51344 Federal Register / Vol. 73, No. 170 / Tuesday, September 2, 2008 / Notices 

DEPARTMENT OF THE TREASURY 

Alcohol and Tobacco Tax and Trade 

Bureau 

Privacy Act of 1974, as Amended 

AGENCY: Alcohol and Tobacco Tax and 

Trade Bureau, Treasury. 

ACTION: Notice of system of records. 

SUMMARY: The Privacy Act of 1974, as 

amended, 5 U.S.C. 552a, requires all 

Federal agencies to publish their 

inventory of Privacy Act systems of 

records. In accordance with this 

requirement, and following a review of 

its records, the Alcohol and Tobacco 

Tax and Trade Bureau (TTB) is 

publishing its Privacy Act system of 

records. 

DATES: Comments must be received no 

later than October 2, 2008. This new 

system of records will be effective 

October 14, 2008, unless TTB receives 

comments which would result in a 

contrary determination. 

FOR FURTHER INFORMATION CONTACT: 

Gerry Isenberg, Assistant Director, 

Regulations and Rulings Division, 

Alcohol and Tobacco Tax and Trade 

Bureau, 1310 G Street, NW., 

Washington, DC 20005; phone 202–927–

8210. 

ADDRESSES: You may submit comments 

on this notice by one of the following 

two methods: Federal e-Rulemaking 

Portal: To submit a comment on this 

notice using the online Federal erulemaking portal, visit http:// 

www.regulations.gov and select 

‘‘Alcohol and Tobacco Tax and Trade 

Bureau’’ from the agency drop-down 

menu and click ‘‘Submit.’’ In the 

resulting docket list, open the docket 

containing this notice, click on the 

‘‘Add Comments’’ icon for this notice, 

and complete the resulting comment 

form. You may attach supplemental files 

to your comment. A direct link to the 

appropriate docket is also available on 

the TTB Web site at http://www.ttb.gov/ 

regulations_laws/all_rulemaking.shtml. 

More complete information on using 

Regulations.gov, including instructions 

for accessing open and closed dockets 

and for submitting comments, is 

available through the site’s ‘‘User Tips’’

link. 

Mail: You may send written 

comments to the Director, Regulations 

and Rulings Division, Alcohol and 

Tobacco Tax and Trade Bureau, P.O. 

Box 14412, Washington, DC 20044–

4412. 

Please submit your comments by the 

closing date shown above in this notice. 

Your comments must include this 

notice number and your name and 

mailing address. TTB will not accept 

anonymous comments. Your comments 

must be in English, legible, and written 

in language acceptable for public 

disclosure. TTB does not acknowledge 

receipt of comments, and TTB considers 

all comments as originals. 

If you are commenting on behalf of an 

association, business, or other entity, 

your comment must include the entity’s 

name as well as your name and position 

title. If you comment via http:// 

www.regulations.gov, please enter the 

entity’s name in the ‘‘Organization’’

blank of the comment form. If you 

comment via mail, please submit your 

entity’s comment on letterhead. 

Confidentiality: All submitted 

comments and attachments are part of 

the public record and subject to 

disclosure. Do not enclose any material 

in your comments that you consider to 

be confidential or inappropriate for 

public disclosure. 

Public Disclosure: On the Federal erulemaking portal, TTB will post, and 

you may view, copies of this notice and 

any electronic or mailed comments TTB 

receives about this proposal. To view a 

posted document or comment, go to 

http://www.regulations.gov and select 

‘‘Alcohol and Tobacco Tax and Trade 

Bureau’’ from the agency drop-down 

menu and click ‘‘Submit.’’ In the 

resulting docket list, click the 

appropriate docket number, then click 

the ‘‘View’’ icon for any document or 

comment posted under that docket 

number. A direct link to the docket 

containing this notice is also available 

on the TTB Web site at http:// 

www.ttb.gov/regulations_laws/ 

all_rulemaking.shtml. All submitted and 

posted comments will display the 

commenter’s name, organization (if 

any), city, and state, and, in the case of 

mailed comments, all address 

information, including e-mail addresses. 

TTB may omit voluminous attachments 

or material that it considers unsuitable 

for posting. 

You also may view copies of this 

notice and any electronic or mailed 

comments TTB receives about this 

proposal by appointment at the TTB 

Information Resource Center, 1310 G 

Street, NW., Washington, DC 20220. 

You may also obtain copies at 20 cents 

per 8.5-× 11-inch page. Contact TTB’s 

information specialist at the above 

address or by telephone at 202–927–

2400 to schedule an appointment or to 

request copies of comments or other 

materials. 

SUPPLEMENTARY INFORMATION: Effective 

January 24, 2003, the Homeland 

Security Act of 2002 divided the Bureau 

of Alcohol, Tobacco and Firearms (ATF) 

into two new agencies, the Alcohol and 

Tobacco Tax and Trade Bureau (TTB) in 

the Department of the Treasury and the 

Bureau of Alcohol, Tobacco, Firearms 

and Explosives (ATF) in the Department 

of Justice. ATF oversees firearms, 

explosives, and arson programs and 

administers laws pertaining to alcohol 

and tobacco smuggling and diversion. 

TTB is responsible for administering 

Chapters 51 (relating to distilled spirits, 

wine, and beer) and 52 (relating to 

tobacco products and cigarette papers 

and tubes) of title 26 of the United 

States Code (U.S.C.), which contains the 

Internal Revenue Code of 1986, as 

amended. TTB also administers sections 

4181 and 4182 (relating to the excise tax 

on firearms and ammunition) of the 

Internal Revenue Code of 1986, and title 

27 of the U.S.C. (relating to alcohol). 

Section 1512 of the Homeland 

Security Act of 2002 authorized TTB to 

continue its operations under completed 

administrative actions taken by ATF 

until such actions are amended, 

modified, superseded, terminated, set 

aside, or revoked in accordance with 

law. As of January 24, 2003, the 

following Privacy Act systems of 

records notices were in effect for ATF 

records: 

ATF .001–Administrative Record 

System; 

ATF .002–Correspondence Record 

System; 

ATF .003–Criminal Investigation Report 

System; 

ATF .007–Personnel Record System; 

ATF .008–Regulatory Enforcement 

Record System; and 

ATF .009–Technical and Scientific 

Services Record System. 

Pursuant to the Privacy Act of 1974 (5 

U.S.C. 552a) and Office of Management 

and Budget (OMB) Circular No. A–130, 

TTB has completed a review of its 

current records to determine what 

records are Privacy Act systems of 

records. TTB reviewed the established 

Government-wide Privacy Act system of 

records notices published by such 

agencies as the Equal Employment 

Opportunity Commission, the General 

Services Administration, the Merit 

Systems Protection Board, the Office of 

Government Ethics, and the Office of 

Personnel Management, and Treasurywide systems of records notices. 

As a result of this review, TTB has 

determined that the only Privacy Act 

system of records it maintains which is 

not covered by a Government-wide or 

Treasury-wide system of records notice 

is the ‘‘Treasury/ATF .008–Regulatory 

Enforcement Record System.’’ This 

system of records will be maintained by 

TTB under the new title ‘‘Treasury/TTB 


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Federal Register / Vol. 73, No. 170 / Tuesday, September 2, 2008 / Notices 51345 

.001–Regulatory Enforcement Record 

System.’’ TTB also determined that the 

following systems of records should be 

removed from the Department’s Privacy 

Act systems of records inventory: 

ATF .001–Administrative Record 

System; 

ATF .002–Correspondence Record 

System; 

ATF .003–Criminal Investigation Report 

System; 

ATF .007–Personnel Record System; 

and 

ATF .009–Technical and Scientific 

Services Record System. 

An interim final rule amending 31 

CFR 1.36 to reflect the removal of the 

ATF .003, ATF .007, and ATF .009 from 

the list of exempt systems, and the 

redesignation of ATF .008–Regulatory 

Enforcement Record System, will be 

published separately in the Federal 

Register. Note that while ATF. 001 and 

ATF .002 are part of the current 

Department of the Treasury systems of 

records inventory and are being deleted 

from that inventory pursuant to this 

notice, these two systems are not part of 

the list of exempt systems of records in 

31 CFR 1.36. Therefore, these two 

systems are not included in the interim 

rule amendment of § 1.36. 

The report of the revised system of 

records, as required by 5 U.S.C. 552a(r), 

has been submitted to the Committee on 

Government Reform of the House of 

Representatives, the Committee on 

Homeland Security and Governmental 

Affairs of the Senate, and the Office of 

Management and Budget, pursuant to 

Appendix I to OMB Circular A–130, 

‘‘Federal Agency Responsibilities for 

Maintaining Records About 

Individuals,’’ dated November 30, 2000. 

The proposed revisions to the system 

of records entitled ‘‘Treasury/TTB .001–

Regulatory Enforcement Record 

System’’ are published in their entirety 

below. 

Dated: July 23, 2008. 

Peter B. McCarthy, 

Assistant Secretary for Management and 

Chief Financial Officer. 

TREASURY/TTB .001 

SYSTEM NAME: 

Regulatory Enforcement Record 

System. 

SYSTEM LOCATION: 

Alcohol and Tobacco Tax and Trade 

Bureau (TTB), 1310 G Street, NW., 

Washington, DC 20005. Components of 

this system of records are also 

geographically dispersed throughout 

TTB’s field offices. A list of TTB’s field 

offices is available on the TTB Web site 

at http://www.ttb.gov. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

(1) Individuals who file tax returns or 

submit return information to TTB 

regarding special occupational tax and 

excise taxes on alcohol, tobacco, and 

firearms and ammunition; and 

(2) Individuals who have been issued 

permits or licenses, have filed 

applications with TTB, or have 

registered with TTB. They include (a) 

Alcohol and tobacco licensees and (b) 

Claimants for refund, abatement, credit, 

allowance, or drawback of excise or 

special occupational taxes. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records containing investigative 

material compiled for TTB’s 

responsibilities to collect the revenue 

and protect the public which may 

consist of the following: (1) Abstracts of 

offers in compromise; (2) 

Administrative law judge decisions; (3) 

Assessment records including notices of 

proposed assessments, notices of 

shortages or losses, copies of notices 

from IRS to assess taxes, and 

recommendations for assessments; (4) 

Claim records including claims, letters 

of claim rejection, sample reports, 

supporting data, and vouchers and 

schedules of payment; (5) 

Correspondence concerning records in 

this system and related matters; (6) 

Financial statements; (7) Inspection and 

investigation reports; (8) Demands for 

payment of excise tax liabilities; (9) 

Letters of reprimand; (10) Lists of 

permittees and licensees; (11) Lists of 

officers, directors, and principal 

stockholders; (12) Mailing lists and 

addressograph plates; (13) Notices of 

delinquent reports; (14) Offers in 

compromise; (15) Operational records, 

such as operating and inventory reports, 

and transaction records and reports; (16) 

Orders of revocation, suspension, or 

annulment of permits or licenses; (17) 

District and Chief Counsel opinions and 

memoranda; (18) Reports of violations; 

(19) Permits and permit histories; (20) 

Qualifying records including access 

authorizations, advertisement records, 

applications, business histories, 

criminal records, educational histories, 

employment histories, financial data, 

formula approvals, licenses, notices, 

permits, personal references, 

registrations, sample reports, special 

permissions and authorizations, and 

statements of process; (21) Show cause 

orders; and (22) Tax records including 

control cards relating to periodic 

payment and prepayment of taxes, tax 

returns, and notices of tax discrepancy 

or adjustment. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301; 26 U.S.C. 5001, 5006(a), 

5008, 5041, 5042(a)(2) and (3), 5044, 

5051, 5055, 5056, 5061, 5062, 5064, 

5101, 5132, 5172, 5179(a), 5181, 

5271(b)(1), 5275, 5301(a) and (b), 5312, 

5356, 5401, 5417, 5502, 5511(3), 5705, 

5712, 6001, 6011(a), 6201, 6423, 7011, 

and 7122; 27 U.S.C. 204 and 207; and 

Homeland Security Act of 2002. 

PURPOSE(S): 

The purpose of this system is to 

determine suitability, eligibility, or 

qualifications of individuals who are 

engaged or propose to engage in 

activities regulated by TTB; achieve 

compliance with laws under TTB’s 

jurisdiction; assure full collection of 

revenue due from legal industries; 

eliminate commercial bribery, consumer 

deception, and other improper trade 

practices in the distilled spirits, beer, 

and wine industries; and interact with 

Federal, State, and local governmental 

agencies in the resolution of problems 

relating to revenue protection, public 

health, and other areas of joint 

jurisdictional concern. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USES AND

THE PURPOSES OF SUCH USES: 

Routine uses of records within this 

system pursuant to which a record may 

be disclosed are to: 

(1) Third parties when such 

disclosure is required by statute or 

Executive Order; 

(2) Third parties to the extent 

necessary to collect or verify 

information pertinent to the Bureau’s 

decision to grant, deny, or revoke a 

license or permit; to initiate or complete 

an investigation of violations or alleged 

violations of laws and regulations 

administered by the Bureau; 

(3) Appropriate Federal, State, local, 

or foreign agencies for the purpose of 

enforcing administrative, civil, or 

criminal laws; hiring or retention of an 

employee; issuance of a security 

clearance, license, contract, grant, or 

other benefit by the requesting agency, 

to the extent that the information is 

relevant and necessary to the requesting 

agency’s decision on the matter; 

(4) A court, magistrate, or 

administrative tribunal in the course of 

presenting evidence, including 

disclosures to opposing counsel or 

witnesses in the course of or in 

preparation for civil discovery, 

litigation, or settlement negotiations, in 

response to a subpoena where relevant 

or potentially relevant to a proceeding, 

or in connection with criminal law 

proceedings; 

(5) INTERPOL and similar national 

and international intelligence gathering 


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51346 Federal Register / Vol. 73, No. 170 / Tuesday, September 2, 2008 / Notices 

organizations for the purpose of 

identifying international and national 

criminals involved in consumer fraud, 

revenue evasion, crimes, or persons 

involved in terrorist activities; 

(6) Foreign governments in 

accordance with formal or informal 

international agreements; 

(7) Appropriate Federal, State, local, 

or foreign agencies responsible for 

investigating or prosecuting the 

violations of, or for enforcing or 

implementing, a statute, rule, 

regulation, order, or license, where the 

disclosing agency becomes aware of an 

indication of a violation or potential 

violation of criminal law or regulation; 

(8) A congressional office in response 

to an inquiry made at the request of the 

individual to whom the record pertains; 

(9) The news media to provide 

information in accordance with 

guidelines contained in 28 CFR 50.2 

which relate to an agency’s functions 

relating to civil and criminal 

proceedings; 

(10) Third parties for a purpose 

consistent with any permissible 

disclosure of returns or return 

information under the Internal Revenue 

Code of 1986, as amended; and 

(11) Appropriate agencies, entities, 

and persons when: (a) The Department 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (b) the Department 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Department or another agency or entity) 

that rely upon the compromised 

information; and (c) the disclosure made 

to such agencies, entities, and persons is 

reasonably necessary to assist in 

connection with the Department’s 

efforts to respond to the suspected or 

confirmed compromise and prevent, 

minimize, or remedy such harm. 

(12) Disclose information to a 

contractor for the purpose of processing 

administrative records and/or 

compiling, organizing, analyzing, 

programming, or otherwise refining 

records subject to the same limitations 

applicable to U.S. Department of the 

Treasury officers and employees under 

the Privacy Act; 

(13) The Department of Justice when 

seeking legal advice or when (a) the 

Department of the Treasury or (b) the 

disclosing agency, or (c) any employee 

of the disclosing agency in his or her 

official capacity, or (d) any employee of 

the agency in his or her individual 

capacity where the Department of 

Justice has agreed to represent the 

employee, or (e) the United States, 

where the disclosing agency determines 

that litigation is likely to affect the 

disclosing agency, is a party to litigation 

or has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed by the 

agency to be relevant and necessary to 

the litigation; and 

(14) Representatives of the National 

Archives and Records Administration 

(NARA) who are conducting records 

management inspections under 

authority of 44 U.S.C. 2904 and 2906. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are stored in file folders in 

filing cabinets and in electronic media. 

RETRIEVABILITY: 

Records are retrievable by name, by 

permit or license number, by document 

locator number, or by employer 

identification number (EIN). 

SAFEGUARDS: 

Direct access is restricted to personnel 

in the Department of the Treasury in the 

performance of their duties. Records are 

stored in file cabinets in rooms locked 

during nonduty hours. The records 

stored in electronic media are password 

protected and encrypted. Disclosures 

are made to routine users on a ‘‘need to 

know’’ basis and upon verification of 

the substance and propriety of the 

request. 

RETENTION AND DISPOSAL: 

The Alcohol and Tobacco Tax and 

Trade Bureau maintains records 

according to the ATF Order 1345.1 (10/ 

29/1991; updated 4/5/2002) that the 

National Archives and Records 

Administration (NARA) approved. We 

are in the process of requesting approval 

for a new TTB Records Control 

Schedule. Records not currently covered 

by our approved record retention 

schedule will not be disposed of until 

TTB receives approval from NARA. 

Some of the records are retained in 

accordance with General Records 

Schedules numbers 1 through 27 issued 

by NARA. 

SYSTEM MANAGER(S) AND ADDRESS: 

Director, National Revenue Center, 

Alcohol and Tobacco Tax and Trade 

Bureau, 550 Main Street, Suite 8002, 

Cincinnati, OH 45202. 

NOTIFICATION PROCEDURE: 

This system of records has been 

determined to be exempt from 

compliance with the notification 

provisions of 5 U.S.C. 552a(e)(4)(G). 

RECORD ACCESS PROCEDURES: 

This system of records has been 

determined to be exempt from 

compliance with the access provisions 

of 5 U.S.C. 552a(e)(4)(H). 

CONTESTING RECORD PROCEDURES: 

This system of records has been 

determined to be exempt from 

compliance with the provisions of 5 

U.S.C. 552a(e)(4)(H) allowing an 

individual to contest the contents of 

records. 

RECORD SOURCE CATEGORIES: 

This system of records has been 

determined to be exempt from 

compliance with the provisions of 5 

U.S.C. 552a(e)(4)(I) requiring the record 

source categories be reported. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

This system has been designated as 

exempt from the following provisions of 

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

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

(e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and 

(f). See 31 CFR 1.36. 

[FR Doc. E8–20202 Filed 8–29–08; 8:45 am] 

BILLING CODE 4810–31–P 

DEPARTMENT OF THE TREASURY 

Internal Revenue Service 

Proposed Collection; Comment 

Request for Forms 9779, 9779(SP), 

9783, 9783(SP), 9787, 9787(SP), 9789 

and 9789(SP) 

AGENCY: Internal Revenue Service (IRS), 

Treasury. 

ACTION: Notice and request for 

comments. 

SUMMARY: The Department of the 

Treasury, as part of its continuing effort 

to reduce paperwork and respondent 

burden, invites the general public and 

other Federal agencies to take this 

opportunity to comment on proposed 

and/or continuing information 

collections, as required by the 

Paperwork Reduction Act of 1995, 

Public Law 104–13 (44 U.S.C. 

3506(c)(2)(A)). Currently, the IRS is 

soliciting comments concerning Forms 

9779, 9779(SP), 9783, 9783(SP), 9787, 

9787(SP), 9789 and 9789(SP), Electronic 

Federal Tax Payment System (EFTPS). 

DATES: Written comments should be 

received on or before November 3, 2008 

to be assured of consideration. 

ADDRESSES: Direct all written comments 

to Glenn P. Kirkland, Internal Revenue 


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