Federal 

Register. At least 30 days prior to a 

new use or modification of a routine 

use, as published under paragraph 

(a)(3)(iv) of this section, Treasury must 

publish in the Federal Register notice of 

such new or modified use of the 

information in the system and allow for 

interested persons to submit written 

data, views, or arguments to the 

components. (See 5 U.S.C. 552a(e)(11).) 

(c) Promulgation of rules exempting 

systems from certain requirements—(1) 

General exemptions. In accordance with 

existing procedures applicable to a 

Treasury component’s issuance of 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44053 

regulations, the head of each such 

component may adopt rules, in 

accordance with the requirements 

(including general notice) of 5 U.S.C. 

553(b)(1), (2), and (3), (c) and (e), to 

exempt any system of records within the 

component from any part of the Privacy 

Act and the regulations in this subpart 

except subsections (b) (§ 1.24, 

conditions of disclosure), (c)(1) (§ 1.25, 

keep accurate accounting of 

disclosures), (c)(2) (§ 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) 

(§ 1.22(d), accuracy of records prior to 

dissemination), (e)(7) (§ 1.22(e), 

maintenance of records on First 

Amendment rights), (e)(9) (§ 1.28, 

establish rules of conduct), (e)(10) 

(§ 1.22(d)(3), establish safeguards for 

records), (e)(11) (paragraph (c) of this 

section, publish new intended use), and 

(i) (§ 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) 

(§ 1.25(c)(2), accounting of certain 

disclosures available to the individual), 

(d) (§ 1.26(a), access to records), (e)(1) 

(§ 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) (§ 1.26, promulgate rules for 

notification, access and contest), if the 

system of records is: 

(i) Subject to the provisions of 5 

U.S.C. 552(b)(1); 

(ii) Investigatory material compiled 

for law enforcement purposes, other 

than material within the scope of 

subsection (j)(2) of the Privacy Act and 

paragraph (a)(1) of this section. If any 

individual is denied any right, privilege, 

or benefit that such individual would 

otherwise be entitled to by Federal law, 

or for which such individual would 

otherwise be eligible, as a result of the 

maintenance of this material, provide 

such material to the individual, except 

to the extent that the disclosure of the 

material would reveal the identity of a 

source who furnished information to the 

Government under an express promise 

that the identity of the source would be 

held in confidence, or prior to 

September 27, 1975, under an implied 

promise that the identity of the source 

would be held in confidence; 

(iii) Maintained in connection with 

providing protective services to the 

President of the United States or other 

individuals pursuant to 18 U.S.C. 3056; 

(iv) Required by statute to be 

maintained and used solely as statistical 

records; 

(v) Investigatory material compiled 

solely for the purpose of determining 

suitability, eligibility, or qualifications 

for Federal civilian employment, 

military service, Federal contracts, or 

access to classified information, but 

only to the extent that the disclosure of 

such material would reveal the identity 

of a source who furnished information 

to the Government under an express 

promise that the identity of the source 

would be held in confidence, or, prior 

to September 27, 1975, under an 

implied promise that the identity of the 

source would be held in confidence; 

(vi) Testing or examination material 

used solely to determine individual 

qualifications for appointment or 

promotion in the Federal service the 

disclosure of which would compromise 

the objectivity or fairness of the testing 

or examination process; or 

(vii) Evaluation material used to 

determine potential for promotion in the 

armed services, but only to the extent 

that the disclosure of such material 

would reveal the identity of a source 

who furnished information to the 

Government under an express promise 

that the identity of the source would be 

held in confidence, or, prior to 

September 27, 1975, under an implied 

promise that the identity of the source 

would be held in confidence. 

(3) Reasons for exemptions. As of 

[EFFECTIVE DATE OF FINAL RULE], 

the head of the component must include 

in the statement required under 5 U.S.C. 

553(c) the reasons why the system of 

records is to be exempted from a 

provision of the Privacy Act and this 

part. (See 5 U.S.C. 552a(j) and (k).) 

(d) Review and report to the Office of 

Management and Budget (OMB). The 

Department must ensure that the 

following reviews are conducted: 

(1) The Data Integrity Board must 

conduct a review of all matching 

programs in which the Department has 

participated during the calendar year 

and report to OMB of the following year. 

(2) Each component must perform the 

following reviews with a frequency 

sufficient to ensure compliance and 

manage risks: 

(i) Review the language of each 

contract that involves the creation, 

collection, use, processing, storage, 

maintenance, dissemination, disclosure, 

or disposal of information and ensure 

that the applicable requirements in the 

Privacy Act and OMB policies are 

enforceable on the contractor and its 

employees consistent with the agency’s 

authority; 

(ii) Ensure that all routine uses remain 

appropriate and that the recipient’s use 

of the records continues to be 

compatible with the purpose for which 

the information was collected; 

(iii) Ensure that each exemption 

claimed for a system of records pursuant 

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

appropriate and necessary; 

(iv) Ensure Departmental and 

component training practices are 

sufficient and that personnel 

understand the requirements of the 

Privacy Act, OMB guidance, the 

agency’s implementing regulations and 

policies, and any job-specific 

requirements; 

(v) Review all component SORNs as 

needed to ensure they remain accurate, 

up-to-date, and appropriately scoped; 

that all SORNs are published in the 

Federal Register; that all SORNs 

include the information required by 

OMB Circular A–108; and that all 

significant changes to SORNs have been 

reported to OMB and Congress; and 

(vi) Be prepared to report to the Office 

of Privacy, Transparency, & Records, as 

part of the annual Federal Information 

Security Management Act (FISMA), as 

amended by the Federal Information 


lotter on DSK11XQN23PROD with PROPOSALS1
44054 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

Security Modernization Act of 2014, 

Public Law 113–283, reporting process, 

the results of the reviews conducted as 

required by this section, including any 

corrective action taken to resolve 

problems uncovered. 

§ 1.24 Disclosure of records to person 

other than the individual to whom they 

pertain. 

(a) Conditions of disclosure. No 

component of Treasury is required to 

disclose any record which is contained 

in a system of records maintained by it 

by any means of communication to any 

person, or to another agency, except 

pursuant to a written request by, or with 

the prior written consent of, the 

individual to whom the record pertains, 

or the parent, if a minor, or legal 

guardian, if incompetent, of such 

individual, unless disclosure of the 

record would be: 

(1) To those offices and employees of 

the Treasury who have a need for the 

record in the performance of their 

duties; 

(2) Required under 5 U.S.C. 552 

(subpart A of this part); 

(3) For a routine use as defined in 5 

U.S.C. 552a(a)(7) and § 1.21(g) and as 

described under 5 U.S.C. 552a(e)(4)(D) 

and § 1.23(a)(4); 

(4) To the Bureau of the Census for 

the purposes of planning or carrying out 

a census or survey or related activity 

pursuant to the provisions of title 13 of 

the U.S. Code; 

(5) To a recipient who has provided 

the component with advance adequate 

written assurance that the record will be 

used solely as statistical research or 

reporting record, and the record is to be 

transferred in a form that is not 

individually identifiable; 

(6) To the National Archives and 

Records Administration as a record 

which has sufficient historical or other 

value to warrant its continued 

preservation by the United States 

Government, or for evaluation by the 

Administrator of the General Services 

Administration or the designee of such 

official to determine whether the record 

has such value; 

(7) To another agency or to an 

instrumentality of any governmental 

jurisdiction within or under the control 

of the United States for a civil or 

criminal law enforcement activity, if: 

(i) The activity is authorized by law; 

and 

(ii) The head of the agency or 

instrumentality has made a written 

request to the Treasury specifying the 

particular portion desired and the law 

enforcement activities for which the 

record is sought; 

(8) To a person pursuant to a showing 

of compelling circumstances affecting 

the health or safety of an individual, if 

upon such disclosure, notification is 

transmitted to the last known address of 

such individual; 

(9) To either House of Congress, or, to 

the extent a matter is within its 

jurisdiction, any committee or 

subcommittee thereof, any joint 

committee of Congress or subcommittee 

of any such joint committee; 

(10) To the Comptroller General, or 

the authorized representatives of such 

official, in the course of the performance 

of the duties of the Government 

Accountability Office; 

(11) Pursuant to the order of a court 

of competent jurisdiction (see 5 U.S.C. 

552a(b)); or 

(12) To a consumer reporting agency 

in accordance with 13 U.S.C. 3711(e). 

(b) [Reserved] 

§ 1.25 Accounting of disclosures. 

(a) Accounting of certain disclosures. 

Each component, with respect to each 

system of records under its control, 

must: 

(1) Keep an accurate accounting of: 

(i) The date, nature, and purpose of 

each disclosure of a record to any 

person or to an agency made under 5 

U.S.C. 552a(b) and § 1.24; and 

(ii) The name and address of the 

person to whom or agency to which the 

disclosure is made; 

(2) Retain the accounting made under 

paragraph (a)(1) of this section for at 

least five years or the life of the record, 

whichever is longer, after the disclosure 

for which the accounting is made; and 

(3) Inform any person or other agency 

about any correction or notation of 

dispute made by the component in 

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

§ 1.28 of any record that has been 

disclosed to the person or agency if an 

accounting of the disclosure was made. 

(See 5 U.S.C. 552(c).) 

(b) Accounting systems. To permit the 

accounting required by paragraph (a) of 

this section, system managers, with the 

approval of the head of their offices 

within a component, must establish or 

implement a system of accounting for 

all disclosures of records, either orally 

or in writing, made outside the 

Department of the Treasury. Accounting 

records must: 

(1) Be established in the least 

expensive and most convenient form 

that will permit the system manager to 

advise individuals, promptly upon 

request, what records concerning them 

have been disclosed and to whom; 

(2) Provide, as a minimum, the 

identification of the particular record 

disclosed, the name and address of the 

person to whom or agency to which the 

record was disclosed, and the date, 

nature, and purpose of the disclosure; 

and 

(3) Be maintained for 5 years or until 

the record is destroyed or transferred to 

the National Archives and Records 

Administration or Federal Records 

Center for storage, in which event, the 

accounting pertaining to those records, 

unless maintained separately, must be 

transferred with the records themselves. 

(c) Exemptions from accounting 

requirements. No accounting is required 

for disclosure of records: 

(1) To those officers and employees of 

the Department of the Treasury who 

have a need for the record in the 

performance of their duties; or 

(2) If disclosure would be required 

under 5 U.S.C. 552 and subpart A of this 

part. 

(d) Access to accounting by 

individual. (1) Subject to paragraphs (c) 

and (d)(2) of this section, each 

component must establish {I} 

procedures for making the accounting 

required under paragraph (a) of this 

section available to the individual to 

whom the record pertains and {II} 

thereafter make such accounting 

available in accordance therewith at the 

request of the individual. The 

procedures may require the requester to 

provide reasonable identification. (See 

appendices A, B, C, D, E, F, G, H to this 

subpart.) 

(2) Access to accounting of 

disclosures may be withheld from the 

individual named in the record only if 

the disclosures were: 

(i) Made under 5 U.S.C. 552a (b)(7) 

and § 1.24(a)(7); or 

(ii) Under a system of records 

exempted from the requirements of 5 

U.S.C. 552a(c)(3) in accordance with 5 

U.S.C. 552(j) or (k) and § 1.23(c). (See 5 

U.S.C. 552a(c).) 

§ 1.26 Procedures for notification and 

access to records pertaining to 

individuals—format and fees for request for 

access. 

(a) Procedures for notification and 

access. Each component must, in 

accordance with the requirements of 5 

U.S.C. 552a(d)(1), set forth in the 

appendix to this subpart applicable to 

such component procedures whereby an 

individual can be notified, in response 

to a request, if any system of records 

named by the individual contains a 

record pertaining to that individual. In 

addition, such procedures must set forth 

the requirements for access to such 

records. At a minimum, such 

procedures must specify the times 

during, and the places at which access 

will be afforded, together with such 

identification as may be required of the 

individual before access. (See 5 U.S.C. 

552a(f)(1), (2) and (3).) 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44055 

(b) Access. Each component, in 

accordance with the procedures 

prescribed under paragraph (a) of this 

section, must allow an individual, upon 

request, to gain access to records or to 

any information pertaining to such 

individual which is contained in a 

system of records. Permit the individual 

to review the record and have a copy 

made of all or any portion of the record 

in a comprehensible form. Also permit 

the individual to be accompanied by 

any person of the individual’s choosing 

to review the record, except that the 

agency may require the individual to 

furnish a written statement authorizing 

discussion of that individual’s record in 

the accompanying person’s presence. 

(See 5 U.S.C. 552a(d)(1).) 

(c) Exceptions. Neither the procedures 

prescribed under paragraph (a) of this 

section nor the requirements for access 

under paragraph (b) of this section 

apply to: 

(1) Systems of records exempted 

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

§ 1.23(c); 

(2) Information compiled in 

reasonable anticipation of a civil action 

or proceeding (see 5 U.S.C. 552(d)(5)); or 

(3) Information pertaining to an 

individual which is contained in, and 

inseparable from, another individual’s 

record. 

(d) Format of request. (1) A request for 

notification of whether a record exists 

must: 

(i) Be made in writing and signed by 

the person making the request, who 

must be the individual about whom the 

record is maintained or such 

individual’s duly authorized 

representative (see § 1.34); 

(ii) State that it is made pursuant to 

the Privacy Act or the regulations in this 

subpart, or have ‘‘Privacy Act Request’’ 

written on both the request and on the 

envelope, if not submitted via a 

component-provided electronic method; 

(iii) Give the name of the system or 

subsystem or categories of records to 

which access is sought, as specified in 

‘‘Privacy Act Issuances’’ published by 

the Office of the Federal Register and 

referenced in the appendices to this 

subpart; 

(iv) Describe the nature of the record 

sought, the date of the record or the 

period in which the record was 

compiled or otherwise describe the 

record in sufficient detail to enable 

Department personnel to locate the 

system of records containing the record 

with a reasonable amount of effort; 

(v) Provide such identification of the 

requester as may be specified in the 

appropriate appendix to this subpart; 

and 

(vi) Be addressed or delivered in 

person or by a component-provided 

electronic method to the office or officer 

of the component indicated for the 

particular system or subsystem or 

categories of records to which the 

individual seeks access, as specified in 

‘‘Privacy Act Issuances’’ published by 

the Office of the Federal Register and 

referenced in the appendices to this 

subpart. As explained in appendix A to 

this subpart, requesters may send a 

written request to the Departmental 

Offices seeking assistance in identifying 

the appropriate component or in 

preparing a request for notification. 

Requesters seeking such assistance 

should submit a written request 

addressed to the Departmental Offices at 

the address specified in appendix A to 

this part. 

(2) A request for access to records 

must, in addition to complying with 

paragraphs (d)(1)(i) through (vi) of this 

section: 

(i) State whether the requester wishes 

to inspect the records or desires to have 

a copy made and furnished without first 

inspecting them; 

(ii) If a requester wants a copy of their 

records, they must clearly state in the 

request that they agree to pay the fees 

for duplication as ultimately determined 

in accordance with subpart A to this 

subpart (§ 1.7), unless such fees are 

waived under that section by the system 

manager or other appropriate official as 

indicated in the appropriate appendix to 

this subpart; and 

(iii) Comply with any other 

requirement set forth in the applicable 

appendix to this subpart or the ‘‘System 

of Records Notice’’ applicable to the 

system in question. Any request for 

access which does not comply with the 

requirements in the preceding sentence 

and those set forth elsewhere in this 

subpart, will not be deemed subject to 

the time constraints of this section, 

unless and until amended to comply 

with all requirements in this subpart. 

Components must advise the requester 

of any specific deficiencies so the 

requester can amend the request so it 

can be processed. This section applies 

only to records maintained in a system 

of records that are also in the possession 

or control of the component. (See 5 

U.S.C. 552a(d) and (f).) 

(e) Requests for records not in control 

of component. (1) Treasury employees 

must make reasonable efforts to assist an 

oral requester to learn to which office or 

officer a written request should be sent. 

When the request is for a record which 

is not in the possession or control of any 

Treasury component, the requester must 

be advised of this fact. 

(2) Where the record requested 

originated with a Federal agency other 

than Treasury or its components and 

was classified (e.g. National Defense or 

Intelligence Information) or otherwise 

restrictively endorsed (e.g. Office of 

Personnel Management records of 

Federal Bureau of Investigation reports) 

by the originating agency, and a copy is 

in the possession of a Treasury 

component, the component will refer 

that portion of the request to the 

originating agency for determination of 

all Privacy Act issues. In the case of a 

referral to another agency under this 

paragraph (e)(2), the component will 

notify the requester that such portion of 

the request has been so referred and that 

the requester may expect to hear from 

that agency. 

(3) When information sought from a 

system manager or other appropriate 

Treasury official includes information 

originating with other Federal agencies 

that is not classified or otherwise 

restrictively endorsed, the system 

manager or other appropriate Treasury 

official receiving the request must 

consult with the originating agency 

prior to making a decision to disclose or 

withhold the record. The system 

manager or other appropriate Treasury 

official maintaining the record must 

decide if disclosure is required. (See 5 

U.S.C. 552a(d) and (f).) 

(f) Date of receipt of request. For 

purposes of this subpart, the date of 

receipt of a request for notification or 

access to records shall be the date on 

which the requester satisfied all the 

requirements of paragraph (d) of this 

section. Requests for notification or 

access to records and any separate 

agreement to pay for copies must be 

stamped or endorsed with the date the 

receiving office/component received all 

information needed to satisfy the 

requirements in this section. The date of 

receipt of the last required document 

will be the date of receipt of the request 

for the purposes of this subpart. (See 5 

U.S.C. 552a(d) and (f).) 

(g) Notification of determination—(1) 

In general. The component officers 

designated in the appendices to this 

subpart must send the requester any 

required notifications, including notices 

stating the component has responsive 

records and whether it will provide 

access to the records requested. The 

component will mail notification of the 

determination within 30 days 

(excluding Saturdays, Sundays, and 

legal public holidays) after the date of 

receipt of the request, as determined in 

accordance with paragraph (f) of this 

section. If it is not possible to respond 

within 30 days, the relevant component 

officer must inform the requester (prior 


lotter on DSK11XQN23PROD with PROPOSALS1
44056 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

to the expiration of the 30-day 

timeframe), stating the reason for the 

delay (e.g., volume of records requested, 

scattered location of the records, need to 

consult other agencies, or the difficulty 

of the legal issues involved) and when 

a response will be dispatched. (See 5 

U.S.C. 552a(d) and (f).) 

(2) Granting of access. When the 

component determines that the request 

for access will be granted and the 

requester seeks a copy of the responsive 

records, the component must furnish 

such copy in a form comprehensible to 

the requester, together with a statement 

of the applicable duplication fees. If the 

requester indicates they want to exercise 

their right to inspect the responsive 

records, the component officer 

designated in the relevant appendix to 

this subpart must promptly notify the 

requester in writing of the 

determination, including when and 

where the requested records may be 

inspected. A requester seeking to 

inspect such records may be 

accompanied by another person of their 

choosing. The requester seeking access 

must sign a form indicating that 

Treasury is authorized to discuss the 

contents of the subject record in the 

accompanying person’s presence. If, 

after making the inspection, the 

requester requests a copy of all or a 

portion of the requested records and 

pays the applicable fees for duplication, 

the component must provide a copy of 

the records in a form comprehensible to 

the requester. Fees to be charged are as 

prescribed by subpart A to this subpart 

(§ 1.7). Components may charge for 

processing requests under the Freedom 

of Information Act, under the provisions 

of this section, or may issue their own 

fee schedules, which must be consistent 

with the OMB Guidelines. (See 5 U.S.C. 

552a(d) and (f).) 

(3) Requirements for access to 

medical records. When access is 

requested to medical records, including 

psychological records, the responsible 

official may determine that such release 

could have an adverse effect on the 

individual and that release will be made 

only to a physician authorized in 

writing to have access to such records 

by the individual making the request. 

Upon receipt of the authorization, the 

physician will be permitted to review 

the records or to receive copies of the 

records by mail, upon proper 

verification of identity. (See 5 U.S.C. 

552a(f) (3).) 

(4) Denial of request. When a 

component makes a determination to 

deny a request for notification of 

whether a record exists or deny access 

to existing responsive records (whether 

in whole or part or subject to conditions 

or exceptions), the component must 

notify the requester of the denial by 

mail in accordance with paragraph (g)(1) 

of this section. The letter of notification 

must specify the city or other location 

where the requested records are situated 

(if known), contain a statement of the 

reasons for not granting the request as 

made, set forth the name and title or 

position of the responsible official and 

advise the requester of the right to file 

suit in accordance with 5 U.S.C. 552a 

(g)(1)(B). 

(5) Prohibition against the use of 5 

U.S.C. 552(b) exemptions. A component 

may not invoke exemptions from 

disclosure under 5 U.S.C. 552(b) 

(subpart A to this part (§ 1.2 (c))), for the 

purpose of withholding from a requester 

any record which would otherwise be 

accessible to the requester under the 

Privacy Act and this subpart. (See 5 

U.S.C. 552a(t).) 

(6) Records exempt in whole or in 

part. (i) If Treasury deems it necessary 

to assert an exemption in response to a 

request for notification of the existence 

of or access to records, it will neither 

confirm nor deny the existence of the 

records if the records were exempted 

from individual access pursuant to 5 

U.S.C. 552a(j) or were compiled in 

reasonable anticipation of a civil action 

or proceeding in either a court or before 

an administrative tribunal. If Treasury 

asserts such an exemption, it must 

advise the requester only that it has 

identified no records available pursuant 

to the Privacy Act. 

(ii) Process requests from individuals 

for access to records which Treasury 

exempted from access pursuant to 5 

U.S.C. 552a(k) as follows: 

(A) Requests for information classified 

pursuant to Executive Orders 12958, 

13526, or successor or prior Executive 

orders require the responsible Treasury 

component to review the information to 

determine whether it continues to 

warrant classification pursuant to an 

Executive order. Information which no 

longer warrants classification under 

these criteria must be declassified and 

made available to the individual. If the 

information continues to warrant 

classification, the component must 

notify the requester that the information 

sought is classified, that it has been 

reviewed and continues to warrant 

classification, and that Treasury 

exempted it from access pursuant to 5 

U.S.C. 552(b)(1) and 5 U.S.C. 552a(k)(1). 

Classified information maintained in 

records Treasury exempted pursuant to 

5 U.S.C. 552a(j) must be reviewed as 

required by this paragraph (g)(6)(ii)(A), 

but the response to the individual must 

be in the form prescribed by paragraph 

(g)(6)(i) of this section. 

(B) Components must respond to 

requests for information maintained in 

records that Treasury exempted from 

disclosure pursuant to 5 U.S.C. 

552a(k)(2) in the manner provided in 

paragraph (g)(6)(i) of this section unless 

the requester shows that the component 

has used or is using the information to 

deny them any right, privilege, or 

benefit for which they are eligible or to 

which they would otherwise be entitled 

under Federal law. If the requester 

makes such a showing, the component 

must advise the requester of the 

existence of the records, extract any 

information from the records that would 

identify a confidential source, or 

provide a summary extract of the 

records to the requester in a manner 

which protects the source to the 

maximum degree possible. 

(C) Information a component 

compiled in its records as part of an 

employee background investigation that 

Treasury exempted from disclosure 

pursuant to 5 U.S.C. 552a(k)(5) must be 

made available to a requester unless the 

record identifies a confidential 

source(s). Information in the record that 

identifies confidential source(s) must be 

extracted or summarized in a manner 

which protects the source(s) to the 

maximum degree possible and the 

summary or extract must be provided to 

the requester. 

(D) Testing or examination material 

that Treasury exempted pursuant to 5 

U.S.C. 552a(k)(6) must not be made 

available to a requester if disclosure 

would compromise the objectivity or 

fairness of the testing or examination 

process but may be made available if no 

such compromise possibility exists. (See 

5 U.S.C. 552a(d)(5), (j) and (k).) 

§ 1.27 Procedures for amendment of 

records pertaining to individuals—format, 

agency review, and appeal from initial 

adverse agency determination. 

(a) In general. Subject to the 

application of exemptions Treasury 

promulgated in accordance with 

§ 1.23(c), and subject to paragraph (f) of 

this section, each component of the 

Department of the Treasury must, in 

conformance with 5 U.S.C. 552a(d)(2), 

permit an individual to request 

amendment of a record pertaining to 

such individual. Any request for 

amendment of records or any appeal 

that does not fully comply with the 

requirements of this section and any 

additional specific requirements 

imposed by the component in the 

applicable appendix to this subpart will 

not be deemed subject to the time 

constraints of paragraph (e) of this 

section, unless and until the request is 

amended to meet all requirements. 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44057 

However, components will advise the 

requester in what respect the request or 

appeal is non-compliant so that it may 

be resubmitted or amended. (See 5 

U.S.C. 552a(d) and (f).) 

(b) Form of request to amend records. 

In order to be subject to the provisions 

of this section, a request to amend 

records must: 

(1) Be made in writing and signed by 

the individual making the request, who 

must be the individual about whom the 

record is maintained, or the duly 

authorized representative of such 

individual; 

(2) State that it is made under the 

Privacy Act or the regulations in this 

subpart, with ‘‘Privacy Act Amendment 

Request’’ written on both the request 

and on the envelope; 

(3) Be addressed to the office or 

officer of the component specified for 

such purposes in ‘‘Privacy Act 

Issuances’’ published by the Office of 

the Federal Register and referenced in 

the appendices to this subpart for that 

purpose; and 

(4) Reasonably describe the records 

which the individual believes require 

amendment, including, to the best of the 

requester’s knowledge, dates of previous 

letters the requester sent to the 

component seeking access to their 

records and dates of letters in which the 

component provided notification to the 

requester concerning access, if any, and 

the individual’s documentation 

justifying the proposed correction. (See 

U.S.C. 552a(d) and (f).) 

(c) Date of receipt of request. For 

purposes of this subpart, the date of 

receipt of a request for amendment of 

records must be the date on which the 

requester satisfies all the requirements 

of paragraph (b) of this section. The 

receiving office or officer must stamp or 

otherwise endorse the date of receipt of 

the request. (See 5 U.S.C. 552a(d) and 

(f).) 

(d) Review of requests to amend 

records. Officials responsible for review 

of requests to amend records pertaining 

to an individual, as specified in the 

appropriate appendix to this subpart, 

must: 

(1) Not later than 10 days (excluding 

Saturdays, Sundays, and legal public 

holidays) after the date of receipt of 

such request, acknowledge in writing 

such receipt; and 

(2) Promptly, either— 

(i) Make any correction to any portion 

which the individual believes, and the 

official agrees is not accurate, relevant, 

timely, or complete; or 

(ii) Inform the individual of the 

refusal to amend the record in 

accordance with the individual’s 

request, the reason for the refusal, and 

the name and business address of the 

officer designated in the applicable 

appendix to this subpart, as the person 

who is to review such refusal. (See 5 

U.S.C. 552a(d) and (f).). 

(e) Administrative appeal—(1) In 

general. Each component must permit 

individuals to request a review of initial 

decisions made under paragraph (d) of 

this section when an individual 

disagrees with a refusal to amend the 

record. (See 5 U.S.C. 552a(d), (f), and 

(g)(1).) 

(2) Form of request for administrative 

review of refusal to amend record. At 

any time within 35 days after the date 

of the notification of the initial decision 

described in paragraph (d)(2)(ii) of this 

section, the requester may submit an 

administrative appeal from such refusal 

to the official specified in the 

notification of the initial decision and 

the appropriate appendix to this 

subpart. The appeal must: 

(i) Be made in writing, stating any 

arguments in support thereof and be 

signed by the requester to whom the 

record pertains, or the duly authorized 

representative of such individual; 

(ii) Be addressed and mailed or hand 

delivered within 35 days of the date of 

the initial decision to the office or 

officer specified in the appropriate 

appendix to this subpart and in the 

notification. (See the appendices to this 

subpart for the address to which appeals 

made by mail should be addressed.); 

(iii) Be clearly marked ‘‘Privacy Act 

Amendment Appeal’’ on the appeal and 

on the envelope; 

(iv) Reasonably describe the records 

the individual seeks to amend; and 

(v) Specify the date of the initial 

request to amend records, and the date 

of the component’s letter providing 

notification that the request was denied. 

(See 5 U.S.C. 552a(d) and (f).) 

(3) Date of receipt. Promptly stamp or 

endorse appeals with the date of their 

receipt by the office to which the appeal 

is addressed. Such stamped or endorsed 

date will be deemed to be the date of 

receipt for all purposes of this subpart. 

The responsible official in the office to 

which the appeal was addressed must 

acknowledge receipt of the appeal 

within 10 days (excluding Saturdays, 

Sundays, and legal public holidays) 

from the date of the receipt (unless the 

determination on appeal is dispatched 

in 10 days, in which case, no 

acknowledgement is required). The 

letter acknowledging receipt of the 

appeal must advise the requester of the 

date of receipt established by the 

foregoing and the number of days the 

responsible official has to decide the 

administrative appeal (including days 

included/not included in determining 

the deadline). (See 5 U.S.C. 552a(d) and 

(f).) 

(4) Review of administrative appeals 

from denial of requests to amend 

records. Officials responsible for 

deciding administrative appeals from 

denials of requests to amend records 

pertaining to an individual, as specified 

in the appendices to this subpart must: 

Complete the review and notify the 

requester of the final agency decision 

within 30 days (exclusive of Saturdays, 

Sundays, and legal public holidays) 

after the date of receipt of such appeal, 

unless the time is extended by the head 

of the agency or the delegate of such 

official, for good cause shown. If the 

final agency decision is to refuse to 

amend the record, in whole or in part, 

the requester must also be advised of the 

reasons the appeal was denied and their 

right— 

(i) To file a concise ‘‘Statement of 

Disagreement’’ (including the 

procedures for filing this statement) 

setting forth the reasons they disagree 

with the final agency decision; and/or 

(ii) To judicial review of the final 

agency decision refusing to amend the 

record(s) (under 5 U.S.C. 552a(g)(1)(A)). 

(See 5 U.S.C. 552a(d), (f) and (g)(1).) 

(5) Notation on record and 

distribution of statements of 

disagreement. The system manager is 

responsible, in any disclosure 

containing information about which an 

individual has filed a ‘‘Statement of 

Disagreement’’, occurring after the filing 

of the statement under paragraph (e)(4) 

of this section, for clearly noting any 

portion of the record which is disputed 

and providing copies of the statement 

and, if deemed appropriate, a concise 

statement of the component’s reasons 

for not making the amendments 

requested to persons or other agencies to 

whom the disputed record has been 

disclosed. (See 5 U.S.C. 552a(d)(4).) 

(f) Records not subject to correction 

under the Privacy Act. The following 

records are not subject to correction or 

amendment by individuals: 

(1) Transcripts or written statements 

made under oath; 

(2) Transcripts of Grand Jury 

proceedings, judicial or quasi-judicial 

proceedings which form the official 

record of those proceedings; 

(3) Pre-sentence reports comprising 

the property of the courts but 

maintained in agency files; 

(4) Records pertaining to the 

determination, the collection, and the 

payment of the Federal taxes; 

(5) Records duly exempted from 

correction by notice published in the 

Federal Register; and 


lotter on DSK11XQN23PROD with PROPOSALS1
44058 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

(6) Records compiled in reasonable 

anticipation of a civil action or 

proceeding. 

§ 1.28 Training, rules of conduct, penalties 

for non-compliance. 

(a) Training. The Deputy Assistant 

Secretary for Privacy, Transparency, and 

Records must institute a Departmental 

training program to instruct Treasury 

employees and employees of 

Government contractors covered by 5 

U.S.C. 552a(m), who are involved in the 

design, development, operation, or 

maintenance of any system of records, 

on a continuing basis with respect to the 

duties and responsibilities imposed on 

them and the rights conferred on 

individuals by the Privacy Act, the 

regulations in this subpart, including 

the appendices thereto, and any other 

related regulations. Such training must 

provide suitable emphasis on the civil 

and criminal penalties imposed on the 

Department and the individual 

employees by the Privacy Act for noncompliance with specified requirements 

of the Act as implemented by the 

regulations in this subpart. Components 

may supplement or supplant the 

departmental annual privacy awareness 

training to address Privacy Act issues 

unique to their missions. (See 5 U.S.C. 

552a(e)(9).) 

(b) Rules of conduct. In addition to 

the Standards of Conduct published in 

part O of this title, particularly 31 CFR 

0.735–44, the following applies to 

Treasury employees (including, to the 

extent required by the contract or 5 

U.S.C. 552a(m), Government contractors 

and employees of such contractors), 

who are involved in the design, 

development, operation, or maintenance 

of any system of records, or in 

maintaining any records, for or on 

behalf of the Department, including any 

component thereof. 

(1) The head of each office of a 

component of the Department is 

responsible for assuring that employees 

subject to such official’s supervision are 

advised of the provisions of the Privacy 

Act, including the criminal penalties 

and civil liabilities provided therein, 

and the regulations in this subpart, and 

that such employees are made aware of 

their individual and collective 

responsibilities to protect the security of 

personal information, to assure its 

accuracy, relevance, timeliness and 

completeness, to avoid unauthorized 

disclosure either orally or in writing, 

and to insure that no system of records 

is maintained without public notice. 

(2) Treasury must: 

(i) Collect no information about 

individuals for maintenance in a system 

of records unless authorized to collect it 

to achieve a function or carry out a 

responsibility of the Department; 

(ii) Collect from individuals only that 

information which is relevant and 

necessary to perform Department 

functions or responsibilities, unless 

related to a system exempted under 5 

U.S.C. 552a(j) or (k); 

(iii) Collect information, to the 

greatest extent practicable, directly from 

the individual to whom it relates, unless 

related to a system exempted under 5 

U.S.C. 552a(j); 

(iv) Inform individuals (and third 

parties, if feasible) from whom 

information is collected of the authority 

and purposes for collection, the use that 

will be made of the information, and the 

effects, both legal and practical, of not 

furnishing the information; 

(v) Neither collect, maintain, use nor 

disseminate information concerning an 

individual’s mere exercise of their First 

Amendment rights, including: an 

individual’s religious or political beliefs 

or activities; membership in 

associations or organizations; freedom 

of speech and of the press, and freedom 

of assembly and petition, unless: 

(A) The individual expressly 

authorizes it (for example, volunteering 

relevant and necessary information to 

obtain a benefit or enforce a right); 

(B) A statute expressly/explicitly 

authorizes the collection, maintenance, 

use or dissemination of the information 

(whether or not the statute specifically 

refers to the First Amendment); or 

(C) The activities involved are 

pertinent to and within the scope of an 

authorized investigation, adjudication 

or correctional activity; 

(vi) Advise their supervisors of the 

existence or contemplated development 

of any record system which is capable 

of retrieving information about 

individuals by individual identifier (to 

determine if actual retrieval is or will 

necessarily occur with some degree of 

regularity when the system of records 

becomes operational); 

(vii) Disseminate outside the 

Department no information from a 

system of records without the written 

consent of the individual who is the 

subject of the records unless disclosure 

is authorized by one of the 12 

exemptions in 5 U.S.C. 552a(b), which 

includes disclosure pursuant to a 

routine use published in a system of 

records notice in the Federal Register; 

(viii) Assure that an accounting is 

kept in the prescribed form of 

information about individuals that is 

maintained in a system of records and 

disseminated outside the Department, 

whether made orally or in writing, 

unless disclosed under 5 U.S.C. 552 and 

subpart A of this part; 

(ix) Collect, maintain, use, and 

disseminate information about 

individuals in a manner that ensures 

that no inadvertent disclosure of the 

information is made either within or 

outside the Department; and 

(x) Assure that the proper Department 

authorities (e.g., component privacy 

officer, legal counsel) are aware of any 

information in a system maintained by 

the Department which is not/might not 

be authorized under the provisions of 

the Privacy Act, including information 

on how an individual exercises their 

First Amendment rights, information 

that is/may be inaccurate, irrelevant, or 

so incomplete as to risk unfairness to 

the individual concerned if used to 

make adverse determinations. 

(c) Criminal penalties. (1) The Privacy 

Act imposes criminal penalties on the 

conduct of Government officers or 

employees as follows: Any officer or 

employee of an agency (which term 

includes Treasury): 

(i) Who by virtue of their employment 

or official position, has possession of, or 

access to, agency records which contain 

individually identifiable information 

the disclosure of which is prohibited by 

this section (see 5 U.S.C. 552a) or 

regulations in this subpart established 

under the Privacy Act, and who 

knowing that disclosure of the specific 

material is so prohibited, willfully 

discloses the material in any manner to 

any person or agency not entitled to 

receive it; or 

(ii) Who willfully maintains a system 

of records without meeting the notice 

requirements of paragraph (e)(4) of this 

section (see 5 U.S.C. 552a)—shall be 

guilty of a misdemeanor and fined not 

more than $5,000. 

(2) The Privacy Act also imposes a 

collateral criminal penalty 

(misdemeanor and a fine of not more 

than $5,000) on the conduct of any 

person who knowingly and willfully 

requests or obtains records covered by 

the Privacy Act from an agency under 

false pretenses. 

(3) For the purposes of 5 U.S.C. 

552a(i), the provisions of paragraph 

(c)(1) of this section are applicable to 

Government contractors and employees 

of such contractors who by contract, 

operate by or on behalf of the Treasury 

a system of records to accomplish a 

Departmental function. Such contractor 

and employees are considered 

employees of the Treasury for the 

purposes of 5 U.S.C. 552a(i). (See 5 

U.S.C. 552a (i) and (m).) 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44059 

§ 1.29 Records transferred to Federal 

Records Center or National Archives of the 

United States. 

(a) Records transferred for storage in 

the Federal Records Center. Records 

pertaining to an identifiable individual 

which are transferred to the Federal 

Records Center in accordance with 44 

U.S.C. 3103 must, for the purposes of 

the Privacy Act, be considered to be 

maintained by the component which 

deposited the record and must be 

subject to the provisions of the Privacy 

Act and this subpart. The Federal 

Records Center must not disclose such 

records except to Treasury or to others 

under rules consistent with the Privacy 

Act. These rules may be established by 

Treasury or a component. If such 

records are retrieved for the purpose of 

making a determination about an 

individual, Treasury or the relevant 

component must review them for 

accuracy, relevance, timeliness, and 

completeness. 

(b) Records transferred to the National 

Archives of the United States—(1) 

Records transferred to National 

Archives prior to September 27, 1975. 

Records pertaining to an identifiable 

individual transferred to the National 

Archives prior to September 27, 1975, as 

a record which has sufficient historical 

or other value to warrant its continued 

preservation by the United States 

Government, are deemed records 

maintained by the National Archives, 

and: 

(i) Must not be subject to the Privacy 

Act. 

(ii) Except, that a statement describing 

such records (modeled after 5 U.S.C. 

552a(e)(4)(A) through (G)) must be 

published in the Federal Register. 

(2) Records transferred to National 

Archives on or after September 27, 

1975. Records pertaining to an 

identifiable individual transferred to the 

National Archives as a record which has 

sufficient historical or other value to 

warrant its continued preservation by 

the United States Government, on or 

after September 27, 1975, must be 

deemed records maintained by the 

National Archives, and: 

(i) Must not be subject to the Privacy 

Act. 

(ii) Except, that a statement describing 

such records in accordance with 5 

U.S.C. 552a(e)(4)(A) through (G) must be 

published in the Federal Register and 

rules of conduct and training in 

accordance with 5 U.S.C. 552(e)(9) are 

to be established by the National 

Archives. (See 5 U.S.C. 552a(e).) 

§ 1.30 Application to system of records 

maintained by Government contractors. 

When a component contracts for the 

operation of a system of records, to 

accomplish a Treasury function, the 

provisions of the Privacy Act and this 

subpart must be applied to such system. 

The relevant component is responsible 

for ensuring that the contractor 

complies with the contract requirements 

relating to privacy. 

§ 1.31 Sale or rental of mailing lists. 

(a) In general. An individual’s name 

and address must not be sold or rented 

by a component unless such action is 

specifically authorized by law. 

(b) Withholding of names and 

addresses. This section must not be 

construed to require the withholding of 

names and addresses otherwise 

permitted to be made public. (See 5 

U.S.C. 552a(n).) 

§ 1.32 Collection, use, disclosure, and 

protection of Social Security numbers. 

(a) Treasury must only collect full 

Social Security numbers (SSNs) when 

relevant and necessary to accomplish a 

legally authorized purpose related to a 

Treasury mission. In the absence of 

another compelling justification for the 

use of the full SSN (approved by the 

relevant component Head and the 

Departmental Senior Agency Official for 

Privacy), Treasury must only collect and 

maintain full SSNs: 

(1) As a unique identifier for identity 

verification purposes related to cyber 

security, law enforcement, intelligence, 

and/or security background 

investigations; 

(2) When required by external entities 

to perform a function for or on behalf of 

Treasury; 

(3) When collection is expressly 

required by statute or regulation; 

(4) For statistical and other research 

purposes; 

(5) To ensure the delivery of 

government benefits, privileges, and 

services; and 

(6) When there are no reasonable, 

alternative means for meeting business 

requirements. 

(b) Treasury must not display the 

Social Security number on the outside 

of any package sent by mail. 

(c) Treasury must not display the 

Social Security number on any 

document sent by mail unless there are 

no reasonable, alternative means for 

meeting business requirements and 

masking or truncating/partially 

redacting the SSN are not feasible. 

(d) Whenever feasible, Treasury must 

mask, or truncate/partially redact Social 

Security numbers visible to authorized 

Treasury/component information 

technology users so they only see the 

portion (if any) of the Social Security 

number required to perform their 

official Treasury duties. 

(e) An individual must not be denied 

any right, benefit, or privilege provided 

by law by a component because of such 

individual’s refusal to disclose their 

Social Security number. 

(f) The provisions of paragraph (e) of 

this section do not apply with respect 

to: 

(1) Any disclosure which is required 

by Federal statute; or 

(2) The disclosure of a Social Security 

number to any Federal, State, or local 

agency maintaining a system of records 

in existence and operating before 

January 1, 1975, if such disclosure was 

required under statute or regulation 

adopted prior to such date to verify the 

identity of an individual. 

(g) When Treasury requests that an 

individual discloses their Social 

Security number, it must inform the 

individual: 

(1) Whether that disclosure is 

mandatory or voluntary; 

(2) By what statutory or other 

authority such number is solicited; and 

(3) What uses are made of the number. 

(h) Treasury must provide the 

information in this section in the notice 

discussed in § 1.28(b)(2)(iv). (See 

section 7 of the Privacy Act of 1974 set 

forth at 5 U.S.C. 552a, note.) 

§ 1.34 Guardianship. 

The parent or guardian of a minor or 

a person judicially determined to be 

incompetent must, in addition to 

establishing the identity of the minor or 

other person represented, establish 

parentage or guardianship by furnishing 

a copy of a birth certificate showing 

parentage or a court order establishing 

the guardianship and may thereafter, act 

on behalf of such individual. (See 5 

U.S.C. 552a(h).) 

§ 1.35 Information forms. 

(a) Review of forms. Except for forms 

developed and used by components, the 

Deputy Assistant Secretary for Privacy, 

Transparency, & Records must review 

all forms Treasury develops and uses to 

collect information from and about 

individuals. Component heads are 

responsible for reviewing forms used by 

their component to collect information 

from and about individuals. 

(b) Scope of review. The responsible 

officers must review each form for the 

purpose of eliminating any requirement 

for information that is not relevant and 

necessary to carry out an agency 

function and to accomplish the 

following objectives: 

(1) To ensure that Treasury does not 

collect information concerning religion, 


lotter on DSK11XQN23PROD with PROPOSALS1
44060 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

political beliefs or activities, association 

memberships, or the exercise of other 

First Amendment rights except as 

authorized in § 1.28(b)(2)(v); 

(2) To ensure that the form on which 

information is collected (or a separate 

form that can be retained by the 

individual) makes clear what 

information the individual is required to 

disclose by law (and the statutory of 

other authority for that requirement), 

and what information requested is 

voluntary; 

(3) To ensure that the form on which 

information is collected (or a separate 

form that can be retained by the 

individual) states clearly the principal 

purpose or purposes for which Treasury 

is collecting the information, and 

summarizes concisely the routine uses 

that will be made of the information; 

(4) To ensure that the form on which 

information is collected (or a separate 

form that can be retained by the 

individual) clearly indicates to the 

individual the effect that not providing 

all, or part of the requested information 

will have on their rights, benefits, or 

privileges of; and 

(5) To ensure that any form on which 

Treasury requests a Social Security 

number (SSN) (or a separate form that 

can be retained by the individual) 

clearly advises the individual of the 

statute or regulation requiring 

disclosure of the SSN or clearly advises 

the individual that disclosure is 

voluntary and that they will not be 

denied any right, benefit, or privilege if 

they refuse to voluntarily disclose it, 

and the uses that will be made of the 

SSN whether disclosed mandatorily or 

voluntarily. 

(c) Revision of forms. The responsible 

officers must revise any form which 

does not meet the objectives specified in 

the Privacy Act as discussed in this 

section. A separate statement may be 

used in instances when a form does not 

conform. This statement will 

accompany a form and must include all 

the information necessary to accomplish 

the objectives specified in the Privacy 

Act and this section. 

§ 1.36 Systems exempt in whole or in part 

from provisions of the Privacy Act and this 

part. 

(a) In general. In accordance with 5 

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

Treasury hereby exempts the systems of 

records identified in paragraphs (c) 

through (o) of this section from the 

following provisions of the Privacy Act 

for the reasons indicated. 

(b) Authority. The rules in this section 

are promulgated pursuant to the 

authority vested in the Secretary of the 

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

pursuant to the authority of § 1.23(c). 

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

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

the head of any agency may promulgate 

rules to exempt any system of records 

within the agency from certain 

provisions of the Privacy Act if the 

agency or component thereof that 

maintains the system performs as its 

principal function any activities 

pertaining to the enforcement of 

criminal laws. Certain Treasury 

components have as their principal 

function activities pertaining to the 

enforcement of criminal laws. This 

paragraph (c) applies to the following 

systems of records maintained by 

Treasury: 

(i) Treasury-wide. 

TABLE 1 TO PARAGRAPH (c)(1)(i) 

Number Name of system 

Treasury .013 .......................................... Department of the Treasury Civil Rights Complaints and Compliance Review Files. 

(ii) Departmental Offices. 

TABLE 2 TO PARAGRAPH (c)(1)(ii) 

Number Name of system 

DO .190 ................................................... Office of Inspector General Investigations Management Information System (formerly: Investigation 

Data Management System). 

DO .220 ................................................... SIGTARP Hotline Database. 

DO .221 ................................................... SIGTARP Correspondence Database. 

DO .222 ................................................... SIGTARP Investigative MIS Database. 

DO .223 ................................................... SIGTARP Investigative Files Database. 

DO .224 ................................................... SIGTARP Audit Files Database. 

DO .303 ................................................... TIGTA General Correspondence. 

DO .307 ................................................... TIGTA Employee Relations Matters, Appeals, Grievances, and Com plaint Files. 

DO .308 ................................................... TIGTA Data Extracts. 

DO .309 ................................................... TIGTA Chief Counsel Case Files. 

DO .310 ................................................... TIGTA Chief Counsel Disclosure Section Records. 

DO .311 ................................................... TIGTA Office of Investigations Files. 

(iii) Special Investigator for Pandemic 

Recovery (SIGPR). 

TABLE 3 TO PARAGRAPH (c)(1)(iii) 

SIGPR .420 ............................................. Audit and Evaluations Records. 

SIGPR .421 ............................................. Case Management System and Investigative Records. 

SIGPR .423 ............................................. Legal Records. 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44061 

(iv) Alcohol and Tobacco and Trade 

Bureau (TTB). 

TABLE 4 TO PARAGRAPH (c)(1)(iv) 

Number Name of system 

TTB .003 .................................................. Criminal Investigation Report System. 

(v) Office of the Comptroller of the 

Currency (OCC). 

TABLE 5 TO PARAGRAPH (c)(1)(v) 

Number Name of system 

CC .110 ................................................... Reports of Suspicious Activities. 

CC .120 ................................................... Bank Fraud Information System. 

CC .220 ................................................... Notices of Proposed Changes in Employees, Officers and Directors Tracking System. 

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

CC .510 ................................................... Litigation Information System. 

(vi) Internal Revenue Service. 

TABLE 6 TO PARAGRAPH (c)(1)(vi) 

Number Name of system 

IRS 34.022 ............................................... National Background Investigations Center Management Information System (NBICMIS). 

IRS 46.002 ............................................... Criminal Investigation Management Information System and Case Files. 

IRS 46.003 ............................................... Confidential Informants, Criminal Investigation Division. 

IRS 46.005 ............................................... Electronic Surveillance and Monitoring Records, Criminal Investigation Division. 

IRS 46.009 ............................................... Centralized Evaluation and Processing of Information Items (CEPIIs), Criminal Investigation Division. 

IRS 46.015 ............................................... Relocated Witnesses, Criminal Investigation Division. 

IRS 46.016 ............................................... Secret Service Details, Criminal Investigation Division. 

IRS 46.022 ............................................... Treasury Enforcement Communications System (TECS). 

IRS 46.050 ............................................... Automated Information Analysis System. 

IRS 90.001 ............................................... Chief Counsel Management Information System Records. 

IRS 90.004 ............................................... Chief Counsel Legal Processing Division Records. 

IRS 90.005 ............................................... Chief Counsel Library Records. 

(vii) Financial Crimes Enforcement 

Network. 

TABLE 7 TO PARAGRAPH (c)(1)(vii) 

Number Name of system 

FinCEN .001 ............................................ FinCEN Investigations and Examinations System. 

FinCEN .002 ............................................ Suspicious Activity Reporting System. 

FinCEN .003 ............................................ Bank Secrecy Act Reports System. 

(2) The Department hereby exempts 

the systems of records listed in 

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

section from the following provisions of 

the Privacy Act, pursuant to 5 U.S.C. 

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

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

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

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

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

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

(d) Reasons for exemptions under 5 

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

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

individuals to inquire whether a system 

of records contains records pertaining to 

them. Application of these provisions to 

the systems of records would give 

individuals an opportunity to learn 

whether they have been identified as 

suspects or subjects of investigation. As 

further described in the paragraphs 

(d)(2) through (12) of this section, access 

to such knowledge would impair the 

Department’s ability to carry out its 

mission, since individuals could: 

(i) Take steps to avoid detection; 

(ii) Inform associates that an 

investigation is in progress; 

(iii) Learn the nature of the 

investigation; 

(iv) Learn whether they are only 

suspects or identified as law violators; 

(v) Begin, continue, or resume illegal 

conduct upon learning that they are not 

identified in the system of records; or 

(vi) Destroy evidence needed to prove 

the violation. 

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

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

access to records pertaining to them. 

The application of these provisions to 

the systems of records would 

compromise the Department’s ability to 


lotter on DSK11XQN23PROD with PROPOSALS1
44062 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

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 to 

avoid detection or apprehension. 

(iii) Permitting access to investigative 

files and records could, moreover, 

disclose the identity of confidential 

sources and informants and the nature 

of the information supplied and thereby 

endanger the physical safety of those 

sources by exposing them to possible 

reprisals for having provided the 

information. Confidential sources and 

informants might refuse to provide 

criminal investigators with valuable 

information unless they believe that 

their identities will not be revealed 

through disclosure of their names or the 

nature of the information they supplied. 

Loss of access to such sources would 

seriously impair the Department’s 

ability to carry out its mandate. 

(iv) Furthermore, providing access to 

records contained in the systems of 

records could reveal the identities of 

undercover law enforcement officers 

who compiled information regarding the 

individual’s criminal activities and 

thereby endanger the physical safety of 

those undercover officers or their 

families by exposing them to possible 

reprisals. 

(v) By compromising the law 

enforcement value of the systems of 

records for the reasons outlined in 

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

section, permitting access in keeping 

with these provisions would discourage 

other law enforcement and regulatory 

agencies, foreign and domestic, from 

freely sharing information with the 

Department and thus would restrict the 

Department’s access to information 

necessary to accomplish its mission 

most effectively. 

(vi) Finally, the dissemination of 

certain information that the Department 

maintains in the systems of records is 

restricted by law. 

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

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

to request amendment of a record 

pertaining to him or her and require the 

agency either to amend the record, or to 

note the disputed portion of the record 

and to provide a copy of the 

individual’s statement of disagreement 

with the agency’s refusal to amend a 

record to persons or other agencies to 

whom the record is thereafter disclosed. 

Since these provisions depend on the 

individual having access to his or her 

records, and since these rules exempt 

the systems of records from the 

provisions of the Privacy Act relating to 

access to records, for the reasons set out 

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

provisions should not apply to the 

systems of records. 

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

agency to make accountings of 

disclosures of a record available to the 

individual named in the record upon 

his or her request. The accountings must 

state the date, nature, and purpose of 

each disclosure of the record and the 

name and address of the recipient. 

(i) The application of this provision 

would impair the ability of law 

enforcement agencies outside the 

Department of the Treasury to make 

effective use of information provided by 

the Department. Making accountings of 

disclosures available to the subjects of 

an investigation would alert them to the 

fact that another agency is conducting 

an investigation into their criminal 

activities and could reveal the 

geographic location of the other 

agency’s investigation, the nature and 

purpose of that investigation, and the 

dates on which that investigation was 

active. Individuals possessing such 

knowledge would be able to take 

measures to avoid detection or 

apprehension by altering their 

operations, by transferring their 

criminal activities to other geographical 

areas, or by destroying or concealing 

evidence that would form the basis for 

arrest. In the case of a delinquent 

account, such release might enable the 

subject of the investigation to dissipate 

assets before levy. 

(ii) Moreover, providing accountings 

to the subjects of investigations would 

alert them to the fact that the 

Department has information regarding 

their criminal activities and could 

inform them of the general nature of that 

information. Access to such information 

could reveal the operation of the 

Department’s information-gathering and 

analysis systems and permit individuals 

to take steps to avoid detection or 

apprehension. 

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

agency to inform any person or other 

agency about any correction or notation 

of dispute that the agency made in 

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

record that the agency disclosed to the 

person or agency if an accounting of the 

disclosure was made. Since this 

provision depends on an individual’s 

having access to and an opportunity to 

request amendment of records 

pertaining to him or her, and since these 

rules exempt the systems of records 

from the provisions of the Privacy Act 

relating to access to and amendment of 

records, for the reasons set out in 

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

provision should not apply to the 

systems of records. 

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

agency to publish a general notice 

listing the categories of sources for 

information contained in a system of 

records. The application of this 

provision to the systems of records 

could compromise the Department’s 

ability to provide useful information to 

law enforcement agencies, since 

revealing sources for the information 

could: 

(i) Disclose investigative techniques 

and procedures; 

(ii) Result in threats or reprisals 

against informants by the subjects of 

investigations; and 

(iii) Cause informants to refuse to give 

full information to criminal 

investigators for fear of having their 

identities as sources disclosed. 

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

agency to maintain in its records only 

such information about an individual as 

is relevant and necessary to accomplish 

a purpose of the agency required to be 

accomplished by statute or Executive 

order. The term maintain, as defined in 

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

disseminate. The application of this 

provision to the systems of records 

could impair the Department’s ability to 

collect and disseminate valuable law 

enforcement information. 

(i) In many cases, especially in the 

early stages of investigation, it may be 

impossible to immediately determine 

whether information collected is 

relevant and necessary, and information 

that initially appears irrelevant and 

unnecessary often may, upon further 

evaluation or upon collation with 

information developed subsequently, 

prove particularly relevant to a law 

enforcement program. 

(ii) Not all violations of law 

discovered by the Department fall 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44063 

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 may assert his/ 

her constitutional right to remain silent 

and refuse to supply information to 

criminal investigators upon request. 

(iv) During criminal investigations it 

is often a matter of sound investigative 

procedure to obtain information from a 

variety of sources to verify information 

already obtained from the subject of a 

criminal investigation or other sources. 

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

agency to inform each individual whom 

it asks to supply information, on the 

form that it uses to collect the 

information or on a separate form that 

the individual can retain, of the 

agency’s authority for soliciting the 

information; whether disclosure of 

information is voluntary or mandatory; 

the principal purposes for which the 

agency will use the information; the 

routine uses that may be made of the 

information; and the effects on the 

individual of not providing all or part of 

the information. The systems of records 

should be exempted from this provision 

to avoid impairing the Department’s 

ability to collect and collate 

investigative, intelligence, and 

enforcement data. 

(i) Confidential sources or undercover 

law enforcement officers often obtain 

information under circumstances in 

which it is necessary to keep the true 

purpose of their actions secret so as not 

to let the subject of the investigation or 

his or her associates know that a 

criminal investigation is in progress. 

(ii) If it became known that the 

undercover officer was assisting in a 

criminal investigation, that officer’s 

physical safety could be endangered 

through reprisal, and that officer may 

not be able to continue working on the 

investigation. 

(iii) Individuals often feel inhibited in 

talking to a person representing a 

criminal law enforcement agency but 

are willing to talk to a confidential 

source or undercover officer whom they 

believe are not involved in law 

enforcement activities. 

(iv) Providing a confidential source of 

information with written evidence that 

he or she was a source, as required by 

this provision, could increase the 

likelihood that the source of information 

would be subject to retaliation by the 

subject of the investigation. 

(v) Individuals may be contacted 

during preliminary information 

gathering, surveys, or compliance 

projects concerning the administration 

of the internal revenue laws before any 

individual is identified as the subject of 

an investigation. Informing the 

individual of the matters required by 

this provision would impede or 

compromise subsequent investigations. 

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

agency to maintain all records it uses in 

making any determination about any 

individual with such accuracy, 

relevance, timeliness, and completeness 

as is reasonably necessary to assure 

fairness to the individual in the 

determination. 

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

maintain to include collect and 

disseminate, application of this 

provision to the systems of records 

would hinder the initial collection of 

any information that could not, at the 

moment of collection, be determined to 

be accurate, relevant, timely, and 

complete. Similarly, application of this 

provision would seriously restrict the 

Department’s ability to disseminate 

information pertaining to a possible 

violation of law-to-law enforcement and 

regulatory agencies. In collecting 

information during a criminal 

investigation, it is often impossible or 

unfeasible to determine accuracy, 

relevance, timeliness, or completeness 

prior to collection of the information. In 

disseminating information to law 

enforcement and regulatory agencies, it 

is often impossible to determine 

accuracy, relevance, timeliness, or 

completeness prior to dissemination 

because the Department may not have 

the expertise with which to make such 

determinations. 

(ii) Information that may initially 

appear inaccurate, irrelevant, untimely, 

or incomplete may, when collated and 

analyzed with other available 

information, become more pertinent as 

an investigation progresses. In addition, 

application of this provision could 

seriously impede criminal investigators 

and intelligence analysts in the exercise 

of their judgment in reporting results 

obtained during criminal investigations. 

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

agency to make reasonable efforts to 

serve notice on an individual when the 

agency makes any record on the 

individual available to any person 

under compulsory legal process, when 

such process becomes a matter of public 

record. The systems of records should 

be exempted from this provision to 

avoid revealing investigative techniques 

and procedures outlined in those 

records and to prevent revelation of the 

existence of an ongoing investigation 

where there is need to keep the 

existence of the investigation secret. 

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

remedies to an individual when an 

agency wrongfully refuses to amend a 

record or to review a request for 

amendment, when an agency 

wrongfully refuses to grant access to a 

record, when an agency fails to maintain 

accurate, relevant, timely, and complete 

records which are used to make a 

determination adverse to the individual, 

and when an agency fails to comply 

with any other provision of the Privacy 

Act so as to adversely affect the 

individual. The systems of records 

should be exempted from this provision 

to the extent that the civil remedies may 

relate to provisions of the Privacy Act 

from which these rules exempt the 

systems of records, since there should 

be no civil remedies for failure to 

comply with provisions from which the 

Department is exempted. Exemption 

from this provision will also protect the 

Department from baseless civil court 

actions that might hamper its ability to 

collate, analyze, and disseminate 

investigative, intelligence, and law 

enforcement data. 

(e) Specific exemptions under 5 

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


lotter on DSK11XQN23PROD with PROPOSALS1
44064 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

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

promulgate rules to exempt any system 

of records within the agency from 

certain provisions of the Privacy Act to 

the extent that the system contains 

information subject to the provisions of 

5 U.S.C. 552(b)(1). This paragraph (e) 

applies to the following systems of 

records maintained by the Department 

of the Treasury: 

(i) Departmental Offices. 

TABLE 8 TO PARAGRAPH (e)(1)(i) 

Number Name of system 

DO .120 ................................................... Records Related to Office of Foreign Assets Control Economic Sanctions. 

DO .227 ................................................... Committee on Foreign Investment in the United States (CFIUS) Case Management System. 

DO .411 ................................................... Intelligence Enterprise Files. 

(ii) [Reserved] 

(2) The Department of the Treasury 

hereby exempts the systems of records 

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

from the following provisions of the 

Privacy Act, pursuant to 5 U.S.C. 

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

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

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

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

(f) Reasons for exemptions under 5 

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

invoking the exemption is to protect 

material authorized to be kept secret in 

the interest of national defense or 

foreign policy pursuant to Executive 

Orders 12958, 13526, or successor or 

prior Executive orders. 

(g) Specific exemptions under 5 

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

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

promulgate rules to exempt any system 

of records within the agency from 

certain provisions of the Privacy Act if 

the system is investigatory material 

compiled for law enforcement purposes 

and for the purposes of assuring the 

safety of individuals protected by the 

Department pursuant to the provisions 

of 18 U.S.C. 3056. This paragraph (g) 

applies to the following systems of 

records maintained by the Department 

of the Treasury: 

(i) Departmental Offices. 

TABLE 9 TO PARAGRAPH (g)(1)(i) 

Number Name of system 

DO .120 ................................................... Records Related to Office of Foreign Assets Control Economic Sanctions. 

DO .144 ................................................... General Counsel Litigation Referral and Reporting System. 

DO .190 ................................................... Office of Inspector General Investigations Management Information System (formerly: Investigation 

Data Management System). 

DO .220 ................................................... SIGTARP Hotline Database. 

DO .221 ................................................... SIGTARP Correspondence Database. 

DO .222 ................................................... SIGTARP Investigative MIS Database. 

DO .223 ................................................... SIGTARP Investigative Files Database. 

DO .224 ................................................... SIGTARP Audit Files Database. 

DO .225 ................................................... TARP Fraud Investigation Information System. 

DO .227 ................................................... Committee on Foreign Investment in the United States (CFIUS) Case Management System. 

DO .303 ................................................... TIGTA General Correspondence. 

DO .307 ................................................... TIGTA Employee Relations Matters, Appeals, Grievances, and Complaint Files. 

DO .308 ................................................... TIGTA Data Extracts. 

DO .309 ................................................... TIGTA Chief Counsel Case Files. 

DO .310 ................................................... TIGTA Chief Counsel Disclosure Section Records. 

DO .311 ................................................... TIGTA Office of Investigations Files. 

(ii) Special Investigator for Pandemic 

Recovery (SIGPR). 

TABLE 10 TO PARAGRAPH (g)(1)(ii) 

SIGPR .420 ............................................. Audit and Evaluations Records. 

SIGPR .421 ............................................. Case Management System and Investigative Records. 

SIGPR .423 ............................................. Legal Records. 

(iii) The Alcohol and Tobacco Tax 

and Trade Bureau (TTB). 

TABLE 11 TO PARAGRAPH (g)(1)(iii) 

Number Name of system 

TTB .001 .................................................. Regulatory Enforcement Record System. 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44065 

(iv) Comptroller of the Currency. 

TABLE 12 TO PARAGRAPH (g)(1)(iv) 

Number Name of system 

CC .100 ................................................... Enforcement Action Report System. 

CC .110 ................................................... Reports of Suspicious Activities. 

CC .120 ................................................... Bank Fraud Information System. 

CC .220 ................................................... Notices of Proposed Changes in Employees, Officers and Directors Tracking System. 

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

CC .510 ................................................... Litigation Information System. 

(v) Bureau of Engraving and Printing. 

TABLE 13 TO PARAGRAPH (g)(1)(v) 

Number Name of system 

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

(vi) Internal Revenue Service. 

TABLE 14 TO PARAGRAPH (g)(1)(vi) 

Number Name of system 

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

IRS 00.007 ............................................... Employee Complaint and Allegation Referral Records. 

IRS 00.334 ............................................... Third Party Contact Reprisal Records. 

IRS 22.061 ............................................... Wage and Information Returns Processing (IRP). 

IRS 26.001 ............................................... Acquired Property Records. 

IRS 26.006 ............................................... Form 2209, Courtesy Investigations. 

IRS 26.008 ............................................... IRS and Treasury Employee Delinquency. 

IRS 26.011 ............................................... Litigation Case Files. 

IRS 26.012 ............................................... Offer in Compromise (OIC) Files. 

IRS 26.013 ............................................... One-hundred Per Cent Penalty Cases. 

IRS 26.016 ............................................... Returns Compliance Programs (RCP). 

IRS 26.019 ............................................... TDA (Taxpayer Delinquent Accounts). 

IRS 26.020 ............................................... TDI (Taxpayer Delinquency Investigations) Files. 

IRS 26.021 ............................................... Transferee Files. 

IRS 26.022 ............................................... Delinquency Prevention Programs. 

IRS 34.020 ............................................... IRS Audit Trail Lead Analysis System. 

IRS 34.037 ............................................... IRS Audit Trail and Security Records System. 

IRS 37.002 ............................................... Applicant Appeal Files. 

IRS 37.003 ............................................... Closed Files Containing Derogatory Information about individuals’ Practice before the IRS and Files 

of Attorneys and Certified Public Accountants Formerly Enrolled to Practice. 

IRS 37.004 ............................................... Derogatory Information (No Action). 

IRS 37.005 ............................................... Present Suspensions and Disbarments Resulting from Administrative Proceeding. 

IRS 37.007 ............................................... Inventory. 

IRS 37.009 ............................................... Resigned Enrolled Agents (action pursuant to 31 CFR Section 10.55(b)).

IRS 37.011 ............................................... Present Suspensions from Practice Before the Internal Revenue Service.

IRS 42.001 ............................................... Examination Administrative File. 

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

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

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

IRS 42.017 ............................................... International Enforcement Program Files. 

IRS 42.021 ............................................... Compliance Programs and Projects Files. 

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

IRS 42.030 ............................................... Discriminant Function File (DIF) Appeals Case Files. 

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

IRS 46.050 ............................................... Automated Information Analysis System. 

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

IRS 49.001 ............................................... Collateral and Information Requests System. 

IRS 49.002 ............................................... Component Authority and Index Card Microfilm Retrieval System. 

IRS 49.007 ............................................... Overseas Compliance Projects System. 

IRS 60.000 ............................................... Employee Protection System Records. 

IRS 90.002 ............................................... Chief Counsel Disclosure Litigation Division Case Files. 

IRS 90.004 ............................................... Chief Counsel General Legal Services Case Files. 

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

IRS 90.009 ............................................... Chief Counsel Field Case Service Files. 

IRS 90.010 ............................................... Digest Room Files Containing Briefs, Legal Opinions, Digests of Documents Generated Internally or 

by the Department of Justice Relating to the Administration of the Revenue Laws. 


lotter on DSK11XQN23PROD with PROPOSALS1
44066 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

TABLE 14 TO PARAGRAPH (g)(1)(vi)—Continued 

Number Name of system 

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). 

(vii) U.S. Mint. 

TABLE 15 TO PARAGRAPH (g)(1)(vii) 

Number Name of system 

Mint .008 .................................................. Employee Background Investigations Files. 

(viii) Bureau of the Fiscal Service. 

TABLE 16 TO PARAGRAPH (g)(1)(viii) 

Number Name of system 

FS .009 .................................................... Delegations and Designations of Authority for Disbursing Functions. 

(ix) Financial Crimes Enforcement 

Network. 

TABLE 17 TO PARAGRAPH (g)(1)(ix) 

Number Name of system 

FinCEN .001 ............................................ FinCEN Database. 

FinCEN .002 ............................................ Suspicious Activity Reporting System. 

FinCEN .003 ............................................ Bank Secrecy Act Reports System. 

(2) The Department hereby exempts 

the systems of records listed in 

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

section from the following provisions of 

the Privacy Act, pursuant to 5 U.S.C. 

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

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

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

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

(h) Reasons for exemptions under 5 

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

requires an agency to make accountings 

of disclosures of a record available to 

the individual named in the record 

upon his or her request. The 

accountings must state the date, nature, 

and purpose of each disclosure of the 

record and the name and address of the 

recipient. 

(i) The application of this provision 

would impair the ability of the 

Department of the Treasury and of law 

enforcement agencies outside the 

Department to make effective use of 

information maintained by the 

Department. Making accountings of 

disclosures available to the subjects of 

an investigation would alert them to the 

fact that an agency is conducting an 

investigation into their illegal activities 

and could reveal the geographic location 

of the investigation, the nature and 

purpose of that investigation, and the 

dates on which that investigation was 

active. Individuals possessing such 

knowledge would be able to take 

measures to avoid detection or 

apprehension by altering their 

operations, by transferring their illegal 

activities to other geographical areas, or 

by destroying or concealing evidence 

that would form the basis for detection 

or apprehension. In the case of a 

delinquent account, such release might 

enable the subject of the investigation to 

dissipate assets before levy. 

(ii) Providing accountings to the 

subjects of investigations would alert 

them to the fact that the Department has 

information regarding their illegal 

activities and could inform them of the 

general nature of that information. 

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

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

access to records pertaining to them. 

The application of these provisions to 

the systems of records would 

compromise the Department’s ability to 

utilize and provide useful tactical and 

strategic information to law enforcement 

agencies. 

(i) Permitting access to records 

contained in the systems of records 

would provide individuals with 

information concerning the nature of 

any current investigations and would 

enable them to avoid detection or 

apprehension by: 

(A) Discovering the facts that would 

form the basis for their detection or 

apprehension; 

(B) Enabling them to destroy or alter 

evidence of illegal conduct that would 

form the basis for their detection or 

apprehension; and 

(C) Using knowledge that 

investigators had reason to believe that 

a violation of law was about to be 

committed, to delay the commission of 

the violation or commit it at a location 

that might not be under surveillance. 

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

also reveal investigative techniques and 

procedures, the knowledge of which 

could enable individuals planning noncriminal acts to structure their 

operations so as to avoid detection or 

apprehension. 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44067 

(iii) Permitting access to investigative 

files and records could, moreover, 

disclose the identity of confidential 

sources and informants and the nature 

of the information supplied and thereby 

endanger the physical safety of those 

sources by exposing them to possible 

reprisals for having provided the 

information. Confidential sources and 

informants might refuse to provide 

investigators with valuable information 

unless they believed that their identities 

would not be revealed through 

disclosure of their names or the nature 

of the information they supplied. Loss 

of access to such sources would 

seriously impair the Department’s 

ability to carry out its mandate. 

(iv) Furthermore, providing access to 

records contained in the systems of 

records could reveal the identities of 

undercover law enforcement officers or 

other persons who compiled 

information regarding the individual’s 

illegal activities and thereby endanger 

the physical safety of those undercover 

officers, persons, or their families by 

exposing them to possible reprisals. 

(v) By compromising the law 

enforcement value of the systems of 

records for the reasons outlined in 

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

section, permitting access in keeping 

with these provisions would discourage 

other law enforcement and regulatory 

agencies, foreign and domestic, from 

freely sharing information with the 

Department and thus would restrict the 

Department’s access to information 

necessary to accomplish its mission 

most effectively. 

(vi) Finally, the dissemination of 

certain information that the Department 

may maintain in the systems of records 

is restricted by law. 

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

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

to request amendment of a record 

pertaining to him or her and require the 

agency either to amend the record, or to 

note the disputed portion of the record 

and to provide a copy of the 

individual’s statement of disagreement 

with the agency’s refusal to amend a 

record to persons or other agencies to 

whom the record is thereafter disclosed. 

Since these provisions depend on the 

individual having access to his or her 

records, and since these rules exempt 

the systems of records from the 

provisions of the Privacy Act relating to 

access to records, these provisions 

should not apply to the systems of 

records for the reasons set out in 

paragraph (h)(2) of this section. 

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

agency to maintain in its records only 

such information about an individual as 

is relevant and necessary to accomplish 

a purpose of the agency required by 

statute or Executive order. The term 

maintain, as defined in 5 U.S.C. 

552a(a)(3), includes collect and 

disseminate. The application of this 

provision to the system of records could 

impair the Department’s ability to 

collect, utilize and disseminate valuable 

law enforcement information. 

(i) In many cases, especially in the 

early stages of investigation, it may be 

impossible immediately to determine 

whether information collected is 

relevant and necessary, and information 

that initially appears irrelevant and 

unnecessary often may, upon further 

evaluation or upon collation with 

information developed subsequently, 

prove particularly relevant to a law 

enforcement program. 

(ii) Not all violations of law 

discovered by the Department analysts 

fall within the investigative jurisdiction 

of the Department of the Treasury. To 

promote effective law enforcement, the 

Department will have to disclose such 

violations to other law enforcement 

agencies, including State, local, and 

foreign agencies that have jurisdiction 

over the offenses to which the 

information relates. Otherwise, the 

Department might be placed in the 

position of having to ignore information 

relating to violations of law not within 

the jurisdiction of the Department of the 

Treasury when that information comes 

to the Department’s attention during the 

collation and analysis of information in 

its records. 

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

enable individuals to inquire whether a 

system of records contains records 

pertaining to them. Application of these 

provisions to the systems of records 

would allow individuals to learn 

whether they have been identified as 

suspects or subjects of investigation. As 

further described in paragraphs (h)(5)(i) 

through (vi) of this section, access to 

such knowledge would impair the 

Department’s ability to carry out its 

mission, since individuals could: 

(i) Take steps to avoid detection; 

(ii) Inform associates that an 

investigation is in progress; 

(iii) Learn the nature of the 

investigation; 

(iv) Learn whether they are only 

suspects or identified as law violators; 

(v) Begin, continue, or resume illegal 

conduct upon learning that they are not 

identified in the system of records; or 

(vi) Destroy evidence needed to prove 

the violation. 

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

agency to publish a general notice 

listing the categories of sources for 

information contained in a system of 

records. The application of this 

provision to the systems of records 

could compromise the Department’s 

ability to complete or continue 

investigations or to provide useful 

information to law enforcement 

agencies, since revealing sources for the 

information could: 

(i) Disclose investigative techniques 

and procedures; 

(ii) Result in threats or reprisals 

against informants by the subjects of 

investigations; and 

(iii) Cause informants to refuse to give 

full information to investigators for fear 

of having their identities as sources 

disclosed. 

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

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

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

promulgate rules to exempt any system 

of records within the agency from 

certain provisions of the Privacy Act if 

the system is required by statute to be 

maintained and used solely as statistical 

records. This paragraph (i) applies to the 

following system of records maintained 

by the Department, for which exemption 

is claimed under 5 U.S.C. 552a(k)(4). 

(i) Internal Revenue Service. 

TABLE 18 TO PARAGRAPH (i)(1)(i) 

Number Name of system 

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

(ii) [Reserved] 

(2) The Department hereby exempts 

the system of records listed in paragraph 

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

provisions of the Privacy Act, pursuant 

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

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

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

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

552a(f). 

(3) The system of records is 

maintained under 26 U.S.C. 6108, 


lotter on DSK11XQN23PROD with PROPOSALS1
44068 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

which requires that the Secretary or his 

delegate prepare and publish annually 

statistics reasonably available with 

respect to the operation of the income 

tax laws, including classifications of 

taxpayers and of income, the amounts 

allowed as deductions, exemptions, and 

credits, and any other facts deemed 

pertinent and valuable. 

(j) Reasons for exemptions under 5 

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

exempting the system of records is that 

disclosure of statistical records 

(including release of accounting for 

disclosures) would in most instances be 

of no benefit to a particular individual 

since the records do not have a direct 

effect on a given individual. 

(k) Specific exemptions under 5 

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

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

promulgate rules to exempt any system 

of records within the agency from 

certain provisions of the Privacy Act if 

the system is investigatory material 

compiled solely for the purpose of 

determining suitability, eligibility, and 

qualifications for Federal civilian 

employment or access to classified 

information, but only to the extent that 

the disclosure of such material would 

reveal the identity of a source who 

furnished information to the 

Government under an express promise 

that the identity of the source would be 

held in confidence, or, prior to 

September 27, 1975, under an implied 

promise that the identity of the source 

would be held in confidence. Thus, to 

the extent that the records in this system 

can be disclosed without revealing the 

identity of a confidential source, they 

are not within the scope of this 

exemption and are subject to all the 

requirements of the Privacy Act. This 

paragraph (j) applies to the following 

systems of records maintained by the 

Department or one of its bureaus: 

(i) Departmental Offices. 

TABLE 19 TO PARAGRAPH (k)(1)(i) 

Number Name of system 

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

DO .306 ................................................... TIGTA Recruiting and Placement Records. 

(ii) Internal Revenue Service. 

TABLE 20 TO PARAGRAPH (k)(1)(ii) 

Number Name of system 

IRS 34.021 ............................................... Personnel Security Investigations. 

IRS 34.022 ............................................... Automated Background Investigations System (ABIS). 

IRS 90.006 ............................................... Chief Counsel Human Resources and Administrative Records. 

(2) The Department hereby exempts 

the systems of records listed in 

paragraphs (k)(1)(i) and (ii) of this 

section from the following provisions of 

the Privacy Act, pursuant to 5 U.S.C. 

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

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

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

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

(l) Reasons for exemptions under 5 

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

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

records are exempt include in general 

those providing for individuals’ access 

to or amendment of records. When such 

access or amendment would cause the 

identity of a confidential source to be 

revealed, it would impair the future 

ability of the Department to compile 

investigatory material for the purpose of 

determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, Federal contracts, or 

access to classified information. In 

addition, the systems shall be exempt 

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

that an agency maintain in its records 

only such information about an 

individual as is relevant and necessary 

to accomplish a purpose of the agency 

required to be accomplished by statute 

or executive order. The Department 

believes that to fulfill the requirements 

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

restrict the agency in its information 

gathering inasmuch as it is often not 

until well after the investigation that it 

is possible to determine the relevance 

and necessity of particular information. 

(2) If any investigatory material 

contained in the above-named systems 

becomes involved in criminal or civil 

matters, exemptions of such material 

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

hereby claimed. 

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

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

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

promulgate rules to exempt any system 

of records that is testing, or examination 

material used solely to determine 

individual qualifications for 

appointment or promotion in the 

Federal service the disclosure of which 

would compromise the objectivity or 

fairness of the testing or examination 

process. This paragraph (m) applies to 

the following system of records 

maintained by the Department, for 

which exemption is claimed under 5 

U.S.C. 552a(k)(6). 

(i) Departmental Offices. 

TABLE 21 TO PARAGRAPH (m)(1)(i) 

Number Name of system 

DO .306 ................................................... TIGTA Recruiting and Placement Records. 

(ii) [Reserved] 

(2) The Department hereby exempts 

the system of records listed in paragraph 

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

provisions of the Privacy Act, pursuant 

to 5 U.S.C. 552a(k)(6): 5 U.S.C. 

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

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


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44069 

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

552a(f). 

(n) Reasons for exemptions under 5 

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

exempting the system of records is that 

disclosure of the material in the system 

would compromise the objectivity or 

fairness of the examination process. 

(o) Exempt information included in 

another system. Any information from a 

system of records for which an 

exemption is claimed under 5 U.S.C. 

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

another system of records retains the 

same exempt status such information 

has in the system for which such 

exemption is claimed. 

Appendix A to Subpart C of Part 1— 

Departmental Offices 

1. In general. This appendix applies to the 

Departmental Offices as defined in this 

subpart, § 1.20. It sets forth specific 

notification and access procedures with 

respect to particular systems of records, 

identifies the officers designated to make the 

initial determinations with respect to 

notification and access to records, the officers 

designated to make the initial and appellate 

determinations with respect to requests for 

amendment of records, the officers 

designated to grant extensions of time on 

appeal, the officers with whom ‘‘Statement of 

Disagreement’’ may be filed, the officer 

designated to receive service of process and 

the addresses for delivery of requests, 

appeals, and service of process. In addition, 

it references the notice of systems of records 

and notices of the routine uses of the 

information in the system required by 5 

U.S.C. 552a(e)(4) and (11) and published 

annually by the Office of the Federal Register 

in ‘‘Privacy Act Issuances.’’ 

2. Requests for notification and access to 

records and accountings of disclosures. 

Initial determinations under § 1.26, whether 

to grant requests for notification and access 

to records and accountings of disclosures for 

the Departmental Offices, will be made by 

the head of the organizational unit having 

immediate custody of the records requested, 

or the delegate of such official. This 

information is contained in the appropriate 

system notice in the ‘‘Privacy Act Issuances’’, 

published annually by the Office of the 

Federal Register. Requests for information 

and specific guidance on where to send 

requests for records should be addressed to: 

Privacy Act Request, DO, Director, FOIA and 

Transparency, Department of the Treasury, 

1500 Pennsylvania Avenue NW, Washington, 

DC 20220. Requests may also be submitted: 

on the Treasury/FOIA portal, which can be 

found at: https://home.treasury.gov/footer/ 

freedom-of-information-act/submit-a-request; 

or by email at FOIA@treasury.gov. 

3. Requests for amendments of records. 

Initial determinations under § 1.27(a) through 

(d) with respect to requests to amend records 

for records maintained by the Departmental 

Offices will be made by the head of the 

organization or unit having immediate 

custody of the records or the delegate of such 

official. Requests for amendment of records 

should be addressed as indicated in the 

appropriate system notice in ‘‘Privacy Act 

Issuances’’ published by the Office of the 

Federal Register. Requests for information 

and specific guidance on where to send these 

requests should be addressed to: Privacy Act 

Amendment Request, DO, Director, FOIA and 

Transparency, Department of the Treasury, 

1500 Pennsylvania Avenue NW., 

Washington, DC 20220. 

4. Administrative appeal of initial 

determination refusing to amend record. 

Appellate determinations under § 1.27(e) 

with respect to records of the Departmental 

Offices, including extensions of time on 

appeal, will be made by the Secretary, 

Deputy Secretary, Under Secretary, General 

Counsel, Special Inspector General for 

Troubled Assets Relief Program, or Assistant 

Secretary having jurisdiction over the 

organizational unit which has immediate 

custody of the records, or the delegate of 

such official, as limited by 5 U.S.C. 

552a(d)(2) and (3). Appeals made by mail 

should be addressed as indicated in the letter 

of initial decision or to: Privacy Act 

Amendment Request, DO, Director, FOIA and 

Transparency, Department of the Treasury, 

1500 Pennsylvania Avenue NW, Washington, 

DC 20220. 

5. Statements of disagreement. ‘‘Statements 

of Disagreement’’ as described in § 1.27(e)(4) 

shall be filed with the official signing the 

notification of refusal to amend at the 

address indicated in the letter of notification 

within 35 days of the date of notification and 

should be limited to one page. 

6. Service of process. Service of process 

will be received by the General Counsel of 

the Department of the Treasury or the 

delegate of such official and shall be 

delivered to the following location: General 

Counsel, Department of the Treasury, Room 

3000, Main Treasury Building, 1500 

Pennsylvania Avenue NW, Washington, DC 

20220. 

7. Annual notice of systems of records. The 

annual notice of systems of records required 

to be published by the Office of the Federal 

Register in the publication entitled ‘‘Privacy 

Act Issuances’’, as specified in 5 U.S.C. 

552a(f). Any specific requirements for access, 

including identification requirements, in 

addition to the requirements set forth in 

§§ 1.26 and 1.27 and section 8 of this 

appendix, and locations for access are 

indicated in the notice for the pertinent 

system. 

8. Verification of identity. An individual 

seeking notification or access to records, or 

seeking to amend a record, must satisfy one 

of the following identification requirements 

before action will be taken by the 

Departmental Offices on any such request: 

(i) An individual seeking notification or 

access to records in person, or seeking to 

amend a record in person, may establish 

identity by the presentation of a single 

official document bearing a photograph (such 

as a passport or identification badge) or by 

the presentation of two items of 

identification which do not bear a 

photograph but do bear both a name and 

signature (such as a driver’s license or credit 

card). 

(ii) An individual seeking notification or 

access to records by mail, or seeking to 

amend a record by mail, may establish 

identity by a signature, address, and one 

other identifier such as a photocopy of a 

driver’s license or other official document 

bearing the individual’s signature. 

(iii) Notwithstanding paragraphs 8(i) and 

(ii) of this section, an individual seeking 

notification or access to records by mail or 

in person, or seeking to amend a record by 

mail or in person, who so desires, may 

establish identity by providing a notarized 

statement, swearing or affirming to such 

individual’s identity and to the fact that the 

individual understands the penalties 

provided in 5 U.S.C. 552a(i)(3) for requesting 

or obtaining access to records under false 

pretenses. 

(iv) Notwithstanding paragraph 8(i), (ii), or 

(iii) of this section, a designated official may 

require additional proof of an individual’s 

identity before action will be taken on any 

request, if such official determines that it is 

necessary to protect against unauthorized 

disclosure of information in a particular case. 

In addition, a parent of any minor or a legal 

guardian of any individual will be required 

to provide adequate proof of legal 

relationship before such person may act on 

behalf of such minor or such individual. 

Appendix B to Subpart C of Part 1— 

Internal Revenue Service 

1. Purpose. The purpose of this section is 

to set forth the procedures that have been 

established by the Internal Revenue Service 

for individuals to exercise their rights under 

the Privacy Act (Pub. L. 93–579, 88 Stat. 

1896) with respect to systems of records 

maintained by the Internal Revenue Service, 

including the Office of the Chief Counsel. 

The procedures contained in this section are 

to be promulgated under the authority of 5 

U.S.C. 552a(f). The procedures contained in 

this section relate to the following: 

(a) The procedures whereby an individual 

can be notified in response to a request if a 

system of records named by the individual 

contains a record pertaining to such 

individual (5 U.S.C. 552a(f)(1)). 

(b) The procedures governing reasonable 

times, places, and requirements for 

identifying an individual who requests a 

record of information pertaining to such 

individual before the Internal Revenue 

Service will make the record or information 

available to the individual (5 U.S.C. 

552a(f)(2)). 

(c) The procedures for the disclosure to an 

individual upon a request of a record of 

information pertaining to such individual, 

including special procedures for the 

disclosure to an individual of medical 

records, including psychological records (5 

U.S.C. 552a (f)(3)). 

(d) The procedures for reviewing a request 

from an individual concerning the 

amendment of any record or information 

pertaining to the individual, for making a 

determination on the request, for an appeal 

within the Internal Revenue Service of an 

initial adverse agency determination, and for 

whatever additional means may be necessary 

for individuals to be able to exercise fully 

their right under the Privacy Act (5 U.S.C. 

552a (f)(4)). 

Any individual seeking to determine 

whether a system of records maintained by 


lotter on DSK11XQN23PROD with PROPOSALS1
44070 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

any office of the Internal Revenue Service 

contains a record or information pertaining to 

such individual, or seeking access to, or 

amendment of, such a record, must comply 

fully with the applicable procedure 

contained in section 3 or 4 of this appendix 

before the Internal Revenue Service will act 

on the request. Neither the notification and 

access (or accounting of disclosures) 

procedures under section 3 of this appendix 

nor the amendment procedures under section 

4 of this appendix are applicable to: 

(i) Systems of records exempted pursuant 

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

(ii) Information compiled in reasonable 

anticipation of a civil action or proceeding 

(see 5 U.S.C. 552a(d)(5)); or 

(iii) Information pertaining to an 

individual which is contained in, and 

inseparable from, another individual’s 

record. 

2. Access to and amendment of tax 

records. The provisions of the Privacy Act 

may not be used by an individual to amend 

or correct any tax record. The determination 

of liability for taxes imposed by the Internal 

Revenue Service Code, the collection of such 

taxes, and the payment (including credits or 

refunds of overpayments) of such taxes are 

governed by the provisions of the Internal 

Revenue Service Code and by the procedural 

rules of the Internal Revenue Service. These 

provisions set forth the established 

procedures governing the determination of 

liability for tax, the collection of such taxes, 

and the payment (including credits or 

refunds of overpayments) of such taxes. In 

addition, these provisions set forth the 

procedures (including procedures for judicial 

review) for resolving disputes between 

taxpayers and the Internal Revenue Service 

involving the amount of tax owed, or the 

payment or collection of such tax. These 

procedures are the exclusive means available 

to an individual to contest the amount of any 

liability for tax or the payment or collection 

thereof. See, for example, 26 CFR 601.103 for 

summary of general tax procedures. 

Individuals are advised that Internal Revenue 

Service procedures permit the examination of 

tax records during the course of an 

investigation, audit, or collection activity. 

Accordingly, individuals should contact the 

Internal Revenue Service employee 

conducting an audit or effecting the 

collection of tax liabilities to gain access to 

such records, rather than seeking access 

under the provisions of the Privacy Act. 

Where, on the other hand, an individual 

desires information or records not in 

connection with an investigation, audit, or 

collection activity, the individual may follow 

these procedures. 

3. Procedures for access to records—(a) In 

general. This paragraph sets forth the 

procedure whereby an individual can be 

notified in response to a request if a system 

of records named by the individual which is 

maintained by the Internal Revenue Service 

contains a record pertaining to such 

individual. In addition, this paragraph sets 

forth the procedure for the disclosure to an 

individual upon a request of a record or 

information pertaining to such individual, 

including the procedures for verifying the 

identity of the individual before the Internal 

Revenue Service will make a record 

available, and the procedure for requesting 

an accounting of disclosures of such records. 

An individual seeking to determine whether 

a particular system of records contains a 

record or records pertaining to such 

individual and seeking access to such records 

(or seeking an accounting of disclosures of 

such records) shall make a request for 

notification and access (or a request for an 

accounting of disclosures) in accordance 

with the rules provided in paragraph 3(b) of 

this section. 

(b) Form of request for notification and 

access or request for an accounting of 

disclosures. (i) A request for notification and 

access (or request for an accounting of 

disclosures) shall be made in writing and 

shall be signed by the person making the 

request. 

(ii) Such request shall be clearly marked, 

‘‘Request for notification and access,’’ or 

‘‘Request for accounting of disclosures.’’ 

(iii) Such a request shall contain a 

statement that it is being made under the 

provisions of the Privacy Act. 

(iv) Such request shall contain the name 

and address of the individual making the 

request. In addition, if a particular system 

employs an individual’s social security 

number as an essential means of accessing 

the system, the request must include the 

individual’s Social Security number. In the 

case of a record maintained in the name of 

two or more individuals (e.g., husband and 

wife), the request shall contain the names, 

addresses, and Social Security numbers (if 

necessary) of both individuals. 

(v) Such request shall specify the name and 

location of the particular system of records 

(as set forth in the Notice of Systems) for 

which the individual is seeking notification 

and access (or an accounting of disclosures), 

and the title and business address of the 

official designated in the access section for 

the particular system (as set forth in the 

Notice of Systems). In the case of two or more 

systems of records which are under the 

control of the same designated official at the 

same systems location, a single request may 

be made for such systems. In the case of two 

or more systems of records which are not in 

the control of the same designated official at 

the same systems location, a separate request 

must be made for each such system. 

(vi) If an individual wishes to limit a 

request for notification and access to a 

particular record or records, the request 

should identify the particular record. In the 

absence of a statement to the contrary, a 

request for notification and access for a 

particular system of records shall be 

considered to be limited to records which are 

currently maintained by the designated 

official at the systems location specified in 

the request. 

(vii) If such request is seeking notification 

and access to material maintained in a 

system of records which is exempt from 

disclosure and access under 5 U.S.C. 

552a(k)(2), the individual making the request 

must establish that such individual has been 

denied a right, privilege, or benefit that such 

individual would otherwise be entitled to 

under Federal law as a result of the 

maintenance of such material. 

(viii) Such request shall state whether the 

individual wishes to inspect the record in 

person, or desires to have a copy made and 

furnished without first inspecting it. If the 

individual desires to have a copy made, the 

request must include an agreement to pay the 

fee for duplication ultimately determined to 

be due. If the individual does not wish to 

inspect a record, but merely wishes to be 

notified whether a particular system or 

records contains a record pertaining to such 

individual, the request should so state. 

(c) Time and place for making a request. 

A request for notification and access to 

records under the Privacy Act (or a request 

for accounting of disclosures) shall be 

addressed to or delivered in person to the 

office of the official designated in the access 

section for the particular system of records 

for which the individual is seeking 

notification and access (or an accounting of 

disclosures). The title and office address of 

such official is set forth for each system of 

records in the Notice of Systems of Records. 

A request delivered to an office in person 

must be delivered during the regular office 

hours of that office. 

(d) Sample request for notification and 

access to records. The following are sample 

requests for notification and access to records 

which will satisfy the requirements of this 

paragraph: 

Request for Notification and Access to 

Records by Mail 

I, John Doe, of 100 Main Street, Boston, 

MA 02108 (soc. sec. num. 000–00–0000) 

request under the Privacy Act of 1974 that 

the following system of records be examined 

and that I be furnished with a copy of any 

record (or a specified record) contained 

therein pertaining to me. I agree that I will 

pay the fees ultimately determined to be due 

for duplication of such record. I have 

enclosed the necessary information. 

System Name: 

System Location: 

Designated Official: 

John Doe 

Request for Notification and Access to 

Records in Person 

I, John Doe, of 100 Main Street, Boston, 

MA 02108 (soc. sec. num. 000–00–0000) 

request under the provisions of the Privacy 

Act of 1974, that the following system of 

records be examined and that I be granted 

access in person to inspect any record (or a 

specified record) contained therein 

pertaining to me. I have enclosed the 

necessary identification. 

System Name: 

System Location: 

Designated Official: 

John Doe 

(e) Processing a request for notification and 

access to records or a request for an 

accounting of disclosures. (i) If a request for 

notification and access (or request for an 

accounting of disclosures) omits any 

information which is essential to processing 

the request, the request will not be acted 

upon and the individual making the request 

will be promptly advised of the additional 

information which must be submitted before 

the request can be processed. 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44071 

(ii) Within 30 days (not including 

Saturdays, Sundays, and legal public 

holidays) after the receipt of a request for 

notification and access (or a request for an 

accounting of disclosures), to a particular 

system of records by the designated official 

for such system, a determination will be 

made as to whether the particular system of 

records is exempt from the notification and 

access provisions of the Privacy Act, and if 

such system is not exempt, whether it does 

or does not contain a record pertaining to the 

individual making the request. If a 

determination cannot be made within 30 

days, the individual will be notified of the 

delay, the reasons therefor, and the 

approximate time required to make a 

determination. If it is determined by the 

designated official that the particular system 

of records is exempt from the notification 

and access provisions of the Privacy Act, the 

individual making the request will be 

notified of the provisions of the Privacy Act 

under which the exemption is claimed. On 

the other hand, if it is determined by the 

designated official that the particular system 

of records is not exempted from the 

notification and access provisions of the 

Privacy Act and that such system contains a 

record pertaining to the individual making 

the request, the individual will be notified of 

the time and place where inspection may be 

made. If an individual has not requested that 

access be granted to inspect the record in 

person, but merely requests that a copy of the 

record be furnished, or if it is determined by 

the designated official that the granting of 

access to inspect a record in person is not 

feasible in a particular case, then the 

designated official will furnish a copy of the 

record with the notification, or if a copy 

cannot be furnished at such time, a statement 

indicating the approximate time such copy 

will be furnished. If the request is for an 

accounting of disclosures from a system of 

records which is not exempt from the 

accounting of disclosure provisions of the 

Privacy Act, the individual will be furnished 

with an accounting of such disclosures. 

(f) Granting of access. Normally, an 

individual will be granted access to inspect 

a record in person within 30 days (excluding 

Saturdays, Sundays, and legal public 

holidays) after the receipt for a request for 

notification and access by the designated 

official. If access cannot be granted within 30 

days, the notification will state the reasons 

for the delay and the approximate time such 

access will be granted. An individual 

wishing to inspect a record may be 

accompanied by another person of his 

choosing. Both the individual seeking access 

and the individual accompanying him may 

be required to sign a form supplied by the 

Internal Revenue Service (IRS) indicating 

that the Service is authorized to disclose or 

discuss the contents of the record in the 

presence of both individuals. See 26 CFR 

601.502 for requirements to be met by 

taxpayer’s representatives in order to discuss 

the contents of any tax records. 

(g) Medical records. When access is 

requested to medical records (including 

psychological records), the designated 

official may determine that release of such 

records will be made only to a physician 

designated by the individual to have access 

to such records. 

(h) Verification of identity. An individual 

seeking notification or access to records, or 

seeking to amend a record, must satisfy one 

of the following identification requirements 

before action will be taken by the IRS on any 

such request: 

(i) An individual seeking notification or 

access to records in person, or seeking to 

amend a record in person, may establish 

identity by the presentation of a single 

document bearing a photograph (such as a 

passport or identification badge) or by the 

presentation of two items of identification 

which do not bear a photograph but do bear 

both a name and signature (such as a driver’s 

license or credit card). 

(ii) An individual seeking notification or 

access to records by mail, or seeking to 

amend a record by mail, may establish 

identity by a signature, address, and one 

other identifier such as a photocopy of a 

driver’s license or other document bearing 

the individual’s signature. 

(iii) Notwithstanding paragraph 3(h)(i) and 

(ii) of this section, an individual seeking 

notification or access to records by mail or 

in person, or seeking to amend a record by 

mail or in person, who so desires, may 

establish identity by providing a notarized 

statement, swearing or affirming to such 

individual’s identity and to the fact that the 

individual understands the penalties 

provided in 5 U.S.C. 552a(i)(3) for requesting 

or obtaining access to records under false 

pretenses. 

(iv) Notwithstanding paragraph 3(h)(i), (ii), 

or (iii) of this section, a designated official 

may require additional proof of an 

individual’s identity before action will be 

taken on any request if such official 

determines that it is necessary to protect 

unauthorized disclosure of information in a 

particular case. In addition, a parent of any 

minor or a legal guardian of any individual 

will be required to provide adequate proof of 

legal relationship before such person may act 

on behalf of such minor or such individual. 

(i) Fees. The fee for costs required of the 

IRS in copying records pursuant to this 

paragraph is $0.15 per page. However, no fee 

will be charged if the aggregate costs required 

of the IRS in copying records is less than 

$3.00. If an individual who has requested 

access to inspect a record in person is denied 

such access by the designated official 

because it would not be feasible in a 

particular case, copies of such record will be 

furnished to the individual without payment 

of the fees otherwise required under this 

paragraph. If the IRS estimates that the total 

fees for costs incurred in complying with a 

request for copies of records will amount to 

$50 or more, the individual making the 

request may be required to enter into a 

contract for the payment of the actual fees 

with respect to the request before the Service 

will furnish the copies requested. Payment of 

fees for copies of records should be made by 

check or money order payable to the Internal 

Revenue Service. 

4. Procedures for amendment of records— 

(a) In general. This paragraph sets forth the 

procedures for reviewing a request from an 

individual concerning the amendment of any 

record or information pertaining to such 

individual, for making a determination on 

the request, for making an appeal within the 

IRS of an initial adverse determination, and 

for judicial review of a final determination. 

(b) Amendment of record. Under 5 U.S.C. 

552a(d)(2), an individual who has been 

granted access to a record pertaining to such 

individual may, after inspecting the record, 

request that the record be amended to make 

any correction of any portion thereof which 

the individual believes is not accurate, 

relevant, timely, or complete. An individual 

may seek to amend a record in accordance 

with the rules provided in paragraph (2) of 

this section. 

(c) Form of request for amendment of 

record. (i) A request for amendment of a 

record shall be in writing and shall be signed 

by the individual making the request. 

(ii) Such request shall be clearly marked 

‘‘Request for amendment of record.’’ 

(iii) Such request shall contain a statement 

that it is being made under the provisions of 

the Privacy Act. 

(iv) Such request shall contain the name 

and address of the individual making the 

request. In addition, if a particular system 

employs an individual’s social security 

number as an essential means of accessing 

the system, the request must include the 

individual’s Social Security number. In the 

case of a record maintained in the name of 

two or more individuals (e.g., husband and 

wife), the request shall contain the names, 

addresses, and Social Security numbers (if 

necessary) of both individuals. 

(v) Such request shall specify the name and 

location of the system of records (as set forth 

in the Notice of Systems) in which such 

record is maintained, and the title and 

business address of the official designated in 

the access section for such system (as set 

forth in the Notice of Systems). 

(vi) Such request shall specify the 

particular record in the system which the 

individual is seeking to amend. 

(vii) Such request shall clearly state the 

specific changes which the individual wishes 

to make in the record and a concise 

explanation of the reasons for the changes. If 

the individual wishes to correct or add any 

information, the request shall contain 

specific language making the desired 

correction or addition. 

(d) Time and place for making request. A 

request to amend a record under the Privacy 

Act shall be addressed to or delivered in 

person to the office of the official designated 

in the access section for the particular system 

of records. The title and office address of 

such official is set forth for each system of 

records in the Notice of Systems of Records. 

A request delivered to an office in person 

must be delivered during the regular office 

hours of that office. 

(e) Processing a request for amendment of 

a record. (i) Within 10 days (not including 

Saturdays, Sundays, and legal public 

holidays) after the receipt of a request to 

amend a record by the designated official, the 

individual will be sent a written 

acknowledgement that will state that the 

request has been received, that action is 

being taken thereon, and that the individual 

will be notified within 30 days (not including 


lotter on DSK11XQN23PROD with PROPOSALS1
44072 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

Saturdays, Sundays, and legal public 

holidays) after the receipt of the request 

whether the requested amendments will or 

will not be made. If a request for amendment 

of a record omits any information which is 

essential to processing the request, the 

request will not be acted upon and the 

individual making the request will be 

promptly advised on the additional 

information which must be submitted before 

the request can be processed. 

(ii) Within 30 days (not including 

Saturdays, Sundays, and legal public 

holidays) after the receipt of a request to 

amend a record by the designated official, a 

determination will be made as to whether to 

grant the request in whole or part. The 

individual will then be notified in writing of 

the determination. If a determination cannot 

be made within 30 days, the individual will 

be notified in writing within such time of the 

reasons for the delay and the approximate 

time required to make a determination. If it 

is determined by the designated official that 

the request will be granted, the requested 

changes will be made in the record and the 

individual will be notified of the changes. In 

addition, to the extent an accounting was 

maintained, all prior recipients of such 

record will be notified of the changes. Upon 

request, an individual will be furnished with 

a copy of the record, as amended, subject to 

the payment of the appropriate fees. On the 

other hand, if it is determined by the 

designated official that the request, or any 

portion thereof, will not be granted, the 

individual will be notified in writing of the 

adverse determination. The notification of an 

adverse determination will set forth the 

reasons for refusal to amend the record. In 

addition, the notification will contain a 

statement informing the individual of such 

individual’s right to request an independent 

review of the adverse determination by a 

reviewing officer in the national office of the 

IRS and the procedures for requesting such 

a review. 

(f) Administrative review of adverse 

determination. Under 5 U.S.C. 552a(d)(3), an 

individual who disagrees with the refusal of 

the agency to amend a record may, within 35 

days of being notified of the adverse 

determination, request an independent 

review of such refusal by a reviewing officer 

in the national office of the IRS. The 

reviewing officer for the IRS is the 

Commission of Internal Revenue, the Deputy 

Commissioner, or an Assistant 

Commissioner. In the case of an adverse 

determination relating to a system of records 

maintained by the Office of General Counsel 

for the IRS, the reviewing officer is the Chief 

Counsel or his delegate. An individual 

seeking a review of an adverse determination 

shall make a request for review in accordance 

with the rules provided in paragraphs (g) and 

(h) of this section. 

(g) Form of request for review. (i) A request 

for review of an adverse determination shall 

be in writing and shall be signed by the 

individual making the request. 

(ii) Such request shall be clearly marked 

‘‘Request for review of adverse 

determination’’. 

(iii) Such request shall contain a statement 

that it is being made under the provisions of 

the Privacy Act. 

(iv) Such request shall contain the name 

and address of the individual making the 

request. In addition, if a particular system 

employs an individual’s Social Security 

number as an essential means of accessing 

the system, the request must include the 

individual’s Social Security number. In the 

case of a record maintained in the name of 

two or more individuals (e.g., husband and 

wife), the request shall contain the names, 

addresses, and Social Security numbers (if 

necessary) of both individuals. 

(v) Such request shall specify the particular 

record which the individual is seeking to 

amend, the name and location of the system 

of records (as set forth in the Notice of 

Systems) in which such record is maintained, 

and the title and business address of the 

designated official for such system (as set 

forth in the Notice of Systems). 

(vi) Such request shall include the date of 

the initial request for amendment of the 

record, and the date of the letter notifying the 

individual of the initial adverse 

determination with respect to such request. 

(vii) such request shall clearly state the 

specific changes which the individual wishes 

to make in the record and a concise 

explanation of the reasons for the changes. If 

the individual wishes to correct or add any 

information, the request shall contain 

specific language making the desired 

correction or addition. 

(h) Time and place for making the request. 

A request for review of an adverse 

determination under the Privacy Act shall be 

addressed to or delivered in person to the 

Director, Office of Disclosure, Attention: 

OP:EX:D Internal Revenue Service, 1111 

Constitution Avenue NW, Washington, DC 

20224. A request for review of an adverse 

determination will be promptly referred by 

the Director, Office of Disclosure to the 

appropriate reviewing officer for his review 

and final determination. 

(i) Processing a request for review of 

adverse determination. Within 30 days (not 

including Saturdays, Sundays, and legal 

public holidays) after the receipt of a request 

for review of an adverse determination by the 

appropriate reviewing officer, the reviewing 

officer will review the initial adverse 

determination, make a final determination 

whether to grant the request to amend the 

record in whole or in part, and notify the 

individual in writing of the final 

determination. If a final determination 

cannot be made within 30 days, the 

Commissioner of Internal Revenue may 

extend such 30-day period. The individual 

will be notified in writing within the 30-day 

period of the cause for the delay and the 

approximate time required to make a final 

determination. If it is determined by the 

reviewing officer that the request to amend 

the record will be granted, the reviewing 

officer will cause the requested changes to be 

made and the individual will be so notified. 

Upon request, an individual will be 

furnished with a copy of the record as 

amended subject to the payment of 

appropriate fees. On the other hand, if it is 

determined by the reviewing officer that the 

request to amend the record, or any portion 

thereof, will not be granted, the individual 

will be notified in writing of the final adverse 

determination. The notification of a final 

adverse determination will set forth the 

reasons for the refusal of the reviewing 

officer to amend the record. The notification 

shall include a statement informing the 

individual of the right to submit a concise 

statement for insertion in the record setting 

forth the reasons for the disagreement with 

the refusal of the reviewing officer to amend 

the record. In addition, the notification will 

contain a statement informing the individual 

of the right to seek judicial review by a 

United States district court of a final adverse 

determination. 

(j) Statement of disagreement. Under 5 

U.S.C. 552a(d)(3), an individual who 

disagrees with a final adverse determination 

not to amend a record subject to amendment 

under the Privacy Act may submit a concise 

statement for insertion in the record setting 

forth the reasons for disagreement with the 

refusal of the reviewing officer to amend the 

record. A statement of disagreement should 

be addressed to or delivered in person to the 

Director, Office of Disclosure, Attention: 

OP:EX:D, Internal Revenue Service, 1111 

Constitution Avenue NW, Washington, DC 

20224. The Director, Office of Disclosure will 

forward the statement of disagreement to the 

appropriate designated official who will 

cause the statement to be inserted in the 

individual’s record. Any such statement will 

be available to anyone to whom the record 

is subsequently disclosed, and the prior 

recipients of the record will be provided with 

a copy of the statement of disagreement, to 

the extent an accounting of disclosures was 

maintained. 

(k) Judicial review. If, after a review and 

final determination on a request to amend a 

record by the appropriate reviewing officer, 

the individual is notified that the request will 

not be granted, or if, after the expiration of 

30 days (not including Sundays, Saturdays, 

and legal public holidays) from the receipt of 

such request by the Director, Disclosure 

Operations Division, action is not taken 

thereon in accordance with the requirements 

of paragraph (i) of this section, an individual 

may commence an action within the time 

prescribed by law in a U.S. District Court 

pursuant to 5 U.S.C. 552a(g)(1). The statute 

authorizes an action only against the agency. 

With respect to records maintained by the 

IRS, the agency is the Internal Revenue 

Service, not an officer or employee thereof. 

Service of process in such an action shall be 

in accordance with the Federal Rules of Civil 

Procedure (28 U.S.C. App.) applicable to 

actions against an agency of the United 

States. Where provided in such Rules, 

delivery of process upon the IRS must be 

directed to the Commissioner of Internal 

Revenue, Attention: CC:GLS, 1111 

Constitution Avenue NW, Washington, DC 

20224. The district court will determine the 

matter de novo. 

5. Records transferred to Federal Records 

Centers. Records transferred to the 

Administrator of General Services for storage 

in a Federal Records Center are not used by 

the Internal Revenue Service in making any 

determination about any individual while 

stored at such location and therefore are not 

subject to the provisions of 5 U.S.C. 

552a(e)(5) during such time. 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44073 

Appendix C to Subpart C of Part 1— 

Alcohol and Tobacco Tax and Trade 

Bureau 

1. In general. This appendix applies to the 

Alcohol and Tobacco Tax and Trade Bureau. 

It sets forth specific notification and access 

procedures with respect to particular systems 

of records, identifies the officers designated 

to make the initial determinations with 

respect to notification and access to records 

and accountings of disclosures of records. 

This appendix also sets forth the specific 

procedures for requesting amendment of 

records and identifies the officers designated 

to make the initial and appellate 

determinations with respect to requests for 

amendment of records. It identifies the 

officers designated to grant extensions of 

time on appeal, the officers with whom 

‘‘Statements of Disagreement’’ may be filed, 

the officer designated to receive service of 

process and the addresses for delivery of 

requests, appeals, and service of process. In 

addition, it references the notice of systems 

of records and notices of the routine uses of 

the information in the system required by 5 

U.S.C. 552a(e)(3), (4) and (11) and published 

annually by the Office of the Federal Register 

in ‘‘Privacy Act Issuances’’. 

2. Requests for notification and access to 

records and accountings of disclosures. 

Initial determination under § 1.26, whether to 

grant requests for notification and access to 

records and accountings of disclosures for 

the Alcohol and Tobacco Tax and Trade 

Bureau, will be made by the Director, 

Regulations and Rulings Division, or the 

delegate of such officer. Requests may be 

mailed or delivered in person to: Privacy Act 

Request, Director, Regulations and Rulings 

Division, Alcohol and Tobacco Tax and 

Trade Bureau, 1310 G Street NW, Box 12, 

Washington, DC 20005. Requests may also be 

faxed to 202–453–2331. 

3. Requests for amendment of record. 

Initial determinations under § 1.27(a) through 

(d) with respect to requests to amend records 

maintained by the Alcohol and Tobacco Tax 

and Trade Bureau will be made by the 

Director, Regulations and Rulings Division. 

Requests for amendment of records may be 

mailed or delivered in person to: Privacy Act 

Request, Director, Regulations and Rulings 

Division, Alcohol and Tobacco Tax and 

Trade Bureau, 1310 G Street NW, Box 12, 

Washington, DC 20005. Requests may also be 

faxed to 202–453–2331. The Bureau will 

process a faxed request when the request 

meets the identity verification requirements 

outlined in paragraph 4(a) of this appendix. 

4. Verification of identity. (a) In addition to 

the requirements specified in § 1.26(d), each 

request for notification, access or amendment 

of records made by mail or fax shall contain 

the requesting individual’s date and place of 

birth and a statement signed by the requester 

asserting his or her identity and stipulating 

that the requester understands that 

knowingly or willfully seeking or obtaining 

access to records about another person under 

false pretenses is a misdemeanor and 

punishable by a fine of up to $5,000 

provided, that the Alcohol and Tobacco Tax 

and Trade Bureau may require a signed 

notarized statement verifying the identity of 

the requester. 

(b) Individuals making requests in person 

will be required to exhibit at least two 

acceptable identifying documents such as 

employee identification cards, driver’s 

license, medical cards, or other documents 

sufficient to verify the identity of the 

requester. 

(c) The parent or guardian of a minor or a 

person judicially determined to be 

incompetent, shall in addition to establishing 

the identity of the minor or other person he 

represents as required in paragraphs 4(a) and 

(b) of this section, establish his own 

parentage or guardianship by furnishing a 

copy of a birth certificate showing parentage 

(or other satisfactory documentation) or a 

court order establishing the guardianship. 

5. Request for physical inspection of 

records. Upon determining that a request for 

the physical inspection of records is to be 

granted, the requester shall be notified in 

writing of the determination, and when and 

where the records may be inspected. The 

inspection of records will be made at the 

Alcohol and Tobacco Tax and Trade Bureau 

Field Office or other facility located nearest 

to the residence of the individual making the 

request. Such inspection shall be conducted 

during the regular business hours of the field 

office or other facility where the disclosure 

is made. A person of the requester’s own 

choosing may accompany the requester 

provided the requester furnishes a written 

statement authorizing the disclosure of the 

requester’s record in the accompanying 

person’s presence. The record inspection will 

be made in the presence of a representative 

of the Bureau. Following the inspection of 

the record, the individual will acknowledge 

in writing the fact that he or she had an 

opportunity to inspect the requested record. 

6. Requests for copies of records without 

prior physical inspection. Upon determining 

that an individual’s request for copies of his 

or her records without prior physical 

inspection is to be granted, the requester 

shall be notified in writing of the 

determination, and the location and time for 

his or her receipt of the requested copies. The 

copies will be made available at the Alcohol 

and Tobacco Tax and Trade Bureau field 

office or other facility located nearest to the 

residence of the individual making the 

request unless the individual requests that 

the documents be sent by mail. Copies shall 

be received by the requester during the 

regular business hours of the field office or 

other facility where the disclosure is made. 

Transfer of the copies to the individual shall 

be conditioned upon payment of copying 

costs and his presentation of at least two 

acceptable identifying documents such as 

employee identification cards, driver’s 

license, medical cards, or other documents 

sufficient to verify the identity of the 

requester. Following the receipt of the copies 

in person, the individual will acknowledge 

receipt in writing. 

7. Administrative appeal of initial 

determination refusing to amend record. 

Appellate determinations under § 1.27(e) 

with respect to records of the Alcohol and 

Tobacco Tax and Trade Bureau, including 

extensions of time on appeal, will be made 

by the Administrator or the delegate of such 

officer. Appeals should be addressed to, or 

delivered in person to: Privacy Act 

Amendment Appeal, Administrator, Alcohol 

and Tobacco Tax and Trade Bureau, 1310 G 

Street NW, Box 12, Washington, DC 20005. 

8. Statements of disagreement. ‘‘Statements 

of Disagreement’’ as described in § 1.27(e)(4) 

shall be filed with the official signing the 

notification within 35 days of the date of 

such notification and should be limited to 

one page. 

9. Service of process. Service of process 

will be received by the Administrator of the 

Alcohol and Tobacco Tax and Trade Bureau 

or the delegate of such official and shall be 

delivered to the following location: 

Administrator, Alcohol and Tobacco Tax and 

Trade Bureau, 1310 G Street NW, Box 12, 

Washington, DC 20005, Attention: Chief 

Counsel. 

10. Annual notice of systems of records. 

The annual notice of systems of records is 

published by the Office of the Federal 

Register, as specified in 5 U.S.C. 552a(f). The 

publication is entitled ‘‘Privacy Act 

Issuances’’. Any specific requirements for 

access, including identification requirements, 

in addition to the requirements set forth in 

§§ 1.26 and 1.27 are indicated in the notice 

for each pertinent system. 

Appendix D to Subpart C of Part 1— 

Bureau of Engraving and Printing 

1. In general. This appendix applies to the 

Bureau of Engraving and Printing. It sets 

forth specific notification and access 

procedures with respect to particular systems 

of records including identification 

requirements, identifies the officers 

designated to make the initial determinations 

with respect to notification and access to 

records and accountings of disclosures of 

records. This appendix also sets forth the 

specific procedures for requesting 

amendment of records and identifies the 

officers designated to make the initial and 

appellate determinations with respect to 

requests for amendment of records. It 

identifies the officers designated to grant 

extensions of time on appeal, the officers 

with whom ‘‘Statements of Disagreement 

may be filed, the officer designated to receive 

service of process and the addresses for 

delivery of requests, appeals, and service of 

process. In addition, it references the notice 

of systems of records and notices of the 

routine uses of the information in the system 

required by 5 U.S.C. 552a(e)(4) and (11) and 

published annually by the Office of the 

Federal Register in ‘‘Privacy Act Issuances.’’ 

2. Requests for notification and access to 

records and accountings of disclosures. 

Initial determinations under § 1.26, whether 

to grant requests for notification and access 

to records and accountings of disclosures for 

the Bureau of Engraving and Printing, will be 

made by the head of the organizational unit 

having immediate custody of the records 

requested, or the delegate of such official. 

Requests for access to records contained 

within a particular system of records should 

be submitted to the address indicated for that 

system in the access section of the notices 

published by the Office of the Federal 

Register in ‘‘Privacy Act Issuances.’’ Requests 

for information and specific guidance should 

be addressed to: Privacy Act Request, 


lotter on DSK11XQN23PROD with PROPOSALS1
44074 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

Disclosure Officer (Executive Assistant to the 

Director), Room 104–18M, Bureau of 

Engraving and Printing, Washington, DC 

20228. 

3. Requests for amendment of records. 

Initial determination under § 1.27(a) through 

(d), whether to grant request to amend 

records will be made by the head of the 

organizational unit having immediate 

custody of the records or the delegate of such 

official. Requests for amendment should be 

addressed as indicated in the appropriate 

system notice in ‘‘Privacy Act Issuances’’ 

published by the Office of the Federal 

Register. Requests for information and 

specific guidance on where to send requests 

for amendment should be addressed to: 

Privacy Act Amendment Request, Disclosure 

Officer (Executive Assistant to the Director), 

Bureau of Engraving and Printing, Room 

104–18M, Washington, DC 20228. 

4. Administrative appeal of initial 

determinations refusing amendment of 

records. Appellate determinations refusing 

amendment of records under § 1.27(e) 

including extensions of time on appeal, with 

respect to records of the Bureau of Engraving 

and Printing will be made by the Director of 

the Bureau or the delegate of such officer. 

Appeals made by mail should be addressed 

to, or delivered personally to: Privacy Act 

Amendment Appeal, Disclosure Officer 

(Executive Assistant to the Director), Room 

104–18M, Bureau of Engraving and Printing, 

Washington, DC 20228. 

5. Statements of disagreement. ‘‘Statements 

of Disagreement’’ under § 1.27(e)(4)(i) shall 

be filed with the official signing the 

notification of refusal to amend at the 

address indicated in the letter of notification 

within 35 days of the date of such 

notification and should be limited to one 

page. 

6. Service of process. Service of process 

will be received by the Chief Counsel of the 

Bureau of Engraving and Printing and shall 

be delivered to the following location: Chief 

Counsel, Bureau of Engraving and Printing, 

Room 109–M, 14th and C Streets SW, 

Washington, DC 20228. 

7. Verification of identity. An individual 

seeking notification or access to records, or 

seeking to amend a record, or seeking an 

accounting of disclosures, must satisfy one of 

the following identification requirements 

before action will be taken by the Bureau of 

Engraving and Printing on any such request: 

(i) An individual appearing in person may 

establish identity by the presentation of a 

single document bearing a photograph (such 

as a passport or identification badge) or by 

the presentation of two items of 

identification which do not bear a 

photograph but do bear both a name and 

signature (such as a credit card). 

(ii) An individual may establish identity 

through the mail by a signature, address, and 

one other identifier such as a photocopy of 

a driver’s license or other document bearing 

the individual’s signature. 

(iii) Notwithstanding paragraphs 7(i) and 

(ii) of this section, an individual who so 

desires, may establish identity by providing 

a notarized statement, swearing or affirming 

to such individual’s identity and to the fact 

that the individual understands the penalties 

provided in 5 U.S.C. 552a(i)(3) for requesting 

or obtaining access to records under false 

pretenses. 

(iv) Notwithstanding paragraph 7(i), (ii), or 

(iii) of this section, the Executive Assistant or 

other designated official may require 

additional proof of an individual’s identity 

before action will be taken on any request if 

such official determines that it is necessary 

to protect against unauthorized disclosure of 

information in a particular case. In addition, 

a parent of any minor or a legal guardian of 

any individual will be required to provide 

adequate proof of legal relationship before 

such person may act on behalf of such minor 

or such individual. 

8. Annual notice of systems of records. The 

annual notice of systems of records is 

published by the Office of the Federal 

Register, as specified in 5 U.S.C. 522a(f). The 

publication is entitled ‘‘Privacy Act 

Issuances’’. Any specific requirements for 

access, including identification requirements, 

in addition to the requirements set forth in 

§§ 1.26 and 1.27 are indicated in the notice 

for the pertinent system. 

Appendix E to Subpart C of Part 1— 

Bureau of the Fiscal Service 

1. In general. This appendix applies to the 

Bureau of the Fiscal Service. It sets forth 

specific notification and access procedures 

with respect to particular systems of records, 

identifies the officers designated to make the 

initial determinations with respect to 

notification and access to records and 

accountings of disclosures of records. This 

appendix also sets forth the specific 

procedures for requesting amendment of 

records and identifies the officers designated 

to make the initial and appellate 

determinations with respect to requests for 

amendment of records. It identifies the 

officers designated to grant extensions of 

time on appeal, the officers with whom 

‘‘Statements of Disagreement’’ may be filed, 

the officer designated to receive service of 

process and the addresses for delivery of 

requests, appeals, and service of process. In 

addition, it references the notice of systems 

of records and notices of the routine uses of 

the information in the system required by 5 

U.S.C. 552a(e)(4) and (11) and published 

annually by the Office of the Federal Register 

in ‘‘Privacy Act Issuances’’. 

2. Requests for notification and access to 

records and accountings of disclosures. 

Initial determinations under § 1.26, whether 

to grant requests for notification and access 

to records and accountings of disclosures for 

the Bureau of the Fiscal Service, will be 

made by the head of the organizational unit 

having immediate custody of the records 

requested or an official designated by this 

official. This is indicated in the appropriate 

system notice in ‘‘Privacy Act Issuances’’ 

published annually by the Office of the 

Federal Register. Requests for information 

and specific guidance on where to send 

requests for records may be mailed to the 

system manager identified in the Bureau of 

the Fiscal Service system of records notice 

(SORN) which is published in the Federal 

Register. 

See the applicable Bureau of the Fiscal 

Service system of records notice (SORN) for 

details. 

3. Requests for amendment of records. 

Initial determination under § 1.27(a) through 

(d), whether to grant requests to amend 

records will be made by the head of the 

organizational unit having immediate 

custody of the records or the delegate of such 

official. Requests for amendment should be 

addressed as indicated in the appropriate 

system notice in ‘‘Privacy Act Issuances’’ 

published by the Office of the Federal 

Register. Requests for information and 

specific guidance on where to send requests 

for amendment should be addressed to the 

system manager identified in the Bureau of 

the Fiscal Service SORN which is published 

in the Federal Register. 

4. Administrative appeal of initial 

determinations refusing amendment of 

records. Appellate determinations refusing 

amendment of records under § 1.27(e) 

including extensions of time on appeal, with 

respect to records of the Bureau of the Fiscal 

Service will be made by the Commissioner or 

the delegate of such official. Appeals made 

by mail should be addressed to the system 

manager identified in the Bureau of the 

Fiscal Service SORN which is published in 

the Federal Register. 

See the applicable Bureau of the Fiscal 

Service SORN for details. 

5. Statements of disagreement. ‘‘Statements 

of Disagreement’’ under § 1.27(e)(4)(i) shall 

be filed with the official signing the 

notification of refusal to amend at the 

address indicated in the letter of notification 

within 35 days of the date of such 

notification and should be limited to one 

page. 

6. Service of process. Service of process 

will be received by the Commissioner, 

Bureau of the Fiscal Service or the delegate 

of such official and shall be delivered to the 

following location: Office of the Chief 

Counsel, Bureau of the Fiscal Service Attn: 

Chief Counsel, 401 14th St SW Washington, 

DC 20227. 

7. Annual notice of systems of records. The 

annual notice of systems of records is 

published by the Office of the Federal 

Register, as specified in 5 U.S.C. 552a(f). The 

publication is entitled ‘‘Privacy Act 

Issuances’’. Any specific requirements for 

access, including identification requirements, 

in addition to the requirements set forth in 

§§ 1.26 and 1.27 are indicated in the notice 

for the pertinent system. 

Appendix F to Subpart C of Part 1— 

United States Mint 

1. In general. This appendix applies to the 

United States Mint. It sets forth specific 

notification and access procedures with 

respect to particular systems of records, 

identifies the officers designated to make the 

initial determinations with respect to 

notification and access to records and 

accountings of disclosures of records. This 

appendix also sets forth the specific 

procedures for requesting amendment of 

records and identifies the officers designated 

to make the initial and appellate 

determinations with respect to requests for 

amendment of records. It identifies the 

officers designated to grant extensions of 

time on appeal, the officers with whom 

‘‘Statements of Disagreement’’ may be filed, 


lotter on DSK11XQN23PROD with PROPOSALS1
Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 44075 

the officer designated to receive service of 

process and the addresses for delivery of 

requests, appeals, and service of process. In 

addition, it references the notice of systems 

of records and notices of the routine uses of 

the information in the system required by 5 

U.S.C. 552a(e)(4) and (11) and published 

annually by the Office of the Federal Register 

in ‘‘Privacy Act Issuances’’. 

2. Requests for notification and access to 

records and accountings of disclosures. 

Initial determinations under § 1.26, whether 

to grant requests for notification and access 

to records and accountings of disclosures for 

the United States Mint will be made by the 

head of the organizational unit having 

immediate custody of the records requested 

or an official designated by this official. This 

is indicated in the appropriate system notice 

in ‘‘Privacy Act Issuances’’ published 

annually by the Office of the Federal 

Register. Requests should be directed to the 

Superintendent or Officer in charge of the 

facility in which the records are located or 

to the Chief, Administrative Programs 

Division. Requests for information and 

specific guidance on where to send requests 

for records may be mailed or delivered 

personally to: Privacy Act Request, Chief, 

Administrative Programs Division, United 

States Mint, Judiciary Square Building, 633 

3rd Street NW, Washington, DC 20220. 

3. Requests for amendment of records. 

Initial determination under § 1.27(a) through 

(d), whether to grant requests to amend 

records will be made by the head of the Mint 

installation having immediate custody of the 

records or the delegated official. Requests 

should be mailed or delivered personally to: 

Privacy Act Amendment Request, Freedom of 

Information and Privacy Acts Officer, United 

States Mint, Judiciary Square Building, 633 

3rd Street, Washington, DC 20220. 

4. Administrative appeal of initial 

determinations refusing amendment of 

records. Appellate determinations refusing 

amendment of records under § 1.27 including 

extensions of time on appeal, with respect to 

records of the United States Mint will be 

made by the Director of the Mint or the 

delegate of the Director. Appeals made by 

mail should be addressed to, or delivered 

personally to: Privacy Act Amendment 

Appeal, United States Mint, Judiciary Square 

Building, 633 3rd Street NW, Washington, 

DC 20220. 

5. Statements of disagreement. ‘‘Statements 

of Disagreement’’ under § 1.27(e)(4)(i) shall 

be filed with the official signing the 

notification of refusal to amend at the 

address indicated in the letter of notification 

within 35 days of the date of such 

notification and should be limited to one 

page. 

6. Service of process. Service of process 

will be received by the Director of the Mint 

and shall be delivered to the following 

location: Director of the Mint, Judiciary 

Square Building, 633 3rd Street NW, 

Washington, DC 20220. 

7. Annual notice of systems of records. The 

annual notice of systems of records is 

published by the Office of the Federal 

Register, as specified in 5 U.S.C. 552a(f). The 

publication is entitled ‘‘Privacy Act 

Issuances’’. Any specific requirements for 

access, including identification requirements, 

in addition to the requirements set forth in 

§§ 1.26 and 1.27 are indicated in the notice 

for the pertinent system. 

Appendix G to Subpart C of Part 1— 

Office of the Comptroller of the 

Currency 

1. In general. This appendix applies to the 

Office of the Comptroller of the Currency. It 

sets forth specific notification and access 

procedures with respect to particular systems 

of records, identifies the officers designated 

to make the initial determinations with 

respect to notification and access to records 

and accountings of disclosures of records. 

This appendix also sets forth the specific 

procedures for requesting amendment of 

records and identifies the officers designated 

to make the initial and appellate 

determinations with respect to requests for 

amendment of records. It identifies the 

officers designated to grant extensions of 

time on appeal, the officers with whom 

‘‘Statements of Disagreement’’ may be filed, 

the officer designated to receive service of 

process and the addresses for delivery of 

requests, appeals, and service of process. In 

addition, it references the notice of systems 

of records and notices of the routine uses of 

the information in the system required by 5 

U.S.C. 552a(e)(4) and (11) and published 

annually by the Office of the Federal Register 

in ‘‘Privacy Act Issuances’’. 

2. Requests for notification and access to 

records and accountings of disclosures. 

Initial determinations under § 1.26 whether 

to grant requests for notification and access 

to records and accountings of disclosures for 

the Office of the Comptroller of the Currency 

will be made by the head of the 

organizational unit having immediate 

custody of the records requested or the 

delegate of that official. This is indicated in 

the appropriate system notice in ‘‘Privacy Act 

Issuances’’ published biennially by the Office 

of the Federal Register. Requests for 

information and specific guidance on where 

to send requests for records shall be mailed 

or delivered personally to: Disclosure Officer, 

Communications Division, Office of the 

Comptroller of the Currency, 250 E Street 

SW, Washington, DC 20219. 

3. Requests for amendment of records. 

Initial determinations under § 1.27(a) through 

(d) whether to grant requests to amend 

records will be made by the Comptroller’s 

delegate or the head of the organizational 

unit having immediate custody of the records 

or the delegate of that official. Requests for 

amendment shall be mailed or delivered 

personally to: Disclosure Officer, 

Communications Division, Office of the 

Comptroller of the Currency, 250 E Street 

SW, Washington, DC 20219. 

4. Administrative appeal of initial 

determinations refusing amendment of 

records. Appellate determinations refusing 

amendment of records under § 1.27(e) 

including extensions of time on appeal, with 

respect to records of the Office of the 

Comptroller of the Currency will be made by 

the Comptroller of the Currency or the 

Comptroller’s delegate. Appeals shall be 

mailed or delivered personally to: Disclosure 

Officer, Communications Division, Office of 

the Comptroller of the Currency, 250 E Street 

SW, Washington, DC 20219. 

5. Statements of disagreement. ‘‘Statements 

of Disagreement’’ under § 1.27(e)(4)(i) shall 

be filed with the OCC’s Director of 

Communications at the address indicated in 

the letter of notification within 35 days of the 

date of such notification and should be 

limited to one page. 

6. Service of process. Service of process 

shall be delivered to the Chief Counsel or the 

Chief Counsel’s delegate at the following 

location: Office of the Comptroller of the 

Currency, 250 E Street SW, Washington, DC 

20219. 

7. Annual notice of systems of records. The 

annual notice of systems of records is 

published by the Office of the Federal 

Register, as specified in 5 U.S.C. 552a(f). The 

publication is entitled ‘‘Privacy Act 

Issuances’’. Any specific requirements for 

access, including identification requirements, 

in addition to the requirements set forth in 

§§ 1.26 and 1.27 are indicated in the notice 

for the pertinent system. 

Appendix H to Subpart C of Part 1— 

Financial Crimes Enforcement Network 

1. In general. This appendix applies to the 

Financial Crimes Enforcement Network 

(FinCEN). It sets forth specific notification 

and access procedures with respect to 

particular systems of records, and identifies 

the officers designated to make the initial 

determinations with respect to notification 

and access to records and accountings of 

disclosures of records. This appendix also 

sets forth the specific procedures for 

requesting amendment of records and 

identifies the officers designated to make the 

initial and appellate determinations with 

respect to requests for amendment of records. 

It identifies the officers designated to grant 

extensions of time on appeal, the officers 

with whom ‘‘Statements of Disagreement’’ 

may be filed, the officer designated to receive 

service of process and the addresses for 

delivery of requests, appeals, and service of 

process. In addition, it references the notice 

of systems of records and notices of the 

routine uses of the information in the system 

required by 5 U.S.C. 552a(e)(4) and (11) and 

published biennially by the Office of the 

Federal Register in ‘‘Privacy Act Issuances.’’ 

2. Requests for notification and access to 

records and accountings of disclosures. 

Initial determinations under § 1.26, whether 

to grant requests for notification and access 

to records and accountings of disclosures for 

FinCEN will be made by the Freedom of 

Information/Privacy Act Officer, FinCEN. 

Requests may be mailed to: Privacy Act 

Request, Financial Crimes Enforcement 

Network, Post Office Box 39, Vienna, VA 

22183. 

3. Requests for amendments of records. 

Initial determinations under § 1.27(a) through 

(d) whether to grant requests to amend 

records maintained by FinCEN will be made 

by the Freedom of Information/Privacy Act 

Officer, FinCEN. Requests may be mailed to: 

Privacy Act Request, Financial Crimes 

Enforcement Network, Post Office Box 39, 

Vienna, VA 22183. 

4. Verification of Identity. An individual 

seeking notification or access to records, or 


lotter on DSK11XQN23PROD with PROPOSALS1
44076 Federal Register / Vol. 87, No. 141 / Monday, July 25, 2022 / Proposed Rules 

seeking to amend a record, or seeking an 

accounting of disclosures, must satisfy one of 

the following identification requirements 

before action will be taken by FinCEN on any 

such request: 

(i) An individual may establish identity 

through the mail by a signature, address, and 

one other identifier such as a photocopy of 

a driver’s license or other official document 

bearing the individual’s signature. 

(ii) Notwithstanding paragraph 4(i) of this 

section, an individual may establish identity 

by providing a notarized statement, swearing 

or affirming to such individual’s identity and 

to the fact that the individual understands 

the penalties provided in 5 U.S.C. 552a(i)(3) 

for requesting or obtaining access to records 

under false pretenses. 

(iii) Notwithstanding paragraphs 4(i) and 

(ii) of this section, the Freedom of 

Information Act/Privacy Act Officer or other 

designated official may require additional 

proof of an individual’s identity before action 

will be taken on any request, if such official 

determines that it is necessary to protect 

against unauthorized disclosure of 

information in a particular case. In addition, 

a parent of any minor or a legal guardian of 

any individual will be required to provide 

adequate proof of legal relationship before 

such person may act on behalf of such minor 

or such individual. 

5. Administrative appeal of initial 

determinations refusing amendment of 

records. Appellate determinations refusing 

amendment of records under § 1.27(e) 

including extensions of time on appeal with 

respect to the records of FinCEN will be 

made by the Director of FinCEN or the 

delegate of the Director. Appeals should be 

addressed to: Privacy Act Amendment 

Appeal, Financial Crimes Enforcement 

Network, Post Office Box 39, Vienna, VA 

22183. 

6. Statements of Disagreement. 

‘‘Statements of Disagreement’’ as described in 

§ 1.27(e)(4) shall be filed with the official 

signing the notification of refusal to amend 

at the address indicated in the letter of 

notification within 35 days of the date of 

such notification and should be limited to 

one page. 

7. Service of Process. Service of process 

will be received by the Chief Counsel of 

FinCEN and shall be delivered to the 

following location: Office of Chief Counsel, 

Financial Crimes Enforcement Network, Post 

Office Box 39, Vienna, VA 22183. 

8. Biennial notice of systems of records. 

The biennial notice of systems of records is 

published by the Office of the Federal 

Register, as specified in 5 U.S.C. 552a(f). The 

publication is entitled ‘‘Privacy Act 

Issuances.’’ Any specific requirements for 

access, including identification requirements, 

in addition to the requirements set forth in 

§§ 1.26 and 1.27 and section 4 of this 

appendix are indicated in the notice for the 

pertinent system. 

Date: May 21, 2022. 

Ryan Law, 

Deputy Assistant Secretary, Office of Privacy, 

Transparency, and Records. 

Editorial Note: This document was 

received for publication by the Office of the 

Federal Register on June 17, 2002. 

[FR Doc. 2022–13285 Filed 7–22–22; 8:45 am] 

BILLING CODE 4810–AK–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 and 70 

[EPA–R04–OAR–2021–0363; FRL–10016– 

01–R4] 

Air Plan and Operating Permit Program 

Approval; TN; Electronic Notice 

(e-Notice) Provisions 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Proposed rule. 

SUMMARY: The Environmental Protection 

Agency (EPA) is proposing to approve 

changes to the Tennessee State 

Implementation Plan (SIP) and the 

Tennessee title V operating permit 

program (title V) submitted by the State 

of Tennessee, through the Tennessee 

Department of Environment and 

Conservation (TDEC), Division of Air 

Pollution Control on March 23, 2021, 

and supplemented on July 1, 2022. 

These changes address the public notice 

rule provisions for the New Source 

Review (NSR) and title V programs of 

the Clean Air Act (CAA or Act) by 

providing for electronic notice (e-notice) 

and removing the mandatory 

requirement to provide public notice of 

a draft air permit in a newspaper. EPA 

is proposing to approve these changes as 

they are consistent with the CAA and 

implementing Federal regulations. 

DATES: Comments must be received on 

or before August 24, 2022. 

ADDRESSES: Submit your comments, 

identified by Docket ID No. EPA–R04– 

OAR–2021–0363 at 

www.regulations.gov. Follow the online 

instructions for submitting comments. 

Once submitted, comments cannot be 

edited or removed from Regulations.gov. 

EPA may publish any comment received 

to its public docket. Do not submit 

electronically any information you 

consider to be Confidential Business 

Information (CBI) or other information 

whose disclosure is restricted by statute. 

Multimedia submissions (audio, video, 

etc.) must be accompanied by a written 

comment. The written comment is 

considered the official comment and 

should include discussion of all points 

you wish to make. EPA will generally 

not consider comments or comment 

contents located outside of the primary 

submission (i.e., on the web, cloud, or 

other file sharing system). For 

additional submission methods, the full 

EPA public comment policy, 

information about CBI or multimedia 

submissions, and general guidance on 

making effective comments, please visit 

www2.epa.gov/dockets/commentingepa-dockets. 

FOR FURTHER INFORMATION CONTACT: 

Sarah LaRocca, Air Regulatory 

Management Section, Air Planning and 

Implementation Branch, Air and 

Radiation Division, U.S. Environmental 

Protection Agency, Region 4, 61 Forsyth 

Street SW, Atlanta, Georgia 30303–8960. 

The telephone number is (404) 562– 

8994. Ms. LaRocca can also be reached 

via electronic mail at larocca.sarah@

epa.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

On October 5, 2016, EPA finalized 

revised public notice provisions for the 

NSR, title V, and Outer Continental 

Shelf permitting programs of the CAA. 

See 81 FR 71613 (October 18, 2016). 

These rule revisions removed the 

mandatory requirement to provide 

public notice of permitting actions 

through publication in a newspaper and 

allow for internet e-notice as an option 

for permitting authorities implementing 

their own EPA-approved SIP rules and 

title V rules, such as Tennessee’s EPAapproved permitting programs. 

Permitting authorities are not required 

to adopt e-notice. Nothing in the revised 

rules prevents a permitting authority 

with an EPA-approved permitting 

program from continuing to use 

newspaper notification and/or from 

supplementing e-notice with newspaper 

notification and/or additional means of 

notification. For permits issued by 

permitting authorities with EPAapproved programs, the rule requires 

the permitting authority to use ‘‘a 

consistent noticing method’’ for all 

permit notices under the specific 

permitting program. When e-notice is 

provided, EPA’s rule requires electronic 

access (e-access) to the draft permit for 

the duration of the public comment 

period. 

EPA anticipates that e-notice, which 

is already being practiced by many 

permitting authorities, will enable 

permitting authorities to communicate 

permitting and other affected actions to 

the public more quickly and efficiently 

and will provide cost savings over 

newspaper publication. EPA further 

anticipates that e-access will expand 


lotter on DSK11XQN23PROD with PROPOSALS1